32
1.6 Legal and organizational responsibilities of clients and their contractors
1.6.7  Safety rules for contractors
In the conditions of contract, there should be a stipula-
tion that the contractor and all of their employees adhere
to the contractor’s safety rules. Contractors’ safety rules
should contain as a minimum the following points:
â•…
n Health and safety – that the contractor operates to
at least the minimum legal standard and conforms
to accepted industry good practice;
n Supervision – that the contractor provides a good
standard of supervision of their own employees;
n Sub–contractors – that they may not use sub-Â�
contractors without prior written agreement from
the organization;
n Authorization – that each employee must carry an
authorization card issued by the organization at all
times while on site.
1.6.8  Example of rules for contractors
Contractors engaged by the organization to carry out
work
â•…
on its premises will:
n familiarize themselves with so much of the orga-
nization’s health and safety policy as affects them
and will ensure that appropriate parts of the policy
are communicated to their employees, and any
sub-contractors and employees of sub-contractors
who will do work on the premises;
n cooperate with the organization in its fulfilment of its
health and safety duties to contractors and take the
necessary steps to ensure the like cooperation of
their employees;
n comply with their legal and moral health, safety and
food hygiene duties;
n ensure the carrying out of their work on the orga-
nization’s premises in such a manner as not to put
either themselves or any other persons on or about
the premises at risk;
n ensure that where they wish to avail themselves of
the organization’s first-aid arrangements/facilities
while on the premises, written agreement to this
effect is obtained prior to first commencement of
work on the premises;
n supply a copy of their statement of policy,
organization and arrangements for health and n that access to restricted parts of the premises is
safety written for the purposes of compliance with
The Management of Health and Safety at Work
Regulations and section 2(3) of the HSW Act n that any major or lost-time accident or danger-
where applicable and requested by the
organization;
n abide by all relevant provisions of the organization’s
safety policy, including compliance with health and
safety rules and CDM 2007;
n ensure that on arrival at the premises, they and any
other persons who are to do work under the con-
tract report to reception or their designated organi-
â•…
zation contact.
Without prejudice to the requirements stated above, con-
tractors, sub-contractors and employees of contractors
and sub-contractors will, to the extent that such matters
are within their control, ensure:
â•…
n t he safe handling, storage and disposal of materials
brought onto the premises;
n that the organization is informed of any hazardous
substances brought onto the premises and that the
relevant parts of the Control of Substances Hazard-
ous to Health Regulations in relation thereto are
complied with;
n that fire prevention and fire precaution measures are
taken in the use of equipment which could cause
fires;
n that steps are taken to minimize noise and
vibration produced by their equipment and
activities;
n that scaffolds, ladders and other such means of
access, where required, are erected and used in
accordance with Work at Height Regulations and
good working practice;
n that any welding or burning equipment brought
onto the premises is in safe operating condition
and used in accordance with all safety
requirements;
n that any lifting equipment brought onto the prem-
ises is adequate for the task and has been properly
tested/certified;
n that any plant and equipment brought onto the
premises is in safe condition and used/operated by
competent persons;
n that for vehicles brought onto the premises,
any speed, condition or parking restrictions are
observed;
n that compliance is made with the relevant
requirements of the Electricity at Work Regulations
1989;
n that connection(s) to the organization’s electricity
supply is from a point specified by its management
and is by proper connectors and cables;
n that they are familiar with emergency procedures
existing on the premises;
n that welfare facilities provided by the organization
are treated with care and respect;
observed and the requirements of food safety legis-
lation are complied with;
ous occurrence on the organization’s premises is
reported as soon as possible to their site contact;
n that where any doubt exists regarding health and
safety requirements, advice is sought from the site
â•…
contact.
The foregoing requirements do not exempt contractors
from their statutory duties in relation to health and safety,
but are intended to assist them in attaining a high stan-
dard of compliance with those duties.

1.7  Further information
The Health and Safety at Work etc. Act 1974
The Interpretation Act 1978
The Management of Health and Safety at Work Regula-
tions 1999 (as amended)
The Construction (Design and Management) Regula-
tions 2007
Corporate Manslaughter and Corporate Homicide Act
2007
The Management of Health and Safety at Work (ACOP)
(L21), HSE Books ISBN 978 0 7176 2488 1
http://www.hse.gov.uk/pubns/books/l21.htm
Successful Health and Safety Management (HSG65),
HSE Books ISBN 978 0 7176 1276 5
1.8 PracticeQuestions
Please note: NEBOSH no longer use the command word
‘Sketch’ in its questions. However, candidates may use
sketches to illustrate answers when appropriate.
1. E
 xplain, using an example in EACH case, the
meaning of the following terms:
(i) ‘hazard’;
(ii) ‘risk’.
2. S
 tate FOUR possible direct AND FOUR possible
indirect costs to an organization following a serious
accident at work.
3. R
 eplacement or repair of damaged equipment is
a cost that an organization may incur following an
accident at work.
Identify EIGHT other possible costs to the orga-
nization following a workplace accident.
4. R
 eplacement and retraining of staff is a cost that
an organisation may face following a workplace
accident.
Identify EIGHT other possible costs to an orga-
nization when a serious accident has occurred at
work.
5. Identify EIGHT possible costs to an organization
when employees are absent due to work-related
ill-health.
CHAPTER
Health and safety foundations 1 33
http://www.hse.gov.uk/pubns/books/hsg65.htm
Health & Safety Executive ‘Ready Reckoner’ website at
www.hse.gov.uk/costs 1
Leading health and safety at work (INDG 417) HSE
Books, ISBN 978 0 7176 6267 8
Managing Health and Safety in Construction (ACOP)
(L144), HSE Books ISBN 978 0 7176 6223 4
http://www.hse.gov.uk/pubns/books/l144.htm
Health and Safety in Construction (Guidance)
(HSG150rev), HSE Books ISBN 978 0 7176 6182 4
http://www.hse.gov.uk/pubns/books/hsg150.htm
OHSAS 18001 Occupational health and safety manage-
ment systems – Requirements
HSE Statistics http://www.hse.gov.uk/statistics/index.
htm
NEBOSH
6. (a) Outline the purpose of employer liability
insurance.
(b) Outline SIX costs of a workplace accident that
might be uninsured.
7. (a) Outline the main features of:
(i) criminal law;
(ii) civil law.
(b) Explain the principal differences between com-
mon law and statute law.
8. O
 utline the FOUR key differences between civil law
and criminal law.
9. In relation to health and safety, outline the role of
the following:
(a) employment tribunals;
(b) criminal courts.
10. (a) Identify THREE enforcement agencies who have
the power to prosecute companies for non-�
compliance with health and safety legislation.
(b) Give the names of TWO criminal courts which
hear cases of indictable health and safety
offences.
(c) Outline the role of the civil courts with regard to
health and safety matters.
11. A
 n employer has common law duty of care for the
health, safety and welfare of their employees.
34 1.8 Practice NEBOSH questions
Giving an example in EACH case, identify what
the employer must provide in order to fulfil this Work etc. Act 1974 by:
common law duty of care.
12. (a) Define the term ‘negligence’.
(b) Outline the THREE standard conditions that
must be met for an injured employee to prove
a case of negligence against his/her employer
following an accident at work.
(c) Outline SIX defences available to an employer
in a case of alleged negligence brought by an
employee.
(d) Identify the circumstances in which an employer
may be held vicariously liable for the negligence
of an employee.
13. ╇ (i) Give the meaning of the term ‘negligence’.
(ii) Give an example of a negligent act by an
employer.
(iii) Outline the role of the civil courts with respect
to health and safety matters.
14. A
 n employer has general and specific duties under
section 2 of the Health and Safety at Work etc. Act
1974 that are qualified by the phrase ‘so far as is
reasonably practicable’.
(i) Explain, using a practical example, the
meaning of the term ‘so far as is reasonably
practicable’.
(ii) Describe the general duty of the employer
under section 2(1).
(iii) Giving a workplace example of EACH, identify
the FIVE specific duties of the employer under
section 2(2).
(iv) Name the courts that can hear a prosecution
for breaches of section 2 of the Health and
Safety at Work etc. Act 1974 AND identify the
penalties that can be imposed if the prosecu-
tion is successful.
15. O
 utline the general duties placed on
employees by:
(i) the Health and Safety at Work etc. Act 1974
(ii) the Management of Health and Safety at Work
Regulations 1999.
16. W
 ith respect to section 6 of the Health and Safety
at Work etc. Act 1974, outline the general duties of
designers, manufacturers and supplies of articles
and substances for use at work to ensure that they
are safe and without risk.
17. D
 uring a routine visit, a health and safety enforcement
officer has discovered an unguarded lift shaft, left by a
contractor, whilst working on an employer’s premises.
(a) Identify the powers given to the enforcement
officer under the Health and Safety at Work etc.
Act 1974.
(b) Outline the breaches of the Health and Safety at
(i) the employer
(ii) the person (contractor) carrying out repairs
on the lift.
18. In order to meet a production deadline, a supervi-
sor instructed an employee to operate a machine,
which they both knew to be defective.
Giving reasons in EACH case, identify possible
breaches of the Health and Safety at Work etc Act
1974 in relation to this scenario.
19. Explain the meaning, legal status and roles of:
(i) health and safety regulations
(ii) HSC Approved Codes of Practice
(iii) HSE guidance.
20. O
 utline, with an example of each, the differences
between health and safety Regulations and HSE
Approved Codes of Practice.
21. E
 xplain the differences between HSE Approved
codes of Practice and HSE guidance, giving an
example of EACH.
22. Identify the powers given to inspectors
appointed under the Health and Safety at Work etc
Act 1974.
23. (a) Outline FOUR powers available to an
inspector when investigating a workplace
accident.
(b) Identify the two types of enforcement notice
that may be served by an inspector, stating the
conditions that must be satisfied before each
type of notice is served.
24. (a) Explain, using a relevant example, the
circumstances under which a health and
safety inspector may serve an improvement
notice.
(b) Identify the time period within which an appeal
may be lodged against an improvement notice
AND state the effect that the appeal will have
on the notice.
(c) Identify the penalties for contravening the
requirements of an improvement notice
when heard BOTH summarily AND on
indictment.
25. O
 utline ways in which the Health and Safety
�Executive can influence the health and safety
�performance of an organization.
26. W
 ith reference to the Management of Health and
Safety at Work Regulations 1999:

(i) outline the information that an employer must
provide to employees;
(ii) identify FOUR classes of persons, other than
employees, to whom an employer must provide
health and safety information;
(iii) identify the specific circumstances when
health and safety training should be given to
employees.
27. (a) Give TWO reasons why visitors to a work-
place might be at greater risk of injury than an
employee.
(b) Outline measures to be taken to ensure the
health and safety of visitors to the workplace.
28. O
 utline the specific factors that should be consid-
ered when assessing the risks to employees work-
ing on night shifts.
29. O
 utline the issues that should be considered
to achieve cooperation and coordination where
employers share a workplace.
30. (a) Outline the main duties of a CDM coordinator
under the Construction (Design and Manage-
ment) Regulations.
(b) Identify FOUR items of information in the health
and safety file for an existing building that might
be needed by a contractor carrying out refur-
bishment work.
31. W
 ith reference to the Construction (Design and
Management) Regulations:
(i) Identify the circumstances under which a con-
struction project must be notified to an enforc-
ing authority.
(ii) Outline the duties of the client under the
Regulations.
32. O
 utline FOUR duties of each of the following per-
sons under the Construction (Design and Manage-
ment) Regulations:
(i) the CDM coordinator
(ii) the principal contractor.
CHAPTER
Health and safety foundations 1 35
33. Identify the factors that should be considered when
assessing the health and safety competence of a
contractor. 1
34. A
 n organization occupying an office block is to use
a contractor to carry out extensive refurbishment.
(a) Outline checks that the organization should
make when assessing the health and safety
competence of the contractor.
(b) Outline the duties placed on the contractor’s
employees by the Health and Safety at Work etc.
Act 1974.
(c) Outline procedural measures that the organiza-
tion should take to help reduce the risk to the
health and safety of their own employees while
the contractors are carrying out this work.
35. A
 contractor has been engaged by a manufacturing
company to undertake extensive maintenance work
on the interior walls of a factory workshop.
(a) Identify the legal duties that the manufactur-
ing company owes the contractor’s employees
under the Health and Safety at Work etc. Act
1974.
(b) Outline the information relevant to health and
safety that should be provided before work
commences by:
(i) the manufacturing company to the contrac-
tor; AND
(ii) the contractor to the manufacturing
company.
(iii) Describe additional procedural measures
that the manufacturing company should take
to help ensure the health and safety of their
own and the contractor’s employees.
36 Appendix 1.1 Checklist for supply chain health and safety management
APPENDIX 1.1:╇Checklist for supply chain health and safety management
This checklist is taken from the HSE leaflet INDG268
‘Working Together: Guidance on Health and Safety for
Contractors and Suppliers 2002’. It is a reminder of the
topics that might need to be discussed with people with
whom individual contractors may be working.
It is not intended to be exhaustive and not all ques-
tions will apply at any one time, but it should help people
to get started.
1. Responsibilities
n  hat are the hazards of the job?
W n What arrangements have been made for inspection
n Who is to assess particular risks?
n Who will coordinate action?
n Who will monitor progress?
2. The job
n  here is it to be done?
W repaired.)
n Who with?
n Who is in charge?
n How is the job to be done?
n What other work will be going on at the same time?
n How long will it take?
n What time of day or night?
n Do you need any permit to do the work?
3. The hazards and risk assessments
Site and location
Consider the means of getting into and out of the site
and
â•…
the particular place of work – are they safe? – and:
n  ill any risks arise from environmental conditions?
W in case of fire and other emergencies?
n Will you be remote from facilities and assistance?
n What about physical/structural conditions?
n What arrangements are there for security?
Substances
n  hat suppliers’ information is available?
W n What are the accident reporting arrangements?
n Is there likely to be any microbiological risk?
n What are the storage arrangements?
n What are the physical conditions at the point of
use? Check ventilation, temperature, electrical
installations, etc.
n Will you encounter substances that are not sup-
plied, but produced in the work, for example fumes
from hot work during dismantling plant? Check
how much, how often, for how long, method of
work, etc.
n What are the control measures? For example, con-
sider preventing exposure, providing engineering
controls, using personal protection (in that order of
choice).
n Is any monitoring required?
n Is health surveillance necessary, for example for
work with sensitizers? (Refer to health and safety
data sheet.)
Plant and equipment
n W hat are the supplier/hirer/manufacturer’s
instructions?
n Are any certificates of examination and test
needed?
and maintenance?
n What arrangements are there for shared use?
n Are the electrics safe to use? Check the condition
of power sockets, plugs, leads and equipment.
(Don’t use damaged items until they have been
n What assessments have been made of noise levels?
4. People
n Is information, instruction and training given, as
appropriate?
n What are the supervision arrangements?
n Are members of the public/inexperienced people
involved?
n Have any disabilities/medical conditions been
considered?
5. Emergencies
n W hat arrangements are there for warning systems
n What arrangements have been made for fire/emer-
gency drills?
n What provision has been made for first–aid and fire–
fighting equipment?
n Do you know where your nearest fire exits are?
n Are the necessary arrangements in place for avail-
ability of rescue equipment and rescuers?
6. Welfare
Who will provide:
â•…
n s helter
n food and drinks
n washing facilities
n toilets (male and female)
â•…n clothes changing/drying facilities?
There may be other pressing requirements which make
it essential to re-think health and safety as the work
progresses.
 CHAPTER
Health and safety foundations 1 37

APPENDIX 1.2:╇Summary of application and notification under CDM 2007

1
Key:
I need some
construction Notifiable projects
work done! ‘Shortcuts always only
cost more and take All projects
longer in the end.’

‘You can get it Think through what you really want/need

quicker and cost
cheaper than timing
that!’ time
team needed

Notifiable if work is expected to:

Likely to
last more than 30 working days; or
be notifiable?
involve more than 500 person days,
for example 50 people working for over 10
days and not for domestic client
No Yes
Choose co-ordinator to help you.
Appoint Tell them about your business
competent needs
co-ordinator See how they can help
Tell them what you want them to do
Notify HSE
Appoint Appoint

}
Begin design
Continue design competent competent
Select key designer(s) designer(s)
contractors
Plan for buildability
reviews Appoint
competent
What do you want in
Principal
the H&S File?
Contractor
Communicate your
business needs
Ensure critical
timings are
communicated Appoint Appoint
competent competent

}
contractor(s) contractor(s)

Ensure welfare facilities

ready when work begins
Ensure there is adequate
Ready
health & safety plan
to award
contracts? Introduce all parties
Establish continuing
liaison between designers
Yes and contractors

}
Start work
on site
Ensure continuing liaison
Review adequacy of
arrangements
Establish responsible
people to ‘own’ the H&S File
Finish work
on site

Figure 1.17╇ Summary of application and notification under CDM 2007