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Module 4:
Understanding
responsibilities

Learning outcome:

The learner will be able to:

Define the key terms relating to safety and health.

Module 4: Understanding Identify how the law can have an impact on safety and health in the
responsibilities workplace.
List the benefits and characteristics of an effective health and safety
management system.
Describe the principles that underpin good safety and health
performance.

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4.1: An overview of what the law requires an organisation to do

A simple definition of law is: “a set of rules that aims to regulate the behaviour of society”.

There are two branches of law, both of which regulate health and safety - criminal law and civil law.

Criminal Law

Under the law employers are responsible for health and safety
management. The following provides a broad outline of how the
law applies to employers. Don't forget, employees and the self-
employed have important responsibilities too.

It is an employer's duty to protect the health, safety and welfare

of their employees and other people who might be affected by
their business. Employers must do whatever is reasonably
practicable to achieve this.

This means making sure that workers and others are protected
from anything that may cause harm, effectively controlling any
risks to injury or health that could arise in the workplace.

Employers have duties under health and safety law to assess

risks in the workplace. Risk assessments should be carried out
that address all risks that might cause harm in the workplace.

Employers must give employees (and others as necessary)

information about the risks in the workplace and how they are
protected, also they must instruct and train on how to deal with
the risks.

Employers are required to consult employees on health and

safety issues. Consultation must be either direct or through a
safety representative that is either elected by the workforce or
appointed by a trade union.

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Civil Law
Civil law concerns disputes between individuals or, in
the workplace, disputes between an individual and an
organisation. In civil cases the claimant (pursuer in
Scotland) sues the defendant (defender in Scotland) in
order to address a "civil wrong" (tort - or delict in
Scotland).

As a civil court is concerned with liability rather than

guilt, the burden of proof is at a lower level than the
"beyond reasonable doubt" required in a criminal court
and is based on the "balance of probabilities".

If the claimant is successful, the defendant will be required to

pay compensation in the form of "damages". General
damages are awarded for pain, suffering and loss of life
amenities.

Special damages are awarded for financial loss, for example -

loss of earnings and medical costs.

Unlike criminal law, it is possible for a civil case to be "statute

barred" due to the passage of time. The Limitations Act 1980
allows the claimant 3 years from the time of discovery of his
injury/ill health to start proceedings.

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Which law is initiated by the state?

 Criminal

Civil

Good score, well done!

1/1

4.2: Definition of the term “reasonably

foreseeable”.
To consider an action negligent and therefore find a party
responsible for injury, the act would have to be considered
“reasonably foreseeable”. Therefore, just because an accident
happens because of another (the employer for example), that
doesn’t automatically entitle the injured party (the employee)
to compensation. This means that a reasonable person has to
be able to predict or expect any harm arising from their
actions.

In the same way, it would be unreasonable for health and

safety laws to punish an employer who exposed its workers
to risks that were not foreseeable.

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There have been occasions (see the case study that follows) where
workers were exposed to risks that were unknown at that time. As
knowledge increases (often as a result of an incident or scientific
investigation) so these “new risks” have become understood.

The law now takes this into account and requires the duty holder
to be responsible for reasonably foreseeable risks.

According to the law employers are not responsible for

hazards/events that they can successfully argue were not
reasonably foreseeable.

Case study: Doughty v Turner

Manufacturing Company [1964]
An asbestos lid was accidentally knocked into a cauldron of
molten liquid. A few moments later an explosion occurred.
The claimant, Mr Doughty, was standing close by and suffered
burns from the explosion. The explosion occurred as a result
of the asbestos reacting with the chemicals in the liquid in the
high temperature. At the time of the incident it was not known
that the asbestos could react in that way.

It was held that it was not foreseeable that an explosion would

occur. Whilst it may be foreseeable the lid may have caused a
splash resulting in a scald, it was not foreseeable that an
explosion would occur resulting in burns.

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To determine if the risk is foreseeable, there are 3 simple tests that can be undertaken...

Meaning most people Meaning that the risk is Meaning that only an expert
would recognise the known in a specific would recognise the risk.
risk. For example, the risk industry. For example, For example, only an expert,
of falling into a deep hole people in the oil industry perhaps aided by an
where there is no signage would recognise the risk of instrument, would
or barrier. exposure to hydrogen recognise a risk of exposure
sulphide. to “invisible” dust.

What type of knowledge? Fill in the missing words.

Industry  knowledge - Meaning that the risk is known in a specific

industry. For example, people in the oil industry would recognise the risk of
exposure to hydrogen sulphide.
Expert  knowledge - Meaning that only an expert would recognise the
risk. For example, only an expert, perhaps aided by an instrument, would
recognise a risk of exposure to “invisible” dust.
Common  knowledge - Meaning most people would recognise the risk.
For example, the risk of falling into a deep hole where there is no signage or
barrier).

Good score, well done!

3/3

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4.3: The most important duties for employers and

employees
The Health and Safety at Work, etc. Act 1974 (HSWA)

Prior to 1974 some 8 million employees had no legal safety protection at

work. HSWA provides the legal framework to promote, stimulate and
encourage high standards of health and safety in places of work. It
protects workers and the public from workplace risks.

The key objectives of the HSWA, that are still relevant today are:

To secure the health, safety and welfare of people at work.

To Protect people other than those at work against risks to their
health and safety arising out of work activities.

HSWA applies to all types of work activity and situations and imposes
duties on everyone concerned with work and workplace activities,
including employers, the self-employed and employees,
manufacturers, designers and suppliers and people in control of
premises.

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Section 2 – General duties of employers to their employees

2 (1) Every employer has to ensure, so far as is reasonably practicable, the health, safety
and welfare at work of all his employees.

2 (2) The extent of the general duty includes (so far as is reasonably practicable):

The provision and maintenance of plant and systems of work that are safe and without
risks to health.
Arrangements for ensuring health and safety with the use, handling, storage
and transport of articles and substances.
The provision of information, instruction, training and supervision to ensure,
the health and safety at work of employees.
Maintenance of any workplace, under his control, in a healthy and safe
condition, including any means of access and egress.
The provision and maintenance of a safe and healthy working environment
with adequate facilities and arrangements for the welfare of employees at
work.

Under sections 2(3), 2(4), 2(6) and 2(7) an employer is required to:

For workplaces with five or more employees, employers must keep a

written record of their health and safety policy and bring it to the
attention of all employees together with any revisions.
Recognise and consult with employees (or employee
representatives) on relevant policies and general health and safety
arrangements.
Set up a health and safety committee (if one does not already exist)
when requested to do so by employee safety representatives.

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Section 3 – General duties of employers and the self-employed to

non-employees

Requires every employer to conduct his undertaking in such a way as to

ensure, so far as is reasonably practicable, that persons not in his
employment who may be affected, are not exposed to risks to their
health and safety.

Similar duties are imposed on the self-employed.

Case study: R v Associated Octel Ltd (1994)

Associated Octel Ltd (AOL) employed a contractor, Resin Glass Products
(RGP) Ltd to clean and repair the inside of a tank. An employee of RGP
cleaning the inside of a tank was badly burned as a result of a fire inside
the tank.

RGP Ltd was convicted under section 2 of the Act and Associated Octel Ltd
was convicted under section 3 for failing to protect non-employees from
health and safety risks from their “undertaking”.

AOL appealed against the judgement, arguing that RGP was an

independent contractor and that the work was not part of AOL's
‘undertaking.

The appeal was dismissed. The word “undertaking” means “business” or

“enterprise” and this activity was clearly part of AOL’s ‘undertaking’ as the
tank was part of their plant and the work formed part of their planned
maintenance programme. AOL should have specified the necessary
requirements for avoiding risks to health and safety.

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Section 4 – Duty of person in control of premises

Any person who has to any extent, the control of work

premises, including the means of access or egress or any plant
or substance in such premises, has a duty to take all reasonable
measures to ensure that all are safe and without risks to health
of non-employees who use non-domestic premises as a place of
work or as a place where they may use plant or substances
provided for their use (for example, a public laundrette).

Whilst this duty overlaps with the general duties of sections 2

and 3, the duties imposed by sections 2 and 3 would take
precedence when there is clearly an employer’s duty.

The aim is to place a duty on whoever has the power to remedy

a source of hazard.

Section 6 – Duties of designers, manufacturers, importers, suppliers and installers

Any person, who designs, manufactures, imports or supplies any article or substance
for use at work has duties to ensure, so far as is reasonably practicable:

That the article or substance is safe and without risks to health when
properly used.
Any necessary research and testing or examination of the article or
substance is properly undertaken.
Adequate information is provided to ensure its safe use.

Erectors and installers have a duty to ensure that nothing about the way
in which an article intended for work is erected or installed makes it
unsafe or a risk to health when properly used.

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Section 7 – General duties of employees at work

Every employee is required to:

To take reasonable care for the health and safety of himself

and of other persons who may be affected by his work.
To co-operate with his employer so far as is necessary to
enable the employer to comply with their legal duties.

Section 8 – Duty to not interfere with

or misuse anything provided in the
interests of health, safety or welfare

No person shall intentionally or recklessly

interfere with or misuse anything
provided in the interests of health, safety
or welfare whether for the protection of
employees or other persons.

(Note: This duty is imposed on all people,

which includes employees, visitors,
trespassers or members of the public).

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Section 9 – Duty of an employer not to charge

Imposes a duty on an employer not to charge employees for

anything that is required to satisfy a safety requirement. For
example, if an employer's risk assessment determines that certain
types of personal protective equipment (PPE) are required for an
activity, the employer must provide that PPE free of charge.

Section 36 – Offences due to fault of another person

If person ‘A’ commits an offence because of an act or default of

person ‘B’, then person ‘B’ may also be charged and convicted of
the offence as well as, or instead of person ‘A’.

For example, an employee reports a defective guard on a

machine. If the supervisor forces the employee to continue
operating the machine, both the supervisor and the employee
may have been deemed to have committed an offence. The
supervisor under section 36.

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Section 37 – Offences by bodies corporate

The intention of section 37 is to impose liability for those who

have real authority and are deemed to be the decision
makers within the company, having both the power and the
responsibility to decide corporate policy and strategy (i.e. the
board and the senior management team).

Section 37 states that "any offence that is committed with the

consent, connivance or neglect of any director, manager,
secretary or similar officer of the body corporate, then
he/she as well as the body corporate, can be found guilty and
punished accordingly".

To determine whether a risk is “foreseeable” you

should use common and expert knowledge along with
which other type of knowledge?

Employer

Personal

 Industry

Good score, well done!

1/1

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The Management of Health and Safety at

Work Regulations (MHSWR) 1999
Introduction

The Management of Health and Safety at Work Regulations

first came into effect in 1993, in order to meet a European
directive.

Made under the provisions of section 50 of the Health and

Safety at Work, etc. Act (HSWA), MHSWR applies to all place of
work covered by HSWA. The regulations lay down specific
requirements (such as the requirement for employers to carry
out a "suitable and sufficient" risk assessment) for duty
holders to comply with. The main duties follow.

Risk assessment (Regulation 3)

One of the most important of the Regulations. It requires

employers to make a "suitable and sufficient" risk assessment
of the risks to the health and safety to employees and others
(e.g. contractors, visitors and the public) as a result of the
employer's work activities (undertaking).

The risk assessment must be in writing if there are 5 or more

employees.

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Principles of prevention to be applied risk (Regulation 4)

Regulation 4 sets a clear hierarchy of preventive and protective

measures. Avoiding the risk all together is the first preferred
option, whilst personal protective measures come well
towards the bottom of the list.

The principles are:

Avoiding risks.
Evaluating the risks which cannot be avoided.
Combating the risks at source.
Adapting the work to the individual, especially as regards the design of workplaces, the choice of work
equipment and the choice of working and production methods with a view, in particular, to alleviating
monotonous work and work at a predetermined work-rate and to reducing their effect on health.
Adapting to technical progress.
Replacing the dangerous by the non-dangerous or the less dangerous.
Developing a coherent overall prevention policy which covers technology, organisation of work, working
conditions, social relationships and the influence of factors relating to the working environment.
Giving collective protective measures priority over individual protective measures.
Giving appropriate instructions to employees.

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Health and safety arrangements (Regulation 5)

Imposes a requirement on employers to make arrangements

to cover the 'effective planning, organisation, control,
monitoring and review' of health and safety (i.e. a health and
safety management system). Where there are five or more
employees, these arrangements must be in writing.

Health and safety assistance (Regulation 7)

Requires employers to appoint 'one or more competent persons'

to assist in meeting their legal health and safety obligations. Those
appointed do not have to be employees as the necessary help can
be obtained through consultants. However, preference should be
given to appointing from within the organisation.

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Procedures for serious and imminent danger and for

danger areas (Regulation 8)

Requires that employers must establish appropriate

procedures and nominate enough people to implement them.
In addition, employers should ensure that untrained staff are
not allowed access to dangerous areas (for example, electrical
sub stations or toxic gas process areas).

This could simply be procedures for fire for a low-risk

organisation. At the other end of the scale, a chemical plant
may require procedures for fire, explosion, chemical spillages
and gas release. The risk assessment will determine what is
required.

Information for employees (Regulation 10)

Imposes a requirement on employers to provide their employees

with 'comprehensible and relevant information' on:

The risks to their health and safety identified in the risk

assessment.
The preventative and protective measures.
The procedures for serious and imminent danger.
The people appointed to take charge for such procedures.
Any risks notified to him by other employers occupying the same
premises.

Before employing a child (someone under school leaving age who

may be on "work experience") the employer is required to provide
this information to the child's parents or guardian.

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Capabilities and training (Regulation 13)

Requires employers to take employees capabilities into account

when allocating duties AND to ensure that the demands of a job
do not exceed an employee's ability to do that job safely. In
addition, employers are required to provide adequate health
and safety training to employees in the following
circumstances:

On recruitment (e.g. induction).

Whenever the risks to which they are exposed change. This
could be as a result of a change of position, or as a result of
the introduction of new equipment or working practices or
new technology.

Such training should be periodically repeated as appropriate

and must be carried out during working hours.

Employees' duties (Regulation 14)

Regulation 14 expands on the general duties imposed on

employees by the Health and Safety at Work Act (section7).

Employees are required to use items provided by the employer (for

example: machinery, substances, tools and personal protective
equipment) in accordance with the training and instructions that
the employer provides (under the requirements of regulations 10
and 13).

In addition, employees are required to notify employers of any

serious hazards that they may encounter, or any shortcomings in
health and safety arrangements that the employer has put in place
(such as a defective or faulty guard on a piece of equipment). A
verbal report to a supervisor would discharge this duty.

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4.4: The difference between criminal and civil law in relation to

health and safety and possible outcomes of breaches of the law
The way that both criminal and civil law work is best illustrated with an example:

Scenario: A hospital nurse slips on a wet surface at work and suffers a broken hip. This could
result in two separate actions being taken.

Possible criminal implications:

The accident is investigated by the enforcing authority. This will usually be by
the Health and Safety Executive (HSE) or the Local Authority (LA) enforcement
agents. The HSE tend to be responsible for higher risk premises and the LA for
lower risk premises.
If the enforcement inspector is of the opinion that a law has been broken (for example,
Health and Safety at Work, etc. Act 1974 Section 2(1) which states “every employer
shall, so far is reasonably practicable, ensure the health, safety and welfare of all his
employees”) then the inspector might decide to prosecute.
If an organisation is found guilty of this offence in a criminal court (in this case, a
Magistrates court) they would be fined. This is their punishment for breaking the law.
The fine is a cost that cannot be protected by an insurance policy.

The intent of the criminal legal system is to punish those who

break the law. In this case however, this does not help the injured
nurse. If the nurse wished to claim financial compensation for the
injury, it is the civil system that they would normally turn to.

The civil law implications may be:

The injured employee seeks compensation by suing their

employer.
If the case goes to court (the employer may admit liability
without the case going to court) the employee (via his solicitor)
would need to show that, on the balance of probabilities, the
employer was negligent and therefore liable for their injury.
If successful, the court would decide on the amount of
compensation to be paid to the injured employee. This
compensation is covered by the Employer’s Liability Insurance
policy.

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The table compares the differences between criminal and civil law.

4.5: Civil liabilities

Negligence

Negligence may be defined as "careless conduct injuring

another". It may also be explained as "any act or omission
which falls short of a standard to be expected of the reasonable
person".

For a negligence action to succeed the claimant must prove that

a duty of care was owed, it was breached and, that the breach
caused a loss.

Negligence is action in a civil court for the purpose of

compensation.

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The duty of care

The 1932 case of Donoghue v Stevenson established a principle

(known as the "neighbour principle") that would cover all cases of
negligence.

Lord Aitkin said:

“You must take reasonable care to avoid acts or omissions which

you can reasonably foresee would be likely to injure your
neighbour. Who then, in law is my neighbour? The answer seems to
be – persons who are so closely and directly affected by my act that
I ought reasonably to have them in contemplation as being so
affected when I am directing my mind to the acts or omissions
which are called in question”.

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In life in general, our "neighbour" refers to those people who

may be directly affected by our acts or omissions. For example:

Doctor to patient
Road users to other road users

The duty applies to an employer just as much as it does to

individuals. In the work place an employer has a duty of care to
his employees and others (e.g. visitors and contractors) who
may foreseeably be affected by his acts or omissions.

For a claimant to be successful in a claim for negligence, the

following 3 tests must all be proven:

1. Duty owed

2. Duty breach

3. Breach led to the loss

1. Duty of Care owed

The case of Wilson's and Clyde Coal Company v English (1932)

established that a duty of care is always owed to an employee by
an employer in the workplace when an employee is acting in the
course of employment. It also established the common law duty
for an employer to provide:

A safe place of work

Safe systems of work
Safe plant and equipment
Competent employees

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2. Breach of Duty

The duty of care is breached if the defendant has failed to exercise

"the reasonable care expected of a reasonable man" in the
prevailing circumstances. Failing to provide a safe place or safe
plant and equipment may be examples of an employer's breach of
duty to his employees.

3. The Breach caused the Loss

The claimant must prove, on the balance of probabilities, that the defendant’s breach of duty caused the loss and
that the loss would not have occurred but for the negligence of the defendant.

The amount of compensation awarded to a successful claimant may be reduced as a result of the claimant’s
contributory negligence. That is, if a worker is partly to blame for their injury, the compensation payment will be
reduced. For example, if the worker did not follow safety procedures, then they may be open to a charge of
contributory negligence. In such cases the damages award may be reduced or even withheld.

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In order to prove negligence a plaintiff needs to show

what?

 A duty of care exists/there was a breach of that

duty/damage resulted from the breach

Proper systems of work are in place/adequate

supervision is in place/competent staff are in place

Good score, well done!

1/1

4.6: Possible outcomes of not working within

the law
In higher risk premises (such as construction, agriculture and
process plants) health and safety legislation is enforced by the
Health and Safety Executive (HSE). In lower risk premises (such
as offices, shops, hotel and catering) local authority
environmental health officers enforce health and safety
legislation.

Local fire and rescue authorities (FRA) also have an

enforcement role with respect to fire legislation (the Regulatory
Reform (Fire Safety) Order 2005.

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Enforcement officers have wide-ranging powers. They can:

Enter any premises for the purposes of enforcing health and safety law. This
can be done without permission or prior notice and at any reasonable time (or
at any time if dangerous).
Take a police constable with them if they have reason to think that they may be
obstructed while carrying out their duties.
Take any other person with them, such as a specialist, together with any
equipment needed.
Order that areas be left undisturbed.
Take measurements, photographs and samples.

Continued... Enforcement officers have wide-ranging powers. They can:

Carry out tests on, and/or confiscate articles and substances.

Inspect and take copies of relevant documents.
Seize any article or substance which they have reasonable cause to
believe presents an immediate danger of serious personal injury and
have it made harmless, (by destruction if necessary).
Interview and take written statements from anyone they think might be
able to give them information relevant to their inspection or
investigation.

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Inspectors also have several enforcement options available to

them. They include:

Giving informal advice

Serving an improvement notice
Serving a prohibition notice
Prosecution

An inspector will choose the most appropriate action for each

case. There is no escalation route from informal advice to
prosecution.

Informal Advice

Dependent on the level of risk and level of organisational cooperation

an inspector may deal with a situation informally by offering verbal
advice and/or following up with an explanatory letter.

If agreed actions are completed on time no formal action will be

taken.

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Improvement Notice

An improvement notice may be served whenever health and safety legislation is being contravened. An
improvement notice will specify the breach of legislation and may specify a means of complying. It must allow
a minimum of 21 days for any specified works to be completed.

Any appeal against an improvement notice must be made to the Employment Tribunal with 21 days of the
date of the notice being served. The effect of an appeal would result in the suspension of the notice until the
appeal was heard. The employment tribunal may uphold, cancel or vary the improvement notice on appeal.

Prohibition Notice

A prohibition notice may be served when the inspector is of the opinion that there is a risk of
serious personal injury. The notice prohibits the carrying on of the work activity that is giving
rise to the risk of injury.

If the risk of injury is imminent, the notice will take immediate effect and stop the work
activity in question. If not, the prohibition notice may be deferred, specifying the time by
which the work activity must cease.

Like an improvement notice, any appeal against a prohibition

notice must be made to the employment tribunal within 21
days of the date of service. However, in this case the notice
would stay in effect until the appeal was heard.

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Prosecution

Any breach of legislation may give rise to a prosecution in the criminal courts. Health and safety offences are
usually ‘triable either way’, in other words the case may be heard in a magistrate’s court or a crown court.

Enforcing authorities will normally only prosecute if it is in the public interest to do so. For example:

Death was a result of a breach of the legislation.

The gravity of an alleged offence, or the general record and approach of the offender warrants it.
There has been reckless disregard of health and safety requirements.
There have been repeated breaches or persistent and significant poor compliance.
A duty holder’s standard of managing health and safety is found to be far below what is required.
There has been a failure to comply with an improvement or prohibition notice.
Inspectors have been intentionally obstructed in the lawful course of their duties.

Magistrates Courts have the power to issue unlimited fines or 6 months

imprisonment (12 months if more than one offence).

The Crown court can issue unlimited fines and up to 2 years imprisonment.

The course has only covered UK law (any assessment questions, if asked,
will only be based on UK law).

However, international students may wish to take some time to make some
notes on how their country deals with health and safety law. See if you can
research and find out the following:

What are the key laws that cover health and safety?
What responsibilities are given to employees?
Who enforces health and safety in your country?
What penalties can be given for breaches of health and safety law?
Where are health and safety offences prosecuted (which courts for
example)?

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4.7: Where to find guidance for working

within the law

The UK Health and Safety Executive publish

guidance notes and Approved Codes of
Practice (ACOPs) on regulations and also on
specific topics, in order to assist employers
in complying with their legal duties.

Approved Codes of Practice (ACOPs)

Approved by the Health and Safety Executive, with the

consent of the Secretary of State, an ACOP gives practical
advice on how to comply with the law. If an employer follows
the advice, they will be doing enough to comply with the law
in respect of those specific matters on which the Code gives
advice. However, employers may use alternative methods to
those set out in the ACOP in order to comply with the law.

However, the ACOP has a special legal status. If an employer

is prosecuted for breach of health and safety law and it is
proved that they did not follow the relevant provisions of the
ACOP, they will need to demonstrate that they have complied
with the law in some other way.

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HSE Guidance

This guidance is issued by the Health and Safety Executive.

Following the guidance is not compulsory, unless specifically
stated, and an employer is free to take other action. If, however,
they do follow the guidance they will normally be doing enough to
comply with the law. Health and safety inspectors seek to secure
compliance with the law and may refer to this guidance.

Examples of UK ACOPs and Guidance includes:

L5: Control of substances hazardous to health.

L8: Legionnaires’ disease: The control of legionella bacteria in
water systems. ACOP and Guidance.
L22: Safe use of work equipment. Provision and Use of Work
Equipment Regulations 1998. ACOP and Guidance.
L23: Manual handling. Manual Handling Operations
Regulations 1992 – Guidance on Regulations.

4.8: The key parts and the elements of

each part, of a health and safety
management system
Most organisations have management systems for one
or more aspects of management. Probably the most
common management system is the Quality
Management System used for ISO 9001.

For Health and Safety Management, the recognised

international standard is ISO 45001 "Occupational
health and safety management systems". This
standard specifies requirements for an Occupational
Health and Safety Management System. Likewise, the
standards mentioned above follow generic
management system approaches to allow for
Integrated Management Systems.

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Modern health and safety management systems (HSMS)

follow the "Plan, Do, Check, Act" approach, which represents
a balance between the systems and behavioural aspects of
management. This approach treats health and safety
management as an integral part of good management
generally, rather than as a stand-alone system. Both HSG65
and ISO 45001 follow the PDCA approach.

In this session we will be looking in more detail at Health and

Safety Management Systems (HSMS) by discussing "Managing
for Health and Safety", more commonly known as HSG65.

In the UK, organisations have a legal duty to put in place suitable arrangements to
manage health and safety (under the Management of health and safety at work
regulations 1999). As this can be viewed as a wide-ranging, general requirement the HSE
encourages a common-sense and practical approach. It should be part of the everyday
process of running an organisation and an integral part of workplace behaviours and
attitudes.

The high-level descriptions may vary dependent on what type of industry/sector is

involved.

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The table below gives a summary of the actions involved in delivering effective arrangements (comparing
conventional health and safety management with process safety management) and how they are frequently
described under the headings of Plan, Do, Check, Act.

Plan

Think about where you are now and where you need to be.

Say what you want to achieve, who will be responsible for what, how you
will achieve your aims, and how you will measure your success.
You may need to write down this policy and your plan to deliver it. A
written health and safety policy is a legal requirement for any organisation
with five or more employees.

The policy must cover:

What the organisation is trying to achieve in safety (statement of

intent).
Who has the responsibility for specific actions (responsibilities)
How they will carry out their safety responsibilities (arrangements).

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A well written, up to date health and safety policy is the foundation

of any HSMS. Employers are required to bring the policy to the
attention of all employees, ensuring that everyone is aware of what
the organisation is trying to achieve and critically, what their
responsibilities are in order to ensure its successful
implementation.

Decide how you will measure performance. Think about ways to do

this that go beyond looking at accident figures, look for leading
indicators as well as lagging indicators. These are also called active
and reactive indicators.

Consider fire and other emergencies. Co-operate with anyone who

shares your workplace and co-ordinate plans with them.

Remember to plan for changes and identify any specific legal

requirements that apply to you.

Do

Identify your risk profile.

Assess the risks, identify what could cause harm in the

workplace, who it could harm and how, and what you will do to
manage the risk.

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Decide what the priorities are and identify the biggest risks.

Organise your activities to deliver your plan.

Aim to:

Involve workers and communicate, so that everyone is clear on

what is needed and can discuss issues - develop positive
attitudes and behaviours.
Provide adequate resources, including competent advice where
needed.

Implement your plan:

Decide on the preventive and protective measures needed and

put them in place.
Provide the right tools and equipment to do the job and keep
them maintained.

Check

Measure your performance.

Make sure that your plan has been implemented - 'paperwork' on its own is not a good performance
measure.
Assess how well the risks are being controlled and if you are achieving your aims.
In some circumstances formal or informal audits may be useful.
Investigate the causes of accidents, incidents or near misses to identify trends.

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Act

Review your performance.

Learn from accidents and incidents, ill-health data, errors
and relevant experience, including from other organisations.
Revisit plans, policy documents and risk assessments to see
if they need updating.
Act on lessons learned, including from audit and inspection
reports and accident investigations.

The PDCA process may need to be repeated, especially when an organisation:

Is first starting out.

Is developing a new process, product or service.
Is implementing any change.

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....such as:

Ensuring regulatory compliance (less likelihood of prosecution and

financial penalties).
Provides a framework for the management of organisational risk.
Demonstrates due diligence and reasonable care (e.g. to a
4.9: The key benefits of Regulator).
introducing a health and Reducing the overall occurrence of incidents, injury and ill health
and associated costs.
safety management system
Reducing downtime and the costs of disruption to operations.
In addition to ensuring that an Avoiding the cost of increased insurance premiums.
organisation’s reputation as a safe place Absenteeism and employee turnover rates are reduced.
to work will be promoted, an effective Recognition for having a recognised, certified OHSMS.
health and safety management system
Improved employee, and others, morale.
can bring direct benefits...
Improved image and reputation (e.g. to the community, clients and
regulators).

4.10: Why leadership is an essential part of

a health and safety management system
Effective health and safety performance comes from the top.
Members of the board have both collective and individual
responsibility for health and safety.

Directors and boards need to examine their own behaviours,

both individually and collectively, against the guidance given in
HSE publication INDG417 “Leading health and safety at work”
and where they see that they fall short of the standards it sets
them, to change what they do to become more effective
leaders in health and safety.

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Core actions

To agree a policy, boards will need to ensure they are aware of

the significant risks faced by their organisation. The policy
should set out the board’s own role and that of individual
board members in leading the health and safety of its
organisation. It should require the board to:

‘Own’ and understand the key issues involved.

Decide how best to communicate, promote and champion
health and safety.

The health and safety policy is a ‘living’ document and it should

evolve over time. For example, in the light of major
organisational changes such as restructuring or a significant
acquisition.

How it can be done

Health and safety should appear regularly on the agenda for

board meetings.
The chief executive can give the clearest visibility of leadership,
but some boards find it useful to name one of their number as
the health and safety ‘champion’.
The presence on the board of a health and safety director can
be a strong signal that health and safety is being taken
seriously and that its strategic importance is understood.
Setting targets helps define what the board is seeking to
achieve.

For many organisations, health and safety is a corporate

governance issue. The board should integrate health and safety
into the main governance structures, including board sub-
committees, such as risk, remuneration and audit.

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4.11: The three essential principles for good safety and health performance
The three essential principles that are required for good health and safety performance are as follows:

Strong and active leadership Worker involvement Assessment and review

from the top

Visible, active commitment from Engaging the workforce in the Identifying and managing health
the board. promotion and achievement of and safety risks.
safe and healthy conditions.
Establishing effective ‘downward’ Accessing (and following)
Effective ‘upward’ communication.
communication systems and competent advice.
management structures.
Integration of good health and Monitoring, reporting and
Providing high-quality training.
safety management with business reviewing performance.
decisions.

The following are quotes from health and safety leaders in the public
and private sectors.

“Health and safety is integral to success. Board members who do not

show leadership in this area are failing in their duty as directors and
their moral duty and are damaging their organisation.”

“Health and safety is a fundamental part of business. Boards need

someone with passion and energy to ensure it stays at the core of the
organisation.”

“An organisation will never be able to achieve the highest standards of

health and safety management without the active involvement of
directors. External stakeholders viewing the organisation will observe
the lack of direction.”

“Board level involvement is an essential part of the 21st Century

trading ethic. Attitudes to health and safety are determined by the
bosses, not the organisation’s size.”

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The four key parts of a safety management system are

Plan, Do, Check and ____________

Measure.

 Act.

Profile.

Good score, well done!

1/1

Two of the three key principles required for good

health and safety performance are worker
involvement, assessment and review, and strong and
visible ________________

confrontation.

poor communication.

 leadership.

Good score, well done!

1/1

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Please ensure you submit your

answers to receive a grade.

Page Score/Total

Page 7: Which law is initiated by the state? 1/1

Page 12: Types of knowledge - Fill in the Blanks 3/3

Page 26: To determine whether a risk is “foreseeable” you should u... 1/1

Page 47: In order to prove negligence a plaintiff needs to show what? 1/1

Page 77: The four key parts of a safety management system are Plan... 1/1

Page 78: Two of the three key principles required for good health ... 1/1

Total Score 8 /8

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