Aosh UK

Level 6 Diploma in
Occupational Health and
Safety(Aosh uk)
Hand Book of Aosh Level 6

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Syllabus: Level 6 Diploma in Occupational Health and Safety
Management

Unit 1: Principles of Occupational Health, Safety and Environmental

Management and Regulation
Element 1: Principles of health and safety law
Element 2: Principles of health and safety management
Element 3: Principles of environmental & waste management
Element 4: Civil and criminal law
Element 5: Risk assessment and evaluation
Element 6: Health and safety measuring and reviewing performance
Unit 2: Occupational Health and Safety in Organizations
Element 1: Organizational factors
Element 2: Human factors
Element 3: The role of the health and safety practitioner
Unit 3: Risk Management and Control in Occupational Health and Safety
Element1: Risk management and control
Element 2: Accident and incident investigation processes
Element 3: Occupational health management
Element 4: Identification and control hazardous substances
Element 5: Biological agents
Element 6: Noise and vibration
Element 7: Radiation
Element 8: Musculoskeletal risks and controls
Element 9: Mental ill-health dealing at work
Element 10: Work environment risks and controls
Unit 4: Working with Hazards and Emergencies in Occupational Health
and Safety
Element 1: Work place fire risk assessment and control
Element 2: Work at height (mobile, lifting, access etc.)
Element 3: Electrical safety at work
Element 4: Construction hazard and control
Element 5: Managing & control workplace equipment and transport
Element 6: Handling of dangerous substances

Note: Paper A consists of Unit 1 and 2

Paper B consists of Unit 3 and 4

Unit 1: Principles of Occupational Health, Safety and Environmental

Management and Regulation

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 Element 1: Principles of health and safety law
Element 2: Principles of health and safety management
Element 3: Principles of environmental & waste management
Element 4: Civil and criminal law
Element 5: Risk assessment and evaluation
Element 6: Health and safety measuring and reviewing performance

Element 1: Principles of health and safety law

. Principles

Safety is a core value at Stanford and the University is committed to

continued advancement of an institutional safety culture with strong
programs of personal safety, accident and injury prevention, wellness
promotion, and compliance with applicable environmental and
health and safety laws and regulations.

Stanford University makes all reasonable efforts to:

 Promote occupational and personal safety, health and wellness;

 Protect the health and safety of Stanford University faculty,
staff and students;
 Provide information to faculty, staff, and students about health
and safety hazards;
 Identify and correct health and safety hazards and encourage
faculty, staff, and students to report potential hazards;
 Conduct activities in a manner protective of
the environment, and inform the Stanford community regarding
environmental impacts associated with institutional operations; and
 Maintain a risk-based emergency management program to
reduce the impact of emergency events to the Stanford community.

2. Responsibilities

Adherence to good health and safety practices and compliance with

applicable health and safety regulations are a responsibility of all
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 faculty, staff, and students. Line responsibility for good health and
safety practice begins with the supervisor in the workplace,
laboratory or classroom and proceeds upward through the levels of
management. For detailed guidance on individual safety
responsibilities under Cal/OSHA, refer to the University’s Illness and
Injury Prevention Program (IIPP).

In academic areas, supervisors include faculty/principal

investigators, laboratory directors, class instructors, or others having
direct supervisory and/or oversight authority. Academic levels of
management are the department chairperson or Independent Lab
director, dean, the Dean of Research, and the Provost.
Administrative levels of management include managers, directors,
and vice presidents. Final responsibility for health and safety
policy and programs rests with the President of the
University.

The Associate Vice Provost for EH&S and the University Committee

on Health and Safety are responsible for recommending University-
wide health and safety policies to the President.

The Associate Vice Provost for EH&S is responsible for ensuring

overall institutional compliance with applicable policies, statutes,
and regulations; monitoring the effectiveness of the safety programs;
and providing central health and safety services and support to all
areas of the University.

A. Supervisory Responsibilities

University supervisors, including faculty supervisors and Principal

Investigators (PIs), are responsible for protecting the health and
safety of employees, students and visitors working under their
direction or supervision. This responsibility entails:

 Being current with and implementing Stanford University

health and safety policies, practices and programs;
 Ensuring that workplaces, including laboratories, and
equipment are safe and well maintained;
 Ensuring that workplaces or laboratories are in compliance
with Stanford policies, programs and practices, and
 Ensuring that employees, students and visitors under their
supervision or within their work areas have been provided with
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 appropriate safety training and information, and adhere to
established safety practices and requirements.

B. Managerial Responsibilities

University managers, academic and administrative, are responsible

for ensuring that:

 Individuals under their management have the authority to

implement appropriate health and safety policies, practices and
programs;
 Areas under their management have adequate resources for
health and safety programs, practices, and equipment; and 
 Areas under their management are in compliance with
Stanford University health and safety policies, practices and
programs.

C. Environmental Health and Safety Responsibilities

Environmental Health and Safety (EH&S) is responsible for:

 Reviewing legislation, recommending policies, and monitoring

compliance with environmental and health and safety statutes
and regulations and University health and safety policies and
programs;
 Developing institutional safety and compliance programs and
assisting schools, departments, faculty, and managers with
implementation
 Providing guidance and technical assistance to supervisors and
managers in the schools, departments, and other work units in
identifying, evaluating, and correcting health and safety hazards;
 Developing programs for the safe use of
hazardous radiological, biological, and chemical substances and
lasers;
 Providing training materials, assistance, and programs in safe
work practices;

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 Providing guidance on effective emergency management and
business continuity programs, and providing emergency response
services for incidents involving hazardous materials;
 Providing fire prevention, inspection, engineering and systems
maintenance services; and
 Hazardous waste management and disposal services.
While EH&S is responsible for developing and recommending
relevant health and safety policies, institutional policy approval rests
with other University authorities,(e.g., President, Provost, Vice
Provost and Dean of Research, Faculty Senate, University Cabinet,
University Committee on Health and Safety, Committee on Research,
Administrative Panels for Research Oversight, etc.) depending on the
content of the proposed policies.

D. Faculty, Staff, and Student Responsibilities

Faculty, staff and students are responsible for:

 Keeping themselves informed of conditions affecting their

health and safety;
 Participating in safety training programs as required by
Stanford policy and their supervisors and instructors; 
 Adhering to health and safety practices in their workplace,
classroom, laboratory and student campus residences; Advising of
or reporting to supervisors, instructors or EH&S potentially unsafe
practices or serious hazards in the workplace, classroom or
laboratory.

E. Safety Performance

Each individual at Stanford is expected to perform all work safely.

Managers and supervisors shall establish and maintain a system of
positive reinforcement and escalated discipline to support good
health and safety practices. Safety performance shall be a part of
every individual’s role and responsibility as well as performance
expectation and evaluation.

3. Providing a Safe Workplace

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 Stanford's program for providing a safe workplace for faculty, staff
and students includes: facility design; hazard identification,
workplace inspection and corrective action; shutdown of dangerous
activities; medical surveillance: and emergency preparedness. In
addition to this general institutional health and safety policy,
additional hazard specific policies and requirements may apply to
different work and learning environments at Stanford and will be
found in the Research Policy Handbook and at the EH&S Website.

A. Facility Design

Facilities will be designed in a manner consistent with health and

safety regulations and standards of good design. Those University
departments charged with primary responsibility for the design,
construction, and/or renovation of facilities, together with EH&S
shall ensure that there is appropriate health and safety review of
facility concepts, designs, and plans.

In case of disagreement between EH&S and the cognizant facilities

department, the conflict shall be resolved by the Vice Provost and
Dean of Research in consultation with the cognizant vice president or
dean and the Provost (or designate). The determination of the Vice
Provost and Dean of Research may be stayed by the Associate Vice
Provost for EH&S pending a prompt appeal to the President.

B. Hazard Identification and Correction

Stanford University encourages employees and students to report

health and safety hazards to their supervisors, managers, or EH&S.
Employees and students shall not be discriminated against in any
manner for bona fide reporting of health and safety hazards to
Stanford or to appropriate governmental agencies. Supervisors shall
inform students and employees of this policy and encourage
reporting of workplace hazards.

Supervisors, both faculty and staff, shall assure that regular, periodic
inspections of workplaces are conducted to identify and evaluate
workplace hazards and unsafe work practices.

 The frequency of inspections should be proportional to the

magnitude of risk posed in the particular workplace.

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 Means of correcting discovered hazards and/or protecting
individuals from the hazards shall be determined and implemented
appropriately.
 Unsafe conditions which cannot be corrected by the supervisor
or manager must be reported to the next higher level of
management. Any individual, supervisor or manager who becomes
aware of a serious concealed danger to the health or safety of
individuals shall report this danger promptly to the Department of
EH&S and to the faculty, staff and students who may be affected.

C. Shutdown of Dangerous Activities

The Associate Vice Provost for EH&S has the authority to curtail or
shut down any University activity considered to constitute a clear
and imminent danger to health or safety. In the event of such
curtailment or shutdown, the cognizant dean, director or vice
president and the Provost (or designate) shall be immediately
notified.

In cases of dispute, an order to curtail or shutdown will remain in

effect until the Provost or the Vice Provost and Dean of Research (or
their respective designates) determine in writing that the danger has
passed or been mitigated or that the order should be rescinded for
other reasons.

Should the Associate Vice Provost for EH&S disagree with a

determination to restore a curtailed or shutdown activity, the
Associate Vice Provost for EH&S may promptly appeal the matter to
the President. In the event of an appeal, the order to curtail or
shutdown shall be in effect until the President determines otherwise.

D. Providing Medical Surveillance

Stanford University shall evaluate and monitor, through a program

of medical surveillance, the health of Stanford University faculty,
staff and students who are exposed to certain hazardous materials
and situations as defined by law or University policy. Each supervisor
is responsible for ensuring that employees and students under their
supervision participate in the medical surveillance program as
required by University policy. EH&S will monitor medical
surveillance program participation. Each University
department/school shall administer the program for faculty, staff
and students covered by University policy.
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E. Emergency Response and Preparedness

EH&S coordinates overall emergency response planning for the

institution and provides guidelines for departmental emergency
response plans. Every department shall have an individual
emergency response plan and shall develop business continuity and
contingency plans and implement appropriate mitigation programs
to reduce the impact of emergency events.

Schools and departments shall maintain local departmental

emergency operations centers and communications capabilities
according to guidelines in the campus emergency plan. Multiple
departments located within individual buildings will jointly develop
comprehensive building-based life safety response plans.

Emergency plans shall include evacuation and assembly procedures,

posted evacuation maps, reporting and communication practices,
training, and drills.

4. Safety Communication and Training

Safety and compliance required training shall be communicated in a

manner readily understandable to faculty, staff and students, in
accordance with the communication policy outlined below.

A. Systems of Communication

Managers and supervisors, both faculty and staff, shall establish,

implement and maintain a system for communicating with
employees and students about health and safety matters.
Information should be presented in a manner readily understood by
the affected employees and students. Due attention must be paid to
levels of literacy and language barriers. Verbal communications
should be supplemented with written materials or postings if
appropriate. Whenever appropriate, statutes and policies affecting
employees and students shall be available in the workplaces.

B. Communication About Hazards

Faculty, staff, and students who may come in contact with hazardous
substances or practices either in the workplace or in laboratories
shall be provided information concerning the particular hazards

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 which may be posed, and the methods by which they may deal with
such hazards in a safe and healthful manner. In areas where
hazardous chemicals or physical agents are used, handled, or stored,
communication about these hazards shall conform to the Research
Policy Handbook EH&S Requirements for laboratory facilities and
the Hazard Communication Program for all other campus
workplaces.

C. Training

Supervisors, including faculty, shall be experienced, trained or

knowledgeable in the safety and health hazards to which employees
and students under their immediate direction and control may be
exposed, and shall be knowledgeable of current practices and safety
requirements in their field.

Faculty, staff and students shall have or be provided the knowledge

to protect themselves from hazards in their working and learning
environment. Supervisors, both faculty and staff, shall ensure that
employees and students have received appropriate training and
information regarding:

 General health and safety practices of the workplace or

laboratory, including emergency procedures;
 Job-specific health and safety practices and hazards;
 Recognition and assessment of health and safety risks; and,
 How to minimize risks through sound safety practices and use
of protective equipment; and,
 Awareness of appropriate practices to protect the environment.
Training shall occur when:

 An employee is hired or student is new to the laboratory;

 An employee or student is given a new assignment for which
training has not previously been received; and
 New hazards are introduced by new substances, processes or
equipment.
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Faculty, staff and students should, periodically, be retrained or
demonstrate an understanding of current standard safety practices
and requirements for their areas.

5. Documentation and Recordkeeping

Documentation and records as required by regulation shall be kept to

demonstrate compliance with applicable statutes, regulations and
policies. Requirements and procedures for such recordkeeping can
be found in the Research Policy Handbook and at the EH&S website.

Element 2: Principles of health and safety management

General Principles of Effective Health and Safety Management

General Principles of Effective Safety Management

Four Key Stages
1. PLANNING - Setting Policy and Formulating a Safety Plan
2. DOING - Delivering Safety Plan
3. CHECKING - Measuring Performance, i.e. monitoring
4. ACTING - Reviewing Performance and acting upon lessons
learnt to feed back into Step 1.
The relationship between these stages is illustrated below:  

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Health and Safety Policy
 Safety Policies describe the organisation for managing
safety and provide information on the hazards likely to be
encountered.
 Schools/Departments (Management Units - MUs) are
required to supplement the University's policy with a document
tailored to their local situation.
 A model safety policy   which MUs can adapt is
available in an electronic format.
The Health and Safety Policy is a requirement under Section 2(3) of
the Health and Safety at Work Act 1974. It is a crucial element in the
promotion and maintenance of a positive health and safety culture
and in achieving high standards of health and safety awareness at all
levels throughout any organisation. The policy is also required to
include the organisation and arrangements in place for implementing
the policy and for bringing this and any subsequent revisions of it to
the notice of all employees.

The University has the following to comply with the Health and
Safety at Work Act: 

 Safety Policy Statement

 Organisational Arrangements
 Policies and Guidance - general information on the broad
range of health and safety issues that affect the University (A to
Z of topics).
The above is available on the Safety Office website and therefore is
visible to all members of the University for reference. Documents are
reviewed periodically, either as routine or because of new
information.

The University's senior management should define, document and

endorse the health and safety policy. Management should ensure
that the policy includes a commitment to: 

 Recognising health and safety as an integral part of the its

business performance;
 Achieving a high level of health and safety performance, with
compliance to legal requirements as the minimum , and to
continual cost-effective improvement in performance;
 Provide adequate and appropriate resources to implement the
policy;
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  The setting and publishing of health and safety objectives even
if only by internal notification;
 Place the management of health and safety as a prime
responsibility of line management, from the most senior
executive to the first-line supervisory level;
 Ensure that the health and safety policy is understood,
implemented and maintained at all levels in the organisation;
 Employee involvement and consultation to gain commitment to
the policy and its implementation;
 Periodic review of the policy, the management system and
audit of compliance to the policy;
 Ensure that employees at all levels receive appropriate training
and are competent to carry out their duties and responsibilities.
 The document will be the foundation for proactively managing health
and safety within the organisation.  It should be reviewed regularly to
check that it remains relevant.

Management Unit (MU) Health and Safety Policies

However since the University information is of a general nature to be
applicable across the University, it requires supplementation at MU
level.

All MUs are therefore required to have in place their own document
which reflects their specific organisation, arrangements and hazards.

Although this requirement will apply to small low risk MUs, the
content will be minimal, the primary purpose being to describe the
arrangements for managing health and safety within the MU and the
arrangements for basic issues such as first aid and fire evacuation.
To assist small, low risk MU a model safety policy  template has
been produced is available electronically for easy editing to suit the
local circumstances. Larger, more complex or higher risk MUs
should also find that this forms a useful template around which to
base their own more complex documents.

In defining the management arrangements, the appointment of

people with specified safety responsibilities (see section below),
arrangements for implementing University policies, and the local
arrangements for identifying hazards and assessing and controlling
risks, the document will be the foundation for proactively managing
health and safety within the MU. It should be reviewed annually to
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check that it remains relevant i.e. there have been no significant
changes within the MU or in working practices which invalidate the
information.
 

2.3 Organization and Personnel

 This section outlines the general principles.
 The arrangements in place centrally for the University are
described in Section 3 - University Arrangements.
 Section 4 describes the arrangements which should be in
place at School level - Section 4 - School Arrangements.
The following features are crucial in developing a successful
organisation for managing health and safety:
 The formal delegation to specific individuals of
responsibility for health and safety.
 The establishment of an organisational framework which
enables safety issues to be identified and resolved and which
provides reassurance through monitoring that standards are
being maintained.
 The provision of effective arrangements for consultation
with staff and safety representatives appointed by the
recognised trade unions.
 The provision of sufficient information to staff about the
risks to which they made be exposed and the appropriate control
measures they should adopt.
 The provision and recording of training to enable staff to
safely carry out their work and to enable them to effectively
discharge specific health and safety duties.
 Provision of sufficient resources both in terms of time and
finance.
2.4 Planning and Performance Standards
 Health and Safety Planning underpins the
implementation of progressive improvements in safety standards
by prioritising on the basis of risk. (Risk Assessment is described
in Section 2.8).
 Health and Safety Plans should specify an appropriate
timescale for resolving issues.
 Health and Safety Performance Standards, i.e. what
should happen when, enable the effectiveness of systems of
control to be verified.

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  Each School should develop a plan which shows that
issues are being identified and addressed in a systematic
manner.
 The University Health and Safety Plan is formulated and
monitored by the University Safety Committee. Schools may
propose strategic, policy issues for inclusion in this.
The development, implementation and maintenance of an effective
safety policy and its supporting organisation is not a static activity.
The process needs to be sensitive and responsive to new legislation,
to changes in working arrangements or processes, to the
introduction of new hazards, or to the availability of new information
on existing practices. It will also be necessary to respond to
information obtained from monitoring activities.

Planning for health and safety involves making decisions about

priorities, appropriate timescales and the allocation of resources. The
two processes which support planning are risk assessment and the
development of performance standards. Risk assessment provides
the means for identifying new issues for control and these controls
may involve specifying performance standards, either physical
parameters of the process (e.g. noise/dust/light levels, containment
measures) or certain actions which are required to be taken at
predetermined intervals (e.g. maintenance checks, health
surveillance). The performance standard specifies not only what is to
be done (and the levels of acceptability) also who does it, how often,
with what equipment and what records shall be created and
maintained.

It is almost inevitable that situations will arise where all the health
and safety issues identified cannot be dealt with immediately. The
range of circumstances on the one hand may preclude this and there
may additionally be situations which require the development of
further policy, investigation to gather more information to arrive at an
appropriate decision or solution, or organisational changes possibly
with additional resource requirements. The planning process
confronts this by prioritising the actions required within an acceptable
time period. Lower priority areas should not be omitted from the
process but incorporated into the plan at a later stage when
resources become freed following the completion of the more
pressing items. This process is underpinned by performance
standards.

Performance standards can be applied successfully across the

various elements comprising the safety management system. For
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example at the organisational level who will specify the key safety
posts and how they are filled, the structure and functioning of safety
organisation i.e. membership of safety committees, the frequency of
meetings and the distribution of minutes, and how monitoring is to be
carried out i.e. the way in which accidents or near misses are
investigated and reported, the frequency of inspections, who does
them and how they are reported.

Performance standards also apply to specific aspects of working

practice or particular equipment. For example the frequency and
manner of checking the efficiency of a fume cupboard, of guards or
other safety devices at dangerous machinery, the training
requirements for various tasks or the operation of permit to work
procedures prior to entry into hazardous environments or carrying
out high risk operations usually entry into confined spaces.

By using performance standards those monitoring system at every

level can be reassured that a particular performance level is being
maintained or, if not, initiate action to remedy the failing.

Relationship to University and School Arrangements

Health and safety planning centrally is formalised in a University
Health and Safety Plan. This is formulated by the Safety Committee
on an annual basis and includes the overall health and safety
objectives for the year. The primary nature of these objectives is
strategic and they relate to the development or revision of overall
safety policy and the effectiveness of its implementation.

Schools wishing to raise items for consideration or inclusion into the

University health and safety plan should notify either their Faculty
Representative or equivalent on the Safety Committee, or the Safety
Office, at least two weeks before the summer term meeting of the
Safety Committee (this is usually held in mid-May). The Statutory
Safety Committee is also invited to identify matters for consideration.
Schools should also have a plan which deals with their specific
problems. This should indicate that the School has considered its
own priorities and timescales and that the necessary resources will
be provided to implement it.
 

2.5 Measuring Performance

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  Continuing improvement in health and safety standards
requires knowledge of the effectiveness of the existing
arrangements.
 The School's safety policy should describe how
monitoring is to be carried out.
 The Head of School should be aware of the School's
safety performance as identified through the monitoring
arrangements.
 Active monitoring, i.e. inspections, are intended to
identify problems at an early stage. Reactive monitoring aims to
learn from incidents. Both systems should be in place.
 School safety inspections are described in section 4.7.
The minimum requirement is for all areas to be inspected
annually.
 An annual safety report should be completed and
returned to the Safety Office each September.
In order to demonstrate that safety policies and plans are effective
and functioning efficiently it is necessary to establish both active and
reactive monitoring systems.
 Active monitoring (before things go wrong) - involves
regular inspection and checking to ensure that the standards of
the University are being implemented and the management
controls are working.
 Reactive monitoring (after things go wrong) - involves
learning from ones mistakes, whether they result in injuries,
illness, property damage or near misses.
Systems of both active and reactive monitoring will then support the
effective review and improvement of the health and safety
management system. Information from both active and reactive
monitoring is also used at a more basic level to identify situations
that create risk and to address these in a logical prioritised manner.
Active Monitoring
This comprises a range of checks to ensure that the safety systems
are working effectively and thus reducing the likelihood of unsafe
actions being taken. Monitoring should address each level of the
safety management system and be carried out by those immediately
above it. For example the immediate supervisor for any area should
check that the correct working procedures are being followed and
that the integrity of any physical safety features eg machinery guards
is maintained. The supervisor's line manager will need to be satisfied
that all the supervisors reporting to him or her are carrying out these
checks and in turn their line manager will need to be similarly

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reassured. The main monitoring function is therefore a School
responsibility passing up the line management.

The Head of School needs to be satisfied that the monitoring

arrangements, which should have been described within the safety
policy are being properly implemented. Monitoring of the School's
performance is carried out by the Safety Office and reported via the
Safety Committee to the senior management of the University and to
University Council.
In addition to inspections or audits of Schools by the Safety Office,
Schools will also be monitored by questionnaire based surveys
relating to specific topics. Of central importance is the Annual
Safety Report which Schools should complete and return to the
Safety Office by 30th September each year. The findings from this
will be incorporated into the Annual Safety Report which is presented
to the December meeting of University Council.
 

2.6 Reviewing Performance
Periodic formal reviews are necessary to ensure that policies and
standards are kept up to date and developed, that any deficiencies
are identified and that the lessons of experience are incorporated.
The review process applies both at the School level and at University
level. The basis of the review is the information obtained from the
monitoring processes which check the adequacy of the policies in
place and the effectiveness of their implementation. In the light of
this experience existing policies and organisation can be amended
and new policies developed.

2.7 Audit
 Auditing the safety performance of Schools is a Safety
Office function.
 This process supplements other monitoring activities
carried out by the Safety Office and by the School.
Auditing involves an in-depth examination of the health and safety
system by placing the emphasis on managerial and operational
procedures and practices. It also ensures verification of the overall
adequacy of preventative plans and action. It should support safety
management by providing an independent measure of safety
performance. Auditing needs to be independent of local line
management.
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The Safety Office will audit Schools to ensure consistency and to
provide an external view of how a School is performing. This will give
an overall view of how the University as a whole is managing health
and safety.

The audit will explicitly check that:

 Management procedures for hazard identification, risk

assessment, control and monitoring are being used and that they
work in practice.
 Management is being successful in setting up and
meeting performance standards.
 Progress is being made.
Specifically auditing will involve an examination of the School's
systems ie documentation and policies; organisation; procedures;
communications and practical implementation. The effectiveness of
these will be verified by examining records, interviewing different
members of the School and making a physical inspection of specific
aspects of a School's activities.

The Universities Safety Association has produced a safety

management and audit system "Safety Management Profile" which
has been adopted by this University for auditing. The auditing
package was developed in consultation with representatives of the
Health and Safety Executive and provides a constructive measure
for the quality of the School's or Institution's health and safety
management by identifying its particular strengths and weaknesses
and by recommending remedial action as appropriate. High risk
Schools or Sections will be audited on a 3-yearly basis, low risk
Schools and sections will be audited on a five-yearly basis.

In addition, the Safety Office will carry out short inspections to check
physical conditions in each School and section on an annual or bi-
annual basis.

2.8 Guidance for Risk Assessment

 Risk assessment to establish that workplace hazards are
being safely controlled is a legal requirement. Written records of
risk assessments are needed.
 At School level the objective is to ensure that the general
risks have been identified and effective controls are in place. The
findings will feature in the School's safety policy.

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  Individual areas within the School should be able to
demonstrate that specific activities not covered by the School's
arrangements have been assessed and that effective controls
are in place.
 Information, instruction, training and supervision
requirements need to be considered in addition to physical
controls.
Introduction
The assessment of risk is central to the management of health and
safety. It is also a requirement which is implied in a considerable
range of health and safety legislation, including the Health & Safety
at Work (etc.) Act 1974, and made explicit in the Management of
Health & Safety at Work Regulations 1992 (MHSWR). Certain
specific Regulations also require narrow areas for risk assessment,
e.g. display screen equipment and manual handling. Other
Regulations also require assessments for exposure to noise or
hazardous substances (COSHH). Assessment of the risks arising
from work activities also leads to the selection of suitable work
equipment or personal protective equipment (eye protection, clothing
etc.).

The overriding requirement for risk assessment contained within

MHSWR requires an assessment of the work related risks to
employees, students, visitors and members of the public arising out
of a School's activities. The purpose of this is to assist in identifying
those measures which are needed to remove or otherwise control
the risks and to mitigate any consequences. The provision of
information, instruction and training, along with the degree of
supervision, also constitute control measures. It is also necessary to
consider whether there are any specific groups of individuals who
could be at particular risk under some circumstances, e.g. disabilities
affecting their ability to evacuate the building in an emergency,
adverse effects on pregnancy or other medical conditions.

Risk assessment in a School can be considered as falling into one of

two groups, namely general or specific. General assessments would
apply where there are common hazards or activities to the School
such as emergency situations, field work, lone working or out-of-
hours working, first aid requirements. Specific assessments are
related to a particular task such as use of a particular piece of
equipment or the carrying out of a specific procedure. Whilst
assessments of procedures in general use across the School are
best carried out at this level, e.g. by the safety committee or one or

20
more individuals reporting to this, the specific assessments should
be performed by the individuals responsible for the work areas where
these work activities occur since they will have the greatest
knowledge of the activities being carried out. The School Safety
Officer will have a role in supporting or guiding the individuals doing
this and thereby in achieving a degree of consistency across the
School.

The School's risk assessment should identify the contents for the
Safety Policy. This may need to be supplemented by the specific
assessments which should be kept more locally, i.e. within the
section. The Safety Policy should make reference to these
arrangements where relevant.

It is important that the assessment only considers significant risk

arising out of the work activity and does not get distracted by trivial
problems which may be identified. A significant risk is one where it is
foreseeable that an injury requiring first aid or medical treatment or
resulting in an absence from work, or long term damage, e.g. to
hearing or an asthmatic condition, could occur.

Hazard and risk

 
It is important to understand the meaning of these two terms to
effectively carry out a risk assessment:

 Hazard is defined as the potential to cause harm.

 Risk is defined as the likelihood of an event occurring
which will allow the hazard to be manifested.
The level of risk depends upon a combination of these two factors,
for example the act of carrying a heavy weight carries with it the
attendant risk of it being dropped, thereby causing a foot injury. The
likelihood of this being dropped will increase in line with the number
of times the operation is carried out and the duration of the
operation. Similarly a flammable liquid presents a fire hazard but the
risk of this occurring is low whilst being correctly stored, but will be
high if used in an area where there is a source of ignition.

To allow for the possibility of dramatic consequences which may

arise, then the potential consequences from a single event should
also be incorporated into the evaluation. In the vast majority of
situations the consequences would be restricted to a single

21
individual. A small number of situations could give rise to the event
affecting a small number of people within the immediate vicinity of
the incident, e.g. other occupants of a work room. At its most
extreme an incident could endanger individuals beyond the locality,
for example everyone else within the building. Higher consequence
events will only be associated with higher hazard activities, typically
activities which could result in a fire, explosion, toxic gas release or
serious mechanical failure, e.g. of heavy lifting equipment.

Qualitative Ranking of Risk

To assist in prioritising areas requiring health and safety
improvements then the level of risk may be qualitatively ranked. This
can be done by scoring each of the three factors - hazard, risk and
consequences from 1 to 3, 1 being the lowest, 3 being the highest.
The product of this is numbered between 1 and 27 and the higher
scoring action points will be seen as having the greater priority.

Risk severity = hazard x risk x consequences

The severity of the hazard may be scored as follows:

 3 - Major (death or severe injury may result)

 2 - Serious (injuries requiring medical treatment or more
than three days off work)
 1 - Slight (injuries requiring no more than first aid
treatment, or brief absences from work)
Risk can be similarly ranked:

 3 - High (event will occur frequently)

 2 - Medium (event will occur occasionally)
 1 - Low (event will seldom occur)
In determining the likelihood of an event occurring, account needs to
be taken of both the chance of it happening each time the task is
carried out and the frequency/regularity of that task. Hence an
infrequently carried out task which entails a near certainty of injury
would be high risk. Similarly a task which is carried out very
frequently but for which the likelihood of mishap for each occasion is
low, would also be high risk since it is inevitable that the mishap will
occur within a realistic time period.

Consequences may be ranked as follows:

22
  3 - School (endangers individuals within a wide area)
 2 - group (endangers individuals within the immediate
vicinity)
 1 - individual (single individual affected)
Although scores up to 27 are possible, for most purposes the scoring
range will be between 1 and 9 since usually the consequences will
be restricted to a single individual. Hence scores in the range 6 to 9
should be considered as high priority, scores in the range 3 to 5
medium priority and scores of 1 or 2 as low priority.

Where higher consequence events are involved then scores greater

than 9 will arise and will serve to further prioritise those actions
requiring the highest priority.

The following table provides interpretation as to the timescale for

appropriate action relating to the scores produced from the above
simple quantification process.

Risk Level Action and Timescale

Trivial (1) No action is required to deal with trivial risks, and

no documentary records need be kept (insignificant
risk).

Acceptable No further preventative action is necessary, but

(2) consideration should be given to cost-effective
solutions, or improvements that impose minimal or
no additional cost burden. Monitoring is required to
ensure that the controls are maintained.

Moderate Efforts should be made to reduce the risk, but the

(3-5) costs of prevention should be carefully measured
and limited. Risk reduction measures should
normally be implemented within three to six
months, depending on the number of people
exposed to the hazard.

23
 Substantial Work should not be started until the risk has been
(6-8) reduced. Considerable resources may have to be
allocated to reduce the risk. Where the risk involves
work in progress, the problem should be remedied
as quickly as possible and certainly within one to
three months.

Intolerable Work should not be started or continued until the

(9+) risk level has been reduced. While the control
measures should be cost-effective, the legal duty to
reduce the risk is absolute. This means that if it is
not possible to reduce the risk, even with unlimited
resources, then the work must not be started or
must remain prohibited.

 
Application of Risk Assessment
A two-part form is attached (which may be used to assist in carrying
out risk assessments and recording the findings from these. The first
part analyses the activities and the second part contains the action
plan to remedy deficiencies noted.
Although the risk assessment process may be delegated, the person
managing the work area or activities remains responsible for the
findings and for ensuring that the conclusions relating to any
remedial action are implemented. The assessment form requires that
the responsible person confirms their acceptance of any delegated
assessments.

In analysing the risks arising from any particular activity each of the
hazards involved needs to be considered separately against the
precautions which are already provided. These may or may not be
satisfactory. Where the precautions are dealt with by other
documents (such as local rules for working with ionising radiation;
assessments and procedures for working with hazardous
substances; comprehensive documentation for the use and
maintenance etc. of dangerous machinery) then it is only necessary
to refer to these documents and conclude whether the detailed
contained therein is sufficient to control the hazards. Where

24
deficiencies are identified then they can be evaluated and prioritised
using the method described above.

As well as the action being specified in the action plan this also
serves the important purpose of making sure that the action is
completed within a predetermined time period.

Link with Training and Supervision

One of the most important elements of controlling the risks and
making sure that the controls are properly used is the provision of
information, instruction and training to those doing the work. This
also needs to be supplemented with supervision to make sure that
the information etc. has been properly understood and the task is
being competently carried out. The extent of direct supervision can
be relaxed as the person demonstrates competence but adherence
to correct procedures must form part of the ongoing monitoring
arrangements. Familiarity can lead to complacency with the result
that corners may be cut and unsafe methods become part of the
"custom and practice".

The manner in which the health and safety responsibilities of

supervisors towards students may be discharged is described
in Safety Office guidance. This considers the relationship between
training, supervision and competence and records this in a Project
Supervisory Requirements Form (PSRF). The principles of this apply
equally well to the training requirements for any member of staff
whose job involves tasks where knowledge and skill are needed to
carry these out safely. For any School, section or group of people it
will be possible to produce a generic PSRF (or Training and
Supervision Form) which lists the hazardous activities and identifies
those applicable to that particular person. An example of how this
may be applied in practice is included in Section 5. The list of
activities is identified from the risk assessment of the School's work.
Strategy for Risk Assessment
It is important not to lose sight of the purpose of risk management
such that the assessment seems to become an end in itself. The
objective is to have in place the necessary physical or procedural
controls and for the people doing the work to know what these are.

The following points summarise the steps to be taken:

25
  Identify the different areas of the School to which risk
assessments will be devolved.
 Identify who will carry out the risk assessments in these
areas.
 Identify the range of work activities carried out in each
area.
 Identify those work activities which are carried out across
the School for a general assessment.
 Identify all hazards relating to each activity (i.e. how
could someone be hurt carrying out this activity?)
 Determine what control measures/precautions are
already in place and whether they are working satisfactorily. If
available, reference should be made to existing codes of
practices, safe working procedures or other assessments.
 Identify any problems or deficiencies found.
 Make an informed estimate of the hazard, risk and
consequences using the risk assessment criteria and thus
determine the risk severity.
 Complete the action plan table using the risk severity
figure to help decide on the action required and how soon it
should be carried out.
 Review the action plan regularly entering completion
dates as the measures are achieved.
 Review the risk assessment every three years to ensure
that the information is still correct. The risk assessment process
will need to be repeated as and when activities change.
 Ensure that all the personnel (staff, students or visitors)
who could be affected by the work activities are made aware of
the findings of the risk assessments as it affects them.
Much of this information can be imparted by way of the School's
Safety statement.

The Role of School Inspections in Risk Assessment

School safety inspections should be carried out on an ongoing basis
and at intervals which are much more frequent than the formal
reappraisal of any risk assessments. When inspecting any work area
the opportunity should be taken to examine whether assessments
have been carried out and necessary action taken within the
specified time. Checks should also be made to see whether the
findings of the assessments are being disseminated to those
concerned.

26
Element 3: Principles of environmental & waste management

Environment
What we can do for the Earth
Aiming to achieve harmony with the environment

.1 What is 'the environment'?

Define the term 'environment'.

Many meanings

The term 'environment' is widely used and has a broad range of definitions,
meanings and interpretations. What does the term 'environment' mean? In popular
usage, for some people, the term 'environment' means, simply, 'nature': in other
words, the natural landscape together with all of its non-human features,
characteristics and processes. To those people, the environment is often closely
related to notions of wilderness and of pristine landscapes that have not been
influenced - or, at least, that have been imperceptibly influenced - by human
activities. However, for other people, the term 'environment' includes human
elements to some extent. Many people would regard agricultural and pastoral
landscapes as being part of the environment, whilst others are yet more inclusive
and regard all elements of the earth's surface - including urban areas - as
constituting the environment. Thus, in popular usage, the notion of the
'environment' is associated with diverse images and is bound up with various
assumptions and beliefs that are often unspoken - yet may be strongly held. All of
these usages, however, have a central underlying assumption: that the
'environment' exists in some kind of relation to humans. Hence the environment
is, variously, the 'backdrop' to the unfolding narrative of human history, the
habitats and resources that humans exploit, the 'hinterland' that surrounds human
settlements, or the 'wilderness' that humans have not yet domesticated or
dominated.

27
In its most literal sense, 'environment' simply means 'surroundings' (environs);
hence the environment of an individual, object, element or system includes all of
the other entities with which it is surrounded. However, in reality, individuals,
objects, elements and systems rarely exist in isolation; instead, they tend to
interact to varying extents with their surrounding entities. Therefore, it is not
particularly helpful to conceptualise the 'environment' without including in that
conceptualisation some notion of relationship. Individuals, objects, elements and
systems influence - and are in turn influenced by - their surroundings. Indeed, the
networks of relationships that exist between different entities may, in some cases,
be extensive and highly complex. Thus the 'environment' may be regarded as a
'space' or a 'field' in which networks of relationships, interconnections and
interactions between entities occur. To those who have studied the science of
ecology, such a conceptualisation will be familiar, since ecologists are concerned
with both the biotic (living) and abiotic (non-living) components of
environmental systems - and especially with the interactions of those
components. In fact, the term 'environment' is often used interchangeably with an
ecological term 'ecosystem', which may be defined as a community of interacting
organisms together with their physical surroundings. The notion of
interrelationship is a central one in environmental science and management, since
many environmental issues have occurred because one environmental system has
been disturbed or degraded - either accidentally or deliberately - as a result of
changes in another.

A systems analysis approach

By focusing on the interactions and interrelationships between different parts of

the environment, we are using language that is characteristic of a systems analysis
approach - or a systems framework - and applying it to the understanding of
environmental science and management. Indeed, many environmental scientists
now tend to think in terms of the whole 'earth system' and its components,
subsystems and processes. In some ways, the term 'earth system' is a more useful
one than 'the environment', not least because it highlights the fact that the natural
world is a dynamic, complex entity with its own laws and processes, rather than
being simply a passive space that is inhabited, exploited and given significance
by humans. Moreover, increasingly, scientists have acknowledged that the study

28
of environmental science and management should ideally be interdisciplinary in
nature, so that insights from many academic disciplines and scientific specialisms
are available to inform the study of environmental issues. This is particularly
important when it comes to understanding complex global environmental issues,
such as climate change, which affect all parts of the earth system and which
require expertise beyond the scope of any single academic discipline. A further
consideration is that the study of environmental science and management is,
ultimately, focused on the planetary scale - since the earth system forms an
integrated whole with many processes that operate globally. This is not to say that
the study of environmental issues at other scales is unimportant; indeed, the
management of localised environmental issues - such as the pollution of rivers - is
critically important for human communities, livelihoods and well-being, as well
as for the health and integrity of ecosystems. Nevertheless, the study and
management of local and regional environmental issues belongs - rightly - within
a holistic, integrated, global context. And whilst the study of the earth system may
be subdivided, for convenience, into categories such as 'geosphere', 'atmosphere',
'hydrosphere' and 'biosphere' - as well as into smaller categories - it is important to
emphasise that such categories interact and overlap at all spatial and temporal
scales.

Environmental Principles
Introduction
Ten Environmental Principles
Basic Environmental Philosophy
Environmental Action Plan
Requirements of Ten Environmental Principles
Ten Environmental Principles
(1) Gain basic understanding.
(2) Comply with environmental laws and regulations.
(3) Give consideration to the actual status of the natural and social
environments of the
region.
(4) Proactively engage in environmental impact assessment.
(5) Pay attention to the diversity of environmental fields.
(6) Enhance technological capabilities with environmental considerations as
a value added.
(7) Consider cost effectiveness in relation to environmental considerations.
(8) Propose measures and processes enabling environmental considerations.
29
(9) Accumulate, share and communicate knowledge and information
relating to
environmental considerations.
(10) Incorporate environmental considerations into quality management
system.
Introduction
As human activity has increased its scale and coverage, its impact on the
global environment
has become so serious that it may even endanger human survival.
Human activity is the accumulation of each of our daily activities.
Accordingly, each and every
one of us is required to grapple with environmental problems in earnest and
take specific actions
to alleviate the loads on the environment.
In planning and implementing corporate activities, we should always be
conscious of
environmental problems and make minimization of environmental load a
prerequisite for
corporate activities. At the same time, we should also share the fundamental
belief that efforts
for the environment carry the same weight as safety and quality
management.
Nippon Koei determined the basic philosophy and behavioral policies to
deal with
environmental problems and established the “Nippon Koei Basic Policy for
the Global
Environment” in June 1993. The basic policy demonstrated that the basic
philosophy of the
Company is to aim at creating a richer social environment based on
harmony between the
natural environment and the living environment and that the Company will
make continuous
efforts accompanied by specific actions to resolve environmental problems.
Also, in order to put this basic policy into practice, “Nippon Koei Action
Plan for the Global
Environment” was established in July 1996. This action plan includes the
stance of each and
every engineer and expert toward environmental considerations in his/her
respective field as a
major item. Moreover, it demonstrated the policy to proactively expand
environmental
consulting, construction work and product development aimed at
environmental consideration
and reduction of environmental load.
30
Furthermore, in October 1998, “Ten Environmental Principles” were
established by the
Consulting unit, combining these to create norms for each employee to
always act in
consideration of the environment. The Principles indicated the mindset
needed for each
employee to achieve the action plan and formulation of the Principles was
an attempt to share
the fundamental belief underlying our efforts for the environment.
The “Ten Environmental Principles” are also cited in “6. Conserving the
Environment” of the
Nippon Koei Group Code of Conduct.
About 17 years have passed since the establishment of the “Ten
Environmental Principles”. As
such, to reflect the current situations, in January 2015, the Safety and
Health & Environment
Committee compiled a new version of the “Ten Environmental Principles”
based on the
“Nippon Koei Basic Policy for the Global Environment” and the “Nippon
Koei Action Plan for
the Global Environment” as well as the “Ten Environmental Principles” of
the Consulting Unit.
It is hoped that each employee will take a practical step for environmental
considerations by
keeping this booklet at hand and using it as behavioral norms to fulfill
his/her social
responsibility through daily activities.
Ten Environmental Principles
Principle 1 Gain basic understanding.
Environmental consideration is one of the matters strongly required by
modern society and it
should be applied to every business. We should aim at creating harmony
between the
environment, development and products and should always be a leader in
meeting the needs of
the times.
Principle 2 Comply with environmental laws and regulations.
In project implementation, it is essential to abide by the environmental laws
and regulations set
by relevant organizations and the guidelines for environmental and social
considerations of
relevant agencies. With respect to the project and product development that
are likely to

31
significantly affect the environment, in particular, we should examine how
to make
environmental considerations from the initial concept phase.
Principle 3 Give consideration to the actual status of natural and social
environments of
the region.
To develop social infrastructure in consideration of the environment, we
should pay due
attention to the project details, development method and product
development. In addition, we
should also give sufficient consideration to the status of the natural and
social environments of
the target region as well as the environmental impact of the product.
Principle 4 Proactively engage in environmental impact assessment.
Environmental assessment is an effective means to minimize the
environmental impact caused
by project implementation as well as to verify project validity. Inclusion of
screening to
determine whether or not to carry out environmental assessment in every
project makes it
possible for us to implement the project with due consideration of the
environment. It should be
noted that inadequate result of environmental assessment may result in a
significant amount of
rework in the project.
Principle 5 Pay attention to the diversity of environmental fields
As environmental problems encompass many issues, such as climate
change, biodiversity
conservation, landscape formation and sociocultural considerations, in
recent years,
environmental fields have been perceived to be greatly diversified. In
addition to giving due
consideration to the characteristics of the project, the product and the
region, we should also try
to commit ourselves to considering global environmental issues and
establishment of a
national-level environmental strategy and plan in our work.
Principle 6 Enhance technological capabilities with environmental
consideration as a
value added.
All engineers engaged in the concept, planning, design, construction and
post-completion
phases of development project, or in all phases of product development,
design, manufacturing
32
and installation should strive to build a concrete process for environmental
considerations,
viewing them as their own issue and receiving support from experts as
necessary.
Principle 7 Consider cost effectiveness in relation to environmental
considerations.
If new cost arises in relation to environmental considerations, examine the
effect (benefit) as
well as the cost to choose the best way.
Principle 8 Propose measures and processes enabling environmental
considerations.
There are a number of unknown areas as to the way to implement
environmental considerations.
For this reason, we should plan and propose measures and processes to
enable the
implementation of environmental considerations for each project,
considering the standpoint of
the project owner. Experts in different fields should work together and
contribute their ideas to
propose feasible processes.
Principle 9 Accumulate, share and communicate knowledge and
information relating to
environmental considerations.
Various advanced attempts have been made concerning environmental
considerations. On the
other hand, some projects have been delayed or suspended due to
environmental problems. We
should collect and organize such information in a way that it can be shared
as internal
information within the Company. At the same time, we should also
endeavor to contribute to the
development of environmental technologies by conducting voluntary
surveys and research and
publishing the results within and outside the Company.
Principle 10 Incorporate environmental considerations into quality
management system.
Incorporate the viewpoint of environmental considerations into the quality
management system
of consulting, construction work and product development and check how
environmental
considerations are made in these operations.
Basic Environmental Philosophy
The basic philosophy of Nippon Koei shall be to aim at creating a richer
social environment
33
based on harmony between the natural environment and the living
environment with the
recognition of the finiteness of the environment.
(1) We shall make an all-out effort to address environmental problems in a
comprehensive
and continuous manner, responding to the needs of the times.
(2) We shall be committed to technological development and technology
transfer for the
purposes of environmental protection and conservation of energy and
resources.
(3) We shall strive to contribute to society, making environmental
considerations by taking
advantage of its ample experience and environmental technologies.
(4) We shall endeavor to adopt environment-friendly construction methods
and carry out
effective utilization of resources and adequate treatment of wastes in its
construction and
production activities.
(5) Each employee of the Company shall recognize his/her relationship with
the environment
and make considerations for the environment by promoting reduction and
recycling of
wastes through his/her work and daily life.
Environmental Action Plan
Objectives of Environmental Action Plan
(1) We shall establish a system to make full considerations of matters
related to the
environment with regard to all technical services and products.
(2) We shall carry out business operations with full understanding of the
environment.
Initiatives for Environmental Considerations
(1) We shall carry out initiatives to make considerations for regional
environment as part of
corporate social responsibility (CSR).
(2) We shall incorporate environmental consideration checkpoints into the
quality
management system to check them in verification.
(3) With regard to domestic operations, we shall create verification points
from the viewpoint
of environmental considerations for each infrastructure project and
implement them.
(4) With regard to international operations, we shall create verification
points by referring to

34
the guidelines for environmental and social considerations of relevant
organizations
(JICA, ADB, World Bank, etc.) and implement them.
(5) We shall make an active involvement in the field of environmental
consulting
(environmental assessment, environmental management, management of
natural
resources, environmental conservation, waste management and measures
against climate
change, etc.) to establish a sustainable society with minimum environmental
load.
(6) We shall develop measures to control serious environmental pollution,
such as air and
water pollution, of developing countries based on the experience in Japan
and transfer
environmental conservation technologies to such countries.
(7) With regard to production activities, we shall actively promote the
development of
products and construction methods with considerations for resource and
energy
conservation.
(8) We shall make efforts to ensure prevention of environmental pollution
and reduction and
recycling of wastes in designing and manufacturing products and at
construction sites.
Requirements of Ten Environmental Principles
The underlying principle of the objectives of our actions for environmental
considerations is
that we, as Nippon Koei, are a group of engineers who are always conscious
of environmental
problems in executing their duties.
Accordingly, we need the mindset based on the fundamental belief that
“initiatives for the
environment” should carry the same weight as “initiatives for safety and
quality management”.
Practice the environmental considerations as part of your responsibilities,
using these 10
Principles as a guide.
Focus on the global environment by addressing familiar matters first.
Safety and Health & Environment Committee

35
 Waste Management
Basic principles
Waste generation is an inevitable consequence of consumerism. As
the costs of waste disposal increase (due to rising landfill tax, the
increasing fuel costs associated with waste transportation and
increasingly stringent environmental legislation), waste is being more
actively managed at source.  

A significant proportion of Hertfordshire's household waste is

landfilled, most being exported out of the county. Looking to the
future, to become sustainable, the county must tackle its waste
within the county boundaries.

 Types of waste
 Principles of sustainable waste management
 Benefits of sustainable waste management

Types of waste
Waste generated by development is produced through three main
activities: construction, operation and refurbishment/demolition:  

 Construction waste: major components include soils (often

mixed with other materials), concrete, masonry, stone, metal (largely
steel), glass, plasterboard, timber, packaging, insulation, bituminous
materials such as road plantings and architectural features. Studies
by WRAP and the BRE indicate that up to 30% of all construction
waste is packaging. .
 Operational waste: the largest share of waste can be
generated by building operations, i.e. building occupation. Although
operational waste management practices are at the discretion of the
building user, effective operations are strongly influenced by the
design and fit out of a building.
 Refurbishment/demolition waste: includes all building
materials, building services, furniture and landscape materials and
features.

36
 The construction industry is responsible for producing around one
third of all waste in the UK.  

Construction

WRAP operated a programme of work supporting the construction

industry in reducing waste and improving resource efficiency
between 2000 and March 2015. Following a review of the resources
including tools, research reports, case studies and good practice
guides WRAP has transferred the main knowledge base to CIRIA.
Go to our Help centre to find out more.

For more information on waste arisings and management in

Hertfordshire visit Hertfordshire's Waste Aware website.

Principles of sustainable waste management

Population and household growth in Hertfordshire put increasing
pressure on waste management in the county. Consequently, the
need to actively manage waste streams in Hertfordshire has never
been more significant. 

Sustainable waste management can be actively addressed through

the planning process in the following ways:  

 Reducing the quantity of materials required for the building.

 Reducing the amount of waste generated.
 Management of construction and demolition wastes.
 Materials specifications (e.g. use of reclaimed and recycled
materials).
 Provision of recycling space/facilities.
The nationally accepted framework or approach for
achieving reductions in waste arisings and sustainable waste
management is the Waste Hierarchy.

Waste hierarchy

The waste hierarchy provides a framework where waste

management options are set out in priority order to enable  to correct
choice to be made when assessing how to deal with waste. In the
hierarchy, waste prevention is the ost environmentally friendly and
disposal the least. 

37
 The hierarchy applies to all waste streams, not only those directly
influenced by this guide. 

Waste reduction

By preventing waste before it occurs, money can be saved on the

collection, treatment or disposals costs of waste. It also reduced the
environmental impact and costs of extracting more raw materials,
production and use.  
This becomes more important when the true costs of waste are
considered.  
The true cost of waste is not only the Disposal cost it also includes

 Cost of purchasing materials/ resources

 Handling / processing / maintenance costs
 Management time
 Lost revenue
 Any potential liabilities
A study in 2009 showed that a typical construction skip costs around
£1343 when you add the cost of the skip to the cost of labour and
materials that fill it. The breakdown of this was:

 Skip hire £85 (quite low compared to current prices) – 6.4% of

cost
 Labour to fill it £163 – 12.1% of cost
 Cost of materials in skip £1095 – 81.5% of cost
It was estimated that a typical 80m2 house development would
produce 5 skips of waste material, therefore, the financial cost of
waste for a generic house construction was £6715, over 80% of

38
which could be avoided through better resource use and selection of
materials

Materials reuse

Reusing products and materials for the same (or alternative) purpose
is the next preference. Before a material can be reused it should be
assessed for its quality as it may be necessary to make minor repairs
or additions before the product can reach the required standard.

This may include for example, retaining unused materials for one
construction project to use on the next project.

Recycling and composting

Recycling involves the collection, separation and processing of

wastes to make new products, e.g. newspapers are regularly
recycled either to make new newspapers or eco-friendly home
insulation. Composting is the same process but with organic wastes,
e.g. food waste composted to make new fertiliser products. 

Recycling and composting processes usually require some energy to

work well; however, the energy and cost to alternatively make new
products from scratch are usually much greater. The economic
viability of recycling/composting depends on factors such as the
quality of the waste stream, the transport distances involved and the
market price for the recycled materials which can fluctuate
significantly. The aim should be to recycle construction wastes as
close to their source as possible as they are typically heavy and
bulky to transport.

Energy recovery

Energy from waste incineration recovers a proportion of energy from

the waste stream; however, usually much less than by
recycling/composting, reusing or reducing the waste generated in the
first instance.

Landfill disposal

Disposal is the last option in the waste hierarchy and therefore

the aim is to divert waste from this end destination. The only landfill
in Hertfordshire currently accepting waste (Westmill in Ware) only
has permission to continue recieving waste until 2017.

Proximity principle

39
 The transportation of waste can incur significant environmental and
nuisance impacts plus unwanted additional cost. Therefore, the
proximity principle encourages processing, recycling, reuse or
disposal of waste as near to the point of its production as possible.

Benefits of sustainable waste management

Sustainable waste management delivers lots of benefits:

 Reduced waste disposal costs (notably Landfill and

Aggregates taxes).
 Reduced pressures on finite resources, such as virgin
aggregates.
 Reduced greenhouse gas emissions from landfill and
incineration.
 Reduced energy consumption from the manufacturing process.
 Increased economic productivity.
 Reduced requirement for additional landfill capacity.
 Reduced nuisance created by odour and visual intrusion from
landfill sites.
 Improved corporate reporting and green credentials for
business.
Typical practice 

A - White goods and scrap

B - Textiles

C- The average household in Hertfordshire send 15kg of waste to

landfill every week

D - Furniture

40
E - Paper and cardboard

F - Kitchen waste

G - Garden waste 

Good practice 

A - White goods and scrap

B - Textiles

C - Furniture

D - Paper and cardboard

E - Purchase of food with reduced/no packaging

F - All kitchen and garden waste (other than meat, bones, etc) into
compost bin or wormery - 30% of total waste volume

Categories & sources of waste

Health care waste is divided into two main categories: hazardous and non-
hazardous. If waste is not segregated correctly, hazardous waste can
contaminate non-hazardous waste. This can make collection, transport,
treatment, and disposal of waste difficult and hazardous. Also, treating non-
hazardous waste as though it is hazardous results in wasted resources and
effort.
Category 1: Hazardous waste

Hazardous waste can harm people and the environment. The types of
hazardous waste in a facility vary according to the size of the facility and

41
the services offered. It comes in three categories: infectious, toxic, and
radioactive.
Examples of infectious waste:
 Sharps waste is used or unused sharp items that could cause
cuts or puncture wounds that can lead to infection. Examples
include: instruments (such as scalpels and blades), needles,
syringes and broken glass or ampoules;
 Pathological waste (anatomical waste). Examples include:
human tissues or fluids (such as blood and body fluids), organs
(body parts), placentas and fetuses and unused blood products;
 Other infectious waste. Examples include: soiled gloves,
gauze or bandages that are contaminated with blood, body fluids,
viruses, or parasites.
Examples of toxic waste:
 Pharmaceutical waste is used, expired, or no longer needed
pharmaceutical products (such as vaccines and drugs);
 Chemical waste. Examples include: chemical substances (such
as laboratory reagents or film developer), disinfectants, solvents
and waste with high heavy-metal content (such as batteries, broken
thermometers, and blood pressure gauges);
 Genotoxic (harmful to human genes) and cytotoxic (harmful
to human cells) waste isn’t common unless the facility treats cancer
patients. It includes: drugs used in cancer treatment, body fluids
from patients exposed to chemotherapy or cytotoxic drugs and
other material contaminated by these agents.
Examples of radioactive waste: radioactive substances (such as
unused liquids from radiotherapy or laboratory research), glassware,
packages, or absorbent paper contaminated with radioactive substance,
urine and excreta from patients treated or tested with radionuclides and
sealed sources (containers in which radioactive substances are stored and
sealed).

Category 2: Non-hazardous waste

Non-hazardous waste does not pose biological, chemical, radioactive, or

physical risk to people or the environment, and can be disposed of as
municipal waste*. Examples include paper, boxes, bottles, plastic
containers, and personal protective equipment (PPE) that have not been
contaminated with bodily fluids or used in an isolation area.
*Municipal waste is general waste generated mainly by households and
commercial activities, and ideally collected by municipalities (e.g., local

42
villages or cities) for disposal. Municipal waste should not contain
untreated medical waste.

‹PreviousWaste processing & minimization

Let us take a look at the waste management process recommended
by the U.S. Centers for Disease Control and Prevention (CDC).

These next several learning activities will cover the steps in the
waste management process in more detail. We will start by looking
at how to minimize waste.
Minimizing waste

Where feasible, minimizing the amount of waste that is produced by

a health care facility is a good waste management practice. Waste
minimization is most commonly applied at the point of generation,
but it can also happen before items even enter the health care
facility. Some examples of good waste minimization practice include:
 Select materials with minimal packaging.
 Choosing equipment that can be reprocessed locally—that
is, appropriately cleaned, disinfected, and/or sterilized for
reuse.
 Changing (or substituting) products. For example, using
steam sterilization in place of a toxic chemical disinfectant
(i.e., glutaraldehyde)

Segregating waste

43
Waste segregation can substantially reduce the quantity of health
care waste that requires specialized treatment. Health care facilities
should segregate waste when and where it is generated, such as
before leaving a patient’s room, examination room, operating theatre,
or laboratory. Staff should discard waste in the appropriate
containers, based on the potential hazard of the waste and the
treatment and final disposal methods. This step prevents staff from
having to handle and separate waste later by hand—which is
dangerous and should never be done.

Segregate waste by employing, at a minimum, a three-bin system.

Use clearly labelled waste containers. Let us now read about WHO’s
recommended segregation scheme.
General waste

Put general health care waste, such as food scraps and office waste,
in a container lined with a plain plastic bag. Do not put this kind of
waste in containers or bags with biohazard symbols on them. Look at
this ward’s color-coded waste segregation system.
Hazardous sharps waste

Dispose of hazardous sharps waste, such as syringes, scalpels,

suture needles, and glass, in a puncture-resistant sharps container
to prevent needlesticks, cuts, and puncture injuries. Sharps
containers should be labelled with a biohazard symbol and
designated “sharps.” Sharps containers should be located within
arm’s reach of where sharps are used. Avoid overfilling sharps
containers—seal and discard them when they’re three-quarters full to
prevent needlestick injury. Sharps containers should be single-use;
never empty a container and then reuse it.

There are two appropriate sharps containers in this photo—one on

the left side of the table and one on the right; in this case they
happen to be yellow. The sharps bin on the left has a hard plastic top
with a sealable lid. The sharps bin on the right looks a bit different—it
is made of cardboard, and sharps are inserted through a hole in the
top. Both serve the same purpose. Note that they are located at the
point of care, close to the patient’s bedside, for safe and easy
disposal.

If procurement of official sharps containers is difficult, you can

provide low-cost options. Make improvised sharps containers from
metal containers, plastic bottles, or durable cardboard boxes. Label

44
them as “sharps waste.” Make sure you can completely close and
tightly seal this container when it is three-quarters full to prevent it
from being opened before final disposal.
Note: There are advantages and disadvantages to different types of
sharps boxes. Cardboard is easier to burn and cheaper to procure,
but might be less suitable in humid conditions. Rigid plastic boxes
are sturdier and are designed to remain closed once the lid is
secured.
Hazardous non-sharps waste

Other hazardous waste, such as pathological and pharmaceutical

waste, should go in a container that is:
 Leak proof and puncture-resistant
 Covered with a lid
 Appropriately labelled and color-coded
 Lined with a plastic bag that is closed and discarded when
three-quarters full to enable bag closure and safe transport

Look at this example of waste segregation. It is easy to see that the

red bin is labelled as infectious waste. The blue bin for non-infectious
waste should be larger, since 85% of waste is non-infectious.

Collecting, transporting & storing waste

After waste is segregated, designate staff for each ward or unit to
collect and transport it for disposal or transport it to a dedicated
storage area to await disposal. We will now look at the collection,
transportation, and storage steps in the waste management process.
Collection

When handling hazardous or infectious waste, always wear PPE.

PPE should include:
 Utility gloves (not nitrile gloves)
 A heavy-duty apron
 Boots or closed-toed shoes
 Eye protection and/or face mask (if any splashes or sprays
are anticipated)

Remember to remove PPE and perform hand hygiene after handling

waste.

45
As with segregating waste, it is important to collect waste according
to type. Collect general and infectious waste on a daily basis or more
frequently—when the bag or container is three-quarters full. Consult
national guidelines for how to dispose of chemical and
pharmaceutical waste.

If you are collecting bags, tie them securely closed. Do not shake or
squeeze bags to create more space in the bag when sealing them.
Carry sealed bags at the top—that is, by the neck—and away from
your body. Lifting or holding bags by the bottom or sides could cause
injury (such as by sharp objects piercing through the bag), especially
if they contain waste that was incorrectly discarded. Be sure that the
bags are not broken, opened, dropped, or thrown.
Transportation

Equipment in the health care facility that holds and transports waste
should not be used for any other purpose. If available, use separate
equipment, such as a trolley or a wheelbarrow, to transport
hazardous and non-hazardous waste separately. Dedicated
equipment should be:
 Easy to load and unload
 Not have sharp edges that might tear bags or damage
containers
 Easy to clean
 Clearly labelled
Storage

Store waste until it can be either treated or transported offsite. Health

care facilities should have an operating plan for waste so that the
need to store waste is minimized. When creating an operating plan,
consider the volume of waste produced daily, waste management
staffing needs, the size of storage areas, and final disposal method.

Waste storage areas can be located within the health care facility or
in a designated area on the grounds. Whether kept indoors or
outdoors, waste should be secured from people and animals, and
protected from rain. Make sure the waste storage area is easily
accessible by staff in charge of handling waste. If waste is
transported offsite, consider placing the storage area where waste-
collection vehicles have easy access. Waste storage areas should
be of appropriate size for the volume of waste generated by the

46
health care facility. Waste should not be allowed to accumulate for
more than one or two days.

Treating & disposing of waste

After collection, health care waste is treated and/or disposed of
according to its type. WHO recommends treating hazardous waste
before disposal to minimize risk and hazard. The disposal method
depends on how it has been treated, as well as on the type and
quantity of waste, available space on site, and access to offsite
disposal options.

While general non-hazardous health care waste (municipal waste)

can be disposed of without treatment, hazardous waste should be
treated prior to final disposal. Health care facilities should conduct a
risk assessment based on the type and quantity of waste and access
to resources, and choose the methods that will pose the least risk to
the community and the environment.
Thermal methods

Thermal methods, which destroy microorganisms in waste through

heat, include low- and high-heat technologies.
 Non-combustion (low-heat) processes, like autoclaves* and
steam-based treatment systems, operate at 100–180 °C
(212–356 °F). This is a picture of autoclaves, which use
steam to decontaminate medical waste.
*Autoclaves: A process that achieves a specified heat and pressure
to inactivate a range of infectious waste, including sharps, materials
contaminated with organic materials, laboratory waste, and other
patient care waste.
 Combustion (high-heat) processes operate at about 200 °C
(392 °F) to more than 1,000 °C (1,800 °F). The most
common example of this method is incineration**.
**Incineration: The controlled and complete burning of combustible
(burnable) waste. Burning can be facilitated by addition of fuels,
such as kerosene.

Incinerators can range from extremely sophisticated, high-

temperature models to very basic units that operate at much lower
temperatures. All types of incinerators, if operated properly, eliminate
microorganisms from waste and reduce the waste to ashes.
Incinerators can be efficient and affordable. This is a picture of a

47
functioning incinerator. Notice that no items are sitting outside of the
incinerator and there is no accumulation of waste.

In accordance with the Stockholm Convention, use the best available

technology to achieve recommended levels of dioxin and furan
emissions.

For health care facilities with limited resources, and where high-
temperature incinerators are not affordable or feasible, De Montfort
brick (double-chamber) incinerators are often used. Double-chamber
incinerators allow for higher temperatures, which incinerates waste
more effectively and reduces toxic emissions. Drum (single-
chamber) incinerators can also be used, but are not recommended.
Low-temperature incinerators are considered a better option than
open burning.

Avoid open burning of health care waste—it releases toxic gases

and does not fully destroy infectious waste because it cannot reach
high enough temperatures. However, it can be used in emergencies,
such as outbreaks of communicable disease, until incinerators or
other treatment methods (such as autoclaves) become available.
Chemical methods

With chemical methods, waste is exposed to a chemical agent that

kills microorganisms, like chlorine dioxide, sodium hypochlorite, lime
solution, or calcium oxide powder.
Irradiation methods

Irradiation methods use ultraviolet radiation or microwaves to destroy

microorganisms. They supplement other disposal methods and are
not easily accessible in low- and middle-income countries.
Biological methods

Biological methods, which include composting and burial, rely on the

natural decomposition of organic matter. These processes are
recommended for placentas.
Mechanical methods

Mechanical methods include shredding, grinding, mixing, and

compacting technologies that reduce waste volumes but do not
destroy microorganisms; they usually supplement other treatment
methods. These processes can be used to destroy needles and

48
syringes. Use them only after the waste has been disinfected, or as
part of a closed system.

If the treatment methods listed above are not available, small

quantities of waste can be buried onsite for the short term, in an
appropriately constructed burn pit, while treatment options are being
identified.
Infectious Waste Treatment and Disposal

Specific types of infectious, non-sharps waste require different

methods for treatment and disposal.
Pathological/anatomical waste: Waste in these categories is
traditionally buried or cremated in incinerators. Treatment and
disposal of pathological and anatomical waste might be bound by
sociocultural and religious norms. For example, placenta waste can
be buried in pits or taken home.
Liquid infectious waste: This type of waste includes liquid culture
media, blood, body fluids, human excreta, and rinsing liquids from
operating theatres. Autoclaves and incineration technologies typically
available in low-resource settings are not effective for large
quantities of liquids. Liquid infectious waste can be disposed of
directly into a closed sewer system (such as a utility sink drain or
flushable toilet) or onsite septic tank system by staff wearing PPE
and taking precautions to avoid splashing. If neither is available, this
waste should be poured directly into a pit latrine. Disposing of liquid
infectious waste into pipes that go to open drainage canals should
not be conducted without pre-treatment.

If you use the sink or toilet for disposal of liquid infectious waste, be
sure to thoroughly rinse with water and clean and disinfect the sink
or toilet using 0.5% chlorine solution to remove residual waste.
Other Hazardous Waste Treatment and Disposal

Chemical, pharmaceutical, and radioactive waste should be included

in the national strategy for hazardous waste, and should be treated
in accordance with international and local regulations.

Ash from incineration is considered to be hazardous because it can

contain heavy metals and other toxic materials. Ash should be
disposed of properly at hazardous waste sites (such as engineered
landfills), encapsulated and buried, or disposed of in a concrete-lined
ash pit. Avoid direct contact and inhalation, and wear appropriate

49
PPE (such as utility gloves, plastic apron, goggles, and mask or N95
respirator).

Other Treatment and Disposal Options

If health care facilities do not have the ability to treat waste or return
it to the manufacturer, encapsulation or inertization can be used to
dispose of small quantities of sharps, chemicals, or pharmaceutical
waste. These methods can reduce the risk of injury to people and
minimize the risk of toxic substances migrating into surface or
groundwater. These methods are rarely used.
 Encapsulation is a process that seals waste containers
with an immobilizing material, such as cement. After
hardening, the containers can be safely disposed of in a
landfill.
 Inertization involves mixing of waste (such as
pharmaceutical and high-metal-content ash) with water, lime,
and cement before disposal to reduce the risk of toxic
substances leaching into surface and groundwater.
Pharmaceuticals must be removed from their packaging and
ground before being mixed.

This table shows the different methods for treating and disposing of
infectious waste.

50
isposal sites
In the previous section, we mentioned various types of disposal sites. We
will now learn about these sites in more detail.
Landfills

If done properly, the disposal of health care waste—both treated and

untreated—in landfills can protect staff, the community, and the
environment. Landfills are specifically designed and engineered for the safe
disposal of waste on land. Properly built landfills:
 Restrict access to prevent scavenging
 Prevent infiltration by water
 Are lined with a low-permeability material (such as clay)

Ideally, by the end of each working day waste should be spread in thin
layers, compacted and covered with soil. Gases should not be allowed to
accumulate to the extent they become hazardous.

51
Placenta pits

In many cultures, burying placentas is an important custom. In low-resource

settings, a placenta pit is an effective option for safe disposal. The site for a
placenta pit should minimize public accessibility; the size will depend upon
the number of daily childbirths at the facility. On average, one placenta and
its associated fluids will require 5 litres (1.5 gallons) of pit capacity. Natural
degradation and the draining of liquid into the subsoil greatly reduces the
volume of waste in the pit and facilitates the inactivation of pathogens.
Small quantities of anatomical waste (body parts) can also be disposed of in
placenta pits if other treatment options are not available, or if sociocultural
or religious norms prohibit other forms of treatment.

The pit should be designed to prevent waste from contaminating the

surrounding groundwater. A distance of at least 1.5 metres (approximately 5
feet) from the bottom of the pit to the groundwater level is recommended.
Placenta pits are not recommended for sites where the water table is near
the surface, or in areas prone to flooding.
Sharps pits

Even after decontamination, sharps waste could still pose physical risks.
There could also be risk of reuse. Decontaminated sharps waste can be
disposed of in concrete-lined sharps pits on facility premises or
encapsulated by mixing waste with immobilizing material, such as cement,
before disposal. These procedures are recommended only in cases where
the waste is handled manually and the landfill for general waste is not
secured.
Small burial sites for waste disposal

At health care facilities with limited resources, short-term, safe burial of

waste on or near the facility might be the only option available for waste
disposal. Safe onsite burial is practical for only limited periods of time (1–2
years) and for relatively small quantities of waste. Burial can be used as a
method of waste disposal only where the water table is more than 4 metres
(12 feet) below the surface. During this time, the health care facility should
continue to look for better, more permanent methods for waste disposal.

Resources

Waste management resources

52
The following are additional waste management resources available for
download.
 2014 Safe management of wastes from health-care activities, 2nd
ed. The new Blue Book is designed to continue to be a source of
impartial health-care information and guidance on safe waste-
management practices.
 2017 Safe management of wastes from health-care activities: a
summary. This document highlights the key aspects of safe health-
care waste management in order to guide policy-makers,
practitioners and facility managers to improve such services in
health-care facilities.
General
 WHO Core Components support countries as they develop and
execute their national antimicrobial resistance (AMR) action plans,
among other aspects of health system strengthening.
 WHO Core Components Guidelines cover eight areas of IPC and
comprise 14 recommendations and best practice statements.
 Improving Infection Prevention and Control at the Health
Facility Guide is a practical manual that outlines how to implement
the Core Component Guidelines.
 WHO Multimodal Strategy consists of several elements (3 or
more; usually 5) implemented in an integrated way to guide action
and provide a clear focus for the implementer.
 WHO Infection Prevention and Control Assessment Framework
(IPCAF) is a tool that can provide a baseline assessment of IPC
programme activities within a health care facility as well as
ongoing evaluations through repeated administration to document
progress over time.
 Interim Practical Manual Supporting National Implementation of
the WHO Guidelines on Core Components of Infection Prevention
and Control Programmes is a resource to strengthen IPC and
improve the quality and safety of health service delivery through
the establishment of evidence-based and locally adapted integrated
IPC programmes.
 Report on the Burden of Endemic Health Care-Associated
Infection Worldwide presents the evidence available from the
scientific literature on the endemic burden of the most frequent
types of HCAI and provides an assessment of epidemiological
differences among countries according to income levels. The report
aims also to identify major obstacles and gaps to assess the
magnitude of the HCAI burden worldwide and to identify solutions
and future perspectives for improvement.
‹Previousrevious

53
Element 4: Civil and criminal law

What are the laws around Health and Safety in the UK?

Health and Safety Laws in the UK

We discuss

1. Criminal and Civil law

2. The HSE at Work act 1974
3. Enforcement of HSE Policy
4. What is Corporate Manslaughter
5. Examples of Corporate Manslaughter prosecutions

Introduction
Laws are written codes of conduct setting rules for individual
behaviour for the good of society have existed since Egyptian times,
some 3000 years BC.

The law is the cement of society and an essential medium for

societal change.

The law is divided into two branches (or systems), civil and criminal
which have different purposes. Any given event may give rise to both
civil and criminal consequences.

Criminal law: if minimum legal standards are not met the enforcing
authority may prosecute the offender in the criminal courts.

Civil law: if an individual suffers loss (injury / ill-health or death) the

victim, or his dependants, may sue for damages (compensation) in
the civil courts.

Related Articles

54
 What is duty of care in regards to contractors?
 UK HSE Enforcement Policy

Civil Law Criminal Law

·    Crime e.g. breach of Health and Sa

·    Tort e.g. negligence
Work Act or specific regulations

·    Civil wrong ·    Criminal offence

·    Wrong to an individual ·    Offence against society

·    Prosecution taken by enforcing au

·    Action taken by injured party
Crown Prosecution Service

·    Heard in civil court ·    Tried in criminal court

·    Loss necessary for action ·    Loss not necessary

·    Seeks compensation for loss ·    Seeks to punish for breach of law

·    Liability proved on the “balance of

·    Guilt proven “beyond all reasonab
probabilities”

·    Can be insured against (Employers Liability

·    Cannot be insured against fines
Insurance is generally compulsory)

 6 steps to effective safety management

Civil and Criminal Consequences

55
Consider an accident in which an employee cuts off their fingers
using an unguarded band saw.

They could take a civil action against their employer, blaming the
employer for negligently causing his injury and seeking
compensation (damages) for their loss.

A criminal prosecution may also be taken by the HSE (assuming the

accident was reported, or the HSE was otherwise made aware). The
purpose of the prosecution would be to punish the employer (through
a fine and/or imprisonment) for failing to comply with health and
safety legislation (the guarding requirements of the Provision and
Use of Work Equipment Regulations – PUWER).

The key differences between civil and criminal law are shown in table
5.

Civil Law
When an employee is injured at work and seeks to make a personal
injury claim the employee may sue under the tort of negligence, or
the tort of breach of statutory duty.

Negligence

Negligence may be explained as careless conduct injuring another.

For the injured party (claimant) to succeed in a negligence claim, he
must prove:

 That the defendant (usually the employer) owed him a duty of

care;
 That this duty was breached; and
 That the claimant was injured as a result of the breach.

1.   The Duty of Care

Prior to 1932 there was no generalised duty of care in negligence.
The tort was only applied in particular situations where the courts
had decided that a duty should be owed, such as road accidents or
dangerous goods.

56
In Donoghue v Stevenson (1932) Lord Atkin attempted to lay down
a general principle which would cover all the circumstanceswhere
there could be liability for negligence. He 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.”

The requirements that must now be satisfied before a duty of care is

held to exist were established by Lord Bridge in Caparo Industries v
Dickman (1990):

 Foreseeability of the damage, i.e. whether a ‘reasonable

person’ would have foreseen damage in the circumstances;
 A sufficiently ‘proximate’ relationship between the parties (i.e. a
neighbour relationship); and
 It must be fair, just and reasonable to impose such a duty.

Relationships that are sufficiently proximate to be deemed a

neighbour relationship include:

 Employer to employees;
 Employer to contractor and contractors employees; and
 Occupier to authorised visitors.

The common law duty of care owed by an employer to its employees

was defined in the case of Wilson’s and Clyde Coal Co v English
(1938). In this case, the employer was compelled by law to employ a
colliery agent who was in charge of safety in the mine. Nonetheless,
when an accident occurred, the employer was held liable. The case
confirmed that the employer’s duty of care to his employees was
personal and could not be delegated to a manager or safety advisor.

The case also determined that employers must provide:

 A safe place of work and equipment;

 Safe systems of work; and
 Reasonably competent co-workers.

57
2.   Breach of the Duty of Care
The duty of care is breached if the defendant has failed to exercise
the reasonable care expected of a reasonable man in the
circumstances.

3.   Breach Caused the Injury

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

 Other Considerations

Contributory Negligence
Contributory negligence arises when the claimants own
carelessness, or disregard for personal safety, contributes to the
injury or loss which arises partly because of the claimants own fault
and partly because of the fault of another (the defendant).

Damages recoverable in respect of the claim will be reduced to the

extent the court thinks is fair having regard to the claimant’s share of
responsibility for the damage.

 Vicarious Liability

In general terms vicarious liability is a legal liability imposed on one

person making them liable for torts committed by another.

With regard to a personal injury claim for an accident in the

workplace if an employee, acting in the course of normal
employment injures another employee the employer will be held
vicariously liable for the losses incurred.

 Limitations Act 1980

The Limitation Act 1980 sets a time limit for starting proceedings for
claiming compensation for personal injury.

This is primarily three years from the date of the negligence that
caused the harm, or in the case of disease three years from the date
of diagnosis.

This primary limit may be extended in the following circumstances:

58
If the injured person is suffering from mental disability then the time
limit does not start to run until mental capacity has returned; and

 For minors (under 18 years of age on the date that they were
injured) the three year period does not start running until the
eighteenth birthday.

The courts also have discretionary powers to alter the time limits but
such discretion is rarely exercised.

 Damages

‘Damages’ refers to the payment of financial compensation for a tort.

In principle the claimant is entitled to full compensation for any
losses incurred. The intention is to put the complainant in the same
position as if the tort had not been committed.

The damages that can be recovered as a result of a successful

personal injury claim fall into two categories:

 General Damages – Actual and/or probable loss of future

earnings, to be incurred after the case; andSpecial Damages –
Quantifiable losses incurred before the case, mainly loss of
earnings and medical expenses.

 Employers Liability Insurance

The Employers’ Liability (Compulsory Insurance) Act 1969 requires

most employers to have at least £5 million pounds of insurance
cover (most policies offer at least £10 million of cover) available for
compensation payments to employees injured or made ill as a result
of work.

The exceptions to the Regulations include businesses with no

employees, family businesses and public organisations such as a
local authority or NHS Trust.

 Civil Procedures Rules

The Civil Procedure Rules came into action in 1999 with the aim of
ensuring that cases are dealt with in a just way and removing control
of cases from legal professionals to the court.

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In addition Lord Woolf’s Access to Justice Report of July 1996
recommended the development of pre-action protocols in order to
establish:

 More pre-action contact between the parties;

 Better and earlier exchange of information;
 Better pre-action investigation by both sides;
 Enable cases to be settled fairly and early without litigation;
and
 Enable proceedings to run efficiently to the court’s timetable if
litigation is necessary.

Pre-Action Protocol for Personal Injury Claims

Early notification – Notifying the defendant as soon as they know a

claim is likely to be made, but before they are able to send a detailed
letter of claim.

The Letter of Claim – Should contain sufficient information for the

defendant to assess liability and the likely size of the claim.

 Disclosure of Documents – Early disclosure of documents by the

defendant to promote an early exchange of relevant information to
help in clarifying or resolving issues in dispute.

 Alternative Dispute Resolution (ADR) – Both parties should

consider whether some form of alternative dispute resolution
procedure would be more suitable than litigation, e.g.:

 Discussion and negotiation;

 Early neutral evaluation by an independent third party; or
 Mediation assisted by an independent neutral party.

The letter of claim should contain a clear summary of the facts on

which the claim is based together with an indication of the nature of
injuries suffered and financial loss incurred.

The letter should ask for details of the insurer and that a copy should
be sent by the proposed defendant to the insurer where appropriate.

The defendant should reply within 21 calendar days of the date of

posting of the letter identifying the insurer (if any) and, if necessary,
identifying specifically any significant omissions from the letter of
claim.
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If there has been no reply by the defendant or insurer within 21 days,
the claimant will be entitled to issue proceedings.

The defendant(’s insurers) will have a maximum of three months

from the date of acknowledgment of the claim to investigate and
reply stating whether liability is denied and, if so, giving reasons for
their denial of liability including any alternative version of events
relied upon.

If the defendant denies liability, he should enclose with the letter of

reply, material documents which would be likely to be ordered to be
disclosed by the court.

If the defendant admits liability he will be bound by the admission for

all claims up to a total value of £25 000.

Criminal Law
The framework of criminal health and safety legislation in the UK is
illustrated in figure 5 and explained below.

Legal Framework – Criminal Health and Safety Law

Europe

·    Regulations e.g. REACH apply directly

·    Directives usually implemented as UK Regulations

Health and Safety at Work Act

Regulations

e.g. Management of Health and Safety at Work Regulations

Approved Code of Practice (ACoP)

Guidance

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Health and Safety at Work Act
The Health and Safety at Work Act is still the main health and safety
legislation in the UK. It is an Act of Parliament (primary legislation)
that prescribes general duties to all at work, regardless of the work
activity or context. Failure to comply with a duty under the Act is a
criminal offence which may be punished by fine or imprisonment
(see table 7)

Regulations
Section 15 of the Health and Safety at Work Act enables the relevant
Secretary of State to make health and safety regulations.
Regulations (statutory instruments / secondary legislation) are
usually more detailed than the general duties of HASAWA and are
usually problem specific (e.g. noise, hazardous substances) many
regulations are prompted by European Directives. Failure to comply
with a Regulation is a criminal offence which may be punished by
fine or imprisonment (see table 7).

Approved Code of Practice (ACoP)

An Approved Code of Practice (ACoP) gives practical advice on how
to comply with the law.

If the advice in the ACoP is followed compliance with the law is

assured in respect of those specific matters on which the ACoP
gives advice.

The ACoP has special legal status. In a prosecution for a breach of

health and safety law, if it is proved that a relevant provision of the
Code was not followed; compliance with the law in some other way
must be proved.

Guidance
Following guidance is not compulsory and other action may be
taken.

Following guidance will normally be enough to demonstrate

compliance with the law.
62
Health and safety inspectors are likely to refer to guidance as an
illustration of good practice.

Levels of Legal Duty

Duties in health and safety law may be absolute (i.e. must be done)
or may be qualified. The two major qualifications of health and safety
law are those imposed by the phrases ‘practicable’ and ‘reasonably
practicable’.

Absolute Duties
Usually preceded by the word ‘shall’ an absolute duty must be
complied with. The employer has absolute duties to prepare a safety
policy and to undertake risk assessments.

Practicable
If a duty applies so far as is ‘practicable’ it is a less onerous duty
than an absolute one. Practicable means feasible in the light of
current knowledge and invention, i.e. if it can be done it must be
done.

Reasonably Practicable
Reasonably practicable requires the degree of risk (likelihood x
severity) of a particular activity or environment to be balanced
against the costs (time, trouble and physical difficulty) of taking
measures to avoid the risk.

The greater the risk, the more likely it is that it will be reasonable to
go to very substantial expense, trouble and invention to reduce it.

If the consequences and the extent of a risk are small, the same
substantial expense would be considered disproportionate to the risk
and it would be unreasonable to have to incur them to address a
small risk.

The size and financial position of the employer are not taken into
account in consideration of what is ‘reasonably practicable.’

Health and Safety at Work etc. Act 1974

63
Introduction
The key objectives of the Health and Safety at Work Act 1974
(HASAWA) that are still relevant today are:

 Securing the health, safety and welfare of people at work; and

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

HASAWA 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.

Duties are imposed on individuals and employing organisations be

they corporations, companies, charities, or government departments
and are intended to encourage employers and employees to take a
wide ranging view of their roles and responsibilities.

Main Duties

Section 2 – General duties of employers to their employees

 Every employer has to ensure, so far as is reasonably

practicable, the health, safety and welfare at work of all his
employees.
 Examples of the extent of the general duty include (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;
and
 The provision and maintenance of a safe and healthy working
environment with adequate facilities and arrangements for the
welfare of employees at work.

64
Section 3 – Duties to non- employees
 Every employer has a duty 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.

Exmple R v Associated Octel Ltd (1994)

Associated Octel Ltd maintained its plant and equipment during

factory shutdown each year. In 1990, this work was carried out by
Resin Glass Products (RGP) Ltd as contractors. An employee of
RGP cleaning the inside of a tank was badly burned because of an
explosion 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.”

Associated Octel appealed arguing that RGP was an independent

contractor and that the work was not part of Associated Octel’s
‘undertaking’ and that s.3 did not involve liability for the actions of
independent contractors.

The appeal was dismissed. The word “undertaking” means

“business” or “enterprise” and this activity was clearly part of
Associated Octel’s ‘undertaking’ as the tank was part of their plant
and the work formed part of their planned maintenance programme.

Associated Octel should have specified the necessary requirements

for avoiding risks to health and safety.

Section 4 – Duty of person in control of premises

Any person who has, to any extent control of:Work premises;

 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.

65
The duty overlaps with the general duties of sections 2 and 3, which
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
particular 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
asisreasonably 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; and
 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. 

Section 7 – General Duties of Employees at Work

Every employee has the following two duties while at work:

 To take reasonable care for the health and safety of himself

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

NB This duty is imposed on all people, including children, be they at

work or members of the public.

66
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’.

Section 40 – Onus of proving limits of what is practicable etc.

In proceedings for an offence consisting of a failure to comply with a
duty or requirement to do something so far as is practicable or
reasonably practicable, the accused has to prove that it was not
practicable or not reasonably practicable to do more than was done.

Enforcement of Health and Safety

The enforcement of health and safety depends upon the main
activity undertaken at a place of work.

The HSE typically enforces at higher risk workplaces such as

construction sites and factories.

The Office of Rail and Road (ORR) enforces on the railways.

Local Authorities (Usually Environmental Health Officers – EHO’s)

enforce at lower risk premises such as retailers, offices and
warehousing.

Powers of Inspectors
All authorised inspectors have the same powers, regardless of the
area of enforcement. Inspectors can:

 Enter any premises which they think it necessary to enter for

the purposes of enforcing health and safety law. The power of
entry can be exercised without permission or prior notice, at any
reasonable time or at any time if dangerous;
 Take a police constable with them if they have reasonable
cause for thinking they might be seriously obstructed;
 Take any other person authorised by their enforcing authority,
such as a specialist, and any equipment needed;

67
 Order that areas be left undisturbed; take measurements,
photographs and samples, carry out tests on, and/or confiscate
articles and substances; and 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; and
 Interview and take written statements from anyone they think
might give them information relevant to their examination or
investigation.

Enforcement Action
Inspectors have a range of enforcement options and tools available
including:

 Informal advice
 Improvement Notice
 Prohibition Notice

The best option(s) will be chosen in each case. There is no

hierarchical escalation route from informal advice to prosecution.

Informal Advice
Based on level of risk and level of management cooperation an
inspector may deal with a situation informally by verbal advice or an
explanatory letter. Provided agreed actions are completed on time no
formal action will be taken.

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
has to allow a reasonable time (minimum 21 days) to complete any
specified works.

Any appeal against an improvement notice must be made to the

Employment Tribunal with 21 days of the date of service. The
requirements of the notice would be suspended until the appeal was
heard.

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 The Employment tribunal may uphold, cancel or vary the
improvement notice as a consequence of the appeal.

Prohibition Notice
A prohibition notice maybe issued when the inspector considers that
there is a risk of serious personal injury. The notice prohibits the
carrying on of the work activity giving rise to the risk of injury.

If the risk of injury is imminent, the notice must take immediate effect
and stop the work activity at once. If not, the prohibition notice is
deferred, specifying the time by which the work activity must cease.

Any appeal against a prohibition notice must be made to the

Employment Tribunal with 21 days of the date of service. The notice
would stay in effect until the appeal was heard.

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

The sanctions available to a crown court are greater than in a

magistrate’s court. Table below shows the maximum sentences
available to each court for breaches of HASAWA and health and
safety regulations.

Breach Magistrates Court* Crown Court

·      Term not exceeding 6 ·      Term not exceeding 2

HASAWA Section months and/or years and/or
2-8
·      Unlimited fine ·      Unlimited fine

Regulations ·      Term not exceeding 6 ·      Term not exceeding 2

months and/or years and/or

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 ·      Unlimited fine ·      Unlimited fine

* For offences committed after 12th March 2015 (Section 85 of the Legal Aid,
Sentencing and Punishment of Offenders Act 2012)
 

 Fees for Intervention (FFI)

The HSE now operates a Fee for Intervention (FFI) cost recovery
scheme, which came into effect on 1 October 2012.

Under The Health and Safety (Fees) Regulations 2012, those who
‘materially’ break health and safety laws are liable for recovery of
HSE’s related costs, including inspection, investigation and taking
enforcement action.

The fee payable by duty holders found to be in material breach of the

law is £124 per hour.

HSE Enforcement Policy

The HSE has published its Enforcement Policy Statement in
accordance with the Regulators’ Compliance Code and the
regulatory principles required under the Legislative and Regulatory
Reform Act 2006.

Enforcing authorities are required to give regard to the principles

when allocating resources.

The Principles of Enforcement

The HSE believes in firm but fair enforcement of health and safety
law informed by the following five principles.

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1. Proportionality
Enforcement action should be proportionate to the risks, or to the
seriousness of any breach, which includes any actual or potential
harm arising from a breach of the law.

The enforcing authorities should take particular account of how far

the duty holder has fallen short of what the law requires and the
extent of the risks to people arising from the breach.

Duty holders will be expected to follow relevant good practise.

2. Targeting
Enforcing authority efforts should be targeted primarily on those
whose activities give rise to the most serious risks or where the
hazards are least well controlled.

Action should be focused on the duty holders who are responsible

for the risk and who are best placed to control it – whether
employers, manufacturers, suppliers, or others.

3. Consistency
Consistency of approach does not mean uniformity. It means taking
a similar approach in similar circumstances to achieve similar ends.

In practice consistency is not a simple matter. Decisions on

enforcement action are discretionary and require consideration of a
range of variables including the degree of risk, the attitude and
competence of management, any history of incidents or breaches
involving the duty holder, previous enforcement action, and the
seriousness of any breach.

All enforcing authorities are required to have arrangements in place

to promote consistency in the exercise of discretion.

4. Transparency
Transparency means helping duty holders to understand what is
expected of them and what they should expect from the enforcing
authorities. The enforcing authorities should make clear to duty
holders not only what they have to do but also what they don’t by
distinguishing between statutory requirements and advice or
guidance about what is desirable but not compulsory.
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5. Accountability
Regulators are accountable to the public for their actions. This
means that enforcing authorities must have policies and standards
against which they can be judged, and an effective and easily
accessible mechanism for dealing with comments and handling
complaints.

Investigation
The following factors should be considered in determining which
complaints or reported incidents to investigate and in deciding the
level of resources to be allocated:

 The severity and scale of potential or actual harm;

 The seriousness of any potential breach of the law;
 Knowledge of the duty holder’s past health and safety
performance;
 The enforcement priorities;
 The practicality of achieving results; and
 The wider relevance of the event, including serious public
concern.

Prosecution
Enforcing authorities should normally prosecute in the public interest,
i.e. where, one or more of the following circumstances apply:

Death was a result of a breach of the legislation;

 The gravity of an alleged offence, taken together with the

seriousness of any actual or potential harm, 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 which give rise to
significant risk, or persistent and significant poor compliance;
 Work has been carried out without or in serious non-
compliance with an appropriate licence or safety case;
 A duty holder’s standard of managing health and safety is
found to be far below what is required by health and safety law
and to be giving rise to significant risk;
72
 There has been a failure to comply with an improvement or
prohibition notice; or there has been a repetition of a breach that
was subject to a simple caution;
 False information has been supplied wilfully, or there has been
an intent to deceive, in relation to a matter which gives rise to
significant risk; and
 Inspectors have been intentionally obstructed in the lawful
course of their duties.

Enforcing authorities should identify and prosecute individuals if they

consider that a prosecution is warranted. In particular, they should
consider:

 The management chain; and

 The role played by individual directors and managers.

Action should be taken against them where the inspection or

investigation reveals that the offence was committed with their
consent or connivance or to have been attributable to neglect on
their part and where it would be appropriate to do so.

In 2010/11 there were 43 prosecutions of directors under section 37

of the Health and Safety at Work Act with 35 convictions. Seven
faced charges as a result of a fatal incident; 15 were prosecuted
after non-fatal incidents; and 21 resulted from an investigation where
no incident of any nature had occurred.

Five of those convicted were given prison sentences; and three also
received prison sentences for perjury.

Fines imposed ranged from £150 to £99 900.

Where appropriate, enforcing authorities should seek disqualification

of directors under the Company Directors Disqualification Act 1986.

Company Directors Disqualification Act 1986

The sanction of disqualification for company directors is available to
the courts in England, Scotland and Wales under the Company
Directors Disqualification Act 1986 (CDDA). An equivalent regime
operates in Northern Ireland.

73
The court has the power to make a disqualification order in relation
to a person who has been convicted of an indictable offence in
connection with the promotion, formation, management, liquidation
or striking off of a company, with the receivership of a company’s
property or with his being an administrative receiver of a company.

In the context of health and safety enforcement and sanctioning, the

relevant part is the conviction of an indictable offence “in
connection with the management… of a company.”

“Management” is interpreted contextually. The court’s jurisdiction will

only arise if there is a demonstrable link between:

 The offender and the company’s management; and

 The offence itself and the company’s management.

To be disqualified, the offender must be someone who identifiably

performs a management role, or discharges or assists in the
discharge of a managerial function, and the particular offence must
be attributable to the activity of management.

The maximum period of disqualification is 15 years if the order is

made by the crown court or 5 years if made by a magistrate’s court.

Disqualification proceedings are civil and not criminal although the

disqualification order may be made following criminal proceedings by
the court which convicted the person concerned.

The purpose of disqualification is directed at the protection of the

public and not punishment.

In the period between the introduction of the Act in 1986 and 2005
just ten directors had been disqualified for health and safety reasons,
compared to more than 1 500 for financial reasons.

In 2010/11 three directors were disqualified for periods of between

four and five years.

Between 2011 and 2014 a further seven directors were disqualified

for health and safety reasons.

Corporate Manslaughter Legislation

74
Manslaughter by individuals is a ‘common law’ crime. The case of R
v Adomako (2005) sets out the current test to prove the offence. An
individual commits (involuntary) manslaughter when he causes a
death through gross negligence.

The test of whether a “company” could be found guilty of common

law manslaughter was intrinsically linked to the ‘identification
doctrine’. A director or senior manager (a controlling mind and will) of
the company had to be found guilty, for the company to be found
guilty.

There were a number of disasters in the 1980’s and 1990’s which

lead to failed prosecutions for corporate manslaughter.

The Southall rail crash on 19th September 1997 resulted in 7 deaths

and 151 injuries, leading to Great Western Trains (GWT) pleading
guilty to contravening Section 3(1) of the Health and Safety at Work
Act, and receiving a record fine of £1.5 million.

Mr Justice Scott-Baker expressed his concern regarding “a serious

fault of senior management”. However a charge of manslaughter
could not succeed because no individual could be prosecuted and
found guilty of gross negligence manslaughter.

The HSE commented that death or personal injury resulting from

major disasters was rarely due to the negligence of a single
individual but was more likely to be the result of the failure of
systems controlling the risk, with the carelessness of individuals
being a contributing factor.

The Corporate Manslaughter and Corporate Homicide Act 2007

 After much lobbying to address the shortcomings of prosecutions of
corporate bodies under common law the Corporate Manslaughter
and Corporate Homicide Act 2007 (CMCHA) was introduced.

Under CMCHA, corporate manslaughter:

 Can only be committed by organisations and not by individuals;

 Requires a breach of the duty of care under the law of
negligence;
 Requires that the breach is a gross breach, i.e. where the
conduct of the organisation falls far below what should
reasonably be expected;

75
 Requires that a substantial element in the breach is the way in
which the organisation’s activities are managed or organised by
its senior management; and
 Is committed only where death is shown to have been caused
by the gross breach of duty.

The sanctions available to the courts include unlimited fines, publicity

orders and remedial orders.

The Sentencing Guidelines for Corporate manslaughter suggests

that an appropriate level of fine will seldom be less than £500,000
and may be measured in millions of pounds.

 Publicity Orders may require publication in a specified manner of:

(a) The fact of conviction;

(b) Specified particulars of the offence;

(c) The amount of any fine; and

(d) The terms of any remedial order.

Remedial Orders
Any specific failings involved in the offence ought to have been
remedied by the time of sentencing and if not will deprive the
defendant of significant mitigation.

If, the failings have not been addressed a remedial order may be
used if it can be made sufficiently specific to be enforceable.

As the remedial order requires only what should already have been
done the cost of compliance with the order should not be considered
in setting the fine.

Examples of Prosecutions under the Corporate Manslaughter and

Corporate Homicide Act 2007

R v Cotswold Geotechnical (Holdings) Ltd. (2011)

Cotswold Geotechnical (Holdings) Ltd was found guilty at Winchester
Crown Court of the corporate manslaughter charge relating to the
death of Alexander Wright, and fined £385 000.

76
Mr Wright aged 27, was working alone in the 12.6ft (3.8m) deep
unsupported trial pit when it caved in at a development site near
Stroud, Gloucestershire, in September 2008.

The company director Peter Eaton was personal charged with

common law gross negligence manslaughter and a breach of section
37 HASAWA. Mr Eaton was seriously ill with cancer and was unable
to stand trial.

The judge said that Peter Eaton was in substance the company and
his approach to trial pitting was “extremely irresponsible and
dangerous”.

R v JMW Farms Ltd. (Northern Ireland) (2012)

Robert Wilson was washing the inside of a large metal bin which was
positioned on the forks of a forklift truck. He jumped onto the side of
the bin which then toppled. He fell to the ground with the bin falling
on top of him resulting in his death. The forklift truck was a
replacement for the normal truck which had gone for servicing a
number of weeks earlier. The position of the forks on the
replacement truck did not correspond with the position of the sleeves
on the bin and therefore the bin was unstable.

The company was held to be aware of the danger as it had carried

out a risk assessment which included instructions for anyone
operating the forklift truck. However no assessment had been made
of the position of the forks of the replacement truck and the sleeves
on the bin.

The Recorder said that the appropriate fine would have been one of
£250,000.00. He reduced that by 25% to reflect the plea of guilty. He
thereby imposed a fine of £187,500.00. He allowed the company 6
months to pay the fine and the costs of the prosecution (which
amounted to £13,000.00 plus 20% VAT).

R v Lion Steel Equipment Ltd. (2012)

Steven Berry died from his injuries after an accident on 28 th May
2008 when he fell through a fragile fibreglass roof panel thirteen
metres to the factory floor at the Lion Steel site in Hyde, Cheshire.

77
The company pleaded guilty to the offence on the basis that three
directors were not prosecuted for common law manslaughter or
section 37 offences.

Mr. Berry was expected to go up on the factory roof to make roof

repairs, unsupervised, with no training and with no safety equipment
such as crawl boards or a fall-arrest harness. The roof, which had
been patched up at various times over the previous decades, had no
warning notices about fragile sections — despite the firm being
warned on this point by an HSE inspector in 2006.

In sentencing Judge Gilbart noted that though the company was in

profit, it had substantial loans, the directors were not paying
themselves extravagant salaries, and shareholders had not received
a dividend for three years.

The fine was set at £480 000 but mindful of the jobs of Lion’s 140-
strong workforce the  judge specified that Lion Steel should be
allowed to pay the penalty in four instalments over three years. The
prosecution’s claimed costs of £140,000 were reduced to £84,000
and the company were given two years to pay.

R v Mobile Sweepers (Reading) Ltd. 2014

Malcolm Hinton suffered fatal crush injuries on 6 March 2012, while
attempting to repair a hopper on a road sweeper operated by the
defendant company Mobile Sweepers (Reading) Limited.

The sweeper was elevated from the ground by a hydraulic function

but was not propped.

Mr Hinton accidently cut through a hydraulic hose while attempting

the repair and the sudden loss of hydraulic pressure caused the half
tonne hopper, to fall back on to the sweeper chassis and crush him.

Mobile Sweepers (Reading) Limited ceased trading soon after the

fatality and a new company, Owens Sweepers Limited was set up by
the company’s sole director, Mervyn Owens around six months later.

In response to the issue of businesses being put into administration

and subsequently resurrected as new or ‘phoenix’ businesses Mobile
Sweepers (Reading) Limited was fined a mere £8 000 whereas
Mervyn Owens was fined £183 000 and disqualified under the
Company Directors Disqualification Act  for five years.

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Owens was convicted of an offence under section 2 / section 37 of
the Health and Safety at Work etc. Act 1974; and a charge of gross
negligence manslaughter was left to lie on file.

The case is also significant due to the first imposition of a publicity

order which was drafted by Judge Boney and published in the legal
notices of the Basingstoke Gazette and Newbury Weekly News; on
the10th April 2014.

Element 5: Risk assessment and evaluation

Introduction to Risk and Risk Assessment

Hazard and Risk

CLOSE ALL
What is a hazard?
What are examples of a hazard?
Workplace hazards can come from a wide range of sources. General
examples include any substance, material, process, practice, etc.
that has the ability to cause harm or adverse health effect to a
person or property. See Table 1.
Table 1
Examples of Hazards and Their Effects

Workplace HazardExample of Hazard Example of Harm Caused

Thing Knife Cut

Substance Benzene Leukemia

Material Mycobacterium tuberculosisTuberculosis

Source of Energy Electricity Shock, electrocution

Condition Wet floor Slips, falls

Process Welding Metal fume fever

Practice Hard rock mining Silicosis

Behaviour Bullying Anxiety, fear, depression

Workplace hazards also include practices or conditions that release

uncontrolled energy like:

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  an object that could fall from a height (potential or gravitational
energy),
 a run-away chemical reaction (chemical energy),
 the release of compressed gas or steam (pressure; high
temperature),
 entanglement of hair or clothing in rotating equipment (kinetic
energy), or
 contact with electrodes of a battery or capacitor (electrical
energy).

What is risk?
Risk is the chance or probability that a person will be harmed or
experience an adverse health effect if exposed to a hazard. It may
also apply to situations with property or equipment loss, or harmful
effects on the environment.
The CSA Z1002 Standard "Occupational health and safety - Hazard
identification and elimination and risk assessment and control" uses
the following terms:
Risk – the combination of the likelihood of the occurrence of a harm
and the severity of that harm.
Likelihood – the chance of something happening.
Note: In risk assessment terminology, the word “likelihood” is used
to refer to the chance of something happening, whether defined,
measured, or determined objectively or subjectively, qualitatively or
quantitatively, and described using general terms or mathematically
(e.g., a probability or a frequency over a given time period).
For example: the risk of developing cancer from smoking cigarettes
could be expressed as:

 "cigarette smokers are 12 times (for example) more likely to die

of lung cancer than non-smokers", or
 "the number per 100,000 smokers who will develop lung
cancer" (actual number depends on factors such as their age
and how many years they have been smoking). These risks
are expressed as a probability or likelihood of developing a
disease or getting injured, whereas hazard refers to the agent
responsible (i.e. smoking).

Factors that influence the degree or likelihood of risk are:

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  the nature of the exposure: how much a person is exposed to a
hazardous thing or condition (e.g., several times a day or once
a year),
 how the person is exposed (e.g., breathing in a vapour, skin
contact), and
 the severity of the effect. For example, one substance may
cause skin cancer, while another may cause skin irritation.
Cancer is a much more serious effect than irritation.

What is an adverse health effect?

A general definition of adverse health effect is "any change in body
function or the structures of cells that can lead to disease or health
problems".
Adverse health effects include:

 bodily injury,
 disease,
 change in the way the body functions, grows, or develops,
 effects on a developing fetus (teratogenic effects, fetotoxic
effects),
 effects on children, grandchildren, etc. (inheritable genetic
effects)
 decrease in life span,
 change in mental condition resulting from stress, traumatic
experiences, exposure to solvents, and so on, and
 effects on the ability to accommodate additional stress.

Will exposure to hazards in the workplace always cause injury, illness

or other adverse health effects?
Not necessarily. To answer this question, you need to know:

 what hazards are present,

 how a person is exposed (route of exposure, as well as how
often and how much exposure occurred),
 what kind of effect could result from the specific exposure a
person experienced,
 the risk (or likelihood) that exposure to a hazardous thing or
condition would cause an injury, or disease or some incidence
causing damage, and

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  how severe would the damage, injury or harm (adverse health
effect) be from the exposure.

The effects can be acute, meaning that the injury or harm can occur
or be felt as soon as a person comes in contact with the hazardous
agent (e.g., a splash of acid in a person's eyes). Some responses
may be chronic (delayed). For example, exposure to poison ivy may
cause red swelling on the skin two to six hours after contact with the
plant. On the other hand, longer delays are possible: mesothelioma,
a kind of cancer in the lining of the lung cavity, can develop 20 years
or more after exposure to asbestos.
Once the hazard is removed or eliminated, the effects may be
reversible or irreversible (permanent). For example, a hazard may
cause an injury that can heal completely (reversible) or result in an
untreatable disease (irreversible).

What types of hazards are there?

A common way to classify hazards is by category:

 biological - bacteria, viruses, insects, plants, birds, animals,

and humans, etc.,
 chemical - depends on the physical, chemical and toxic
properties of the chemical,
 ergonomic - repetitive movements, improper set up of
workstation, etc.,
 physical - radiation, magnetic fields, pressure extremes (high
pressure or vacuum), noise, etc.,
 psychosocial - stress, violence, etc.,
 safety - slipping/tripping hazards, inappropriate machine
guarding, equipment malfunctions or breakdowns.

Risk Assessment

What is a risk assessment?

Risk assessment is a term used to describe the overall process or
method where you:

 Identify hazards and risk factors that have the potential to

cause harm (hazard identification).

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  Analyze and evaluate the risk associated with that hazard (risk
analysis, and risk evaluation).
 Determine appropriate ways to eliminate the hazard, or control
the risk when the hazard cannot be eliminated (risk control).

A risk assessment is a thorough look at your workplace to identify

those things, situations, processes, etc. that may cause harm,
particularly to people. After identification is made, you analyze and
evaluate how likely and severe the risk is. When this determination is
made, you can next, decide what measures should be in place to
effectively eliminate or control the harm from happening.
The CSA Standard Z1002 "Occupational health and safety - Hazard
identification and elimination and risk assessment and control" uses
the following terms:
Risk assessment – the overall process of hazard identification, risk
analysis, and risk evaluation.
Hazard identification – the process of finding, listing, and
characterizing hazards.
Risk analysis – a process for comprehending the nature of hazards
and determining the level of risk.
Notes:
(1) Risk analysis provides a basis for risk evaluation and decisions
about risk control.
(2) Information can include current and historical data, theoretical
analysis, informed opinions, and the concerns of stakeholders.
(3) Risk analysis includes risk estimation.
Risk evaluation – the process of comparing an estimated risk
against given risk criteria to determine the significance of the risk.
Risk control – actions implementing risk evaluation decisions.
Note: Risk control can involve monitoring, re-evaluation, and
compliance with decisions.
For definitions and more information about what hazards and risks
are, please see the OSH Answers document Hazard and Risk.

Why is risk assessment important?

Risk assessments are very important as they form an integral part of
an occupational health and safety management plan. They help to:

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  Create awareness of hazards and risk.
 Identify who may be at risk (e.g., employees, cleaners, visitors,
contractors, the public, etc.).
 Determine whether a control program is required for a
particular hazard.
 Determine if existing control measures are adequate or if more
should be done.
 Prevent injuries or illnesses, especially when done at the
design or planning stage.
 Prioritize hazards and control measures.
 Meet legal requirements where applicable.

What is the goal of risk assessment?

The aim of the risk assessment process is to evaluate hazards, then
remove that hazard or minimize the level of its risk by adding control
measures, as necessary. By doing so, you have created a safer and
healthier workplace.
The goal is to try to answer the following questions:

a. What can happen and under what circumstances?

b. What are the possible consequences?
c. How likely are the possible consequences to occur?
d. Is the risk controlled effectively, or is further action required?

When should a risk assessment be done?

There may be many reasons a risk assessment is needed, including:

 Before new processes or activities are introduced.

 Before changes are introduced to existing processes or
activities, including when products, machinery, tools,
equipment change or new information concerning harm
becomes available.
 When hazards are identified.

How do you plan for a risk assessment?

In general, determine:

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  What the scope of your risk assessment will be (e.g., be
specific about what you are assessing such as the lifetime of
the product, the physical area where the work activity takes
place, or the types of hazards).
 The resources needed (e.g., train a team of individuals to carry
out the assessment, the types of information sources, etc.).
 What type of risk analysis measures will be used (e.g., how
exact the scale or parameters need to be in order to provide
the most relevant evaluation).
 Who are the stakeholders involved (e.g., manager,
supervisors, workers, worker representatives, suppliers, etc.).
 What relevant laws, regulations, codes, or standards may
apply in your jurisdiction, as well as organizational policies and
procedures.

How is a risk assessment done?

Assessments should be done by a competent person or team of
individuals who have a good working knowledge of the situation
being studied. Include either on the team or as sources of
information, the supervisors and workers who work with the process
under review as these individuals are the most familiar with the
operation.
In general, to do an assessment, you should:

 Identify hazards.
 Determine the likelihood of harm, such as an injury or illness
occurring, and its severity.
o Consider normal operational situations as well as non-
standard events such as maintenance, shutdowns,
power outages, emergencies, extreme weather, etc.
o Review all available health and safety information about
the hazard such as Safety Data Sheet (SDS),
manufacturers literature, information from reputable
organizations, results of testing, workplace inspection
reports, records of workplace incidents (accidents),
including information about the type and frequency of the
occurrence, illnesses, injuries, near misses, etc.
o Understand the minimum legislated requirements for
your jurisdiction.
 Identify actions necessary to eliminate the hazard, or control
the risk using the hierarchy of risk control methods.
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  Evaluate to confirm if the hazard has been eliminated or if the
risk is appropriately controlled.
 Monitor to make sure the control continues to be effective.
 Keep any documents or records that may be necessary.
Documentation may include detailing the process used to
assess the risk, outlining any evaluations, or detailing how
conclusions were made.

When doing an assessment, also take into account:

 The methods and procedures used in the processing, use,

handling or storage of the substance, etc.
 The actual and the potential exposure of workers (e.g., how
many workers may be exposed, what that exposure is/will be,
and how often they will be exposed).
 The measures and procedures necessary to control such
exposure by means of engineering controls, work practices,
and hygiene practices and facilities.
 The duration and frequency of the task (how long and how
often a task is done).
 The location where the task is done.
 The machinery, tools, materials, etc. that are used in the
operation and how they are used (e.g., the physical state of a
chemical, or lifting heavy loads for a distance).
 Any possible interactions with other activities in the area and if
the task could affect others (e.g., cleaners, visitors, etc.).
 The lifecycle of the product, process or service (e.g., design,
construction, uses, decommissioning).
 The education and training the workers have received.
 How a person would react in a particular situation (e.g., what
would be the most common reaction by a person if the
machine failed or malfunctioned).

It is important to remember that the assessment must take into

account not only the current state of the workplace but any potential
situations as well.
By determining the level of risk associated with the hazard, the
employer, and the health and safety committee (where appropriate),
can decide whether a control program is required and to what level.
See a sample risk assessment form.

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How are the hazards identified?
Overall, the goal is to find and record possible hazards that may be
present in your workplace. It may help to work as a team and include
both people familiar with the work area, as well as people who are
not - this way you have both the experienced and fresh eye to
conduct the inspection. In either case, the person or team should be
competent to carry out the assessment and have good knowledge
about the hazard being assessed, any situations that might likely
occur, and protective measures appropriate to that hazard or risk.
To be sure that all hazards are found:

 Look at all aspects of the work.

 Include non-routine activities such as maintenance, repair, or
cleaning.
 Look at accident / incident / near-miss records.
 Include people who work off site either at home, on other job
sites, drivers, teleworkers, with clients, etc.
 Look at the way the work is organized or done (include
experience of people doing the work, systems being used, etc).
 Look at foreseeable unusual conditions (for example: possible
impact on hazard control procedures that may be unavailable
in an emergency situation, power outage, etc.).
 Determine whether a product, machine or equipment can be
intentionally or unintentionally changed (e.g., a safety guard
that could be removed).
 Review all of the phases of the lifecycle.
 Examine risks to visitors or the public.
 Consider the groups of people that may have a different level
of risk such as young or inexperienced workers, persons with
disabilities, or new or expectant mothers.

It may help to create a chart or table such as the following:

Example of Risk Assessment

Task Hazard Risk PriorityControl

Delivering Drivers work alone May be unable to

product to call for help if    
customers needed

Drivers have to Fatigue, short rest    

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 occasionally work longtime between shifts
hours

Drivers are often in Increased chance of

   
very congested traffic collision

Longer working
   
hours

Drivers have to lift Injury to back from

boxes when delivering lifting, reaching,    
product carrying, etc.

How do you know if the hazard will cause harm (poses a risk)?
Each hazard should be studied to determine its' level of risk. To
research the hazard, you can look at:

 Product information / manufacturer documentation.

 Past experience (knowledge from workers, etc.).
 Legislated requirements and/or applicable standards.
 Industry codes of practice / best practices.
 Health and safety material about the hazard such as safety
data sheets (SDSs), research studies, or other manufacturer
information.
 Information from reputable organizations.
 Results of testing (atmospheric or air sampling of workplace,
biological swabs, etc.).
 The expertise of an occupational health and safety
professional.
 Information about previous injuries, illnesses, near misses,
incident reports, etc.
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  Observation of the process or task.

Remember to include factors that contribute to the level of risk such

as:

 The work environment (layout, condition, etc.).

 The systems of work being used.
 The range of foreseeable conditions.
 The way the source may cause harm (e.g., inhalation,
ingestion, etc.).
 How often and how much a person will be exposed.
 The interaction, capability, skill, experience of workers who do
the work.

How are risks ranked or prioritized?

Ranking or prioritizing hazards is one way to help determine which
risk is the most serious and thus which to control first. Priority is
usually established by taking into account the employee exposure
and the potential for incident, injury or illness. By assigning a priority
to the risks, you are creating a ranking or an action list.
There is no one simple or single way to determine the level of risk.
Nor will a single technique apply in all situations. The organization
has to determine which technique will work best for each situation.
Ranking hazards requires the knowledge of the workplace activities,
urgency of situations, and most importantly, objective judgement.
For simple or less complex situations, an assessment can literally be
a discussion or brainstorming session based on knowledge and
experience. In some cases, checklists or a probability matrix can be
helpful. For more complex situations, a team of knowledgeable
personnel who are familiar with the work is usually necessary.
As an example, consider this simple risk matrix. Table 1 shows the
relationship between probability and severity.

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Severity ratings in this example represent:

 High: major fracture, poisoning, significant loss of blood,

serious head injury, or fatal disease
 Medium: sprain, strain, localized burn, dermatitis, asthma,
injury requiring days off work
 Low: an injury that requires first aid only; short-term pain,
irritation, or dizziness

Probability ratings in this example represent:

 High: likely to be experienced once or twice a year by an

individual
 Medium: may be experienced once every five years by an
individual
 Low: may occur once during a working lifetime

The cells in Table 1 correspond to a risk level, as shown in Table 2.

These risk ratings correspond to recommended actions such as:

 Immediately dangerous: stop the process and implement

controls
 High risk: investigate the process and implement controls
immediately

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  Medium risk: keep the process going; however, a control plan
must be developed and should be implemented as soon as
possible
 Low risk: keep the process going, but monitor regularly. A
control plan should also be investigated
 Very low risk: keep monitoring the process

Let's use an example: When painting a room, a step stool must be

used to reach higher areas. The individual will not be standing higher
than 1 metre (3 feet) at any time. The assessment team reviewed the
situation and agrees that working from a step stool at 1 m is likely to:

 Cause a short-term injury such as a strain or sprain if the

individual falls. A severe sprain may require days off work. This
outcome is similar to a medium severity rating.
 Occur once in a working lifetime as painting is an uncommon
activity for this organization. This criterion is similar to a low
probability rating.

When compared to the risk matrix chart (Table 1), these values
correspond to a low risk.

The workplace decides to implement risk control measures, including

the use of a stool with a large top that will allow the individual to
maintain stability when standing on the stool. They also determined
that while the floor surface is flat, they provided training to the
individual on the importance of making sure the stool's legs always
rest on the flat surface. The training also included steps to avoid
excess reaching while painting.

What are methods of hazard control?

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Once you have established the priorities, the organization can decide
on ways to control each specific hazard. Hazard control methods are
often grouped into the following categories:

 Elimination (including substitution).

 Engineering controls.
 Administrative controls.
 Personal protective equipment.

For more details, please see the OSH Answers Hazard Control.

Why is it important to review and monitor the assessments?

It is important to know if your risk assessment was complete and
accurate. It is also essential to be sure that any changes in the
workplace have not introduced new hazards or changed hazards that
were once ranked as lower priority to a higher priority.
It is good practice to review your assessment on a regular basis to
make sure your control methods are effective.

What documentation should be done for a risk assessment?

Keeping records of your assessment and any control actions taken is
very important. You may be required to store assessments for a
specific number of years. Check for local requirements in your
jurisdiction.
The level of documentation or record keeping will depend on:

 Level of risk involved.

 Legislated requirements.
 Requirements of any management systems that may be in
place.

Your records should show that you:

 Conducted a good hazard review.

 Determined the risks of those hazards.
 Implemented control measures suitable for the risk.
 Reviewed and monitored all hazards in the workplace.

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HOW DO YOU EVALUATE A RISK ASSESSMENT?

What is the asmount of risk that your

company is willing to accept? Before you even get to this question how
does your company assess risk and subsequently evaluate that risk? In the
July issue of the Compliance Week magazine, these questions were
explored in an article entitled “Improving Risk Assessments and Audit
Operations” in which author Tammy Whitehouse discussed the audit
process and how the audit results can form the basis for the evaluation of
risk assessment. In her article Whitehouse focused on the presentation of
Michele Abraham, from Timken Co., and how Timken assesses and then
monitors risks it determines through its annual compliance audit.
According to Abraham, once risks are identified, they are then rated
according to their significance and likelihood of occurring, and then plotted
on a heat map to determine their priority. The most significant risks with the
greatest likelihood of occurring are deemed the priority risks, which
become the focus of the audit monitoring plan, she said. A variety of
solutions and tools can be used to manage these risks going forward but the
key step is to evaluate and rate these risks. Abraham provided two examples
of ratings guides which Whitehouse included in her article. We quote both
in their entirety.
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LIKELIHOOD
Likelihoo
d Rating Assessment Evaluation Criteria

Almost High likely, this event is expected to

1 Certain occur

Strong possibility that an event will

occur and there is sufficient historical
2 Likely incidence to support it

Event may occur at some point,

3 Possible typically there is a history to support it

Not expected but there’s a slight

4 Unlikely possibility that it may occur

Highly unlikely, but may occur in unique

5 Rare circumstances

‘Likelihood’ factors to consider: The existence of controls, written policies

and procedures designed to mitigate risk capable of leadership to recognize
and prevent a compliance breakdown; Compliance failures or near misses;
Training and awareness programs.

PRIORITY
Priorit
y
Rating Assessment  Evaluation Criteria

1-2 Severe Immediate action is required to address

the risk, in addition to inclusion in training

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 and education and audit and monitoring
plans

3-4 High

5-7 Significant Should be proactively monitored and

mitigated through inclusion in training and
8-14 Moderate education and audit and monitoring plans

Risks at this level should be monitored but

15- do not necessarily pose any serious threat
1920-25 LowTrivial to the organization at the present time.

Priority Rating: Product of ‘likelihood’ and significance ratings reflects the

significance of particular risk universe. It is not a measure of compliance
effectiveness or to compare efforts, controls or programs against peer
groups.

At Timken, the most significant risks with the greatest likelihood of

occurring are deemed to be the priority risks. These “Severe” risks become
the focus of the audit monitoring plan going forward. A variety of tools can
be used, such as continuous controls monitoring with tools like those
provided by Visual RiskIQ, a relationship-analysis based software such as
Catelas or other analytical based tools. But you should not forget the human
factor. At Timken, one of the methods used by the compliance group to
manage such risk is by providing employees with substantive training to
guard against the most significant risks coming to pass and to keep the key
messages fresh and top of mind. The company also produces a risk control
summary that succinctly documents the nature of the risk and the actions
taken to mitigate it

Element 6: Health and safety measuring and Reviewing

performance

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WHY MEASURE PERFORMANCE?

Introduction

‘You can't manage what you can't measure’ -

‘If you don’t know where you are going, chances are you will
end up somewhere else’ - Yogi Berra

Measurement is an accepted part of the ‘plan-do-check-act’

management process. Measuring performance is as much part of
a health and safety management system as financial, production
or service delivery management. The HSG 65 framework for
managing health and safety, illustrated in Figure
1, shows where measuring performance fits within the overall
health and safety management system.

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Figure 1: Performance measurement within the health
and safety management system

Providing information

The primary purpose of measuring health and safety performance

is to provide information on the progress and current status of the
strategies, processes and activities used by an organisation to
control risks to health and safety.

Measurement information sustains the operation and

development of the health and safety management system, and
so the control of risk, by:
 providing information on how the system operates in practice;
 identifying areas where remedial action is required;
 providing a basis for continual improvement; and
  providing feedback and motivation.

Effective performance measurement provides information on both the

level of performance and why the performance level is as it is.

‘Only when you know why you have hit the target can you truly say you
have learnt archery’- Chinese proverb

If the information derived from measurement cannot be used as

a means to understand the basis of performance then it is of
little use.

Answering questions

Health and safety performance measurement should seek to answer

such questions as:

 Where are we now relative to our overall health and

safety aims and objectives?
 Where are we now in controlling hazards and risks?
 How do we compare with others?
 Why are we where we are?
 Are we getting better or worse over time?
 Is our management of health and safety effective
(doing the right things)?
 Is our management of health and safety reliable (doing
things right consistently)?
 Is our management of health and safety proportionate to
our hazards and risks?
 Is our management of health and safety efficient?
 Is an effective health and safety management system in
place across all parts of the organisation (deployment)?
 Is our culture supportive of health and safety, particularly in
the face of competing demands?
These questions should be asked not only at the highest level
but also at the various management levels and across the
organization. The aim should be to provide a complete picture of
the organization’s health and safety performance.

Decision making

The measurement information helps in deciding:

 where you are relative to where you want to be;

 what progress is necessary and reasonable in the
circumstances;
 how that progress might be achieved against particular
restraints (eg resources or time);
 the way progress might be achieved; and
priorities and effective use of resources.
Addressing different information needs

Information from health and safety performance measurement is

needed by the people in the organisation who have particular
responsibilities within the health and safety management system.
These will include directors, senior managers, line managers,
supervisors, health and safety professionals and employees/safety
representatives. They each need information appropriate to their
position and responsibilities within the health and safety
management system.

For example, what the CEO of a multinational organisation needs

to know from the performance measurement system will differ in
detail and nature from the manager of a particular location. And
this may differ in detail from a departmental manager in that
location.

There needs to be overall coherence in approach so that

individual measuring activities are aligned within the overall
performance measurement framework. In effect this results in a
hierarchical set of linked measures which reflect the organisation’s
structure.

Because performance measures should be derived principally to

meet an internal need, there will be a limit to the number which can
be used meaningfully from organisation to organisation (ie for
external benchmarking purposes) rather than within the context of
a particular organisation.

‘Each organisation must create and communicate performance measures

that reflect its unique strategy’ - Kaplan

Although the primary focus for performance measurement is to

meet the internal needs of the organisation, there is an increasing
need to demonstrate to external stakeholders (regulators,
insurance companies, shareholders, suppliers, contractors,
members of the public etc) that arrangements to control health
and safety risks are in place, operating correctly and effective.

While the higher hazard industries may have recognised that they
have in effect been granted ‘license to operate’ by their local
community and society, pressure for accountability is reaching
other sectors through routes such as corporate social
responsibility.4 The challenge for organisations is to
communicate their performance in ways which are meaningful to
their various stakeholders.

WHAT TO MEASURE

Introduction

In order to achieve an outcome of no injuries or work-related ill

health, and satisfy stakeholders, health and safety risks need to be
controlled. Effective risk control is founded on an effective health
and safety management system. This is illustrated in Figure 2.
The health and safety management system comprises three levels
of control:

 Level 3 - effective workplace precautions provided and

maintained to prevent harm to people at the point of risk.
 Level 2 - risk control systems (RCSs): the basis for
ensuring that adequate workplace precautions are
provided and maintained.
 Level 1 - the key elements of the health and safety
management system: the management arrangements
(including plans and objectives) necessary to organise, plan,
control and monitor the design and implementation of
RCSs.

In addition, a positive health and safety culture supports each level.

A detailed description of this three-level system is given in the
Planning and implementing chapter of HSG 65.

To effectively answer the question ‘What is our health and

safety performance?’, performance measurement should cover
all elements of Figure 2. It should be based on a balanced
approach which combines:

Input: Monitoring the scale, nature and distribution of hazards

created by the organisations activities - measures of the hazard
burden; Process: Active monitoring of the adequacy, development,
implementation and deployment of the health and safety
management
system and the activities to promote a positive health and safety
culture -
measures of success; and
Outcomes: Reactive monitoring of adverse outcomes resulting
in injuries, ill health, loss and accidents with the potential to
cause injuries, ill health
or loss - measures of failures.

The following sections describe this approach to performance

measurement based on Figure 2.
Measuring the hazard burden

The range of activities undertaken by an organisation will create

hazards, which will vary in nature and significance. The range,
nature, distribution and significance of the hazards (the hazard
burden) will determine the risks which need to be controlled.

Ideally the hazard should be eliminated altogether, either by the

introduction of inherently safer processes or by no longer carrying
out a particular activity, but this is not always practical.

If the hazard burden is reduced and if other things (variables)

remain constant, including consistent operation of the health and
safety management system, this will result in lower overall risk
and a consequent reduction in injuries and ill health. For example,
the inventory of hazardous materials might be reduced so that the
associated risks are reduced.

Of course, the hazard burden may increase as the organisation

takes on new activities or makes changes to existing ones. For
example, increasing the throughput on a chemical plant might
involve larger inventories and larger pipe diameters resulting in
potentially larger releases.

Measuring the hazard burden answers the questions:

 What are the hazards associated with our activities?

 What is the significance of the hazards (high/low)?
 How does the nature and significance of the hazards vary
across the different parts of our organisation?
 How does the nature and significance of the hazards vary over
time?
 Are we succeeding in eliminating or reducing hazards?
 What impact are changes in our business having on the
nature and significance of hazards?

This information provides an important input into planning and

review processes to ensure that proportionate effort,
prioritisation and emphasis are given to the control of risks.
Measuring the health and safety management system

Overview

The health and safety management system is the process which

turns uncontrolled hazards to controlled risks. The key elements of:

 policy;
 organising;
 planning and implementation;
 measuring performance; and audit and review

illustrated in Figure 1 all need to be in place to control risks

effectively. These are described fully in HSG 65. The performance
measurement system must cover each element of the health and
safety management system.
Policy

The measuring process should establish that a written health

and safety policy statement:

 exists;
 meets legal requirements and best practice;
 is up to date; and
 is being implemented effectively.

The information to demonstrate that the policy is being

implemented effectively will be collected through the overall
process of measuring health and safety performance and from
the auditing process.

Organising

The measurement process should gauge the existence, adequacy

and implementation of arrangements to:

 establish and maintain management control of health and

safety in the organisation;
 promote effective co-operation and participation of
individuals, safety representatives and relevant groups so
that health and safety is a collaborative effort;
 ensure the effective communication of necessary
information throughout the organisation; and
 secure the competence of the organisation’s employees.

Planning and implementation

The measurement process should gauge the existence, adequacy

and implementation of the planning system. The planning system
should be able to:

 deliver plans with objectives for developing

maintaining and improving the health and safety
management system;
  design, develop, install and implement suitable management
arrangements, risk control systems and workplace
precautions
proportionate to the needs, hazards and risks of the
organisation;
 provide effective prioritisation of activities based on risk
assessment;
 ensure the correct balance of resources and effort is
being targeted proportionately according to the
hazard/risk profile across the rganisation (for example, is
disproportionate effort being expended on slips/trips relative
to control of major accident hazards or fire safety?);
 operate, maintain and improve the system to suit
changing needs and process hazards/risks; and
 promote a positive health and safety culture.

Over a period of time the information from the various measuring

activities and from other sources (notably audit) will demonstrate
how well the planning system delivers suitable management
arrangements and risk control systems. These should be:

 effective, ie they are doing the right thing and in the right
place at the right time?
 reliable, ie they are consistently applied? and
 efficient, ie they are doing the right things right?

More detail is provided in the section Planning and implementing - a

more detailed look.
Measuring performance

The measuring process itself is an essential element of the

health and safety management system, so its operation of will
also need to be monitored.

Audit and review

Audit and review form the final steps in the health and safety
management control loop, so their existence, adequacy and
implementation need to be included within the measuring
process.

Measuring failure - reactive monitoring

So far we have dealt with measuring activities designed to

prevent the occurrence of injuries and work-related ill health
(active monitoring). Failures in risk control also need to be
measured (reactive monitoring), to provide opportunities for
organisations to check performance, learn from failures and
improve the health and safety management system.

Reactive monitoring arrangements include systems to identify and

report:

 injuries and work-related ill health;

 other losses such as damage to property;
 incidents, including those with the potential to cause injury,
ill health or loss;
 hazards and faults; and
 weaknesses or omissions in performance standards and
systems.
Guidance on investigating these events is outside the scope of
this guidance but investigations should:

 establish what happened;

 identify the reasons for substandard performance;
 identify the underlying failures in the health and safety
management system;
 learn from events;
 prevent recurrences; and
 satisfy legal and reporting requirements.

The reactive monitoring system should answer the following

questions:

 Are failures occurring (injuries/ill health/loss/incidents)?

 Where are they occurring?
 What is the nature of the failures?
 How serious are they?
 What were the potential consequences?
 What are the reasons for the failures?
 What are the costs?
 What improvements in the health and safety management
system are required?
 How do all the above points vary with time?
 Are we getting better/worse?

Measuring the health and safety culture

The health and safety culture of an organisation is an important

factor in ensuring the effectiveness of risk control. The health and
safety management system is an important influence on the
safety culture, which in turn impacts on the effectiveness of the
health and safety management system. Measuring aspects of the
safety culture therefore forms part of the overall process of
measuring health and safety performance.

Many of the activities which support the development of a positive

safety culture need to be measured. They are included under the
headings (the ‘four Cs’: see Organising):

 control;
 communication;
 co-operation; and
  competence.

The term ‘health and safety climate’ has been used to describe
the tangible outputs of an organisation’s health and safety culture
as perceived by individuals or work groups at a point in time.
Health and safety climate is amenable to measurement, and HSE
has developed a Health and safety
 climate survey tool5 to allow organisations to canvass the views of
their employees on some key aspects of health and safety within
their organisation.

The health and safety related behaviour of individuals at all levels

of the organisation is influenced by the health and safety culture,
and the behaviours in turn shape the culture. Behaviours which
support and promote a positive health and safety culture and an
effective health and safety management system need to be
included within the measurement process (an HSE Contract
Research Report6 on behavioural safety is currently in
preparation).

Planning and implementing - a more detailed look

The following sections provide more detail on performance

measurement in relation to plans and objectives, management
arrangements, risk control systems and work place precautions
(the levels 1,2 and 3 in Figure 2).

Measuring progress with plans and objectives

One of the key outputs of the planning process is plans and

objectives to develop, maintain and improve the health and
safety management system. The various plans across the
different parts of an organisation need to be aligned to meet the
organisation’s overall aims and to provide a coherent approach
to effective risk control. The overall goals set at the highest level
in the organisation need to be put into effect by a series of
linked plans and objectives. These should cascade down the
various levels within the organisation.

A prerequisite of effective health and safety plans and objectives

is that they should be SMART, ie:

 Specific;
 Measurable;
 Attainable;
 Realistic/Relevant; and
 Timebound.

So the first check in the measurement process is whether plans

and objectives meet this test.

Measuring progress with plans and objectives is facilitated by

defining who does what, when and with what result. This
means that regular checks on progress can be made at
appropriate intervals against a defined performance standard.
These checks need to take place at successive levels within the
organisation at corporate, site, local and individual level, reflecting
the appropriate hierarchical structure of the organisation. At
individual level, the information gathering may form part of a
performance appraisal system, which hold
people accountable for their health and safety responsibilities and
rewards
them appropriately. Measuring progress with plans and objectives
provides a useful input to reporting health and safety performance
at various levels within the organisation

An important part of the measurement process is to monitor

compliance with remedial actions where areas for improvement have
been identified. These actions can arise from audits as well as active
and reactive monitoring.

Measuring management arrangements and risk control systems

Measuring management arrangements and risk control systems

(the levels 1 and 2 of Figure 2) should cover three aspects:

 capability;
 compliance (implementation); and
 deployment.

Capability

In many organisations, their health and safety management

system has evolved over time rather than being designed from
first principles. This contrasts with the organisation’s physical
processes or production processes, where careful and systematic
consideration will have been given to ensure they are designed to
deliver the desired outcomes.

The same discipline needs to be applied to management

arrangements and risk control systems. The performance
measurement system must include checks on whether the
particular management arrangement (eg the accident investigation
system), or risk control system (eg the system to control
contractors) has the capability to deliver the required outcome
and is fit for purpose. In practice, this information might be
collected by audit or a review of arrangements and systems which
are already in place.

Unless the performance measurement system includes these

checks, there will be a natural limit on the performance of the
health and safety
management system. Because of the limitations in its original
design there will be no guarantee that the desired outcomes will be
achieved. There are essentially two aspects to consider:

(a)is there a system in place? and

(b)Is the system ‘technically adequate’ for the
required application?

(a)To establish that a system is in place means checking that

there is a plan- do-check-act process so that:

 clear scope and objectives are defined for the outcome,

ie what the system is intended to deliver;
  clear responsibilities are assigned to individuals within
the system, which they are held accountable for;
 the competencies of people operating the system are defined;
 people who are expected to implement the system
have had the opportunity to provide input to its
design;
 there are procedures which define how the
system is to be implemented and the
performance standards expected;
 the methods of monitoring compliance and effectiveness of
the system are defined;
 there are arrangements for reviewing the design and
operation of the system and taking appropriate action to
correct deficiencies and for continual improvement; and
 adequate resources are provided to operate the system
effectively.
(b)The presence of the plan-do-check-act elements alone is not
sufficient. The system needs to be ‘technically adequate’ or fit
for purpose relative to the application. For example,
arrangements for investigating accidents will be of limited value if
the investigation system does not identify root causes of the
accident.

Similarly a system aimed at controlling the risks associated with

managing change on a chemical plant will be of limited value if the
only changes included are engineering or material changes, but
changes such as personnel, organisational structure,
instrumentation or recipe are not included.

The yardsticks for checking ‘technical adequacy’ are relevant legal

requirements and best practice including the consideration of
human factors issues (see HSE guidance Reducing error and
influencing behaviour7).
Information on best practice might be obtained through published
guidance or through benchmarking with others (see HSE leaflet
Health and safety benchmarking8).

The procedures for implementing the system should be realistic

and achievable in terms of the demands placed upon the people
who have to carry them out. For example, can people actually do
what is required of them to the standard required in the time
available? Procedures should also be compatible with other
procedures the organisation has in place to manage other
aspects of the business.

Compliance

No matter how well the management arrangements and risk

control systems are designed, they can never deliver the desired
outcome if they are not implemented or complied with.
Performance measurement must provide information to determine
the level of compliance with the management arrangements and
risk control systems.

It is vitally important that employees understand how the

particular management arrangement or risk control system is
expected to operate. It is useful to be able to capture the
implementation process as designed in a
process flowchart. This can be used to decide what aspects of
the process need to be measured to check that the process is
beingimplemented as intended (see Deriving performance
measures).

The basis for the active monitoring of compliance are performance

standards (see HSG 65) which define who does what, when and
with what result.

Deployment

In larger organisations senior management will need information to

determine that the health and safety management system
elements are in place and operating effectively across the
organisation rather than in isolated parts. So a measurement of
deployment will be required. This should include information on the
levels of compliance with the particular management arrangement
or risk control system across various parts of the organisation.

Taken together, measuring capability, compliance and deployment

effectively provides information on three dimensions of the
management arrangements and risk control systems. This is
illustrated in Figure 3.

Figure 3: Three dimensions of measurement

The aim would be to be in the dark shaded area of Figure 3, ie

high capability and high compliance effectively deployed across
the organisation.

This approach provides management with a way to gauge

performance which they can apply at different levels. For
example, looking at a specific management arrangement (eg
competence) or risk control system (eg entry into confined
spaces), or looking at a range of management arrangements and
risk control systems at a particular site or across the organisation .

Measuring workplace precautions

The output of risk control system design is having suitable

workplace precautions (level 3 in Figure 2) in place at the point of
risk for the hazards and risks associated with work activity. The
risk assessment process is at the
core, because when done correctly it will define the precautions
needed to control particular risks which must be included in the
risk control system.

The compliance measurement should provide information to

determine whether the workplace precautions are:

 in place;
 operating; and
 effective.

Measurement means comparing the ’as is’ against a defined

standard or yardstick. The definition of the workplace precautions
to control a particular risk forms the basis of measuring
performance in controlling that risk. It is useful to consider
workplace precautions under the following issues (the ‘four Ps’):

 premises,
 plant and materials,
 procedures,
 people.

This is illustrated in Figure 4.

Figure 4: Workplace precautions

The following example uses the risks associated with workplace

transport but the principles can be applied to other risks. For
workplace transport, the workplace precautions under each of the
headings might include:
Premises
 Defined roadways/one way system.
 Need for reversing eliminated/minimised.
 Roadways in good condition.
 Speed bumps.

Plant
 Vehicle selection eg good driver access/visibility.
 Vehicles maintained in good condition - tyres/brakes.
 Seat restraints fitted.
  Reversing aids provided.

Procedures
 Speed limits set for vehicles.
 Vehicles chocked appropriately.
 Reversing controlled.
 Authorised drivers.
 Drivers in safe position during loading.

People
 Competent drivers.
 Drivers following the speed limit.
 Pedestrians using designated walkways.

Each of the precautions defined will then fall within the scope of
what to measure. (See also How to measure performance).
Monitoring compliance with defined workplace precautions is the
major element in day-to-day measurement activity.

WHEN TO MEASURE PERFORMANCE

Measuring health and safety performance is an ongoing activity, so

in one sense the measurement process is continuous. But like any
other activity measurement should be both efficient and effective,
so the frequency with which it takes place needs to be planned
appropriately. You should consider the following factors:

 Suitable intervals to ensure that specific planned

milestones are achieved
If health and safety plans and objectives are SMART, they will
include specific times when specific milestones will be achieved.
Monitoring the progress with the plans should be aligned with the
particular timescales for achievement.

 The potential for change from one state to another

over time For example, the design of a particular
management arrangement or risk control system does not
change from day to day so that the checks on the design
might be appropriate at:

 the initial design phase;

  whenever changes are made which could impact on the
operation of the systems;
 when information is obtained which indicates that the
system as designed has failed in some way (eg when
there has been an injury); or
 when data from the monitoring of the operation of the
system indicates the design is flawed.

Similarly, the state of a particular work place precaution, for

example the integrity of a fixed machine guard, might not be
expected to vary significantly
from day to day once it has been put in place. A check at greater
intervals might be more appropriate.

Suppliers of plant and equipment will often prescribe

inspection and maintenance intervals to ensure optimum
performance.

 The relative importance of the activity or particular

precaution relative to the overall control of risk
Some precautions needed to control a particular risk may need to
be monitored on an almost continuous basis, eg the flow of
cooling water, the presence (or absence) of oxygen, air flow,
flammable gas levels, and require effective instrumentation.
Systems to control risks associated with high hazards will need to
be monitored at more frequent intervals than those for low
hazards.

 Where intervals for monitoring are prescribed by

legislation Some legislation requires monitoring to take place
at specific intervals, for example, inspection of lifting
equipment.

 Where there is evidence that there is non-compliance

Where monitoring has discovered evidence of non-compliance
then once remedial action has been taken, it may be appropriate
to introduce more frequent monitoring to check that the remedial
action has been successful.

 Where there is evidence of compliance

Where monitoring has provided evidence that there is regular
compliance with a particular requirement,it may be appropriate to
consider reducing the frequency of that monitoring and targeting
resources elsewhere.

 The relative frequency and time at which a particular

activity takes place
Some work activities only occur at particular times of the day or
night or periods of the year. It is important that the measurement
process covers these activities effectively and is not just confined
to frequent ‘9 to 5’ activities.
WHO SHOULD MEASURE PERFORMANCE

Health and safety performance needs to be measured at each

management level in an organisation, starting with the most
senior management. Senior managers must guard against a
culture of management, or measurement of health and safety, by
exception. This means that unless a problem or deficiency is
brought to their attention they presume that everything is working
as intended and do not inquire any further.

The dangers of this approach have been highlighted in several

reports of official inquiries into major incidents in the UK and
abroad. Senior managers must satisfy themselves that
appropriate arrangements to control health and safety risks are:
  in place;
 complied with; and
 effective.

Organisations need to decide how to allocate responsibilities for

both active and reactive monitoring of performance at different
levels in the management chain. They should also decide what
level of detail is appropriate. The decisions will reflect the
organisation’s structure. Managers should be given responsibility
for monitoring the achievement of plans and objectives and
compliance with standards for which they and their subordinates
are responsible. Managers and supervisors responsible for direct
implementation of standards should monitor compliance in detail
and be competent to do so.

Above this immediate level of control, monitoring needs to be

more selective but provide assurance that adequate first line
monitoring is taking place. This should reflect not only the quantity
but also the quality of subordinates’ monitoring.

There needs to be performance standards (who does what when,

to what effect) for managers to indicate how they will monitor.

HOW TO MEASURE PERFORMANCE

Introduction

The foundation of effective performance measurement is an

effective planning system which produces specifications and
performance standards for the management arrangements and
risk control systems. These provide the yardsticks for the
measurement process.

The measurement process can gather information through:

 direct observation of conditions and of peoples’ behaviour;

 talking to people to elicit facts and their experiences as well
as gauging their views and opinions; and
 examining written reports, documents and records.

These information sources can be used independently or in

combination. Direct observation includes inspection activities and
the monitoring of the work environment (eg temperature, dust
levels, solvent levels, noise levels) and people’s health and safety
related behaviour.

Each risk control system will have a built-in monitoring element if it

has been designed correctly to define the frequency of monitoring
(see Capability).
Rather than monitoring particular risk control systems and
associated workplace precautions in isolation, it may be more
efficient to combine the individual monitoring activities where it
makes sense to do so.
This may be achieved by developing a checklist or inspection form
which covers the key issues to be monitored in a particular
department or area of the organisation within a particular time
period. It might be useful to structure this checklist using the ‘four
Ps’ (note that the examples are not a definitive list: you should be
able to think of others to fit your circumstances):
  Premises,
including:
Access/escape.
Housekeeping.
Working environment.

 Plant and substances, including:

Machinery guarding.
Local exhaust
ventilation.
Use/storage/separation of materials/chemicals.

 Procedures, including:
Permits to work.
Use of personal protective equipment.
Procedures followed.

 People,
including: Health
surveillance. People’s
behaviour.
Appropriate authorised person.

In order to get maximum value from inspection checklists, they

should be designed so that they require objective rather than
subjective judgements of conditions. For example, asking the
people undertaking a general inspection of the workplace to rate
housekeeping as good or bad begs questions as to what does
good and bad mean, and what criteria should be used to judge
this.

The checklist or inspection form should facilitate:

 the planning and initiation of remedial action, by requiring

those doing the inspection to rank deficiencies in order of
importance;
 taking remedial actions, with names and timescales to
track progress to implement improvements;
 periodic analysis to identify common features or trends
which might reveal underlying weaknesses in the system;
and
 information to aid judgements about changes in the
frequency or nature of the monitoring arrangements.
Deriving performance measures

There is online source material available for deriving performance

measures, introducing a performance measurement process and
interpreting and displaying performance data (see Further
information).
Organisations need to guard against the danger of having a
performance measurement process where there is measurement
for measurement’s sake. Just because something is amenable to
measurement does not mean that it has to be measured. Like any
activity, measurement has associated costs and so needs to be
undertaken efficiently and to best effect.

‘The single biggest mistake organisations make is to have too few

performance measures. The second biggest is to have too many’ -
Mark Graham Brown

There is general agreement on the key steps in developing a

performance measurement system. It is important that all those
who are involved in the processes or activities have the
opportunity to contribute to the following steps:

1 Identify the key processes

In the case of health and safety, these will be the management
arrangements, risk control systems and workplace precautions.

2 Analyse the key management arrangements and risk

control systems to produce a process map or flow chart
If the management arrangements and risk control systems have
been designed correctly, it should be relatively easy to produce a
flowchart. It is vitally important to understand how the process
actually operates on the ground, so it is important to involve those
responsible for implementing the process in this activity.
3 Identify the critical measures for each management
arrangement and risk control system
This can be done by considering:

 What outcome do we want?

 When do we want it?
 How would we know if we achieved the desired outcome?
 What are people expected to do?
 What do they need to be able to do it?
 When should they do it?
 What result should it produce?
 How would we know that people are doing what they should be
doing?

Again, it is important to include the people involved in implementing

the arrangements and systems in deciding what the critical measures
might be.

The measures which are derived should be:

 accepted by and meaningful to those involved in the
activities being measured and those who need to use the
measures;
 simple/understandable/repeatable/objective;
 capable of showing trends;
 unambiguously defined;

 cost-effective in terms of data collection;

 timely;
 sensitive; and should
 drive appropriate behaviour.

This last point is particularly important because the choice of
measures can sometimes promote behaviours which are in conflict
with the desired outcomes. For example, rewarding low accident
rates (in the absence of other measures of performance) can lead
to under-reporting. Or merely counting
the number of safety meetings held by a supervisor can lead to
the target for the number of safety meetings being achieved but
the quality being very poor.
 4 Establish baselines for each measure
Once the individual measures have been established then baseline
data needs to be established.

5 Establish goals or targets for each measure.

Again, this should be done by involving the people who are
expected to operate the particular activity rather than imposing
goals or targets on them arbitrarily.
6 Assign responsibility for collecting and analysing the data
It is important to assign responsibility for collecting and analysing
the data, and to hold people accountable for this activity.

7 Compare actual performance against target

The emphasis should be on achievements rather than failures, but it is
important to analyse the reasons for substandard performance if
improvements are to be made.

8 Decide on corrective action

The measurement data should provide information to enable
decisions to be made about what corrective action is required and
where and when it is necessary.

9 Review the measures

The measures derived need to be reviewed regularly to ensure that
they remain appropriate, useful and cost-effective. There should
not be frequent changes of measures because this can lead to
confusion.

Improving your performance measurement arrangements

In seeking to improve your organisation’s approach to measuring health and safety

performance, a useful starting point is to review what measuring activity is currently
taking place against this guidance. You should include consideration of:
 range, nature and deployment;
 gaps in the coverage;
 balance and emphasis;
 design basis;
 frequency - too little/too much;
 responsibility for collecting, analysing and reporting
measurement information;
 corrective action arrangements; and
 effectiveness in driving improvement.

This might best be done using a team approach involving
managers, supervisors, employees and safety representatives.
The References also provide useful information.

The first aim should be to develop a measurement system which

provides information to enable you to comply with relevant legal
requirements as a
minimum.

Reviewing performance

Carrying out reviews will confirm whether your health and safety
arrangements still make sense. For example, you’ll be able to:

 check the validity of your health and safety policy

 ensure the system you have in place for managing health and
safety is effective
You’ll be able to see what has changed about the health and safety
environment in your business. This will enable you to stop doing
things that are no longer necessary while allowing you to respond to
new risks.

Reviewing also gives you the opportunity to celebrate and promote

your health and safety successes. Increasingly, third parties are
requiring partner organisations to report health and safety
performance publicly.

The most important aspect of reviewing is that it closes the loop. The
outcomes of your review become what you plan to do next with
health and safety.
Key actions in reviewing performance effectively
Leaders

 Consider the review findings. If improvement is needed act

now, rather than reacting to an incident in the future
 Make sure that the review is carried out according to the plans,
and that a report is issued to senior leaders at least annually
 Ensure the scope of the review will give assurance that risks
are as low as reasonably practicable , and that your organisation is
complying with health and safety law
Managers

What are the objectives of the review?

 Making judgements about the adequacy of health and safety

performance
 Assurance that the system for managing health and safety is
working
 Ensuring you are complying with the law
 Setting standards
 Improving performance
 Responding to change
 Learning from experience
Who will carry out the review?

 Someone independent, perhaps from another business area,

could add value to the process 
 Active monitoring (before things go wrong)
 Reactive monitoring (after things go wrong)
 Accident/incident/near-miss data
 Training records
 Inspection reports
 Investigation reports
 Risk assessments
 New guidance
 Issues raised by workers or their representatives
 Checks required by law, eg on lifting equipment and pressure
systems
 How often will you need to carry out a review?

 This will depend on your risk profile

Think about the supply chain

 How could the actions or health and safety performance of

suppliers or contractors affect your organisation?
Consider incidents that have occurred in similar organisations

 Could they be repeated in your organisation?

Report the review findings

 It is crucial that you report any findings to everyone within the

organisation
Ensure remedial actions have been carried out

 You also need to make sure that the measures work

Worker consultation and involvement

 Discuss plans for review with workers or their representatives

 Use information from safety representative’s inspections to
feed into review
 Discuss the findings from your review with workers or their
representatives - you will have more success in securing
improvements if your workers are fully involved
Competence

 Ensure that those carrying out the review have the necessary
training, experience and good judgement to achieve competence
in this task
 See the guidance on Measuring and reviewing performance or
use a trade association to assist with planning and benchmarking
where you are now. Talk to similar organisations to compare
performance and management practices
 If risks are complex and could have serious consequences,
consider getting specialist advice, or supporting one of your own
workers by providing additional training.