Promoting a positive health and safety culture

This post is to enable readers to gain understanding of the content through the application of knowledge to familiar and unfamiliar situations. In particular they should be able to:

4.1 Describe the concept of health and safety culture and its significance in the management of health and safety in an organisation

4.2 Identify indicators which could be used to assess the effectiveness of an organisation's health and safety culture and recognise factors that could cause a deterioration

4.3 Identify the factors which influence safety related behaviour at work

4.4 Identify methods which could be used to improve the health and safety culture of an organisation

4.5 Outline the internaland external influences on an organisation's health and safety standards.

Content

E4.1 Concepts of safety culture

Definition of the term 'health and safety culture'

One definition of culture is 'mental training and development'.

Cultural influence on corporate bodies with regards to health and safety issues is derived from the currently acceptable standards of care demanded by society in general as well as what is accepted

locally within a particular organisation. Within an workforce it is observed as the moral and ethical duties of care that are habitual in terms of employees looking after their own well-being as well as
any other persons who may be adversely affected by their acts or omissions.

Correlation between health and safety culture and health and safety performance

Low standards of health and safety culture within corporate bodies are much more serious and influentia-l, the further up the line management of the corporate body these low standards of culture are found.
John Donne in the 1ih century said 'No man is an island'. Man by his nature is a social creature and has a basic need to be involved. Effective management develops a good safety culture by
remembering this and responding to the social and psychological needs of their staff.

Managers must remember and build into their company culture the following concepts:

• Treat people as individuals
• People respond to praise rather than criticism
• Motivating words are 'please' and 'thank-you'
• People respond to group culture and expectations
• People like to be involved
• Conflicts should be resolved at an early stage

Everyone seeks two things in life.That is:

Seek Happines Avoid Pain (S.H.A.P.)

Some people will seek short-term happiness and try to ignore the possible long-term pain.

For example:

• Smoking
• Taking short cuts at work
• Not studying for examinations

Ethical management:

Ethical managers will not just respond to legal requirements or indeed to the principle of preventing

accidents. Instead, they will respond to everyone's desire of seeking happiness and wanting to avoid

pain (SHAP). They will commit themselves to doing their best to ensure that all of their

.organisation's employees have a good quality of life not only during their working career, but also in their retirement. This means correcting the things that can debilitate people, mentally and physically, over a period of time.

Good managers will always remember:

Everyone has an invisible notice hanging round their neck saying "make me feel important"

 

E4.2actures influencing safety culture

Tangible outputs or indicators of an organisation's health and safety culture

There are both negative and positive types of indicators both for employees and management

Negative indicators that are above the average for the particular industry:

• Numbers of accidents
• Absenteeism from works
• Sickness rates
• Staff turnover
• Non-compliances to safety management systems
• Complaints about working conditions
• Poor industrial relations

Negative indicators within management activities:

• Constant reorganisation
• Changes in management personnel and style of management
• Different approaches and types of managers
• Critical management with no recognition of effort or achievement
• Uncertainty and fear of down sizing or redundancy
• Unrealistic goal setting or goal-posts constantly moved
• Poor industrial relations

Positive indicators that are above the average for the particular industry:

• A clean, pleasant, safe and well designed place of work
• Excellent housekeeping standards
• A good safety culture throughout the workforce
• Ongoing risk assessments as an integral part of work activity management
• Quality management throughout all areas
• Good industrial and personal relationships
• A profitable organisation with a sound market base where everyone shares in the benefits
• A workplace where accidents are alien

These are all examples of safety culture climatic indicators.

Where everyone; staff, contractors, customers and the local community are proud to be associated with the organisation and have a commitment to the organisation

Where the health and safety policy is to do the maximum that is reasonably practicable to achieve and not the minimum so far as legal standards are concerned.

A safety culture must be observed as a commitment from the top management. The further up within a management structure we find pockets of low culture the more serious the problem.

Positive leadership and leading by example will determine health and safety standards in any workplace.

Effects of human and ·organisational factors on health and safety culture

Human factors

There are two main factors to be considered with regards to humans. These are physiological

issues and psychologicalissues.

Physiological issues relate to the physical ability and limitations of humans and psychological issues relate to the strengths and weaknesses of the human mind along with the things that stimulate and debilitate people's minds.

E4.3 Factors influencing safety related behaviour

Comfort zones

Humans are creatures of habit and their ability to work efficiently and safely are disturbed when they are taken out of their comfort zone. This can be the case in terms of environmental, organisational, work activity and relationship issues.

Compatibility

What is important is that working environments, equipment and systems of work should be designed compatible with human requirements rather than humans having to do the accommodating. Consideration must be given to:

Environmental factors that include:	Organisational factors that include:	Job factors that include:
Spatial requirements	Personal relationships	Illogical design or purchase o equipment
Ambient working temperature	Autocratic/threatening management	Poorly maintained equipmen
Humidity levels/purity of air	Poor or unsafe planning/ systems of work	Constant perceived danger or lack of danger
Plant movement	In-adequate.communications	Working beyond capacity or capability
Colour schemes	Role ambiguity/work pacing	Vegetation of skills
Cleanliness	No feelin of belonging or ownership	Repetitive nature of work
Housekeeping standards	Responsibilities	Comparison to machines
Size of organisation	Threat of redundancy	Quality controls
Lighting standards	Lack of job satisfaction	Obsolete plant
Noise	No prospects	No initiative required
Dangers in the workplace/activities	Poor/lack of communications	Poor operative for job selection criteria

In all of the above, relationships are important. For example:

• The relationship of an employee with their fellow employees and line managers
• An employee feeling that their needs are being ignored and neglected by those who design and layout workplaces and systems of work, purchase plant machinery and tools or make corporate management decisions
  All of these factors contribute to stress that can affect the ability of employees to perform at an optimum level of performance both in terms of quality and safety.

E4.4 Improving health and safety culture

By line management's leadership and example

As already stated, the further up the line management hiearchy we find low pockets of safety culture, the more serious the problem. lt is therfore imperative to ensure management at the very top level of an organisation are aware of the benefits that can be derived from developing a good safety culture. Once this has been established, a programme can be put in place to bring about the changes necessary to improve, sustain and develop the culture in which management lead by example.

Weakness can be developed into power through using stimulating rather than debilitating vocabulary. For example

Using stimulating words and phrases like 'please' and 'thank you', remembering to praise conformance to good standards as well as adequately dealing with non-conformances.

Implementing a programme to develop the items mentioned in the latter part of paragraph E4.3 above.
To develop the programme will require personnel with skills and competence in motivational concepts. lt may be worth organising information briefings and training sessions for line managers in such skills before embarking on the programme.

One person who has a vital role to play is the safety practitioner whao must become, if not already, a stimulator rather than a debilitator by their attitude and demeanor in faciliating and co-ordinating the development of a healthy up-beat safety culture. To do so will require new thinking and concepts that will require imaginative thoughts that are then put into action. This is called 'Vision Management'.

Improvements can also be made by gaining a greater understanding of the pressures that employees have in their daily lives.

For example:

Family demands/relationships	Health	Finance	Insecurity
Insolvency	Tests and check-ups	Inadequate housing	Localculture
Continual demands	Traumas	Sex	Physical danger
Diet/physical stature	Special needs or phobias	Race/religion	Traveling

Effective communication within the organisation

Whilst the organisation and line managers cannot solve everyone's life pressure problems they should at least take cognisance of the fact there may be a reason for a sudden unexplained down turn in an employee's attitude or diligence at work.

Organisations should recruit personnel with the required characteristics for the-job they will
can then develop their competences through a programme of professional

development consisting of information; instruction and training that will encourage them to have confidence in their ability and a sense of belonging.

Effective communication within the organisation:

Communication can be carried out in many ways.

For example:

a) From person to person

• By the spoken word, accompanied by voice inflections. This can be stimulating or debilitating. This type of communication can be individual or colleCtive by means of meetings or toolbox talks where everyone is encouraged to participate.
• By the written word, which can be authoritarian, encouraging or threatening. E.g. notices, posters letters, handbooks etc.
• Through body language and facial expressions By individuals
• By secondary action, i.e.ignoring or bypassing a person. b) By visualaids such as Films, videos, CD's etc.

Training

Physiological factors

When developing training courses it is important to understand:

• That people differ physically from one another is especially obvious just by looking at them.
• That our physical ability increases as we grow from child to adulthood and then begins to decline, as we get older.
• Senses such as feel, smell, hearing and sight are also different in individuals and again deteriorates with the aging process. That differences are also present in the ability of humans
  is also a commonly recognised fact.

The full importance and nature of the variation amongst people however is not generally
appreciated. Many believe that practice makes perfection; yet no amount of practice on the part of one person will make them as proficient in their work as a little practice will make another.

We also classify people as bright or dull, good or poor workers, easy going or hot-tempered. The implication in each of these pairs is that a person falls into either one of two categories. The reasons could be in many instances related to organisational work factors. For example:

• The employee is not given any stimulation by being involved in decision making.
• Their job is dull and uninteresting.
• Their job is above, or below, the employee's capability or capacity to perform.

In industry it is common practice to pay employees by the hour. This implies that a person's time is what counts rather than how much they accomplish. Paying for time encourages employees to put in their time rather than to produce according to their ability. This can debilitate people and does
not stimulate them to work efficiently.
Everything we do, say or think will either mentally stimulate or debilitate us. In addition everything

we say or do to other people has the same effect. lt is important that all line managers, and indeed safety practitioners, ensure that they stimulate rather than debilitate their work colleagues.

When training it must also be remembered that the human mind cannot think of two things at the same time and that this fact lies behind quite a number of accidents. For example you always remember a rung is missing when climbing a ladder but it's completely forgotten by the time you are coming down.

Motivational factors

Motivational factors will stimulate a person to action.

Examples are:

Praise for good conformance	Possibility of promotion	Incentive schemes
Emergencies	Peer group pressure	Threats

Attitude

This is our perceived thought about any particular subject that will influence our judgements and decision-making. For example:

Statement is made to a person

And is then filtered through their Attitude to a particular subject

Then the person will make a pronouncement that has been influenced by their Attitude
This highlights the need to try and influence a person’s attitude to be more favourable to what we are about to say before we make a statement to them. There are a number of different ways in which a person’s attitude can be influenced, for example:

• Facts or examples

i.e. stating facts that will be influential to the receiver of the information.

• Feeding their ego

Praising their attitude or common sense or acknowledging their expertise before you start.

A person will always be more influenced by their own thoughts rather than by the thoughts of others. This requires giving them scope to change their position/attitude.

There are two components that combine to influence a person's attitude. These are: )

Cognitive (learned) ingredients. These are based upon fact, knowledge or experience or beliefs. This latter ingredient is perhaps deeply ingrained and therefor most difficult to change.

Immediate response ingredients: These are based upon a person’s immediate attitude to the fact implanted into their mind.

Perception

This is the way in which people interpret their environment and relationships. lt includes their perception of what is hazardous, constitutes a risk, is dangerous or what is safe. There is a correlation between a person's perception and past experiences as well as their biological and psychological needs.

In perception the mind more readily identifies and evaluates immediate dangers as against the type of dangers associated with long term or slow injuries. For example the perception of a prehistoric man like Fred Flintstone would have identified the dangers associated with being confronted by a sabre tooth tiger much more readily than the hazards associated with food or personnal hygiene. Perception is often based upon past experience.

Remember:

Experience is what we get when we did not get what we -expected

The child that touches a hot stove did not get what they expected, but they learn, don't touch stoves, they are hot and burn!

The child's perception of dangers associated with stoves is now a defense against the possibility of being burnt.

Idiots never learn from experience, wise people do but the really wise people learn from the experience of others.

Personality

Personality includes characteristics that are inherited or evolved. Inherited ones can be temperament, emotions or traits and include whether the person is introvert or extrovert by nature. While some of these characteristics can be altered, they are often deep-rooted and difficult to change although not impossible.

By effective communications

• ChC:Jnging the style of in-house communications (verbal, written and graphic) by making them up-beat and optimistic rather than down-beat and pessimistic.
• Making the health and safety notice-boards and propaganda attractive and interesting rather than dull and boring

None of us know as much as all of us!

• Making dialogue with the work-force a two way affair where open management prevails and management listens as well as imparts.

Remember:

• Actively encouraging employees to participate through work and safety committees as well as asking for feed-back on how things are perceived by the work-force pro-actively before changes are made

E4.5 Internal and external influences on health and· safety management

Internal influences of health and safety culture

These come from:

• Individual job activities and organisational factors
• The influence of peers
• Sense of belonging or not belonging
• Sense of ownership or achievement
• Perception of risk and danger
• Sense of being appreciated and use of motivational language

External influences on health and safety culture

These come from:

• Society in general and local·environs
• Statutory legislation and standards of enforcement
• Civil case law
• Insurers
• Trade associations
• Trades unions
• Shareholders
• Economics or trade down sizing

Training requirements

• Ensure training is relevant and available where and when required. For example when:
• New employees join the organisation
• Personnel are promoted or change jobs
• Refresher training
• New legislation is invoked
• New work systems, processes, machinery or technology are introduced
• Additional training is identified following an accident investigation

All training should be reviewed and up-dated as required and properly focussed with feedback on benfits in terms of:

• Work being less stressful
• Work becoming part of each employee's comfort zones
• Productivity and human relations improving in the workplace
• The workforce feeling part of the management system of the company
• Enhancement of the organisation's health and safety·culture.

Typical Examination Questions based on Element 1.3 Organising for health and safety

1. (a) List FOUR categories of persons, other than employees, to whom an employer owes a duty to take reasonable care.
   
   (b).Outline the procedure that an organisation may adopt in order to ensure the safety of visitors to its premises. (6)


2. (a) Outline the duties placed on an employer towards employees under the Health and Safety at Work etc. Act 1974 (10)
   
   (b) Outline an action plan which would help ensure that the employer complies with these duties. (10)



3. Outline the functions of a safety representative as stated in the Safety Representatives and Safety Committee Regulations 1977. (8)
   
   
4. Outline the topics that may be included on the agenda of a health and safety committee meeting. (8}
   
   
5. In relation to the Health and safety (Consultation with Employee) Regulations 1996
   
   identify:
   
   (i) The health and safety matters on which employees have a duty to consult their employees. (4)
   
   (ii) Four types of information that an employer is NOT obliged to disclose to an employee representative. (4)



6. (a) Explain under what circumstances an employer must form a safety committee (2)
   
   (b) Explain why a health and safety committee could be ineffective. (6)

Answers :-

E3/1
(a) Categories could include, visitors, contractors, members of the public, trespassers.
(b) Procedures could include: Visitors signing in/out, badge system, Provision of instructions and information, restrictions from dangerous areas, escorting visitors at all times, checking for special needs.

E3/2
(a) Section 2 of the HSW Act'74 requires the provision and maintenance of safe plant, systems of work, articles and substances as well as the provision of adequate information, instruction, training and supervision.

(b) Reference should be made to provision of resources, defining responsibilities, assessing risks, identification of training needs, setting targets and time-scales, monitoring and ensuring adequate consultation.

E3/3
Do not confuse rights of representatives with their functions which are:

• Investigating potential dangerous situations and incidents affecting the wellbeing of employees
• Dealing with complaints from employees on health and safety matters
• Representation and consultation with employers on behalf of employees
• Making representations to employees on matters concerning the wellbeing of employees and on general health and safety issues
• Representing employees in workplace consultations with enforcing authority inspectors
• When appointed attending at safety committee meetings

E3/4
Topics could include:

• Review of recent accidents
• Review of proactive monitoring such as safety inspections and audits, statutory examinations of plant
• Reviewing health surveillance requirement and availability
• Review of visits by enforcing authorities
• Considering new or pending legislation, APCOP, Guidance notes or trade articles.
• Consideration of consultation with staff and questions etc. raised by staff
• Reviewing any changes that can affect safety issues
• Training and educational needs and availability
  

E3/5

(i) Introduction of measures that may substantially affect the health and safety of employees
The arrangement for appointing or nominating competent persons
Any health and safety information the employer must provide to employees
The planning and implementation of safety training
The health and safety consequences of introducing new technology, work shifts or patterns
(ii) Not obliged to disclose to employees:

• Personal health or medical records of specific individuals
• Information regarding national security
• Information not related to health and safety issues
• Where the information would contravene a statutory prohibition imposed on the employer
• Information obtained by the employer in connection with court proceeding
• Information that could damage the employer's business interests
  

E3/6
(a) Where they are requested to do so by two or more trades union appointed safety representatives
(b) Lack of:

• Commitment or motivation by members
• A formal agenda
• A good chairperson
• Expertise among member$
• Input to decision making
• No direction or remit

Organising for health and safety

The intention of this post is to aide readers in gaining an understanding of the legal and organisational health and safety roles and responsibilities of employers, managers, supervisors, employees and other relevant parties. Also to apprieciate the requirements placed on employers to consult with their employees.

3.1 Legal and organizational health and safety roles and responsibilities

To their employees

The employer has corporate and non-corporate duties of care for employEZes at common law and statute law. These duties are very similar although they are set out in more specific details under the Act.
In essence the statutory duties under section 2 of The Health and Safety at Work etc Act 1974 are that Employers must take all reasonable care to safeguard the health, safety and welfare of their employees. In particular this means providing and maintaining:

• Safe plant and systems of work.
• Safe handling, storage, maintenance and transportation of articles and substances associated with work.
• Adequate selection of employees and thereafter providing sufficient information, instruction, training and supervision.
• Safe places of work including access and egress to and from the workplace
• Safe working environments and adequate welfare facilities.

Implementation

To implement these duties of care employers require having a good safety policy that branches out into management controls such as those specified in element 2 paragraph 3 Organisation and Arrangements.
Duties to others
Employers have statutory duties placed on them under sections 3 and 4 of The Health and Safety at Work etc. Act 1974 towards persons other than employees, That is:

• Contractors who are commissioned to carry out work

Implementation

This duty can be implemented by initially validating contractors as having the skills and resources necessary to carry out the work they will be contracted to do. Thereafter by giving them clear and unambiguous information, instructions within an induction training session to fully understand when on site what is required of them, as well as specific hazards and safety arrangements applicable to them. Thereafter their work should be subject to regular safety monitoring to ensure compliance.

• Visitors to siteor premises

Implementation

All visitors must be signed on and off site, and where reasonably practicable always accompanied by a member of staff. They should be given sufficient and adequate information about the safety arrangements in place including emergency arrangements. It is important for the reception staff to ascertain if visitors have any special needs or requirements in order that these can be embraced in the safety arrangements for the visitor's wellbeing. They should also be informed of specific dangers and safeguards on site and of any restrictions on entry to dangerous areas.

• Self employed personnelwho are contracted for services

Implementation

Self employed, sub-contractors and delivery personnel must all be made aware of the hazards and arrangements that are in place to ensure their safety and the safety of other persons their work may cause danger to.

• Trespassers who come on site (deliberately or inadvertently)

Implementation
This duty requires employers not to deliberately set traps that could injure trespassers. This must also covers children who deliberately or inadvertently stray onto their premises. This also requires where adequate fencing to be in place where danger exists.
If a trespasser fell down an unguarded hole this would be seen in the same light as though it were an employee.

• The general public including the elderly and persons with special needs

Implementation

When dealing with the safety of the public it is important to remember that the public is made up of all types of people such as:

• Children who are extremely inquisitive with no sense of danger
• Elderly people who may be frail and easily confused
• Physically challenged persons, for example, partially sighted, hearing deficiencies, degraded mobility etc.
• Mentally challenged persons, who may not think like others
• People who cannot read
• People under the influence of alcohol or drugs
• Vandals

The last two groups are not only a danger to themselves but can deliberately set out to injure others.

The responsibilities of Directors and Senior Managers

Directors and senior managers require embracing corporate and individual responsibilities for ensuring the safety policy and corporate arrangements made thereunder are integrated into the management structure and arrangements in their departments.
This includes ensuring:

• Adequate financial resources are included in budgets for health, safety and welfare arrangements
• All line managers have been given sufficient information, knowledge and training to understand explicitly their contractual, corporate and personal duties of care when carrying out their job accountabilities
• That personal appraisals specifically considers accountabilities for health, safety and welfare issues

The responsibilities of middle managers and supervisors

Middle managers and supervisors must fully understand and be committed to ensuring health, safety and welfare matters are adequately and timeously dealt with as an integrated part of activities in their sphere of operation.
This includes ensuring:

• All staff under their jurisdiction are competent and diligent in carrying out their duties in a safe manner and within the framework of instructions and guidance given in training and company practices and procedures
• That compliance with duties of care is praised and non-compliance adequately dealt with
• That accidents and near miss incidents are recorded and given due care and consideration and where necessary action invoked to avoid recurrences
• That pro-active and reactive monitoring is carried out to identify any non-conformances to or of the management system with appropriate action taken

The health and safety practitioner, 'appointed person/s' and similar persons with primary health and safety functions

In each case such persons must have sufficient and satisfactory knowledge and personal skills to be able to carry out their functions in a proper manner.
The functions of such persons are to give reasonable, logical and competent advice and assist all personnel in the organisation, particularly directors and all line managers by helping to facilitate and coordinate health, safety and welfare issues in a satisfying manner.

All employees

All employees include everyone from the most senior executive to the most recent addition to staff. Obviously, the more senior the person, the more accountability and responsibility are placed on them.
Sections 7 and 8 of The Health and Safety at Work etc, Act 1974 places duties on all employees to:

• Take all reasonable care for their own health and safety and the health and safety of anyone who may be affected by their acts or omissions.
• Co-operate with their employers to meet legal obligations.
• Neither intentionally nor recklessly interfere with or misuse anything whether plant, equipment or methods of work, provided by their employer to meet obligations under this or any related legislation.

These duties have been extended and detailed by Regulation 14 of the Management of Health and Safety at Work Regulations 1999.

In practice this requires

Employees under these Regulations to notify their employer, or those they appoint to assist them with health and safety matters (for example, the company safety practitioner), without delay of any work situation that might present a serious and imminent danger. Employees should also notify any shortcomings in the health and safety arrangements, even when no immediate danger exists, so that the employer can take r medialaction if needed.

Persons in control of premises

Landlords or persons in control of premises are required by section 4 of the Health and Safety at Work etc. Act 1974 to ensure the means of access and egress is safe for those using their premises.
Section 5 of the 1974 Act relates to emissions of noxious or offensive substances into the atmosphere.

Duties of self-employed persons

Section 3(2) of the Health and Safety at Work etc, Act 1974 imposes a duty on self-employed persons 'to conduct his business in such a way as to ensure so far as is reasonably practicable that he and no other persons who may be affected by his acts or omissions are not unduly exposed to risks to their health and safety'.
These duties are similar to those imposed on employers with the provision they do not require a written safety policy.

Duties of those involved in the supply chain

Section 6 of the Health and Safety at Work etc, Act 1974 imposes duties upon designers, manufacturers, importers, installers and those who hire out plant and equipment to ensure, so far as is reasonably practicable, that the articles or substances for use at work are safe when being properly used.

Implementation

This section of the act imposes duties on all those involved in the supply chain that provides articles and substances to be used at work.
Sufficient research and tests must be competently carried out to validate and ensure substances and articles for use at work are safe when being 'used' in the widest sense; that is used in a reasonably foreseeable and responsible manner. Research and tests can be carried out in-house provided the expertise and independence from business pressures are present. An independent competent authority can also carry out the research and test requirements.
Information about the use to which an article or substance was designed, including any necessary conditions of use to ensure health and safety, must be supplied with the article or substance.
Anyone installing an article for use at work must ensure so far as is reasonably practicable, that nothing about the way it is installed or erected makes it unsafe or a risk to health when properly used.
Manufacturers must ensure quality controls are in place to ensure compliance with design criteria. Importers are legally responsible for the validity of imports.
Hirers of plant and equipment must ensure the plant is in good working order and complies with all statutory requirements.

Relationship between client and contractor

It is important when contractors are working on site that there is a mutual exchange of information and requirements in both directions.

1. What the client requires from the contractor

• The contractor conforms to certain safety requirements including provisions for protecting the client's employees and the public from hazards associated with the work to be undertaken. In order to enforce these requirements it is important to spell them out in the contract documents, (this makes them binding), otherwise they are merely loosely enforced agreements.
• The contract should also require the contractor to put in place a safety management system that the client reserves the right to monitor at random.
• Under no circumstances should a company undertake superv1s1on of the contractor's employees. The usual procedure would be to point out matters of safety to the contractor's site manager so that he can exercise control.

2. What the contractor requires from the client

The contractor should request information about:

• Any latent hazards on site that may not be commonly considered or easily identified or appreciated.
• Any special restrictions on working hours or other requirements that must be taken into account during the contract.
• Security arrangements.
• Delivery arrangements for plant machinery and other supplies.
• Arrangements for the siting of storage and site offices.
• Any shared welfare facilities that may be available.
• Accident and incident protocols (for example the various notification to whom etc.).
• A named client contact person who will be the liaison person for the duration of the contract.

Shared responsibilities in joint occupation of premises

Where there is joint occupation of premises it is imperative that co-ordination and co-operation takes place between the parties concerned. Having the property managed or factored by an externalagency is a good way of dealing with this.
In this way each occupant is responsible for their part of the premises and the factor, or property manager, arranges for building services, welfare arrangements, jointly used parts of the building and security arrangements to be maintained in good order.
The factor or building manager would hold regular meetings with the occupants to discuss any relevant matters including emergency arrangements and evacuation drills.

3.2 . Consultation with employees

Rights of employees

The Safety Representative and Safety Committee Regulations 1977 provided a set of entitlements to consultation to nominees (safety representatives) of recognised independent trade unions. They gave the right to safety representatives to make a number of inspections, to consult with the employer and to receive information on health and safety matters. The Regulations also provide for training, time off with pay to carry out the functions of safety representation and the right to require the employer to form a safety committee subject to certain requirements.
The Health and Safety (Consultation with Employees) Regulations 1996 apply in organisations that have employees not represented by trade unions. They require employers to consult with their employees on matters that affect, or could affect, their health and safety.
Basically they give the same·rights to non-union personnel as those given to trade union members by the previous Regulations. In some instances they expand or reinforce previous duties.

The duties of employers

The duty of employers is to consult with employees in good time on matters relating to their health and safety at work.
NB. 'In good time' means consultation so that the employee's views can be taken into account before decisions are taken.

In particular consultation regarding

The introduction of any measures at the workplace that substantially affect the health and safety of employees.
NB. The employer must provide enough information to allow employees to understand:

• What the likely hazards and risks arising from their work or changes to their work are.
• The measures in place or about to be introduced to deal with the hazards/risks.
• What employees ought to do when encountering hazards/risks including what to do in an emergency?
• The employer's arrangements for the appointment, or nomination, of persons to assist in carrying out risk assessments under the Management of Health and Safety at Work Regulations 1999.
• Any healttl and safety information the employer requires to provide under relevant statutory provisions. For example, the written safety policy and arrangements.
• The planning and organisation of any health and safety training the employer is duty bound to provide under statutory provisions.
• The health and safety consequences for employees from the introduction of new technologies into the workplace.

Note: Information and instruction are what is required to be given during training while consultation is the necessity to listen and take account of the views of employees. This latter requirement may take the form of appointing safety representatives and a safety committee

Employers have a choice on how to consult

For example:

• Consult through one or more freely elected representatives of the workforce.
• If no elected representatives are appointed, consult directly with the employees
• NB What matters is that employees, or their appointed representatives are made aware of:
• When their views are being sought regarding health and safety issues.
• Their rights to take part in discussions on all questions relating to their health and safety.

Safety representatives are entitled to:

• • Adequate training (in-house or external).
• • Time off with pay to carry out their functions, or to attend training.
• • Adequate facilities to allow them to carry out their functions.
• • View specific documentation which concerns health and safety issues. Information need not be given to safety representatives on matters that:
• • Personal health or medicalrecords of specific individuals
• • Information regarding national security
• ·· • ·Information not related to health arid-safety issues
• • Where the information would contravene a statutory prohibition imposed on the employer
• • Information obtained by the employer in connection with court proceeding
• • Information that could damage the employer's business interests.

Complaints against the employer concerning refusal to provide or allow time off for training and for not paying for that time are both heard by an Employment Tribunal

Functions of representatives

Safety representatives have functions to:

• Make representations to the employer on hazards and incidents affecting his constituents' health and safety.
• Receive information from the HSE.
• Investigate potential hazards and incidents affecting those they represent.
• Investigate complaints by those they represent.
• Carry out inspections of the workplace subject to the agreement of the employer.
• Attend meetings of a safety committee (if there is one and they are a member of the committee).

Safety Committees

A Company must form a safety committee when requested to do so by two or more recognized trade union appointed safety representatives.
Safety committees should be made up of a number of union appointed safety representatives plus where appropriate a number of elected non-union safety representatives and appointed representatives of management.
An important feature in setting up a safety committee is to draw up a clearly defined constitution and remit and to discuss these with safety representatives. This way, there is no misunderstanding as to what the committee will be doing and everyone knows the ground rules before they start.

Two main features of the constitution should be:

• To clearly define the role of the safety committee as being one of an advisory nature to line management.
• To ensure that the committee does not become bogged down looking at 'things' but rather at areas where the normal day to day management is not coping, or managing non-conformances in working conditions or practices.

For example, the committee should identify all deficiencies as being one of two non-conformances, i.e. either a non-conformance to the management system (someone is not doing the right thing) or, alternatively, a non-conformance of the management system (where the management system does not cope).
Whilst we all accept that accidents are caused by people, we often find, by observing the minutes of
Safety Committee meetings, that the committee is too concerned with 'things' that are wrong and not people's attitudes.
If, therefore, the committee looks at 'things' but observes these as indicative of attitudes, then it will be much more effective in assisting to develop a good safety culture within the organisation.

The following items are important in the operation of a safety committee:

• The committee members should be given adequate training in the job they are doing and also information regarding how the committee will operate. By doing this in advance, we will deal with issues before they become emotive
• Safety committees should meet on a regular basis.
• Members of the committee should be identified to the workforce in order that they may be communicated with.
• Members of the committee, in small groups, should carry out sliced safety audits and report their findings back to the main committee.
• The committee should consider accidents and near-miss incidents which could have resulted in serious injury and recommend to the company action, where action could be taken, to prevent a recurrence.
• The committee should review and consider any new legislation or court actions relevant to the company's business.
• The committee should keep minutes and distribute them as required as soon after the meeting as possible.

The committee should work to a formalised agenda. This could be standardised as follows:

1. Opened by the Chairman
2. Attendancetaken
3. Apologies
4. Minutes, as distributed, approved
5. *Any other competent business (this would be added below at item 10)
6. Agenda approved
7. Business arising from minutes
8. Safety report by the company
   (NB: this could be by the Safety Advisor of the company and could include accident statistics, reports and actions taken to avoid recurrences etc.)
9. Correspondence, including reports from sliced audits, new legislation, complaints made by employees to safety representatives, applicable court cases or from sub­ committees appointed by the committee.
10. Any other business (added from item 5 above)
11. Date of next meeting
12. Close of meeting

* By asking for any other business.early in the meeting it:

• Makes members think about things they wish to bring to the committee before they come to the meeting, rather than just re-acting to business as it is discussed.
• Allows the chairperson to allocate time for important items rather than 'other business' beif!g added as the meeting progresses.

It is also recommended that the company safety advisor chair the safety committee.This is because:

• As safety advisor they can be seen to be neutral and independent.
• It takes a senior manager away from the position of making instant decisions.

Remember:

'OUR SECOND THOUGHT ABOUT ANYTHING TENDS TO BE BETTER THAN OUR INSTANT ONE'

The proper structure and use of a safety committee will ensure effective relations between management and staff through their Safety Representatives.

NCC2: Construction health and safety practical application Part III

This Post follows on from a couple I posted a few of months ago for NCC2, this takes it to the final stages where we have to complete the practicle observation walkaround and then prepare a writtenn report to management

NCC2: Construction health and safety practical application Part I

NCC2: Construction health and safety practical application Part II

Sample report

Important Notes:

1. This report is not the only way that can be used to write your report, merely an example of what would obtain a good pass.


2. All defects noted should be chronologically numbered. This will allow for easy reference to items in when writing the report to management.


3. If you are carrying out inspections in more than one area, please start a new observation sheet for each area.


4. Number pages as in the sample report.


5. Please ensure your writing is reasonably legible and leave a space between each paragraph.


6. Do not attempt to re-write your observation sheets in the time that you are given to write your report to management. If you do, you will run out of time.


7. The observation sheets used in this post are similar to those you would be given during the actual inspection.


8. You will be supplied with a several headed sheets of paper. Ensure you complete the headings required.
   


9. We recommend that you number each item so that you may refer to it in your report tomanagement.


10. It is anticipated that the following sample report would receive reasonably good marks in all section

  

NATIONAL CERTIFICATE IN CONSTRUCTION HEALTH AND SAFETY	Practical unit marking sheet
Unit NCC2 — CONSTRUCTION HEALTH AND SAFETY PRACTICAL APPLICATION		Sheet number ___of_
Candidate name	Candidate number C
Place inspected	Date of inspection

 

Observations		Priority/ Risk	Actions to be taken (if any)	Time scale
List hazards, unsafe practices and good practices		(H, M, L)	List all immediate and longer-term actions required	(immediate, 1 week, etc.)
1 The guard on lathe No.4 was lying on an adjacent bench		H	Replace guard and instruct the operator it must not be removed	Immediate
2 Tools and waste were lying on a side bench		L	Tools should be properly stored and, Waste put into a waste receptacle	Immediate One week
3 Empty cardboard boxes were lying around on the floor		L	Remove boxes to store or to waste skip as appropriate	One week
4The local exhaust ventilation(LEV) was not properly  connected to the bench grinder		M	Secure the LEV to the grinder and instruct the supervisor to be vigilant and ensure it is always connected	Immediate
5 A pool of oil was on the floor next to drill number 4		H	Clean up the oil and speak to the operator	Immediate
6 The earth wire to the                electric welding booth table is broken		H	This should be connected at once Efforts should be made to enquire if this was due to lack of knowledge or negligence.	Immediate Two weeks
7 Tins of solvents were lying vented to atmosphere		M	These should be removed or capped Operators should be instructed this must not recur.	Immediate One week
8 The Forklift truck was blocking access to a fire point		L	The driver should be instructed to move the truck to a safe parking place, given the reason why and told not to park it in such a position again.	Immediate
9 The guard on drilling machine No.12 was hanging loose on one bolt		M	Secure the guard. Enquiries should be made as to why it was not reported	Immediate
10 Oil was being stored in two mineral bottles		L	Remove the bottles Employees should be reminded that This practice is unacceptable  and given the reasons why.	Immediate
11The visual panel on milling machine (No.9) was cracked		L	The guard should be repaired. Enquire from the operator when this had happened and if it had been reported	One week Immediate
12 A pallet was partially blocking a passageway		L	The pallet should be removed and the forklift  driver informed not to block passageways at any time	One week
13 An obsolete Factories Act 1961 poster was on  display. Other notices    were noted for their  absence		L	Remove the obsolete poster. Replace other statutory and information posters as required.	One month
14 Cigarette ends were observed on the floor of the flammable goods store		H	An investigation should be initiated to find out who was smoking and appropriate action taken. Supervisors should be reminded they are expected to be vigilant and spot such unsafe practices	Immediate
15 The lighting above the variable speed turning lathe is  undiffused fluorescent lights		M	This type of lighting could cause a stroboscope effect on moving parts and should  either be defused or replaced.	Two weeks
16 Cans of paint and empty oil containers had been dumped in the skip for ordinary waste.		M	Remove these cans and drums and have them taken away as hazardous waste by a specialist waste removal company. Instruct staff this must not happen again.	Immediate One week
17 Damage safety goggles and gloves were lying around at  random throughout the machine shop		L	These should be removed. Staff reminded of their legal duty to take care of their PPE.	Immediate One week
18 Various hand-tools were lying around damaged. Files  were  observed with no handles on them		M	Such tools can be dangerous to use and should either be scrapped or repaired. Staff should be reminded of their duty of care	Immediate One week
19 Storage racking had obviously been hit by the forklift truck		L	The racking should be repaired and inquiries made  as to why the damage had not been reported. Consideration should be made as to whether  the driver should be disciplined or trained.	One month

Note: Start a new sheet for each location visited, but continue the number sequence of observations.

Report to Senior Management

Candidate name _________________________________ Candidate Number C___________

Place inspected  _________________________________ Date of Inspection ____ /___ /____

Introduction:

This inspection was carried out to identify:

• Hazards and potentially dangerous situations and areas


• Breaches of statutory or common law duties of care


• Time-scaled recommendations in order to appropriately deal with the hazards, dangerous situations and breaches of legislation identified

The inspection was carried out at a time when no work was being undertaken; therefore observations are only made on the conditions observed at the time of the inspection and any reasonable assumptions that can be made as a result of the observations.

General Observations:
Generally the safety standards observed throughout the premises inspected were reasonable and displayed a good degree of general safety practices and awareness. However there were a number of deficiencies noted mostly of low risk, which are indicative of a certain degree of slackness both in terms of safety supervision and of diligence amongst the workforce.
Observations and recommendations on the necessary action to be taken by local managers and supervisors are shown on the appended observation sheets.
There were two items noted that required immediate attention because of the nature of the hazard and the imminent nature of the associated danger. These are highlighted on the inspection sheets. In each case the deficiencies and recommendations were immediately made known to the local manager for his/her attention.

1. The earth wire on the metal table in the electric welding booth was broken
This is a breach of the Electricity at Work Regulations 1989 and could have resulted in a prohibition notice being served and a criminal prosecution being undertaken against both the company and/or individual members of management or staff (see item 6 on the observation sheets).

Recommendation

Whilst this particular incident may have received immediate attention it is recommended that the supervisor be instructed to ensure no recurrence of this type of incident takes place.



1. Cigarette ends on the floor of the flammable goods store.

Smoking in this area could well result in an explosion. The condition of the cigarette ends suggests that this was no isolated incident. The smoking shows a blatant disregard for the 'No Smoking' notice that is prominently displayed (see item 4 on the observation sheets)

Recommendations:

As these cigarette ends were easily observed it should also have been obvious to supervisors who should have taken appropriate action to deal with the situation. It is recommended that supervisors be reminded of their need to be vigilant for such offences. Also a general notice be displayed warning that such smoking is a serious safety violation that will result in severe disciplinary action.

Other Deficiencies:

As shown on the observation sheets there were a number of other items that require your attention.
These can be grouped as follows:
Housekeeping: Items 1, 2, 4, 21, 22 & 25 on the observation sheets

Whilst the overall housekeeping standards were reasonable there were a number of items lying around and other situations that required attention.
Housekeeping is often indicative of the safety culture of an organisation and gives first impressions to visitors such as HSE inspectors, insurance personnel or customers.
Poor housekeeping can cause damage to equipment and products and often leads to accidents. It can also constitute a breach of duties of care under The Workplace (Health, Safety and Welfare) Regulations 1992, Section 2 of the health and Safety at Work etc, Act 1974 and common law duties of care.

Recommendations:
On all these grounds it is worth emphasising to employees and supervisors the need for good housekeeping standards to be maintained at all times.

Machinery Safety: Items 1, 4 & 11 on the observation sheets

Deficiencies include missing, loose or damaged guards and local exhaust ventilation. These are all breaches of The Provision and Use of Work Equipment Regulations 1998

Recommendations:
Instructions should be issued to ensure that guards are not removed and defective equipment is reported in order that repairs may be carried out.
There were also no markings on machines to indicate they had been reviewed to ensure they are in compliance with The Provision and Use of Work Equipment Regulations 1998.

Hazardous Substances: Items 7, 10 & 16 on the observation sheets

A certain degree of carelessness was observed with regards to the storing, use and disposal of dangerous substances. This constitutes a breach of The Control of Substances Hazardous to Health Regulations 2002 and The Environmental Protection Act 1990.

Recommendations:
All personnel, especially managers and supervisors should be reminded of the need to adhere strictly to the company policy on the control of substances hazardous to health as it is a requirement of the 2002 Regulations.

Fire Safety: Items 7, 8 & 14 on the observation sheets

There are a number of non-conformances relating to fire safety such as uncapped tins of solvent, fire doors blocked and evidence of smoking. These are non-conformances to the company's own fire precaution arrangements and are in breach of the Fire Precautions (Workplace) Regulations 1997.

Recommendations:
Staff should be reminded of their statutory and contractual duties to comply with fire prevention and protection arrangements.

Personnel Protective Equipment: Item 17 on the observation sheets

There were a number of damaged safety goggles and gloves lying around the workshop. This clearly indicates that employees are in breach of their duties of care to take reasonable care of equipment supplied to them under the Personal Protective Equipment at Work Regulations 1992.

Recommendations:
All employees must be reminded of their statutory duties of care and that if this abuse continues disciplinary action will be taken. It may also be worth discussing this matter at the next meeting of the company safety committee.

Safety Information and Posters: Item 13 on the observation sheets

An old Factories Act poster was on display. This observation indicates a formal procedure is required to renew and review posters around the premises. This could also indicate a breach of the Health and Safety (Safety Signs and Signals) Regulations 1996.

Recommendations:
It is recommended that a procedure be adopted to review and replace as required notices. Obsolete posters reduce the credibility of all notices on display.

Training

It is recommended that some refresher and upgrading training on safety awareness would be an advantage. This could draw the attention of all staff to their statutory, common and contractual duties of care as well as explaining to them good safety practices and the advantages of developing a good safety culture. The training programme should be commenced within a medium time-scale.

Safety Monitoring

This inspection indicates that in the longer term the company would benefit from setting up a safety inspection and auditing system. These audits will be of value in monitoring health and safety compliance with legal requirements and also the safety management system of the company.

Cost of Compliance

Most of the recommendation made can be implemented at little or no cost. In the replacement of equipment costs will be moderate. Whilst safety training will result in some time off work for those attending in-house courses (approximately one half day each) plus fees to tutors the advantages should more than repay themselves over a period of time.

The Benefits

The benefits of implementing the actions recommended will reduce the possibility of recurrence of these types of non-conformances. It will also benefit the company in reducing damage and lost time incidents as well as assisting to improve the overall safety culture of the organisation.

----------------------------------------------------------------------------------------------------------------------------

Marks for the report to management could be reduced for the following reasons:

Item	Marks available	Reason for low marks
Selection of topics management action for urgent	10	Not emphasising the more serious hazards with no attempt to differentiate between trivial issues and important ones.
Consideration of cost implications	5	Unrealistic costs. Better to use statements such as low, medium or high costs with perhaps a general note emphasising the benefits of spending the money.
Identification of beaches of legislation	5	Breaches of legislation not being   correctly identified. Candidates will not be penalised for omitting the dates of legislation or for referring to items of legislation in shortened terms where the full title has already been given. Inaccuracies, in titles, or confusion where over where the legislation applies will lead to lower marks being awarded.
Presentation of information	10	Lower marks will be given for poorly structured, reports where items are not in a logical sequence or more important topics not highlighted.
Effectiveness in convincing management to take action	15	Marks awarded in this section will reflect the marks awarded in the other section. Vague, weak or erroneous statements will not inspire action by management.

Typical Examination Questions based on Element 2 The Health & safety Policy

As the title sugests this post contains example question from element 2 of the NGC1 Management of health & safety certificate,

The Health & safety Policy

1. Outline the main components of a health and safety management system. (8)


2. Explain the factors that should be considered when drawing up the arrangements section of a safety policy. (8)


3. Outline the factors that should be considered when auditing the effectiveness of compliance with an organisation's health and safety policy. (8)


4. (a) Outline the legal requirements whereby employers must prepare a written statement of their health and safety policy. (2)

(b) Explain the purposes of EACH of the following sections of a health and safety policy document:


(i) 'statement of intent' (2)
(ii) 'organisation' (2)
(iii) 'arrangements' (2)

(c) Outline the issues that are typically included in the arrangements section of a health and safety policy document. (12).


5. (a) Identify the typical content of the 'statement of intent' section of an organisation's health and safety document. (2)
   (b) Outline the factors that may indicate that health and safety standards within an organization do not reflect the objectives within the 'statement of intent'. (6)

Element 2 The Health & safety Policy Typical Exam Questions Answers

E2/1 Answers should have included the objectives set out in HSG65.These are:

The safety policy as being a clear statement of intent, setting the main health and safety aims and objectives of the company

The organisation for health and safety to be such as to ensure clear allocation of responsibilities to members of staff with the emphasis on achieving competency, control, communications and consultation.

Planning and implementation to involve risk assessment, the setting of standards and the introduction of appropriate control measures to achieve standards

Measuring performance by proactive and reactive monitoring methods

Review and auditing to check whether what was planned is actually happening and to consider options for improvement, setting new targets where necessary

E2/2 The answer should include factors rather than a list of topics.
For example, type of Organisation, work processes, hazards, format, layout, skill factors and type of workforce. Marks would be awarded for considering content although this is not the main thrust of this question.

E2/3 Factors that could be included are; the quality, availability and understanding by the workforce of the policy; The use of site tours and inspections etc.; the relevance of performance indicators (e.g. accidents/incident rates); the standard and use of training and maintenance along with records; the cross-checking of health and safety arrangements against practical implementation, the standard of conformance with both management and shop floor activities.

E2/4
(a) The requirements for a safety policy is imposed on employers with 5 or more employees by the Health and safety at Work Act 1974

(b) Statement of intent - demonstrates the organisation's commitment to, and sets objectives for, health and safety

Organisation - identifies health and safety responsibilities and communication channels within the organisation

Arrangements section - details the practical means of achieving the objectives laid down in the policy statement

(c) This section should identify a range of health and safety issues for which arrangements should be in place. For example: Machinery, hazardous substances, manual handling, fire, accident investigation, reporting and control, employee consultation, monitoring arrangements, emergency procedures, risk assessments, maintenance, selection and training of staff etc.

E2/5

1. (a) The 'statement of intent' is designed to provide an overview of the general health and safety goals and objectives of an organization. Additionally, it should be signd by the most senior person in the organization to demonstrate management's commitment to achieving the stated objectives.


2. (b) Answers should include:
   
   
   • Failure to communicate the policy to employees
   • A lack of commitment from management
   • A lack of investment in health and safety
   • A poor overall safety culture
   • High accident, incident and ill-health rates
   • Low moralamongst employees
   • High staff turnover
   • Unacceptable rates of absenteeism
   • Unsafe and poorly maintained equipment
   • Inadequate provision of personalprotective equipment
   • The absence of monitoring procedures.
     

The Health & Safety Policy

This post is inteneded to help explain the purpose and importance of setting policy for health and safety and describe the key features and appropriate content of an effective health and safety policy.

1. The importance of setting policy for health and safety

The most effective means of demonstrating the importance of health and safety issues is for organisations to have a health and safety policy that is signed and dated by the most senior member of the management team. The need for all employers to create in writing a safety policy is a statutory requirement under section 2(3) of the Health and Safety at Work etc. Act 1974. Small organisations with less than 5 employees still require a health and safety policy, but not in writing.
This is only the law emphasising what has been known for many years - good organisations have safety policies at the heart of their safety manag.ement arrangements.
Policies should be 'enabling' like the Health and Safety at Work etc Act itself that is, written in a way that is reasonable and logical and the touchstone against what every activity within the organisation can be benchmarked.
The policy in itself can assign responsibilities and set methods by which the organisation's policy on health and safety issues can be implemented.
These assigned responsibilities and accountabilities must not be in any conflict with any person's job descriptions and should be taken into account when considering if what employees are being asked to do is reasonable within time constraints.
Accountability is the primary key and this is not the same as responsibility. Accountability is responsibility that is evaluated and measured during safety audits and, during annual individual job appraisals.
The policy should include a simple statement of the intent of management, together with the details of the organisation along with delegated responsibilities at each level of the operation.
This policy must be made known to every employee and 'made known' does not mean just displaying it on the company notice board. A useful method to ensure that the policy is 'made known' to every employee is to arrange for them to read it and sign a document to that effect.


2. The key features and appropriate content of an organisation's health and safety policy

We must not get mixed up in our minds between a safety policy and a safety manual. These are not the same even though in some organisations they are combined.
The safety policy should set targets and make reference to the safety manual as well as other stand-alone documentation like maintenance manuals or training programmes.
The policy should provide all employees with concise details of the health and safety objectives of the organisation.
That is what everyone must know and take account of.
Employees must also be aware of their responsibilities as related to their particular job within the organisation and how their actions or inaction impact upon other people..
In large organisations with several sites, possibly doing entirely different types of operations, the safety policy of intent will be the same but detailed arrangements for implementing it will be written at local level.
Organisational arrangements
Whether the company is a multi-national corporation or a small business, the policy must contain the same basic matters.
Obviously, the requirements for large corporati6ns will be much more extensive than for amall business where in many cases the management system can be to a great extent informal.
A health and safety policy will normally have three sections:-
The statement of intention - this will set out an expression of intention, and commitment, to matters concerning health and safety.
The organisation section will describe the responsibility of line managers and employees at all levels.
The arrangements section will detail the way in which health and safety is managed. The arrangement section may include:-

• The systems by which safety performance is monitored in order to identify, record and take appropriate action to deal with deficiencies in performance
• Identification of the main hazards likely to be encountered by the workforce or other persons who may be affected by work activities.
• Significant findings of generic risk assessments and any circumstances when specific risk assessments will be required with arrangements or cross references for dealing with them
• Employee selection criteria and subsequent training arrangements
• Buildings, plant, machinery, equipment selection criteria along with maintenance arrangements and statutory examination and testing
• Material and substance purchasing policy and arrangements
• Safety arrangements for products and services
• Occupational health facilities including first-aid arrangements
• Environmental monitoring policy and arrangements
• Methods of reporting accidents and incidents
• Methods used to investigate accidents and incidents
• Arrangements to validate, appoint and control the work of contractors
• The policy for the assessment of the need for personal protective equipment, it's purchase, availability, use, storage and replacement arrangements along with training requirements
• Workers consultation arrangements, for example, safety committees
• Fire and other emergency arrangements
• Arrangements for dealing with safety violations and of encouraging conformance

Other considerations

Safety policies as written statements of the intention of management should be live working documents. They serve as a record of the standard of care that management is intending to provide.
They offer a useful method of evaluating an organisation in terms of their commitment to health and safety matters.
Unfortunately in a considerable number of organisations, especially smaller ones, the policy is merely a useful document to produce if asked to do so by inspectors, insurance companies or clients. In these cases any similarity between what the policy says and what is happening may be only co-incidental!
In using the policy to validate clients it is important to look closely at samples of activities to assess if the policy is indeed a live enabling one or merely cosmetic.
Because the policy is a statutory requirement it may well be used as evidence during a possible prosecution or civil claim for damages.

Revision of safety policy

Safety policies should be revised as often as is necessary. If the statement of intent is well worded in enabling terms it should, like The Health and Safety at Work etc. Act 1974, stand up well to the test of time.
It is more likely that changes will be required occasionally for one or more of the following reasons:

• New or amended legislation
• The setting of new case law precedents
• Following an incident that demonstrated a need for change

Changes in:

• products or services
• work processes or machinery
• personnel
• hours of work
• premises

The function of the safety policy

Safety policy statements and associate documentation serve as a structure to demonstrate that the organisation is meeting its common and statutory legal requirements. It should always be remembered that the law demands only the minimum of what is acceptable.
Good organisations should use the policy as a stepping-stone to higher objectives that can be based on moral duties and the reduction of financial loss.

Typical Examination Question (with answers) From the Management of Health & Safety Paper NGC1

1.

(a) Define the term 'Negligence' (2)
(b) Outline the THREE standard conditions that must be met for an employee to prove a case of alleged negligence against an employer. (6)

Answers

(a) Negligence is a civil wrong (delict/tort) involving unreasonable, careless conduct or a breach of common law duty of care resulting in loss, damage or injury.
(b)

1. A duty of care was owed by the employer
2. There was a breach of that duty
3. The breach led directly to the loss, injury or damage.

2. Explain with examples the meaning of the follow terms:

(i) 'Hazard' (2)
(ii) Risk (3)
(iii) 'So far as is reasonably practicable' (3)

Answers

(i) Hazard - Something with the inherent ability to cause harm
(ii) Risk- The degree•of exposure to the harm x the potential harm factor

(iii) So far as is reasonably practicable - Assessing risk i.e. the potential harm against sacrifice i.e. the cost in terms of money loss of production or other costs

3. Outline with an example of each the difference between a HSC approved codes of practice and a HSE guidance note. (8)

Answers

An ACOP is a practice approved by the HSC with the consent of the Secretary of State and is a recognised interpretation of how an employer may comply with their associated legislation. Although failure to comply is not in itself an offence, the failure may be cited in court in criminal proceedings.
Employers would need to show the met the requirements of the ACOP or show they complied with an equal or better standard. An example is the ACOP to the Management of Health and Safety at Work Regulations 1999
Guidance is is ued by the HSE with the intentions of giving advice on good practice Guidance is normally more practically based than ACOP's and has no legal standing in a court of law.
Examples include those issued on manual handling or Display screen equipment

4. Outline the difference between civil law and criminal law. (8)

Answers

Among the differences are Civil law provides remedies while criminal law punishes. The burdens of proof are different in civil law 'On a balance of probability', .in criminal law 'beyond all reasonable doubt'. In civil law the parties involved are two civil bodies (individuals or corporate bodies) whereas in criminal cases it is the state and an individual or corporate body.
There are differences in the sources of law with criminal law generally written in statutes and civil law by judicial precedent

5. (a) Explain giving an example in each case the circumstance under which a health and safety inspector may serve;

(i) An improvement notice• (3)
(ii) A prohibition notice (3)

(b) State the effect on each type of enforcement notice of appealing against it. (2)

Answers

Improvement notices are issued when an inspector believes a statutory duty is being, or likely to be breach. For example carrying out work which may have significant risks associated with it and which no risk assessment has been made.
Prohibition notices are issued when the inspector considers there is imminent danger. For example, working with a crane in close proximity to high voltage power lines with no specific safety arrangements.
An appeal against an improvement notice would mean the notice is set aside until the appeal is heard. In the case of an appeal against a prohibition notice the notice will stand until the appeal is heard.

6. Outline the powers given to health and safety inspectors under The Health and Safety at Work etc Act 1974 (8)

Answers

Powers given to inspectors include:

• Gain access, without a warrant, to a workplace at any reasonable time.
• Employ police to assist them, where necessary.
• Take equipment, etc on to premises to assist in investigations.
• Carry out examinations and investigations as deemed necessary.
• Direct that locations remain undisturbed for as long as he/she deems necessary.
• Take measurements, photographs and samples.
• Take statements; remove certain records and documents.
• Require facilities to assist with enquiries.
• Issue improvement or prohibition notices
• Instigate criminal proceeding against individuals or corporate bodies for breaches of criminal law
• Do anything else necessary to enable his/her duty to be carried out.
  

MANAGEMENT OF HEALTH AND SAFETY

Foundations in health and safety

From this post is is hoped that readers whos are studying for a NEBOSH certificate will gain an understanding of what will be required for the NCG1 paper, this post is intended to help
1.1 Outline the scope and nature of occupational health and safety
1.2 Explain briefly the moral, legal and financial reasons for promoting good standards of health and safety.
1.3 Outline the legal framework for the regulation of health and safety
1.4 Describe the roles and powers of enforcement agencies, the judiciary and externalagencies
1.5 Identify the nature and key sources of health and safety information
1.6 Outline the key elements of a health ansafety management system.

Content

1.1 The scope and nature of occupational health and safety

Health, safety, welfare and environmental protection

• Health is concerned with the soundness of our physical body and our mind. That is, a condition of our mind and body.
• Safety is defined as 'free from harm, injury and risk'. That is, a condition we are in, where the wellbeing of our body and mind are not in danger of being adversely affected.
• Welfare is a collection of things that are put in place to ensure our wellbeing (our health) is looked after.
• Environmental protection is the guardianship we use to protect the environment, that is, the air, water and earth that surrounds us.

From these statements it can be seen that each of the above is different yet at the same time interrelated in that they are all concernd with the basic function of protecting life and the wellbeing of people.
Accidents, dangerous occurrences, near misses, and work-related ill health (physiological and psychological)

• Accidents can be defined as undesired, unplanned events in a series of planned events. The adverse consequences are, in the majority of cases immediate, but can be longer term. These consequences can have both physiological and psychological effects.
• Dangerous occurrences are events that have the ability to cause injury and damage. The consequences can be anything from minor to disastrous.
• Near misses, are dangerous occurrences that, in the incident in question, did not lead to an accident or dangerous occurrence.
• Work related ill-health happens when our protective shields of welfare and environmental protection fail to protect us. Ill-heath, like an accident, can have immediate consequences, but more likely will have long-term consequences often referred to as slow injuries.

Hazard and risk

• Hazard is something that has the inherent ability to cause harm. It can be animal, vegetable, mineral or abstract. It is quantitative; for example, slightly hazardous or very hazardous. Examples: a human, a poisonous plant, asbestos, or threatening behaviour.
• Risk is the possibility of exposure to a hazard. Often measured as: Severity of hazard x probability of exposure

1.2 The moral, legal and financial reasons for maintaining and promoting health and safety

Civil law and criminallaw (purpose, burdens of proof and remedies)

Civil law is the law that remains in areas where the state, through Acts of parliament, has not penetrated or intervened. It is law based upon the determination of particular cases in which judgements are made in courts, or on the formulation of general principles.
The purpose of civil law is to compensate a person or organisation (the pursuer) who brings an action for damages against another (the defendant) who has been found guilty of negligence. The person who has suffered the injury or damage must start the action.
The burden of proof is based on 'a preponderance (balance) of probability' and the remedy is reparation or financial compensation.
Criminal law is concerned essentially, with those offences that the state seeks to prevent. These offences can be against the state, against persons or against property.
The burden of proof is 'beyond all reasonable doubt' and it is for the prosecutor to prove this.
A person or organisation found guilty under criminal law of an offence can have penalties imposed. These penalties can befines or imprisonment.

Common (Civil) Law

The evolvement of acceptable customs

We,that is, The people living today, are a product of an evolved civilisation going back through history to a time when groups of people lived in isolation. As communal groups increased, it was necessary that members of the communities developed culturally acceptable standards of behaviour compatible with living together. This is true of all animals e.g. rats, elephants, tigers, humans, monkeys or apes etc.

Eventually the various types and forms of living creatures, of which man is one, developed customs, practices and procedures which allowed the groups to live in comparative peace and harmony, both within the groups and indeed in co-habitation with other groups.
As groups enlarged and developed, leaders or councils were elected and they in turn appointed people to make judgements about disputes within the group. This has evolved until today where we have sheriffs and judges who make decisions through our civil courts settling disputes between various individuals and/or factions.

When decisions are not well received within a society, wise leaders pay attention to this, so that if a similar type incident arises, decisions will be based on how their previous decisions were accepted.

Today we call such action 'Court Precedents'.

There are many former court cases, which have set precedents and are used by sheriffs and judges when making decisions on cases. It should be noted that, when a superior court makes a judgement, all inferior courts must take the decision into account in making their judgements.

From this method of precedents and evolving law based on cultural acceptable standards, we developed what is known as 'Common Law'.

At work under common law there are five main duties of care that employers owe to their employees. These are to give them:

(i) A safe place of work

In complying with this duty, we must consider the complete 'goldfish bowl' in which people work. That is, the condition of the following:

• Grounds, buildings and layout.
• Machinery.
• Safe storage, handling and use of articles and substances.
• Utility services (electricity, gas, water, pneumatics, hydraulics etc).
• Environment (temperature/dust/fumes/humidity/lighting/noise/quality of air etc).

(ii) Safe access and egress to/from the workplace

Consider: vehicles, passageways, stairs, ladders, scaffolds, special needs of people, emergency arrangements etc.

(iii) Adequate (fit for purpose) plant, machinery and tools

Consider: fitness for purpose, maintenance, controls, ergonomics (both physical and psychological) etc.

(iv) Safe systems of work

Consider: associated hazards, risks, dangers, compatibility with human abilities and limitations etc.

(v) Competent work-mates

Understand that work-mates are not only members of peer groups of workers but also include:

• Supervisors, managers and directors whose acts or omissions ca_n affect others
• Contractors who become work-mates.

All of these duties evolve in line with what is acceptable within society. Therefore what was acceptable yesterday may not be acceptable today, and what is acceptable today may not be acceptable tomorrow.

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One of the basic problems with common law is that before a person can proceed ith a civil action for injury or damage the injury or damage has to be_ sustained.Hence the reason the state brings in statutory laws.

The size of the health and safety problem can be seen in the following chart:

Key annual figures 2010/11
Ill Health	1.2 million working people were suffering from a work-related illness.
	Occupational Cancer Over 5000 casesestimated each yearfrom the constructionindustryOther
	Occupational Asthma About 30 000 people currently report they are suffering from breathing or lung problems caused or made worse by their work 2321 people died from mesothelioma in 2009 and thousands more from other occupational cancers and diseases such as COPD.
Injuries	171 workers killed at work.
	115 000 injuries were reported under RIDDOR.
	200 000 reportable injuries (over 3 day absence) occurredoccurred, according to the Labour Force Survey, a rate of 710 per 100 000 workers..
Working Days Lost	26.4 million working days were lost due to work-related illness and workplace injury 15 days per case of work-related illness or workplace injury.
Enforcement	551 offences were prosecuted by HSE with a conviction rate of 94%
	129 offences were prosecuted by local authorities with a conviction rate of 97%

Source: HSC Health and Safety Statistics 2010/11.

It speaks for itself when reflecting on these figures that there is a strong moral argument in a civilised society to do all that we can to stop people's quality of life, if not life itself, being destroyed by work activities.

Cost of accidents

Justification of costs of implementing safety and health measures can be seen in terms of:

• Keeping the company on the right side of the law
• Reducing insurance claims
• Good public and industrial relations
• Looking after the good reputation of the organisation
• Improving morale within the workforce

In addition to the above, accidents are more costly to a company than is generally appreciated. The cost of accidents is divided into direct costs (that is insurance costs) and indirect costs. Associated with every accident unplanned and/or unmanaged event) are considerable losses that are absorbed into what is called overhead costs. These costs are in addition to what would normally be recovered from insurance plus the cost of first-aid facilities.

Indirect costs can include:

• Lost time and talent of the injured employee
• Lost production and with it, the possible goodwill of customers )
• Cost of investigation with possible highlighting of other deficiencies
• Court expenditure, including possible fines etc.,
• Damage to property, plant and machinery
• Cost of industrial and/or public unrest
• Increased insurance premiums

Accident costs

These average indirect costs are based on random sampling.

• Three day reportable type incidents resulted in losses of................... £589.00
• First aid treatment incidents (including up to two days absence) ........ £18.00
• Damage type incidents .....................................................................£274.00

The average number of reportable injury incidents in a factory employing 1,000 people is 30 per year.
A review of first aid incidents indicates that the number of entries in first aid books tends to be around
75% of the numbers employed. Note: This does not means that 75% of the workforce requires treatment. Some employees attend for treatment more often than others.
All statistical evidence suggests that there are many more damage type incidents at work than injury incidents.
The survey did not take account of either downtime incidents or cumulative injuries, unless they were recorded in accident books. Note: Statistics have shown that on average, there are a great many more cumulative health injuries at work than physical reportable type injuries.

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Indirect costs

Using these figures we arrive at:
30 x three day incidents at £589.00 each ..........= £17,670.00
750 incidents at £18.00 each ............................= £13,500.00

Assuming that the number of damage incidents are the same as injury ones:
780 damage incidents = £213,720.00

This gives a totalcost of
Turnover costs: = £244,890.00

The only place the money to pay for accidents can come from is turnover profit.
If an organisation's turnover profit is 10%, then for every pound lost in accidents, they must turnover ten pounds.


From the figures above, the organisation would have to turnover £2,448,900

In terms of production this would be the equivalent of:
Making and selling 244,890 shirts with a wholesale price of £10.00.

Purchasing land, obtaining building permission, designing houses and then building an estate of 30 semi-detached houses and selling them.

Optimum level loss control

It is not possible to save all such losses. However if an organisation commits itself to diligently applying a total loss prevention programme, substantial savings can be made on losses that are normally just absorbed into 'overhead costs'.

1.3 The legal framework for the regulation of health and safety

Statute (criminal) law

Today much of our statute law is being brought in under the umbrella of the Regulations and Directives from the European Union. EU Regulations are directly imposed upon member states, whereas Directives set out general principals that each member state must encompass into their statute laws within an agreed time-scale.

Statute laws, when introduced by the state, will mean that those not complying with the law can be prosecuted by the state through the criminal courts, where if found guilty, the perpetrator of the
offence can be given a warning, fined or sent to prison.

Statutory law

Statute laws are Acts of Parliament such as The Health and Safety at Work etc Act 1974, together with the Regulations, Rules and Orders made within the scope of the Acts.

Modern Acts of Parliament set out principles or objectives and use specific Regulations or Orders to implement the principles/objectives.

Acts of Parliament are primary or principal legislation, whereas Regulations made under the Acts are secondary delegated legislation.By-laws made by local authorities are another example of delegated legislation. Ministers of the Crown make regulations via powers given to them by a Principal Act. Once introduced, they become statute law like the Acts of Parliament and breaches of them
constitute a criminal offence.

Most current legislation concerning health, safety and welfare and almost all of what will be future legislation originates within the European Community framework.

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Administration

The administration of the E.U. is carried out through four bodies:

• The Commission

This is formed of Commissioners representing each of the member states. The Commission administers the law throughout the E.U. similar to that of the U.K. civil service. E.U.. Iegislation originates from the Commission in the form of Directives sent for approval to the Council of Ministers.

• The Council of Ministers

This is composed of delegates from each member state. It is similar to the Government of the U.K. and voting is proportional, depending on the size of each country's population. Matters concerning health and safety are subject to qualified majority voting.

• The European Parliament

This is formed of representatives elected from constituencies from within member states. It consults and debates on all proposed legislation.

• European Court of Justice

This adjudicates on the law of .the EEC and its decision is binding upon all member states' judicial courts by virtue of the EEC Act 1972. It has 13 Judges, including one from each member state. The European Court of Human Rights enforces agreed community standards on the protection of human rights and fundamental freedom.

Elements of EC law

Apart from the general provisions of the Treaty of Rome (which is signed by all member states), there are three elements of European Law:

• European Regulations

These are passed by the Council of Ministers and are adopted immediately .into the legal framework of each member state. They a.re directly imposed on every citizen living within the EC.

• Directives

These set out general objective standards, which must be achieved by member states within a specific time-scale. Member states can decide whether to alter their own individual legal framework to meet the objectives of Directives or adopt them directly. In the UK, the implementation is by Statutory Instruments, i.e. Regulations.

• Decisions

These are decisions reached when a matter is taken to the European Courts and affects only the parties directly concerned, although they do set precedents.
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Statutory Jaw

Statute laws are Acts of Parliament such as The Health and Safety at Work etc Act 1974, together with the Regulations, Rules and Orders made within the scope of the Acts.
Modern Acts of Parliament set out principles or objectives and use specific Regulations or Orders to implement the principles/objectives.
Acts of Parliament are primary or principal legislation, whereas Regulations made under the Acts are secondary delegated legislation. By-laws made by local authorities are another example of delegated legislation. Ministers of the Crown make regulations via powers given to them by a Principal Act. Once introduced, they become statute law like the Acts of Parliament and breaches of them constitute a criminal offence.

The Health and Safety at Work etc, Act, 1974

This is the primary piece of legislation on which all of our statutory legal requirements concerning health and safety at work is based. It is an enabling Act in that it sets out objectives to be achieved rather than specific requirements.

The following sections, 2 - 9 contain the main thrust of those requirements.

Section 2

Employers must take all reasonable care to safeguard the health, safety and welfare of their employees. In particular this means providing and maintaining:

• Safe plant and systems of work.
• Safe handling, storage, maintenance and transportation of articles and substances associated with work.
• Adequate selection of employees and thereafter providing sufficient information, instruction, training and supervision.
• Safe places of work including access and egress.
• Safe working environments and adequate welfare facilities

There is an absolute duty on employers with five or more employees to prepare revise as necessary and communicate to all staff, a written safety policy detailing a policy of intent and organisational arrangements for implementing it.
Employers must consult with employees on health and safety matters, and where requested to do so by two or more trades union appointed safety representative, set up a safety committee.
The self -employed has similar duties but do not require a written safety policy.

Sections 3 and 4

These sections impose duties of care on employers towards persons other than employees, e.g. contractors, visitors, self-employed and general public.

Section 5

Repealed

Section 6

Designers, manufacturers, importers, installers and those who hire out plant and/or equipment have a duty to ensure, so far as is reasonably practicable, that the article or substance for use at work is safe when being properly used.
Sufficient tests etc., must be competently carried out to validate the article or substance for use at work.
All necessary information must be provided regarding the article or substance and the safeguards to be observed when using or storing it. Such information should not just be 'made available'.

Section 7 and 8

Duties are placed on employees at work to:

• Take all reasonable care for their own health and safety and the health and safety of anyone who may be affected by their acts or omissions.
• Co-operate with their employers to meet legal obligations.
• Neither intentionally, nor recklessly interfere with or misuse anything whether plant, equipment or methods of work, provided by their employer to meet obligations under this or any related legislation.

Section 9

The employer is not allo ed to charge employees for anything done or provided to meet specific statutory requirements.

Approved codes of practice

These are brought in to supplement statutory legislation such as Acts and Regulations.
They give guidance on the general requirements and explain how the requirements can best be adequately implemented. This effectively allows standards to be kept current by altering the ACOP rather than having to amend the legislation.
Failure to comply with an ACOP is not in itself an offence, but failure is held to be proof of contravention unless the defender can show the compliance was achieved in some other way.
The test would be that the 'other way' did not in any way circumvent the element of care in the ACOP.

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Guidance notes

These are issued by the HSE as opinions of good practice. They have no legal force, but becquse of their origin would be 'persuasive' in practice with lower courts, and useful in civil cases to establish reasonable standards of care.
Types of duties imposed by statute

• Absolute duty - otherwise known as 'Strict Liability'

An Act or Regulation where there is a high risk of severe injury or a high risk of an occurrence,
which could lead to severe injury, imposes this duty. The words 'must' or 'shall' appear in the , )
requirement of the Act or Regulation.

• Duty to do what is 'Practicable'

• Some Regulations state that action must be taken so far as is practicable. To implement this duty, the employer must consider current technological knowledge and feasibility. Some degree of reasonability can be applied and account taken of current practice - but cautiously. 'Practicable' means something less than physically possible.

• Duty to do 'So far as is reasonably practicable'

This phrase qualifies almost all of the general duties imposed by the Health and Safety at Work etc. Act 1974.
It allows a balance to be made between the cost of the action proposed (in terms of money,
time or inconvenience) against the degree of risk associated with the situation being )
considered.

The employer's duty of care and the rights and expectations of employees

The employer's duty of care toward employees is expressed in common law as providing:

• A safe place of work
• Safe access and egress to and from the place of work
• Adequate and safe plant machinery and tools for use at work
• Safe systems of work
• Competent work-mates

In addition employers have a duty to ensure their work activities do not impinge upon the wellbeing of other persons.
These duties are now embedded within statutory law in the form of The Health and Safety at Work etc., Act 1974 and Regulations made thereunder. Employees have the right to expect their employer to give all due care and attention to matters concerning their health and saf ty. That is the employer meeting both his statutory and common law duties of care.

The employer's common law and statutory duties of care

The duties of care include such items as ensuring:

• Adequate consideration is given to the selection of staff that are, or can be, developed through education and training to be able to competently carry out the type of work detailed in their job
  description.
• Proper consideration is given to the adequacy and maintenance of places of work, plant,
  machinery, tools and systems of work. These must be maintained in conditions that are safe and free from undue risks to employees or any other persons who may be affected by work activities.
• Sufficient monitoring arrangements are carried out that will identify non-conformances of or to the management systems and thereafter taking appropriate action to eliminate such non­ conformances.

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1.4 The role and powers of enforcing agencies,the judiciary and external agencies

Criminal liabilities

The enforcement arrangements

• The Health and Safety Executive (HSE) is the enforcement body of the Health and Safety Commission (HSC).

The HSC consists of ten .members appointed by the Government from industry, trade unions, local authorities and other interested groups (currently consumers).
The HSE has the principle responsibility for enforcing legislation and employ enforcement officers (inspectors). For lower risk activities and premises such as offices and retail outlets, the powers of enforcement are delegated to local authority environmental departments, whose officers (EHOs) have the same powers as HSE inspectors.

Powers of inspectors

An appointed inspector can:

• Gain access, without a warrant, to a workplace at any reasonable time.
• Employ police to assist them, where necessary.
• Take equipment, etc on to premises to assist in investigations.
• Carry out examinations and investigations as deemed necessary.
• Direct that locations remain undisturbed for as long as they deem necessary.
• Take measurements, photographs and samples.
• Take statements; remove certain records and documents.
• Require facilities to assist with enquiries.
• Do anything else necessary to enable their duties to be carried out.

Enforcement

Where an inspector discovers what is considered to be a contravention of an Act or Regulation, they
can:

• Issue a Prohibition Notice with immediate or deferred effect. Such a notice will prohibit the activity described in it. The inspector will issue such a notice where it is considered that there is an imminent risk of serious injury.
  • An appeal can be made against the notice but the notice will remain in force until the appeal is heard.
• Issue an Improvement Notice, which will specify a timescale within which the rectification of the contravention must take place.
  • Appeals can be made within 21 days to an employment tribunal.This would postpone the notice until the appeal is heard.
• Prosecute any individualwho contravenes a requirement or fails to comply with a notice.
• Seize and/or render harmless any substance or article which is considered to be of imminent danger.

Penalties

The Health and Safety at Work etc Act, section 33 (as amended) sets out the offences and maximum penalties under health and safety legislation.

Failing to comply with an improvement or prohibition notice, or a court remedy order (issued under the HSW Act sections 21, 22 and 42 respectively):

Lower court maximum £20,000 and/or 6 months imprisonment

Higher court maximum unlimited fine and/or 2 years imprisonment

Breach of sections 2 - 6 of the HSW Act, which set out the general duties of employers, self­ employed persons, manufacturers and suppliers to safeguard the health and safety of workers and members of the public who may be affected by work activities:

Lower court maximum £20,000

Higher court maximum unlimited fine

Other breaches of the HSW Act, and breaches of 1relevant statutory provisions' under the Act, which include all health and safety regulations. These impose both general and more specific requirements, such as requirements to carry out a suitable and sufficient risk assessment or to
provide suitable personal protective equipment:

Lower court maximum £5,000

Higher court maximum unlimited fine

Contravening licence requirements, or provisions relating to explosives. Licensing requirements apply to nuclear installations, asbestos removal, and storage and manufacture of explosives. All entail serious hazards, which must be rigorously controlled.

Lower court maximum £5,000

Higher court maximum unlimited fine and/or 2 years imprisonment

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Employment tribunals

Tribunals are part of the statutory system of law in which different tribunals are regulated by differing statutory provisions. They are not courts but are bodies established to make decisions in particular areas of law. The legal instrument that brings them into being regulates them. Employment Tribunals are chaired by a legally qualified person and normally have one member representing the CBI and one representing the TUC. The tribunal has the power to either cancel or affirm a notice. The tribunal can affirm the notice in its original form or with such modifications as the tribunal may in the circumstances see fit.

Appeals against tribunal decisions are allowed on questions of law, decisions being referred back to the tribunal if it has acted improperly, exceeded it's jurisdiction or refused to hear a case.

Civil liabilities

A 'delict' is a civil wrong; it is termed a 'tort' in England. It is harmful conduct by a person or organisation that causes loss or injury to another person. It subjects the person or organisation responsible for a loss or injury to legal liability and to make reparation for the damage caused.
Delict is summed up by the maxim 'Damnum injuria datum'- loss caused by legal wrong. The three elements can be defined as:

• Damnum - loss or injury suffered by the party who has been wronged.
• Injuria - conduct which mounts to a legal wrong.
• A causative link between damnum and injuria Le.loss and injury must be directly linked to the legal wrong.

The duty of care required by common law, if civil liability for negligence is to be avoided, seeks to ensure simply that a person takes 'reasonable care' if he is in a situation where, if he were to fail to take such care, it could be foreseen that somebody else might suffer injury or loss.
Negligence is when a person fails in their common law duty of care to another.
The three questions, which must be answered in the affirmative in order to establish liability for negligence, are:

(i) Did the defender owe a duty of care to the pursuer?
(ii) Was there a breach of that duty of care?
(iii) Did the damages sustained by the pursuer result directly from the breach of duty?

Vicarious liability

Vicarious liability is where one person is held responsible for the acts or omissions of another.
Under common law, an employer is always held responsible for the acts or omissions of his employees whilst they are at work.

Courts

Civil cases in Scotland are dealt with at the Sheriff Court and appeals firstly at the Court of Session
and thereafter in the House of Lords.
Criminal cases in Scotland would normally be heard in the Sheriff Court and appeals in the High
Court of Justiciary and thereafter the Criminal Court of Appeal.

Defences

General defences that may be pleaded are:

• All reasonable action was taken.
• No duty of care was owed.
• There was no breach of duty.
• The injury/damage was too remote from the breach.
• Mistake.
• Statutory requirement i.e. the act was carried out under a statutory requirement.
• Necessity e.g. where a house on fire is demolished.
• Private defence e.g. reasonable force is used to defend oneself.
• Inevitable accident e.g. not avoidable by any reasonable action that may have been taken.
• Volenti-non-fit injuria i.e. a person cannot complain of an injury if they deliberately took the risk.

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The Health and Safety Commission (HSC)

The HSC are appointed by the Secretary for State and consists of a chairperson and nine members. Three are appointed after consultation with employers' organ_isations, three after consultation with employees' organisations and two after consultation with local authorities.
It is the duty of the HSC to:

• Assist and encourage people in furthering safety
• Arrange for the carrying out of research and to encourage research and the provision of training and information by others
• Provide an information and advisory service
• Submit proposals for regulations
• Report to and act on directions given by the Secretary for State
• Liase with local authorities and fire authorities to whom it has delegated some of it's duties

The Health and Safety Executive (HSE)

The HSE, which is appointed by the HSC, has responsibility for implementation. It consists of three persons one of who is the director and has a duty to perform such functions that the HSC directs him to do. For example the HSC may direct the HSE to make a special report on any accident, occurrence or other matter for a general purpose or with a view to making new Regulations.
The HSE employs Inspectors whose main function is to oversee the ways in which organisations try to comply with statutory duties of care and to take action where they find non-conformances.

Local Authorities

Local authorities have delegated powers to bring in specific by-laws. They also employ Environmental Health Officers (EHO's) who have the same powers as HSE inspectors. Environmental Health Officers inspect standards of compliance within offices, shops and non-or light industrial premises.

Fire Authorities

The Fire Authorities carry out inspections of work places and enforce compliance with in particular issues relating to fire risk assessments. They also offer advice on fire precautions and have powers to issue prohibition and improvement notices in the same manner as the HSE and EHO inspectors.

The Scottish Environmental Protection Agency

The Scottish Environmental Protection Agency was established in 1996 by the Environmental Protection Act and laid down its authority and responsibility. The Agency has amongst its duties a responsibility to carry out assessments of existing/potential pollution levels. It will also identify options for prevention/minimisation rather than punishment and compensation for individual offences committed and injuries suffered in connection with occupation of land (e.g. common law nuisance). To some extent this is still the trend today. A similar Agency operatesin England and Wales.

Insurance Companies

There are two forms of insurance that are compulsory. These are Employer's Liability and Motor Insurance. Other types of insurances are optional although few companies would operate without for example, fire insurance.

The trend today is for insurance companies to take a more hands-on approach when underwriting liability and engineering insurance.

Most insurers employ liability surveyors to visit their clients in order to establish the level of safety culture that exists. They will also assess the quality of management system and it's implementation as well as compliance with statutory duties of care.

They will consider the monitoring arrangements within the organisation to identify non-conformances and take corrective action.

The insurer will then recommend an action plan to the insured and whilst these are only recommendations, non-compliance may affect the premiums for insurance and in some instances lead to a cancellation.

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1.5 Sources of information on health and safety

Within an organisation there will be a variety of different sources of information both internal and external:
Internal sources:

• Drawings of buildings, describing materials, incoming services etc.,
• Manufacturer's instruction manuals for plant and machinery
• Maintenance records of plant and machinery
• Accident and incident investigation records
• Names of suppliers and service organisations
• Reports from outside agencies such as HSE, customer audits, and insurance companies
• Training records
• Job descriptions
• Safety policy and arrangements

External sources:

• Manufacturers handouts and booklets
• HSC and HSE publications
• Trades associations
• International Labour Organisation
• British standards
• Internet
• Encyclopaedias
• Case law
• Magazines and newspapers

1.6 The key elements of a health and safety management system

In the HSE publication HSG65 the six main elements for successful health and safety management are listed as:

• Policy

Having in place a well written and clearly definitive policy with regards to health and safety issues

• Organisation

Adequate levels of control, communications, competence, co-operation

• Planning and implementing

Pro-active management planning to ensure all events are adequately managed and active and positive implementation of planning strategy

• Measuring performance

Active (inspections, sampling or health monitoring etc.,) and re-active (investigating accidents, dangerous incidents, health problems etc.,) monitoring

• Reviewing performance

Carrying out critical analysis of how well the system of management is functioning with regards to h alth and safety issues

• Auditing

Carrying out a comprehensive audit to identify non-conformances of or.to the management system and then taking appropriate action to eliminatthe non-conformances.

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