Mod 1 2 3 Law

NEBOSH National General Certificate BBCFE
Banff and Buchan College
Business Studies Sector
National Examinations Board for

Occupational Safety and Health
Modules 1, 2 & 3
Legal Studies
BMGPP
August 2004
© Banff and Buchan College of FE
© Banff and Buchan College of FE 1 Date of Production/Revision 6/22/2012

Author Code (BMGPP) File :n:\(C:\Users\Abbas\Documents\Mtmi\safety modules\Mod 1 2 3 Law.doc
DEFINITION OF SAFETY AND HEALTH 4
The Primary Model 5
The Health and Safety Model 6
The Expanded Model 10
Managing Health and Safety 11
General Management Duties 11
Basic Health and Safety Aims 12

Legal 13
Costs 13
Insurance 13
Health and Safety Legal Framework 15
Origins of Law 15
Regulations (Statutory Instruments) 16
Approved Codes of Practice 17
Guidance Notes 17
Criminal Liability 17
Absolute Duties 17
Practicable Duties 18
Reasonably Practicable Duties 18
Common Law 18
Common Law 19
Civil Liability 19
Tort 19
Tort of Negligence 19
Civil Action Based on Breach of Statutory Duty 20
Civil Action Based on Breach of Statutory Duty 21
Differences Between The Criminal And Civil Courts 22
Employer’s Duties 22
Employee’s Duties 24
Defences 24
Compensation 25
The Health and Safety at Work etc. Act 1974 26

The Health and Morals of Apprentices Act 1802 26
The Factory Act 1833 26
The Factory and Workshop Act 1901 26
The Factories Act 1937 26
The Health and Safety at Work etc. Act 1974 26
The Robens Report 27
The Role of the Inspector 33
The Powers of the Inspectorate 34
Improvement Notices 34
Prohibition Notices 35
Options Available to Inspectors 35
Offences 35
Industrial Tribunals 36
Appeals Against Enforcement Notices 36
THE WORKPLACE (HEALTH, SAFETY AND WELFARE) REGULATIONS 1992 37

Workplace - Definition 37
Locations Not Covered by the Regulations 37
Main Regulations Affecting the Workplace 39
The Health and Safety Policy 47
Monitoring the effectiveness of the Policy 49
Checklist Items Which Should Be Detailed In The Safety Policy 50
The Health and Safety (Information for Employees) Regulations 1989 52
Sources of Information 54
The Six Pack 57
MANAGEMENT OF HEALTH AND SAFETY AT WORK REGULATIONS 1999 57
Workplace (Health, Safety and Welfare) Regulations 1992 60
Implementing the Policy 62
Four Stages of Group Dynamics 64
Monitoring the Policy 65

Definition of Safety and Health

The phrase ―Health and Safety‖ is assuming a much higher profile in current
times
What, then is health and safety?
This question is asked at every safety seminar. The response is usually the
same - a long silence! Eventually delegate‘s attempts give the following
information:
• It‘s about preventing accidents
• It‘s to ensure a safe workplace
• It‘s common sense
• It‘s about making people follow the rules
• It‘s about the law
• It regulates conduct in the workplace
The question is then followed by:
Why, do we need health and safety?
The response is usually the same - a further long silence! Eventually

delegate‘s attempts give the following information:
• Because the law says so
• To protect employers
• To protect employees
• To protect investment
Each is correct hut only tells part of the story. To talk about managing health
and safety, there must be a common understanding of what the term means.
The best way to clarify the definition is to provide a model of Safety and
Health. This model is capable of assisting in the solution of real life problems
and as the basis for safety management courses.
The model is an attempt to illustrate the complexity of health and safety at

work. It should help individuals to understand the areas of health and safety
which have to be managed.

A simple version is shown below with notes to discuss each element of the
model. After the notes the model is redrawn in its more complex form. The
model is an easily remembered tool, which will assist to manage health and
safety.
The Primary Model
UNSAFE UNSAFE
WORKING HAZARDOUS WORKING
CONDITIONS ENVIRONMENT PRACTICES
RISK
SITUATION
ACCIDENT OR
INCIDENT
INVESTIGATION
REPORT
AND
RECOMMENDATIONS
CORRECTIVE
PROCEDURES WITH
STANDARD
OPERATING
PROCEDURES

The Health and Safety Model
A prime function of the manager is the avoidance of accidents, especially

those which may lead to the injury of the workforce. The explanation starts
with the Accident/Incident box.
(a) Accident or Incident
An accident has been defined as an undesired and unplanned event.

Accidents may cause persona] injury or property damage or both. Equally,
accidents may occur where neither injury nor damage takes place and this is
called an Incident. Incidents are increasingly investigated to provide control
mechanisms which when implemented are designed to alleviate future
accidents.
The important point about the word ‗unplanned‘ is that it allows consideration
of both health and safety issues. People readily equate accidents with safety
- or rather the Lack of it! Accidents and health however seem somehow
different to most people. If we accept that the definition of an accident is ―an
undesired and unplanned event‖ then health problems do fit the definition.
Nobody sets out deliberately to contract silicosis; dermatitis or work related
upper limb disorders. When these conditions occur they are unplanned
events: they are accidents.
The major difference between health issues and safety issues is one of
timescale. Safety accidents occur very quickly and recovery time is normally
short. Health accidents occur slowly and recovery time is equally a lengthy
process.
Manger are concerned with determining the causes of accidents and taking
corrective action to prevent further occurrences. This is reactive
management - the manager reacting to the accident or incident situation.
Interesting though accidents are, they are not the prime concern of managers.
Accident prevention is the prime concern. This means that attention must be
paid to the causes of accidents - namely the hazards of the situation. This is
proactive management. In an ideal world there would be no hazards and
hence no accidents. We live in a less than ideal world and the total
elimination of hazards is an impossible dream. What managers must do is to
reduce to an acceptable level the risk of any hazard turning into an accident.
The words -hazard and risk – are considered on more detail.

(b) Hazard
A hazard has been defined as ―an exposed danger; a condition of practice

with the potential for loss‖ (Gilbertson 1991). This equates well with the
model where hazards are separated into two types:
(i) Unsafe working conditions, and
(ii) Unsafe working practices.
(i) Unsafe Working Conditions
Unsafe working conditions are those physical conditions of the workplace that
render it unsafe. The principal means the manager has for removing such
unsafe conditions is to ensure that their staff carry out regular safety
inspections. Rather more formal is carrying out a safety audit. A safety
auditor checks that documented standards and procedures are being adhered
to and examines records and certificates. A certificate, which is due to expire
shortly, is an indication that an unsafe condition may exist. Similarly, a
record, which shows that a particular piece of machinery has not been
examined, recently will indicate a possible unsafe condition.
An analogy can be made with car maintenance. A nearly expired MOT

certificate is evidence that a car may be becoming unsafe. Similarly, a
regular schedule of services is likely to maintain a car in a safe condition.
(ii) Unsafe Working Practices
Unsafe working practices are those practices, which human beings perform
which are hazardous. Included here are unsafe omissions, the practices that
human beings do not perform but which can be hazardous to them. Unsafe
acts include rushing, taking short cuts, horseplay and the abuse of drink or
drugs in the workplace. Unsafe omissions include the failure to wear
protective equipment or the failure to follow a safe system of work.
Unsafe acts may be reduced by the application of many techniques. For the
model the techniques can be limited to six and to remember them use the
mnemonic M A S T E R that expands to:

M Motivation
A Awareness
S Supervision
T Training
E Education
R Rules and Regulations.
(c) Risk
Risk has been defined as ―the chance of loss arising from exposure to the
hazard‖ (Gilbertson 1991). The same source has defined magnitude of risk
as ―the likelihood of an event resulting in loss coupled with the likely severity
of the outcome‖.
Gilbertson gives the following excellent example of these definitions in action:
A trailing cable is a hazard and the associated risk is the chance of a trip or a
fall over the cable, accompanied by a degree of injury. The magnitude of risk
is an estimate of how likely this is to happen with an assessment of the likely
severity of injury. The same hazard may present different magnitudes of risk.
For example:
Hazard Position Magnitude of

Risk
1 Trailing cable around edge of room Low
2 Trailing the cable across the floor Medium
3 Trailing the cable across head of High
stairway
As a manager the expectation is that your action will reduce hazards in both
proactive and reactive situations. Using assessments of magnitude of risk
allows you to attach priorities to your intended actions, tackling the high risk
problems first.

(d) Investigation
Managers at all levels within organisations become involved with accident

investigations. Unfortunately, although everyone attempts to determine the
causes of accidents they frequently fail to distinguish between:
• The cause of the accident, and
• The cause of the injury.
For example an investigation may reveal the following facts:
• An injured person is found lying unconscious on the ground.
• Witness statements, diagrams and job cards reveal that the injured
person was working on a ladder at the time of the accident.
Problem solved decisions made confirm - the cause of the accident is a fall
from a ladder.
WRONG!
The cause of the injury is the fall from the ladder.
The cause of the accident is why the individual fell from it!
A second factor to consider with investigations is whether you are dealing

with facts or assumptions. It is all too easy to make assumptions, especially
under the stress of investigating an accident involving serious injury.
Another easy trap to fall into is that of finding someone to blame. During an
investigation the only criterion is to assemble facts and come up with a likely
cause of the accident. Blame is not a concern and personal feelings must be
subdued. It is for others, possibly a Court of Law to allocate blame, not
managers.
(e) Reports and Recommendations
This aspect of the model is crucial to managing health and safety issues.
Report writing skills are necessary as are the analytical skills to arrive at
acceptable recommendations.

The Expanded Model
IDENTIFYING
HAZARDOUS
CONDITIONS
UNSAFE UNSAFE
WORKING HAZARDOUS WORKING
CONDITIONS ENVIRONMENT PRACTICES
Examination Motivation
of records Awareness
Previous Supervision
Inspections Training
Audits Education
Rules/Regulations
RISK
SITUATION
Likely Loss
Severity of Outcome
Risk Assessment
Completed
Controls Established
Documentation
Published
ACCIDENT OR
INCIDENT
Safety – Short Term
Health – Long Term
INVESTIGATION
Do Not Assume
Do Not Blame
REPORT
AND
RECOMMENDATIONS
CORRECTIVE
PROCEDURES WITH
STANDARD
OPERATING
PROCEDURES

Managing Health and Safety
Management theorists state, ―The primary duty of business is to survive and

the fundamentals of business economics is not the maximisation of profit but
the minimisation of loss‖. A statement very reflective of the ethos behind
effective health and safety
Managerial activity involves planning, organising, controlling, monitoring and

reviewing activities to achieve predetermined objectives. One of the root
causes of most accidents is the failure of management to plan, organise,
motivate and control with many organisations failing in the past to apply these
principles to health and safety, adopting a reactive stance rather than
identifying needs and setting objectives. The reactive stance has simply been
to accept consequences of poor health and safety rather than invest and
eliminate costs associated with prosecution or litigation. The management of
health and safety is often management by exception. Unless managers are
confronted by immediate issues, such as accidents causing personal injury,
incidents or matters of concern raised by employees, health and safety is
assumed to be under control. The absence of clear direction from the senior
levels combined with lack of knowledge of how to manage health and safety
result in a reactive approach.
The organisations, which PLAN, ORGANISE, MOTIVATE and CONTROL

effectively with regard to safety improve progressively towards excellence in
health and safety performance. Commercially successful companies often
excel at health and safety management by bringing basic management
expertise to bear on health and safety. The requirement for this to be fully
effective relies on top management and directors support to the health and
safety process.
General Management Duties
Management need to follow basic principles to satisfy duties, these can be

simply summed up as action to:
- Identify objective and commit to print

- Devise strategies and tactics to meet objectives
- Implement strategies and tactics
- Control and monitor
- Review and revise the systems
- Set the next phase of objectives
The management of health and safety must be considered an integral part of‘
any manager‘s responsibility being given equal priority with other
responsibilities. The ultimate goal in managing safety is to carry out business
without risk to the health or safety of anyone. This zero risk situation is
unlikely ever to be attained due to human influences but the aim must be one
of continuous improvement to minimise risks in the workplace.

As with all other aspects of management, the important of setting clear

measurable health and safety objectives is critical. Only when managers are
committed to achieving objectives will real progress be made in the reduction
of the considerable time and financial losses, resulting from accidents and
incidents, even those that appear to be of a minor nature.
Resources are limited in all management functions even for health and safety.
The credibility of a safety management programme would be severely
damaged by setting objectives which place an undue burden upon the
organisation; or setting objectives which cannot be justified on legal, financial
or moral grounds. It may not be possible to demonstrate cost effectiveness
but the convincing case must exist. When setting objectives it is essential to
be proactive and considered the true sources of problems. For example, it
would be wasteful to set an objective to have all employees trained in
chemical handling techniques if the basic problem is automate controls or
remove the substances from the process.
In some cases it can be a useful exercise for safety objectives to be set as

part of a joint consultation exercise; however, it is the role of senior
management to set objectives for the organisation. Objectives should be
recorded. The detailed planning and organisation to meet the objective must
also be recorded and provided to those involved.
Basic Health and Safety Aims
Health and Safety at Work is achieved by the prevention of accidents and ill
health. Prevention should be given the same priority as other matters such
as quality, progress and profit, for the following reasons:
Humanitarian
Past experience has shown that most accidental deaths, injuries and illness
could have been prevented. There are few people who would not care if their
action or inaction was shown to result in suffering by someone else.
Attitudes in society are increasingly focusing on health, safety and

environmental issues. The media regularly expose instances of people‘s
health and safety being placed at risk.
Linked with the humanitarian objective of accident prevention is employee

morale, customer relationships and public relations, all of which can be
adversely affected by a poor accident or ill health record.

Legal
There is a vast amount of health and safety legislation covering all aspects of
work, which places health, safety and environmental duties on employers and
employees. Additionally countries have a legal system for compensation of
persons who have suffered injury or ill health.
Costs
One of the fundamental barriers to the improvement of safety is the difficulty

in identifying the cost benefits of safety improvements. Such improvements
are seen as bottom line expenditure which can only be justified where there is
a clear legal obligation. The savings made by such improvements are less
easily identified for three reasons:
- The cost of injuries/damages are rarely estimated:
- Many accidental losses are not recognised as such, the losses are
simply absorbed into various budgets;
- There is rarely adequate information from which to calculate a

reduction in accidental loss.
Insurance
Insurance claims under employers liability insurance have outstripped

premium increases in recent years, partly due to increased public awareness
and concern about health. People are
also more ready to claim for compensation, additionally legal costs arc
continuing to rise. These factors are causing great concern among insurers
who fear the future cost of today‘s health hazards (particularly issues such as
work related upper limb disorder and passive smoking). Employers liability
insurance premiums can rise dramatically for employers who cannot show
evidence that risks are being managed; some companies may well become
uninsurable. Employers liability insurance is a legal requirement; without it a
company cannot trade.
Many of the cost factors listed above are not covered by insurance. A recent
study showed that uninsured losses were between 8 to 36 times greater than
insured losses.

1 Unit Injury,
Insured Damage, Loss
Costs Health
8 - 36 Unit
Uninsured
Costs Legal costs
Clerical effort
Fines
Production delays
Investigation time
Product and material
damage
Plant and building damage
Tool and equipment damage
Expenditure on energy
supplies
Clearing site
Overtime working and
temporary labour
Supervisors‘ time
Loss of expertise/experience

Health and Safety Legal Framework
Law can be defined as the ―rules of human conduct imposed upon and
enforced among the members of a given state". The purpose of law is to
ensure some form of social order. Rules of law are drawn up to ensure that
members of a society may live and work together in an orderly and peaceful
manner.
Statute and Common Law are applicable in the field of health and safety.
Both types of law have originated over the centuries from the Common Law of
Scotland, England and Wales.
Origins of Law
In Anglo-Saxon times there were different legal systems in all locations parts
of the United Kingdom. The laws were based on local customs and traditions
with local courts of law where cases were heard. These courts dealt with
criminal offences such as murder, theft and violence and also civil claims
concerning ownership or possession of land, goods, chattels or cattle. The
procedures in these courts were primitive. Trial by ordeal was not
uncommon. This may have involved ducking the defendant in a pool to
determine their guilt or innocence.
Present English law developed after the Norman Conquest, similar processes
evolved in Scotland. Representatives of the King were sent out from
Westminster to check on local administration. These representatives made
records of the land and wealth of the county, collected taxes and adjudicated
in disputes brought before them. In the reign of Henry 11 (1154-89) the
system was formalised and the country divided into geographic circuits that
the itinerant Justices travelled on a regular basis. On completing their circuits
the Justices returned to Westminster and discussed their cases.
Initially, the judges applied the law arising from local customs and traditions
but gradually they began to accept the reasonable customs and reject the
rest. At the same time, whenever a new problem of law was resolved, a rule
was formed and all other judges subsequently followed this. This eventually
developed and led to the establishment of a uniform pattern of law throughout
England with an independent system in Scotland following a similar process.
‗Common Law ‗, therefore, evolved from the varied and different customs of
Scotland, England and Wales.

The legal system of today in Britain has a‘ Constitutional Monarchy‘. The

Head of State, the Monarch, acts in accordance with the will of the
Government of the day, the Prime Minister and Cabinet, which in turn is
responsible to Parliament. Parliament is composed of representatives of the
people elected by popular vote. The main source of law today is legislation
made by parliament. Legislation may take the form of Statutes or Acts of
Parliament and Delegated Legislation, mainly in the form of Statutory
Instruments. The Parliament itself has delegated some powers to geographic
assemblies, which can frame some components of the legal system directly
affecting their territory. Legislation has encompassed or formalised many
areas of Common Law.
Statute Law consists of Acts, which are debated and made, in Parliament, or
the delegated assemblies, within the parameters of delegated powers. An
Act of Parliament may provide the framework for the objectives of the
legislation that can then be developed further by the addition of regulations.
Statutes impose a number of legal duties on an employer; failure to comply

with these duties may give rise to criminal liability with punishments being
both custodial and financial.
Regulations (Statutory Instruments)
Many Acts of Parliament confer power on a Secretary of State or Minister of

the Crown to make Regulations, also known as Statutory Instruments. These
specify the more detailed rules of the parent Act. Regulations arc called ‗
subordinate ‗ or ‗ delegated ‗ legislation because the power to make them is
delegated by an Act of Parliament through an ‗Enabling Act‘. Parliament does
not debate regulations so they can be made quickly. This allows legislation to
reflect the morality and needs of the day, unlike statutes which reflect the
general principles of the law. Although Parliament does not debate
regulations, they are legally binding.
The most important Statute in the area of health and safety is the Health and
Safety at Work etc. Act 1974. Section 15 of this act enables new health and
safety regulations to be made under delegated powers. The Noise at Work
Regulations 1989 and The Electricity at Work Regulations 1989 are examples
of such regulations, which are usually introduced by the Secretary of State for
Employment in consultation with the Health and Safety Commission, (HSC)
and industry.
Regulations are written in the same complicated, legal jargon as the statutes
that enable them to be in place. To define the regulations in language that is
easier to understand by employers approved codes of
practice and guidance notes are issued.

Approved Codes of Practice
These Codes of Practice are issued by the HSC (Health and Safety
Commission) and approved by the Secretary of State. They provide practical
guidance on the requirements, which are set out in the legislation. Although
approved codes of practice are not legally binding, they are used as a
minimum standard against which judgements can be made in a court of law.
Guidance Notes
The Health and Safety Commission (HSC) or the Health and Safety Executive
(HSE) issue guidance notes, as opinions on good practice. They are not
legally binding but they are also used in court as a minimum standard for
benchmarks in decision-making.
Criminal Liability
In the field of health and safety as covered by the Health and Safety at Work
Act etc 1974, a breach of Statute Law is a criminal offence. The accused is
liable to be prosecuted before a criminal court and if found guilty, can be
sentenced by custody or fine or both. In areas of health and safety this
historically has taken the form of a fine rather than imprisonment. Criminal
offences relating to health and safety at work arise from a failure to comply
with legal duties imposed by statutes or regulations.
Legal duties are also referred to as legal standards. There are a number of
duties imposed by statute on employers in health and safety to ensure that
they respond to hazards in certain ways. These are:
• Absolute duties;
• The duty to do what is practicable; and
• The duty to take steps that are reasonably practicable.
In addition to these duties the employer shares with the employees:
• The duty to take ‗reasonable care‘.
Absolute Duties
It is a statutory duty that the employer must take safety precautions when it is
deemed that the risk of injury is inevitable; if they do not they fail in their duty.
For example, regulation 5(1) of the provision and Use of Work Equipment
Regulations 1992 states that ‗Every employer shall ensure that work
equipment is so constructed or adapted as to be suitable for the purpose for
which it is to be used or provided‘. Absolute duties use the words shall or
must.

Practicable Duties
It is a statutory duty that the employer must take safety precautions ‗so far as
is practicable‘. This means that safety precautions must be taken if it is
possible to do so despite the fact that implementation might be difficult,
inconvenient or expensive. For example, in Regulation 10 of the
Woodworking Machines Regulations 1974, it is a requirement that there shall
be provided around every woodworking machine sufficient clear and
unobstructed space to enable, in so far as is thereby practicable, the work
being done at the machine to be done without risk of injury to persons
employed‘.
Reasonably Practicable Duties
It is a statutory duty that the employer must take safety precautions ‗so far as
is reasonably practicable‘. In this instance, the employer has to weigh up the
risks involved in a particular situation against the costs of removing or
reducing the risk. The requirement to be reasonably practicable has legal
consequences but is evaluated against economic and moral consequences.
The Duty of Reasonable Care
Under Section 7 of the Health and Safety at Work

etc. Act 1974, it is a statutory duty that every
employee has to demonstrate a standard of care
which one would expect from a reasonable person
having regard for the possible consequences of their action
if that care is not exercised. A higher standard of care is
expected from someone having greater knowledge, skills and
experience. For example, a supervisor would be expected to demonstrate a
higher standard of care than a trainee.

Common Law
Common Law is the traditional, judge made law which has not been
superseded by Acts of Parliament. Common Law is accumulated case law,
which is underpinned by the doctrine of Judicial Precedent. When a judge
decides a case, they state reasons for the decision and this reasoning will set
the precedent for other judges to follow in future, similar case circumstances
within the hierarchy of the court structure. The principles and rules of
Common Law are, therefore, contained in the previous decisions of Courts,
which are recorded in the law reports, gazettes and Hansard.
The main duty of Common Law is that everyone owes a duty to everyone else
to take reasonable care so as not to cause him or her to suffer a reasonably
foreseeable loss. Failure to comply with this Common Law duty usually gives
rise to Civil Liability. The area of Common Law most relevant to health and
safety at work is that of the Tort of Negligence.
Civil Liability
Civil liability arises from an act or omission that the law regards as giving an
individual, company or organisation the right to present a legal claim against
another.
Tort
A ‘tort‘ is a civil wrong. It allows a person who has suffered loss or damage
(the plaintiff) due to the act or omission of another person (the defendant), to
recover damages in the form of compensation from the defendant in order to
restore the plaintiff, as near as is possible, to his original position (in a
financial claim) before the tort occurred.
Tort of Negligence
If a person fails to take reasonable care, as defined by the main rule of

Common Law and this failure results in harm to another, then, that person is
negligent. The injured party may be entitled to sue for compensation.
In order to succeed in a civil action for the tort of negligence, the plaintiff must
prove:
• The defendant owed him a duty of care;
• The defendant failed in that duty; and
• The breach resulted in loss by injury, disease or death.

Res ipsa loquitur, let the facts speak for themselves, is used occasionally by
the courts. The circumstances presented to the court being such that they
obviously indicate negligence. It is then up to the defendant to prove that
there was no negligence.

Civil Action Based on Breach of Statutory Duty
When duties in statute law are breached, the usual sanction is punishment in
the criminal courts. If the breach of statutory duty results in injury or illness to
an employee, the employee may in some circumstances be able to sue for
compensation on the basis of that breach.
In order to succeed in an action for breach of statutory duty, the plaintiff must
prove that:-
• The statute was designed to prevent the loss, injury, disease or death
in question;
• The defendant was in breach of the statutory duty;
• The breach caused the loss, injury, disease or death; and
• The plaintiff is the class of person which the statute was

designed to protect
Not every breach of statutory duty is actionable as a tort. For example, the
Health and Safety at Work etc. Act 1974 precludes civil liability as
a result of breach. If an injury occurs the plaintiff has to first prove
negligence in order to obtain compensation.
Over the years an accumulation of precedents have lead to the

formation of additional Common Law duties applicable to employer
and employee. Failure to comply with any of the duties can give
rise to civil liability but there is no automatic right to compensation.
The plaintiff has to prove on the balance of probabilities that the defendant
was negligent or in breach of statutory duty. In many cases the injured
employee sues the employer simultaneously for negligence and breach of
statutory duty. If he succeeds, he is entitled to compensation only once. The
employer can raise a defence against the plaintiff but if it fails, the plaintiff
may receive compensation. According to the Limitation Act 1980, actions for
damages must be made within 3 years of the date of the accident in the case
of injuries and within 3 years of the date of diagnosis in the ease of industrial
diseases.

Differences Between The Criminal and Civil Courts
CRIMINAL CIVIL
Remedy: Remedy:
Prosecution by the State Action for damages
Action brought in the Civil Courts
Prosecution in the Criminal Courts
Purpose: Purpose:
Punishment Compensation
Only the court can withdraw action Action can be withdrawn at any time
once it has started
The accused is presumed innocent There is no presumption favouring

until proved guilty ‗beyond either side. The case is decided on
reasonable doubt‘ the balance of probabilities‘
Indictable cases are tried by jury Nearly all cases are heard by a
judge alone
Limitation Acts do not generally Limitation Acts apply

apply
Employer’s Duties
1 The employer must take REASONABLE CARE to protect his employees

from the risk of reasonably foreseeable injury, disease or death at work by
the provision and maintenance of:
• A safe place of work, including safe access and egress;

• A safe system of work;
• Safe plant and equipment; and
• Safe and competent fellow employees.
Wilsons & Clyde Coal Ltd v. English 1938
2. The employer must show the standard of care expected from the
REASONABLE and PRUDENT employer. They must keep reasonably
abreast of developing knowledge and not be too slow to apply it. The
employer‘s duty of care is owed to each employee as an individual.
Therefore, a higher standard of care is owed to any employee who is
particularly vulnerable.
Stokes v. Guest Keen and Nettlefords (GKN) Ltd 1968
3. The relationship between employer and employee is that of master and

servant. The master is responsible for the acts of his servant. People are
servants in the course of their employment when they are carrying out
activities for the benefit of their employer. If an employee, whilst acting in
the course of their employment, negligently injures another employee, then
the employer may be liable for the injury. The injured party would bring
their action for damages against the employer on the grounds that the
employer was VICARIOUSLY LIABLE for the negligence of their employee.
Staveley Iron and Chemical Co. Ltd. v. Jones 1956
It must be noted that an employer is not liable for torts committed by their
servants if those servants were not acting in the course of their employment.

Employee’s Duties
An employee has to demonstrate a standard of care one would expect from a

reasonable person having regard for the possible consequences of their
action. A higher standard of care is expected from someone having greater
skills, knowledge and experience supervisors and managers for example.
Defences
Employers do have a number of defences open to them which they may

plead if an employee takes them to court for failing to fulfil their duties. They
are:
1. Sole Fault of the Plaintiff
If it can be shown that the injury was the sole fault of the employee, then the
employer may not be liable.
Smith v. A Baveystock & Co. Ltd 1945
2. Volenti Non Fit Injuria - ‗To one who is willing no harm done‘.
The employee agreed to run the risks associated with the employment,
therefore, the employer cannot be held totally responsible.
ICI Ltd v. Shatwell 1964
3. The Breach of Duty Did Not Cause the Damage
An employee has to prove that the breach of statute was the predominant
cause of their injury and not their own failure to act in the interests of their
personal health and safety.
Corn v. Weir‘s Glass (Hanley) Ltd 1960
4. Contributory Negligence
This is a partial defence. If a person is injured partly because of their own

fault and partly due to the fault of another, the compensation is reduced to the
extent that the plaintiff was responsible.
Uddin v Associated Portland Cement Manufacturers Ltd 1965

5. Limitation Act
All civil rights of action must he started within the time limits laid down by the
Limitation Act 1980.
Davis v. Ministry of Defence 1982
Compensation
The aim of compensation is to restore the plaintiff to their original position as

if the breach had not occurred.
‗Where any injury is to be compensated by damages, in settling the sum of

money to be given, the defendant should as nearly as possible receive the
sum of money which will put them, in the same position as they would have
been if he had not sustained the wrong‘.
Livingstone v. Rawyards Coat Co. 1880
It is easier to calculate the value of damaged property than injury to people;

the calculation of right to, and value of, compensation is considerably more
complex. Generally, compensation is calculated by assessing:
• The loss of earnings due to the accident;

• The loss of future earning capacity;
• Medical expenses;
• Cost of specialist assistance, if relevant;
• Pain and suffering;
• The loss of amenity, i.e. the ability to enjoy usual leisure activities; and
• The loss of life expectancy.

The Health and Safety at Work etc. Act 1974
Health and safety legislation, prior to the Health and Safety at Work etc Act
1974, consisted of a series of statutes that had been introduced to meet a
need highlighted by an accident, experience or disaster. The most significant
pieces of early health and safety legislation were:
The Health and Morals of Apprentices Act 1802
Imposed duties, which were loosely applied by visitors appointed to factories

by local magistrates.
The Factory Act 1833
Established 4 official factory inspectors for the whole of England and Wales
who were given powers of entry and enforcement.
The Factory and Workshop Act 1901
A Minister or Secretary of State was appointed to authorise regulations, which

dealt with hazards in certain industries
The Factories Act 1937
Eliminated the distinction between the different types of factory and laid down
provisions for health, safety and welfare at work
The Factories Act 1961 and the Offices, Shops and Railway Premises Act
1963
Components of both of these acts are still in force covering the health, safety
and welfare of large groups of workers.
All of the above legislation contributed to and provided the framework for
legislation that was subsequently formulated and introduced in the United
Kingdom in1974. The Health and Safety at Work etc. Act 1974 is based on
the proposals made in the Report of the Committee on Safety and Health at
Work, commonly known as The Robens Report. This report was published in
1972. It proposed a series of changes in the law and
administration relating to occupational health and
safety at work.

The Robens Report
The Robens Report proposed:
1. The introduction of an ‗Enabling Act‘, which would place broad general

duties on:
Employers;
Employees;
Manufacturers of industrial products;
The self employed; and
Occupiers of buildings where people worked.
2. The Act would provide the framework of health and safety legislation to
which more specific regulations and approved codes of practise could be
added after consultation with industry.
3. The Health and Safety Executive (HSE) would replace all other
inspectorates and co-ordinate legal enforcement
4. The formation of a policy making body, the Health and Safety

Commission, (HSC). This should consist of representatives from
employers, employees, local authorities and educational establishments.
They would submit proposals to the Secretary of State after consultation
and these would form the content of new regulations.
5. The HSE Inspectors should be given wider powers, including the issue of
improvement and prohibition notices.
6. It should be the responsibility of management and employees to work

together to produce adequate health and safety standards and not the
responsibility of statute.
This Act was at introduction revolutionary in the field of health and safety
legislation. For the first time, a system has been designed to deal with health
and safety in the workplace, applicable to all groups of workers and protection
of the public from work activities. Major principles of the Robens Report have
been incorporated into the legislative framework to promote, stimulate and
encourage high standards of health and safety at work.
1. The enabling Act has placed broad general duties particularly on

employers and employees but also on the other classes of people
identified in the report.

2. Much of the content of the Act deals with the administrative bodies that
have been established to deal with the powers of inspection and
enforcement. The HSC consists of representatives from both sides of
industry and local authorities. It takes over the responsibility for
developing health and safety polices from government departments,
although it does need the consent of the Secretary of State for
Employment to authorise new regulations and approved codes of practise.
3. The HSE is appointed by the HSC and is responsible for enforcing legal
duties and providing advice to industry. The HSE Inspectorate enforce the
legal standards and have the power to prosecute.
4. There is provision for proper management and employee consultation in

matters of health and safety in the form of Safety Representatives and
Safety Committees.
Section 1
The aims of the 1. Secure the health, safety and welfare of people at work.
Act are to: 2. Protect others against health and safety risks arising
from work activities.
3. Control the acquisition, keeping and use of explosive
and highly flammable substances.
4. Control the emission of noxious or offensive substances
into the atmosphere
Section 2
Duties of 1 It is the duty of every employer to ensure, so far as is

Employers reasonably practicable, the health, safety and welfare at
to Employees work of all his employees. An employer must do this by
providing:
2(a) A safe plant and systems of work:
(b) The safe use, handling, storage and transport of
articles and substances;
(c) Necessary information, instruction,., training and
supervision;
(d) A safe place of work including safe access and
egress;
(e) A safe working environment.
3 An employer with more than five employees has a duty
to prepare and revise a written Health and Safety Policy.
This must be divided into three sections:
i) A statement of intent, which shows the employer‘s
commitment to health and safety.
ii) The structure of the organisation, which has to
implement the policy.
iii) The arrangements necessary to implement the
policy. Once the Safety Policy is completed, it is
the duty of the employer to ensure that it is brought

to the attention of the employees.
4 The appointment of Safety Representatives.
6 Provision for employee/management consultation.
Section 3
Duties of 1 It is the duty of every employer to ensure that people not

Employers to in his employment but who may be affected by his work
People other than activities, are not exposed to risks which may affect their
Employees health and safety.
3 It is the duty of every employer to provide information
regarding any risks which might affect those not in his
employment
Section 4
Duties Relating to It is the duty of people who are in control of premises but
Premises do not have any employees to provide safe premises, plant
and substances.
Section 5
Duties Relating to It is the duty of people who are in control of premises

Premises where manufacturing or processing are carried out, to
eliminate or render harmless noxious or offensive
emissions of substances.
Section 6
Duties of i) Design and construction of equipment must be safe and

Manufacturers, without risks to health when being installed, used,
Designers, cleaned or maintained.
Importers and ii) Substances must be safe when being used, handled,
Suppliers processed, stored, or transported.
iii) Articles and substances should be examined and
tested.
iv) Information regarding the use and risks to health and
safety should be supplied and updates produced and
supplied when necessary.
Section 7
Duties of It is the duty of every employee whilst at work to take

Employees reasonable care for the health and safety of himself and to
co-operate with his employer so far as is necessary to
enable them to carry out their statutory duty.

Section 8
No person shall interfere or misuse anything provided in

the interests of health and safety.
Section 9
An employee cannot be charged for anything, which is

done or provided to meet any statutory requirement.
Section 10- 14
The establishment and functions of the Health Commission

and the Health and Safety Executive.
Section 15
The gradual replacement of previous health and safety

standards, for example in the Factories Act 1961 and the
Office, Shops and Railways Act 1963, by revised and
updated measures is provided for. This is done by repeal
of statutes and their replacement with regulations and
approved codes of practice
Section 16- 17
Allows the HSC to approve Codes of Practice that can

then be referred to in a Court as evidence that a statutory
requirement has not been complied with unless the
accused can satisfy the Court that the statutory
requirement was complied with in a different way to that
detailed in the Code.
Section 18
The HSE are responsible for enforcement other than at

premises, which are described in the Health and Safety
(Enforcing Authority) Regulations 1989 which will be
covered by Officers appointed by the appropriate Local
Authority.
Section 19
Appointment of Expanded later in the text

Inspectors

Section 20 & 25
The Powers of Expanded later in the text

Inspectors
Section 21 – 24
Prohibition and Expanded later in the text

Improvement
Notices
Section 33
Offences and i) Conviction by a Magistrates Court or Sheriffs Court can

penalties lead to a fine of up to £20,000 for each offence
imposed.
ii) Conviction by a Crown Court or District Court can lead
to 2 years imprisonment and/or an unlimited fine per
offence.
Section 36
Offences due to Where the commission by any person of an offence under

the fault of other any relevant statutory provisions is due to the act or default
persons, of some other person, that other person shall be guilty of
e.g. junior the offence, and a person may be charged with and
management and convicted of the offence, by virtue of this sub section
visitors to whether or not proceedings are taken against the first
workplaces mentioned person.
Tesco Stores Ltd v Nattrass 1971
Section 37
Offences by the Where an offence under any of the relevant statutory

corporate body provisions committed by a body corporate is proved to
have been committed with the consent or connivance of, or
to have been attributed to any neglect on the part of, any
director, manager, secretary or other similar officer of that
body corporate or a person who was purporting to act in
any such capacity, he as well as the body corporate shall
be guilty of that offence and shall be liable to be proceeded
against and punished accordingly.
Armour v Skeen 1977
Section 40
Onus of proving what is practicable

Section 41
Evidence Collection and value of evidence in litigation
Section 47
Civil Liability There is no right to plead breach of statutory duty in

respect of a breach of Sections 2 - 8 of the Act in any civil
proceedings.
Section 48
Crown Properties Application of the Act to the Crown and properties

and Servants previously excluded from legislation
Section 52 & 53
Definitions Definitions of words and phrases used in the Act.

The Role of the Inspector
Prosecution is the Inspector‘s ultimate exercise of power and as such is used

sparingly and with discretion. The Inspector tries to enforce the relevant
statutory provisions through influence, persuasion, education, advice,
interpretation and general encouragement. It is the duty of the Inspector to
ensure that people:
• Identified under relevant statutory provisions recognise, understand

and accept their statutory obligations;
• Understand and carry out the methods of compliance in their

workplace;
• Investigate and notify accidents, dangerous occurrences, industrial

diseases and complaints regarding the health, safety and welfare at
work; and
• Rectify deficiencies or contravention‘s of the relevant Acts within

specified time limits. Failure to do so may result in the issue of
enforcement notices and/or legal proceedings.
The Inspector tries to achieve realisation of his duties by:
• Collaborating with management in planning and implementing

strategies to solve accident prevention problems;
• Influencing management to take the right kind of decisions when

formulating organisational objectives and policies;
• Provision of factual information regarding health, safety and welfare;

and
• Securing support and understanding of the work of the Inspectorate

and of the importance of accident prevention generally by industry and
the public.

The Powers of the Inspectorate
The powers of Inspectors are defined under Section 20 of the Health and
Safety at Work etc. Act 1974. The basic function of the Inspectorate is to
enforce the Act with any new Regulations, in the workplace. An Inspector
may:
1. Enter any premises at any time and without a warrant;
2. Employ the police to assist him;
3. Take equipment or materials with him to assist in his investigations;
4. Make examinations and investigations;
5. Direct that items be left undisturbed;
6. Take measurements, photographs and samples;
7. Remove and test any equipment, both on or off site;
8. Take statements, documents or records;
9. Demand the use of facilities and assistance; and
10. Serve Improvement and Prohibition Notices, which may give rise to
prosecution.
Improvement Notices
Improvement notices are issued under Section 21 of the Health and Safety at
Work etc Act 1974. They are issued if the Inspector is of the opinion that a
person has contravened one or more statutory provisions and that the
contravention is likely to be repeated. An Improvement Notice states:
• The relevant statutory provisions;
• The reason for the Inspectors‘ opinion;
• The remedial action required; and
• The period in which it is to be carried out.
A person on whom an Improvement Notice has been served has the right of
appeal to an Industrial Tribunal within 21 days. If an appeal is lodged, the
Improvement Notice is suspended immediately until the appeal is heard.

Prohibition Notices
Prohibition Notices are issued under Section 22 of the Health and Safety at
Work etc. Act 1974. They are issued if the Inspector is of the opinion that a
person or people arc at risk of immediate serious personal injury from an
activity. There need not be any contravention of any legal requirement. A
Prohibition Notice states:
• The matters giving rise to the risks;
• Any legal contravention‘s;
• Cessation of the specified activities until remedial action has been

taken; and
• When cessation should take place.
A person on whom a Prohibition Notice has been served also has the right of
appeal to an Industrial Tribunal, however, because the Inspector is of the
opinion that risk of serious personal injury is involved, the Prohibition Notice is
not suspended at any time.
Options Available to Inspectors
1) Give Verbal or Written Warning
2) Issue Improvement Notice
3) Issue Prohibition Notice
4) Institute Criminal Proceedings
5) Do Nothing
Offences
It is a SUMMARY offence to:
- Contravene HSC powers to direct investigations
- Intentionally obstruct an inspector
- Falsely pretend to be an inspector
- Hinder or prevent any person seeing an inspector
- Contravene any requirements imposed by an inspector

It is a SUMMARY or INDICTABLE offence for a person to:
- Fail to discharge any general duties
- Contravene sections 8 or 9 0f the act
- Contravene improvement or prohibition notice
- Use or disclose information given to the Commission
- Make a false statement
- Endorse documentation falsely
- Forge a document
Industrial Tribunals
Industrial Tribunals consist of a legally qualified chairman appointed by the

Lord Chancellor and two lay members, one from a trade union and the other
from management.
Industrial tribunals deal with the following health and safety matters:
• Appeals against enforcement notices
• Time off for safety representatives to be trained;
• Failure to pay for time off when training or carrying out their functions;
• Failure to make medical suspension payments; and
• Dismissal of an employee following a breach of health and safety

legislation.
Appeals Against Enforcement Notices
Appeals against improvement and prohibition

notices must be made to the industrial tribunal
within 21 days of its‘ issue. Appeals are made
on the grounds of time limits for compliance
and the law involved.
The tribunal can either cancel or affirm the

notice. If it affirms, it may do so either in its‘
original form or with such modifications as the
tribunal thinks fit.

THE WORKPLACE (HEALTH, SAFETY AND WELFARE) REGULATIONS

1992
These Regulations came into effect in two stages:
• For existing workplaces (prior to 31 December 1992) the regulations

took effect from 1 January 1996.
• For new workplaces, modifications, extensions or conversions (to

existing workplaces) the regulations took effect from 1 January 1993.
Workplace - Definition
―Workplace‖ means, any premises or part of premises which are not domestic
premises and are made available to any person as a place of work, and
includes:
- any place within the premises to which such person has access while
at work;
- any room, lobby, corridor, staircase, road or other place used as a

means of access to or egress from the workplace or where facilities
are provided for use in connection with the workplace other than a
public road.
A modification, an extension or a conversion shall not be a workplace or form

part of a workplace, until the modification, extension or conversion is
complete.
Any reference in these regulations to a modification, an extension or a

conversion is a reference, as
the case may be, to a modification, an extension or a conversion of a
workplace started after 3 1
December 1992.
Note ―Domestic Premises‖ means a private dwelling. Factories, shops,

offices, schools, hospitals, nursing homes, hotels, places of entertainment are
all covered by the Regulations. Some of these categories of workplaces were
not covered under earlier legislation now replaced.
Locations Not Covered by the Regulations
The following are not covered by the regulations:
a) Means of Transport
All operational ships, boats, hovercraft, aircraft, trains and road vehicles,
except that Regulation 13 applies to aircraft, trains and road vehicles when

stationary in a workplace (but not when on a public road). Non-operational

means of transport used as, for example, restaurants or tourist attractions,
are subject to these Regulations.
b) Mines and Quarries
Mines, quarries or other mineral extraction site, including those off-shore are
not within the scope of this legislation, they do not apply to any related
workplace on the same site.
c) Construction sites (including site offices)
Where construction work is in progress within a workplace, it can be treated

as a construction site and so excluded from these Regulations, if it is fenced
requiring alternate or specific access routes. If fencing is not available or
access is open these Regulations and Construction Regulations will both
apply.
d) Temporary Work Sites
At temporary work sites the requirements for sanitary conveniences, washing

facilities, drinking water, clothing, accommodation, changing facilities and
facilities for rest and eating meals (Regulations 20-25) apply, implemented
―so far as is reasonably practicable‖. Temporary work sites include:
• work sites used only infrequently or for short periods; and

• fairs and other structures which occupy a site for a short period.
e) Farming and Forestry
Agricultural or forestry workplaces that are outdoors and away from the
undertaking‘s main buildings are partly excluded. The exception is for the
requirements of sanitary conveniences, washing facilities and drinking water,
Regulations 20-22 apply, implemented ―so far as is reasonably practicable‖.
Employers‘ Duties
Employers have a general duty under Section 2 of the Health and Safety at
Work etc Act 1974 to ensure, ―so far as is reasonably practicable‖, the health,
safety and welfare of their employees at work. Persons in control of non-
domestic premises also have a duty under Section 4 of the Act towards
people who are not their employees but use their premises. The regulations
expand on these duties. They are intended to protect the health and safety of
everyone in the workplace and to ensure that adequate welfare facilities are
provided for people at work.

The following provisions are covered by the regulations:
Regulation 5 Maintenance of workplace, and of equipment, devices and

systems.
Regulation 6 Ventilation
Regulation 7 Temperature in indoor workplaces
Regulation 8 Lighting
Regulation 9 Room dimensions and space
Regulation 10 Workstations and seating
Regulation 11 Conditions of floors and traffic routes
Regulation 12 Cleanliness and waste materials
Regulation 14 Windows, and transparent or translucent doors, gates and
walls
Regulation 15 Windows, skylights and ventilators
Regulation 16 Ability to clean windows etc safely
Regulation 17 Organisation etc of traffic routes
Regulation 18 Doors and gates
Regulation 19 Escalators and moving walkways
Regulation 20 Sanitary conveniences
Regulation 21 Washing facilities
Regulation 22 Drinking water
Regulation 23 Accommodation for clothing
Regulation 24 Facilities for changing clothing
Regulation 25 Seating
Regulation 26 Facilities for rest
Regulation 27 Facilities for eating meals
Main Regulations Affecting the Workplace
The following are more prominent regulations.
a) Temperature
During working hours, the temperature in all workplaces inside buildings shall
be reasonable.
A method of heating or cooling shall not be used which results in the escape
into a workplace of fumes, gas or vapour of such character and to such extent
that they are likely to be injurious or offensive to any person.
The temperature in workrooms should normally be at least 16 degrees

Celsius unless much of the work involves severe physical effort, in which
case the temperature should be at least 13 degrees Celsius. These
temperatures may not, however, ensure reasonable comfort, depending on

other factors such as air movement and relative humidity. The temperatures
refer to readings taken using an ordinary dry bulb thermometer, close to
workstations, at working height and away from windows.
A sufficient number of thermometers shall be provided to enable persons at

work to determine the temperature in any workplace inside a building.
Thermometers should be available at a convenient distance from every part
of the workplace to persons at work to enable temperatures to be measured
throughout the workplace, but need not be provided in each workroom.
b) Space
No room in the workplace shall be so overcrowded as to cause risk to the

health or safety of persons at work in it.
The number of persons employed at a time in any workroom shall not be such
that the amount of cubic space allowed for each is less than 11 cubic metres.
In calculating for this the amount of cubic space in any room, no space more
than 4.2 metres from the floor shall be taken into account and where a room
contains a gallery, the gallery shall be treated, for the purposes of the
calculation, as if it were partitioned off from the remainder of the room and
formed a separate room.
c) Sanitary Conveniences (Existing Workplaces)
In existing workplaces where females work, there shall be at least one

suitable water closet for every 25 females.
In workplaces where males work, there shall be at least one suitable water
closet for every 25 males.
In calculating the number of males or females who work in any workplace,

any number not itself divisible by 25 shall be treated as the number.
d) Sanitary Conveniences (New workplaces)
Suitable and sufficient sanitary conveniences shall be provided at readily

accessible places and in accordance with the following:

Number of Number of Number of Number of

men at work water urinals washing
closets stations
01 - 15 1 1 1
16 - 30 2 2
31 - 45 2 2 3
46 - 60 3 4
61 - 75 3 3 5
76 - 90 4
91 - 100 5 5
Number of
people at
work
01 - 05 1 1
06 - 25 2 2
26 - 50 3 2
51 - 75 4 4
76 - 100 5 4
In the case of sanitary accommodation used only by males, the ‗Number of

People at Work‘ figures may be followed, as an alternative to ‗male only
information‘. A urinal may either be an individual urinal or a section of urinal
space that is at least 600 mm long.
An additional water closet and one additional washing station, should be

provided for every 25 people above 100 (or fraction of 25). In the case of
water closets used only by men, an additional water closet for every 50 men
(or fraction of 50) above 100 is sufficient provided at least an equal number of
additional urinals are provided.
Above shows the minimum number of sanitary conveniences and washing

stations that must be provided. The number of people at work shown in the
first column refers to the maximum number likely to be in the workplace at
any one time. Where separate sanitary accommodation is provided for a
group of workers, for example men, women, office workers or manual
workers, a separate calculation is made for each group.
e) Washing Facilities
Suitable and sufficient washing facilities, including showers if required by the

nature of the work or for health reasons, shall be provided at readily
accessible places.
‗Facilities‘ means sanitary and washing facilities; ‗sanitary accommodation‘

means a room containing one or more sanitary conveniences. ‗Washing

station‘ means a washbasin or a section of a trough or fountain sufficient for

one person.
Where work activities result in heavy soiling of the face, hands and forearms,
the number of washing stations should be increased to one for every 10
people at work (or fraction of 10) up to 50 people and one extra for every
additional 20 people (or fraction of 20) over 50 people.
Where facilities provided for workers are also used by members of the public,
the number of conveniences and washing stations specified above, should be
increased as necessary to ensure that workers can use the facilities without
undue delay.
f) Lighting
Every workplace shall have suitable and sufficient lighting by natural light so
far as is reasonably practicable. In addition to the provision of suitable and
sufficient artificial light, emergency lighting must be provided. In the event of
failure of artificial light and where persons at work are specially exposed to
danger the emergency lighting should be activated automatically or by alarm
systems.
g) Cleanliness and Waste Material
The furniture, furnishings and fittings in every workplace shall be kept

sufficiently clean. This includes floor, wall and ceiling surfaces. So far as is
reasonably practicable, waste material shall not be allowed to accumulate
except in suitable receptacles.
h) Workstations and Seating
Workstations shall be arranged to be suitable for any person to work in the

workplace. It must also be suitable for the particular work which is likely to be
carried out there.
So far as is reasonably practicable, outdoor workstations shall be arranged:
• to provide protection from adverse weather

• to enable anyone to leave it quickly in event of any emergency
• to ensure that any person at the workstation cannot slip or fall.
Suitable seating must be provided for everyone whose work includes

operations that can or must be done while sitting. The seat must be suitable
for the person using it and the types of work he or she is carrying out. A
suitable foot rest must be provided where this is considered necessary.

i) Drinking Water
An adequate supply of wholesome drinking water shall be provided for all

persons at work. This may be from mains supplies, bottled or through
fountains.
j) Traffic Routes
Every floor in the workplace and the surface of every traffic route shall be of a
construction that is suitable for the purpose for which it is used. The
requirements include that there shall be no hole or slope, be uneven and
slippery. The floor surface shall not expose any person to a risk to health or
safety.
Every floor shall have an effective means of drainage where necessary. So

far as is reasonably practicable, it shall be kept free from obstructions and
any article or substance that may cause a person to slip, trip or fall. In
considering whether a hole or slope exposes any person to a risk to health
and safety adequate measures have to be taken to prevent any person
falling. A handrail must be provided with any slope. So far as is reasonably
practicable, suitable and sufficient handrails and, if appropriate, guards, shall
be provided on all traffic routes that are staircases. The only exception is
where a handrail cannot be provided without obstructing the traffic route or
creating a safety hazard.
k) Falls or Falling Objects
Suitable and effective measures shall be taken to prevent any person from
falling a distance likely to cause personal injury. Suitable and effective
measures must be in place to eliminate the likelihood of any person from
being struck by a falling object likely to cause personal injury. Where there is
a risk to health and safety it shall be clearly indicated by signage where
appropriate. Every tank, pit or structure where there is a risk of a person
falling into a dangerous substance shall be securely covered or fenced.
l) Windows and Transparent or Translucent Doors, Gates and Walls
Every window, transparent or translucent surface in a door or gate shall be of

safety material or protected against breakage and be appropriately marked.
m) Windows, Skylights and‘ Ventilators
A window, skylight or ventilator which is capable of being opened, or likely to

be opened, closed or adjusted, must not expose any person performing such
an operation to a risk to their health and safety. No window, skylight or
ventilator when open is in a position that is likely to expose any person in the
workplace to a risk to their health and safety.

n) Ability to Clean Windows Safely
All windows and skylights in a workplace shall be of a design or construction

that they may be cleaned safely. Account may also be taken of equipment
used in conjunction with the window or skylight or devices fitted to the
building.
o) Organisation of Traffic Routes
Every workplace shall be organised in such a way that pedestrians and

vehicles can circulate in a safe manner. So far as is reasonably practicable,
traffic routes shall be
suitable for the persons or vehicles using them,

sufficient in number,
in suitable positions, and
of sufficient size.
Traffic routes will not satisfy these requirements unless pedestrians or

vehicles use a traffic route without causing danger to personal health and
safety. Danger must also be assessed to persons at work near routes
ensuring there is sufficient separation on any traffic route for vehicles, or
alternatively gates to and from traffic routes for pedestrians. Where vehicles
and pedestrians use the same traffic route there shall be sufficient separation
between them with users routes suitably indicated. The duty to provide
suitable traffic routes in existing workplaces is ―reasonably practicable‖. For
new workplaces the duty is absolute.
p) Doors and Gates
Doors and gates shall be suitably constructed fitted with any necessary safety
device deemed appropriate. Sliding doors or gates shall not comply unless
they have a device to prevent them running off tracks. Any upward opening
door or gate must have a device to prevent it falling back. Any powered door
or gate has an effective automatic feature that prevents it causing injury by
trapping any person.
q) Escalators and Moving Walkways
These shall function safely, be equipped with any necessary safety devices
and fitted with one or more emergency stop controls.
r) Accommodation for Clothing
Suitable and sufficient accommodation shall be provided for any person at

work‘s own clothing that is not worn during working hours. Special clothing
worn at work, which is not taken home, must separate personal clothing.

s) Facilities for Changing Clothing
Sufficient and suitable facilities shall be provided for any person at work to
change clothing. In all cases where the person has to wear special clothing
for the purpose of work, the person must, for reasons of health or propriety,
be allowed to change in a separate room designated for changing. Separate
facilities for use by males and females must be provided.
t) Facilities for Rest and to Eat Meals
Suitable and sufficient rest facilities shall be provided at readily accessible

places. The facilities shall include suitable locations to eat meals especially
where food eaten in the workplace would otherwise be likely to become
contaminated. Rest rooms and rest areas should include suitable
arrangements to protect non-smokers from the discomfort of tobacco smoke.
Suitable facilities shall be provided for any person at work who is a pregnant
or a nursing mother to rest.
Other Duties Under Regulation 4
a) Obligations under these Regulations
• Every employer shall ensure that every workplace which is under his
control and where any of his employees work complies with all
requirement of the regulations which applies to that workplace.
• Every person who has, to any extent, control of a workplace shall

ensure that such workplace complies with any requirement of these
regulations which applies to that workplace and relates to matters
within their control.
• Any reference in the regulation to a person having control confirms a

connection with the carrying on by them a trade, business or other
undertaking (whether for profit or not).
b) The Regulation Places Duties on:
• employers in control of workplaces. Depending on the wording of

particular regulations, the duty is owed either to ―persons at work‖ -
their own employees, self-employed people and employees of others
working in or at that workplace - or to all persons.
• persons in control to any extent of a workplace or part of a workplace

(e.g. common parts of a building, facilities used by the employees of
other persons or by the self-employed). The person in control is often
an owner or landlord. In assessing duties under these regulations,
account should be taken of the extent of a person‘s control (both of the
workplace as a whole and specific parts of it). Again, the duty is owed

to ―persons at work‖ or to all persons, depending on the particular

regulation.
Section 2 of the Health and Safety at Work etc Act 1974 places a duty on the
employer to ensure, ―so far as is reasonably practicable‖, the health, safety
and welfare of all their employees. This includes provision of a safe system
of work and of information, instruction, training and supervision.
Section 4 of the HSW Act also places duties on persons in control of

premises in relation to non-employees for safe access to and egress from the
premises with the safety of plant or substance in the premises.
Persons at Work in Workplaces Contracted or Outwith Their Employer

Control
Where employees work at or in workplaces in the control of others, their

employer is still bound by his duties under Section 2 of HSWA. This duty
involves taking any steps necessary to ensure, so far as is reasonably
practicable, that the facilities required by Regulations 20-27 are provided for
the use of their employees. This may be achieved by making arrangements
to use facilities already provided on site or where necessary to provide
temporary or mobile facilities.
The person in control of the workplace has an obligation under the regulations
to protect visitors to that workplace for example service engineers, from
hazards in that workplace which are addressed in the regulations. These
obligations extend fully, in the case of those concerned with safety rather than
welfare, to all persons.
In assessing the extent of the facilities to be provided, the employer in control

of the workplace should include in the calculation any employees of others
and any self-employed people who will be working there for more than short
periods. For example, where maintenance services are contracted out and a
number of the contractors‘ employees are on site full-time, they should be
included in the calculations. Account should also be taken of contractors who
are to be present for more than a short time for example installing plant
equipment over a period of weeks.

The Health and Safety Policy
Under Section 2 (3) of the Health and Safety at Work etc. Act 1974, all
employers who employ 5 or more employees have to compile a written health
and safety policy. In the case of employers engaged in a number of different
activities or where the operations are geographically widespread, the policy
may require formulation on more than one level. The highest management
level should compile the central principles of the policy while sub groups or
operational units interpret the policy in written form to suit their local needs.
The policy falls readily into three sections.
1. Statement of General Policy

2. The Organisation
3. The Arrangements
1. Statement of General Policy
The Health and Safety policy should:-
• Set the objectives for the organisation by communicating the beliefs

and commitment of senior management to health and safety and the
priority of health and safety relative to other business objectives.
• Explain how the policy can improve business performance (for

example by reducing accidents, injuries, ill-health, environmental
damage, losses and liabilities).
• Explain management‘s commitment to meeting statutory duty, thus

improving health and safety performance.
• Set out line management health and safety responsibilities with the
communication channels and showing the contribution that
employees can make.
• Identify the director or senior manager with overall responsibility for

formulating implementing and developing policy.
• State clearly management‘s commitment to supporting the health

and safety policy with adequate financial and physical resources and
to regularly review and maintain development of the policy.
• Be signed and dated by the managing director or chief executive of

the organisation.

2. The Organisation
This allocates responsibilities to individuals to ensure that the policy‘s

objectives are implemented. It should define, in sufficient detail the practical
guidance, with the following:
• Line management responsibilities;

• Specialist management responsibilities;
• Role of the individual employee to safeguard himself and others;
• Procedures for management/employee consultation;
• Means for allocating resources, both manpower and financial; and
determining priorities.
It would be advantageous to use job titles rather than name the people
responsible the latter could cause reprint problems on staff changes. A
solution might be to list the responsible people in an appendix that could
easily be reprinted.
3. The Arrangements
This provides practical systems and standards for implementation of the

policy. In general the approach is:
• What is to be controlled?
• What standard is required?
• How is the standard to be achieved?
• Who is responsible?
• What training is required?
• When are these activities to be conducted?
• What records are to be kept and where?
• Who is to monitor, how and when?
• To whom are reports to be forwarded?
Areas requiring statements of policy arrangements may include:
• Evacuation and emergency procedures;

• Fork lift trucks;
• Toxic hazards;
• Permits to work;
• Equipment maintenance;
• Accident reporting, investigation, statistics;
• Machinery guarding;
• Means of access and egress;
• Housekeeping;
• Radiation;
• Storage; and so on.
In some larger organisations it may be more effective to produce the policy in

two parts.
1. A concise statement of the general policy, organisation and

arrangements in a single document, distributed to all employees in
the form of a company safety handbook. This would make reference
to;
2. A more detailed document or collation of documents, which would be

available for review at a central location. The management of that
area would hold sections relevant to specific workplaces.
Once written, the health and safety policy has to be implemented throughout
the company to ensure that adequate health and safety standards are
achieved and maintained. Constant monitoring and publicising of the policy
increases individual employee awareness and emphasises the employer‘s
positive commitment to the health, safety and welfare of the workforce.
Monitoring the effectiveness of the Policy
To ensure that adequate health and safety standards are achieved and
maintained:
1. Designated individuals should state that monitoring will take place.
2. The frequency and type of monitoring should depend on the

operational needs of the organisation.
3. A check list should ensure that all relevant items are covered.
4. A monitoring system should provide data which is reported to senior

management and provides the basis for revisions to be made to the
policy.
5. Immediate monitoring should take place when there are:
(a) Changes in legislation;.

(b) Changes in process, procedure, manning level; or
(c) Significant accident trends or the occurrence of an occupational
disease.
Publicising the Policy
1. All employees and visitors must be provided with a copy of the general
statement
2. All statements should be written in a clear and simple style
3. The illiterate and non-English speaker should be taken into

consideration

4. To ensure that all employees understand their role within the policy,
the relevant sections should be discussed with them by their manager;
and
5. Use of suitable promotional literature should be provided, e.g. posters,

films, training sessions, briefing groups, notice board bulletins,
newsletters and safety committees.
However, the health and safety policies of many companies do not meet the
written or practical requirements necessary to convince HSE inspectors of
employer‘s commitments to health and safety. Inspectors have identified a
number of defects, which are common to many Health and Safety Policies.
Common Defects
1. Inadequate identification of the organisation responsible for

implementation
2. Lack of adequate detail in the arrangements for implementation
3. No laid down procedures regarding jobs, routine hazards or specific

hazards, and
4. An over emphasis on the responsibilities of employees for their own

safety.
Checklist Items Which Should Be Detailed In The Safety Policy
1. Responsibilities of management at all levels.
2. Duties of workers, including statutory and organisational rules.
3. Roles and functions of safety and health professional staff.
4. Allocation of finance for safety and health.
5. Systems used to monitor safety performance (not just injury recording).
6. Identification of main hazards likely to be encountered by the

workforce.
7. Arrangements (or cross-references) for dealing with the hazards.
8. Safety training policy, and details of implementation.
9. Design safety.
10. Fire arrangements, emergency procedures.
11. Occupational health facilities, including first-aid.

12. Environmental monitoring policy and arrangements.
13. Purchasing policy (for example, on safety. noise, chemicals).
14. Methods of reporting accidents and near misses.
15. Methods used to investigate accidents; accident statistics.
16. Arrangements for the selection and control of contractors.
17. Policy regarding personal protective equipment.
18. Arrangements for consultation with workforce.
19. The procedures for dealing with identified hazards associated with the
normal work of the company.
20. The identification of precautions and procedures for dealing with

special risks relating to types of site, building, processes and work
activities.
21. Safe systems and methods of work for all company activities including
maintenance and cleaning machinery and plant.
22. Provision and use of protective clothing and equipment.
23. Procedures for introducing new machinery or processes.
24. Assessments and planned control measures for substances hazardous

to health used or encountered by the workforce and procedures for the
introduction of new substances.
25. Facilities for the use and storage of highly flammable liquids, LPG and
other flammable or explosive substances.
26. Arrangements for obtaining and communicating to employees

information about health and safety matters, including the
requirements of the company policy. In particular the arrangements for
new employees and young persons.
27. Arrangements for health and safety inspections, reporting procedures,

safety audits etc. Flow the implementation of the Policy is monitored,
updated, improved etc.
28. Arrangements for welfare facilities and first aid.

The Health and Safety (Information for Employees) Regulations 1989
These Regulations were introduced to increase the information given to

employees by employers relating to the requirements of the Health and
Safety at Work etc. Act 1974. The main requirements of the Regulations
place a duty on employers to provide an approved poster which should be
displayed in the place of work or issue an approved leaflet to all employees.
The poster or leaflet should contain relevant extracts of the Health and Safety
at Work etc. Act 1974. In addition, the employer must provide the name and
address of the enforcing authority for the premises and the address of the
Employment Medical Advisory Service.
Regulation 1
Citation and Citation as above came into force 18 October 1989.

Commencement
Regulation 2
Interpretation and Defined terms used within the following Regulations. The
Application Regulations do not apply to the master and crew of a sea-
going ship.
Regulation 3
Meaning of a 1. The approved poster or leaflet means the form

revision to the approved by the HSE.
approved poster 2. The HSE may approve a revision, (in part or whole), to
and leaflet a poster or leaflet and publish the revised form.
3. Revision cannot take place for 9 months after the date
of approval.
Regulation 4
Provision of poster 1. An employer shall:

or leaflet (a) Ensure the approved poster is displayed in a
readable condition and is:
(i) Reasonably accessible to employees at work;
and
(ii) In a position to be easily seen and read; or
(b) Give employees an approved leaflet.
2. To comply with the Regulations, an employer has to
display the poster from the date of the Regulation or
issue a leaflet when an employee commences
employment or as soon as is reasonably) practical after
that date.
3. Where the form of poster or leaflet is revised, on or
before the date of revision, the employer:
(a) Shall ensure the revised poster is displayed or

(b) Where an employer has issued a leaflet, either issue
a revised leaflet or bring the revision to the notice of
employees in writing.
Regulation 5
Provision of further Where an employer uses either an approved leaflet or

information poster, they must clearly and indelibly write in the space
provided:
• The name and address of the Enforcing Authority;

and
• The office address of the Employment Advisory
Service.
Where changes in authorities or addresses occur, the

employer must bring this to the notice of their employees
within six months of the changes.
Regulation 6 Exemption Certificates
Exemption Exemptions will not be granted if the health, safety and

Certificates welfare of people are prejudiced by the consequences of
exemptions.
Regulation 7
Defence The accused will need to prove that they took all
reasonable precautions and exercised all due diligence to
comply with the requirements of the Regulations.
Regulation 8
Repeals, This Regulation has a schedule attached specifying the

Revocations and Title of Instrument, Reference and Extent of Repeal,
Modifications Revocation and Modification.

Sources of Information
An employer has a legal duty to provide health and safety information under
Section 2 (2) (c) of the Health and Safety at Work etc. Act 1974.
The following sources of information should be considered:
1. Legislation
Legislation provides the basic minimum requirements that an employer

should adhere to in the form of statutes and regulations. Specific legislation
covering all aspects of work does not exist. It would be impossible to
establish such a volume of statutory requirements. When referring to
legislation, a person should first consult the relevant specific Act followed by
any related Regulations. The general requirements of the Health and Safety
at Work etc. Act 1974 should be followed if more specific regulations do not
exist.
2. Approved Codes of Practice
The purpose of these is to provide practical guidance with regard to the

requirements of legislation. They are approved by the HSC with the consent
of the Secretary of State. They are admissible in evidence in proceedings
and act as a reasonably practicable standard against which the performance
standard of a defendant is measured.
3. Guidance Notes
These have no automatic legal standing but as they offer guidance which has
been assessed by an official body, they can be used as a minimum standard
in a court of law.
4. Health and Safety Executive Publications
The HSE drafts a number of documents on behalf of the HSC.
5. British Standards
A large number of these relate to safety, such as, BS 5304 Safe guarding of
Machinery and are an excellent source of detailed technical information.
6. Professional Institutes, Trade/Manufacturers Organisations
These often produce codes of practice, such as, British Standard 7670 (16th
Edition) which deals with electrical installation as well as a series of other
publications.

7. Manufacturers
Under Section 6 of the Health and Safety at Work etc. Act 1974,
manufacturers, suppliers and importers have an obligation to provide
information, which enables the users of their articles and substances to use
them safely.
8. Trade Unions and the TUC
A number of unions have produced guides for safety representatives and/or

appointed specialist staff. As well as producing a number of publications, the
TUC may be able to obtain information for safety representatives when other
sources fail. Requests for information from the TUC should be processed via
the individual trade union.
9. Independent Advisors
Advice can be obtained from independent sources such as universities,

polytechnics, professional institutes and safety organisations, such as
RoSPA.
10. Training Boards
As well as giving guidance on training standards their publications provide

substantial information.
11. Publications
There are a considerable number of books and leaflets on a wide range of

subjects.
12. Posters
The employer is obliged to display certain statutory notices. Posters from

commercial sources often supplement these. These can be used to remind
staff of general workplace hazards or to support a specific campaign.
13. Signs
These are passive reminders to staff of requirements that should be

explained during staff training. They may also provide information to visitors
who are not be familiar with a site.
14. Signals
Various warnings and informative audible and visible signals are often
installed.

15. Internal Sources
Information should be available from the company Health and Safety Policy,
task analysis data, work study records, direct observation, direct experience,
safety audits and accident investigation records, to name but a few.

The Six Pack
On 1 January 1993 several Regulations were introduced as a result of EU

Directives on Health and Safety. They became known as the ―six pack‘.
All are implemented under the Health and Safety at Work Act 1974 and apply
to most workplaces and work people. The objective of the legislation is to
improve the problems caused by around one thousand deaths, 1.5 million
injuries, 0.75 million reportable accidents, 2 million people with illnesses
believed to be work-related and 20 million lost working days. All this is
believed to cost around £5 billion a year.
These Regulations impose a duty on all who can contribute:
Employers
— Persons whose work could affect others

— Persons in control of premises
— Suppliers and installers
— Employees
— Managers and Supervisors
As a result of the six Regulations, which are often called ―daughter directives‖,
many Health and Safety Laws were repealed, including major parts of the
Factories Act; the Offices, Shops and Railway Premises Act; and many other
laws relating to specialised industries, such as herring curing, sack cleaning,
tanning and sanitary conveniences.
MANAGEMENT OF HEALTH AND SAFETY AT WORK REGULATIONS

1999
Application
The original Regulation came into force on 1 January 1993 under the
provisions of HSWA 1974 to enable the UK to implement the so called
―Framework Directive‖, which was made under the Treaty of Rome. It called
upon member states to encourage management to improve their attitudes to
health and safety. The schedule to these Regulations enforces the duty of
employers to consult and provide facilities and assistance to Safety
Representatives.
Suitable and Sufficient Assessments
The requirements are very wide and demanding on employers; Regulation 3

is one you should particularly note. It requires every employer to make a safe
and suitable assessment of the risks to which people working in the

workplace could be exposed. The employer should record the significant

findings of the assessment if he employs five or more employees.
Health and Safety
• Regulation 5 (Health and Safety Arrangements)
Employers must have effective arrangements in place to plan, organise,

control, monitor and review systems and procedures which cover Health and
Safety at work. The HSE publication Successful Health and Safety
Management HSG(65) gives excellent guidance.
• Regulation 6 (Health and Surveillance)
Surveillance must be provided where there is an adverse health condition or

disease which is associated with the work, or it is reasonably foreseen that
the conditions of work might give rise to it. Health examinations should
continue for the length of the employees‘ employment.
• Regulation 7 (Competence Assistance)
An employer must appoint competent person(s) to assist in meeting the

requirements of Health and Safety legislation. Competence does not
necessarily require particular qualifications or skills. To be competent, the
person must have sufficient training, experience and the knowledge needed
to be able to properly assist in meeting the requirements.
Serious Danger
• Regulation 7 (Procedures for Serious or Imminent Danger)
Where dangers exist, the employer must have suitable procedures to be

followed and also people to implement them. Employees and others who are
exposed to serious and imminent danger must be informed of the nature of
the hazard and protective steps. Procedures must allow for anyone exposed
to danger to stop work and reach a place of safety.
Information
• Regulation 10 (Information for Employees)
The employer must inform the employees of:
- The risks to their health and safety identified by an assessment;
- The preventative and protection measures installed;
- The procedures for serious and imminent danger;

- The identity of those persons nominated by the employer to implement

the emergency procedures;
- The risks from other employers who may share a workplace.
• Regulation 11, 12, 13 (Co-operation between Employers)
Where two or more employers share a workplace, each must co-operate with
the other.
• Regulation 13 (Capability and Training)
Although Health and Safety Training is required under Section 2 of HSWA,

this Regulation spells out the requirement and the employer must provide
safety training to employees:
- Upon recruitment;
- When job or responsibility is changed;
- When new equipment or technology is introduced;
- Whenever the system of work changes.
The employer is also required to give refresher training where appropriate; all
training must be carried out during normal working hours, although if it is
necessary to train outside normal hours it must be considered an extension of
the employees‘ time at work.
Employees‘ Duties
• Regulation 14 (Employees‘ Duties)
This Regulation imposes a new requirement for employees to bring to the

attention of their employers any situation or condition which the employees
consider to be a serious danger, and any other perceived shortcoming in the
employers‘ health and safety arrangements.
Temporary Staff
Important Regulation which requires the employer to inform temporary

workers of any health and safety risk.

Workplace (Health, Safety and Welfare) Regulations 1992
Application
These Regulations came into force on 1 January 1993 and applied

immediately to new workplaces; existing ones had to comply from 1 January
1996. The Regulations revoked many parts of the Factories Act and Offices,
Shops and Railway Premises Act.
A major difference you must note is that these Regulations cover all
workplaces, including factories, offices, shops, schools, hospitals, hotels, etc,
although certain specialised areas such as construction sites, mineral
extraction, ships and certain outdoor workplaces have exclusion from parts of
the Regulations.
Main Requirements
The main requirements of Regulations 1-25 are that the workplace must:
— Be well maintained;
— Be well ventilated and reasonably heated;
— Have suitable and efficient lighting;
— Be clean and free of waste materials;
— Have suitable workroom space;
— Have suitable seating and work stations;
— Have floors which are satisfactory and safe;
— Have measures to prevent falls or being hit by falling objects;
— Have safe windows and means of safe cleaning of windows;
— Have doors, gates, escalators and any moving walkways which are
safe;
— Have sufficient sanitary conveniences, washing facilities and drinking

water;
— Have clothing accommodation, changing, rest and eating facilities;
— Have facilities for pregnant women and nursing mothers;
— Be able to prevent discomfort from tobacco smoke;

— Have traffic routes safe for pedestrians and vehicles.
Standards
The Approved Code of Practice (ACOP) gives guidance on most of the

Regulations in recommending a system of maintenance for emergency
lighting, fencing, anchorage points for safety harnesses and devices to limit
the opening of windows.
For ventilation, it recommends that the fresh air rate should not fall below 5 to
8 litres per second per occupant and the acceptable temperature should be a
minimum of 16 degrees C (or 13 degrees C where severe physical work is
carried out). No maximum temperature is specified but where the
temperature cannot be controlled by other means, personal protective
equipment may be used.
Lighting levels are not quantified in the ACOP and only general guidance is
given.
The space recommendations are 11 cubic metres of space per person and
examples of calculations are given in the code.
Provision and Use of Work Equipment Regulations 1992
Application
The regulations came into force on 1 January 1993 and place upon
employers duties related to keeping work equipment safe and adequately
guarded. It revokes other legislation related to these subjects but has been
superceded by further regulations dated 1998.
The definition given of work equipment in the regulations includes any

machine, appliance, apparatus or tool; a listing shows many examples from
dumper trucks through computers and car ramps to drill hits and hand saws.
In other words, anything used as work equipment in any activity involving
work.
Main Provisions
The main provisions are:
— Equipment must be suitable for its provided purpose;
— Equipment must be efficiently maintained;
— Any equipment involving a risk must have restricted use;
— The employer must provide information and training to those who use
equipment;

— The work equipment must comply with EU product directives;
— The employer must prevent access to dangerous machinery;
— All employees must be prevented from harm from high or low

temperature equipment;
— The work equipment must be fitted with emergency stop controls

which are visible, identifiable and safe;
— The work equipment must be capable of being isolated from energy

and be stable;
— The work equipment lighting must be adequate for the task.
You can see that the main objective of these Regulations is to ensure that
work equipment is safe for use. It replaces many parts of the Factories Act
relating to dangerous machinery; you should pay particular attention to
Regulation 11 which deals with dangerous parts of machinery.
Dangerous Parts of Machinery
This term is well established in Health and Safety Law. Safeguarding

measures that were used to comply with earlier law will still be appropriate
under these Regulations. They are best described in British Standard 5304;
1988, Code of Practice for the Safety of Machinery which shows many ideas
for guarding different types of machinery. The new European standards are
now published, coded BS EN292, BS EN294 and BS EN60204. All guards
must be suitable for their purpose and a protection device or interlocking
system must be designed so it will only operate as intended. If the overall risk
is high then there should be adequate provision to counteract the effects of
failure. Guards and protection devices must be of good construction and
capable of doing the job they are intended to do. Once constructed and
installed, the law requires them to be maintained in efficient working order
and in good repair.
Health and Safety Marking
Regulations 22 to 24 towards the end of the ACOP require that the employer
shall ensure that work equipment has, where necessary, appropriate and very
clearly visible Health and Safety markings, which must be clearly understood;
they can be to national or international standards such as the Safety Signs
Regulations.
Implementing the Policy
This is the responsibility of middle and junior management. It is at this level

that the policies of the senior management are put into practice. Health and
safety management is achieved by three key techniques:

• RISK REMOVAL
• RISK REDUCTION
• RISK TRANSFER
Risk removal and risk reduction are performed under the direction of
management after assessing the risks and prioritising actions.
Risk transfer means the insuring of risks, which cannot be removed or

satisfactorily reduced. Risk transfer results from a careful risk assessment
and risk management procedure pursued by middle management.
Whatever technique is used the approach should be the same six-point team
procedure.
(a) Agreeing the Performance Variance
The members of a department, the team, under the leadership of a manager,

should be determining whether the standards set out in the policy are being
achieved. If they are not then there is a gap or variance. An agreement on
the performance gap is the first step towards removing it.
(b) Discussing Reasons for the Performance Gap
Open and honest communication is essential at this stage of implementation.

It is normal for everyone to believe the gap is someone else‘s fault. Argument
and conflict are certain to emerge at this juncture. Unless properly managed
any variances identified will remain, with unsatisfactory interpersonal relations
continuing to be poor, disrupting the process.
(c) Exploring the Gap
If properly managed conflicts evident can be overcome and those in the

department can be channelled into a positive exploration of the gap. At this
point there is a willingness on most people‘s part to admit their involvement in
its creation.
(d) Agreeing Action
Once a consensus has been achieved as to the nature of the variance and its
likely causes, a team action plan should be created which will reduce it. This
will be based firmly on risk assessments and control strategies.

(e) Setting Objectives
Once the gap has been determined and action agreed then the objectives
should be set. This should be done using Behavioural formats and the
SMART criteria.
(f) Setting Review Dates
A SMART objective has a time-limit and the review date should be set just
after this. If the objective has been met and the variance has disappeared
then congratulations and praise are due all round. If the objective has not
been met and a variance still exists then cycle back to Step 1 with a ―new‖
gap and begin the process again.
This six-step process can be closely aligned with classical team performance
theories. One of the most famous is Tuckerman‘s Theory of Group
Dynamics. He describes four stages which a group will pass through before
achieving objectives. They represent various levels of co-operation and
effectiveness.
Four Stages of Group Dynamics
EFFECTIVENESS
CO-OPERATION
PERFORMING
NORMING
STORMING
FORMING
CONFLICT
TIME
UNPRODUCTIVE EFFECTIVE

During the stages the achievement is:
Forming
This is the stage where the variances are identified and quantified. The
magnitude of the safety requirements can be established.
Storming
The analysis and agreement of the variance is completed here. The reason
for the existence of the variance should also be confirmed.
Norming
The variance is further analysed and alternative for solution identified. The
course of action should now be agreed in principle to enable the variance to
be closed.
Performing
Targets of achievements to solve the variance can now be established. The

action is implemented and review dates set.
Monitoring the Policy
At the review points it is essential to know how effective the policy has been.
The following questions and techniques are relevant:
• Are health and safety duties being discharged properly?
• Are employees keeping to the health and safety rules?
• Are they more safety conscious?
• Has the accident rate changed, in particular improved?
There are various ways of securing monitoring information. Spot checks,

inspections or audits can be carried out. The manager should use the skills
of safety practitioners and representatives for this task. Managers at all levels
should report their safety status and progress to their superior. Reports of all
accidents, including dangerous occurrences, incidents, near misses and
sickness linked to work, should be studied. This is to see whether they point

to a need for greater safeguards, more training or a safety awareness

campaign. A watch should be kept for trends or patterns in the frequency or
type of such incidents.


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NEBOSH National General Certificate BBCFE

Banff and Buchan College

Business Studies Sector

National Examinations Board for

© Banff and Buchan College of FE

© Banff and Buchan College of FE 1 Date of Production/Revision 6/22/2012

DEFINITION OF SAFETY AND HEALTH 4

The Primary Model 5

The Health and Safety Model 6

The Expanded Model 10

Managing Health and Safety 11

General Management Duties 11

Basic Health and Safety Aims 12

Health and Safety Legal Framework 15

Regulations (Statutory Instruments) 16

Approved Codes of Practice 17

Reasonably Practicable Duties 18

Civil Action Based on Breach of Statutory Duty 20

Civil Action Based on Breach of Statutory Duty 21

Differences Between The Criminal And Civil Courts 22

The Health and Safety at Work etc. Act 1974 26

© Banff and Buchan College of FE 2 Date of Production/Revision 6/22/2012

The Health and Morals of Apprentices Act 1802 26

The Factory Act 1833 26

The Factory and Workshop Act 1901 26

The Factories Act 1937 26

The Health and Safety at Work etc. Act 1974 26

The Robens Report 27

The Role of the Inspector 33

The Powers of the Inspectorate 34

Options Available to Inspectors 35

Appeals Against Enforcement Notices 36

THE WORKPLACE (HEALTH, SAFETY AND WELFARE) REGULATIONS 1992 37

Main Regulations Affecting the Workplace 39

The Health and Safety Policy 47

Monitoring the effectiveness of the Policy 49

Checklist Items Which Should Be Detailed In The Safety Policy 50

The Health and Safety (Information for Employees) Regulations 1989 52

The Six Pack 57

MANAGEMENT OF HEALTH AND SAFETY AT WORK REGULATIONS 1999 57

Workplace (Health, Safety and Welfare) Regulations 1992 60

Implementing the Policy 62

Four Stages of Group Dynamics 64

Monitoring the Policy 65

© Banff and Buchan College of FE 3 Date of Production/Revision 6/22/2012

Definition of Safety and Health

What, then is health and safety?

• It‘s about preventing accidents

• It‘s to ensure a safe workplace

• It‘s common sense

• It‘s about making people follow the rules

• It‘s about the law

• It regulates conduct in the workplace

The question is then followed by:

Why, do we need health and safety?

The response is usually the same - a further long silence! Eventually

• Because the law says so

The model is an attempt to illustrate the complexity of health and safety at

© Banff and Buchan College of FE 4 Date of Production/Revision 6/22/2012

The Primary Model

© Banff and Buchan College of FE 5 Date of Production/Revision 6/22/2012

The Health and Safety Model

A prime function of the manager is the avoidance of accidents, especially

(a) Accident or Incident