risk assessment for trips and outings

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Childminder Guides > Early Years Safety Blog  > Outings Risk Assessments  

Outings Risk Assessments

It is important to carefully plan outings and to involve the children and their families in the planning and risk assessment process. Written risk assessments are not a requirement of the Early Years Foundation Stage (EYFS) but you should consider how you can provide evidence to Ofsted, children’s parents and possibly your insurance company and RIDDOR (should there be a serious accident) that you have risk assessed without them.

Policy : you do not need an outings policy to comply with the EYFS or to meet Ofsted expectations.

Risk assessment : you will need to risk assess to ensure you can keep children safe and healthy on the outing. Many large venues such as farms and zoos have risk assessments on their website which you can download, print and personalise to include information you want to share with parents such as accessibility of toilets and places for picnics. Some outing risk assessment considerations include –

• Ratios – you must ensure you are within ratios when you take children on outings.
• First aid – there must be a practitioner from the setting who has a current paediatric first aid certificate to accompany children on outings.

Note that lack of first aid is a common reason for childminders being downgraded at inspection and it is avoidable if courses are booked well in advance before certificates expire.

• Clothing – ensure children are wearing appropriate clothing for the outing and take spares with you in case of emergency.
• Emergency contacts – photocopy emergency contact forms and take them in your outings bag. If the worst happens and something happens to you on the outing, emergency services will need to know which children are with you and how to contact their parents.
• Weather considerations – see the information in this series about sun safety and ice and snow.
• Vehicle safety – you must ensure the car is safe and insured. Car seats must be suitable fort the children.
• Public transport - If you are travelling on public transport, you should risk assess how you will keep the children safe during the journey to and from the venue.
• Medication - if children take medication, you need to transport it in a suitable bag / box and think about how you will ensure it is labelled so that if you are in an accident, it will be linked to the child. Childminders often store children’s medication individually and label it for the child, ensuring it is kept cold (with ice blocks) if necessary. 
• Identification – you will also need a way of identifying each child in case, for example, they are lost, or you have an accident and are unable to speak for them. You might take a photo of each child before the outing to show what they are wearing on the day of the outing and how they can be identified.
• Lost child procedures - you should link your outing risk assessments to your ‘lost child procedures’, stating what you will do if a child goes missing during the outing. See the ‘losing a child’ guide in this series for more information.
• Hand washing - you must consider hand washing, especially if you are taking the children on an outing where there are animals. You might want to take hand wipes and alcohol-free cleansing liquid but you should also check that the venue has child-friendly sinks with soap and running water.
• Toileting – ensure there is access to suitable toilets. If you are going somewhere new with the children, you might find it useful to do a pre-visit check so you can reassure parents.

Informing parents: you do not need permission from parents to take children on outings. However, you will want to inform them about, for example –

• Arrangements – let parents know about the date and time of the outing. Are you going to be later back than usual – if so, where can they collect their child?
• Late arrival – if parents are late bringing their child to the setting, let them know they will either miss the day or have to find you, because you will not wait beyond the agreed time before setting off.
• Supervision – talk to parents about who is supervising the children – for example, if you are going with an assistant or colleague.
• Suitable clothing for their child to wear – for example, do they need a raincoat or boots?
• Lunch arrangements – for example, do parents need to pack picnic food (in which case you will want to give them information about suitable contents of the lunch bag) or will you eat in a café or similar when you are on the outing?
• Allergies – you should update yourself, because if a child has an allergy or intolerance that you do not usually support, you will want to check with the place you are eating in advance to ensure they can accommodate the child’s dietary needs.
• Entrance fees – request entry fees in full or a contribution, following the information parents have read previously in your fees policy.

Conclusion : outings can be very beneficial for children. During outings, they learn about the local community and wider world and activities can be planned to support their ongoing interests on your return. Children must be kept safe on outings, and it is your responsibility, as their childcare provider, to ensure they have a safe and happy time.

Risk assessments should be robust and consider all aspects of the outing: they can be updated on your return to include information that has arisen during the day, so it is in place for next time you visit.

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Creating Effective Field Trip Safety Policies

Field trips have long been an exciting part of the educational experience, offering students a break from the classroom routine and a chance to explore the world beyond their textbooks. These educational outings are also linked to improvements in students’ academic performance , social-emotional development, and long-term career prospects. Regardless of gender, ethnicity, or socioeconomic status, students who take part in school trips are gaining meaningful benefits.

With that being said, there are many field trip safety concerns and potential risks associated. This emphasizes the importance of well-structured policies and procedures to ensure that students and accompanying adults can enjoy their outings with peace of mind.

In this blog post, we will discuss the steps to create effective safety policies for field trips including examples of safety rules and safety checklists.

Conduct a Thorough Risk Assessment

Before you can create effective safety policies, it’s crucial to first identify potential risks and hazards associated with trips off school grounds. This process involves the examination of factors such as transportation, location, activities, potential emergencies, student abilities, and more. By pinpointing potential dangers in advance, strategies can be developed to reduce these risks.

When conducting a risk assessment, consider the following key areas:

• Transportation: Assess the safety of the various modes of transportation including buses, walking, or other means.
• Location: Evaluate the climate, terrain, accessibility, and availability of healthcare facilities in the chosen destinations. Keep in mind unexpected weather changes.
• Activities: Examine the equipment used during activities and assess the physical challenges involved. For example, consider the potential risks associated with contact with animals.
• Potential Emergencies: Identify potential emergencies such as slips, trips, falls, bus accidents, dangerous environments, or insufficient security measures.
• Student Ability: Consider the physical capabilities, medical conditions, experience, and age of the students participating in field trips.

Assess the level of risk based on the likelihood or probability of the risk occurring and the possible consequences. This will help guide and prioritize risk management efforts.

While complete elimination of risk is often impossible, school field trip safety policies should provide assurance that all reasonable care and sensible preparatory arrangements have been made to manage potential hazards.

Adapt Field Trip Safety Policy and Procedures Based on Risk Assessment

Once the risks are identified through the risk assessment, safety policies should be adapted accordingly. This means addressing each potential risk with specific measures. Some examples of risk management strategies include the following:

• Having emergency contact information readily available.
• Ensuring appropriate insurance coverage.
• Designating trip leaders and chaperones.
• Setting aside emergency funds.
• Establishing adult-to-student ratios (with lower ratios being preferable, such as one adult per 4-6 children).
• Outlining emergency procedures.
• Setting age requirements for participation.
• Maintaining first aid kits.
• Specifying dress codes.
• Keeping families informed about trip details.

Schools are obligated to carry out suitable and sufficient precautions in terms of supervision, protection, and training before, during, and after the trip.

The following sections include a more in-depth explanation of effective safety policies in the top areas related to school field trips.

Train Staff on their Responsibilities

One crucial detail in effective field trip safety policies is the training and responsibilities of staff. Teachers and staff involved in field trips should always review school policies and procedures well in advance of the excursion. Being familiar with these guidelines ensures that everyone is on the same page regarding safety protocols and expectations.

Staff training can include the following:

• CPR and First Aid certification.
• Crisis management training.
• Familiarity with emergency protocols.
• How to identify potential hazards related to the trip’s destination and activities.
• Responding appropriately in emergency situations.

It is advisable to request that volunteers obtain CPR and First Aid certification. This extra layer of preparedness can be invaluable in ensuring the safety of all participants.

Another important responsibility of school staff is effective communication:

• Administrators should communicate with staff beforehand on safety policies and protocols.
• Teachers and staff should maintain communication before, during, and after the field trip with students, families, and school administrators. Open channels of communication should be created to ensure everyone is informed and prepared.
• Teachers and chaperones should establish and communicate clear behavioral expectations and guidelines for students to follow during the trip.

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Generate Field Trip Emergency Preparedness and Response Plans

One of the cornerstones of effective safety policies for school field trips is a comprehensive emergency preparedness and response plan. This plan should be an integral part of staff training and responsibilities. Teachers and chaperones must be skilled in emergency procedures, and everyone should know their roles and responsibilities. The following includes examples of what should be included in emergency preparedness and response plans:

• Teachers and staff should carry a well-stocked first aid kit along with essential items such as bottled water, sunscreen, a working cell phone, any emergency medications students may need, a list of emergency phone numbers, and parent/guardian contact information.
• Following any medical assistance, if needed, teachers should contact the student’s parents/guardians as soon as possible to keep them informed. Documenting the incident through an accident report is also essential for maintaining records and assessing the effectiveness of the response.
• Teachers and chaperones should be made aware of the prevention of lost or missing students. Matching t-shirts or bracelets can help identify students quickly. Clear instructions should be given to students regarding where and when to meet up, emphasizing the importance of always staying with their assigned buddies. Teachers and chaperones should maintain a roster and check students against it multiple times throughout the day to ensure that no one is left behind.

Emergency preparedness, clear procedures, and prevention measures all contribute to a safer and more enjoyable trip for everyone involved.

Quickly Report Student Accidents

Automate the reporting, tracking and management of accidents, including documenting if first aid was administered, investigations, witness statements, and communicating with all key personnel.

Medical Considerations and Consent Forms for Field Trips

Before embarking on any field trip, it’s essential to collect medical information and signed consent forms from parents/guardians. This step is not just a formality; it’s a vital component of ensuring the safety of every student. Medical information helps educators and chaperones be prepared for any unexpected situations that may arise during the trip. Including this as a safety policy will guarantee its completion.

Consent forms serve as a legal agreement between the school and parents/guardians, outlining the details of the trip and giving them peace of mind about their child’s participation. The forms should provide a comprehensive overview of the trip, including its cost, specific clothing requirements (such as sunscreen, raincoats, or closed-toe shoes), lunch details, and transportation arrangements.

For students with allergies, especially severe ones, it’s crucial to make all participants aware of these allergies so they can respond quickly in case of an emergency. Additionally, any necessary medications should be properly labeled with the student’s name, medication name, dosage, and the time it should be administered.

No child should be excluded from field trips due to their medical condition. Accommodations should be considered and made in advance.

School Field Trips Transportation Safety Measures

Transportation is often a significant aspect of school field trips, and addressing safety considerations related to it is vital. School buses are often the chosen mode of transportation for field trips due to their safety record. However, it’s crucial for everyone involved, from drivers to parents and students, to understand school bus safety.

The qualifications of the drivers operating the vehicles are critical. It should be ensured that buses or cars used for transportation are driven by trusted adults who are responsible and qualified drivers. Drivers should not only be licensed and experienced but also familiar with the specific route and the needs of the students on board. Including regular background checks and training in your safety policies can help maintain the quality and reliability of the drivers.

There should be contingency plans for transportation-related emergencies such as vehicle breakdowns or accidents. These plans should outline:

• Steps to take during a vehicle breakdown or accident.
• Communication protocols.
• Evacuation procedures.
• How to contact emergency services if necessary.
• Having a backup plan in case a vehicle breaks down.
• Plan for students with disabilities or special needs .

Furthermore, schools must ensure that an adult is present in the vehicle whenever children are on board. No child should ever be left unattended. Regular inspections of the vehicle should also be conducted after each trip to ensure no child has been inadvertently left behind.

By having these plans in place beforehand, schools can help ensure that all students reach their destination safely and securely.

Gather Post-Trip Evaluations and Feedback

Accidents can occur even with the most comprehensive safety protocols in place, and when they do, it’s essential not to assign blame but instead focus on improving the system. Post-trip evaluations provide a platform for schools and organizations to review the incident objectively, dissect the events leading up to it, and understand the root causes. By doing so, schools can avoid making the same mistakes in the future and continually refine their safety protocols. The goal is not to point fingers but to create an environment where learning from accidents leads to safer field trip experiences.

One of the most valuable aspects of post-trip evaluations is the input from those directly involved: teachers, students, and parents/guardians. Each of these stakeholders brings a unique perspective to the table.

• Teachers, who are responsible for organizing and supervising the field trip, can provide insights into logistical challenges, communication gaps, or unexpected issues that may have arisen during the trip.
• Students can share their observations about their own behavior and the behavior of their peers, helping educators and organizers understand potential risks or lapses in safety awareness.
• Parents, being concerned guardians, can offer valuable feedback from an outsider’s perspective, pinpointing areas where safety could be improved.

The importance of conducting a post-trip evaluation cannot be overstated. It’s not just about reacting to accidents; it’s about proactively seeking opportunities to enhance safety policies and procedures for future field trips. By involving all participants in this process, schools foster a culture of collaboration and continuous improvement, ensuring that each field trip is safer and more enriching for all involved.

As we’ve explored in this blog post, ensuring the safety of students, and accompanying adults during field trips must remain a top priority.

To recap the key points covered:

• We’ve highlighted the need to establish thorough safety policies and procedures for field trips. These policies should encompass all aspects of the excursion, from transportation and supervision to emergency response plans.
• We’ve stressed the significance of continuous improvement in safety protocols. The ever-evolving nature of risks and challenges means that safety policies should never remain static. Regularly reviewing and updating these protocols ensures that schools stay ahead of potential hazards and can adapt to new circumstances.

Comprehensive safety policies, diligent supervision, and adaptability are the cornerstones of a successful and secure field trip experience. By prioritizing student safety and continually refining safety protocols, educational institutions can provide students with the best of both worlds: valuable educational experiences and peace of mind for parents and educators alike.

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How to Create a School Trip Risk Assessment

A risk assessment is a careful examination of what could cause harm to members of the group, so that you can consider whether sufficient measures have been taken to ensure the safe return home of everyone involved.

Download our free risk assessment guide 

Are you preparing for an upcoming school trip? If so, you’d be forgiven for putting off the task of conducting the risk assessment.

While it may not be the most exciting exercise, it’s a crucial step in planning a school trip. After all, as a teacher, the safety of your students during a school trip is your top priority.

So, how can do you make life easier for yourself when conducting a risk assessment?

In this guide, we'll break down the key components of a risk assessment and provide you with an easy-to-follow template to simplify the process of creating one for your trip.

In this guide

What is a school trip risk assessment, do i need a risk assessment.

• What should a risk assessment include?

How to create a school trip risk assessment

• Additional ways to assess risk for your trip
• Considerations at different stages of your trip
• Read the full guide

A school trip risk assessment is essentially the process of creating a complete list of potential hazards associated with the planned activity. For each of those hazards, you evaluate the risks associated and outline the control measures to minimise or eliminate the risks.

Why is it necessary? First and foremost, it’s the law. Guidelines from the UK government state that health and safety law requires schools to assess risks and establish appropriate control measures.

Beyond this, students are young and particularly vulnerable to hazards. Carrying out a risk assessment will help you to ensure the safety and well-being of students, as well as staff and any volunteers during school trips. By conducting a thorough risk assessment, you can demonstrate your school’s commitment to student safety and be better prepared to handle any emergencies that may arise.

Whether you need to conduct a full risk assessment will depend on the type of trip you are planning:

Routine trips

These might include recurring visits to a local sports centre, or place of worship, for example.

In these cases, the visits are generally covered by the school’s existing policies and procedures for everyday risks, such as slips and trips.

Government guidelines state that these trips can be considered lessons in a different classroom and only require minor planning beyond the educational aspect of the trip.

Trips that require risk assessment

When a trip isn’t covered by a school’s existing policy, it will require a risk assessment. This might include scenarios where:

• The trip takes place a large distance from the school
• The planned activity has associated risk, even if only minor
• Any specialist skills or personnel are required (beyond the usual attendees, such as teachers)

With this in mind, the vast majority of school trips, including those offered by Next Generation Travel , will require a risk assessment to be completed.

What should a school trip risk assessment include?

Your risk assessment should include a summary of all the potential hazards associated with your planned trip. For each of these, you should then evaluate the associated risk and establish your strategies to minimise or eliminate the risk. It can also help to acknowledge the remaining risk with your proposed strategies.

Here’s a short summary of the key criteria your risk assessment should cover:

• Hazards: Identify potential sources of harm or danger, such as busy roads, physical activities, or extreme weather conditions
• Risks: Outline the specific risks associated with the hazard, such as physical injury or dehydration
• Persons at risk: Establish who could be affected by the hazards, including students, staff, and volunteers
• Control measures: Outline your strategies to minimise or eliminate the identified risks, such as providing safety gear or establishing clear rules and guidelines
• Comments/actions: Based on your suggested control measures, summarise the actions or things to consider for each
• Residual risk rating: Assess the remaining level of risk after implementing the control measures — it can help to establish a ranking system in advance
• Approval: Ensure that your risk assessment is reviewed and approved by the appropriate authorities, such as senior leadership in your school

Example school trip risk assessment template

The table below provides an example of a typical risk assessment. Feel free to use this as a starting point, which you can adapt to suit your needs. Click to download.

We’ve already covered what your risk assessment should include, but it can still feel like a big job to complete one from scratch.

So, let’s break it down into a few key steps:

Step 1: Identify your potential hazards

Brainstorm all possible hazards associated with the trip, considering factors like the location, the planned activities, your mode of transportation, and the people attending the trip.

Step 2: Create a system to rank risks

Develop a standardised method for evaluating the likelihood and severity of each identified risk. This could be something as simple as “low”, “moderate”, and “high” — or a graded system from 1 to 5. With this system in mind, give each hazard a rating.

Step 3: Determine who might be affected

Consider all individuals who may be impacted by the identified hazards, including students, staff, volunteers, and members of the public. Do the hazards pose different risks for different individuals? Will each group require different strategies to mitigate the risk?

Step 4: Create preventative measures to mitigate risks

For each identified hazard, plan out strategies to minimise or eliminate the identified risks. This could be something as simple as ensuring appropriate clothing is worn, through to bringing in qualified instructors or first-aiders.

Step 4: Stress-test your plan with scenarios

Anticipate potential emergency situations and create contingency plans to address them effectively, such as designating emergency meeting points or establishing communication protocols. Running through these scenarios will help you to spot holes in your own plan and adjust for them accordingly.

Additional ways to approach risk assessment for school trips

In addition to the standard risk assessment process outlined above, there are several other approaches you can consider when planning a school trip. You can use these in combination with a generic risk assessment, as a way to assess potential risks in more detail.

Event-specific risk assessment: STAGED approach

The STAGED approach is a framework for assessing risks associated with specific events or activities during a school trip. In this approach, you consider the following criteria associated with your planned activity:

• Staffing — who is attending? Do there need to be any individuals with special training?
• Transport — how will you be getting to the event? Will that come with potential risks?
• Activity — what does the event entail? Will that activity create potential risks?
• Group — what is the composition of the group going to be? Does the size of the group have implications for risk, such as headcounts and the time it takes to carry out tasks en-masse?
• Environment — what will the environment during the event be like? Will it be calm and casual, for example, or noisy and crowded? Will this create potential risks?
• Distance — how far will you be travelling for the event? Does that pose any risk?

The aim here is to think in more detail about the typical things that are involved in trips centring around a specific activity or event. You can carry this exercise out ahead of your typical risk assessment, to help identify hazards.

Plan B risk assessment

Developing a Plan B risk assessment is all about anticipating potential disruptions, or unexpected changes to the original trip plan and planning your backup solution to ensure your pupils are safe and the trip can continue uninterrupted. For example, what will you do if your coach breaks down, or storms mean your planned ferry route isn’t running?

By expecting the unexpected, you’re able to plan in advance and avoid being caught off-guard.

Emergency procedures

In the event of an emergency, the last thing you want is to feel unprepared.

Establishing clear emergency procedures can go a long way in helping you to keep a clear head and manage any unexpected, potentially stressful situations during a trip. When planning emergency procedures, you might want to consider:

• Who are the emergency contacts for pupils and volunteers on the trip? 
• What is your communication protocol if something happens?
• Do staff have the necessary training and resources to handle emergencies effectively?

Providing suitable insurance coverage is an important part of risk management planning for school trips. The type of insurance you need, such as travel insurance or medical insurance, will depend on the nature of your trip.

When you book a trip with Next Generation Travel, you will be automatically covered by our group travel insurance with Endsleigh Insurance.

What to consider within risk assessment by trip stage

When conducting a risk assessment for school trips, it's might also help to consider the different stages of the trip and the specific risks associated with each of those stages.

To provide some inspiration, here's a breakdown of some key things to think about in relation to each stage of your trip:

Pre-tour planning

During the pre-tour planning stage, the biggest focus will be that you have all the paperwork and information you need, including: 

• Parental consent forms
• Medical information about your students
• A detailed itinerary of activities
• Booking details and confirmation for activities, travel, and accommodation
• Insurance policy details

When assessing risks related to transportation, you need to be sure that your group will be able to get to and from all intended activities without risks to safety or disruption of the trip.

Things to consider might include:

• Mode of transport
• Vehicle safety
• Driver qualifications
• Journey times
• Potential road hazards
• Potential delays, such as airport security
• Customs and border control

Develop contingency plans for any potential transportation disruptions and ensure that you are clear on safety procedures.

Accommodation

It’s important to evaluate the safety and suitability of your chosen accommodation.

This might include looking into:

• Fire safety
• Security measures
• Access to emergency services
• Specific risks associated with the location, such as proximity to water or high-crime areas

Assess the risks associated with planned activities, taking into account factors such as:

• Physical exertion required
• Specialised equipment requirements
• Potential environmental hazards
• Age-appropriate activities
• Supervision of activities by responsible adults

Specific activities will often come with unique risks, so this can be particularly helpful to dig into and ensure nothing is overlooked.

Where to get external support for risk assessments

You don’t have to do everything alone, there are a number of organisations offering guidance and support for risk assessment and related safety topics:

• School Travel Forum (STF) — Members of the School Travel Forum, such as Next Generation Travel, are required to meet standards set by the LOtC Quality Badge and School Travel Forum code of practice so schools can book and travel with confidence. 
• LOtC Quality Badge — Look for a educational tour provider, such as Next Generation Travel, with the Learning Outside the Classroom quality badge, awarded by the School Travel Forum. This helps schools to identify good quality and safe provision. It also helps to reduce red tape making it simpler for teachers to plan school trips. They also provide a number of helpful resources for trip planning .
• Evolve Advice — Evolve Advice offers consultancy services to help with risk assessment and related safety matters when planning, as well as during, a school trip. It is a paid service, but can provide welcome peace of mind for trip planners.
• edSAFETY — A partner of Evolve Advice, providing general health and safety support. edSAFETY supports schools in rethinking how health and safety is approached by offering a dynamic, innovative solution that breaks free from static practices.
• Outdoor Education Advisor’s Panel (OEAP) — The Outdoor Education Advisers' Panel (OEAP) produces national guidance relating to educational visits and outdoor learning. They have many useful good practice guides as well as information on 'making the case'.
• GOV.UK — The UK Government provides advice on health and safety for schools, covering a variety of topics, including health and safety on educational visits .

For more information about external support when planning your next school trip, head to our external safety support resources page .

Get additional support when you book with NGT

When you book a school trip with NGT, our team of specialists don’t just help you to plan the perfect bespoke trip for your learning goals, we also help with the planning and can provide guidance around risk assessment.

Simply find a school trip and enquire with our team to get started.

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This document has been created to assist you with the completion of your own risk assessments for your trip so that you can manage the safety and wellbeing of your group throughout the visit

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Risk Management for school visits

Taking learning from inside to outside the classroom has great benefits but will inevitably introduce hazards which are not present in a classroom environment. Risk management is not about eliminating risk – it is about reducing it to as low as reasonably practicable and deciding if this is acceptable in order to gain the potential benefits. This is recognised by both the Health and Safety Executive (HSE) and the Department for Education (DfE)

When planning fieldwork, it is important to consider the hazards and the risk (likelihood) of them occurring, and what can be done to mitigate these risks to an acceptable level in order that we can still gain the benefits.  It is sensible to be very clear about why the fieldwork is being carried out and what are the benefits. Tim Gill has written several articles on the importance of a balanced view of benefit and risk in children’s play.

What is an ‘acceptable’ level of risk and what is ‘reasonably practicable’ in mitigation are clearly open to interpretation. It is always important to have your employer’s approval of your plans and to be aware of what is the norm in other similar institutions with students of similar age and experience.  Seeking expert advice through subject associations such as the RGS-IBG or an Outdoor Education Adviser  is a good step if unsure.

Some links to key sources of information and advice:

• DfE:  Health and safety: responsibilities and duties for schools
• HSE:  School trips and outdoor learning activities
• HSE:  ALARP "at a glance"
• HSE:  Managing risks and risk assessment at work
• OEAP:  4.3c Risk Management - an Overview
• OEAP:  4.3f Risk Management - Some Practical Advice
• OEAP:  4.3g Risk Management - What to Record and How

The risk management process

All the factors listed below are part of the overall ‘risk management’ for a planned visit. It is important that the written risk assessment is seen just one part of this process and not the whole.

• Competence of lead staff member and accompanying staff –  their specific experience and any relevant training and qualifications
• Planning – choice of location, itinerary and activities and a pre-visit if appropriate
• Awareness of best-practice and any Standard Operating Procedures for the planned activities
• Written risk assessment produced by the visit leader and approved by a specifically competent person – usually the School EVC and/or Outdoor Adviser and shared with accompanying staff and the content accepted and understood by them.
• Preparation of the group and staff – kit lists, codes of conduct, pre-trip meetings with students and parents, briefings for staff, briefings for the group on the key parts of the risk assessment.
• Ongoing during the event -  monitoring and dynamic risk management – implementation of a plan B if required
• Post-event - review and evaluation to inform future planning
• Where the risk is likely to be greater, or perceived to be greater, than that of everyday life in the UK then then obtaining parental consent and the use of codes of conduct and participation statements are both sensible. When parental consent is required should be clearly set out in your institutions policy for visits. A participation statement or code of conduct is for the pupil to complete to acknowledge that they have a role in their own safety and that of the group. Codes of conduct are a useful tool for reminders about following instructions, reporting any concerns, looking after others. An example code of conduct.
• Read more about involving students with risk sssessment

The written risk assessment

Risk assessment and Standard Operating Procedures

It is useful to have Standard Operating Procedures (SOPs) - often termed ‘generic risk assessments’ - for offsite visits. SOPs ensure consistency and set the standard for your organisation. Standard operating procedures are what you expect staff to do,  define good practice, and act as a checklist for staff. They are best written by staff with specific competence and experience and can then be ‘finessed’ over time.

SOPs become a specific risk assessment when edited with content specific to the planned visit.

Without SOPs is it likely that the final risk assessments for two identical trips from the same establishment could look very different depending on the author’s experience and priorities. At worst there could be significant content present in one and not in the other.

An example of editing an SOP to become a specific risk assessment would be identifying the nearest medical facilities to the destination (in the UK) using NHS service search and any specific risks at the destination such as a difficult road crossing or potentially challenging weather conditions. If working with an external provider then links can be added to their safety management system.

Many organisations will have Standard Operating Procedures (SOPs) headed ‘all trips’ ‘all transport’ and ‘all accommodation’ (see downloads for examples). These will have the main issues/hazards and best-practice descriptions of controls and how the controls are checked. For an ‘all trips suggested  headings are given in the section below. This aligns with HSE recommendations that risk assessments address the most common/significant risks first.

What to include in the written risk assessment

The headings below are likely to be required in any risk assessment for School visits.

• Safeguarding
• Supervision - direct, indirect or remote
• Environment specific - water/weather etc
• Activity specific – Adventure Activities/Data Collection
• Visit emergencies

Staff can then edit the content to be specific to their trip. For example, by adding the location of the closest Accident and Emergency facility to their accommodation;  links to safety management systems of providers, etc.

It is useful to remember the term ‘Common things occur commonly’ and plan for what is reasonably foreseeable to be a problem if overlooked.

Road traffic, medical emergency, safeguarding and any periods where supervision is difficult should always be present in risk assessments.

The risk assessment for a specific visit should be dated and should include the name of the author.

The Process

Identify the hazard > the control measures required to mitigate the risk > how the control measures will be confirmed in place/checked.

Example : Transport in a coach

• Hazard - collision with another vehicle/object causing injury to coach passenger
• Mitigation/Control measure - Seatbelt to be worn at all times
• How the control measure is implemented - oral reminder from staff and visual check from rear to front of coach. Given at the start of the journey and repeated after each stop.

Current advice is not to include numerical ‘scores’ for likelihood and severity in risk assessments. The example above shows how difficult it would be to add numbers for likelihood and severity. Likelihood of a coach accident is very low but the likelihood of someone unfastening their seatbelt during a journey is higher. How much lower is this likelihood after a verbal and visual reminder?  Severity of accident –could be minor to catastrophic? Overall risk rating is likely to be different for every passenger (due to their likelihood to follow instructions about seatbelt wearing) and an overall ‘score’ is arbitrary and of very little practical use.

Format of the risk assessment

There is no requirement to have a risk assessment in a particular format.

A simple, clear format prioritising the hazards and their controls and how the controls are to be monitored is recommended.

Beware of creating a format which has empty columns and tick boxes which may not be completed as this can then appear to be an oversight or lack of care.

Numbers in risk assessments

There is a common format of risk assessment which involves scoring risk and likelihood/severity of outcome and having the resulting risk rated ‘high, medium or low’ with an outcome below a certain number being seen as ‘acceptable’. Trying to apply such subjective ‘measures’ of risk to a group of young people, all of whom behave differently in different circumstances, may suggest an unreal level of certainty, and cloud the practical issues that need to be managed. The final decision must be that the risk for each participant can be kept within ‘acceptable’ levels. It is important for a risk assessment to be undertaken by a competent person, and for the written record to be dated, and to indicate who completed it.

There is a move nationally towards removing Likelihood/Severity grids from risk assessments as they can be a source of inconsistency and confusion.

• The HSE no longer show risk matrices as examples of best practice re the format of risk assessments.
• Safesmart:  The Problem with Risk Scores and a Risk Matrix
• David Ball, Risk Management:  Further thoughts on the utility of risk matrices

Risk categorisation of visits

Categorising trips according to ‘risk’ can be misleading and is therefore not recommended.. Most significant risks are the same for any trip – medical emergency, road traffic, failure of supervision and then any specific environmental or activity related risks – water, weather, periods of indirect or remote supervision and activities which will always have a ‘higher than everyday life’ residual risk – mountain biking and downhill skiing for example.

Staff should be aware that most accidents happen on perceived low risk activities.

For example, a ‘low risk’ – urban geography data collection activity could have a high risk of pupil being lost/separated from a group if managed poorly.

Effective Supervision using SAGE/STAGED

A key aim in managing risk is to ensure the effective supervision of the group and this is a more helpful concept than a set of staffing ratios which takes no account of the specific needs of the group or the competence/experience of the supervising staff.

For Early Years Foundation stage there are mandatory ratios and your employer may have published minimum ratios for trips either as a strict policy or for guidance.

When looking at how to achieve ‘effective supervision’ OEAP National Guidance uses the acronym SAGED and it is also often extended to STAGED:

• Staffing – relevant training/qualifications/experience and number required
• Transport – complexity added by any specific transport issues – public transport, walking to venue etc
• Activities – what are the group doing? Do these require specifically competent qualified staff. Any indirect or remote supervision?
• Group – prior experience, behaviour and any specific needs
• Environment – easily accessible or more remote? Urban/Rural. The potential impact of the weather
• Distance -  how far from base and the direct assistance of supporting staff if required – can vary from minutes to many hours. Access to emergency medical help

A reluctance to adapt plans and move to a plan B can be a red flag regarding the likelihood of things going wrong.

Some reasonably foreseeable ‘what-ifs’ should be included in your planning and how you would adapt your plans should one or more of these occur. It is good practice to include a plan B in your risk assessment. Plan B can be to not run the venture on that day with that group.

Some examples:

• Environmental conditions – too hot, cold, wet, or windy for the activities to take place as planned.
• Medical/illness issue – one member of staff is required to look after a student who is ill during the trip
• Road traffic delays mean you are very behind schedule
• Water – always be aware of the rapidly changing nature of moving water
• Group maturity/behaviour is such that a planned period of indirect supervision would cause you concern

A ‘what-if’ meeting with the group can be a good way of including students in the risk management process. What -if - you get separated from the group -feel unwell - are not happy about an activity etc.

Outdoor and Adventurous Education

It is important that staff leading outdoor activities are suitably qualified and experienced. This may be achieved in three ways

• Working with an external provider who provides staff with the technical expertise
• The staff from the School holding appropriate qualifications
• An ‘statement of competence’ obtained from an Outdoor Adviser who has observed the staff running an activity.

Find out more:

• OEAP:  6h FAQs: Adventure activity qualifications 
• Mountain Training:  Mountain Training’s qualification matrices for climbing and walking led activity

Working with external providers

The National Guidance documents explain the use of the LOtC quality badge, AALA licence, and what questions to ask a provider and where the responsibilities lie. The norm is that all technical and activity specific responsibility lies with the provider, and School staff assist with supervision and have pastoral responsibility.

• OEAP: . 4g Selecting External Providers and Facilities
• OEAP:  4.4h Using External Providers

Quality Badges

A provider holding a quality badge can be seen as part of the risk management process. This may be financial risk in the case of bonding or safeguarding and safety assurance through the award of other badges.

There are a number of relevant badge schemes.

The AALA licence is required in law in the UK for certain adventure activities

The Learning Outside the Classroom (LOtC) Quality Badge is held by a wide range of providers and venues

Adventuremark is a non-statutory safety scheme devised by the Adventure Activity Industry Advisory Committee (AAIAC) for providers of adventurous activities that are outside the scope of the Adventure Activity Licensing regulations.

There is very little to be gained by asking badge-holding external providers for copies of their risk assessments. This OEAP document explains the reasons for this and gives better questions to ask.

A Pre departure meeting

For residential trips, a face-to-face pre-departure meeting with the EVC and the trip leader and assistant is recommended. The EVC should also meet with any staff prior to leading their first day trip. This can be done for several trips in one meeting.

Meeting agenda – the ‘what-ifs’

• Base contact information – when to contact your emergency contact
• Parent contact information – when to contact parents
• Emergency information and what to do should something go wrong – importance of written record.
• A range of scenarios can be covered - What if? questions - medical, missing person
• Student use of phones/social media should an incident occur
• Importance of implementing the written risk assessment
• Insurance contact and claims - info needed
• Common things – medical/road traffic/missing person/low periods of supervision/reluctance to go to plan B
• Any issues of concern re the students – itinerary/medical/behaviour

Post visit evaluation

Have a system where all staff on a trip can feedback information but the leader is responsible for completion. There have been examples nationally of visit leaders reporting back that all was fine when other staff have had concerns. Occasional sampling of other trip staff and students for feedback is recommended – particularly for trips with a stable staff which have run for several years.

The key parts in an evaluation are:

• Any significant pastoral/safeguarding issues?
• Any near-misses or accidents
• Any medical issues/illness?
• Any behavioural issues?  
• Any significant issues with the itinerary? eg suggested activities/venues not appropriate. Accommodation unsafe etc
• Would you run the trip again in its present form?

Why things go wrong and how to avoid the traps

It is important to accept that accidents will be happen and not all accidents are avoidable.

Research has been done in the mountain guiding and outdoor adventure activities communities on the causes of accidents and how some of these can be avoided. Many of these factors also apply to School trips and fieldwork. Two key theories are heuristic traps and lemons – there are many articles on the web – the original sources of this work are linked below.

• Heuristic Traps in Recreational Avalanche Accidents: Evidence and Implications
• Teachers Talking About Their Epics: Near misses in outdoor education

Heuristic traps

Heuristics are ‘short-cuts’ taken, often based on prior experience and/or learned behaviour. They can become  excuses used to avoid a full assessment of risk and if this is  the case they become ‘heuristic traps’

Over-commitment to a goal – staying with the plan A even though there are signals that this is the wrong plan.

Familiarity – have been there and done the activity several times before and it has always been OK in the past. Perhaps this is the first time the SAGED variables (see above) are significantly different!

Scarcity – the one chance to do it! Perhaps coursework depends on that data? An exam case-study is based around that location.

Social proof – others have done it so it must be OK. Perhaps they got away with it or had a greater skill-set!

Learning point

Always be cautious of justifying a decision based on any of the points above.

Lemons are any factor that combined with the presence of another, can lead to an accident. An anlage similar to the lemons on a slot machine.

There are three types of lemons – unavoidable, avoidable, and rare/unusual.

Unavoidable – late arrival at start of walking route due to a traffic delay

Avoidable - to save time an oral group kit check is done by the leader rather than seeing key items of kit.

Rare and unusual – close to the summit a team member sprains ankle on an awkward step. Group call for help and Mountain Rescue on their way.

Unavoidable – colder weather and rain was forecast late in the day but the leader thought they would be finished well in advance of this.

Avoidable - Several of the group have no waterproof clothing with them but this wasn’t spotted by kit check.

Avoidable – a number of the group now cold and wet

Leaders and groups can be trained to ‘spot lemons’ and prevent them adding up into a significant problem or incident.

The use of Checklists is a powerful way to prevent being caught by heuristic traps and lemons. Much work has been done studying the use of checklists in aviation and how this approach can be helpful in other stressful environments where there is the temptation to attempt to multi-task.

See ‘The checklist manifesto’ by Atul Gawande and the recent work based on Crew Resource Management in aviation by James Thacker IFMGA Mountain Guide.

Example risk assessments

File name Files

All accommodation

All transport

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Planning trips out

• December 8, 2021

This page brings together all the key project elements of thinking through a trip or a visit in one handy place, with downloadable resources for you to plan from, to help you audit your practice, and to write an action plan to develop your practice further. 

Where to go

If you are thinking about where you might take your children for a meaningful experience, use this example of a mapping activity  to identify where you might go that is age appropriate and where you can extend their learning.

• Mapping Activity (PDF)

As well as going out, you can look to bring the local environment in: here are our suggestions to enable this:

• Bringing the local environment in (PDF)

What you currently do

Auditing your current practice is important and is a key part of being a reflective practitioner. This audit will allow you to consider your areas of strengths and areas for development in the light of Understanding the World strand taken from Development Matters (2012).

• Understanding the World Audit – People and Communities (PDF)
• Understanding the World Audit – The World  (PDF)

Preparation

Being prepared is key to success, especially when it comes to taking trips where there are lots of external factors that may come into play. Here are some resources to help with this so you can mitigate issues occurring:

• What to take on an Outing (PDF)
• Risk Assessment (PDF)

If you are looking for a starting point for experiences relating to various places, we have created some suggestions for the museum, the canal, and the farm, and how you can make these happen – as well as blank possibility sheets for you to plan your own. Download these possibilities to develop in relation to your cohort of children’s experiences and interests:

• Farm possibilities (PDF)
• Museum possibilities (PDF)
• Canal possibilities (PDF)

We have created a possibility sheet for you to plan your own trips – with guidance for completion and a blank copy for your own planning:

• Possibility Sheet for UTW (Word doc)
• Possibility Sheet for UTW Blank (Word doc)

When you come back

Why not continue to extend the learning by exploring what your children are interested in through the medium of a selection of appropriate texts: we have made some suggestions here but would welcome further books or resources that you have used effectively with your children.

• Suggested Booklist – updated July 2019 . 

Further reading

Exploring the wider world project.

The Exploring the Wider World Project was funded by the Stoke-on-Trent Opportunity Area and was delivered by Early Education between April 2019 and March 2020.

Rationale for the project

The direction of the project has been dictated by three key factors: a deep understanding of how young children learn best, developing sustainability for practice,

What constitutes an outing or visit?

Rethinking our consideration of what an outing or a visit may be has been central to the project. Children need to build up their knowledge

Benefits of using the local environment

Using the local environment enables children to develop a sense of belonging to the local community. It helps them to develop a sense of place

Overcoming barriers

An early task for the Exploring the Wider World project was to identify the barriers to taking children out and about beyond the setting. Only

Taking risks

Risk is a natural part of our existence, as we look to explore and make sense of the world around us. What is key is

Your resources

Meaningful learning opportunities relating to understanding the world rely on rich and stimulating resources. Consider what you have Rich and well thought out resources make

Making trips out meaningful

A reflection based upon rich and varied experiences of taking young children out into the Wider World by Kathryn Solly, Early Education Associate. Beginnings There

Taking 2-year-olds out

It is important to remember that the world of a 2-year-old is very different to ours. They are hugely fascinated by the things that we

Taking 3-year-olds out

By the time children get to be 3 years of age, they are, generally, better at walking and so can walk for longer periods of

Taking 4-year-olds out

Most 4-year-olds can walk faster and further than their younger counterparts. This means that they can venture further afield than the three year olds in

Benefits of walking

Walking is a great way to stay active for people for all ages. Particularly for children, walking: is fun and interesting – you get to

Using public transport

Using public transport can be really exciting for young children, especially for those who spend lots of time in cars, being ferried from place to

Using social media

Social media is a powerful tool for sharing examples of good practice and celebrating achievements – but there potential pitfalls, particularly relating to consent. We

Supporting families to support their child’s learning

Since the introduction of the EYFS framework in 2008 there has been a huge emphasis upon encouraging parents to become engaged in their children’s learning.

Cultural capital

This article by Early Education Associate Anni McTavish explores the term “cultural capital”, and what it might mean for early years practitioners and their settings.

Transition is part of the maturation process. Most children and their families find moving from one stage to the next seamless. Transitions need careful planning and will

Understanding the World and links with Communication, Language and Literacy

We know young children appear to be starting settings with less developed language than in previous years due to a range of reasons. Understanding the

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I am two! Working effectively with two year olds and their families

The Educational Value of the Nursery School - 90th Anniversary edition

The great outdoors: Developing children's learning through outdoor provision

More than ICT: Information and communication technology in the early years

Supporting young children's sustained shared thinking - USB

Exploring young children's thinking through their self-chosen activities - USB

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Centenary combination pack: Early childhood education + Food to share recipe booklet + The Educational Value of the Nursery School – 90th Anniversary edition

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• Education, training and skills
• Pupil wellbeing, behaviour and attendance
• Health, safety and wellbeing in schools

Health and safety on educational visits

• Department for Education

Published 26 November 2018

Applies to England

© Crown copyright 2018

This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: [email protected] .

Where we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned.

This publication is available at https://www.gov.uk/government/publications/health-and-safety-on-educational-visits/health-and-safety-on-educational-visits

Types of trip

The 2 main types of trip are:

• routine visits
• trips that need a risk assessment and extra planning

Routine visits

These involve no more than an everyday level of risk, such as for slips and trips, and are covered by a school’s current policies and procedures. They only need a little extra planning beyond the educational aspect of the trip and can be considered as a lesson in a different classroom.

Trips that need a risk assessment and extra planning

These are trips not covered by a school’s current policies. This could be due to considerations such as the:

• distance from the school
• type of activity
• need for staff with specialist skills

Sometimes a school may simply need to review its current plans or arrangements that were successful on previous trips. However, some trips will need a risk assessment, detailed planning and the informed approval of the headteacher or governing board. The person given the job of managing this should:

• have the skills, status and competence needed for the job
• understand the risks involved
• be familiar with the activity

Plans should be proportionate and sensible, focusing on how to manage genuine risks.

When to seek consent from parents or carers

A school must always get written consent for nursery-age children.

For children over nursery age, written consent is not needed for most trips, as they’re part of the curriculum. However, it’s good practice to tell parents or carers about them.

Written consent is usually only needed for trips that:

• need a higher level of risk assessment
• are outside normal school hours

The school can ask parents to sign a consent form when their child enrols. This will cover them for their whole time at the school. Advice on consent forms is available on the Outdoor Education Advisers’ Panel ( OEAP ) website.

A school should still tell parents or carers about such trips and give them the opportunity to withdraw their child.

Using outside organisations

Schools using an outside organisation to provide an activity must check the organisation has appropriate safety standards and public liability insurance.

The Council for Learning Outside the Classroom ( LOtC ) awards the Learning Outside the Classroom Quality Badge to organisations that meet nationally recognised standards.

Schools can check if an organisation holds the LOtC Quality Badge .

If an organisation does not hold the badge, the school must ensure that they’re an appropriate organisation to use. This could include checking:

• their insurance
• that they meet legal requirements
• their health and safety and emergency policies
• their risk assessments
• control measures
• their use of vehicles
• staff competence
• safeguarding
• accommodation
• any sub-contracting arrangements they have
• that they have a licence, where needed

The school should have an agreement with the organisation that makes it clear what everyone is responsible for. This is especially important if they will be taking over supervision of the children.

Adventure activities: caving, climbing, trekking and watersports

These kinds of activities should be identified and risk assessed as part of the visit beforehand. Staff managing or leading visits must not decide to add such activities during the trip. They should always consider the abilities of the children when assessing risk.

Organisations need a licence to provide some adventure activities. Organisations that hold the LOtC Quality Badge should hold a licence for the activity they provide.

Information about licensing is available on the Health and Safety Executive ( HSE ) website.

Watersports

When planning watersports, schools should consider the need for:

• instructors

A school should take particular care when using hotel swimming pools and other water-based leisure facilities that may not have a trained lifeguard on duty. Although there are no swimming-pool-specific health and safety laws, the OEAP provides useful advice about undertaking adventure specialist activities, including swimming.

Trips abroad

Trips abroad can present extra risks and need a higher level of risk assessment.

Schools should make sure that any organisation providing activities holds the LOtC Quality Badge or similar local accreditation.

The HSE does not cover incidents overseas. However, it can investigate work carried out in Britain to support the trip, such as a risk assessment. School staff could be liable under civil law for any injuries to the children due to negligence.

If the trip includes significant risks, such as challenging terrain, a remote location or an extreme climate, a school should follow the guide to the British Standard for adventurous activities outside the United Kingdom as the basis for its planning and risk assessment. Organisations employed by the school should follow this, too. If they have a LOtC Quality Badge, they follow this standard.

Schools should consider the Foreign and Commonwealth Office’s detailed guidance on safer adventure travel and volunteering overseas and foreign travel advice when organising a visit abroad.

Knowing what to do in an emergency

Schools should have an emergency response plan that covers what to do if there is an incident away from school. They should also have a communications plan that covers how routine communications should be handled, including regular check-ins and calls to reassure people. Trip leaders should be familiar with the plan.

Schools can get advice on creating a communications plan from their outdoor activity adviser or the OEAP website .

Evaluating trips

A school should set up a clear process for evaluating all visits once they have been concluded, from the planning through to the visit itself. It should keep a record of any incidents, accidents and near-misses.

This will help it:

• evaluate whether its planning has worked
• learn from any incidents which took place

Educational visits coordinators

Schools should appoint an educational visits coordinator and make sure they have the training they need. The headteacher assumes this duty if there is no coordinator. Local authorities or academy trust outdoor education advisers can advise on appointing and training coordinators.

The coordinator works with the outdoor education adviser to help their colleagues in school to assess and manage risks.

The coordinator should:

• be an experienced visits leader
• have the status to be able to guide the working practices of other staff
• be confident in assessing the ability of other staff to lead visits
• be confident in assessing outside activity providers
• be able to advise headteachers and governors when they’re approving trips
• have access to training, advice and guidance

Guidance is also available on the OEAP website .

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Outings Policy

TRULY SCRUMPTIOUS NURSERY Outings Policy

Truly Scrumptious Early Years Nursery

At Truly Scrumptious we feel it is important to provide opportunities for children to take part in outings so they can further develop their knowledge and to ensure every child has access to the same opportunities in life.

Trips can include trips on foot, i.e. visits to the local park, the library, local markets, and other places of interest.

All procedures must be followed prior to an outing.

• A full outings risk assessment must be completed.
• written permission from all parents/carers is obtained prior to the outing.
• staffing ratios must be maintained and adhered to at all times
• young children will be pushed in pushchairs and older children will safely be secured to a walk-o-dile.
• all children contact/emergency contact information must be taken on the trip
• At least 1 first aider must be present and have a suitable, complete first aid box with them.
• Any child who has a health care plan must have their health care plan documents, along with any medication/asthma pump / EpiPen’s if needed
• A member of staff is to carry on them, the nursery mobile phone which must be fully charged and have enough minutes/credit in the case of emergencies.
• At no time whilst on an outing must a member of staff use the nursery mobile phone to make or receive a personal phone calls or messages.

This policy was written by Hayley Binion, Nursery Manager

Reviewed Brittany V – Manager – 18/04/2023

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FinCEN proposes additional risk assessments for AML/CFT programs

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Financial institutions would be required to conduct more thorough risk assessments on their anti-money laundering/countering the financing of terrorism (AML/CFT) programs under a new rule proposed by the Treasury Department’s Financial Crimes Enforcement Network (FinCEN).

The proposed rule would “explicitly require that such programs be effective, risk-based, and reasonably designed, enabling financial institutions to focus their resources and attention in a manner consistent with their risk profiles,” FinCEN said Friday in a press release .

The new requirements were included in the AML Act of 2020, which became law in 2021 as part of the National Defense Authorization Act for FY2021. The law comprehensively updated the Bank Secrecy Act (BSA) for the first time in decades, according to FinCEN.

According to a FinCEN fact sheet , the rule would “require a financial institution’s AML/CFT program to include a risk assessment process to better enable it to identify and understand its exposure to money laundering, terrorist financing, and other illicit finance activity risks. Under the proposed rule, financial institutions would be expected to use the results of their risk assessment process to develop risk-based internal policies, procedures, and controls in order to manage and mitigate risks, provide highly useful information to government authorities, and further the purposes of the BSA.”

The risk assessment would have to be based on the latest AML/CFT priorities promulgated by FinCEN, which the AML Act requires the agency to update at least once every four years. The risk assessment would also have to take into consideration the money laundering and terrorism financing (ML/TF) risks of the financial institution itself, “based on a periodic evaluation of its business activities, including products, services, channels, customers, intermediaries, and geographic locations.” And finally, firms would also have to periodically review and update their risk assessment process, “including, at a minimum, when there are material changes to their ML/TF risks,” the fact sheet stated.

By requiring companies to tailor their risk assessment to their lines of business, FinCEN said it would discourage implementing “one-size-fits-all approaches to customer risk that can lead to financial institutions declining to provide financial services to entire categories of customers.” FinCEN also said it will encourage financial institutions to update and improve their AML/CFT programs with “responsible innovation” in the use of emerging technology.

The rule would also prohibit financial institutions from outsourcing oversight of AML/CFT programs overseas. All employees tasked with overseeing a financial institution’s AML/CFT program must be U.S. persons subject to proper oversight by the Treasury or appropriate federal regulator, the agency noted.

Under the new rule, AML/CFT programs would have to be approved by the financial institution’s board of directors (or equivalent body) and remain under its direct oversight.

Written comments on FinCEN’s proposed rule must be received on or before 60 days following its publication in the Federal Register .

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• Financial Crimes Enforcement Network
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FinCEN BSA data: Fraud, money laundering top suspicious activities

2024-06-10T09:43:00Z By Kyle Brasseur

The Financial Crimes Enforcement Network published its latest collection of Bank Secrecy Act data, including number and type of suspicious activity reports.

FinCEN head touts compliance through enforcement approach

2024-02-27T19:01:00Z By Aaron Nicodemus

Andrea Gacki, head of the Financial Crimes Enforcement Network, said recent enforcement actions by the agency have addressed significant gaps in the U.S. anti-money laundering/countering the financing of terrorism regime and exposed specific risk factors, trends, and typologies.

FinCEN: BSA data shows spike in crypto-financed human trafficking

2024-02-14T21:32:00Z By Jeff Dale

Bank Secrecy Act reporting data disclosed by the Financial Crimes Enforcement Network revealed a significant spike in the use of cryptocurrency to finance human trafficking.

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Only registered users can comment on this article., more from regulatory policy.

2024-06-28T19:55:00Z By Aaron Nicodemus

The Supreme Court of the United States overturned a long-held precedent in which courts deferred to federal agencies in interpreting complex or ambiguous regulations–a decision that could make thousands of federal regulations more vulnerable to legal challenges.

2024-06-28T14:57:00Z By Aaron Nicodemus

The Supreme Court of the United States ruled that the Securities and Exchange Commission’s practice of using in-house tribunals overseen by an administrative judge to adjudicate securities fraud cases is unconstitutional.

SEC, CFTC actively probe off-channel comms violations, top officials say

2024-06-18T15:10:00Z By Aaron Nicodemus

Two senior officials from the Securities and Exchange Commission and Commodity Futures Trading Commission described how both agencies are committed to rooting out off-channel communications among registered entities for the long term.

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Interim Guidance on Risk Assessment and Management of Persons with Potential Ebolavirus or Marburgvirus Exposure

While guidance for post-arrival management of travelers from countries experiencing outbreaks applies only to Ebola disease and Marburg virus disease, recommendations for management of people with high-risk exposures  apply to other viral hemorrhagic fevers* and should be followed regardless of where the exposure occurred (i.e., in an outbreak area overseas, another overseas location, or the United States).

*Lassa, Crimean Congo Hemorrhagic Fever (CCHF) and the South American Hemorrhagic Fevers (i.e., those caused by Junin, Machupo, Chapare, Guanarito and Sabia viruses). Note, for Crimean Congo Hemorrhagic Fever, management should continue until 14 days after the last known high-risk exposure.

There are currently no identified outbreaks of Ebola disease or Marburg virus disease.

March 31, 2023

Revised recommendations to reduce burden to state, tribal, local, and territorial health departments

Generalized guidance to additionally apply to potential marburgvirus exposures

Removed specific guidance issued for the 2022 Sudan ebolavirus outbreak in Uganda

Introduction

Definitions, international air passenger contact information, risk assessment and post-arrival management.

• Designated Ebola disease or MVD Outbreak Areas
• High-risk Exposure Definition
• Situations with Additional Exposure Potential
• Summary Table
• CDC may recommend public health risk assessment and post-arrival management of travelers from countries with Ebola disease or Marburg virus disease (MVD) outbreaks to mitigate the risk of potential imported cases.
• For U.S.-based healthcare or emergency response workers returning from Ebola disease or MVD outbreak areas, health departments may elect to delegate post-arrival management to the response workers’ sponsoring organizations. CDC has issued separate guidance  for these organizations.

Who is this guidance for?

• U.S. state, tribal, local, and territorial health departments

What is the purpose of this guidance?

• To provide U.S. health departments with minimum expectations and guidance for post-arrival management of travelers arriving in their jurisdictions from countries with Ebola disease or MVD outbreaks.
• To provide guidance for management of people with high-risk exposures who are located in or intend to travel to the United States.

This guidance provides recommendations for post-arrival risk assessment and management of potentially exposed travelers as part of the domestic U.S. response to an Ebola disease or MVD outbreak occurring overseas. CDC may recommend such interventions based on an assessment of the risk of travel-associated importation to the United States and may provide outbreak-specific guidance for post-arrival management of travelers.

Direct contact means physical contact with a person with Ebola disease or MVD (alive or dead) or with objects contaminated with the blood or other body fluids of a person with Ebola or Marburg (alive or dead) while not wearing recommended personal protective equipment (PPE) or while experiencing a breach in infection control precautions that could result in unprotected contact with the patient or their blood or other body fluids.

Ebola disease or MVD outbreak area means a geographic area where transmission of an ebolavirus or marburgvirus has occurred in the previous 42 days, as determined by surveillance conducted by national health authorities, non-governmental organizations (NGOs), and the World Health Organization (WHO). The list of designated outbreak areas  for which CDC recommends post-arrival risk assessment and management of travelers will be maintained according to available information.

Isolation  means the separation of a person or group of people, reasonably believed to be infected with a communicable disease and potentially infectious, from those who are not infected to prevent the spread of the communicable disease. Persons could be reasonably believed to be infected if they display the signs or symptoms of the communicable disease of concern and there is some epidemiologic reason to believe that an exposure had occurred. Isolation for public health purposes may be voluntary or compelled by a federal, state, tribal, local, or territorial public health order.

Monitoring period refers to the time from arrival in the United States until 21 days after the person left a designated outbreak area.

Public health orders  are legally enforceable directives issued under the authority of a relevant federal, state, tribal, local, or territorial entity that, when applied to a person or group, may place restrictions on the activities undertaken by that person or group, potentially including movement restrictions or a requirement for monitoring by a public health authority, for the purposes of protecting the public’s health. Federal public health orders may be issued to enforce isolation, quarantine, or conditional release. The list of quarantinable communicable diseases for which federal public health orders are authorized is defined by Executive Order and includes viral hemorrhagic fevers such as Ebola disease and MVD.

Quarantine in general means the separation of a person or group of people, reasonably believed to have been exposed to a communicable disease, but not yet infectious, from others who have not been so exposed, to prevent the possible spread of the communicable disease.

Suspect case refers to the combination of signs and symptoms compatible with Ebola disease or MVD AND an epidemiological risk factor within 21 days before the onset of symptoms, before confirmatory testing occurs. See additional information for Ebola disease or MVD .

If post-arrival risk assessment and management are recommended, CDC will obtain contact information for travelers arriving from countries or areas with Ebola disease or MVD outbreaks and provide it electronically to health departments through established secure mechanisms.

If post-arrival risk assessment and management are recommended, health departments should establish contact with travelers arriving in their jurisdictions from a country with an Ebola disease or MVD outbreak to conduct an initial assessment of exposure risk, provide health education, conduct symptom monitoring (as described below), and track overall success in monitoring incoming travelers, according to resources available in the jurisdiction. The initial assessment should occur as soon as feasible, ideally within 24 hours of receiving CDC’s notification of the traveler’s arrival. A summary of these recommendations is provided in the table  below.

CDC has issued separate guidance for organizations sending U.S.-based healthcare or emergency response workers to areas with Ebola disease or MVD outbreaks, including recommendations for a structured pre-departure assessment and post-arrival management. Health departments that maintain contact with these organizations may elect to accept risk assessment and/or monitoring of these workers by the sponsoring organization; they may also request updates from the sponsoring organization or assume direct responsibility for risk assessment and/or monitoring of these workers.

There are currently no designated Ebola disease or MVD outbreak areas for which post-arrival traveler management is recommended.

• Percutaneous (i.e., piercing the skin), mucous membrane (e.g., eye, nose or mouth), or skin contact with blood or other body fluids 1  of a person with known or suspected Ebola disease or Marburg virus disease (MVD)
• Direct contact with person who has known or suspected Ebola disease or MVD
• Providing health care to a patient with known or suspected Ebola disease or MVD without use of recommended personal protective equipment (PPE) 2 , or experiencing a breach in infection control precautions that results in the potential for percutaneous, mucous membrane, or skin contact with the blood or other body fluids of a patient with Ebola disease or MVD while working in an Ebola disease or MVD treatment unit or associated facility (e.g., laboratory) or while taking care of a patient with Ebola disease or MVD
• Direct contact with, or the occurrence of a breach in infection control precautions while handling, a dead body in an Ebola disease or MVD outbreak area, the body of a person who died of Ebola disease or MVD or had an illness compatible with Ebola disease or MVD, or who died of unknown cause after any potential exposure to an ebolavirus or marburgvirus
• Living in the same household as a person with symptomatic known or suspected Ebola disease or MVD

1 Body fluids include but are not limited to feces, saliva, sweat, urine, vomit, sputum, breast milk, tears, and semen.

2 Recommended PPE  should be sufficient to prevent skin or mucous membrane exposure to blood or body fluids.

The following situations have potential for unrecognized ebolavirus or marburgvirus exposures and should be taken into account in the assessment of people who have been in an area affected by an Ebola disease or Marburg virus disease (MVD) outbreak in the previous 21 days but have no reported high-risk exposures.

Nonoccupational

• Visiting a health care facility or traditional healer in an outbreak area
• Attending a funeral or burial in an outbreak area

Occupational 1

• Providing health care or environmental cleaning in an Ebola disease or MVD treatment unit (E/MTU)
• Entry into a patient care area of an E/MTU for any other reason
• Providing health care in an outbreak area to acutely ill patients not known to have Ebola disease or MVD
• Environmental cleaning in a non-E/MTU healthcare facility in an outbreak area
• Clinical laboratory work associated with an E/MTU or other health care setting in an outbreak area
• Burial work in an outbreak area

1 These occupational exposure situations assume correct and consistent use of personal protective equipment  (PPE). Correct and consistent use of PPE during situations with occupational exposure risk is highly protective and prevents transmission to healthcare or other personnel.  However, unrecognized errors during the use of PPE (e.g., self-contaminating when removing contaminated PPE) may create opportunities for transmission to personnel.

State, tribal, local and territorial authorities have primary jurisdiction for isolation and other public health orders within their borders. Federal public health authority primarily extends to international arrivals at ports of entry and to preventing interstate spread of communicable diseases.

CDC recognizes that decisions and criteria regarding when and how to use such public health measures may differ by jurisdiction. Consistent with principles of federalism, state, tribal, local, and territorial jurisdictions may choose to make decisions about the use of public health orders for isolation or quarantine, monitoring, and other precautions that provide a greater level of public health protection than is recommended in federal guidance.

Risk Assessment

An initial risk assessment for an ebolavirus or marburgvirus exposure should include whether the traveler:

• was present (other than just transiting en route to airport) in a designated Ebola disease or MVD outbreak area
• had any epidemiologic risk factors for exposure to an ebolavirus or marburgvirus or a person with Ebola or Marburg, e.g., as a caregiver, healthcare provider, laboratory worker, or burial worker
• used personal protective equipment and other recommended infection control measures during any potential exposure
• had any potential high-risk exposures

CDC has provided a list of situations with additional exposure potential  to help guide traveler assessment, including decisions regarding testing for ebolaviruses or marburgviruses should a traveler develop compatible symptoms during the monitoring period.

A sample exposure screening and assessment tool is available here. [PDF – 2 pages]

Travelers should also be assessed for signs and symptoms of Ebola disease or MVD  during the initial evaluation.

Health departments can consult CDC’s Viral Special Pathogens Branch (VSPB): call CDC’s Emergency Operations Center [770-488-7100] and ask to speak to VSPB’s on-call epidemiologist or email [email protected] ) if they identify symptomatic or potentially exposed travelers, including travelers who were outside of designated outbreak areas. CDC requests notification regarding any travelers identified with potential high-risk exposures.

Health Education

Health departments should ensure all travelers from a country with a designated Ebola disease or MVD outbreak understand:

• the signs and symptoms of Ebola disease or MVD  and how to self-monitor
• the need to self-isolate immediately if symptoms develop
• how to notify public health officials should symptoms develop

CDC has posted After Travel recommendations for travelers from countries with Ebola disease or MVD outbreaks (also available in French , Spanish and Swahili ). Health departments may choose to use this resource as part of their health education activities.

Monitoring and Other Public Health Interventions

Symptom monitoring for people with a potential ebolavirus or marburgvirus exposure can be conducted by phone, video conferencing, other electronic means (e.g., text message, email, app, web form), or in person, according to resources available in that jurisdiction, while the person is in the United States. The decision to monitor and frequency and method of monitoring should be guided by the results of the risk assessment, as specified below.

High-risk Exposures

Until 21 days after their last potential high-risk exposure, people with high-risk exposures  should be:

• Quarantined
• Monitored daily
• Restricted from traveling by commercial transport

CDC requests notification regarding any individuals identified with high-risk exposures. To make these notifications, health departments should call CDC’s Emergency Operations Center (770-488-7100) and ask to speak to the on-call epidemiologist for the Viral Special Pathogens Branch, or email [email protected] . See additional information in the section below .

Presence in a Designated Ebola disease or MVD Outbreak Area but no High-risk Exposures

In addition to an initial symptom screening during the risk assessment process, health departments should monitor travelers from a designated outbreak area  who report having been in situations with additional exposure potential  intermittently, at a minimum mid-way through and at the end of the 21-day period after the person left the outbreak area. For those who do not report having been in these situations, health departments may opt for self-monitoring, ideally with a single follow-up at the end of the 21-day period, to confirm the outcome of self-monitoring. All travelers from an outbreak area, regardless of health department oversight, should be advised to self-monitor and notify the health department if they develop symptoms during the 21-day period. CDC may additionally provide specific guidance for monitoring based on the assessed risk of case importation for an outbreak.

For guidance on healthcare providers’ return to work in the United States after caring for a patient with suspected or confirmed Ebola disease or MVD, visit Infection Prevention and Control Recommendations for Hospitalized Patients Under Investigation (PUIs) for Ebola Virus Disease (EVD) in U.S. Hospitals .

Presence in Country with Ebola disease or MVD Outbreak but not in Designated Outbreak Area

People who were present in an outbreak country but not in a designated outbreak area and who have no other epidemiologic risk factors should be advised to self-monitor and notify the health department if they develop symptoms during the 21 days after departing the outbreak country. CDC may provide additional guidance for these travelers based on the assessed risk of case importation for an outbreak.

Travel by People with No Known High-risk Exposures

People who have  no high-risk exposures , and are  asymptomatic , do not need movement restrictions and may travel. If they have been in a designated outbreak area and plan to travel to another U.S. jurisdiction during the monitoring period, they should notify the monitoring health department. The health department should notify the destination health department (for travel within the United States). The two health departments should agree as to whether responsibility for monitoring will be transferred, depending on the timing within the monitoring period and the duration of travel.

Table. Summary of Post-arrival Management Recommendations for Asymptomatic Travelers by Exposure Category

Symptomatic people with suspected or confirmed Ebola disease or MVD, and asymptomatic people with reported high-risk exposures

Health departments should conduct an assessment of any potentially exposed person with signs or symptoms compatible with Ebola disease or MVD to determine if the suspect case definition for Ebola disease or MVD  is met and coordinate additional medical evaluation as needed. The purpose of the public health assessment is to ensure appropriate infection control precautions are in place during transport (see below) and at the healthcare facility for a patient who meets the definition of suspect case of Ebola disease or MVD. The assessment is also intended to minimize potential unintended consequences in managing a symptomatic traveler as a suspect case if the exposure risk is very low, including unnecessary implementation of infection control precautions suitable for Ebola disease or MVD or delayed recognition and management of other potentially life-threatening conditions while ruling out Ebola disease or MVD. CDC has published clinical guidance for assessing viral hemorrhagic fever risk in an international traveler and specific guidance for Ebola disease and MVD . The lists of high-risk exposures and situations with additional exposure potential provided in this guidance may also be useful in conducting these assessments.

If a diagnosis of Ebola disease or MVD is considered, state, tribal, local, or territorial public health officials should coordinate with CDC to ensure appropriate precautions are taken to help prevent potential spread of Ebola disease or MVD and to arrange for testing. As a resource for public health departments, CDC’s Viral Special Pathogens Branch (VSPB) is available 24/7 for consultations regarding suspected viral hemorrhagic fever or Ebola disease or MVD cases by calling the CDC Emergency Operations Center at 770-488-7100 and requesting VSPB’s on-call epidemiologist, or by emailing [email protected] .

Symptomatic people with suspected or confirmed Ebola disease or MVD should remain in isolation until they have been determined not to have Ebola disease or MVD (if suspected) or to be no longer infectious (if confirmed). Asymptomatic people with high-risk exposures to an ebolavirus or marburgvirus should remain in quarantine until 21 days after their last high-risk exposure. Quarantine or isolation may be voluntary or under public health orders, at the discretion of the health department of jurisdiction. Health departments may request use of federal public health travel restrictions for individuals with suspected or confirmed Ebola disease or MVD or with high-risk exposure, if they intend to travel before being cleared to do so by public health authorities, by contacting the CDC Port Health Station  with jurisdiction for the area where the person is located.

People with suspected or confirmed ebolavirus or marburgvirus infection, and asymptomatic persons with high-risk exposures, are not permitted to travel by commercial transport until cleared by public health officials. If travel is necessary (e.g., to obtain medical care that is not available locally), transportation should be conducted in a manner that does not expose operators (e.g., air crews, bus drivers) or other travelers. The mode of transportation (e.g., ground vs. air transportation) should be determined by distance to final destination as well as the clinical condition of the traveler (i.e., whether medical care may be needed en route).

• CDC has issued separate guidance for air medical transport  for patients with suspected or confirmed viral hemorrhagic fevers.
• For more information on developing interfacility transport plans of patients with suspected or confirmed ebolavirus or marburgvirus infection: Guidance for Developing a Plan for Interfacility Transport of Persons Under Investigation or Confirmed Patients with Ebola Virus Disease in the United States
• Options for transport of asymptomatic people with a high-risk exposure to an ebolavirus or marburgvirus are private vehicle or chartered or private aircraft with precautions in place to protect air crews.

For international air transport of a person with suspected or confirmed ebolavirus or marburgvirus infection or high-risk exposure to a destination within the United States, per CDC regulations ( 42 Code of Federal Regulations, Part 71: Foreign Quarantine ), the aircraft operator must notify CDC in advance through the CDC Port Health Station  with jurisdiction for the port of entry or the CDC Emergency Operations Center (770-488-7100 or  [email protected] ). The aircraft operator should also coordinate with the U.S. embassy or consulate  and health authorities for the country where the individual is located, CDC, the Federal Aviation Administration, and U.S. Customs and Border Protection, as well as appropriate foreign, state, tribal, local, and territorial governments to ensure compliance with all applicable laws and regulations; CDC can facilitate communications with U.S. jurisdictions as needed.

• Importation
• Southern Border Health and Migration
• Travelers' Health
• Vessel Sanitation Program
• Funding and Guidance for State and Local Health Departments
• Emergency Preparedness and Response
• Division of Global Migration Health

Permanent establishment risk factors and how to avoid them: international compliance guide 2024

Learn how to avoid permanent establishment risk factors with Mauve. By identifying different types of PE and how to navigate them, you safeguard your business against financial and reputational damage.

When we seek to work overseas - either to gain access to a new market, or to employ the talent found in another country - there are a number of compliance risks that we run. Our actions as a business may be required to  adhere to both international and local labour laws , as well as the tax laws of the jurisdiction in which we “do business”. Of course, the definition of “doing business” can differ from country to country, as can the risks associated with it.

Permanent Establishment (PE) describes the situation in which a company is considered by local tax authorities to be operating in a taxable capacity whilst not officially incorporated in that country. Local tax authorities are the arbiter in this matter, and, if accused of PE, the onus is on the company in question to prove their innocence or face severe financial penalties – just one of many permanent establishment risk factors it’s important to be aware of.

Though the OECD has outlined broad parameters defining permanent establishment and its risks, the ultimate decision on whether a multinational is operating unlawfully is left to the tax jurisdiction – be it country, state, province, or another autonomous region. In places like Canada and the USA , for example, definitions surrounding PE may differ from state to state.

As with the risks surrounding the misclassification of employees and independent contractors , companies seeking to expand globally must be acutely aware of the risks of permanent establishment.

6 key permanent establishment risk factors to consider

From the moment a company is deemed to have established a taxable, unincorporated presence in a foreign jurisdiction, it risks facing a serious and potentially damaging set of consequences, which we call ‘permanent establishment risk factors'.

1) Back taxes and interest

Companies found guilty of PE will typically be back-taxed for any unpaid taxes, potentially stretching as far back as to the company’s first dealings in the source country. This can include corporate tax as well as VAT. In worst case scenarios, there may also be interest added to the unpaid tax, applied retroactively.

2) Financial penalties

Many countries around the world also choose to issue further financial penalties for PE, the severity of which may be dictated by the bilateral tax treaties between your residence country and the source jurisdiction. The cost of these financial penalties will likely also be influenced by the degree to which the offending company was genuinely aware of its wrongdoing.

3) Damaged reputation

Companies found guilty of permanent residence and penalised for it are liable to have their reputation damaged as a result, and on the international stage. Corporate reputation and financial performance tend to be interlinked , meaning that a damaged reputation could have a negative knock-on effect on your company’s turnover.

4) Mandatory incorporation

Companies which wish to continue operating in a country after being found guilty of PE must legally incorporate themselves by setting up a local legal entity: a process which is typically both expensive and time-consuming. Equally challenging is the opposite decision: to abandon the successful integration into a new international market because you cannot afford to establish a legal entity there, following the back-taxes and financial penalties inflicted on your business.

5) Increased observation and auditing

Tax authorities alerted to the illicit permanent presence of a foreign company in their jurisdiction are likely to increase their level of observation of said company. This could result in a heightened frequency of audits from the authorities, which will likely eat into a business’s resources and may even have a knock-on effect on global employee morale and staff retention .

6) More intense regulatory measures

Finally, a company found guilty of PE is also likely to be required to adhere to stricter reporting obligations and regulations for the foreseeable future. In a similar vein to the risk of increased auditing, the intensity of these obligations may place unmanageable stress on both your employees and your resources.

Which activities are likely to trigger permanent establishment?

Achieving  watertight global compliance is made difficult by the widely varying - and often contradictory - rules and regulations governing tax and employment in different countries around the world. The same goes for avoiding permanent establishment. Doing so requires careful adherence to the differing definitions of PE in each country.

Exploring the 5 most common types of permanent establishment

Below, we’ve compiled a list of the most common permanent establishment risk factors, or ‘triggers’ of PE,  as outlined by the OECD (Organisation for Economic Co-operation and Development), with additional notes on unique distinctions and variations from country to country. These are, in other words, the five different types of permanent establishment which you should be aware of, in order to avoid accidentally triggering them.

1) Having a ‘fixed place of business’

Also known as a ‘physical-based establishment’, this is when a company operates out of a particular location or unit on a regular basis and are therefore deemed to have a ‘fixed place of business’ under that tax jurisdiction.

The facility in question does not have to be used exclusively for business, though should have some connection to the company’s generation of revenue. In Sweden , for example, even a home office might be considered a ‘fixed place of business.’ Similarly, a Germany -based CEO who works half the year from her holiday home in France may find her holiday home categorised as a ‘fixed place of business’ by the French authorities.

Other examples of ‘fixed places of business’ can include:

• A retail outlet or shopfront.
• A service centre.
• A warehouse used for distribution.
• A building, construction, or mining site.

Using a foreign address for your company’s location or bank account will also swiftly trigger PE and all its associated risks.

Types of physical locations which typically do not trigger PE must be considered ‘incidental, preparatory or ancillary’ in nature. These include:

• A storage facility used solely for storage and/or the delivery of goods to customers.
• A facility used to hold a stock of goods for use by another enterprise.
• A fixed place of business used solely for the acquisition of goods, information, and/or merchandise.

2) Having sales agents whose work in that country contributes to your revenue

A company need not necessarily have a ‘fixed place of business’ in order to be deemed in breach of PE. If they work with sales agents who conduct international business in their name on a regular basis, then they may be deemed to have established a permanent presence in one or more foreign countries. This is known as ‘agent-based establishment'.

In some countries, it may even be enough to trigger PE for a foreign worker to have the word ‘sales’ in their job title.

The primary concern of local tax authorities is not whether agents are laying the groundwork for later business expansion - this would not be subject to PE - but rather whether they consistently make decisions and agreements which contribute to the profits of their foreign employer.

3) Hiring employees abroad

Hiring employees abroad - either indefinitely or for fixed-term contracts, and including independent contractors - may be viewed by some local tax authorities as an intent to establish a permanent presence in their jurisdiction.

For example, if you withhold taxes or any other contributions from an international employee’s salary, you will be deemed a local employer, and thus will be subject to local tax laws.

In Argentina , to give a further example, the distinctions between an employee and contractor are so slim that accidental misclassification of the latter are common; a mistake which would immediately trigger PE.

4) Offering services to a foreign company which require your employees to be present in the source country for extended periods

If the services you offer to companies overseas - for example, R&D, consultancy, or software support - require that you send your agents abroad for extended periods of time, then you run a high risk of incurring PE. This is what is known as ‘service-based establishment'.

Interestingly, the nature of this type of permanent establishment serves to illustrate one of the key metrics used by tax authorities to identify PE: length of stay.

5) Overstaying your welcome...

Lastly, it is important to note that time is a key factor in whether or not you can be deemed to be ‘permanently established’ abroad. Certain overseas operations, even if they generate revenue for your company, may avoid triggering PE provided they fall within a particular time bracket – often under six months.

Unfortunately, though, the length of time required for a local tax authority to deem you in breach of PE differs per jurisdiction and may be negated entirely in unique circumstances. As always, if you are unsure about whether or not your actions overseas are at risk of triggering a permanent establishment case against you, get in touch with Mauve for expert guidance .

How have permanent establishment risk factors changed in the post-COVID era?

It no longer comes as a shock to read of how the COVID-19 pandemic and consequent ‘lockdowns’ changed the world of work. But what about the effect these factors had on defining permanent establishment? The answer is unfortunately ambiguous and will continue to differ per jurisdiction.

However, it is clear that the shift away from office-based 9 to5s – and toward asynchronous work conducted from home offices – is having an impact. During the pandemic, the OECD stated that home offices in foreign countries were unlikely to be deemed ‘permanent’ enough to trigger PE.

Yet in the wake of the pandemic, as business becomes increasingly internationalised , it is likely that this evaluation will be reassessed. In short, it is always advisable to seek professional advice on permanent establishment where globally remote teams are involved.

How to avoid permanent establishment risk

In order to operate compliantly internationally, it is not always possible to avoid establishing an incorporated foreign presence. Whilst there are exceptions to the rules governing PE – such as carrying out overseas work which does not directly contribute to revenue (i.e., customer support) – these rules differ and evolve so frequently that attempting to navigate them by yourself involves high amounts of risk.

Establish a foreign subsidiary

To avoid the risks of permanent establishment, the most obvious option available to business owners looking to expand globally is simply to establish a foreign branch or subsidiary in the country (or countries) of their choosing. Of course, doing so comes with its own complications and typically involves a great deal of time, energy, and resources.

Work with an Employer of Record (EoR)

A far more reliable and cost-effective way to minimise the chances of incurring permanent residence risk factors is to engage the services of  a trustworthy Employer of Record (EoR) .

By working with Mauve Group , you gain access to global compliance experts capable of helping you to employ and expand internationally in a way that ensures compliance with all relevant labour and tax regulations.

Mauve Group also offers  consultancy services through which we provide expert global guidance on how to de-risk your enterprise and avoid the hefty associated penalties.

In an era where working from anywhere (WFA) is increasingly the norm and the markets and talent pools of foreign countries are more accessible than ever, it’s wisest to work alongside compliance consultants and  EoR experts you can trust . Together, you can ensure that your business avoids compliance issues - such as the permanent establishment risk factors described above - while simultaneously maximising your potential.

To learn more, get in touch with Mauve Group today.

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