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Risk Assessment Record Sheet CE010


Covering: - All major repairs and functions detailed in the relevant service information assembly and disassembly sections for
engine, transmission, powertrain, hydraulics, electrics, electronics and machine systems. All repairs including the removal and
installation, and assembly and disassembly of all major components. All functions detailed in the relevant service information
and operation & maintenance guide applicable to the machine & service task being carried out. All minor repairs including
removing/installing drive belts, water pump, alternator, starter motor, remove/install engine components, fuel system,
transmission, hydraulic and vehicle system components for replacement or maintenance, remove/install/repair electrical
components & wiring, remove/install batteries, repair hydraulic/oil leaks, remove/install hydraulic lines, remove/install/repair
body panels, remove/install belly guards. Troubleshoot/test all machine systems for fault diagnosis. Prepare machine for sale.
Carryout welding, cutting and boring repairs where required.

Location All locations including Customer site and Finning Persons at risk and period of exposure

Name of Customer
DEREK BATT Finning employees Members of the public
assessor employees

Date of Number of hours of Depends on task If present while work

21-02-11 None envisaged
assessment exposure been carried out being carried out

Hazard Severity Existing controls Likelihood Risk Actions Date

proposed completed

Contact with machinery

1. Crushing when moving Major/Fatal Second person should always be Possible Medium
machine to work area or present to guide driver. Engineer
when unloading stands clear, and in line of sight of
machine from transport driver to guide machine to the correct
position. Any personnel unloading
mobile plant from transport must hold
an NPORS card.

2. Trapping/crushing when Major/Fatal Engineer must not enter crush areas Possible Medium
moving or turning with engine running. If second person
Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

machine, operating assisting with testing both parties

implements, operating should be visible to each other. If not
machine, taking live two way communication method
samples or during should be agreed prior to
running tests. commencement.

3. Crush/shearing between +3 days Engineers trained and competent. Possible Medium

tooling and components. LTI Correct PPE worn for the task.

4. Cuts or puncture wound Minor Work piece to be checked prior to Possible Low
risk from contact with removal, assembly, disassembly or
sharp edges of installation. Cut resistant gloves
damaged components available when handling potentially
or hoses, wiring, sharp components/parts.
packaging or site debris.

5. Contact with rotating +3days Ensure no loose clothing, jewellery or Possible Medium
pulleys, fan, belts, shafts LTI rags are in vicinity of moving
and other moving components. Keep hands and feet well
components when clear. Remove or tape up jewellery to
taking live samples or prevent contact.
testing operation.

6. Burns from contact with 1-3day Try to confirm with operator time of Possible Low
hot machine component LTI inspection/service prior to arrival. Try
surfaces eg engine & to ensure machines are left to cool
exhaust. down sufficiently before starting work.
Correct PPE, eg Stout leather gloves
worn where hot surfaces cannot be

7. Crushed when installing Major/Fatal Keep clear of components during Possible Medium
/removing major installation/removal. Keep hands well
components, ie engine clear of contact areas. Ensure any lift
transmission, transfer is planned correctly and equipment is
box, axles, suspension suitable and tested before
Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

or frames, hydraulic commencing work. Crane must only be

cylinders, body, wheel operated by trained and competent
stations, wheels and personnel.
tyres, or cab.

8. Crushed by body, if Major/Fatal Ensure body is lowered or supported, Possible Medium

working underneath before starting work under or around it.
Essential before working on hydraulics
or cylinders.

9. Injuries to third parties Major/Fatal Ensure that work area is secure and Possible Low
not directly involved in that all unauthorised persons are kept
the repair of the clear.

10. Crushed by machine if Major/Fatal If machine is to be jacked up for Possible Medium

poorly supported or off wheels or axles to be removed, ensure
the ground during repair, suitable inspected and tested jacking
removal or replacement equipment is used. Once raised, load
of major components. must be securely supported on
appropriate, tested and inspected
stands or hard wooden blocks.
Caterpillar blocking and cribbing
guidance should be followed. Ensure
suspension is lowered, pressure is
released and chassis is blocked before
any work on suspension is attempted.

11. Crushed by unexpected Major/Fatal Ensure machine parking brake is Possible Medium
machine movement or engaged before work commences.
entangled in machinery Ensure machine wheels are blocked
as a result of accidental before drive line is disconnected.
start up. Isolate machine electrical system
before disassembly or intrusion

Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

12. Vibration from Long term/ All vibrating hand tooling should have Possible Low
machinery or power Major been assessed and marked
tools. appropriately with a sticker indicating
the level of exposure risk.
Recommended exposure time
limitations are available from H&S
Management procedure 237, Hand
Arm Vibration. If exposure for extended
period is unavoidable, appropriate PPE
including anti vibration gloves must be
Struck by

1. Machine, or wheels if Major/Fatal Engineer to stand clear and in view of Possible Medium
machine turned or driver when moving machine. Good
moved to gain access, verbal & hand signals to be given to
to take live samples, or driver.
whilst testing.

2. High-pressure water jet 1-3day Correct PPE worn during washing Possible Low
if washing machine LTI process.

3. High pressure +3 days Release all stored pressure before Possible Medium
hydraulic/transmission LTI commencing work and all lines must
oil, fuel or coolant when be capped or plugged if removed.
removing hoses or Keep hands away from high pressure
filters, or when running leaks. Wear appropriate PPE including
machine or testing for eye protection.

4. Hydraulic lines if Minor Ensure hydraulic lines are correctly Possible Low
removed. tied back and secured.

5. Compressed air or Minor Equipment must be suitably Possible Low

gasses. Compressed air maintained and pre-use checks must
from air tooling or split be carried out. Air lines must have
Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

hoses. Nitrogen from crimped fittings.

accumulators or system Nitrogen charged systems must have
charging tooling pressure released before disassembly.
Charging tooling must be maintained
and pre-use checks must be made.
Correct tooling and procedures must
be used for system recharging. Correct
PPE must be worn.

6. High pressure hydraulic +3day Hydraulic press tooling should be Possible Low
fluid from failed LTI regularly inspected and tested. Tooling
pressing/pulling tooling should only be operated by authorized,
experienced personnel. Maximum
working pressures should be indicated
on tooling, gauges and relief valves
must be working, tested and set.

7. Broken tooling or parts Major/Fatal Appropriate tooling should be used for Possible Medium
being ejected under the task. It should be inspected tested
pressure during pressing and in good working. Static presses
/pulling/ jacking /torque should be guarded. Appropriate PPE
multiplier /hydraulic must be worn for the task including
cylinder bench impact grade eye protection. Pulling
operations. gear should be supported where
necessary. Work area should be
secured, all personnel should stand
clear whilst operation is taking place.
Multipliers must be supported and
suitably restrained. Hydraulic cylinder
bench and multiplier must be
periodically checked and inspected
and should be operated by trained and
competent personnel only. Ratchet
mechanisms of manual type multipliers
must be periodically checked and
lubricated. Use appropriate PPE for
Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

type of bench utilized (Head protection

could be required)

8. Belly Guards or Panels +3day Ensure guards and panels are Possible Medium
when lowering/raising or LTI adequately supported during removal.
opening to gain access. Ensure correct tooling and procedures
are used for removal of belly guards.

9. Debris & dirt stuck to +3day Ensure the correct type of impact Possible Low
machine or loose in LTI grade eye protection is worn for work
guards or on structures being carried out. Clean down or wash
could be blown or drop off machine wherever possible before
into eyes, irritate skin, or work commences. Ensure all
cause impact injury personnel in work area are clear from
during repair process, over-blow area if air is being used.
when blowing out Correct PPE must be worn.
radiator cores, or
cleaning down using
compressed air.

10. Tooling left above where 1-3day Crane operators must be trained and Possible Low
Engineer is working or LTI authorized. Ensure Loads are not lifted
crane used to remove over personnel. Ensure suitable head
components. protection is worn if risk is identified
from falling tooling. Ensure that any
hand tooling in work area but not in
use is left in a secure position.

11. Hinged doors/panels or 1-3day Ensure all doors and panels are Possible Low
covers left loose or LTI correctly latched/tied back or
unsecured. supported.

12. Contact generated as a Major/Fatal Ensure machine being worked on is in Possible Low
result of other Site a safe area before work commences.
operations or traffic. Ensure area around machine is secure
and free from outside influence. Be
Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

aware of other site operations in the

vicinity. Be aware of site rules and
regulations. Re-assess work if site
conditions or circumstances change
particularly if outside of your control.

13. Components during Major/Fatal Ensure weight of component being Possible Medium
removal or installation. handled is known before removal or
installation. Ensure any lift required is
planned, suitable tested tooling and
equipment is used, and that necessary
protection measures are taken. Stand
clear of supported loads. Correctly
assess if manually handled loads are
within your capability. Ensure that all
connecting components or
attachments disconnected from
removed sub assemblies which are still
partially attached to the machine, are
fully restrained and cannot fall or
become detached.

14. Dirt, rock or material +3day Where possible, ensure body is empty Possible Low
falling from tilted body LTI before commencing repair. If empty,
during period of repair, check that there is no risk from any
after it has dried or if it packed or retained material left within
becomes dislodged. the body before work commences.
Cordon off area behind machine if this
cannot be guaranteed or situation
cannot be rectified.

15. Contact with cutting or +3day Appropriate PPE must be worn (ie Possible Medium
drilling swarf, filings or LTI Safety goggles or visor where required
material generated by as a minimum eye protection, cut
the use of abrasives or resistant gloves where there are cut or
wire wheels for cleaning puncture would risks, burn resistant
Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

up, grinding and disc overalls or leather apron where contact

cutting operations with cutting or grinding sparks cant be
avoided, anti vibration gloves where
necessary) Grinding and cutting discs
to be changed or dressed by trained
and authorized personnel only. Take
care to ensure there is no risk to others
either by contact with or by heat
generated as a result of flying grinding
sparks. Use screens where possible or
cordon off working area. Dampen
down area where required to minimize
any fire risk. Ensure tooling used is
suitable, maintained and inspected
prior to use. Exposure to vibration from
prolonged use of power tools must be
considered, and tools must be must be
labeled as described above. All tooling
guards must be in place.

Strike against
1. Various projections on Minor Protect any sharp projections. Secure Possible Low
machine where they work area. Appropriate PPE must be
protrude into work area. worn

2. Components and Minor As above. Possible Low

protruding assemblies
when working under or
around machine.

3. Component guards Minor Ensure all guards and covers are Possible Low
when open to gain replaced/ closed when access is no
access to longer required. As Above.

Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

4. Machine/components Minor Wear gloves when using hand tooling Possible Low
when using hand tools in in restricted space. Check tooling is in
confined spaces or if good condition and suitable for the
tooling slips. task.

5. Sharp objects or tooling, +3day Ensure area to be worked on is clear Possible Low
concealed or otherwise LTI from hidden dangers and use crawling
that could result in boards where possible under
puncture type injuries. machines. Use appropriate PPE

Slips, Trips & falls

1. Tripping over parts or 1-3 days Good housekeeping is paramount. Possible Low
tooling left on ground LTI Parts & tooling should be stored neatly
around machine. and away from working area.

2. Slip on oil, coolant or Minor Drip trays used to collect spilt fluids. Possible Low
other fluid spills on floor, Spills cleaned up immediately.
or on platforms and Absorbent available. Check footwear is
ladders. appropriate for conditions

3. Tripping over Minor Keep work area clean & tidy at all Possible Low
compressed air lines or times As above.
trailing leads connected
to tooling

4. Slip or trip due to Minor As above plus area around machine Possible Low
underfoot conditions. (ie checked prior to work commencing.
wet, mud, ice, rubble, Ensure steps are in good condition.
uneven floors) Check footwear is appropriate for

5. Falling from machine, +3day Ensure 3-point contact when climbing Possible Medium
when mounting and LTI onto machine. Check security and
dismounting cleanliness of machine ladders and
Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

steps prior to commencing work. Utilize

appropriate access equipment in
accordance with Finning operational
guidelines and SSOW for working at
height. Check footwear is suitable and

6. Fall into open +3day Ensure all access covers/panels are Possible Low
compartments due to LTI closed once access is no longer
access covers/panels required.
been left open during
inspections, service &

7. Falling from machine, Major/Fatal Ensure handrails and toe boards are Possible Medium
access platform or fitted to access platform or scaffolding
ladders when working at and secure. Use pretask to assess if
height. access platform or safety harness is
required for work at height in
accordance with Finning operational
guidelines and SSOW for working at
height. 3-points of contact must be
maintained on access ladders. MWEP
or Scissor Lifts must be operated by
trained and authorized personnel only.
Use a haversack, tooltray or similar to
carry equipment so that 3-point contact
is maintained. Ensure ladders and
steps are inspected regularly and
records are kept. Ladders must be
secured. Check footwear is suitable
and clean.

8. Falling into excavations, Major/Fatal Ensure machine is positioned well Possible Low
deep water, settlement away from site hazards before work
pits, other site hazards commences. If unavoidable, suitable
Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

protection measures must be in place,

ie barriers, railings, restraints. PPE
requirements must be assessed prior
to work commencing eg. need for
Lifejackets, harnesses (in accordance
with Finning operational guidelines and
SSOW for working at height) etc.
Ensure any machine operational tests
are carried out in a secure area.

9. Slipping, tripping or 1-3 days Ensure service vehicle steps, entry and Possible Medium
falling when getting in LTI access routes are kept clean and free
and out, or on and off from obstructions. Ensure footwear is
service vehicle. clean before using steps. Use three
points of contact.

Manual handling
1. Lifting fluid drums, filters +3 days Weights involved must be minimized. Possible Medium
or other parts & tooling LTI 3-point contact maintained. Review
onto machine/platform lifting operation and ensure manual-
before climbing access handling assessment is carried out
ladder. before commencing work. MH limits
must not be exceeded. Liaise with site
Management if assistance is required.
Suitable lifting aids must be used when
MH limits may be exceeded.

2. Stretching/straining 1-3day Use the correct tooling. Obtain Possible Low

during process of LTI assistance where required.
removal or installation of
components, possibly in
confined spaces

Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

3. Stretching/straining 1-3day Be careful to transfer body weight Possible Low

when climbing on or off LTI evenly when climbing onto machine
machine. access ladders or steps. Do not swing,
slide or jump from machine, always
use access ladders or steps, facing
into the machine, maintaining 3 points
of contact.

Contact with electricity

1. Shock or burn risk from Major/Fatal All tooling where possible should be Possible Medium
generator and use of 110V. Follow Finning & Caterpillar safe
electric power tools. work procedures. All equipment
Potential need for usage should be suitably maintained, PAT
of 240V electrical tested & pre-use checks carried out.
equipment. Use of hand All tooling fit for purpose and Residual
lamps. Potential damage Current Circuit Devices (RCCDs) fitted
to trailing leads. Use of if 240v must be used. Visual
welding equipment. inspection of tooling, cables and
testing of RCCDs before use. Check
positioning, and protect trailing leads.
Welding sets and leads should be
checked and in good working order
prior to use. Only competent welders
should use the equipment.

2. Contact with overhead Major/Fatal Ensure work location is checked for Possible Low
or underground power overhead or underground power lines
lines if in vicinity of work before work commences. Do not
area. operate machine on site without
permission from site contact.

3. Shock or burn risk from Major/Fatal Ensure machine electrical system is Possible Medium
contact with machine isolated or batteries disconnected. If
electrical system, or high running, or system tests are required,
voltage fuel system use insulated tooling follow safe test
Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

components. procedures and adopt correct PPE.

4. Shock or burn risk from 1-3day Use designated jump start leads and Possible Medium
use of jump leads or LTI receptacles where fitted. If jump cables
booster units used to are to be used, check condition of
start machines. clamps and cable insulation and
ensure correct connection procedures
are followed.

Contact with chemicals &

other hazardous agents,
Environmental hazards.
1. Potential for contact with Minor Engineers should be aware of Possible Low
hot/cold, waste/new oils, possibility of coming into contact with
fuel, greases, oils, greases, lubricants, coolants,
penetrating oils, battery penetrating oils acids and cleaning
acid, cleaning solvents, solvents or paints during service work
coolants and paint, and in process. COSHH sheets for all of
risk from inhalation of the above should be available. Ensure
fumes or vapors adequate ventilation.
Safety glasses, Nitrile gloves and
overalls worn to avoid skin contact.
Masks or respirators available where
required. Health surveillance program
will check skin condition.

2. Exposure to exhaust Minor Ensure exhaust extraction equipment Possible Low

fumes when carrying out is used or that there is adequate
running checks. ventilation when running machine.

3. Exposure to cold/damp Minor Cold/wet weather clothing available. Possible Low


4. Contact/inhalation of Minor Facemask/full face visor worn for work Possible Low
mist from high pressure being carried out. Stand clear when
Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

washing of machine opening hot wash cabinets if used for

cleaning components

5. Inhalation of dust from Minor Dust mask available when required. Possible Low
debris stuck to machine Ensure machine is washed off before
and surrounding site work commences if dust is considered
area. hazardous.

6. Noise from running Long term/ Ensure hearing protection is worn Probable High
machinery or tooling. Major where applicable: eg. when machine is
Site noise. running, during use of power tools,
where noise activated signs indicate
risk, where site generated noise

7. Contact with hot oils & +3day Try to allow machine to cool down Possible Medium
surfaces when taking LTI before commencing work. Where
samples during running contact with hot oil cannot be avoided,
or leak testing or when allow to cool sufficiently before
draining fluids. draining. Wear appropriate PPE for

8. Contact with site Long term/ Machine should be washed wherever Possible Low
generated material, ie Major possible prior to work commencing.
contaminated waste or Wear PPE appropriate for site
soil, landfill waste, conditions or risk imposed by machine
leachate, Asbestos, working environment. Always consider
metals, chemicals, dust. personal hygene risk, (ie change
clothing/overalls if contaminated, wash
hands regularly) Ensure compliance
with site rules on working

9. Physical contact or Major/Fatal Ensure Air Conditioning system Possible Medium

inhalation of dangerous installation/repair/removal/service is
gasses, (R134A, other only carried out by trained service
Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

refrigerants, personnel. Use only dedicated tooling.

welding/cutting fumes, Ensure suitable PPE is worn to prevent
etc) accidental skin or eye contact with
refrigerants or other compressed
gasses. Ensure adequate ventilation
before commencing work if at risk from
inhalation of noxious substances. Use
extraction (if available) and correct
PPE ( mask, respirator airstream
helmet ) if working in enclosed areas.
Special additional measures and risk
assessment will be required if working
in confined spaces.

Transport & vehicles

1. Potential contact/impact Major/Fatal Second person is required when Possible Medium

with other vehicles or reversing machine. Position service
pedestrians using or van to give protection from other
passing work area, vehicles on site. Flashing beacon
whilst reversing or attached to service vehicle. Site speed
maneuvering machine or limits in place.
service vehicles. Impact Drivers trained and authorized. Finning
from other vehicle on Engineers do not drive machine unless
site or passing traffic (ie trained and authorized to do so by site.
motorway/roadworks Machine must be parked in a safe
site, quarry loading area, location before work is started. Cones
site haul road, civic or barriers may be required as further
amenities site) protection. Ensure compliance with site

2. Potential for access Major/Fatal Repairs carried out on hard standing. Possible Low
platform to overturn due Users of access equipment trained and
to collision or uneven authorized.
surface (if used).
Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

3. Contact or overturn of Major/Fatal All mobile cranes to be compliant and Possible Medium
mobile crane. tested. All operators to be trained and
authorized. All equipment to be tested
and in date. Lift plans must be in place
prior to work commencing.

4. Potential for Road Major/Fatal Drivers of company vehicles must have Possible Medium
Traffic Incident whilst on licenses checked annually and be
route to work or job site. authorized to drive. Company driving
policy rules and regulations must be
followed at all times. Vehicles must be
maintained and serviced regularly in
line with manufacturers
recommendations. Drivers should be
aware of, and adjust their driving style
appropriately, to deal with changing
driving conditions.
Site traffic rules and speed limits must
be adhered to, hazard warning lights
and flashing beacons must be used
where required. Seat belts must be
worn by both driver and passenger if

5. Hazard from the Major/Fatal Gasses and flammable liquids should Possible Low
carriage of compressed only be transported within the volumes
gasses or flammable and quantities stipulated in H&S
liquids to and from site Management System procedure 245,
in service vehicles. Carriage of Dangerous Goods by
Road. Goods must be carried in the
rear of the vehicle which should be well
ventilated and separated from the cab
at least by bulkhead. Appropriately
sized, tested, fire extinguishers must
be carried. Appropriate Tremcards,
Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

Material Data Safety Sheets, and

COSHH assessments should also be
available. Load must be secured.

Fire & other emergencies

1. Potential for fires from Minor Isolate machine electrics. Caution on Possible Low
accidental arcing of start-up and disconnection/re-
electrical components. connection of batteries.

2. Fire risk from welding +3day Site may require hot work permit. Possible Medium
repairs or hot work LTI Suitable tested Fire fighting equipment
should be on hand before work
commences. Second person should be
on hand to observe in case of fire. Oxy
Acetylene equipment should be in date
and tested. Operators should be
trained and authorized. Screens,
shields or dampening down of work
area may be required. Cutting and
welding sparks should be contained
where possible and protection
measures implemented to ensure the
safety of other people and property in
close proximity. Flammable
substances should be removed from
working area before work commences.
Burn risk should be minimized by the
use of correct PPE.

1. Lone working (out of A Pre task assessment must be carried
hours). out if lone working is a requirement.
Refer to Loan Working Stop & Think

Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

card No 21 located in your S&T folder.

Adequate control measures must be
implemented using the control
measures detailed in the S&T. Under
these circumstances, Employees must
ensure someone is aware of their
presence either on site or on Finning
If the employee is to be working alone
for long periods, there must be an
agreed method of periodic

2. Young people All new starters and visitors must

adhere to on site safety rules and
regulations and obtain an induction.
Apprentices, other young people, non-
Finning personnel and visitors are
instructed not to touch or use any item
of tooling, apparatus or equipment
unless trained to do so, competent and
/or suitably supervised. PPE suitable
for the task must be worn.

3. Extreme site conditions; Extra care must be taken in adverse

rain, snow, fog, ice, weather. Suitable PPE must be worn at
high or low ambient all times monitor underfoot conditions.
temperatures, high Ensure adequate thermal clothing is
winds, electrical storms available and worn for site conditions.
Regular breaks taken in service
vehicle, in site hospitality or branch
rest areas if necessary. Regular
reassessments of site condition are

4. Poor Visibility Appropriate measures must be taken

Hazard Severity Existing controls Likelihood Risk Actions Date
proposed completed

to ensure sufficient lighting in all

situations. Provision of a safe, suitable
lighting solution must be made, be it by
movement of the machine to a more
suitable working area, or by the supply
of additional lighting equipment.