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149 Cards in this Set

  • Front
  • Back
The multi-disciplinary nature of Health & Safety
Sometimes solution to H&S problem is straightforward. Sometimes complicated and requires application of technical knowledge & thinking.
Involves sciences, sociology, psychology & law
In order to understand H&S issue?
Technical background & relevant knowledge.
Standards that may apply to workplace & issue under consideration.
Possible strengths & weaknesses to options to solve problem.
Barriers to good standards of H&S (1)
Co-ordination of many people/different activities.
Finding solution requires extensive background knowledge & awareness of consequences of various courses of action.
Barriers to good standards of H&S (2)
Conflicting demands:
Commonly, the need to supply product or service at appropriate speed to make a profit safely and without ill health.
Complying with different standards at same time e.g. H&S law v Environmental Protection Law.
Barriers to good standards of H&S (3)
Behavioural issues:
Good H&S often relies on people to behave in a perfect way. Solution to problem usually involves worker to behave in certain way e.g. staying in a designated walkway. But people deliberately break the rules as well as making mistakes.
Define Health
Absence of disease or ill health e.g. from asbestos, it may be some years after inhalation.
Also relates to psychological ill health e.g nervous breakdown due to stress.
Define safety
Absence of risk of serious personal injury. For example walking on an incomplete scaffold can result in a fall and serious injury. Staying off the scaffold results in safety.
Define Welfare
Access to basic facilities.

First aid provision.
Access to drinking water,
Changing facilities, M/F toilets, washing facilities, seating, lighting, ventilation & where food can be prepared & eaten hygenically.
Define environmental protection
Prevention of damage to air, land, water & living creatures in the wider environment. Word environment can refer to local area around a particular area or workstation but can be used in a wider context to refer to air land water & creatures.
Subject to legal standards.
Moral reason for managing H&S (the size of the problem)
220 killed
29,000 major injury
110,000 over 3 day injury
30 million working days lost:
(80% ill health)
(20% injury)
2 million suffer illness from current or past work.
2,000 die from mesothelioma
Thousands more from other lung diseases
Moral reason for managing H&S (suffering)
Huge pain & suffering for going to work and earning a living. Injuries & diseases have a terrible impact on individuals and their families, friends & colleagues. This suffering is morally unnaceptable. Maintain good quality of life. Moral duty of care.
Moral reason for managing H&S (employers)
Provide premises & equipment, working practices to make a profit. Employers gain from conditions in workplace & in return, provide an income for the employees. But have a moral responsibility to provide safe & healthy working conditions
Societal Expectations (1)
Standards of H&S improve over time.
Court cases indicate how simple requirement as 'safe place of work' has changed over the years.
Societal expectations change as society changes.
Societal expctations (2)
Well designed & reliable equipment.
Comfortable workplace.
Organised systems of work.
High level of training.
All taken for granted because they are so common.
Societal expectations (3)
Widespread access to knowledge ensures that anyone interested in legal standards or best practice can find information.
Societal expectations (4)
Media coverage ensures that when poor standards of H&S are revealed, this is broadcast to society quickly by different methods.
Societal Expectations (1)
Standards of H&S improve over time.
Court cases indicate how simple requirement as 'safe place of work' has changed over the years.
Societal expectations change as society changes.
Societal expctations (2)
Well designed & reliable equipment.
Comfortable workplace.
Organised systems of work.
High level of training.
All taken for granted because they are so common.
Societal expectations (3)
Widespread access to knowledge ensures that anyone interested in legal standards or best practice can find information.
Societal expectations (4)
Media coverage ensures that when poor standards of H&S are revealed, this is broadcast to society quickly by different methods.
Direct costs definition
Measurable costs arising directly from the accident.
Indirect costs definition
Arise indirectly ss a consequence of the event.
Difficult to quantify.
Difficult to identify.
May be high.
Direct costs examples
First aid.
Sick pay.
Repairs/replacement of damaged equipment/buildings.
Lost/damaged product.
Lost production time.
Overtime to make up for lost time.
Rehabilitation of worker.
Compensation/increased insurance premium.
Indirest costs examples (1)
Loss of staff from productive duties e.g.
Hospital visits
Court proceedings
Indirect costs examples (2)
Loss of morale which
Impacts on productivity/efficiency.
Remedial action e.g. change of process.
Enforcement notice.
Loss of goodwill of customers.
Penalty clauses (delivery dates)
Public image/business reputation.
Industrial relations.
Insured costs
Employers liability insurance
Employers Liability (Compulsory Insurance) Regulations 1998

Minimum cover 5 million.
Must be displayed.
Insured Costs
Uninsured costs
Loss of revenue (business reputation)
Loss of raw materials (accidents)
Sick pay
Overtime to make up
Repair to damaged equipment.
Insurance policies
Criminal law
Action brought by state
Intention is punishment
Legal proceedings 6 months
Insurance not available
Statute source
BOP Guilt beyond reasonable doubt
Civil Law
Action individual
Intention compensation
Legal proceedings 3 years
Insurance available
Common AND Statute law
BOP Balance of probabilities
Statute Law Acts
Corporate Manslaughter and Corporate Homicide Act 2007
Delegated or secondary legislation
HSWA is an enabling act allowing for their creation.
Require a legal standard.
Accompany regulations.
Explain how to achieve the legal standard outlined in reg that they accompany.
Semi legal status.
Failure to comply = evidence failure to achieve legal standards.
Must be shown alternative method used to achieve same standard as acop.
Accompanies regs
e.g. Manual Handling Operations Regulations 1992
No legal status
Useful in interpreting legal standards.
Often sets out best practice
Relevance of Statute Law
used in bringing prosecutions
HSWA Statute barred
MHSWR sometimes used for compensation.
Common Law (1)
Made up of decided cases.
Case requires Judge(s)to make decision & perhaps state reasons.
Reasons may establish precedent that will influence decisions of judges in future.
Therefore it is recorded in form of past cases & reasoning stated.
Common Law (2)
Common Law relies heavily on principle of judicial precedence.
The idea that that judges have to take note of & follow
the precedents set in courts higher in court hierarchy.
Common Law (3)
Supreme Court sets binding precedents for all other courts.
Relevance of common law
Civil courts for claims for compensation.
Not used bringing prosecutions for H&S failings.
Very rarely case brought against individual on basis of manslaughter by gross negligence (common law offence)
Court Structure Criminal
E, W, NI
Court structure Civil
E, W, NI
Court structure Criminal
Court structure Civil
COURT OF SESSION (inner house)
COURT OF SESSION (outer house)
Criminal cases
Go magistrate first
Appeal at Court of Appeal or High in som instances
Final appeal may be allowed at Supreme
Civil cases
County (less than 50k)
High court (more than 50k)
First appeal Court of Appeal
Final appeal may be allowed at Supreme
European Regulations
Statutory instruments
Impose legal standards
Take precedence over internal law
European Directives
Statutory Instruments
Require member states to achieve legal standards through their own internal legislation within timescale
(MHSWR 1992)
Enforcing Authorities
HSE (inspectors)
Local Authorities (EHO,s)
Fire & Rescue Authorities
Environment Agency
Insurance Companies
Scottish Environment Protection Agency
Fire and Rescue Authorities
Regulatory Reform (Fire Safety) Order 2005
Alterations Notice
Enforcement Notice
Prohibition Notice
Powers of Inspectors (1)
Section 20 HSWA
Enter premises at any reasonable time.
Tech assistance or equipment.
Direct premises part/whole or items left undisturbed.
Samples substances/atmosphere.
Dismantle/test item/substance they think dangerous.
Powers of inspectors (2)
Take possession articles/substances for examination/test or evidence in proceedings.
Statements, must answer & sign. Not admissible as evidence against them.
Inspect/copy document/record.
Access to reasonable facilities/assistance while conducting investigation.
Any other power to fulfill duty of EA.
HSWA section 25
To seize & render harmless (by destruction if necessary) any article or substance that gives rise to imminent danger or serious personal injury.
Improvement Notice (1)
Section 21 HSWA
Inspector thinks breach or has been breached & likely to be repeated.
Only issued if inspector thinks there is no risk of serious personal injury.
Will state improvement must be made to achieve min legal standards.
Impose timescale he thinks is appropriate.
Can't be less than 21 days.
Improvement Notice (2)
Inspector may state action needed & refer to acop or guidance.
Served on person in charge of workplace or activity in breach (usually employer).
Appeal must be made within 21 days.
Prohibition Notice
Inspector thinks serious personal injury.
Notice will state activity must stop until it has been remedied.
Does not have to see breach of H&S law.
No timescale specified.
Served on person in charge of activity (usually employer).
Appeal must be made within 21 days.
Appeal against Enforcement notices (reasons)
Employment Tribunal.
Wrong legal interpretation by inspector.
Has exceeded his powers.
Breach of law admitted but suggested remedy/timescale not practicable or reasonably practicable.
Breach of law admitted but is insignificant.
Improvement Notice Appeal
Suspends notice till appeal heard or withdrawn.
Prohibition Notice Appeal
Remains in place unless tribunal directs otherwise.
Tribunal decision may be to:
Affirm (uphold).
Affirm & modify e.g. extending timescale.
Further appeals against tribunal decision
Employment Appeals Tribunal linked to Court of Appeal (Civil Division)
Emphasis on simplicity & speed. Often will order preliminary hearing to see if matter resolved without full tribunal.
Failure to comply
Magistrates = 20k max and/or 1 year imprisonment.
Crown = unlimited fine and/or 2 years imprisonment.

Criminal courts can make a compnsation award but usually goes to Civil Court
Prosecutions (where and brought by whom)
Either Magistrates or Crown
District or Sheriff (Scotland)
Enforcement Agency itself
Procurator Fiscal on behalf of inspectors (Scotland)
Offences (1)
District Court or Summary Division of Sheriff (Scotland)
Offences (2)
Indictable offences
Indictment drawn up following commital proceedings in Magistrates.
Sheriff Court (Scotland)
Trial of indictable offences
Judge & Jury Crown Court
Solemn Div of Sheriff Court or High Court of Justiciary (Scotland)
Trialable Either Way.
Tried at Magistrates or Crown
Determined by either prosecution (gravity of offence main influence) or accused exercising his option
to be tried by jury.
Most H&S offences fall into this category.
Defences general
Prosecution brought under HSWA accused can argue they did everything practicable or reasonably practicable.
Defences burdon of proof
Section 40
Turns it on head.
They must demonstrate their innocence.
Did they do all that could reasonably have been done under the circumstances?
Manslaughter (individual)
Individuals = Gross Negligence Manslaughter where conduct fell well below the standards of a reasonable man.
Max life imprisonment.
Manslaughter (organisations)
Corporate Manslaughter
Unlimited fine
Publish offence

Corporate Manslaughter and Corporate Homicide act 2007
Corporate Manslaughter detail
Caused person's death.
Amounts to a gross breach of their duty of care to the deceased.
The way organisation is managed is substantial element of breach.
Neighbour principle
Reasonable care must be taken to avoid acts or ommisions which with reasonable foresight, you would know would be likely to injure your neighbour.
Civil Law breach of duty.
Did defendant behave in a reasonable manner?
Breach may be by act or ommission.
Did they ACT like a reasonable person?
Did they OMMIT to do something a reasonable person might be EXPECTED to do in circumstances.
Vicarious Liability
Employer can be held liable for the negligent acts or ommissions of employees.
Can sue employer rather than employee.
Vicarious liability restriction.
Must have been at work.
If not, then employee can be sued rather than employer.
Tort of Breach of Statutory Duty
Alternative route for claiming compensation.
Tort of Negligence defences
No duty of care owed.
Duty of care not breached.
(defendant acted as reasonable & prudent person)
No injury or loss as a direct result of the breach (cannot be linked
Tort of negligence other defences (latin)
volenti non fit injuria
Claimant willing volunteer.
Cannot be used by employer when employee claiming
Vicarious Liability
Emloyer can be held liable for the negligent acts or ommissions of his employees
Tort of Breach of Statutory Duty requirements
The Statutory duty was placed on the defendant.
The statutory duty was owed to that claimant.
The defendant was in breach of the statutory duty.
The breach of statutory duty caused the injury.
The injury was of a type that the statute existed to prevent.
Tort of Breach of Statutory Duty (defences)
Breach statute barred.
No statutory duty was owed to that claimant e.g. not an employee.
No breach of statutory duty.
No causal link with injury.
The injury was not of the type that the statute existed to prevent.
Double barrelled action
Tort of Negligence and
Tort of Breach of Statutory Duty
Success in both does not get twice the compensation
Compensation (1)
General Damages (loss of amenity, loss of future earnings, pain & suffering).
Court quantifies
Compensation (2)
Special Damages (loss of earning up to trial date, travel expenses to hospital).
Have to be quantified & proven by claimant.
Employment Tribunals
Not involved in compensation.
Settle disputes.
Hear appeals against enforcement notices.
Hear appeals from safety reps whose rights have been withheld.
HSWA 2 (1)
General duties.
'to ensure so far as is reasonably practicable, the health, safety and welfare at work of all his employees'.

The duty holder is the employer.
They owe the duty to their employees.
They must ensure health, safety and welfare.
Does not have to ensure absolute health or absolute safety.
Qualified Duty
Qualified by the phrase so far as is reasonably practicable.
So Far as is Reasonably Practicable
Duty holder assesses degree of risk v sacrifice.
Sacrifice = control measures to eliminate or control risk.

Sacrifice measured in cost, time & effort.
If gross disproportion between risk & sacrifice, sacrifice does not have to be made.
So far as practicable.
Must be complied with to extent it is possible in the light of current knowledge & invention.
Irrespective of cost.
Employers common law duties established by?
Established by:
Wilsons & Clyde Coal Co.ltd v English (1938)
Employers common law duties
A safe place of work with safe acess to and from it.
Safe plant and equipment.
Safe system for doing the work.
Safe and competent workers.
Appropriate supervision, information, instruction and training.
Section 2(2) Specific duties SFAIRP
Safe plant and systems of work.
Safe use, handling, storage and transport of articles and substances.
Information, instruction, training and supervision.
A safe workplace and safe access to it and egress from it.
A safe working environment with adequate welfare facilities.
Section 2(3)
Requires employer to prepare a written Health and Safety Policy where there are 5 or more employees.

Revised as necessary & brought to attention of employees.
Section 2(4)
Concerns the appointment of safety reps by recognised trade unions.
Section 2(6)
Requires employers to consult with safety reps
Section 2(7)
Requires employers to establish a safety committee.
Section 3
SFAIRP that non employees are not exposed to risks to their Health and Safety.

Same for self employed. Do not create risks to themselves and others.
Section 4
Controllers of premises.
The premises are safe.
The means of access and egress are safe.
Any plant or substances provided by them to use in the premises are safe.
Section 6
Designers, manufacturers, importers and suppliers duties:

Any article or substance will be safe to use.
Adequate testing takes place to ensure that it will be safe.
The end user is provided with information on safe use.
The end user is provided with revisions of that information as necessary
Section 8
Interference and Misuse:

No person shall intentionally or recklessly interfere with or misuse anything provided in the interests of Health, Safety or Welfare in persuance of legal requirements.
(Not limited to employees).
Section 9
Free of charge to employees.

States that the employer cannot charge his employees for things done to achieve legal compliance.
Section 36
Offences Due to Fault of Others:

Offence committed by company due to act or default of some other person (e.g. consultant or safety officer).
That other person may be charged with & convicted of the offence.
Proceedings do not have to be taken against the company itself
Section 37
Personal Liability of Directors and Senior Managers:

They can AS WELL as the body corporate be personally liable for breaches of the law.

Can be prosecuted if it can be shown that they consented, connived or were negligent in their duties in allowing the offence to be commited
Reg 3
Risk Assesment:

The employer SHALL make a suitable and sufficient assessment of the risks to both his employees and non employees.

Recorded if 5 or more employees.

Must be reviewed.
Reg 4
Principles of prevention to be applied:

In implementing preventative measures, must do so on basis of some listed in schedule 1 to MHSWR

Schedule has full legal status.
It is an appendix to regs.
Reg 5
Health and Safety Arrangements:

Employer must make arrangements for the effective:
of the preventative & protective measures.

Recorded 5 or more employees.
Reg 6
Health Surveillance:

Must ensure employees are provided with appropriate health surveillance.

e.g. audiometry is legal requirement under
Control of Noise at Work Regulations 2005.
Reg 7
Health and Safety Assistance:

Must appoint 1 or more competent person to assist him in undertaking measures needed to comply with H&S law.
Competent Person
Sufficient training and experience or knowledge ans other qualities to enable him to give proper assistance.
Regs 8 and 9
Procedures for Serious and Imminent Danger and Contact with External Services:

Must develop procedures to be implemented in the event of.

Must nominate a sufficient number of competent persons to implement the procedures.

Must ensure that any necessary contacts with external services are arranged, such as first aid, emergency medical care and rescue work.
Reg 10
Information for Employees:

Provide comprehensible & relevant information on:

The risks to their H&S.

Preventative control measures.

Emergency procedures.
Reg 11
Co-operation and Co-ordination Where Two or More Employers Share a Workplace:

Must co-operate & co-ordinate with other employers to ensure H&S.

Inform the other employers of the risk to their employees arising from his undertaking.
Regs 12 & 15
Information for Other Workers:

Provide other workers who are NOT his employees with information on the risks to their H&S and preventative control measures e.g contractors.

Workers on temp contracts must be told of qualification & health surveillance requirements.
Reg 13
Capabilities and Training:

Must take into account capabilities when allocating tasks.

Must provide adequate H&S training when employees:

First recruited

Exposed to new or increased risks.

Repeated periodically during working hours.
Reg 14
Employees Duties:

Employees must:

Use materials & equipment in accordance with any instruction & training given.

Inform the employer of any work situation that represents serious & immediate danger to H&S.

Any shortcomings in the employers ARRAGEMENTS for H&S.
Regs 16-18
Protection of New and Expectant Mothers:

Wher work could present risk, risk assessment must consider this.

Risk can't be avoided = alter working hours & conditions to avoid the risk.

Where this does not avoid risk = suspend on full pay.

May have to suspend a night shift worker if notified my med practitioner.

Does not have to do any of above till notified in writing about employees status.
Reg 19
Protection of Young Persons:

MHSW = anyone under 18

Must ensure that they are protected to any risks to their H&S.

Characteristics that put them more at risk =

Lack of experience

Poor perception of risk

Physical & mental immaturity
New Mother
Just given birth

Up to 6 months after birth


Still breastfeeding

Expectant mother = pregnant woman.
Contractor Reg
Construction (Design and Management) Regulations 2007 (CDM)

Identify 5 duty holders:

The client

The designer

The CDM co-ordinator

The Principle Contractor


Require a construction phase plan & H&S file for finished structure.
Contractor Definition
A person or organisation engaged to undertake certain work on behalf of a client but not under the client's direct supervision or control.
Client Definition
A person or organisation who engages a contractor.
Who do contractors owe a duty to?
Their employees (section 2)

Other people such as the clients employees and visitors (section3)
Duty of Employees of Contractor

Other people (fellow workers, the clients employees, visitors)
who might be affected by their acts & omissions (section 7)
CDM Contractor as Employer Duties
Duty to own employees (section 2)

Others who may be affected by his undertaking (section 3) e.g. Any other workers in the premises such as other contractors.

When a client brings a contractor on site, the contractors work becomes part of the clients undertaking.
Duties of Employees of the Client
Owe duty to:

To others:

Contractors employees.

Fellow employees.


Who may be affected by acts or omissions (section 7)
Client/Contractor Responibilities

In both parties interest to ensure each does everything that might be considered reasonable to discharge duties & avoid criminal liability.
Client managing contractor 3 key areas.
Select contractor

Plan the work

Monitor the work
Selection of Contractor
H&S Policy

Examples risk assessments

Qualifications/training records of staff

Membership professional organisation/certified body

Records/maintenance of testing of plant & equipment

Names of previous/current clients

Accident/history records

Records of enforcement action

Proof of adequate resources e.g. Access to specialist safety advice

Proof of adequate insurance
Planning and Control of contractors

Information to contractor on hazards & risks in workplace.

Information to client on hazards & risks created by contract work.

In this way, work can be planned & everyone is kept safe
Contractor planning
Contractor should carry out risk assessments on work involved & develop safe working methods to control risks identified.

This safe working method may be documented and often referred to as a method statement
Contractors Monitoring the work
Arrangements made by client to ensure contractor complies with safe working practices:

Having a signing in book

Named works foreman

Site induction training for all contractor workers

Controlling high risk activities with a permit to work system

Client needs to monitor contractor to see if he is working to agreed safety standards.

This can be done by monitoring against method statement that was developed in planning stage.
Notifiable Projects
Construction Phase to Last Over 30 Days or involve more than 500 Person Days
Notifying HSE of Project
Address of site

Brief description of project & construction work involved

Contact details of client

Contact details CDM co-ordinator

Contact details principle contractor

Planned date of start of construction phase & it's planned duration

Time allowed for planning & preparation for construction work

Estimated maximum number of people at work on site
CDM Duty Holders

Designers or architects who specify finished structure

CDM Co-ordinator who assists client in planning & construction phases of the project

Principle Contractor who manages the construction phase of the project

Contractors who carry out specific types of work under the direction of the principle contractor

Regulations require preparation of a Construction Phase Plan & H&S file for the finished structure
Duties of Client
Ensure that:

All other parties are competent

Adequate information is passed on to other duty holders

Work does not start until a construction phase plan for the project exists

Adequate arrangements are made to ensure Health, Safety & Welfare during the construction phase

Any structure intended as a workplace complies with
Workplace (Health, Safety and Welfare) Regulations 1992
Designers Duties
Ensure that:

The client is aware of his duties under the CDM regs

CDM Co-ordinator has been appointed for notifiable projects

The design minimises H&S risks to:

The construction workers

Those who will occupy structure

Those involved in cleaning & maintenance

The design of structure complies with
Workplace (Health, Safety and Welfare) Regulations 1992
Duties CDM Co-ordinator
The client is advised of adequacy of arrangements put in place by other duty holders

HSE notified of project

Client advised on appointment of competent contractors & designers

Proper co-operation & co-ordination takes place during design & planning process

H&S file prepared & passed to client at end of project
Duties CDM Co-ordinator
The client is advised of adequacy of arrangements put in place by other duty holders

HSE notified of project

Client advised on appointment of competent contractors & designers

Proper co-operation & co-ordination takes place during design & planning process

H&S file prepared & passed to client at end of project
Duties Principle Contractor
Should ensure:

Construction phase plan exists

Construction phase carried out safely

Site secure

Contractors working to site rules

Contractors receive site specific induction training
Contractors duties
Work to site rules

Co-operate with main contractor
Construction Phase Plan (1)
Started by CDM Co-ordinator

Developed by Principle Contractor

Site Description
(Project description & existing site plans)
Construction Phase Plan (2)
Management of the Work:

Management Sructure

Management Arrangements (site induction & accident reporting)

Site Rules

Fire & Emergency Procrdures
Construction Phase Plan (3)
Arrangements for Controlling significant site risks
(safety risks e.g fall prevention)
(health risks e.g asbestos removal)
Construction Phase Plan (4)
The H&S File
Arrangements for gathering & storing information
Main Contractor Responsibilities Once Construction Phase Starts
Setting site rules for subcontractors

Monitoring compliance & enforcing agreed site rules

The overall site and contractors under his control
Health and Safety File
Info client needs to know

Brief description of work

Residual hazards

Key structural principles

Hazardous materials used

Info relevant to dismantling

Info on cleaning or maintenance of equipment


Info & as built drawings of the structure, plant & equipment
MHSWR 99 (Key information)
Place duties on employer

FOREMOST = carry out suitable & sufficient RA

Arrangements for H&S management.

Develop procedures to deal with imminent danger.

Provide health surveillance.

Information/training to employees.

Information/training to other employers.

Co-operate/co-ordinate with those who share premises

Employees given duties

Vuneral groups = higher level of protection
(EI) HSWA (key information)
Creates duty holders
Employer owes duty employees SFAIRP
Non employees
Controllers of premises
Designers & manufacturers
Prohibits misuse of safety equipment
Prohibits charging
Directors, senior managers external advisers can be charged by offences commited by firm
(EI) SFAIRP (brief definition)
Key phrase
Balance must be struck:
Level of risk and cost
Measured in:




Of reducing that risk.