The Management of Health and Safety at Work Regulations 1999, regulation 3

Risk assessment

3.—(1) Every employer shall make a suitable and sufficient assessment of—

(a)the risks to the health and safety of his employees to which they are exposed whilst they are at work; and

(b)the risks to the health and safety of persons not in his employment arising out of or in connection with the conduct by him of his undertaking,

F4for the purpose of identifying the measures he needs to take to comply with the requirements and prohibitions imposed upon him by or under the relevant statutory provisions ....

(2) Every [F5relevant self-employed personF5] shall make a suitable and sufficient assessment of—

(a)the risks to his own health and safety to which he is exposed whilst he is at work; and

(b)the risks to the health and safety of persons not in his employment arising out of or in connection with the conduct by him of his undertaking,

for the purpose of identifying the measures he needs to take to comply with the requirements and prohibitions imposed upon him by or under the relevant statutory provisions.

(3) Any assessment such as is referred to in paragraph (1) or (2) shall be reviewed by the employer or [F6relevant self-employed personF6] who made it if—

(a)there is reason to suspect that it is no longer valid; or

(b)there has been a significant change in the matters to which it relates;

[F7 and where as a result of any such review changes to an assessment are required, the employer or [F6 relevant self-employed personF6] concerned shall make them. F7]

[F8 (3A) In this regulation “relevant self-employed person” means a self-employed person who conducts an undertaking of a prescribed description for the purposes of section 3(2) of the Health and Safety at Work etc. Act 1974. F8]

(4) An employer shall not employ a young person unless he has, in relation to risks to the health and safety of young persons, made or reviewed an assessment in accordance with paragraphs (1) and (5).

(5) In making or reviewing the assessment, an employer who employs or is to employ a young person shall take particular account of—

(a)the inexperience, lack of awareness of risks and immaturity of young persons;

(b)the fitting-out and layout of the workplace and the workstation;

(c)the nature, degree and duration of exposure to physical, biological and chemical agents;

(d)the form, range, and use of work equipment and the way in which it is handled;

(e)the organisation of processes and activities;

(f)the extent of the health and safety training provided or to be provided to young persons; and

[F9 (g)risks from agents, processes and work listed in the Annex to Council Directive 94/33/EC on the protection of young people at work, as amended by Directive 2014/27/EU.F9]

(6) Where the employer employs five or more employees, he shall record—

(a)the significant findings of the assessment; and

(b)any group of his employees identified by it as being especially at risk.

Definitions used in regulation 3 3

the assessment

“the assessment" means, in the case of an employer or self-employed person, the assessment made or changed by him in accordance with regulation 3;

Defined in reg.1 · see it in the full Regulations
at work

(2) For the purposes of Part I of the 1974 Act, the meaning of “at work" shall be extended so that an employee or a self-employed person shall be treated as being at work throughout the time that he is present at the premises to and in relation to which these Regulations apply by virtue of paragraph (1); and, in that connection, these Regulations shall have effect subject to the extension effected by this paragraph.

Defined in reg.23 · see it in the full Regulations
young person

“young person" means any person who has not attained the age of eighteen.

Defined in reg.1 · see it in the full Regulations

Cases considering regulation 3 40

Kennedy v Cordia (Services) LLP

[2016] UKSC 6 · 10 February 2016

The employer must suitably and sufficiently assess risks encountered by employees at work to identify required protective measures. Failure to consider individual protection before relying on vague footwear instructions breached the provision. (see paras [85]; [90]-[92])

Health And Safety Executive, R (On the Application Of) v ATE Truck & Trailer Sales Ltd (Rev 1)

[2018] EWCA Crim 752 · 13 April 2018

The court sentenced on the admitted failure to make a suitable and sufficient risk assessment for work carried out by the company’s employees. It held that the missing written assessment was a substantive failure, but that the sentencing assessment could not be based on the contractor’s separate method of work (see paras [58]–[59]).

Nicholls v Ladbrokes Betting & Gaming Ltd

[2013] EWCA Civ 1963 · 11 July 2013Interprets

Regulation 3 was identified as the statutory source of the risk-assessment duty. The majority treated the issue as non-dispositive: without evidence of what a suitable assessment would have revealed, its absence did not establish liability. (see paras [48]; [88]-[90]) The provision requires a suitable and sufficient assessment to identify the measures needed to comply with statutory duties. The majority held that absence or non-production of an assessment did not itself establish liability; the court had to determine what the assessment would have revealed about the actual risk. (see paras [85]-[90])

20 more judgments, and what each says about regulation 3, are in the case-law panel in the full Regulations.

Amendments and notes

6 notes from legislation.gov.uk

Amendments

  1. F4Words in reg. 3(1) revoked (E.W.) (1.10.2006) by The Regulatory Reform (Fire Safety) Order 2005 (S.I. 2005/1541), art. 1(3), Sch. 5 (with arts. 49, 51) (as amended by The Regulatory Reform (Fire Safety) Subordinate Provisions Order 2006 (S.I. 2006/484), arts. 1(1), 2); and (S.) (1.10.2006) by The Fire (Scotland) Act 2005 (Consequential Modifications and Savings) (No. 2) Order 2006 (S.S.I. 2006/457), art. 1, sch. 2
  2. F5Words in reg. 3(2) substituted (1.10.2015) by The Deregulation Act 2015 (Health and Safety at Work) (General Duties of Self-Employed Persons) (Consequential Amendments) Order 2015 (S.I. 2015/1637), art. 1, Sch. para. 6(a)
  3. F6Words in reg. 3(3) substituted (1.10.2015) by The Deregulation Act 2015 (Health and Safety at Work) (General Duties of Self-Employed Persons) (Consequential Amendments) Order 2015 (S.I. 2015/1637), art. 1, Sch. para. 6(b)
  4. F7Words in reg. 3(3) repositioned (27.10.2003) by The Management of Health and Safety at Work and Fire Precautions (Workplace) (Amendment) Regulations 2003 (S.I. 2003/2457), regs. 1, 4
  5. F8Reg. 3(3A) inserted (1.10.2015) by The Deregulation Act 2015 (Health and Safety at Work) (General Duties of Self-Employed Persons) (Consequential Amendments) Order 2015 (S.I. 2015/1637), art. 1, Sch. para. 6(c)
  6. F9Reg. 3(5)(g) substituted (1.6.2015) by The Classification, Labelling and Packaging of Chemicals (Amendments to Secondary Legislation) Regulations 2015 (S.I. 2015/21), regs. 1(3), 8(3)