NEBOSH International General Certificate in Occupational Safety and Health

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Version 1.1a (16/08/2011)

1.17 The 5 steps to Risk Assessment

Lets us now consider the HSE guidance leaflet, Five Steps to Risk Assessment (INDG163).
Later, you will note that we have expanded on this HSE document. However, for the
purposes of your NEBOSH examination, it is essential that you can recall the following:
Five Steps to Risk Assessment.
STEP 1

Look for the hazards.

STEP 2

Decide who might be harmed.

STEP 3

Evaluate the risks and decide whether the existing precautions are adequate or
whether more should be done.

STEP 4

Record your findings and implement them.

STEP 5

Review your assessment and revise it if necessary.

We will now consider each of the five steps in turn and in some detail.
1.18 Step 1 - Identify the significant hazards
Step 1 - Identify the significant hazards.
Think about the words IDENTIFY & SIGNIFICANT.
There are many ways to identify hazards. (see above for types of hazard identification) You
can undertake a safety inspection using a pre-designed list of activities or a layout of the
premises, you can undertake a safety sample considering a single aspect of activity or area
of the work place, you can undertake a safety tour and so on.

Talking to staff who undertake the work activities is essential. It is they who, for the most
part, have the best knowledge of the hazards and the potential of harm. However, fresh eyes
may reveal hazards that have been missed for long periods of time, so you must ensure that
you look for hazards in all aspects of the activities undertaken. Remember, humans can
easily become complacent when then are unaware of the hazards around them.
Examining job descriptions may be an aid, as will inspecting accident records, but actually
being at the site of the work activity and looking and listening is essential. You cannot
undertake a suitable and sufficient risk assessment from your office chair.
We can use a simple analogy of 'Significant' in this case, the difference between trivial
and non-trivial, i.e. significant = important.
Most types of paper used in offices has the potential to cause cuts. However, if you
concentrate on paper cuts, you may miss the significant hazards of the office guillotine that
has the potential to slice off the end of a finger.
Can you recall the definition of Hazard? Your examination will require you to include this
definition when answering questions of hazards.
1.19 Step 2 - Consider, groups of people or individuals who may be harmed from the
hazard(s).
Step 2 - Consider, groups of people or individuals who may be harmed from the
hazard(s).
We are all different; different in size, age, experience and attitude. Older people tend to
move slower, younger people may be less experienced workers who may lack an
understanding of the workplace hazards.
Persons with disabilities must have particular consideration. How will you warn a person with
a hearing defect of the fire alarm? What about the road worker who only has vision in one
eye (see the law section and table of cases).
Regulation 18 of the MHSAW Regulations deals with expectant and new mothers. Take a
look at this regulation and make a note of the requirements.
1.20 Step 3 - Consider the existing control measures
Step 3 - Consider the existing control measures.
Before you start assessing how likely a hazard is to cause actual harm or loss, you must
consider what controls are in place to reduce the likelihood. In the example, you will note
how this is achieved.
Implementing control measures should be considered from a hierarchy:
Order of Control Measure Priority/Control Hierarchy.
1 ) Total elimination or avoidance of the hazard at source.
This means don't do what you are intending to do. In reality, this is difficult to achieve in
the workplace but it must be considered in certain circumstances.

2 ) Substitution of the hazard at source.

This means to substitute for a less hazardous process or substance for instance.
3 ) Placing a guard of some kind.
Moving parts of machinery, attack-proof glass in a bank etc.
4 ) Remove the employee from the hazard.
In a noisy environment, the employee could be placed in a sound-proof work area.
5 ) Reduce the expose of the employee from the risk.
In noisy environments, reduce the time that the employee is exposed to the high noise
levels.
6 ) Produce a safe method of working/safe system/safe procedure that is known to the
employee and followed.
When erecting a tower system for instance or administering medication.
7 ) Ensure adequate and suitable levels of supervision.
Close supervision is sometimes required for complex high risk activities or where the
employee is inexperienced, young, requires training etc.
8 ) Training.
Employees require safety training commensurate with their work activities.
9 ) Make safety rules, or issue instructions.
Ensure that employees are aware of these rules and follow them.
10 ) Issue Personal Protective Equipment (PPE)
Hard and bump hats, boots, gloves, knee pads, safety goggles and ear defenders etc. This
really should be the last resort and where the risks cannot be adequately controlled by other
means
11 ) Tell the employee to be careful.
This may help, but it should not be relied upon. HSE figures show that 90% of all accidents
are caused through human error.
You will note that some of the control measures will require additional measures, for
instance, training on the job may require close supervision, issuing PPE will require training
in its use etc.
It is essential that you can recall this list in the correct order for your NEBOSH examination.

1.20.1 Step 3 (Continued.) - Assess the Risk (Probability)

Step 3 (Cont.) - Assess the Risk (Probability)
There are so many methods and models of assessing risk that we cannot list or detail them
all here; in any case, you may find that you develop your own. Nevertheless, we have
provided one method below for you to consider.
Many charities, as you will be aware, have retail outlets, shops. In most cases, the hazards
are easily identified and relatively simple to assess and control. In these cases, most
managers of the shops would use a risk rating of Low, Medium or High risk, which is to say
that they would simply say that one hazard is more dangerous than another. They did not
see the need to complicate the issue. In the case of medium risks, they would implement
measures to attempt to reduce the risk to low. High risks meant that the activity would not be
undertaken or in the case that the activity was already in place, would be stopped.
Example of Risk evaluation tool.
Prioritising Risks
Probability

Consequence

Very Likely

Likely

Unlikely

Highly
Unlikely

Fatality

High

High

High

Medium

Major

High

High

Medium

Medium

Minor

High

Medium

Medium

Low

Medium

Medium

Low

Low

Negligible

1.20.2 Example Risk Assessment

Item
Hazard
S68 Drill Press Entanglement.

RA
Med

Cutting.

Med

Abrasion.

Low

Base plate moves. High

Overseas machine High
switches do not
meet AS
Med
specification.
Ejection swarf.
Electrocution.

Control
Action by
Adjustable clamp base Area supervisor.
plate fixing Bolt/Wingnut.
Investigate
Wear eye protection.
footswitch
Provide eye protection in
vicinity of machine,
include usage in SOP
and inform staff about its
use.

Standard
Operating
Procedure (SOP)
produced in
consultation with
operatives.

SOP hair tied back, not

to wear jewellery, secure Operator Ian Wood
loose clothing etc.
to repair base clamp
fixing - wing nuts.
Produce SOP for plant.
Maintenance Investigate provision of electrically test.

Date
By next
staff
meeting8/7/10
2/5/10
Ongoing

shielded footswitch.

Desktop
Computer

Electrocution.

Low

Back/Arm/Neck
Med
injury OOS (RSI).
Med
Eyestrain.
Epsom Printer Electrocution.
Moving A4
paper boxes
from store to
workstation
(admin
assistant)

Low

Manual handling High

injury - eg back,
shoulder or neck.

Electrically test every 6

months.
Test 5 yearly.

Area electrical
tester.

Ongoing

Workstation assessment.
Supervisor and staff
member carry out
Regular breaks/job
assessment and
rotation.
organise work.
Test 5-yearly.
Area electrical
Ongoing
tester.
Use trolley to move
Area supervisor to By 7/2/10
paper, assess load
make sure trolley
before lifting - seek
available and to
assistance if necessary. speak with
caretakers
regarding smaller
Look at getting paper
delivered to workstation packages.
in smaller packages.

1.20.3 Step 3 (Continued.) - Quantitative Risk Assessment

Quantitative Risk Assessment
Staying with the retail outlet, let's consider a theft from the point of sale using a simple
quantitative method:
Thief attempts to take the day's takings from the point of sale machine while the staff
member is at the machine.
Now let's consider the likelihood, the RISK, the Probability of Exposure (PE) to the
considered hazard. We can use the aid below.
Fig 1 below and Fig 2 below are simply an aid to assist you in calculating the Risk Rating,
i.e. the final calculation that allows you to consider if the risk is acceptable, requires action
within a time scale or requires immediate action.
The calculation used is Probability of Exposure (PE) plus the Maximum Possible Loss (MPL)
multiplied by the Frequency of Exposure (FE).
(PE + MPL) X FE =
Fig 1 Risk Assessment matrix aid
Probability/Risk

Very
Unlikely

Unlikely

Even
chance

Probable

Very
likely

Certain

1
2

2
4

3
5

4
6

5
7

6
8

Maximum Possible
Loss
First Aid
Required/short

rest/recovery
Fracture of a major 3
bone or mild
temporary illness
Loss of limb, eye 4
or permanent
illness
Fatality
5

10

10

11

Low = 1 - 4
Medium = 5
High = 6 - 11

Fig 2 Frequency of Exposure (FE) calculation aid

Infrequent
1

Annually
2

Monthly
3

Weekly
4

Daily
5

Constantly
6

Based on past experience, it is unlikely that the theft/attack will take place because it has
not happened in the past in any other shop; however, this is a new shop and in an area of
deprivation, high crime and high unemployment.
We do know, however, that the frequency of such events is rare or infrequent.
1.20.4 Step 3 (Continued.) - Maximum probable loss
Maximum probable loss.
A staff member is injured during the theft; either pushed away, falls and suffers an injury of
three days or more lost time. Many persons, but not all of course, who work in the charity
shops are older.
Why do you think it is important to consider the age of a person is this situation?

Risk Assessment calculation:

Probability Exposure = 2 Unlikely
Maximum Probable Loss = 2 First Aid Required/short rest/recovery
Frequency of exposure = 1
PE = 2 + MPL = 4 X FE 1 = 4

The risk rating has a value of 4 (four)

Q. Calculate the hazard rating if the staff member attempts to fight off the attacker and
is severely injured, suffers long term disability or death.
PE = ?
MPL = ?
FE = ?
Risk Rating =

Your risk rating should be no higher than a value of 10 (ten). This is because the
probability has not changed, nor has the frequency of the event. The only factor that
may change is that fighting back may have more severe consequences for an older
person and as such, the maximum possible loss could be death.
If making an assessment of a missing guard on a power press of 100 tons and we
have an untrained, inexperienced operator who lacks attention, the risk rating could
be
PE = 2 Certain
MPL = 5 Death
FE = 1 Constantly
Risk Rating = 7
Now let's consider a table of actions required and what priority should be given to a
particular hazard rating:
Fig 1.3 Table of timescales.
Risk
Low
Medium
High

Hazard Rating
1 - 21
22 - 35
35 - 77

Action timescale
Within a month
Within a week
Immediately

This really is a guide. In many cases, the hazard will be dealt with immediately. It
really may depend upon resources and the number of hazards that are being dealt
with. In many small businesses, the process of risk assessment can take as little as
one day to complete; hazards are then dealt with as they arise or in a more proactive
management system are dealt with before they arise.
Large businesses with complex risks will require strategies of risk management to
ensure that hazards are dealt with effectively and in a timely fashion. Prioritising
hazards in this case is essential.

1.20.5 Implementing Additional Controls

Implement additional control measures where the risk is not acceptable
Eliminate the hazard.
In this case, the charity shop would consider the controls listed and consider if the shop was
required to be located in the area.
Entrance to the shop to be restricted.
Not practical in this case. However, some jewellery shops do restrict access for obvious
reasons and some newsagents have signs that restrict the number of children allowed in at
any one time.
Install distance guards around point of sale area.
Not practical in this case. You will be aware that banks, post offices and other places of cash
handling adopt this type of protection.
Have a security guard in place in the shop and patrolling.
Not in this case. The cost for the organisation would be unreasonable. However, they are
seen in larger shops and shopping centres etc.
Train staff in dealing with violence and aggressive situations.
This will help, but not self-defence such as the police force has to adopt. The training will
have to be in `how to defuse a potential violent situation` and also must ensure that the shop
staff understand and follow a safe method of dealing with such situations. Instructions would
include such actions as: open the till and stand well out of the way, try not to make direct eye
contact and only when the attacker has left the premises, phone the police. It is common
sense really but things go wrong; staff might on an impulse decide to try and get invovled.
You also have to ensure that you employ the right sort of staff in the first place.
Ensure that the minimum of cash is kept in the till at any one time.
This will reduce the amount of cash lost in a single theft. The fact could also be advertised in
a notice in the window. Many places that handle cash put up a notice stating their cash
machines etc are emptied on a regular basis. It does deter the thief on some occasions.
Question 6
What control measure is at the top of the hierarchy in regards priority?
Multiple Choice (HP)
Answer 1:

Elimination at sourrce

Response 1:
Jump 1:

Next page

Answer 2:

Place a guard

Response 2:
Jump 2:

This page

Answer 3:

Reduce exposure

Response 3:
Jump 3:

This page

Question 7
What control measure should be considered as a last resort?
Multiple Choice (HP)
Answer 1:

Substitution

Response 1:
Jump 1:

This page

Answer 2:

Personal protective equipment

Response 2:
Jump 2:

Next page

Answer 3:

Training

Response 3:
Jump 3:

This page

1.21 Step 4 - Record your Findings

Step 4
Make a written record of the Risk Assessment where five or more employees are
employed at the business.
Of all the steps, this is probably the easiest. This can be produced as a hard copy or
computer-based. Management of such documents may be required, particularly where many
assessments and supporting safe methods of working are undertaken but we will deal with
that later in Managing Data etc.
1.22 Step 5 - Review
Step 5
Review the assessment as required.
It may be necessary to review the assessments at regular intervals. The example above may
be required to be reviewed if an incident takes place or where changes occur in the work
place.
In the machine shop or when evaluating the risks of fire, things may change in the
environment or to the premises; this will mean that the assessment will require further
consideration.
Some work activities, environments and operations require specific risk assessments and
have other sets of Regulations; these include:

The Noise at Work Regulations 1989.

The COSHH Regulations 2002.
The Manual Handling Regulations 1992.
The Display Screen Equipment Regulations 1992.
The Regulatory Reform (Fire Safety) Order 2005 [Remember the link between
RR(FS)O and MHSWR.]

The Personal Protective Equipment at Work Regulations 1992.

Question 8
Please drag and drop the Five Steps to Risk Assessment - the first step into the correct
order
Matching (HP)First answer should jump to the "Correct" Page
Correct response: Evaluate the risks
Wrong response: Look for the hazards
Answer 1:

STEP 1:

Matches with
answer 1:

Identify the hazards

Correct answer
score:

Correct answer
jump:

Next page

Answer 2:

STEP 2:

Matches with
answer 2:

Identify the persons at risk

Wrong answer
score:

Wrong answer
jump:

This page

Answer 3:

STEP 3:

Matches with
answer 3:

Evaluate the risks and decide whether the existing precautions are
adequate or whether more should be done

Answer 4:

STEP 4:

Matches with
answer 4:

Record your findings

Answer 5:

STEP 5:

Matches with
answer 5:

Review your assessment and revise it if necessary

Question 9
When would a training risk assessment need to be reviewed?
Multiple Choice (HP)
Answer 1:

When new people are introduced

Response 1:
Jump 1:

This page

Answer 2:

When legislation changes

Response 2:
Jump 2:

This page

Answer 3:

When new equipment is introduced

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

Question 10
Your risk assessment needs to be recorded in a written format when how many employees
are employed?
Multiple Choice (HP)
Answer 1:

Response 1:
Jump 1:

This page

Answer 2:

Response 2:
Jump 2:

Next page

Answer 3:

10

Response 3:
Jump 3:

This page

1.23 Conclusion
The benefits of conducting risk assessments will be reflected in the reduction of the chances
of an accident, and hence injuries, illness, lost production and legal consequences
The more assessments you undertake, the better a risk assessor you will become. However
you must have logic in your chosen method, and you will rely mostly on your experience of
the workplace, of the people and your knowledge of risk assessment in practice.
We have included some risk assessment forms as example for you to consider.
2.0 Example Past Exam Questions
In order to assist you with your exams and to get a better idea of what types of questions
may arise concerning this lesson, please see below some example past questions based
around the content.
Give meaning of the term 'hazard' and give an example of a workplace hazard
Give meaning of the term 'risk' and give an example of a workplace risk
Outline the key stages of the risk assessment process, identifying the issues that
would need to be considered at each stage.
Outline the criteria which must be met for the assessment to be 'suitable and
sufficient'
Give 2 examples of safety hazards within a warehouse and the associated risk
Give 2 examples of health hazards within a warehouse and the associated risk
Identify sources of information that could identify hazards in the workplace.
Identify 4 factors specific to migrant workers that may increase the risk of a

workplace accident
Outline 4 control measures that an employer might use to minimise the risk to migrant
workers
Outline factors to consider when assessing risks to a long distance transport vehicle
driver
Outline factors to consider when selecting individuals to assist in carrying out risk
assessments in the workplace.
Outline the key stages of a general risk assessment
(These questions are here just for reference so there are no answers provided)