What does Regulation 3 of the Management Regulations require for risk assessments?

Regulation 3 requires every employer to make a suitable and sufficient assessment of the risks to the health and safety of employees to which they are exposed while at work, and the risks to the health and safety of persons not in their employment arising out of or in connection with the conduct of the undertaking. Where the employer employs five or more employees, the significant findings of the assessment must be recorded. The assessment must identify any group of employees who are especially at risk. It must also be reviewed if there is reason to suspect it is no longer valid or if there has been a significant change.

What is the difference between a risk assessment and a method statement?

A risk assessment identifies hazards, evaluates risks and determines control measures. It answers the questions: what could go wrong, who could be harmed, how likely is it, and what are we doing about it. A method statement (or safe system of work) describes the step-by-step procedure for carrying out a task safely, incorporating the control measures identified in the risk assessment. In construction, the two documents are often combined into a RAMS (Risk Assessment and Method Statement). The risk assessment comes first to identify the controls needed, then the method statement puts those controls into a practical sequence of work.

Who should carry out a workplace risk assessment?

Regulation 7 of the Management Regulations requires employers to appoint one or more competent persons to assist in complying with health and safety duties, including risk assessment. A competent person is someone with sufficient training, experience and knowledge to identify the hazards and evaluate the risks for the activities being assessed. For simple, low-risk workplaces, the employer or a manager with basic health and safety training may be competent. For higher-risk activities or complex environments, a qualified health and safety professional or specialist consultant may be needed. The key is that the assessor understands the work being assessed and can make informed judgements about the risks.

Do risk assessments need to be recorded in writing?

Employers with five or more employees must record the significant findings of their risk assessments in writing under Regulation 3(6). Employers with fewer than five employees are not legally required to record findings but are strongly advised to do so as evidence that a proper assessment has been carried out. The record should include the hazards identified, the people who might be affected, the existing control measures, the risk ratings, any additional controls required and the action plan. A written record also helps when training employees, when reviewing the assessment and as evidence in the event of an enforcement action or civil claim.

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Free HSE risk assessment template (PDF-ready). Covers Management of H&S at Work Reg 1999 Reg 3 hazard identification, risk rating and control measures.

Jarrod Milford

Commercial Director

Updated 3 May 2026

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What is a hse risk assessment template?

An HSE risk assessment template is a structured document used to identify workplace hazards, evaluate the risks they present to employees and others, and record the control measures needed to reduce those risks to an acceptable level. It is designed to satisfy the requirements of Regulation 3 of the Management of Health and Safety at Work Regulations 1999, which places a legal duty on every employer to make a suitable and sufficient assessment of the risks to the health and safety of employees and non-employees arising from the conduct of the undertaking. The template covers hazard identification, persons at risk (including employees, contractors, visitors and members of the public), existing control measures, likelihood and severity ratings, residual risk scores, additional control measures required, responsible persons and review dates.

Risk assessment is the foundation of the entire UK health and safety management system. The Health and Safety Executive (HSE) considers a suitable and sufficient risk assessment to be one that identifies the significant hazards, determines who might be harmed and how, evaluates the risks arising from the hazards taking into account existing precautions, records the significant findings if the employer has five or more employees, and identifies any group of employees who are especially at risk (young workers, pregnant workers, disabled workers, lone workers). This template provides a clear, repeatable framework that employers of any size can use to carry out, record and review their risk assessments, ensuring that the process is thorough, the findings are actionable, and the documentation satisfies HSE enforcement expectations.

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Benefits of using this hse risk assessment template

Legal compliance: a completed risk assessment satisfies the Regulation 3 duty and provides the documented evidence that HSE inspectors will request during workplace visits or incident investigations.
Hazard visibility: the structured format ensures that hazards are systematically identified rather than relying on memory or experience, reducing the chance that significant risks are overlooked.
Proportionate controls: the risk rating matrix (likelihood x severity) helps employers focus resources on the highest risks first, ensuring that control measures are proportionate to the level of risk.
Employee involvement: sharing the risk assessment with employees satisfies the employer duty under Regulation 10 to provide comprehensible information on the risks and the control measures in place.
Defence in enforcement: a well-documented risk assessment demonstrates that the employer has applied their mind to the risks and taken reasonably practicable steps to control them, which is a key factor in HSE enforcement decisions.
Continuous improvement: regular review and update of risk assessments creates a cycle of improvement that adapts to new hazards, changes in work processes and lessons learned from incidents and near misses.

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What to include in a hse risk assessment template

This hse risk assessment template covers 8 key areas:

Assessment details: workplace or activity being assessed, assessment date, assessor name and competence, review date, assessment reference number.
Hazard identification: description of each significant hazard identified (e.g., manual handling of heavy components, exposure to welding fume, working at height on scaffolding, contact with moving machinery).
Persons at risk: who could be harmed by each hazard, including employees, specific groups (young workers, pregnant workers, disabled workers, lone workers), contractors, visitors, members of the public.
Existing control measures: what is already in place to control each risk (e.g., engineering controls, safe systems of work, PPE, training, supervision, health surveillance).
Risk rating: likelihood rating (e.g., 1-5 scale from very unlikely to very likely), severity rating (e.g., 1-5 scale from minor injury to fatality), risk score (likelihood x severity), risk classification (low, medium, high, very high).
Additional controls required: what further measures are needed to reduce the risk to as low as reasonably practicable (ALARP), following the hierarchy of controls (eliminate, substitute, engineering, administrative, PPE).
Action plan: responsible person for implementing each additional control, target completion date, actual completion date, verification that the control is effective.
Review triggers: circumstances that would require the assessment to be reviewed before the scheduled review date (e.g., change in process, new equipment, incident, near miss, new legislation).

How to use this hse risk assessment template

Define the scope of the assessment by identifying the work activity, location, process or task to be assessed, and gather relevant information.: Determine what is being assessed: is it a specific task (e.g., changing a grinding wheel), a work area (e.g., the warehouse), a process (e.g., paint spraying) or an event (e.g., a site open day with public access)? Gather relevant information including incident and near miss records, manufacturer instructions, safety data sheets for chemicals, industry guidance, previous risk assessments and feedback from employees who perform the work. Walk the area or observe the task to understand the actual conditions rather than the assumed conditions.
Identify all significant hazards by considering what could cause harm, using techniques such as workplace observation, task analysis and consultation with employees.: Walk through the activity step by step and identify each hazard. Consider physical hazards (moving parts, falling objects, slips and trips, electricity, noise, vibration, radiation), chemical hazards (dusts, fumes, vapours, liquids), biological hazards (bacteria, viruses), ergonomic hazards (manual handling, repetitive motion, awkward posture) and psychosocial hazards (lone working, violence, stress). Consult employees who perform the work because they often have the best knowledge of the real hazards. Use prompt lists such as HSE INDG163 (Five steps to risk assessment) to ensure comprehensive coverage.
For each hazard, determine who might be harmed and how, considering all groups of people who could be affected including those who are especially vulnerable.: Identify not just the employees directly involved in the activity, but also others who may be affected: employees in adjacent areas, cleaning and maintenance staff, contractors, delivery drivers, visitors, members of the public and trespassers. Pay particular attention to groups who may be especially at risk: young workers (under 18) who may lack experience, pregnant or breastfeeding workers, disabled workers, lone workers and workers whose first language is not English. Record how each person or group could be harmed by each hazard.
Evaluate the risk for each hazard by considering existing controls, rating the likelihood and severity, and calculating the residual risk score.: For each hazard, record what control measures are already in place (engineering controls, safe systems of work, PPE, training, supervision). Then rate the likelihood that harm will occur despite these existing controls (considering factors such as how often the hazard is present, how many people are exposed and for how long). Rate the potential severity of the harm. Multiply likelihood by severity to produce a risk score. Classify the residual risk as low, medium, high or very high using the risk matrix. Risks classified as high or very high require immediate additional controls.
Identify additional control measures needed, assign actions to responsible persons with target dates, and record the completed assessment.: For risks that are not adequately controlled, identify additional measures following the hierarchy of controls: elimination, substitution, engineering controls, administrative controls (including safe systems of work, permits, training and supervision), and PPE as a last resort. Assign each action to a named responsible person with a realistic target completion date. Record the completed assessment, share it with affected employees, and set a review date. The assessment should be reviewed at least annually, and sooner if there is a significant change, an incident, or new information that affects the validity of the assessment.

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How often should you complete this assessment?

The Management of Health and Safety at Work Regulations 1999 do not prescribe a fixed review interval for risk assessments. Regulation 3 requires that the assessment must be reviewed if there is reason to suspect it is no longer valid, or if there has been a significant change in the matters to which it relates. In practice, this means risk assessments should be reviewed at least annually as a matter of good practice, and more frequently for higher-risk activities.

Specific triggers for an earlier review include any workplace incident, near miss or case of ill health related to the assessed activity, the introduction of new equipment, substances, processes or working methods, changes to the workplace layout or environment, changes in legislation or industry guidance, feedback from employees or safety representatives, and the findings of workplace inspections or audits. Some organisations adopt a rolling review programme where a proportion of risk assessments are reviewed each month, ensuring that the entire risk assessment library is current within a twelve-month cycle.

Frequently asked questions

What does Regulation 3 of the Management Regulations require for risk assessments?: Regulation 3 requires every employer to make a suitable and sufficient assessment of the risks to the health and safety of employees to which they are exposed while at work, and the risks to the health and safety of persons not in their employment arising out of or in connection with the conduct of the undertaking. Where the employer employs five or more employees, the significant findings of the assessment must be recorded. The assessment must identify any group of employees who are especially at risk. It must also be reviewed if there is reason to suspect it is no longer valid or if there has been a significant change.
How often should workplace risk assessments be reviewed?: There is no prescribed review frequency, but good practice is to review all risk assessments at least annually. Earlier review is required when there is a significant change to the work activity, equipment, substances, workplace layout or personnel; after any incident, near miss or case of ill health related to the assessed activity; when new legislation or guidance is published; or when employees or safety representatives raise concerns. Many organisations operate a rolling review programme to spread the workload across the year and ensure all assessments remain current.
What is the difference between a risk assessment and a method statement?: A risk assessment identifies hazards, evaluates risks and determines control measures. It answers the questions: what could go wrong, who could be harmed, how likely is it, and what are we doing about it. A method statement (or safe system of work) describes the step-by-step procedure for carrying out a task safely, incorporating the control measures identified in the risk assessment. In construction, the two documents are often combined into a RAMS (Risk Assessment and Method Statement). The risk assessment comes first to identify the controls needed, then the method statement puts those controls into a practical sequence of work.
Who should carry out a workplace risk assessment?: Regulation 7 of the Management Regulations requires employers to appoint one or more competent persons to assist in complying with health and safety duties, including risk assessment. A competent person is someone with sufficient training, experience and knowledge to identify the hazards and evaluate the risks for the activities being assessed. For simple, low-risk workplaces, the employer or a manager with basic health and safety training may be competent. For higher-risk activities or complex environments, a qualified health and safety professional or specialist consultant may be needed. The key is that the assessor understands the work being assessed and can make informed judgements about the risks.
Do risk assessments need to be recorded in writing?: Employers with five or more employees must record the significant findings of their risk assessments in writing under Regulation 3(6). Employers with fewer than five employees are not legally required to record findings but are strongly advised to do so as evidence that a proper assessment has been carried out. The record should include the hazards identified, the people who might be affected, the existing control measures, the risk ratings, any additional controls required and the action plan. A written record also helps when training employees, when reviewing the assessment and as evidence in the event of an enforcement action or civil claim.

Applicable regulatory standards

This template aligns with the following regulations and standards:

Management of Health and Safety at Work Regulations 1999, Regulation 3
Health and Safety at Work etc. Act 1974, Section 2
HSE INDG163 (Five steps to risk assessment)
Management of Health and Safety at Work Regulations 1999, Regulation 10 (Information for employees)

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