Safety Representatives Manual

Name .........................................................................................................................................................

Joint Branch Board .....................................................................................................................

“This guide is provided for your reference, you are notexpected to read it from cover to cover. Being a goodSafety Representative does not depend on becoming anexpert in the detail of Health and Safety legislation. It ismore about what to do and how to go about it. SafetyRepresentatives have a vital job to do and this manual willprove to be a useful guide.”

Ian RennieGeneral Secretary

CONTENTS

Section 1 Introduction

Section 2 Health and Safety in the Police Servicepage 1 Health and Safety at Work Act 1974page 9 The Management of Health and Safety at Work Regulationspage 13 Display Screen Regulationspage 20 Manual Handlingpage 21 Personal Protective Equipmentpage 22 Machinery and other equipmentpage 23 The workplace and the working environmentpage 28 Application of Health and Safety

Legislation to the Police ServiceWork related stress

page 31 Women Workerspage 33 (RIDDOR)page 36 COSHHpage 38 Control of Lead at Work Regulationspage 40 Control of Noise at Work Regulationspage 41 Work at Height Regulationspage 42 Regulatory Reform (Fire Safety) Orderpage 43 CDMpage 44 Health and Safety (First Aid) Regulationspage 45 Smoke Free Legislationpage 46 Corporate Manslaughter and Corporate Homicide Act 2007

Section 3 Home Office Guidance - Force Policy & Procedurepage 1 Introductionpage 2 Strategy for a healthy Police Servicepage 5 Management Benchmarking Standard

Section 4 Police Federation Policy and Procedurepage 1 Nationalpage 8 Local

Section 5 Safety Representatives and Safety Committees.page 1 Introduction and meeting with individualspage 5 Regulations

Section 6 Safety Representatives Active Papers.

Section 7 Risk Assessments

Section 8 Disability

Section 9 Working Time Regulations

Section 10 Reference Sectionpage 1 Introductionpage 3 Health and safety at Work Act 1974page 23 Management of Health and safety at work Regulations 1999page 33 The Police (Health and Safety ) Act 1997page 39 The Police (Health and Safety) Regulations 1999page 43 Section 158 of the Serious Organised Crime and Police Act 2005

Introduction

The role of the Police Federation of England and Wales, the staffassociation for all police officers up to and including Chief Inspectorsis ever changing. Management representatives and Police Federationsafety representatives have a crucial role to work together to make thework place a safer place.

Health and Safety legislation requires management to consult withSafety Representatives and the wider work force. It creates a role forsafety representatives to carry out safety inspections, investigateincidents and monitor the activities of management.

As a Police Federation safety representative you are not expected toread this guide from cover to cover in one go! Being a good safetyrepresentative does not depend on becoming an expert in the detail ofHealth and Safety legislation. It is more about what to do and how togo about it. It is about using your experience of work, and having thesupport of your members in the workplace and if you use the rightapproach, some basic skills, knowledge and organisation can makeyou very effective.

Knowing what to do will help you to ensure that your employersafeguards the health and safety of all the members you represent. Itis your employer’s responsibility to manage health and safety properlyand to ensure by training and instruction a safe workplace and a safesystem of working for all. This guide can help you to develop, or buildupon, the skills and knowledge you have already. It will steer you in theright direction, and equip you with the information to help you to getorganised in the workplace. You will find that you can tackle manyworkplace hazards without needing much technical knowledge.However, if you do need information, this handbook gives guidance onhow to obtain it

Safety representatives have a vital job to do. Advice and assistanceare always available if you need them, so do not hesitate to contactyour Health and Safety Leader in the first instance should you haveany problems.

This manual has been written to help Police FederationRepresentatives who have been appointed as safety representativesto carry out that function. It will also be a useful reference to other JointBranch Board members who have queries regarding Health andSafety matters. It is not intended to be a comprehensive text bookcovering all the detailed legislation and guidance available in the fieldof Health and Safety, it will however cover the basics and point the wayto more detailed sources of information.

• It starts with a section that explains in outline Health and Safety inthe Police service not unlike any other place of work.

• The next section sets out what the regulations say about safetyrepresentatives and then goes on to cover how you as a safetyrepresentative can go carrying out the task. It covers the work ofsafety committees starting with what the regulations say and thenexplaining how you get the best out of your committee and itsmeetings.

• This following are sections for your live papers and includeschecklists and master copies of papers for use in site inspectionsand incident investigations.

• The work of safety committees is covered next, starting with whatthe regulations say and then explaining how you get the best out ofyour committee and its meetings.

Section 1 page 1

IMPORTANT

• There is a section that covers incident investigation in detail; whilstit is part of the routine activities of a safety representative it isconvenient to separate it out as a subject in its own right.

• There is also a section about risk assessments for the samereason. It is not the function of a safety representative to carry outrisk assessments; they are and always will be a management task.However an appreciation of the risk assessment process willgreatly assist the safety representative in their work.

• There is a section that deals with Disability issues. Where amember has a grievance about how they have been dealt witharising out of their disability and any subsequent EmploymentTribunal process detailed advice is available in the Diversity manualand is not duplicated here. However early intervention in theprocess of risk assessments and reasonable adjustments and howto assist members with them are areas that should be dealt with bysafety representatives as expected by the Trade Union code ofpractice written by the Disability Rights Commission and hence arecovered here.

• Working Time regulations are mentioned briefly however there is aseparate manual that covers that subject.

The manual finishes with a reference section including relevantlegislation, definitions and abbreviations and lists of sources ofinformation. At the front there is a list of contents and at the back anindex. There will be an electronic copy of this manual on therepresentatives support disk in the Health and safety section.Throughout this manual we have made use of Icons to highlightimportant points and made use of cross-referencing.

There are checklists included in the manual they come with a healthwarning.

PLEASE USE CHECKLISTS AS A START AND A PROMPT AND NOTAS A COMPLETE LIST. WHEN YOU HAVE COVERED ALL THEPOINTS ON THE CHECKLIST TAKE A MOMENT TO THINK ABOUTANY OTHER RELEVANT ISSUES.

Enjoy your work as a safety representative and if you have anythoughts on how this manual can be improved contact the secretary ofthe national Health and Safety Sub Committee through theHeadquarters Office.

Section 1 page 2

Health and Safety at Work etc Act 1974 (HSWA)

Introduction

The Health and Safety at Work etc Act 1974 (HSWA), which came intoforce in 1975, aimed to ensure that virtually all workers in alloccupations were protected by health and safety legislation. The Actprovides a broad framework within which health and safety can beregulated through one comprehensive, integrated system of law.

The Act created the Health and Safety Commission (HSC), which hadoverall responsibility for the control and development of occupationalsafety and health in Britain and the Health and Safety Executive(HSE), the enforcement arm of the HSC.

In 2008, to improve governance arrangements, the Health and SafetyCommission and the current three person Health and Safety Executiveagreed to merge into a new unitary body, bringing together theirpowers and functions, and retaining the name Health and SafetyExecutive.

The Act is written in very general terms and the duties onemployers are qualified with the words “so far as is reasonablypracticable”. This means that employers can argue that the costof safety measures is not justified by the reduction in risk, but itdoes not mean that they can avoid their responsibilities simply byclaiming that they cannot afford improvements.

The most important sections of the Act are outlined below.

Section 2 places a general duty on employers to ensure the safety,health and welfare at work of their employees. Employers have a dutyto protect the mental as well as physical health of employees. Inparticular, employers must:

• provide and maintain plant and systems at work so that they aresafe and without risks to health;

• make arrangements for ensuring the safe use, handling, storageand transport of articles and substances;

• provide health and safety information, instruction, training andsupervision;

• maintain the place of work (where it is in the employer's control)so that it, and access to and exit from it, are safe and withoutrisks to health; and

• provide and maintain a safe working environment and adequatewelfare facilities.

Any employer who employs more than five people is required toprepare and keep up-to-date a written statement of health and safetypolicy and to bring the statement to the attention of employees. Thisshould set out the organisation (people) and arrangements(procedures) necessary to ensure a safe and healthy place of work.

Section 2 also stipulates that employers must consult safetyrepresentatives of recognised trade unions about the making andmaintenance of health and safety arrangements and, where requestedby two or more safety reps, set up a safety committee.

Section 2 page 1

IMPORTANT

Section 3 places a general duty on employers and the self-employedto ensure that their activities do not endanger people who are not intheir employment eg. members of the public.

Section 4 places a duty on anybody responsible for providing aworkplace for people to ensure that the premises themselves, as wellas any plant and machinery in them, do not endanger people usingthem.

Section 5 describes the duties on employers to use the bestpracticable means for preventing harmful emissions.

Section 6 places duties on employers to ensure the safe installation ofplant and to ensure that articles or substances supplied for work aresafe when used correctly. The TUC says that whenever safety reps havea problem with any product that has been brought into the workplacefrom outside, information should always be requested under this sectionand checked against HSC/HSE guidelines to see if it is adequate.

Section 7 places duties on employees to take reasonable care toensure that they do not endanger themselves or anyone else who maybe affected by their work activities.

Section 8 places a duty on everyone not to intentionally or recklesslyinterfere with, or misuse, anything provided for health and safetypurposes.

Section 9 states that an employer must not charge an employee foranything done, or for equipment provided, for health or safetypurposes.

Other important sections of the Act are as follows:

• Section 20 sets out the powers of inspectors.• Section 28 requires HSE inspectors to supply certain

information on health and safety, including enforcement (seebelow - Enforcement of health and safety law) to employees ortheir representatives. New entitlements to information came intoforce on 1 January 2005 when Section 28 was amended to bringit into line with the Freedom of Information Act 2000. TheFreedom of Information (Removal and Relaxation of StatutoryProhibitions on Disclosure of Information) Order 2004 (SI 2004No.3363) removes some restrictions on information HSE canmake publicly available.

The changes mean HSE is no longer prevented from providinginformation to workers about their former employer, about companiesthat have gone out of business or to bereaved relatives in work-relatedfatalities.

• Section 40 requires employers accused of breaches of healthand safety law to prove that it was not reasonably practicable todo more than was done to satisfy the duty of care.

The Court of Appeal has ruled that the burden of proof is on employersto show that they could not have done more.

Regulations, approved codes of practice and guidanceThe HSWA is an enabling Act under which more detailed health andsafety regulations, including those implementing European directives,are made. For example, the Act sets out the broad, general duty on

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Mr Davies, a plant hire owner,challenged section 40 underArticle 6(2) of the EuropeanConvention of Human Rights,which states that: "Everyonecharged with a criminal offenceshall be presumed innocentuntil proven guilty according tolaw". However, the Court ofAppeal found that the reverselegal burden of proof is"justified, necessary andproportionate" and compatiblewith the Convention. The Courtheld that employers havechosen to operate in aregulated sphere of activity,and they must be taken to haveaccepted the regulatorycontrols that go with it (Daviesv Health and Safety Executive[2003] IRLR 170).

employers to maintain places of work so that they are safe and withoutrisks to health. Detailed requirements concerning matters such asventilation, lighting and floors are set out in the Workplace (Health,Safety and Welfare) Regulations 1992.

Health and safety regulations are legally binding. Approved codes ofpractice (ACOPs) are generally issued with regulations to givepractical guidance on complying with the law. Failing to follow a codeis not an offence in itself, but an employer will need to demonstrate thatequally effective methods have been adopted to signal compliancewith the law.

Guidance is often issued, giving advice on how to comply with theregulations. In addition, guidance notes set out safe procedures to befollowed when using particular substances or pieces of equipment, forexample. They are not legally binding, but show good practice.

More information: All regulations made since 1987 can be downloadedfrom the Office of Public Sector Information (OPSI) website,www.opsi.gov.uk. Reps will need to know the year the regulations weremade and the Statutory Instrument (SI) number. For example, theWorkplace (Health, Safety and Welfare) Regulations 1992 are SI 1992No.3004 - meaning they were made in 1992 and their code number is3004. The SI number for regulations is given in the booklet when theregulations are first mentioned.

New regulationsHSE generally sets out its proposals for new regulations in the form ofconsultative documents, which, after circulation and comment, aredrafted into a set of regulations to lay before parliament. Newregulations or amendments to existing regulations are frequently theresult of European developments. For example, the Europeandirective on noise, adopted in February 2003, led to new UKregulations in 2006.

Enforcement of health and safety lawThe HSE and local authority environmental health departments areresponsible for enforcing most health and safety legislation inworkplaces. The fire authority generally enforces fire safety law andthe police are responsible for investigating road traffic accidents.

The appropriate enforcement authority depends on the type ofworkplace, as set out in the Health and Safety (Enforcing Authority)Regulations 1998 (SI 1998 No.494). These require employers todisplay the name and address of the enforcing authority.

Local authority environmental health officers (EHOs) generally dealwith offices, shops and warehouse-type premises, in addition to leisurecentres and some places of entertainment. The HSE, divided intoseveral inspectorates, deals with other industrial sectors - factories,agriculture, mines, quarries, nuclear installations, explosives, railwaysafety and safety on offshore installations as well as schools,hospitals, prisons, the armed forces and the emergency services.

HSE is to have additional enforcement agencies under its control, afterthe government accepted the recommendations of the Hamptonreview into the "administrative burden" of regulation on business. Thereview, commissioned by chancellor Gordon Brown and published withthe budget in March 2005, recommended that HSE take on thefunctions of the Adventure Activities Licensing Authority, theGangmasters Licensing Authority, the Engineering Inspectorate and

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the inspection functions of the Coal Authority. The TUC said thesemergers should be considered on a case-by-case basis.

Subsequently, on 1 April 2006, responsibility for health and safetypolicy and enforcement on the railways transferred from HSC/E to theOffice of Rail Regulation (ORR).

Notices and finesThe HSWA provides for three main systems of enforcement.These are improvement notices, prohibition notices, and fines orimprisonment.When an improvement notice is served the employer is requiredto take action to put things right within a specified time. If they failto comply, a prohibition notice may be issued, stopping theparticular operation that gives rise to the hazard.

Inspectors also have the power to issue an immediate prohibitionnotice, stopping an operation if there is a risk of immediate danger. Adeferred prohibition notice may also be issued. Appeals against thesenotices must be made to an employment tribunal and can lead to astay of execution of an improvement notice. But there can be no delayin the implementation of a prohibition notice if the inspector is of theopinion that the risk of serious personal injury is imminent.

Non-compliance with these notices is an offence and could leadto a maximum fine of £20,000 on conviction at magistrates' court,or an unlimited fine or up to two years’ imprisonment if the trial isat a higher court. There are other circumstances, includingcontravening regulations concerned with asbestos, for whichprison sentences can be used.

The number of enforcement notices fell from 14,891 in 2004/05 to13,363 in 2005/06. HSE took 1141 prosecutions. The average fine was£15,370, if fines in excess of £100,000 are excluded, this gives anaverage of £8723.

The Health and Safety (Offences) Bill, which is currently (2008) goingthrough Parliament, will have the effect of (a) raising the maximum finein the lower courts to £20,000 for most health and safety offences (b)making imprisonment an option for more offences in both courts and(c) make certain offences, currently triable only in the lower courts,triable in either the lower or higher courts. It is expected to become lawby the end of the current Session.

Prospect, the union that represents inspectors, scientists and otherprofessionals in the HSE, has expressed concern that cuts in HSEfunding and below-inflation pay offers make it difficult for the inspectorsto fulfil to their role. The union says that inspectors will visit mostworkplaces only once every 10 to 15 years.

HSC strategyHSC’s Strategy for workplace health and safety in Great Britain to2010 and beyond was launched in February 2004. Unions and safetycampaigners are concerned that it marks a shift of emphasis towardseducation and guidance, and downplays formal enforcement.

An internal HSC paper written in March 2004, Becoming a modernregulator, says: “There has been deregulatory pressure from withingovernment to reduce burdens on business, be clearer about thebenefits of regulation and more sympathetic to business needs.”

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More information: Safety repscan get figures for notices andfines from HSE's Offences andPenalties report 2004-05,www.hse.gov.uk/enforce/off04-05

Information about HSEprosecutions of particularemployers are available at www.hse-databases.co.uklprosecutions.

A further step down this road was taken by the Hampton review intoadministrative burdens. The review concluded that, “the burden ofenforcement falls most on highest-risk businesses and least on thosewith the best records of compliance.”

In his budget speech in March 2005, Gordon Brown accepted thereview’s recommendations, arguing: “The best practice risk-basedregulation now means more inspection only where there is more riskand a light and limited touch where there is less risk.”

HSC enforcement policy

The HSC published an Enforcement Policy Statement in 2002, settingout for the first time specific criteria for deciding whether to investigateand prosecute breaches of health and safety law.

In 2005, the HSC evaluated the policy, with a view to providing up todate evidence for the next review of the statement, scheduled for2007. The policy applies to all Britain’s enforcing authorities. It makesclear to inspectors, employers, workers and the public the standardsthey should expect when it comes to enforcing health and safety in theworkplace. The policy states that a prosecution should normally takeplace in any one of a number of circumstances, including:

• when a workplace death is caused by a breach of the law;• if there has been reckless disregard of health and safety

requirements; or• if the offender’s standard of health and safety management is far

below what is required.

Decisions on whether to investigate a workplace incident must takeaccount of a number of factors, including:

• the severity and scale of potential, as well as actual, harm;• the offender’s previous health and safety record; and• the wider relevance of the incident, including the public

concerns it causes.

The policy requires all enforcing authorities and their inspectors to:

• ensure they consider the role of the management chain, andindividual directors and managers in any possible offences, andtake enforcement action against them if justified;

• notify the director of an offending organisation each timeenforcement action is taken;

• publicise annually the names of all organisations and individualsconvicted of health and safety offences over the previous 12months, or issued with improvement and prohibition notices;and

• publicise the decision-making process.

In 2003, the House of Lords upheld the HSE’s claim that it can chooseto prosecute a company under the HSWA - with the potential for higherfines if convicted - rather than under more specific regulations.

HSC and public safetyThe HSC was forced to radically overhaul its policy on public safetyafter legal advice obtained by the CCA.

The original policy, which came into force in November 2003, meantthat HSE inspectors would not have to investigate possible breaches

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The case originally arose whena piling rig killed a worker. TheHSE prosecuted Junttan Oy,the company that designed andmanufactured the rig, under theHSWA rather than the Supplyof Machinery (Safety)Regulations 1992. Thecompany launched judicialreview proceedings, arguingthat it could only be prosecutedunder the regulations, whichwas upheld by the High Court.However, the House of Lordsupheld the HSE's appeal,allowing it to prosecute underthe HSWA (R v BristolMagistrates' Court and others[2003] UKHL 55).

More information: The HSCEnforcement Policy Statementand HSE EnforcementManagement model areavailable from the HSE websiteat www.hse.gov.uk.

of duties by employers in relation to public safety in cases where otherenforcing bodies were involved – such as incidents involving thepolice, hospitals and road traffic accidents. It meant inspectors wouldnot need to investigate deaths of members of the public in workplacesexcept in extremely limited circumstances, or take enforcement actionincluding prosecutions.

However, following legal advice sought by the CCA, the HSC agreedat a meeting in February 2005 to change its policy and issue newguidance to inspectors. HSE now has to make “initial inquiries” todetermine whether a breach of health and safety law has occurred andcannot wash its hands of an incident even if another regulatory body isinvolved.

Corporate accountabilityCorporate accountability remains high on the agenda of unions andsafety campaigners.

In 2003-04, HSE took 17 prosecutions involving directors, of whom 11were convicted. In 2005 four directors or managers were imprisonedfor manslaughter.

Corporate manslaughterThe Corporate Manslaughter and Corporate Homicide Act 2007 cameinto force on 6 April 2008. Under the new law, organisations and, forthe first time, Government bodies face an unlimited fine if they arefound to have caused death due to their corporate health and safetyfailures.

Formerly, liability for manslaughter hinged on the conduct of anindividual at the top of a company. The Home Office says that as aresult, between 1992 and 2004 there were only 34 prosecutions forwork-related manslaughter and just six convictions (one furtherconviction took place in 2005).

A full commentary on the new Act can be found later in this Section.

Crown immunityCrown bodies are organisations that act on behalf of the Queen, forexample, prisons, government departments and the Royal Mint. Underthe HSWA, Crown bodies are obliged to comply with health and safetylaw. The Police Service are not covered by Crown Immunity.

However, the provisions of the Act that allow inspectors to prosecuteemployers for breaches of the law do not apply to Crown bodies this isknown as Crown immunity.

The new Corporate Manslaughter Act applies to GovernmentDepartments and other Crown bodies.

Directors’ dutiesThe HSC's Revitalising strategy document published in 2000 pledgedto introduce legislation on directors’ duties, which would make it easierto prosecute individual directors for manslaughter, especially those inlarge companies. However, in 2003 the HSC decided against imposinglegal duties on directors. They argued that further legislation should beseen as an option “only once all other avenues, including the voluntaryapproach, had been fully explored”.

Unions argue that as the most powerful individuals in a company,directors decide on the level of resources put into safety. They make

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IMPORTANT

decisions on staffing, training, instruction, safety equipment and thepriority given to safety within the organisation. Yet the law as it standsdoes not impose any positive legal duty on directors to take action toensure that their company does abide by health and safety law, nor toensure that workers and members of the public are not at risk.

Unions say that without such legal duties, many companies willcontinue to breach health and safety law. The current situation alsomakes it difficult to prosecute directors for breaches of the law, andalmost impossible to prosecute them for manslaughter.

A review of the evidence by the CCA, Making companies safe: what works?was published in September 2004. Most international and UK studiesconclude that the most important driver of management action to improvesafety performance is legislation, backed by credible enforcement.

Research for the T&G general union has revealed that just 23 directorswere convicted between April 2002 and March 2004 – and the onlypenalties imposed were fines, averaging just £6,463. Research by theCCA found that only 11 company directors have ever been convictedof manslaughter following a work-related death. Five of these weresentenced to imprisonment, another five had a suspended sentence,and one was given a community service order. And HSE figures showthat only eight directors were disqualified for health and safetyoffences between 1986 and 2005.

In 2005, Labour MP Stephen Hepburn tabled a private member's bill –the Health and Safety (Director Duties) Bill – that would have imposeda duty on company directors to take “all reasonable steps” to ensurethat their company complies with health and safety law. The bill,supported by the T&G and construction union UCATT, fell because toofew MPs turned up to the debate.

Guidance for DirectorsIn 2008, HSE and the Institute of Directors jointly issued guidance fordirectors “Leading Health and Safety at Work”. It was designed for useby all directors, governors, trustees, officers and their equivalents inthe private, public and third sectors, and applied to organisations of allsizes. The guidance sets out a four step plan for directors to follow.Step 1: Plan – set the direction for effective H&S management

Step 2: Deliver – delivery depends on an effective managementsystem

Step 3: Monitor – monitoring and reporting are vital parts of a healthand safety culture

Step 4: Review – a formal boardroom review of h&s performance isessential.

The guidance is available from the IoD website at www.iod.com

Investigating work-related deathsIn 2003, the HSE published a revised protocol for liaison on workrelated deaths. The protocol is signed by the HSE, the Association ofChief Police Officers, the Crown Prosecution service, the localgovernment association and the British Transport Police. It requiresthe Police to be involved in a manslaughter investigation from the timethey arrive at the scene of death and only stop if it becomes apparentduring the investigation that there is insufficient evidence thatmanslaughter has been committed. The CCA welcomed the protocol,but the train drivers’ union ASLEF warned that it would do nothing toensure that companies responsible for the deaths of their employees

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More information: HSE reportsRR134 and RR135 areavailable from the HSE websiteat: www.hse.gov.uk

were properly investigated and brought to book. The protocol isavailable on the HSE website at www.hse.gov.uk

Health and safety in annual reportsThe HSC has issued guidance setting out the minimum standards forwhat annual reports should say about health and safety. This includes:

• an outline of the company’s health and safety policy;• the significant risks faced by employees/others and the

strategies and systems in place for controlling those risks;• the company’s health and safety goals/targets, which should be

measurable and relate to the health and safety policy;• details of progress towards achieving goals/targets;• plans for the forthcoming period; and• arrangements for consulting employees and involving safety

reps.

The report should also include data on the company’s health andsafety performance, including: the number of injuries, illnesses anddangerous occurrences reportable under the Reporting of Injuries,Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR);details of any fatalities and remedial action taken; the number ofphysical or mental work-induced health problems reported for the firsttime during that period; the number of employee days lost throughwork-related illness or injury; the number of health and safetyenforcement or prohibition notices served on the company, with briefdetails; the number and nature of health and safety convictions for theperiod in question, including fines imposed and remedial action taken;and the total cost to the company of work-related injuries and illnesssuffered by staff over the reporting period.

Information for shareholdersThe Companies Act 1985 (Operating and Financial Review andDirectors’ Report etc.) Regulations 2005 (SI 2005 No.1011) came intoforce on 22 March 2005 and implement the government’s Operatingand Financial Review (OFR).

The regulations require directors of companies that are quoted on thestock exchange to prepare an operating and financial review forfinancial years beginning on or after 1 April 2005. The review will givetheir shareholders information on a range of matters, including healthand safety.

The Accounting Standards Board (ASB) has issued ReportingStandard 1 The Operating and Financial Review to help directorscomply with the regulations. On health and safety, the standard saysdirectors should report: “Employee health and safety, details ofRIDDOR (Reporting of injuries, diseases and dangerous occurrencesregulations 1995), lost days to injury, levels of occupational relateddiseases in the workforce and compliance levels with working hoursdirectives.” The ASB Standard is at www.frc.org.uk

Common LawCommon law is law developed through legal cases, rather than by Actsof Parliament. Breaches of statutory duty, i.e. duties contained in Actsof Parliament and/or regulations and enforceable by inspectors, maygive rise to civil or criminal liability.

Breaking health and safety law is a criminal offence, but employeesmay also be able to bring a civil action against their employer fordamages where harm has resulted from the employer's negligence.The most important common law duty with regard to health and safety

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is the duty of care. Employers have a duty to take reasonable care toprotect their employees and their immediate family from the risk offoreseeable injury, disease or death at work. If employers know of ahealth and safety risk or, in the light of the current state of knowledgeought to have known, they will be liable if an employee is injured, killedor suffers illness as a result of the risk and they had failed to takereasonable care.

This duty of care can be important where there is no particularstatutory law, such as when dealing with repetitive strain injury.

THE MANAGEMENT OF HEALTH AND SAFETY

The Management of Health and Safety at Work Regulations 1999(Management Regulations, SI 1999 No.3242) are important becausethey clarify how employers must comply with their duties under theHealth and Safety at Work Act (see chapter 1).

The 1999 Management Regulations replaced earlier 1992 regulations,as well as incorporating legislation on new and expectant mothers andyoung workers.

Risk assessmentsA central requirement of the regulations is that employers must carryout a risk assessment. This should address what happens in theworkplace and must consider all groups of employees and others whomight be affected. It must also identify groups of workers who might beparticularly at risk, such as young workers. The regulations say that arisk assessment should be “suitable and sufficient”. This means itshould:

• correctly and accurately identify hazards;• determine the likelihood of injury or harm arising;• identify any specific legal duty relating to the hazards;• remain valid for a period of time; and• enable decisions to be made about appropriate control

measures.A hazard is something that has the potential to cause harm or injury. Arisk is the likelihood of harm or injury arising from a hazard.

The Health and Safety Executive (HSE) guide, Five steps to riskassessment, sets out a step-by-step approach to risk assessment.andis included in the Risk Assessment section of this Manual.Five steps to risk assessment

Step 1 - look for hazards by visually inspecting the workplace,consulting employees and their representatives, looking atmanufacturers' instructions or data sheets and considering accidentand ill-health records;

Step 2 - decide who might be harmed and how;

Step 3 - evaluate the risks arising from the hazards and decidewhether existing precautions are adequate or whether more should bedone. If something needs to be done, either remove the hazardaltogether or, if this cannot be done, control the risks. Only usepersonal protective equipment (PPE) if nothing else can reasonably bedone;

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See section 10 page 21

Step 4 - record your findings; and

Step 5 - review your assessment from time to time and revise it ifnecessary.

It is the employer's responsibility to ensure that those carrying out riskassessments are competent to do so. They should also have suitabletraining and the time and resources to carry out the assessment. Insome cases safety reps have been asked to sign risk assessmentrecords as the competent person. The TUC says that riskassessments should only be signed by management or the workplacesafety officer, since the main responsibility under the law lies with theemployer. Safety reps should, however, be involved from the earlieststages of assessments.

The TUC's 2004 survey of safety reps found that only half (53%) ofrespondents said their employer had carried out an adequate riskassessment.

Preventative and protective measuresRegulation 4 requires employers to implement any preventative andprotective measures on the basis of the following principles:

• avoiding risks;• evaluating risks that cannot be avoided;• combating risks at source;• adapting the work to the individual, particularly with regard to

workplace design, the choice of work equipment and workingand production methods, with a view to alleviating monotonouswork and work at a predetermined work-rate;

• adapting to technical progress;• replacing dangerous work with safe or safer alternatives;• developing a coherent overall prevention policy covering

technology, work organisation, working conditions, socialrelationships, and the working environment;

• giving priority to collective over individual protective measures;and

• giving appropriate instructions to employees.

Health and safety arrangementsRegulation 5 of the Management Regulations requires employers toensure that adequate arrangements are in place regarding “effectiveplanning, organisation, control, monitoring and review of protectiveand preventative measures”. The HSE says that an effectivemanagement structure into which health and safety needs are fullyintegrated must be a central part of the arrangements. Furthermore,health and safety responsibilities must be understood and acted on atall levels. These arrangements, as with the risk assessment, must bein writing where there are more than five employees.

Health surveillanceRegulation 6 requires employers to monitor the health of employees ifthe risk assessment has shown this to be necessary. The approvedcode of practice (ACOP) to the regulations outlines that healthsurveillance should be carried out where:

• there is an identifiable condition related to the work;• the condition is detectable;• it is likely that the condition could occur; and• surveillance is likely to provide health protection for employees.

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More information: Health surveillance at work, price £7.00, from HSEBooks

Appointment of safety specialistsRegulation 7 requires employers to appoint competent staff to assist inensuring that the protective and preventative measures identified asnecessary by the assessment are established. The ACOP makes itclear that competent employees should be appointed in preference tousing consultants for health and safety advice or assistance. It alsosays that in determining competence, the employer should look atwhether the person has an understanding of best practice, anawareness of their own limitations and a willingness and ability tosupplement existing experience and knowledge.

Procedures for serious and imminent dangerAll employers must set up procedures to be followed in the event of“serious and imminent danger to persons at work” under regulation 8.A sufficient number of competent personnel, who have sufficienttraining and experience, must be nominated to implement theprocedures, which must normally be written down. Employers mustmake any necessary contacts with the external emergency servicesregarding first aid, emergency medical care and rescue work.

These procedures should enable employees to stop work andimmediately proceed to a place of safety in the event of being exposedto “serious, imminent and unavoidable danger”. The regulations statethat the persons concerned can take appropriate steps, includingstopping work, “in the absence of guidance or instruction or in the lightof their knowledge”. Workers have some protection if they “stop thejob” in these circumstances. Under section 100 of the EmploymentRights Act 1996, any attempt to sack workers or safety reps who stopthe job because they fear they are in serious and imminent dangerwould be deemed an automatically unfair dismissal.

Information and trainingEmployees must be provided with specific “comprehensive andrelevant” information (regulation 9). The ACOP says that “specialconsideration should be given to any employees with languagedifficulties”.

Regulation 13 says that employers must provide health and safetytraining, during working hours, for new recruits and where there arenew or increased risks, for example, where new equipment isintroduced, or there is a change in the kind of work being carried out.They must also take account of workers’ capabilities regarding healthand safety.

Co-operation and co-ordinationRegulations 11 and 12 deal with employers sharing workplaces oremploying contract workers. Employers must co-operate and co-ordinate safety measures and inform all employees, including anycontractors, about risks and health and safety measures taken.

Pregnant workersThe Management Regulations contain specific provisions for womenof childbearing age in the workforce. Regulation 16 says any riskassessment must take account of how hazards may affect the healthand safety of new or expectant mothers.

When employers receive written notification from an employee thatshe is pregnant, has given birth within the previous six months, or isbreastfeeding they must conduct a specific risk assessment to identify

Section 2 page 11

In 2004, rail union RMT settled acase with London Undergroundover refusal to work on thegrounds of serious and imminentdanger. During the 2002 FBUfirefighters’ dispute, scores oftube workers withdrew theirlabour on the grounds that it wasunsafe to work without firefightercover. Fifteen RMT memberswhose wages were deducted asa result of their refusal to worktook their case to anEmployment Tribunal. The unionclaimed that workers suffered adetriment because they wereplaced in a position of seriousand imminent danger by the lackof availability of a fullyoperational fire service andadequate alternative cover. Theyalso argued that LondonUnderground was not entitled todeduct wages in circumstanceswhere it had not taken suchsteps as were reasonablynecessary to ensure a safeworking environment.Settlement was reached both onhealth and safety andprocedural issues, and the tubeworkers’ pay reinstated.

Competent PeopleThe Health and SafetyCommission has suggestedaspects to take into accountwhen identifying competentpeople.Competent people should havea knowledge and understandingof:q The work being assessed.q The principles of risk

assessment and preventionof risk.

q Up-to-date health and safetymeasures.

q Identification of hazards atwork.

Competent people should beable to:q Identify health and safety

issues.q Assess the need for action.q Design, develop and

implement strategies andplans.

q Check the effectiveness ofthese strategies and plans.

q Promote health, safety andwelfare advances and goodpractices.

q Know their limitations andwhen to call for others withspecific skills and expertise.

if she is exposed to any process, working condition or physical,chemical or biological agent which may damage her health and safetyor that of her baby. The assessment must take into account any adviceprovided by the woman's doctor or midwife about her health.

A Labour Research Department survey in 2004 found that, even inworkplaces with union representation, only 58% of safety reps saidthat risk assessments included an assessment of the risks to new andexpectant mothers.

Employers must take action to remove, reduce or control any risksidentified. If the risk cannot be removed, employers must:

• temporarily adjust her working conditions and/or hours of work;or if that is not possible;

• offer her suitable alternative work (at the same rate of pay) ifavailable; or

• suspend her from work on paid leave to protect her health andsafety and that of her child appropriate for her to do in thecircumstances and on terms and conditions no less favourablethan her normal terms and conditions.

In 2003, an Employment Appeal Tribunal (EAT) confirmed thatemployers must carry out a specific risk assessment when anemployee notifies them that she is pregnant.

Regulation 17 of the Management Regulations says that new orexpectant mothers may also be suspended from night work where theyhave a signed certificate from a registered medical practitioner ormidwife stating that this is necessary in the interests of their health andsafety.

The HSE says it is important that women workers inform theiremployers that they are pregnant, have given birth in the previous sixmonths or are breastfeeding in writing and as early as possible.

Young workersRegulation 19 says that employers must protect young workers (thoseaged under 18) from risks to their health and safety arising from lackof experience or maturity and must not employ a young person forwork which:

• is beyond their physical or psychological capacity;• involves harmful exposure to radiation or toxins or carcinogens

(cancer-causing agents);• involves the risk of accidents which may not be recognised or

avoided by young people by virtue of their inexperience; and• in which there is a risk to health from extreme cold or heat, noise

or vibration.

The ACOP says that employers must carry out the risk assessmentbefore the young worker starts work. It adds that when controlmeasures have been taken and there is still a significant risk, a youngworker cannot do this work unless:

• it is necessary for their training;• they are supervised by a competent person; and• the risk will be reduced to the lowest level reasonably

practicable.

The ACOP also says where significant risks remain; no child (under theminimum school leaving age) can be employed to do this work. For a

Section 2 page 12

In the case of Tasci v Pekalp ofLondon Ltd, Times LawReports, 17 January 2001, theCourt of Appeal held that theduty of an employer to train anemployee not only involvedgiving a comprehensiveexplanation of the dangers, inordinary language, but alsoentailed an appraisal ofwhether the employeeunderstood the instructionsand dangers of the machine.(This case involved the use ofa woodworking machinecovered by the WoodworkingMachines Regulations.)

When Suzanne Bunningbecame pregnant her employercarried out a risk assessmentand claimed that her weldingjob was not high risk. Followinga miscarriage, Bunning arguedthat the company haddiscriminated against her bynot taking steps to avoid anyhealth risks, such as offeringalternative work. The EATupheld Bunning's claim. Itargued that the requirementthat she return to her old job orto another medium-risk jobamounted to a detriment underthe Sex Discrimination Act andthat it could amount to a breachof contract (Bunning v BunningEAT/0136/03).

child employed or on a work experience placement, the key findings ofthe risk assessment and the control measures taken must be providedto the child's parents (although this does not have to be in writing).

The Working Time Regulations 1998 also contain provisions for youngpeople aged 16-17

Civil liability exclusionRegulation 22 of the Management Regulations 1999 said that: “Breachof duty imposed by these Regulations shall not confer a right of actionin any civil proceedings”. But in 2003 this clause was amended by theManagement of Health and Safety at Work and Fire Precautions(Workplace) (Amendment) Regulations 2003.

The amendment allowed employees to bring civil claims against theiremployers where they were in breach of duties imposed by theManagement Regulations. The change came after a campaign by theFBU firefighters’ union, which took its case to the EuropeanCommission because of frustration that fire authorities were refusing tocarry out risk assessments.

However, the TUC and whistleblowers’ charity Public Concern at Work,pointed out that the wording left open the possibility that employeescould themselves be sued if they fail to speak up about health or safetyrisks at work.

In response, the Health and Safety Commission amended regulation22 by means of the Management of Health and Safety at Work(Amendment) Regulations 2006 to ensure that workers cannot besued by third parties for a breach of the regulations, while retaining civilliability for employers.

But TUC is still not happy with the proposals, because an employeecould still face a claim for damages from their employer or co-workerfor failing to report a potential hazard.

Display Screen Equipment Regulations

Summary of duties and rightsThese regulations cover display screen equipment (DSE) such asvisual display units (VDUs), microfiche and process control screens.The regulations apply wherever DSE is used, including offices,classrooms, computer suites, custody centres, CCTV monitoringstations and work at home. These Regulations became law on 1January 1993.

Employers’ duties

• Assess risks to health from DSE workstations and to reduce therisks identified by assessments to the lowest level reasonablypracticable. Assessments must be kept up to date.

• Ensure that workstations in use after 31 December 1992 complywith standards laid down by the regulations.

• Ensure that workstations in use before 31 December 1992comply with the standards, if an assessment shows that they area risk to health and safety

• Plan the work of DSE users so that there are periodic breaks orchanges of activity reducing their workload.

• Ensure that DSE users are provided with: - eye and eyesight tests on request- further tests at intervals

Section 2 page 13

See reference disk

Employees’ dutiesThere are no specific duties on employees in these Regulations.However the Management of Health and Safety at Work Regulations1992 require all employees to use equipment provided in accordancewith the training and instructions given by their employer.The regulations step by step

Regulation I: DefinitionsThese regulations came into force on 1 January 1993. This regulationdefines terms used in other regulations, especially ‘display screenequipment’, ‘workstation’, ‘user’ and ‘operator’. These definitions areimportant in determining the people and areas covered by theseregulations.

Display screen equipment means ‘any alphanumeric or graphic displayscreen regardless of the display process involved’. This includes visualdisplay units (VDUs), microfiche readers, and process control screens.The regulations cover this type of equipment wherever it is used (butsee exceptions below).

The regulations do not apply to the following equipment:

• Drivers’ cabs or control cabs for vehicle or machinery.• Display screen equipment on board a means of transport.• Display screen equipment mainly intended for public operation.• Portable systems, unless they are in prolonged use.• Calculators, cash registers or any equipment with a small

measurement display required for direct use of the equipment.• Window typewriters showing no more than a few lines of text.

However, even when these specific regulations do not apply,employers still have general duties, under the Health and Safety atWork Act, to ensure the health and safety of employees and others.Workstation means all of the following:

• Display screen equipment, keyboard, software.• Any optional accessories to the display screen equipment.• Any disk drive, telephone, modem, printer, document holder,

work chair, work desk, work surface or other item peripheral tothe display screen equipment.

• The immediate work environment around the display screenequipment, for example, noise, lighting, temperature, space.

All of these should be included in employers’ risk assessments (seeRegulation 2) and should meet the requirements laid down in theseregulations (see Regulation 3).

User means an employee who habitually uses display screenequipment as a significant part of his (or her) normal work. Thisdefinition is important in deciding which employees are entitled to eyeand eyesight tests (Regulation 5) and regular rest breaks (Regulation4).

HSE Guidance to these Regulations gives examples of DSE users.These include community care workers, librarians, scientists,secretaries, telephone operators, and receptionists who use DSEfrequently.In practice, if a number of employees use the same display screenequipment, or if use of the equipment is vital for the job, employers willfind it easier to designate all employees who use DSE as ‘users’ underthe regulations.

Section 2 page 14

WorkstationsWorkstation in theseRegulations means more thanjust a desk. It also means, forexample, the screen,keyboard, disk drive, printer,document holder, chair, worksurface; and lighting,temperature, noise and spacearound the display screenequipment.

Operator means a self-employed person who habitually uses displayscreen equipment as a significant part of his (or her) normal work.Workstations provided for the use of self-employed workers must meetthe standards laid down in Regulation 3 and be included in employers’risk analysis (Regulation 2). Employers must also provide self-employed workers with information on all aspects of health and safetyrelating to their work and on the measures taken to comply with theregulations.

Regulation 2: Assessment of workstationsEmployers must carry out a suitable and sufficient assessment ofworkstations to identity any risk to a worker using it. This assessmentshould be reviewed if;

• There is reason to suspect it is no longer valid for example, ifthere are reports of health problems.

• There has been a significant change in the workstation, forexample, new equipment, different users/operators, change inworking environment.

Employers must reduce the risks identified by the assessment to ‘thelowest extent reasonably practicable”.’

Reasonably practicable means a balance between the cost ofpreventing health risks and the consequences of not preventing theserisks. It does not mean that employers can legally refuse to makeimprovements just because they claim they can't afford them. Some ofthe health effects of display screen work can cause pain andpermanent disability and should not be ignored.

Risks to healthThe Guidance to the Regulations highlights three main risks to healthfrom DSE work. These are:

• Upper limb disorders (also called repetitive strain injuries) whichcause pain in hands, wrists, shoulders, neck and back. Ifuntreated, some of these disorders can lead to long-term oreven permanent disability. These disorders are caused by poordesign or wrongly adjusted equipment; sitting for too long in oneposition; high workload and tight deadlines.

• Eye and eyesight effects, including headaches, sore eyes,blurred vision. Work with display screen equipment can show uppre-existing eye defects, such as short sight, that workers werenot previously aware of. These effects may be caused by lack ofbreaks; badly designed, adjusted or positioned equipment; poorlighting; flickering image on the screen.

• Stress and physical fatigue can be reduced by careful design,selection and positioning of DSE; good design of the user'sworkplace, environment and task; and training, consultation andinvolvement of the user.

The Guidance also addresses other factors that have caused concernover DSE work:

Effects on pregnant womenThe Health and Safety Executive says that, taken as a whole, researchhas not shown any link between miscarriages or birth defects andworking on display screen equipment.However, restricted postures, for example sitting in one position for toolong, may cause problems for pregnant women. During the later

Section 2 page 15

Who is a user The test of who is a ‘user’ is notjust the length of time displayscreen equipment is used.Guidance to the regulationsgives the following criteria for a‘user’:

The individual depends on theuse of display screenequipment to do the job

The individual has no choice asto use or non-use of the displayscreen equipment

The individual needs significanttraining and/or particular skillsin the use of display screenequipment

The individual normally usesdisplay screen equipment forcontinuous spells of an hour ormore at a time

The performance requirementsof the system demand highlevels of attention andconcentration by the user, forexample, where theconsequences of error may becritical

If most or all of these criteriaare met, the employee is a‘user’

stages of pregnancy, women may find it difficult to sit comfortably at aworkstation because of their size.

In guidance on seating at work the HSE says that seating should becomfortable and should allow for frequent changes in posture and forgetting to and from the workstation easily.

To avoid stress and anxiety, women who are pregnant or planningchildren should be allowed to transfer to non-DSE work if they wish.Try to get the right to transfer included in new technology agreements.

Effects of radiationThe Guidance to the Regulations says that levels of radiation given offdisplay screen equipment are very low and do not pose a significantrisk to health. No special protective measures are needed to protectthe health of people from this radiation.

Regulation 3: Workstation standardsEmployers must make sure that all workstations used by users andoperators, comply with the requirements set out in a schedule to theregulations. The schedule is reproduced at the end of this document.Workstations first put into service on or after 1 January 1993 have tocomply with the standards immediately.

Workstations already in use before January 1993 had until 1997 tomeet the standards, unless a risk assessment showed that they werea risk to health and safety. In that case, the workstation had to bereplaced or modified immediately to meet the standards in theschedule.

The Guidance to the Regulations points out that ‘where a particularitem is mentioned in the schedule, this should not be interpreted as arequirement that all workstations should have one, unless the riskassessment under Regulation 2 suggests the item is necessary’.

Some deviation from the schedule is allowed if it would be impossibleotherwise. Examples given in the Guidance to the Regulations include:process control rooms where tilting screens may be inappropriate, andindividuals who suffer from certain back complaints may prefer a chairwith a fixed back rest or a special chair without a back rest.

Regulation 4: Breaks and changes of activityEmployers must plan the activities of display screen equipment (DSE)users so that their work on DSE is periodically interrupted by breaks orchanges of task to reduce the workload at that equipment.

Where possible, users should be allowed to take breaks when theyneed them. Where this is nor possible, or is unlikely to happenbecause of pressure of work, an agreement on DSF work breaksshould be drawn up. TUC guidance suggests 10 minute breaks awayfrom the equipment after 50 minutes work. The more intensive thework, the more frequent the breaks, needed.

Regulation 5: Eye and eyesight testsEmployers must arrange eye and eyesight tests for those employeesthat regularly use DSEAll eye and eyesight tests must be,:

• Carried out by a competent person, either an optometrist ordoctor with ophthalmic qualifications.

• Carried out as soon as practicable after being requested by theuser.

Section 2 page 16

Taking breaksThe Guidance to theRegulations gives generaladvice on breaksBreaks should be taken beforethe onset of fatigue, not inorder to recuperate, and whenperformance is at a maximum,before productivity reduces.The timing of the break is moreimportant than its length.

Breaks or changes of activityshould be included in workingtime. They should reduce theworkload at the screen, in otherwords, they should not result ina higher pace or intensity ofwork on account of theirintroduction.

Informal breaks, that is timespent not viewing the screenbut, for example, engaged onother tasks, appear from studyevidence to be more effectivein relieving visual fatigue thanformal rest breaks.

Short, frequent breaks aremore satisfactory thanoccasional, longer breaks: forexample, a 5-10 minute breakafter 50-60 minutes continuousscreen and/or keyboard work islikely to be better than a 15minute break every two hours.

• Provided Without cost to employees.

Employers must then offer eye and eyesight tests at regular intervals.Employers should seek the advice of an optometrist on how frequentthese intervals should be and how they should vary betweenindividuals.

Employers must also provide, on request, tests for users whoexperience ‘visual difficulties which may reasonably be considered tobe caused by work on display screen equipment’, for exampleheadaches or sore eyes.

Employees who use display screen equipment must request tests –there is no requirement for employers to provide them

If possible, breaks should be taken away from the screen.

Wherever practicable, users should be allowed some discretion as tohow they carry out the task; individual control over the nature and paceof work allows optimal distribution of effort over the working day.

Automatically. Make sure that all DSE users know about their rights toeye and eyesight tests.

Eye and eyesight tests must he carried out by a competent person.This should he either an optometrist or a doctor with ophthalmicqualifications. Vision screening tests such as the ‘keystone’ test are notfull eve and eyesight tests and do not fulfil the requirements of theregulations.

Employers must provide ‘special corrective appliances’ where an eyeand eyesight test shows these are necessary and `normal correctiveappliances' cannot be used.

Special corrective appliances means spectacles or lenses prescribedfor work with display screen equipment.

Normal corrective appliances are spectacles, contact lenses and so onprescribed for other uses, for example for reading written material orfor driving. Users who already wear spectacles or lenses for other usesmay still require a special prescription for display screen equipmentwork.

Regulation 6: Health and safety trainingEmployers must provide adequate health and safety training for usersor people who will shortly be using display screen equipment.

Health and safety training must also be provided when theorganisation Of a workstation is altered. This training will be in additionto general training involving, for example, keyboard skills or use of aparticular computer program or word processing package.

Regulation 7: InformationEmployers must ensure that users and operators are provided withinformation about:

• All aspects of health and safety relating to their workstations.• Risk assessments and measures taken to reduce risks.

Additionally- users must be given information about:• Eye and eyesight tests-their rights and arrangements for

providing these tests

Section 2 page 17

CostsThe provision of eye andeyesight tests and of specialcorrective appliances underthese Regulations is at theexpense of the user’semployer.

UNISON believes employersshould allow paid time off toattend eye and eyesight tests,or arrange for proper tests tobe carried out in working timeat the workplace. The cost oftests must be paid byemployers.

Employers must also pay forspecial corrective applianceswhere tests show these arenecessary. The Guidance tothe Regulations suggests thatemployers need pay only for abasic appliance. If users want amore expensive appliance,with, for example, designerframes, they could agree topay the extra cost.

• Initial training (see Regulation 6) and training provided whenworkstations are altered.

Extent to which employers must ensure that workstations meet therequirements laid down in this schedule

Giving information about eye and eyesight tests, rest pauses andstandards for workstations

Explaining how the user can contribute to assessments of workstations

An employer shall ensure that a workstation meets the requirementslaid down in this Schedule to the extent that:

• Those requirements relate to a component which is present inthe workstation concerned.

• Those requirements have effect with a view to securing thehealth, safety and welfare of persons at work.

• The inherent characteristics of a given task make compliancewith those requirements appropriate as respects the workstationconcerned.

EquipmentGeneral commentThe use as such of the equipment must not be a source of risk foroperators or users.

Display screenThe characters on the screen shall be well-defined and clearly formed,of adequate size and with adequate spacing between the charactersand lines.

The image on the screen should be stable, with no flickering or otherforms of instability.

The brightness and the contrast between the characters and thebackground shall be easily adjustable by the operator or user, and alsobe easily adjustable to ambient conditions.

The screen must swivel and tilt easily and freely to suit the needs ofthe operator or user.

It shall be possible to use a separate base for the screen or anadjustable table.

The screen shall be free of reflective glare and reflection liable tocause discomfort to the operator or user.

KeyboardThe keyboard shall be tiltable and separate from the screen so as toallow the operator or user to find a comfortable working positionavoiding fatigue in the arms or hands.

The space in front of the keyboard shall be sufficient to provide supportfor the hands and arms of the operator or user.

The keyboard shall have a matt surface to avoid reflective glare.

The arrangement of the keyboard and the characteristics of the keysshall be such as to facilitate the use of the keyboard.

The symbols on the keys shall be adequately contrasted and legible

Section 2 page 18

Training needsGuidance to the Regulationssuggests that training shouldcover the following points:

Recognition of hazards andrisks, for example screenreflections and glare.

Explanation of health risks andcauses, for example, poorposture and lack of breaks.

Describing what users can doto minimise these risks, forexample changing position,adjusting furniture andequipment, regular cleaning of screens, taking breaks andchanging activity.

Reporting of problems orshortcomings in work patternsof workstations.

from the design working position.

Work desk or work surfaceThe work desk or work surface shall have a sufficiently large, low-reflectance surface and allow a flexible arrangement of the screen,keyboard, documents and related equipment.

The document holder shall be stable and adjustable and shall bepositioned so as to minimise the need for uncomfortable head and evemovements.

There shall be adequate space for operators or users to find acomfortable position.

Work chairThe work chair shall be stable and allow the operator or user easyfreedom of movement and a comfortable position.

The seat shall be adjustable in height.

The seat back shall be adjustable in both height and tilt.

A footrest shall be made available to any operator or user who wishesone.

Environment

Space requirementsThe workstation shall be dimensioned and designed so as to providesufficient space for the operator or user to change position and varymovements.

LightingAny room lighting or task lighting provided shall ensure satisfactorylighting conditions and an appropriate Contrast between the screenand the background environment, taking into account the type of workand the vision requirements of the operator or user. Possible disturbingglare and reflections on the screen or other equipment shall beprevented by co-ordinating workplace and workstation layout with thepositioning and technical characteristics of the artificial light sources.

Reflections and glareWorkstations shall be so designed that sources of light, such aswindows and other openings, transparent or translucid walls, andbrightly coloured fixtures or walls cause no direct glare and nodistracting reflections on the screen.

Windows shall be fitted with a suitable system of adjustable coveringto attenuate the daylight that falls on the workstation.

NoiseNoise emitted by equipment belonging to any workstation shall betaken into account when a workstation is being equipped, with a viewin particular to ensuring that attention is not distracted and speech isnot disturbed.

Section 2 page 19

HeatEquipment belonging to any workstation shall not produce excess heatwhich could cause discomfort to operators or users.

RadiationAll radiation with the exception of the visible part of theelectromagnetic spectrum shall be reduced to negligible levels fromthe point of view of the protection of operators’ or users’ health andsafety.HumidityAn adequate level of humidity shall be established and maintained.

Interface between computer and operator/userIn designing, selecting, commissioning and modifying software, and indesigning tasks using display screen equipment, the employer shalltake into account the following principles:

• Software must be suitable for the task.• Software must be easy to use and, where appropriate,

adaptable to the level of knowledge or experience of theoperator or user; no quantitative or qualitative checking facilitymay be used without the knowledge of the operators or users.

• Systems must provide feedback to operators or users on theperformance of those systems.

• Systems must display information in a format and at a pacewhich are adapted to operators or users.

• The principles of software ergonomics must be applied, inparticular to human data processing.

Manual handlingThe Manual Handling Operations Regulations 1992 (SI 1992 No.2793)apply wherever manual handling operations are carried out – that isphysical lifting, carrying or moving any load.

There are no maximum weight limits set for loads. Instead theregulations require a risk assessment of the task, load and workingenvironment.

The High Court has confirmed the need for employers to carry out risksassessments for manual handling.

Employers are required to avoid hazardous manual handlingoperations (so far as reasonably practicable) by:

• redesigning the task to avoid moving the load or by automatingor mechanising the process;

• making a risk assessment of operations that cannot be avoided;• reducing the risk of injury to as low a level as reasonably

practicable, giving particular consideration to providingmechanical assistance; and

• providing training and information for employees, includinggeneral indications and, where reasonably practicable, specificinformation about the load.

The following two rulings by the courts confirm the employer'sresponsibilities in relation to manual handling:

Another case recognised the needs of patients, at the same time asconfirming that the HSE guidance on manual handling should befollowed.

In 2003, the High Court ruled that Royal College of Nursing guidance,

Section 2 page 20

Michael Wright was employedby Romford Blinds to fitshutters. He was seriouslyinjured when he fell from thetop of his van while loadingshuttering. The High Courtruled that the company hadfailed to carry out a riskassessment and provide a safesystem of work (Wright vRomford Blinds and ShuttersLtd and Peter Baker [2003]EWHC 1165 (QB)).

which required that “the manual lifting of patients is eliminated in all butexceptional or life threatening situations,” breached the DisabilityDiscrimination Act by not taking into account patients’ needs. The courtinstead backed HSE guidance on manual handling (A&8 and X&V vEast Sussex County Council [2003] EWHC 10).

Safety reps have a right to information about new processes, includingproposed workplace layouts. By being involved at the design stagethey have the chance to eliminate problems before a new machine,process or work system is installed. If manual handling cannot beeliminated then the main aim should be to cut the weight of loads andensure that they are handled less often.

There may be a few tasks that cannot be altered and involve difficultlifting problems. In these cases, the workers who are required to dothem should be physically suited and specially trained.

HSE guidance emphasises the importance of consultation with safetyreps. It says:

“It is essential that employers work in partnership with safetyrepresentatives and employees, because they know at first hand therisks in the workplace and can offer practical solutions to controllingthem. Safety representatives can make a particular contributionbecause of the specialised training and support they receive, whichhelps them understand workplace risks and to develop ways to controlthem.”

Safety reps will find the appendices particularly useful. The riskassessment filter from earlier guidance has been expanded, and amanual handling assessment chart is included. There are alsochecklists that can be photocopied on lifting and carrying, and pushingand pulling, with some examples indicating the degree of detailnecessary for a proper assessment.

Manual handling: guidance on regulations, price £8.95, available fromHSE Books.

Personal Protective EquipmentThe Personal Protective Equipment at Work Regulations 1992 (PPERegulations, SI 1992 No.2966) require employers to:

• assess risks and select suitable protection;• ensure that all personal protective equipment (PPE) is

maintained, cleaned or replaced as appropriate, and kept inefficient working order and in good repair;

• accommodate PPE to protect it from contamination, dirt, loss ordamage; and

• inform and train employees about PPE use and maintenance.

A case last year at the House of Lords limited the extent of the duty tomaintain PPE.

Any PPE provided must be suitable. It is unsuitable if it is badly fitting,uncomfortable, puts a strain on wearers or makes the workunnecessarily difficult. Employers must take all reasonable steps toensure that employees use the equipment provided properly – it is notenough just to make PPE available to staff. Employees must use PPEin accordance with training and instructions given. They must also beinvolved in the selection of PPE, and should have an informed choicewhere possible. All PPE must be provided free of charge toemployees. The HSE had to warn catering industry employers last

Section 2 page 21

Jeffrey O'Neill tore two discs inhis lumber spine while workingfor DSG Retail in 1997. Heclaimed that his employer hadnot complied with the duty toavoid manual handlingoperations, or to carry out arisk assessment and reducethem to the lowest levelreasonably practicable. Thecounty court trial in June 2001centred on the employer’sfailure to provide training insafe lifting techniques.Although the county courtjudge dismissed the claim, theCourt of Appeal reversed thedecision, finding that theemployer had breached theregulations by failing to provideproper training and that theinjury was foreseeable. O'Neillwas awarded £39,000 (0'Neill vDSG Retail [2002] EWCA Civ1139).

Angela Knott suffered seriousback and neural damage dueto lifting patients while workingfor Newham Healthcare NHSTrust. Knott claimed the trusthad failed to provide sufficientlifting equipment andeffectively expected nurses tomove patients manually. A HighCourt judge ruled in October2002 that the Trust’sarrangements for lifting wereinadequate and had breachedthe duty under the ManualHandling Regulations. Thejudge concluded that the injurywas caused by the breach ofduty, and awarded Knott£414,000 (Knott v NewhamHealthcare NHS Trust [2002]EWHC 2091).

year about their duty to provide workers with free PPE after numerouscomplaints.

PPE should be seen as a last resort, not a quick or cheap method ofcontrolling risks. There may be a better solution, for example,improving ventilation, changing the way the job is done, or improvingguards on machinery. However, sometimes PPE will still be needed inaddition to other improvements.

PPE is not suitable unless the period for which it is worn is considered,and the characteristics of the workstation of each person are taken intoaccount. They also add that, in the interests of hygiene, PPE isprovided for use only by the person at risk.

Employers to make information available to employees on the riskscontrolled by PPE and on any actions taken to ensure the equipmentis in good working order. Employers are also required to organisedemonstrations of the wearing of personal protective equipment,“where appropriate, and at suitable intervals”.

Regulations concerning the supply of PPE, the Personal ProtectiveEquipment Regulations 2002 (SI 2002 No.1144), place a duty on anyresponsible person who sells PPE to comply with certainrequirements:

• the PPE must satisfy the basic health and safety requirementsthat are applicable to that type or class of PPE;

• the appropriate conformity assessment procedure must becarried out; and

• a CE mark must be affixed to the PPE.The regulations specify procedures and criteria with whichmanufacturers must comply in order to obtain certification. Thisinvolves incorporating basic health and safety requirements intodesign and production.

More information: Personal protective equipment at work: guidance onthe regulations, price £5.75, from HSE Books.

Respiratory protective equipmentHSE has published revised guidance on the safe use of respiratoryprotective equipment (RPE). RPE is a type of personal protectiveequipment designed to protect the wearer against inhalation ofpotentially hazardous substances in workplace air.

The guidance, Respiratory Protective Equipment at Work: A PracticalGuide includes a new RPE Selector tool, which takes the user througha simple step-by-step questionnaire to allow them to decide when it isappropriate to use RPE and to select the correct level of protection. Italso points out some common misuses of RPE, such as the usenuisance dust masks, which have led to incidents and deaths in recentyears.

Machinery and other equipment

The Health and Safety at Work etc Act 1974 (HSWA) includes a dutyto provide and maintain safe plant and safe systems of work and a dutyto inform, train and supervise.

The Provision and Use of Work Equipment Regulations 1998(PUWER, SI 1998 No.2306) set out more detailed requirementsconcerning all equipment used at work across industrial and service

Section 2 page 22

Tanker driver Bryan Fytchewas provided with steel-capped safety boots every sixmonths, designed to protect hisfeet against injury from heavy,sharp or hard objects. Hesuffered frostbite in his toewhen water got into one of hisboots through a tiny hole whilehe was working outside inextreme weather conditions.

Last year the Court of Appealruled that the absoluteobligation imposed by theregulations to repair andmaintain protective equipmentapplied only to the risks forwhich the equipment was toprovide protection, and not toany other risks which mightarise if the equipment was notin an efficient state or in goodrepair. Later in the year theHouse of Lords upheld theCourt of Appeal ruling (Fytchev Wincanton Logistics plc[2004] UKHL 31).

sectors. PUWER covers everything from photocopiers to combineharvesters. There are specific requirements relating to mobile workequipment, and approved codes of practice (ACOPs) to theregulations dealing with power presses and woodworking machines.

The regulations reflect the way work equipment is used in industrieswhere there is not necessarily a direct employment relationshipbetween users and the people who control its use, or where peoplecontrol equipment but not its use. The most important requirement ofthe regulations is that the equipment is suitable for the job it has to do.In a recent case, the Court of Appeal ruled that work equipment shouldnot be regarded as unsuitable when injury results from the mishandlingof equipment that is otherwise safe to use.

Employers must:• take into account the working conditions and hazards when

selecting equipment;• ensure that equipment is well maintained and in good repair and

working order, and keep maintenance logs up to date;• ensure that equipment is inspected after installation and before

being put into service for the first time, or after assembly at anew site or in a new location. Where work equipment is exposedto conditions causing deterioration, it must be inspected atregular intervals and each time that circumstances that areliable to jeopardise the safety of the equipment have occurred;

• ensure that where specific risks are involved, use is restrictedand that any repair, servicing, modification or maintenance iscarried out by those who have received adequate training; and

• ensure that appropriate information, instruction and training isgiven to employees and any supervisors or managers.

The need to maintain work equipment in good repair was confirmed inthe case of Stark v The Post Office [2000] PIQR 105.David Stark, a member of the CWU communication workers’ union,suffered serious injuries when the brake stirrup on the bicycle he hadbeen provided with snapped, throwing him over the handlebars. TheCourt of Appeal ruled that the regulations impose an absolute duty andsince the bike broke, the employers must have been in breach.There are specific requirements regarding: dangerous parts ofmachinery; protection against particular hazards; high or lowtemperatures; control systems and devices; isolation from sources ofenergy; stability; lighting; maintenance operations; and markings andwarnings. In another recent case, the Court of Appeal allowed anappeal for damages by a joiner who was injured while using a circularsaw.Part III of PUWER requires employers and other duty-holders toensure that equipment is safe to use by preventing or controlling risks.This could involve, for example, the fitting of roll-over protectivestructures (ROPS), falling object protective structures (FOPS), seatrestraints (seat belts, lap belts, etc.) and driver visibility aids such asmirrors. In addition to PUWER, the Lifting Operations and LiftingEquipment Regulations 1998 (SI 1998 No.2307) apply across allindustry sectors.

The workplace and the workingenvironment

The Workplace (Health, Safety and Welfare) Regulations 1992(Workplace Regulations, SI 1992 No.3004) lay down minimumstandards for the workplace, the working environment and welfare

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Terence Griffiths worked at theVauxhall Motors car plantwhere he was injured by anelectrical gun in 2000. Heargued that a sudden upwardmovement of the gun - a “kick-back” - had caused the injury.Although he and other workershad complained about thekickback before, the judgefound there was no inherentdefect in the gun and that itworked within the parametersset by the manufacturer andthe employer. However,Griffiths was awardeddamages after the Court ruledthat Vauxhall's failure to carryout a risk assessment on thegun caused the accident. TheCourt ruled that after a riskassessment, operators wouldhave been instructed to holdthe gun tightly, which wouldprobably have prevented theincident (Griffiths v VauxhallMotors Ltd, Court of Appeal[2003] EWCA Civ 412).

Mr Sherlock severed his thumband finger while trimmingUPVC fascia boards with aportable bench saw. Sherlockclaimed the council hadbreached the PUWERregulations by failing to carryout a risk assessment, toprovide him with safetyinformation about the benchand failing to ensure the sawand the fascia were stabilised.The original trial judgedismissed his claim, but theCourt of Appeal upheld it(Sherlock v Chester Council[2004] EWCA Civ 210).

facilities. Standards suggested by professional institutions have beengenerally accepted throughout industry and commerce, so it may bepossible to refer to other sources of guidance to improve on theminimum standards set down in the regulations.

The Workplace Regulations apply to all workplaces. The regulationssay that where a workplace is in a building, “the building shall have astability and solidity appropriate to the nature of the use of theworkplace.”Temporary work sites are also included and must have, “so far as isreasonably practicable”, toilets and washing facilities, drinking water,changing facilities and accommodation for clothing, and facilities forrest and eating meals. Outdoor sites must have toilets, washingfacilities and drinking water.

Employers must take account of those parts of the workplace,“including doors, passageways, stairs, showers, washbasins,lavatories and workstations”, used by disabled workers.

Minimum standards for the workplace

MaintenanceThe workplace, equipment, devices and systems must be maintainedin an efficient state and working order and kept in good repair. Thisincludes, for example, ventilation systems, emergency lighting, seatingand workstations, guards to prevent falls and escalators. Whereappropriate, they must be subject to a suitable system of maintenance(regulation 5).

VentilationRegulation 6 states that, in enclosed workplaces, employers mustprovide effective and suitable ventilation to supply a sufficient quantityof fresh or purified air. Ventilation plant must give warning of failure if itis necessary for health and safety reasons. The approved code ofpractice (ACOP) says that ventilation systems should not causeuncomfortable draughts, and that ventilation should be sufficient toprovide fresh air for breathing, to dilute any contaminants, such astobacco smoke, and to reduce odour. Air inlets should not be situatednear contaminated air (for example, from vehicle exhausts or flues).Recycled air systems should be filtered and mixed with fresh air.

TemperatureEmployers must ensure that the temperature in all workplaces insidebuildings is "reasonable" during working hours. This means providingreasonable comfort without the need for special clothing. The ACOPsays that workrooms should normally be at least 16°C for most typesof work, and at least 13°C for work involving considerable physicaleffort. For most kinds of work the acceptable range of thermal comfortlies between 16°C and 24°C.

Although a maximum temperature is not specified, a workplace mustbe “adequately thermally ventilated” and that the “excessive effects ofsunlight on temperature shall be avoided”.The World Health Organisation says that, in temperate climates, theoptimum indoor temperature is between 18°C and 24°C, and reps canuse these figures to negotiate better standards than those laid downby law. The TUC and unions are continuing to press the governmentfor a maximum workplace temperature.

Other factors such as draughts and humidity must also be consideredwhen aiming for a comfortable temperature. The ACOP says that all

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reasonable steps should be taken to achieve a comfortabletemperature, including insulating hot pipes and equipment, providingair cooling plants, shading windows, sitting workstations away from hotareas and using fans and increased ventilation in hot weather.

As a last resort, in unavoidably hot or cold areas, employers shouldprovide suitable protective clothing and rest facilities, and limit theamount of time that individuals work in these areas. Regulation 7 alsosays that a sufficient number of thermometers must be provided toenable workers to check temperatures in indoor workplaces.

LightingRegulation 8 states that employers must ensure that every workplacehas suitable and sufficient lighting – which should be natural light, sofar as is reasonably practicable – and that they should provide suitableand sufficient emergency lighting where needed. The regulations donot define “suitable and sufficient”, but the ACOP says that the lightingshould enable people to work and move about safely.

Where natural light is utilised, windows and skylights should beregularly cleaned, although they may be shaded to reduce glare andheat.

CleanlinessWorkplaces, furniture, furnishings and fittings must be kept sufficientlyclean; floors, walls and ceilings must have easily cleanable surfaces;and waste materials must be stored in suitable containers (regulation9). Floors should be cleaned at least once a week.

SpaceEvery workroom should have sufficient floor area, height andunoccupied space (regulation 10). The ACOP says that, as aminimum, 11 cubic metres should be allowed per person working in aroom, discounting any room height over three metres.

The ACOP also says that the number of people who may work in anyroom at the same time will depend on the size of the room, the spacetaken up by furniture, fittings and equipment, and the layout of theroom. So 11 cubic metres may not be sufficient if the room is crowdedwith equipment or furniture. The guidance suggests that in a typicalroom with a ceiling height of 2.4 metres, a floor area of 4.6 squaremetres per person is needed. Where the ceiling is 3 metres high ormore, the minimum floor area will be 3.7 square metres.

Workstations and seatingRegulation 11 says that every workstation must be suitable for theworker using it and the work carried out. Outdoor workstations shouldprovide protection from bad weather, allow the user to leave quickly inan emergency and ensure that the user is not likely to slip or fall.Suitable seating must also be provided at workstations where the workcan be done sitting down, with a footrest where necessary.

More information: Seating at work, price £7.95, from HSE Books.

Condition of floorsFloors must be suitably constructed without uneven or slipperysurfaces; be free from obstructions and other slip, trip or fall hazards;and have effective drainage in wet areas (regulation 12). In addition,stairs and steep slopes must be provided with handrails wherepossible.

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In the case of the Home Officev Lowles 2004 (EWCA Civ 985)the Court of Appeal confirmedthat an employer’s liabilityshould be assessed by lookingat the regulations as a whole.

Ms Lowles, who worked atArmley prison, slipped andinjured herself on a rampleading into the prison. Sheargued that a two-inch step onwhich she slipped made theramp an unsuitable trafficroute. The judge dismissed theHome Office’s appeal, arguingthat the step could beconsidered an obstruction.

However, in the case of Lewis vAvidan, the Court of Appealdismissed a claim after a careassistant was injured slippingon a wet floor. At the end of anight shift Lewis slipped on apatch of water on a lino floor,which had been caused by aburst water pipe. The judgeruled that the unexpected flooddid not mean the floor wasinadequately maintained([2005] All ER (D) 136 (Apr)).

Traffic routes for pedestrians and vehicles in workplaces should bekept free from obstructions and free from slip, trip or fall hazards.employers’ duties with respect to regulation 12.

Falls or falling objectsPrecautions should be taken to prevent people being injured throughfalling or being struck by falling objects, by means other than byproviding personal protective equipment (regulation 13).

More information: Workplace transport safety – guidance foremployers, price £7.50, from HSE Books.

Escalators and moving walkwaysThese should function safely and be equipped with the necessarysafety devices and easily identifiable and accessible emergency stopcontrols (regulation 19).

Sanitary, washing and drinking facilitiesRegulation 20 states that suitable and sufficient toilets must beprovided, adequately ventilated and lit, kept clean and maintained inan orderly condition. The ACOP recommends that toilets shouldcontain toilet paper in a holder or dispenser; have a facility for hangingcoats; and, where used by women, contain the means for disposal ofsanitary towels.

Regulation 21 states that suitable and sufficient washing facilities mustbe provided, including showers where necessary due to the nature ofthe work or for health reasons. Washing facilities will be consideredsuitable if they are: in the immediate vicinity of toilets or changingrooms; provided with a clean supply of hot and cold (or warm) water,soap, and towels; and are sufficiently ventilated, lit and kept clean andorderly.

Separate toilet and washing facilities must be provided for men andwomen, except where the facilities are provided in a room intended forthe use of one person at a time and which can be secured from theinside. This last provision does not apply to washing facilities intendedfor the hands, forearms and face only.

The ACOP lists the minimum facilities that should be provided:

Number of men/women 1-5 6-25 26-50 51-75 76-100Number of toilets and wash stations 1 2 3 4 5

An additional toilet and wash station should then be provided for every25 (or fraction of 25) people over 100. Alternative arrangements forfacilities only used by men are also set out.

The regulations also specify that an adequate supply of drinking waterand cups must be provided.

toilet during paid time, without the loss of any wages. Under theWorkplace Regulations employers have to provide toilets for their staff,but do not have to let them go when they want.

Clothing and changingEmployers have to provide suitable and adequate facilities for storingclothing not worn during working hours, and for clothing worn at workbut not taken home. Such accommodation must be secure, in asuitable location and, so far as is reasonably practicable, includedrying facilities. For changing clothing it should be “easily accessible,

Section 2 page 26

of sufficient capacity and provided with seating”. Separate facilities formen and women must be taken into account.

The ACOP recommends that they should be accessible to workrooms(and eating facilities if provided) and should contain seating. Wherespecial clothing must be worn at work, or for reasons of health orpropriety a person cannot change in another room, then changingfacilities must be provided.

Rest and eating facilitiesRegulation 25 states that readily accessible, suitable and sufficient restfacilities must be provided. Where food eaten in the workplace is liableto become contaminated, suitable facilities for eating meals must beincluded in the rest facilities. Canteens may be used as rest facilitiesif there is no obligation to buy food. These areas must include suitablearrangements for protecting non-smokers from discomfort and theremust be suitable rest facilities for pregnant women and nursingmothers.

The ACOP recommends that rest facilities should include sufficientseats and tables. Work seats in offices or other clean environmentsmay be acceptable, provided workers are not subjected to excessivedisturbance during rest periods. Eating facilities should include themeans for preparing or obtaining a hot drink and, where hot foodcannot be readily obtained, the means for workers to heat their ownfood.

The regulations add that “an adequate number of tables and adequateseating with backs” should be provided, and that this seating isadequate for any disabled persons at work.

Smoking at workUntil 2007, regulation 25 of the Workplace Regulations contained theonly specific legal requirement concerning smoking at work. Thisstates that in rest rooms and rest areas, appropriate measures mustbe introduced for the protection of non-smokers from discomfortcaused by tobacco smoke. The ACOP with the WorkplaceRegulations advises that this can be achieved by providing separateareas for smokers and non-smokers, or by prohibiting smoking in restrooms and rest areas. In addition, every workroom must be ventilatedwith adequate supplies of fresh and purified air to dilute anycontaminants and reduce odour such as tobacco smoke.

However, following the findings of the Scientific Committee on Tobaccoand Health in 2004 that second hand smoking causes an estimated24% increase in lung cancer and a 25% increase in ischaemic heartdisease in non-smokers, the Government introduced the Health Bill in2006. The new legislation prohibits smoking in “smoke-free premises”such as workplaces and vehicles for public use, with certainexceptions.

The smoke-free requirements of the Health Act 2006 and supportingregulations come into force in Wales on 2 April 2007 and in Englandon 1 July 2007. Detailed guidance on the new legislation is given laterin this Section of the Manual.

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In Post Office v Footitt [2000]IRLR243, the High Court heldthat “special clothing” was “anyclothing which would notordinarily be worn other thanfor work and which is designedto relate to the employee’swork, such as a distinctiveuniform” and was not restrictedto clothing worn only at work.Clothing worn while travellingto and from work could still bespecial clothing within themeaning of regulation 24.

The court also said that theconcept of propriety was notconfined to gender. In thiscase, women postal workerscould change in the women’stoilet area, but this meant theyhad to undress in front of otherwomen. The employers hadoriginally appealed against animprovement notice requiringthem to provide a separatechanging room for womenpostal workers.

Application of Health and SafetyLegislation to the Police Service

The Police (Health and Safety) Act 1997 came into force on 1 July1998, followed by the Police (Health and Safety) Regulations 1999 on14 April 1999. Together, these two pieces of legislation allowed theHealth and Safety at Work etc Act 1974 and the regulations madeunder the Act to be applied to police officers, whereas formerly theyhad been excluded because they were office holders rather thanemployees. Of course, police support staff and the other emergencyservices had been covered by the HSW Act from its commencement in1975.

The European Framework Directive of 1989 was clearly intended toapply to the “civil protection services” and this provided the impetus forthe Government to apply the HSW Act and subsequently the EC “6Pack” regulations to the whole of the police service.

This means that Police Officers are treated as if they were employeesof the chief officer of police and the Police Federation is treated as if itwere a trade union for the Health and Safety at Work Act 1974 and allother health and safety law.

As a result of more recent legislation, section 158 of the SeriousOrganised Crime and Police Act 2005 (see section 10), the chief officeris now to be treated as a “corporation sole”. In other words, legalaction under health and safety law would be taken against the office ofchief constable rather than the individual, unless the offence was dueto the personal neglect, consent or connivance of the office-holder.

Work-related Stress

BackgroundThe Health and Safety Executive (HSE) define stress as “the adversereaction people have to excessive pressure or other types of demandplaced on them”. This definition is widely accepted. We all recognisethat a certain degree of pressure is part and parcel of all work andhelps to keep us motivated. However excessive pressure can lead tostress that undermines performance, is costly to employers and canlead to ill health.

HSE commissioned research indicates that about half a million peoplein the UK experience work-related stress at a level they believe ismaking them ill. It also shows that work-related stress costs societyabout £3.7 billion every year (at 1995/6 prices). Stress continues to bea major workplace issue for trade union safety reps and theirmembers. This was borne out, yet again, by the 2004 TUC biennialsurvey.

58% of the 5,800 safety reps who responded to the survey said thatstress was the main hazard of concern to workers. Overwork or stress was 18% higher than the next most frequently cited hazard, repetitivestrain injuries (40%). The picture is similar for all sizes of workplace,different regions/countries and most economic sectors:

To identify the causes of overwork or stress, the TUC survey askedsafety reps to identify what were the major stress factors or problemsat their workplaces. The results are in the table below

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See section 10

Table - Factors linked to overwork or stress

Trade Unions have been campaigning for specific legislation to makerisk assessment for stress a legal duty on employers but to date thathas not happened.

However, the HSE agrees with the TUC that work-related stressshould be treated as any other workplace hazard. It also emphasisesthat it is subject to risk assessment as required by the Management ofHealth and Safety Regulations 1999. To assist with this process, HSEhas developed Management Standards to assist employers in carryingout this duty.The Health and Safety Executive Management Standards for Work-related stress

The Management Standards and accompanying guidance have beendesigned to assist employers in identifying causes of stress in theworkplace and develop and implement solutions to minimise theeffects on workers. The TUC and affiliated unions have welcomed thisdevelopment as it gives real support to employers wishing to tacklestress at work. The standards also give health and safety enforcementofficers a means of assessing whether an employer is failing tomanage stress.

The TUC and unions want the standards to be used to enforce theManagement of Health and Safety Regulations 1999 when employersfail to manage stress at work despite the assistance and advice givenin the standards by the HSE.

The TUC believes that, in the absence of specific legislation, the HSE’sStress Management Standards are the most effective way of dealingwith stress. However it is important that unions are involved in theintroduction of the standards at every stage. If employers simply try tointroduce them without proper consultation they are unlikely to beeffective.

The Standards aim to simplify the risk assessment process and at thesame time provide a yardstick by which organisations can gauge theirperformance in tackling the key causes of stress.

The standards classify the principle causes of work-related stress intosix key areas:

Demands - Includes issues like workload, work patterns, and the workenvironmentControl - How much say the person has in the way they do their workSupport - Includes the encouragement, sponsorship and resourcesprovided by the organisation, line management and colleagues

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Factor Problem issues Problem issues Problem issues Problem issues2004 survey 2002 survey 2000 survey 1998 survey

Workloads 79% 80% 74% 60%Cuts in staff 49% 50% 53% 60%Change 47% 52% 44% no equivalentLong hours 37% 41% 39% 28%Bullying 27% 28% 30% 21%Shift work 22% 22% 30% 22%Cramped working conditions 17% 19% 16% 14%Redundancies 14% 12% 17% 15%Sex or racial harassment 3% 4% 6% 5%

Relationships - Includes promoting positive working to avoid conflictand dealing with unacceptable behaviour.Role - Whether people understand their role within the organisationand whether the organisation ensures that the person does not haveconflicting rolesChange - How organisational change (large or small) is managed andcommunicated in the organisation

For each of these factors the HSE Standards give a state which eachemployers should aim to achieve. These are:

Demands - Employees indicate that they are able to cope with thedemands of their jobs.Are members able to deal with workloads and deadlines? It may thatthe work is dealt with but it is a matter of ‘coping’ all the time. Is thefeeling of being under pressure all the time the general attitude ofmembers or is it just one or two people? If a general attitude then it isprobably an organisational issue. If down to individuals, then it may bethat they have not been trained properly and do not have the right skillsfor the job. This is an example of why a dialogue following the surveyis key – it helps identify the local issues and develop practicalsolutions.

Control - Employees indicate that they are able to have a say aboutthe way they do their workHaving established what they do and if they have been trained to dothe job, workers need to know how flexible the working arrangementsare. Are members able to vary the routine or the way in which the workhas to be carried out? For instance this may be because memberswork on a production line or they are call centre workers and formshave to be completed in a set way or phrases said in a particularformat.

Support - Employees indicate that they receive adequate informationand support from their colleagues and superiors.You need to establish that there is a clear line of responsibility orsupervision or that the member is clear about the kinds of decisionsthey can take on their own. Asking if they know who their linesupervisor is and whether that person is readily available to giveguidance and support would be useful.Is teamwork or communication between colleagues encouraged ordoes the work set-up prevent this? Do members have time to talk toeach other?

Relationships - Employees indicate that they are not subjected tounacceptable behaviour, e.g. bullying at work.This follows on from the last heading. Does the work pattern or job setup enable people to build constructive and supportive relationships atwork? If you identify problems you may need to negotiate an agreement ondealing with bullying at work. Check if there is a grievance procedure.If there is one, do members think it works? You may need help fromyour union official to help set up these discussions or get guidance.

Role - Employees indicate that they understand their role andresponsibilities.

You need to establish that members are clear as to what their job isand what it is they are expected to do.

Change - Employees indicate that the organisation engages them

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frequently when undergoing an organisational change.Change itself may not be a bad thing. However, it is key that structuresare in place so that members are informed and consulted on change,particularly at times of fundamental restructuring when redundancymight be on the cards.

Women Workers

A recent European Agency for Safety and Health at Work reportreviewed gender differences in workplace injuries and illness, gaps inknowledge and implications for improving risk prevention. It showshow the design of work, its organisation and equipment are oftenbased on the model of the ‘average’ man, although the principle ofmatching work to worker is enshrined in EU legislation. In general, thereport concludes that women suffer more from work-related stress,infectious diseases, upper limb disorder, skin diseases and asthmaand allergies, while men suffer more from accidents, back pain andhearing loss. (See the European Agency for safety and Health at Workweb page http://europe.osha.eu.int/good_practice/person/gender/

What can safety representatives do?There are a number of positive steps that a safety representative cantake to ensure that women workers are treated equally in theworkplace. Examples of measures that can be taken include:

• Membership awareness• Surveys and Inspections• Risk assessments• Health and Safety policy and procedures

Making a risk assessment more gender-sensitiveThe Police Federation considers that a risk assessment should takeaccount of gender issues, differences and inequalities. Work, itsorganisation and the equipment used should be designed to matchpeople, not the other way round. The principles is enshrined in EUlegislation and enacted in Regulations in the UK. The legislationrequires employers to carry out risk management based on riskassessment, and this can be divided into five stages.

• Hazard identification• Risk assessment• Implementation of solution• Monitoring• Review

The European Agency for Safety and Health at Work has developedsuggestions for making this process more gender-sensitive.

Key issues for gender-sensitive risk assessment• Have a positive commitment and taking gender issues seriously.• took at the real working situation.• Involve all workers, women and men, at all stages.• Avoid making prior assumptions about what the hazards are and

who is at risk.”

Pregnant workersThe Management Regulations contain specific provisions for womenof childbearing age in the workforce. Regulation 16 says any riskassessment must take account of how hazards may affect the healthand safety of new or expectant mothers.

When employers receive written notification from an employee thatshe is pregnant, has given birth within the previous six months, or is

Section 2 page 31

See Display screenregulations pages 17-18

breastfeeding they must conduct a specific risk assessment to identifyif she is exposed to any process, working condition or physical,chemical or biological agent which may damage her health and safetyor that of her baby. The assessment must take into account any adviceprovided by the woman's doctor or midwife about her health.

A Labour Research Department survey in 2004 found that, even inworkplaces with union representation, only 58% of safety reps saidthat risk assessments included an assessment of the risks to new andexpectant mothers.

Employers must take action to remove, reduce or control any risksidentified. If the risk cannot be removed, employers must:

• temporarily adjust her working conditions and/or hours of work;or if that is not possible;

• offer her suitable alternative work (at the same rate of pay) ifavailable; or

• suspend her from work on paid leave to protect her health andsafety and that of her child appropriate for her to do in thecircumstances and on terms and conditions no less favourablethan her normal terms and conditions.

In 2003, an Employment Appeal Tribunal (EAT) confirmed thatemployers must carry out a specific risk assessment when anemployee notifies them that she is pregnant.

Regulation 17 of the Management Regulations says that new orexpectant mothers may also be suspended from night work where theyhave a signed certificate from a registered medical practitioner ormidwife stating that this is necessary in the interests of their health andsafety.

The HSE says it is important that women workers inform theiremployers that they are pregnant, have given birth in the previous sixmonths or are breastfeeding in writing and as early as possible.

The Police Federation of England and Wales also provide separateguidance on family leave and flexible working and equality anddiversity, and that representatives should be aware of these andconsult them when dealing with these issues as more detailedguidance is available in them. They are all available on theRepresentative’s Support Disk as well in as in hard copy manuals.

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The Reporting of Injuries, Diseases andDangerous Occurrences Regulations 1995(RIDDOR)

Summary of dutiesRIDDOR requires employers and others to report work-relatedaccidents, diseases and dangerous occurrences to the enforcingauthorities. The regulations apply to all work activities.

Employer’s dutiesReporting under RIDDOR is the duty of the responsible person, who,in the case of death or other reportable injury to an employee, is theemployer.

Employees’ dutiesThere are no specific duties on employees in these regulations.However, the legal functions of safety representatives under the SafetyRepresentatives and Safety Committees Regulations 1977 includeinvestigating notifiable accidents, diseases and dangerousoccurrences.

RIDDOR Step by Step

Regulation 1: Citation and commencementThe regulations came into force on 1 April 1996. No amendments havebeen made since then, but HSC is currently conducting a fundamentalreview of RIDDOR (2006).

Regulation 2: InterpretationAn “accident” includes an act of non-consensual physical violencedone to a person at work; and an act of suicide which occurs on, or inthe course of the operation of, a relevant transport system. Hencesuicides in police cells are unlikely to be reportable under RIDDOR. A“relevant transport system” means a railway, tramway, trolley vehiclesystem or guided transport system.

A “dangerous occurrence” (DO) means an occurrence which arises outof or in connection with work and is of a class specified in Schedule 2of the regulations. These are the only dangerous occurrences that arereportable under RIDDOR.

A “major injury” means an injury or condition specified in Schedule 1 ofthe regulations (reproduced on page 32).

In connection with the reporting of accidents, the employer is the“responsible person” in the case of the death, other reportable injury oroccupational disease suffered by an employee. In any other case, theresponsible person is the person having control of the premises wherethe reportable accident, DO or disease happened. For example, in thecase of the death or removal to hospital of a member of the public, theresponsible person is the person in charge of the premises where theinjury occurred.

HSE has advised that an injury to a member of the public resultingfrom police actions would be reportable only if:

• it resulted from an accident, and• the accident arose out of or in connection with the work of the

police, and

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• the injured person died or was taken from the site of theaccident to a hospital for treatment (whether or not anytreatment was given when they got there).

Under RIDDOR, an injury to a member of the public resulting fromdeliberate police action directed at that individual, for example duringarrest or self defence, would not be regarded as arising from anaccident, and hence would not be reportable under RIDDOR.

In connection with the reporting of injuries to members of the public onpolice premises, the responsible person would be the person for thetime being having control of those premises. Where an accident takesplace outside those premises, such as in a street, but in connectionwith police work, the person having control of the police premiseswould again be the responsible person. In cases where the police arepresent in other premises, such as a football ground, then theresponsible person would be whoever is in overall control of thosepremises.

Regulation 3: Notification and reporting of injuries anddangerous occurrencesWhere a person at work dies, suffers a major injury or is incapacitatedfor more than three consecutive days (excluding the day of theaccident but including any non-working days), the responsible personshould forthwith notify the relevant enforcing authority. For the policeservice, the enforcing authority is the Health and Safety Executive.

The reporting procedure originally consisted solely of sending theofficial reporting form (F2508) to the local enforcing authority office, butthis was simplified in April 2001 and now all cases can be reported toa single point, the Incident Contact Centre (ICC), based at Caerphilly.Incidents can be reported by telephone, fax, via the Internet or by post,and, in the case of reports via telephone or the Internet, the ICC willsend a copy of the report to the responsible person for their records.

Regulation 4: Reporting the death of an employeeIf an employee dies as a result of an accident at work within one yearof the date of that accident, then the employer should inform theenforcing authority in writing as soon as it comes to their knowledge,whether or not the accident has already been reported underregulation 3 of RIDDOR.

Regulation 5: Reporting of cases of diseaseWhere a person at work suffers from any of the occupational diseaseslisted in Part 1 of Schedule 3 of the regulations, and their work involvesone of the activities specified in the Schedule, the responsible personshould report it to the relevant enforcing authority. Only those diseasesor ill health conditions that are listed in the Schedule are reportable: forexample, neither noise-induced deafness nor stress-related conditionsare included. As with injuries and dangerous occurrences, reportingshould now be directed to the Incident Contact Centre.

Regulation 7: RecordsThe responsible person should keep a record of any reportable injury,disease or dangerous occurrence for three years after the date onwhich it happened. The details required, which are listed in Schedule4, are:

• the date and method of reporting• the date, time and place of the event• personal details of those involved, and

Section 2 page 34

Under the Social Security(Claims and Payments)Regulations 1987, employers ofmore than 10 people must recordall accidents, normally in anaccident book BI 510. In October2004, HSE published a revisedversion of the accident book,containing amended accidentforms including a tick boxindicating that the injured personhas agreed to their personalinformation being disclosed tothe safety representative.

• a brief description of the nature of the event or disease.

Records may be kept in any form, but extracts must be made availableto the enforcing authority on request. In addition, using their powersunder the HSW Act, HSE inspectors may require any part of therecords to be produced. Details may be recorded on a computer,copies of report forms may be filed or a written log may be kept.

Regulation 10: Restrictions on the application of regulations 3, 4and 5The requirements in regulations 3 and 4 for reporting the death orinjury of a person do not apply to accidents involving vehicles movingon a public road (section 192 of the Road Traffic Act 1988) unless theyresult from:

• exposure to a substance being conveyed on the vehicle• work connected with the loading or unloading of the vehicle• work on or alongside a road, being concerned with the

construction, demolition, alteration, repair or maintenance of theroad, its boundaries or adjacent buildings or structures

• an accident involving a train.

Therefore, injuries resulting from collisions between vehicles are notreportable, but HSE has asked police forces to report accidents wherepolice officers have been injured while working on foot at the roadside,e.g at vehicle stops, setting out traffic cones or deploying Stinger.

Schedule 1: Major Injuries1 Any fracture, other than to the fingers, thumbs or toes2 Any amputation3 Dislocation of the shoulder, hip, knee or spine4 Loss of sight (whether temporary or permanent)5 A chemical or hot metal burn to the eye or any penetrating injury to

the eye6 Any injury resulting from an electric shock or electrical burn

(including any electrical burn caused by arcing or arcing products)leading to unconsciousness or requiring resuscitation or admittanceto hospital for more than 24 hours

7 Any other injury – (a) leading to hypothermia, heat-induced illness or to

unconsciousness,(b) requiring resuscitation, or(c) requiring admittance to hospital for more than 24 hours.

8 Loss of consciousness caused by asphyxia or by exposure to aharmful substance or biological agent

9 Either of the following conditions which result from the absorptionof any substance by inhalation, ingestion or through the skin – (a) acute illness requiring medical treatment; or(b) loss of consciousness.

10 Acute illness which requires medical treatment where there isreason to believe that this resulted from exposure to a biologicalagent or its toxins or infected material.

Extract from Schedule 2: Dangerous occurrences• Collapse, overturning or failure of any lift, crane, access platform• Failure of any pressure system with the potential to cause the

death of any person• Failure of any freight container while it is being raised, lowered

or suspended• Any incident in which plant comes into contact with an

uninsulated overhead electric line in which the voltage exceeds

Section 2 page 35

More information: A Guide to theReporting of Injuries, Diseasesand Dangerous OccurrencesRegulations 1995 L73 HSE Books, PO Box 1999,Sudbury, Suffolk CO10 2WA

200 volts• The unintentional explosion or ignition of explosives other than

one caused by the unintentional discharge of a weapon where,apart from that unintentional discharge, the weapon andexplosives functioned as they were designed to do

• Any accident or incident which resulted or could have resultedin the release or escape of a biological agent likely to causesevere human infection or illness

• Any incident in which breathing apparatus malfunctions while inuse or during testing immediately prior to use in such a way thathad the malfunction occurred while the apparatus was in use itwould have posed a danger to the health or safety of the user

• The failure of any load-bearing part of fairground equipment orany part designed to support or restrain passengers

• Any incident involving a road tanker or tank container used forthe carriage of dangerous goods in which the road tankeroverturns, the tank is seriously damaged, there is anuncontrolled release or a fire involving the dangerous goods.

• Any unintended collapse or partial collapse of any building orstructure under construction, reconstruction, alteration ordemolition involving the fall of more than 5 tonnes of material

Extract from Schedule 3: Reportable diseases

• Certain poisonings• Some skin diseases such as occupational dermatitis, skin

cancer, chrome ulcer, oil folliculitis/acne• Lung diseases including occupational asthma, farmer’s lung,

pneumoconiosis, asbestosis, mesothelioma• Infections such as leptospirosis, hepatitis, tuberculosis, anthrax,

tetanus and legionellosis• Other conditions such as occupational cancer, certain musculo-

skeletal disorders, decompression illness and hand/armvibration syndrome.

Control of Substances Hazardous to HealthRegulations 2002 (COSHH)

SummaryThe Control of Substances Hazardous to Health Regulations 2002(COSHH 2002, SI 2002 No.2677) cover the control of risks fromharmful chemicals and other substances, including biological agents.The regulations apply to chemical substances, biological agents,carcinogens, substances having workplace exposure limits and dusts.

Substances hazardous to health under COSHHUnder COSHH there are a range of substances regarded ashazardous to health:

• Substances or mixtures classified as dangerous to health underthe Chemicals (Hazard Information and Packaging for Supply)Regulations 2002 (CHIP).

• Substances with workplace exposure limits, listed in HSEpublication EH40/2005 Workplace exposure limits

• Biological agents (bacteria and other micro-organisms), if theyare directly connected with the work, or if the exposure isincidental to the work (eg exposure to blood borne viruses suchas Hepatitis B during policing).

• Any kind of dust if its average concentration in the air exceedsthe levels specified in COSHH.

• Any other substance which creates a risk to health, but which for

Section 2 page 36

technical reasons may not be specifically covered by CHIPincluding asphyxiant gases such as carbon dioxide which canendanger life by reducing the amount of oxygen available tobreathe.

What COSHH requiresTo comply with COSHH, employers need to follow these eight steps:

Step 1: Assess the risksMake a suitable and sufficient assessment of the risks to health fromhazardous substances used in or created by the workplace activities.Identify the hazardous substances present in the workplace and thenconsider the risks these substances present to people’s health. Thelegal responsibility for the assessment is the employer’s, butemployees or their safety representatives should be involved in theassessments and must be informed of the results.

Step 2: Decide what precautions are neededIf the assessment identifies significant risks, the employer shouldensure that the exposure of his employees is either prevented, or,where this is not reasonably practicable, adequately controlled byreference to a hierarchy of measures (see Step 3). If there are five ormore employees the employer should make and keep a record of themain findings of the assessment, including the control measuresnecessary. The assessment should be reviewed when there is reasonto suspect that the assessment is no longer valid; or there has been asignificant change in the work; or the results of monitoring employees’exposure shows it be necessary.

Step 3: Prevent or adequately control exposureCOSHH requires employers to prevent exposure to substanceshazardous to health if it is reasonably practicable to do so. Otherwise,exposure should be adequately controlled. The provision of personalprotective equipment (eg face masks, respirators, protective clothing)should only be used as a last resort, and never as a substitute for othercontrol measures which are required. Under COSHH, adequatecontrol means reducing exposure to a level that most workers could beexposed to, day after day, without adverse effects on their health. Fora number of commonly used hazardous substances, HSC hasassigned an occupational exposure limit (OEL) to help defineadequate control.

Step 4: Ensure that control measures are used and maintained

Step 5: Monitor the exposure

Employers have to monitor the airborne concentration of hazardoussubstances if:

• there could be serious risks to health if control measures failedor deteriorated

• exposure limits might be exceeded• control measures might not be working properly

Step 6: Carry out appropriate health surveillanceCOSHH requires employers to carry out health surveillance in thefollowing circumstances:

• where an employee is exposed to one of the substances listedin Schedule 6 of COSHH and is working one of the relatedprocesses

• where employees are exposed to a substance linked to aparticular disease or health effect and there is a reasonable

Section 2 page 37

Yvonne Naylor worked for VolexGroup plc making wiringharnesses. The work involvedsoldering, giving off fumescontaining colophony, arespiratory sensitiser. Naylorargued that exposure tocolophony caused her to developasthma. Volex argued that itlacked knowledge of the effects,but the Court of Appeal agreedwith the original judgement thatthis was no defence anddismissed the appeal. (Naylor vVolex Group [2003] EWCA Civ222)

likelihood of the disease occurring and it is possible to detect thedisease or health effect.

Step 7: Prepare plans to deal with accidents, incidents andemergencies involving exposure to a hazardous substance

Step 8: Ensure employees are properly informed, trained andsupervisedSuitable and sufficient information, instruction and training shouldinclude:

• the names of substances that employees could be exposed toand the risks created by such exposure, and access to relevantsafety data sheets

• the precautions that employees should take to protectthemselves

• how to use the personal protective equipment provided• the results of any exposure monitoring or the collective results

of any health surveillance (without identifying particularpersons).

• Emergency procedures that need to be followed

Implications for the police service

Blood borne viruses such as Hepatitis B are classed as biologicalagents under COSHH, and the guidance to regulation 7 states that“..employers should make arrangements for vaccination, free ofcharge, to employees who are considered vulnerable to biologicalagents to which they are exposed or likely to be exposed at work. It

is recommended that employers keep a vaccination record.”

Control of Lead at Work Regulations 2002

SummaryThe Control of Lead at Work Regulations 2002 (CLAW, SI 2002 No.2676) apply to any kind of work activity that is likely to exposeemployees and anyone else to lead. It must be in a form that can beinhaled, ingested or absorbed through the skin. The regulations havesignificant implications for police officers and civilian support staff whoare concerned with the use of firearms in indoor firing ranges and thecleaning of those ranges.

What CLAW requiresIn order to comply with CLAW, employers have to take the followingsteps:

Step 1: Assess the riskMake a suitable and sufficient assessment of the risks to the health ofemployees created by the work, to include whether the exposure ofany employees to lead is liable to be significant. Identify andimplement the measures to prevent or adequately control theexposure. Record the significant findings of the assessment as soonas practicable.

Significant exposureExposure to lead is significant if one of these three conditions issatisfied:

• exposure exceeds half the occupational exposure limit (OEL) forlead;

• or there is a substantial risk of the employee ingesting lead; or• if there is a risk of absorption through the skin

Section 2 page 38

More information: Control of substances hazardousto health - Approved Code ofPractice and Guidance L5 HSEBooks, PO Box 1999, Sudbury,Suffolk CO10 2WA

DefinitionLead means lead (includingcompounds) which is liable to beinhaled, ingested or otherwiseabsorbed by persons exceptwhere it is given off from theexhaust system of a vehicle on aroad within the meaning ofsection 192 of the Road TrafficAct 1988

The OEL for lead means, inrelation to lead other than leadalkyls, a concentration of lead inthe atmosphere to which anyemployee is exposed of 0.15mg/m3

If exposure is liable to be significant, all the regulations will apply, inparticular the requirement to:

• issue employees with protective clothing• monitor lead-in-air concentrations; and• place the employees under medical surveillance

Step 2: Introduce control measures and carry out air monitoringif exposure is significant

Inhalation is one of the main ways that lead can enter the body. Theemployer must introduce control measures to ensure that the amountof lead in air in the breathing zone does not exceed the occupationalexposure limit, and carry out air monitoring if lead exposure is liable tobe significant.

Step 3: Ensure high standards of personal hygieneIn addition to suitable washing facilities, CLAW imposes duties onemployers to make sure that employees do not eat, drink or smoke inany place which is liable to be contaminated by lead.

Step 4: Place employees under medical surveillance if exposureis significantEmployees whose exposure to lead is significant must be placed undermedical surveillance. Regular biological monitoring of the level of leadin their blood or urine can detect any absorption of lead before clinicaleffects become evident. CLAW contains biological monitoringindicators to help employers evaluate the effectiveness of their controlmeasures:

• Action levels: these are concentrations of lead in blood setbelow the suspension limit (see below). If the action levels arereached the employer must carry out an urgent investigation,review control measures and take steps to reduce the bloodlead concentration below the action level. The action level forwomen of reproductive capacity is half of that for other adultemployees.

• Suspension levels: these are the concentrations of lead inblood or urine at which employees normally are suspended fromworking with lead, to prevent the risk of lead poisoning. Thesuspension level for women of reproductive capacity is half ofthat for other adult employees.

Step 5: Provide employees with information, instruction andtraining

Step 6: Prepare procedures to deal with accidents, incidents andemergencies

Implications for the police serviceLead fume and lead particles are generated by the use of firearms, anddeposits of lead dust are formed in indoor firing ranges, particularlywhere acoustic material has been applied to the walls and roof. Theexposure to lead of firearms instructors and persons who clean therange is likely to be significant in terms of regulation 2 and wouldtherefore require medical surveillance under regulation 10. Other thaninstructors, police officers firing at ranges are unlikely to havesignificant exposure, but the duty remains under regulation 5 to assessthe work to determine the nature and degree of exposure to lead, andto prevent, control and monitor that exposure.

Section 2 page 39

More information: Control ofLead at Work (Third Edition)Code of Practice and GuidanceL132 HSE Books, PO Box 1999,Sudbury, Suffolk CO10 2WA

Control of Noise at Work Regulations 2005

Summary

The Control of Noise at Work Regulations 2005 (SI 2005 No. 1643)replaced the 1989 regulations and were drawn up to implement the ECPhysical Agents (Noise) Directive. The regulations govern theprevention and control of workplace noise hazards.

Main changes from 1989 Regulations1 The first and second action values of 85 dB(A) and 90 dB(A)

respectively in the 1989 Regulations were replaced by a lowerexposure action value of daily or weekly noise exposure of 80dB(A) and upper exposure action value of 85 dB(A).

2 New overall exposure limit values of 87dB(A) and peak of 140dB(C) were introduced taking into account the attenuation of earplugs, etc. This is the level of personal noise exposure or peaksound pressure which must not be exceeded. Similarly, the 1989regulations set a peak action level of 140 dB(C).

3 Where exposure varies markedly from day to day, one may useweekly personal noise exposure in place of the daily figure

4 If a risk assessment indicates a risk to health of employees who areexposed to noise, there is a specific requirement for the employerto place them under suitable health surveillance, to include hearingtests.

Other principal requirements

1 Where work is liable to expose employees to noise at or above thelower exposure action level, employers should make a suitable andsufficient risk assessment, which should identify the measures tobe taken to comply with the regulations.

2 The risk to employees from exposure to noise should be eithereliminated at source or reduced to as low a level as is reasonablypracticable.

3 Hearing protection should be issued to employees where extraprotection is needed above what can be achieved using noisecontrol measures. At or above the lower exposure action value,personal hearing protectors shall be made available on request toany employee who is so exposed. At the upper exposure actionlevel, the employer should provide hearing protectors to anyemployee affected.

4 Employers should ensure that the hearing protection provided isproperly used and maintained in efficient working order.Employees should make proper use of the equipment and reportany defect to his employer.

5 Where employees’ exposure is likely to be at or above the lowerexposure action value, they should be provided with suitableinformation, instruction and training, updated as necessary.

Issues of particular relevance to police workACPO obtained an exemption certificate under the Noise at WorkRegulations 1989 in connection with firearms operations (not training).The new regulations also contain an exemption facility, under which

Section 2 page 40

People using the normal range ofweapons in police firing rangeswill be exposed to peakpressures which in most caseswill exceed the 140dB peakaction level. Peak soundpressures up to 165dB havebeen recorded for some firearms,with reports of Thunderflashesused in training exercisesreaching peak pressures of up to175 dB.

HSE may grant an exemption from compliance with regulations 6(4)and 7(1) to (3) in respect of emergency services’ activities whichconflict with those requirements. These regulations cover control ofexposure to noise above an exposure limit value and the provision ofhearing protectors.

HSE may not grant such an exemption unless it is satisfied that thehealth and safety of the employees concerned is ensured so far as ispossible in the light of the objectives of the Regulations.

ACPO has not yet applied for a certificate of exemption under the 2005regulations, but a Noise Regulations Working Group is presentlyconsidering the wider question of noise across the police service:firearms, dogs, motorcycles, etc.

Work at Height Regulations 2005

SummaryThe Work at Height Regulations 2005 (SI 2005 No. 735) apply to allwork at height where there is a risk of a fall liable to cause personalinjury. They consolidated previous legislation on working at height andimplement the EC Temporary Work at Height Directive

The regulations revoked regulation 13(1) to (4) of the Workplace(Health Safety and Welfare) Regulations 1992 which covered themeasures necessary to prevent falls from height.

Main requirementsThe employer has to carry out a risk assessment of the proposed workin order to identify the control measures needed; but should not carryout work at height if it is reasonably practicable to avoid doing so. Aplace is “at height” if a person could be injured falling from it, even if itis at, or below, ground level.

Then, if it is deemed necessary, the work at height should be properlyplanned and supervised, and everyone involved should be competentto carry out their part of the work.

Contrary to popular belief, HSE has not banned the use of stepladdersor ladders under these regulations. Their advice is “Forstraightforward, short duration work stepladders and ladders can be agood option, but you wouldn’t want to be wobbling about on themdoing complex tasks for long periods. A large number of workers areseriously injured or killed using ladders and stepladders each year.”

Issues of particular relevance to police workRegulation 4(3) places a duty on employers to ensure that work atheight is carried out only when weather conditions do not jeopardise thesafety of the people involved. However, this does not apply to membersof the emergency services acting in an emergency (not defined).

Regulation 9 requires that no person should pass or work near a fragilesurface (such as an asbestos cement roof or a skylight) where it isreasonably practicable to carry out the work without doing so. If thework has to be carried out in that location, suitable platforms,coverings or other protective equipment should be provided.

Warning notices should be fixed at the approach to the fragile surface,but this does not apply where the emergency services are acting in anemergency.

Section 2 page 41

More information: ControllingNoise at Work. Guidance onRegulations. L108. HSE Books,PO Box 1999, Sudbury, SuffolkCO10 2WA

Dutyholders mustq avoid work at height where

they can;q use work equipment or other

measures to prevent fallswhere they cannot avoidworking at height; and

q where they cannot eliminatethe risk of a fall, use workequipment or other measuresto minimise the distance andconsequences of a fall shouldone occur.

More information: Work at Height Regulations (asamended): a brief guide INDG401. HSE Books, PO Box 1999,Sudbury, Suffolk, CO 10 2WA

Regulatory Reform (Fire Safety) Order 2005

SummaryIn October 2006, previous general fire safety legislation wassuperseded by a single new piece of law: the Regulatory Reform (FireSafety) Order 2005 (RRFSO). This replaced the two main pieces oflegislation dealing with workplace fire precautions: the FirePrecautions Act 1971 and the Fire Precautions (Workplace)Regulations 1997. In most cases, the new regulations are enforced bythe Fire and Rescue Service.

Main requirements1 The legislation will apply to “any premises”, which includes any

workplace, but excludes domestic premises.

2 Responsibility for complying with the regulations will rest with the“responsible person”. In a workplace, this is the employer if it is toany extent under his control. If there is more than one responsibleperson, all must take reasonable steps to work with one another.

3 Fire certificates (formerly issued under the Fire Precautions Act1971) will no longer be required and will cease to have legal status.

4 The responsible person has to carry out a fire risk assessmentwhich must focus on the safety in case of fire of all relevantpersons. It should pay particular attention to those at special risk,such as disabled people, and must include consideration of anydangerous substance likely to be on the premises. Where there arefive or more employees, the significant findings of the riskassessment must be recorded.

5 The fire risk assessment will help to identify risks that can beremoved or reduced and to decide the nature and extent of thegeneral fire precautions needed to protect people against theremaining fire risks. General fire precautions include the means ofescape in case of fire, means of fire detection and alarms, and theprovision of fire fighting equipment.

6 The responsible person must make arrangements for the effectiveplanning, organisation, control, monitoring and review of themeasures required for general fire precautions. He should appointa competent person(s) to assist him in undertaking thosemeasures.

7 The responsible person should also provide employees withinformation on the fire risks and precautions to be observed, andadequate safety training. Employees should take reasonable carefor their safety and cooperate with their employer.

8 Where responsible persons share premises, they should cooperatewith one another in order to comply with the requirements of theRRFSO.

9 Inspectors appointed by the enforcing authorities (generally the Fireand Rescue Service) have the power to enter premises at anyreasonable time to check on compliance. They may issue analteration notice, an enforcement notice or a prohibition notice asdeemed necessary. Failure to comply with a notice is an offencetriable either summarily or on indictment.

Section 2 page 42

Responsible person under RRFSO for Police Federation officesFor an office owned by the Federation JBB and staffed by Federationemployees, the duty holder – the “responsible person” - would be theemployer, the Federation.

For a leased Federation office in a larger police establishment, theresponsible person would again be the employer of the staff workingthere: the Federation. However, if the terms of the office lease place aresponsibility on any other person for the maintenance or repair of thepremises, that other person would also have a duty under the RRFSO,but only “so far as the [legal] requirements relate to matters within hiscontrol”.

Construction (Design and Management)Regulations 2007

SummaryThe Construction (Design and Management) Regulations 2007 (CDM2007 SI 2007 No. 320) came into force on 6 April 2007. The newregulations revise and bring together the CDM Regulations 1994 andthe Construction (Health, Safety and Welfare) Regulations 1996 into asingle regulatory package. The regulations place specific duties on theclient, CDM coordinator, designer, main contractor and othercontractors.

General management duties applying to construction projects• Clients - A 'client' is anyone having construction or building work

carried out as part of their business. This could be an individual,partnership or company and includes property developers ormanagement companies for domestic properties.

• CDM coordinators - A 'CDM coordinator' has to be appointedto advise the client on projects that last more than 30 days orinvolve 500 person days of construction work. The CDMcoordinator's role is to advise the client on health and safetyissues during the design and planning phases of constructionwork.

• Designers - The term 'designer' has a broad meaning andrelates to the function performed, rather than the profession orjob title. Designers are those who, as part of their work, preparedesign drawings, specifications, bills of quantities and thespecification of articles and substances. This could includearchitects, engineers and quantity surveyors.

• Principal contractors - A 'principal contractor' has to beappointed for projects which last more than 30 days or involve500 person days of construction work. The principal contractor'srole is to plan, manage and co-ordinate health and safety whileconstruction work is being undertaken. The principal contractoris usually the main or managing contractor for the work.

• Contractors - A 'contractor' is a business who is involved inconstruction, alteration, maintenance or demolition work. Thiscould involve building, civil engineering, mechanical, electrical,demolition and maintenance companies, partnerships and theself-employed.

• Workers - A ’worker’ is anyone who carries out work during theconstruction, alteration, maintenance or demolition of a buildingor structure. A worker could be, for example, a plumber,electrician, scaffolder, painter, decorator, steel erector, as wellas those supervising the work, such as foreman andchargehands.

Section 2 page 43

More information on fire safetylaw and guidance documents forbusinesses may be downloadedfree from the Communities andLocal Government website atwww.communities.gov.uk

"construction work" means thecarrying out of any building, civilengineering or engineeringconstruction work and includesthe construction, alteration,conversion, fitting out,commissioning, renovation,repair, upkeep, redecoration orother maintenance de-commissioning, demolition ordismantling of a structure;

More information: (a) Managing Health and Safetyin Construction – CDM ACOP,L144(b) Managing Contractors: Aguide for employersHSE Books, PO Box 1999,Sudbury, Suffolk CO10 2WA

Duties relating to health, safety and welfare on construction sites

Part 4 of the regulations contains a wide range of duties relating to safeworking on site, including safe place of work, site security, stability ofstructures, use and storage of explosives, excavations, power cables,safe traffic routes, fire fighting and lighting. Welfare facilities shouldinclude suitable and sufficient toilets and washing facilities; drinkingwater, changing rooms and rest facilities.

Health and Safety (First Aid) Regulations1981

SummaryThe Health and Safety (First-Aid) Regulations 1981 (SI 1981 No. 917)require employers to provide adequate and appropriate equipment,facilities and personnel to enable first aid to be given to employees ifthey are injured or become ill at work. These Regulations apply to allworkplaces including those with five or fewer employees and to theself-employed.

Main requirementsThe employer should first make an assessment of first aid needsappropriate to the circumstances of each workplace. They shouldconsider:

• workplace hazards and risk• the size of the organisation• the organisation’s accident history• the nature and distribution of the workforce• the remoteness of the site from emergency medical services• the needs of travelling, remote and lone workers• employees working on shared or multi-occupied sites, and• annual leave and other absences of first aiders and appointed

persons

Where the assessment identifies a need for people to be available torender first aid, the employer has to ensure that they are provided insufficient numbers and appropriate locations to enable first aid to beadministered without delay should the occasion arise. A first aidermust hold a valid certificate of competence in first aid work, issued byan organisation whose training and qualifications are approved byHSE.

These regulations do not oblige employers to provide first aid foranyone other than their employees, but the police service has providedfor officers to receive first aid training which has been approved byHSE in order to enable them to discharge their duty to secure theprotection of life and property.

A small organisation with comparatively low health and safety risks willnot need a first aider, but will need an appointed person. On the otherhand, where a work activity carries a high risk to health and safety andthe workforce is spread across a number of areas, at least one firstaider might be needed in each separate work area, in addition to thoseat the main site.

The appointed person has to take charge of first aid arrangements,including calling the emergency services when required. They are notfirst aiders, but HSE strongly recommends that they should be givenemergency first aid training, covering:

• what to do in an emergency

Section 2 page 44

More information:First Aid at Work: ACOP andGuidance L74HSE Books, PO box 1999,Sudbury, Suffolk, CO10 2WA

• cardio-pulmonary resuscitation• first aid for the unconscious casualty• first aid for the wounded or bleeding

Health Act 2006 and Smokefree Legislation

SummaryThe Health Act 2006 made provision for the prohibition of smoking incertain premises, places and vehicles, and the detail of thoserequirements is set out in five sets of regulations for England and oneset for Wales. The smokefree legislation came into effect on 2 April2007 in Wales and will come into effect in England on 1 July 2007. Theregulations will be enforced by local authority officers.

Main requirements

Enclosed and substantially enclosed premisesSection 2 of the Health Act 2006 sets out that premises that are opento the public, or are used as a place of work by more than one personor where members of the public might attend to receive goods orservices are to be smokefree in areas that are enclosed orsubstantially enclosed.

Premises are enclosed if they have a ceiling or a roof and, except fordoors, windows or passageways, are wholly enclosed, whether on apermanent or temporary basis.

Premises are substantially enclosed if they have a ceiling or roof, butthere are permanent openings in the walls which are less than half ofthe total areas of the walls. No account is to be taken of openings inwhich there are doors, windows or other fittings that can be opened.

Exempted premisesPrivate dwellings will not be required to be smokefree, with the mainexception of any parts which are used solely as a place of work for twoor more people. People will be allowed to smoke in any part of theirprivate dwelling used for work if the work is solely to provide personalcare for a resident, to assist with domestic work, to maintain thedwelling or to install, maintain or remove any service provided to thedwelling.

Other exempted premises include designated bedrooms in hotels ormembers’ clubs and designated rooms in care homes, hospices andprisons.

Enclosed vehiclesEnclosed vehicles should be smokefree at all times, if they are used:

• by members of the public (whether or not for reward or hire)• in the course of paid or voluntary work by more than one person,

even if they use the vehicle at different times, or intermittently

A vehicle will not be required to be smokefree if it is used primarily forthe private purposes of a person who owns it, or has an unrestrictedright to use it.

No-smoking signs in smokefree premises and vehiclesAll smokefree premises should display a no-smoking sign at eachentrance that is A5 in area, displays the international no-smokingsymbol and the words “No smoking. It is against the law to smoke inthese premises.” Each compartment of a smokefree vehicle shoulddisplay a similar no-smoking sign, but without the standard wording.

Section 2 page 45

“Smoking” refers to smokingtobacco or anything that containstobacco, or smoking any othersubstance, and smoking includesbeing in possession of lit tobaccoor of anything lit that containstobacco or any other litsubstance which could besmoked

More information: NHS websiteatwww.smokefreeengland.co.uk,www.smokingbanwales.co.ukor JBB circular 31/2007

Corporate Manslaughter and CorporateHomicide Act 2007

Summary of duties

The Corporate Manslaughter and Corporate Homicide Act 2007received Royal Assent on 26 July 2007 and came into force on 6 April2008. It applies to England and Wales, Scotland and Northern Ireland.Under the new law, organisations and, for the first time, Governmentbodies face an unlimited fine if they are found to have caused deathdue to their corporate health and safety failures. During its passagethrough Parliament the original Bill was amended by the House ofLords to include a new duty of care towards any person detained incustody, but this will not come into force until a later date.

Offence of Corporate Manslaughter

Under the Act, an organisation is guilty of the offence of corporatemanslaughter (corporate homicide in Scotland) if the way in which itsactivities are managed or organised (a) causes a person’s death and(b) amounts to a gross breach of a relevant duty of care owed by theorganisation to the deceased. The new offence applies tocorporations, Government Departments and other Crown bodies,police forces, partnerships, trade unions and employers’ associationsthat are employers.

Corporation does not include a corporation sole, such as a chiefconstable, but would include any body corporate such as a policeauthority. The term police force is interpreted as in the Police Act 1996.A police force is to be treated as owing whatever duties of care it wouldowe if it were a body corporate and the Act explains that a member ofa police force is to be treated as employed by that force, for thepurposes of this legislation.

An organisation is guilty of the offence of corporate manslaughter onlyif the way in which its activities are managed or organised by its seniormanagement is a substantial element in the breach. Seniormanagement means the persons who play significant roles in themaking of decisions about how the whole or a substantial part of theorganisation’s activities are to be managed or organised or the actualmanaging or organising of those activities.

In any case, the Ministry of Justice has stressed that the Act is aboutcorporate liability, not increasing liability for individual directors ormanagers who can already be held to account through health andsafety laws and the common law offence of gross negligencemanslaughter. An individual cannot be guilty of aiding, abetting,counselling or procuring the commission of an offence of corporatemanslaughter.

Application to Policing and Law Enforcement

Police forces have a relevant duty of care to their employees. Policeofficers are to be treated as employed by their force, as well as specialconstables and police cadets. However, the duty of care extends toother persons working for the organisation (civilian support staff) orperforming services for it, and the force owes a duty to other people asthe occupier of police premises, including land as well as buildings.

It is clear from the Parliamentary debates that the duty as occupier of

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the police premises is intended to extend only to the safety of thepremises in which the non-employees are present, such as fire safetyprecautions.

In addition, there is a duty owed by police forces to anyone held incustody, which includes being held in police cells and court cells, butthis did not come into force at the same time as the rest of the Act in2008. The Government has said that the timetable that it will aim for toenact this duty will be a three to five year period from commencementof the Act.

The Act sets out specific exceptions to the relevant duty of care, suchas operations for dealing with terrorism, civil unrest or serious disorderwhich involve policing activities and where officers come under attackor the threat of attack. Also exempted are activities in preparation forsuch operations; and hazardous training necessary to maintaineffectiveness regarding such operations.

As regards other policing or law enforcement activities, the force’srelevant duty of care extends only to employees or other personsworking/performing services for the force, or as occupier of thepremises or as owed to anyone held in custody. As a result, the dutyof care excludes circumstances where the pursuit of policing or lawenforcement activities has resulted in the death of a member of thepublic, for example during the arrest or restraint of suspects.

Investigation and Proceedings for Corporate Manslaughter

The new Act is not health and safety legislation, and the police wouldnormally investigate the incident. However, in the case of a workplacedeath, HSE, the Local Authority or other appropriate health and safetyenforcing authority would be expected to become involved in a jointinvestigation. There is an existing protocol for liaison in thesecircumstances: “Work-related deaths: a protocol for liaison” agreedbetween ACPO, HSE, LGA, BTP and CPS.

The consent of the DPP is needed for proceedings to be instituted: anorganisation that is guilty of corporate manslaughter is liable onconviction on indictment to an unlimited fine.

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Introduction to Home Office and ForcePolicy and Procedure Section

This section is concerned with guidance that has been issued from theHome Office on issues of Health, Safety and Welfare. Whilst Healthand Safety legislation had applied to the Police Service for some time,in particular the Health and Safety etc at work Act 1974. It wasextended to include Police Officers in the Police (Health and safety)Act 1997.

To assist in the transition the Home Office issued guidance. Recentlythis has been reviewed and the following documents Strategy for ahealthy Police Service & Management Benchmarking Standard havesuperseded the 1997 guidance.

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STRATEGY FOR A HEALTHY POLICE SERVICE 2006 –2010

1.Context

This strategy reaffirms the commitment of the Police Service toimproving the health and safety of police officers and staff. Theprinciples are set out in various reports including ‘The Home OfficeStrategy for a Healthy Police Service’, the Ministerial Task Force forHealth, Safety and Productivity ‘Review of Sickness Absence in thePublic Sector’, the HSC’s ‘Strategy for Workplace Health and Safety inGreat Britain to 2010 and beyond’ and the Department for Work andPensions ‘Health, Work and Wellbeing strategy’

The service recognises the need to consolidate and build on pastachievements and embed a health and safety culture within everyforce. The aim is to continue to deliver reductions in absence throughill health or injury. This is a vital element in enabling the service to meetits core business needs.

2.Aims

The Police Service, through ACPO, the APA, and in partnership withthe National Police Improvement Agency, HMIC and NCPE pledges todeliver the strategy’s aims by:

• Promoting the case for good health and safety management,highlighting the business efficiency case, legal arguments andofficer and police staff benefits.

• Promoting effective safety management systems that includethe visible leadership of Chief Officers and their Commandteams.

• Communicating and sharing good ideas, to ensure thewidespread application of benefits to/for all forces,

• Setting the standards that forces adopt as best practice and tomake use of the experience and knowledge availablethroughout the service to ensure that there are the mechanismsin place to deliver it.

• Working in partnership with, and through, other agencies toimprove the collective impact on core business.

• Supporting action plans and campaigns, thus enabling a greaterfocus on continuous improvement.

• Providing information on, and informing all parties about,relevant legislation and codes of practice, ensuring there isconsultation on legislative changes that impact on the ability ofthe service to deliver this strategy.

3.Responsibilities

The National Police Improvement Agency, in partnership with ACPOwill pledge to:

• Support National targets for police performance, with regard toresource usage, attendance management and reductions inincidents of injury and ill health.

• Give guidance and advice to Chief Constables and PoliceAuthorities to identify and achieve priorities for their forces.

• Agree the use of common statistical measures for attendancemanagement, and incidents of injury and ill health, to achieveconsistency in data collection.

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• Support agreed areas for improvement whilst recognising thatindividual forces might have different priorities, adopting theprinciple that the greatest effort should be directed against theareas with the greatest potential for harm.

• Communicate the strategy, provide channels for feedback andmonitor its implementation and subsequent effectiveness.

• Communicate best practice and learning points between forces.

Chief Constables will commit to:

• Prepare and present their health strategy for 2006 – 2010,supported by action plans for Attendance Management, Healthand Safety, Research and Analysis.

• Consult and agree with Police Authorities formal policies andprocedures, which would effect reductions in injury and ill health

• Collect data about injury, ill health and absence to a requiredNational standard.

• Undertake analysis of the health and safety issues amongstofficers and staff and ensure that prompt remedial action istaken where necessary.

• Ensure effective co-ordination and communication between thedifferent disciplines of HR, Health & Safety, Occupational Healthand Welfare, to deliver the strategy.

• Ensure that all line managers receive training appropriate totheir role, enabling them to deliver their responsibilities withinthe strategy, and that they are held to account for their part in itsdelivery.

• Meet their legal obligations under Health and Safety legislation,the Disability Discrimination Act, the Working Time Directive andother prevailing legislation.

• Consult and work with trade unions and staff associations todeliver the strategy for the benefit of all police officers, staff andthe organisation.

• Agree to share the findings of HSE Inspections amongst otherforces, in order to promulgate identified good practice andopportunities for improvement.

• Engage with, and support, officers and staff about appropriatepersonal standards of health and fitness for work

Police Authorities will commit to:

• Oversee the delivery of the strategy for their force• Hold Chief Constables to account for delivery against the

strategy, and ensure that there are effective procedures put intoplace by the force to monitor, evaluate and review its impact.

• Agree formal policies governing Health and Safetyarrangements for police officers and staff.

The H.M.I.C, in partnership with HSE, will commit to: . . . .

• Continue to deliver inspection and auditing in compliance withtheir statutory roles.

• Work in collaboration with each other to ensure that inspectionsare properly focussed, and are proportionate to the performancelevel of the force subject to the inspection.

• Ensure that there is consistent data collection in relation toinjury, ill health and absence.

The Home Office will commit to:

• Develop and publish policy and regulations to support the

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strategy, through the coordination of the Police NegotiatingBoard and Police Advisory Board.

• In conjunction with HMIC and NPIA, set consistent Nationaltargets that will support the strategy, drive improvement inproductivity, and reduce absences through ill health and injury.

4. Targets

The targets given below are taken from the HSC documents‘Revitalising Health and Safety, and ‘Securing Health together’, asendorsed by the Ministerial Task Force document ‘Managing sicknessabsence in the Public Sector’. They are to:

• Reduce the number of working days lost from work related injuryand ill health, by 30% by 2010 against 2005/6

• Reduce the incidence rate of fatalities and major injuries by 10%by 2010 against 2005/6

• Reduce the incidence of work related ill health by 20% by 2010against 2005/6

• Reduce the number of workdays lost due to work related illhealth by 30% against 2005/6.

The intention is to reduce sickness absence within the police serviceto an average of 7.5 days per officer or member of police staff perannum, by 2010.

ACCM

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Police Health andSafety

A ManagementBenchmarking

Standard

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Acknowledgements

The procedures outlined in this publication enhance previous guidancepublished in 1996 following the Government’s decision to extend thehealth and safety at work legislation to the whole of the Police Service.

Health and safety since this time has been influenced by legislationand strategies touching on healthcare, role requirement and diversityissues, particularly priorities around attendance management.

The Home Office would like to thank the members of the Health andSafety Standing Committee and the Association of Chief PoliceOfficers Joint Advisory Group shown at Annex A for their contributionin preparing this benchmarking standard.

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Table of Contents

Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8Executive Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Health and Safety and the Police Service . . . . . . . . . . . . . . . . . . . 11Health and Safety Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Health and Safety Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24Accident Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27Effective Management of Sickness Absence

and Medical Retirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31Annex A – Individuals Consulted . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35Annex B – Benchmarking checklist/aide memoir . . . . . . . . . . . . 36Annex C – Example force health and safety policy

statement and schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

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Foreword

To be prepared but including: -

Outline history for the review in light of strategic changes and priorities.

This document acknowledges the employer responsibilities of thepolice authorities/boards and chief constables, offering an opportunityfor shared management protocols.

Eight years on, forces have developed local systems, policies andprocedures. Not an intention therefore to re-write legislativerequirements for specific work activities but to reinforce the standardsrequired for the effective management of health and safety withintoday’s police service, setting an approved benchmark for monitoringand inspection purposes.

Comment to include “as well as sharing the legal responsibility for thehealth and safety of police officers and staff, police authorities/boardsand chief constables wish to be seen as good employers who take thehealth and safety of the police workforce seriously. Policeauthorities/boards particularly see the maintenance of the wellbeing ofthe police workforce as both a duty and goal in itself, in addition to theirfinancial liabilities for any fines levied regarding breaches of health andsafety”

Ministerial signature

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Executive Summary

Content

This document has been prepared to assist chief officers, policeauthorities and boards throughout the United Kingdom in reviewingtheir force health and safety arrangements and is intended toincorporate and build on guidance issued to the service in 1996.

The Police (Health and Safety) Act 1997 formally extended the Healthand Safety at Work etc Act 1974 to police officers, special constabularyofficers and police cadets, establishing common working standards forall personnel.

It is not the intention of this document to rehearse legislative orresource implications, however it will address: -

• duties and responsibilities of chief officers and policeauthorities/boards as employers under health and safetylegislation; and

• the practical steps which need to be taken to establish a goodhealth and safety management system, in order to comply withthe legislation, establish good management practice andachieve the business benefit to be derived from safe and healthyworking.

This document has been produced as a benchmarking standard tocomplement the inspection monitoring and regulatory roles of HMInspectorate of Constabulary and Inspectors of the Health and SafetyExecutive, in accordance with agreed protocols. As an aide memoir a‘benchmarking checklist’ has been included at Annex B.

Management of health and safety

In order to comply with the legislation and to achieve a lastingimprovement in health and safety at work it is necessary to: -

• integrate the management of health and safety with the generalmanagement system of the force; and

• change attitudes towards health and safety so that they becomeembedded within the culture of the force.

This is achieved by taking the following steps: -

• ensuring that a written statement of the policy, organisation andarrangements for managing health and safety at work are inplace;

• identifying and allocating responsibility and accountability to allmanagers and staff;

• ensuring that foreseeable significant hazards are identifiedthrough undertaking risk assessments and action is taken toeliminate or control the hazards;

• the provision of adequate resources, including the appointmentof competent professional staff to advise on occupational health,safety and welfare matters;

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• the involvement of staff through: -

v the provision of information, instruction and training; and

v staff consultation, supporting and encouraging theappointment of trade union and staff association safetyrepresentatives and ensuring the establishment of safetycommittees; and

• establishing systems so that health and safety policies can bemonitored, evaluated and reviewed.

As a standard all forces shall ensure: -

• a force review of health and safety policy be carried out annuallyand that the results be incorporated in the annual report whichchief officers are required to submit to their policeauthorities/boards on the policy of the force; and

• police authorities/boards should consider the implications of thereport in the light of the Local Policing Plan, including the settingof force objectives and performance indicators.

Benefits of good management

Compliance of legal duty is not the sole factor to influence the health,safety and welfare management structure of a force. Accidents topersonnel affect morale, efficiency and the family and social life of theperson involved. Similarly the gain to forces with good health, safetyand welfare records is increased staff morale resulting in a more willingand productive relationship between managers and staff.

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Health and Safety and the Police Service

By its very nature policing has always been and will continue to be apotentially hazardous occupation. Whilst risks are present in all workactivities, operational staff are more frequently exposed to risks,whether dealing with environmental incidents or disorderly behaviour.

The police provide an essential service to the public, which reliesamongst others on having an effective health and safety managementstructure in the force. Chief constables, police authorities and boardsare legally responsible for officer and staff’s health, safety and welfareat work, as well as others (non employees) affected by their work.Therefore ‘health and safety’ is not just another bureaucratic burden,in addition to other day to day work requirements, but an obligation indischarging a duty of care.

With ever increasing demands made of the service, the followingmatters remain high priority concerns for senior police managers: -

• the number of staff injured at work or in the workplace, whetherby accident or assault;

• the reporting of near-misses and ensuring organisationallearning is applied;

• the incidence of long term sickness and work related ill health,use of recuperative/restricted duties and consequential earlymedical retirement, particularly affecting operational staff;

• the trend in the number of civil actions being brought by staffagainst chief constables and police authorities/boards; and

• the implications of new health and safety legislation and itsimpact on policing activities.

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Health and Safety Management

The opportunity for the service to build on safe and healthy workingpractices, leading to operational and business benefits, comes from anintegrated working partnership.

Experience has shown that the most effective way to achieve a lastingimprovement in health and safety at work and to comply with healthand safety legislation is for each force to: -

• integrate the management of health and safety within thegeneral management system of the force;

• ensure policies and standard operating procedures incorporaterelevant and significant health and safety issues as part of theforce impact assessment procedures; and

• champion the subject at chief officer and senior level to changeattitudes and ingrain the safety culture into the force.

Within a police force the effectiveness of any arrangements to achievea lasting improvement in health and safety at work and to comply withthe law on health and safety will depend on: -

• the policy and objectives set by the chief constable, supportedby the police authority/board; and

• the commitment of individual managers throughout the force toachieving those objectives within the force management plan.

From the outset managers and supervisors should understand that: -

• like any other command or management function a primeresponsibility for health and safety rests with them when actingas such on behalf of their employer, being the policeauthority/board or the chief constable; and

• they can therefore be held personally responsible for theirindividual acts or omissions that fail to control health and safety.

It follows from this that the responsibility of managers and supervisorsis not one which should be delegated to force health and safetyadvisors, despite the importance of their role as professionals in thefield. Whilst the advisor has a key role to play, the overall task ofensuring that the force fulfils its legal responsibilities, including thoseday to day commitments conducted on behalf of the police authority orboard, falls to the chief constable, and those managers designated toassist on his or her behalf. However, line managers who have aresponsibility to ensure the health safety and welfare of people undertheir supervision or affected by their work, can only discharge thatresponsibility if properly trained and therefore competent tounderstand their role and the required policies and procedures.Supportive management practices build on the positive benefits ofteam spirit and high staff morale.

Through appointed health and safety advisors, forces have developedtheir approach to effective health and safety management. Manyforces, as a matter of good practice, have produced internal manualsof guidance for use by managers.

Whilst some may seek management accreditation through nationally

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recognised organisations, the standard criteria for audit and inspectionof forces follows the Health and Safety Executive publication“Successful health and safety management” (HSG 65) and BritishStandard 8800:2004.

Five steps are set to developing successful systems of health andsafety management: -

• setting a clear and effective health and safety policy;• organising staff resources to implement the policy;• planning and setting appropriate health and safety standards to

assess risks;• measuring health and safety performance; and• monitoring and reviewing health and safety performance.

The approach of setting out the objectives, monitoring arrangements,financial arrangements, resources and performance targets mirrorsthe approach taken in establishing Local Policing Plans. Health andsafety considerations should form an integral part of any such plans.

Health and safety policy

A primary requirement of the Health and Safety at Work etc Act 1974is for employers to set down in writing, clear details of the policy,organisation and arrangements for managing health and safety atwork.

Within police forces the detail of those arrangements will varyaccording to the force’s own organisational structure, however theessential content and underlying principles will be broadly similar. Amodel force health and safety policy statement is contained at AnnexC.

The essential elements of the document are: -

• a short general statement of commitment from the policeauthority/board and the chief constable to ensuring the healthand safety of police officers, police staff, special constabulary,contractors and all other third parties and members of the publicwho may be affected by the activities of the police service; and

• a declaration by the chief constable setting out the managementarrangements for delivering the policy.

An essential feature of any policy statement is that it shoulddemonstrate a clear and unequivocal commitment, on the part ofexecutive management, to health and safety. For this reasoncommitment of the employers will be evidenced by the document beingjointly signed by the chief constable and police authority/boardchairperson.

The document will require periodic review and amendments in the lightof developing strategies. Forces are recommended to carry out thesereviews as part of the annual planning cycle.

Organising staff and resources

For any force health and safety policy to be fully effective it is essentialthat personnel are involved and committed. This requires: -

• Control

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• Co-operation• Consultation• Communication• Competence

Control - allocating responsibilities and securing commitment.

The force health and safety commitment naturally follows throughpolicy which sets performance standards at organisational level,linking responsibility to outputs, together with expectations on howthese are to be delivered. In allocating responsibilities and clear termsof reference for the chief officer, police authority/board, senior officers,line managers, supervisors and employees, a framework for co-operation and accountability is established.

In particular policy will confirm: -

• the ‘director level’ responsible for day to day implementation ofhealth and safety policy to be of ACPO/ACPOS rank;

• the policy should be supported by an annual health and safetyplan, linked to the business planning cycle;

• basic command unit (BCU) commanders to develop localpolicies which promote the safety and health of personnel withintheir command;

• the BCU commanders should identify health and safety prioritieswithin their local business and HR plans; and

• any delegated responsibility to be accompanied by a trainingprogramme suitable for the role.

Whilst BCU commanders may adapt health and safety policies andprocedures to meet local arrangements and functions there should beconsistency across the force in implementation of the policy and thestandards to be delivered.

Whilst the authority to act can be delegated to supervisors andemployees, the ultimate responsibility for compliance cannot bedelegated, therefore executive officers must ensure that thoseexercising discretion and judgement are competent to do so andoperate within clear guidelines.

Co-operation - between individuals and groups.

The structure of the force in providing health services to staff willincorporate both reactive and proactive strategies across all health andsafety considerations. Therefore it is inappropriate that individuals orgroups work in isolation.

In particular there are clear benefits for: -

• utilising the in-force safety personal risk assessment modelwithin the recuperative, restrictive and disability compliancedeployment procedures of the force;

• force health and safety policies to clearly state the role andresponsibilities of appointed health and safety representativesand the facilities to be made available;

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• forces to encourage the active participation of appointed safetyrepresentatives within investigations, monitoring and proactiveplanning aspects of health and safety management and training;and

• working with other employers to ensure that the health andsafety of police and other employer staff and representatives isnot unduly affected. This will include contractors and otherprofessional agencies.

Consultation - especially with trade unions and staff associations.

Consultation is regarded as an extension of co-operation under theHSG 65 model, enabling informed contribution on health and safetyissues.

Under the Health and Safety at Work etc Act 1974 employers arerequired to consult employee’s representatives on the making andmaintenance of health and safety arrangements and for checking theireffectiveness.

The Safety Representatives and Safety Committees Regulations 1977ensure that: -

• recognised trade unions (and staff associations) may appointsafety representatives to represent employees in theseconsultations; and

• if requested to do so by the safety representatives, employersare required to establish formal safety committees for thatpurpose.

By virtue of the Health and Safety (Consultation with Employers)Regulations 1996, employers have also been required to consult withemployees not in groups covered by trade unions or staff associations.As a matter of good practice some forces have entered intoagreements with trade unions and staff associations to represent non-affiliated staff where health and safety issues are likely to affect thewhole workforce. Force and local level safety committees owe theirorigin to this legislation and provide for formal opportunities to reviewthe measures taken to ensure the health and safety at work ofemployees.

There are clear advantages for: -

• joint consultation and training initiatives to reinforce theconsultation and communication processes within a force;

• positive involvement of safety representatives with force or BCUsafety committees;

• force and local health and safety committees to be structured toencourage consultation, proactive planning and pragmatic andfull involvement of attendees/members;

• force health and safety committees to develop a holisticapproach to the health, safety and welfare strategy of the forcethrough proactive assessment, monitoring and review of risktogether with ill health, disease, accident and incident trends;and

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• as a matter of good practice the force health and safetycommittee should include the authority/board lead member forhealth and safety, to improve scrutiny and engagement.

Communication - verbal, written and effective.

There are many facets to communication techniques, whether formalor informal.

In particular there are clear benefits for: -

• sharing accident, incident and ill health information between keystakeholders, healthcare professionals, appointed safetyrepresentatives and HR professionals, in compliance with anylegal considerations, to build on any attendance managementinitiatives;

• provision of adequate information on operational deploymentsto enable fuller dynamic judgements to be made regardingincident or scene management; and

• timely provision of information to appointed safetyrepresentatives in order to raise the health and safety profilewithin the force.

For health and safety management to work effectively, it is essentialthat senior management not only have confirmation that policy andprocedures have been delivered to the intended recipients but that it isproperly understood and implemented. Feedback is also an importantissue when considering the effective communication within anorganisation. It is essential that those responsible for day to dayimplementation can make recommendations for improvements andhighlight concerns that will be acknowledged by senior management.

Competence - recruitment, training and advisory support.

There are several aspects of competence that need to be consideredin relation to organisational needs and the job needs of individuals.

With regard to the organisational needs, everyone in the organisationneeds to know the health and safety policy, the procedure forimplementing the policy and how they apply it to their individual role.

For individual job needs there are two aspects: - (a) the generalcompetency needed to ensure that any individual can fulfil their roleeffectively and safely; and (b) the competency of managers to ensurethat the policies and procedures are effectively implemented andadequately manage and control risks arising from the work activities.

Competence in carrying out workplace activities, with an awareness ofhealth and safety factors that may influence the activity, particularly inthe police service, is achieved by: -

• assessing the skills needed to carry out all the tasks safely;

• providing the means to ensure that all members of staff haveaccess to risk assessments relevant to their role and areadequately instructed, trained and supervised to deal with thehazards they are likely to encounter;

• ensuring that staff employed on any duty have the necessary

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training, experience and equipment to carry it out safely and amechanism for redeployment should the work become toohazardous; and

• access to sound advice and help within force, from the HSE,TUC or staff association bodies.

Under the Management of Health and Safety at Work Regulations1999 employers should appoint one or more competent persons tohelp them comply with health and safety law. When deciding who toappoint employers need to ensure that the individual has sufficienttraining and experience or knowledge and competence to undertakethe role.

Many police authorities/boards and chief officers have found itnecessary to appoint staff with professional qualifications to assist theirforce in complying with their health and safety responsibilities. At astrategic level, where higher risks are considered, a Diploma level(IOSH or equivalent) qualification or competency based equivalent,together with membership of a recognised professional body, is theminimum standard for the appointed force safety practitioner.

In some forces health and safety is part of a combined health servicesunit usually within the human resource department. Other forces haveallocated the responsibility for overseeing health and safety tomembers of other departments. The success or otherwise of a forcehealth and safety strategy relies on safety professionalscommunicating and co-operating with each other.

Whatever the internal structure, appointed safety practitioners should:-

• have an integral role within the force healthcare action plan andgreater deployment within a tactical advisor’s role; and

• not be seen as part of the disciplinary structure of a force butpart of, or working closely with, other force healthcareprofessional services.

Forces that successfully manage health and safety afford healthprofessionals the status to advise managers at all levels of theorganisation, with authority and independence.

Subjects on which they advise include: -

• health and safety policy formulation and development;

• the day to day implementation, monitoring and review of policyand plans;

• maintenance of the risk assessment database; and

• the reporting of accidents, dangerous occurrences and diseasesto the HSE.

To fulfil these functions the appointed force advisors must: -

• be able to interpret the law and understand how it applies to thepolice service;

• assist management in establishing and maintaining appropriate

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monitoring and auditing systems;

• be able to present themselves and their advice to forcemanagers in an independent and effective manner. It isimportant, therefore, that they have an ability to report directly tothe executive officer responsible for co-ordinating force healthand safety matters;

• establish effective links within the force and with outside bodies,such as the Health and Safety Executive, the Association ofPolice Health and Safety Advisors and networking with otherhealth and safety professionals both inside and outside of thepolice service; and

• liaise with appointed safety representatives to establish andsustain a proactive working relationship in the interests ofpartnership and effective safety management.

BCU commanders, in setting local policy and to manage the day to dayaspects of premises, have also found it appropriate to appoint localadvisors, in order to comply with their health and safetyresponsibilities.

The requirement for specific occupational health and safety knowledgeand skills at higher level is not a pre-requisite for the BCU appointedlocal advisor role. In low risk work situations, a competent person mayonly need an understanding of work requirement, current best practiceand awareness of the limitations of their own experience andknowledge. There is a clear advantage, however, for BCU appointedadvisors having undertaken an accredited training course andobtaining a qualification appropriate for the role requirement, in orderto understand the principles of risk assessment and risk preventionand to apply that knowledge to the tasks required by the BCUcommander.

A close working relationship between the local and force advisorsensures that all levels of health and safety vulnerability will beaddressed.

Planning and setting standards to assess risks

Planning is the key to ensuring that force health and safety effortsreally work. It is fundamental that the management standard followsHSG 65. A force should be able to answer the questions :-

• Where are we now?

• Where do we want to be?

• How do we get there?

These points are only answerable if the force has: -

• accurate information and data about its current performance;

• senior management with clear vision and commitment;

• competent advisors to assist in the analysis of information andformulation of policies; and

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• competent line managers to develop the implementation plansand procedures.

Planning therefore requires: -

• setting measurable and achievable objectives, identifyinghazards, assessing risks and developing a pragmatic andpositive approach;

• reducing incidents (accidents, injuries and near-misses),provision of training fit for role and proactive/reactive measuringand monitoring protocols; and

• strategic planning structured around a holistic approach tomanaging people issues, encapsulating all aspects ofhealthcare service expertise.

Risk assessments

Almost all recent health and safety legislation contains provisionsrelating to effective management, often requiring the application of riskassessment and control techniques.

Within the service such an assessment is a careful and methodicalexamination of: -

• what, in any area of policing, could cause harm to people eitherin general, e.g arrest techniques, or specific groups, e.g. colourblindness, impaired mobility; and

• whether any precautions which have been taken are sufficient toprevent such harm to police personnel, the public and otherswho may be affected by that work activity.

The need to complete risk assessments should not be a bureaucraticburden, nor should they be seen as a separate consideration to normalworking procedures. Risk assessments are a tool to assist inestablishing a safe system of work, they are a means to an end, not anend in itself.

The Management of Health and Safety at Work Regulations 1999,require “suitable and sufficient” assessments to be made by competentpersons. Whilst not defined, the level and detail in a risk assessmentshould be proportionate to the risk. In this way insignificant risks, whilstnoted as part of the assessment process can usually be ignored, ascan risks arising from routine activities associated with life in general,unless the work actively compounds or significantly alters those risks.There will always be a need to monitor activities in order thatsignificant issues are not overlooked. The guiding principle of riskassessment is the elimination of hazards, where hazards cannot beeliminated then suitable and sufficient control measures must be put inplace.

Given the widely drawn nature of the requirements of the Health andSafety at Work etc Act 1974 and other legislation, all foreseeable risksmust be included in this exercise. There is no need to repeat other‘assessments’ required under more specific regulations, providedthese are still valid.

The aim is to make sure that nobody gets injured or becomes ill.Accidents and ill health can ruin lives, can reduce police efficiency and

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can involve forces in costly financial settlements.

The management regulations require that significant findings of anassessment must be recorded by those employing five or more staff.Whilst this is the employer’s responsibility, in practice it will fall to thechief constable, delegated to those managers assigned theresponsibility under the force health and safety policy, with the provisothat they possess an appropriate level of competency to fulfil the role.

‘Significant’ is not defined, but the Oxford English Dictionary defines‘significant’ as “extensive or important enough to merit attention”.‘Significant’ risks can therefore exclude a life risk that an individual isexposed to as part of the normal everyday experience of life. Risksbecome ‘significant’ purely by those situations an individual is exposedto at work, over and above normal everyday life.

Forces have established their preferred method of conducting andrecording risk assessments structured around variousHO/ACPO/ACPOS policies and guidance. The utilization of goodpractice guidance means that the findings are based upon risk and notsimply hazard. In agreeing good practice guidance a group of expertshave considered the level of risk in terms of both severity andprobability in great detail before determining the appropriate level ofcontrol. There is no need to repeat the process. The focus needs tobe on ensuring that the guidance is locally implemented.

For operational activities the control measures will have a substantialreliance on the appropriate skills, knowledge and expertise ofindividuals, therefore high quality training of individuals and theirsupervisors is essential. It is equally as important that the generalpremises and facilities based functions of the force are not omittedfrom the assessment process and that the outcomes are alsoimplemented and communicated.

A risk assessment database is preferable with a copy held locally. Therisk assessment should show date conducted, proposed date ofreview, originator and owner (by role and name). The important thingspolice managers need to decide are whether a hazard is significantand whether it is covered by satisfactory precautions so that the risk isreduced so far as reasonably practicable in the circumstances.

In many activities the day to day tolerance level is pertinent toidentifying appropriate and safe systems of working. The identificationand recording of significant risk must be relevant and in an appropriatelanguage to be seen as of ongoing benefit. If there are reasons whythe existing guidance is not applicable or appropriate this needs to berecorded and other measures of controlling the risk put in place toensure at least the same level of risk control. The responsibility forensuring the application of ACPO/ACPOS or other guidance to theforce activities or its adaptation to the force’s local requirements restswith line management.

Risk assessment and the management of risk is a line managementfunction not the exclusive function of the competent advisors. Wherehigher hazards and more complex and unusual situations areconcerned there will always be a need for more sophisticatedapproaches. These may require the assistance of the competentadvisors to determine whether the selected approaches provide thebest control of risk for the specific circumstances. The advisor has adefinite role to ensure that significant issues have not been overlooked

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and that there is consistency and proportionality in approach across allof the force activities.

Situations in which there is a potential for fatal or major injury orserious illness, are clearly significant, as would be any other situationwhere the risk of harm occurring is likely, more than likely or nearcertain.

Whilst the aim should be to eliminate risk, sensible health and safetymanagement is about risk management not risk elimination. There isa balance to be struck between the unachievable aim of absolutesafety and the kind of poor management of risks that damages livesand the economy. It follows therefore that identified risks that are trivialin nature are no different than those experienced through normal,everyday life.

Risk management relates to risks that cannot be eliminated, thereforegood practice, particularly in operational activity, is achieved from aposition of ‘so far as reasonably practicable’ controlling situations asbest one can whilst continuing the work activity.

In summary the 1996 guidance issued to the service provided genericexamples of operational working practices, intending that forces wouldestablish local libraries of information from which specific in-force riskassessments could be prepared.

Whilst there is value in establishing national guidance, approved as abenchmarking standard, it remains the responsibility of the chiefconstable and police authority/board to produce relevant andsignificant risk assessments to address corporate, local andgeographical issues for all aspects of policing.

Similarly the quality of information provided to personnel in associationwith the degree of risk assessment training provided, will enable staffto develop the ability to effectively carry out dynamic assessments ofthe situations they are engaged upon.

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Measuring health and safety performance

In the same way that a police force needs to monitor its finance andother performance indicators, it needs to measure its health and safetyperformance to find out if it is being effective.

Active monitoring - before things go wrong, a regular inspection andchecking system is required to ensure that standards are beingadhered to and implemented, with control measures actually working.Monitoring too frequently concentrates on the physical conditions ofpremises and facilities. When the main risks arise from interaction withpeople, the control measures are heavily reliant on human factors.Therefore it is essential that any monitoring regime tests compliancewith force organisational arrangements, procedures and application ofskills and knowledge. HSG 65 and section 3.6 BS8800 detail theapproaches to be utilized. Part of active monitoring is to ensure thatpolicies and procedures are being interpreted and applied uniformlyacross the whole organisation.

Reactive monitoring - after things go wrong, it is learning frommistakes, whether they result in injuries and illness, property damageor near misses. Analysis of accident, ill health and incident reportsshould initiate action to prevent recurrence as well as lessons learntthrough the litigation process.

Practical guidance on monitoring has previously been issued to theservice, with forces establishing their local arrangements. Goodpractice, involving engagement at all levels, can be achieved through:-

• the force health and safety strategy, action planning andperformance monitoring which is overseen by the force healthand safety committee;

• forces reporting on the audit and review process to the forcehealth and safety committee, as a performance indicator withinthe approved action plan;

• strategic planning for setting achievable targets to reduceincidents, provide training fit for role, together with measuringand monitoring protocols; and

• forces encouraging active participation of appointed safetyrepresentatives within investigations, monitoring and proactiveplanning aspects of health and safety management.

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Auditing and reviewing performance

Audits are very structured and detailed investigations into howeffectively an organisation’s policies and procedures are implementedand working. Full audits of an organisation’s health and safetymanagement system can be very time consuming and unless theorganisation is fully committed to the process can have limited effect inprompting continued improvement. The audit approach is howeververy effective in testing how well a specific policy has beenimplemented and assessing the impact of the supportingimplementation procedures. HSG 65 and section 3.8 BS 8800 providethe basis for any police standard to build upon.

No health and safety policy arrangements will be successful unlessthey are routinely reviewed and amended in the light of experience.

This needs to be done systematically with regular reviews ofperformance, for example through the quarterly force health and safetycommittee, based on data from: -

• monitoring and assessment activities; and

• independent audits of the whole health and safety managementsystem.

Commitment to continuous improvement involves the constantdevelopment of policies within a realistic timeframe, approaches toimplementation and techniques of risk control. Periodic reviews ofperformance against plans and agreed performance targets enableprogress to be monitored and early modification made to policies andprocedures to ensure that the desired outcomes are achieved. Inaddition senior management need to have periodic reviews of thewhole management arrangements for health and safety, to ensure thatthey remain suitable and effective, in securing improved performanceand reducing incidents of injury and ill health.

It is considered good practice that:-

• a force review of health and safety policy be carried out annuallyand the health and safety plan quarterly, with inputs fromdesignated managers and employee representatives. Thesereviews might be integrated into the force’s routine inspectionarrangements;

• the results of these reviews be incorporated in the annual reportwhich chief officers are required to submit to their policeauthorities/boards on the policy of the force; and

• police authorities/boards should consider the implications of thereport for the Local Policing Plan, including the setting of theforce objectives and the indicators of performance.

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Health and Safety Training

Introduction

Volume two Part C of the 1996 guidance commented: -

“If competence is not achieved through training and we fail to train [allstaff] in respect of health and safety, it is not the legislation we mustfear but the litigation that lack of training and awareness will bring.”

People are the most valuable asset of every police force in the country.It is vital, therefore, that staff are properly trained and equipped inorder to perform to the highest possible standard. This learning anddevelopment can take many forms ranging from practicaldemonstration, briefings, instruction, through to the formal classroomsetting. The expectation is that the training fits the task required.

The police service has a long tradition of providing quality trainingprogrammes across the complete spectrum of police activity. It isequally important that this standard is maintained in respect of theapplication of the health and safety legislation, not just for the sake ofcompliance but to meet identified service standards.

However, it should be borne in mind that health and safety is not newto the police service and that many of the procedures established inthe guidance of ACPO/ACPOS and the Home Departments focusparticularly on officer safety. In applying the health and safetylegislation the main task will be to identify any gaps, which are notalready adequately covered.

Implications for the police service

In considering what this requirement means in terms of training it isimportant to: -

• consider what is already in place; and

• assess what additional training is required and how this shouldbe prioritised.

What is health and safety training?

Training generally involves the process of raising an individual’s skilland awareness to a desired standard of performance or behaviourthrough instruction and practice.

Health and Safety legislation requires that the training should be suchthat any individual can fulfil their role effectively and safely. Whilstindividuals need to be aware of the duties imposed by the legislation itdoes not mean that everyone should be given a crash course in healthand safety law and practice, although some may need to acquire thisknowledge for specific purposes.

The obligation on the organisation is to provide information, instruction,training and supervision and the required level of each aspect will bedependent on the individual role, the risk presented and the complexityof the control measures required. For most operational staff this willmean practical training in the skills and techniques they need to protecttheir health and safety. They do not need to know which health andsafety regulations apply to these activities.

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Assessment of training needs

Everyone should be given health and safety training at induction, in anew role, role/equipment changes or location. The role riskassessment will identify those aspects of an induction trainingprogramme suitable for purpose, which could be structured around achecklist of training modules or briefing packs.

Training should be related to the risks that individuals are exposedto and the starting point for identifying these are the riskassessments. In this way health and safety training will become thebuilding block for developing the practical skills and competence of thework force, complementary to other training programmes.

What the law requires

The obligation to provide health and safety training is one of thegeneral duties imposed on employers by section 2 of the Health andSafety at Work etc Act 1974. This duty was extended by Regulation 13of the Management of Health and Safety at Work Regulations 1999,which requires: -

• every employer shall, in entrusting tasks to employees, take intoaccount their capabilities as regards health and safety;

• every employer, through an induction process, shall ensure thatemployees are provided with adequate health and safetytraining: -

v at the time they are recruited; and

v when they are exposed to new or increased risks when theychange work, change responsibilities or through theintroduction of new equipment or systems of work; and

• the training is: -

v to be repeated periodically where appropriate;

v to be adapted to take account of any new or changed risk tothe health and safety of the employees concerned; and

v to take place during working hours.

There is a clear advantage where health and safety training isdelivered as a ‘golden thread’ within other police subjects, in order toincorporate the practical health and safety skills necessary for the role.

Training for managers

Forces will need to provide health and safety training for theirexecutive and senior personnel, supervisors and line managers,especially those who: -

• are given specific responsibilities under the force health andsafety policy document;

• will be responsible for preparing risk assessments; and

• address occupational health and safety implications of peoplemanagement, accidents and sickness.

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Conclusion

The Health and Safety Commission has underlined the importance ofhealth and safety training in the following statement: -

“Employees must be competent for the work they are toundertake. Competence can be defined as a combination ofeducation, knowledge, skill and sufficient understanding of thework to enable effective implementation. The extent to whichany of these factors is required will depend upon the specifichealth and safety responsibilities and the nature of the work.Training is an important part of achieving competence andshould allow the trainee to translate knowledge gained into saferpractices at the workplace.”

This statement demonstrates the vital role of training in the effectivedevelopment of human resources. Constructive health and safetytraining will enhance both the efficiency and effectiveness of theservice.

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Accident Management

Learning from experience

The following matters must concern all police service managers: -

• the number of staff being injured at work or in the workplace,whether by accident, assault or ill health;

• the incidence of long term sickness, and work related ill healthand consequential early medical retirements relating to theseworkplace accidents and incidents; and

• any civil action being brought by staff against chief constablesand police authorities/boards.

These have serious implications for operational efficiency andeffectiveness. Absences adversely affect productivity by reducingcapacity (i.e. some things won’t get done and additional burdens areplaced on remaining staff). It places enormous burdens on forcebudgets, and takes up resources, which could be better spent on thepolice service.

All managers should bear in mind that: -

• accidents to personnel in the police service are not just a matterof money in cold terms but affect morale, efficiency, and thefamily and social life of the person involved; and

• part of the gain to organisations with good health and safetyrecords is increased staff morale resulting in a more willing andproductive relationship between managers and staff.

Reporting and monitoring of accidents, assaults, injuries anddiseases

Incidents that occur following an accident, assault, injury, dangerousoccurrence or disease can assist forces to: -

• have the information necessary to monitor health and safetyperformance, particularly through the consultation process andto take action to prevent recurrence;

• comply with statutory obligations to report certain injuries,dangerous occurrences and diseases to the Health and SafetyExecutive; and

• can provide data to the Research Development and StatisticsDirectorate, the Audit Commission, Health and SafetyExecutive, HM Inspectorate of Constabulary etc.

Health and safety authorities often define the following: -

• accident - any unplanned and uncontrolled event that results ininjury or ill health of people, damage or loss to property, plant,materials or the environment, or a loss of a businessopportunity.

• near miss – an unplanned and uncontrolled event that couldhave resulted in loss of some kind.

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By virtue of the Reporting of Injuries, Diseases and DangerousOccurrences Regulations 1995 accidents and near misses alsoinclude: -

• accident -

v an act of non-consensual physical violence done to a personat work; and

v an act of suicide which occurs on, or in the course of theoperation of, a relevant transport system;

• dangerous occurrence – occurrences (as specified) whicharise out of or in connection with work.

Dangerous occurrences are specifically defined and are reportable tothe enforcement authorities under the legislation where somethinghappens which does not result in a reportable injury but clearly couldhave done so..

Accidents and dangerous occurrences can therefore result in: -

• physical harm (injury or disease) to an individual;

• damage to property;

• a near miss;

• a loss; or

• a combination of these effects.

A preventive strategy

Accidents, assaults and occupational disease do not generally happenby chance, but are often attributable to poor management. Allmanagers should aim, therefore, to eliminate or minimise eventswhich have the potential to cause accidents or ill health.

In practice this requires the systematic identification of all hazardsassociated with the organisation’s activities, an analysis of the risksrelating to those hazards and the elements of the organisation whichcan influence such hazards and risks. This is the basis of riskassessment.

For some occupational health issues the preventive strategies willrequire an on going health surveillance and monitoring programme aswell as technical/physical reduction of risk. There is a distinctadvantage for the occupational health, health and safety, welfare andHR disciplines to work effectively together to ensure risks aresuccessfully managed through the policies and procedures that areimplemented.

Conversely when accidents or dangerous occurrences occur, in orderto prevent them from recurring, managers should examine whetherthere is a need to: -

• change working arrangements and consequently to revise anyexisting force risk assessments;

• carry out additional risk assessments; or

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• revise policies and procedures

Accident recording

An essential element of any police force health and safetymanagement system is an effective procedure for the accurate andtimely recording of accidents and dangerous occurrences.

This has the following benefits: -

• Incident control - it enables the organisation to ensure that anyinjuries and near misses are dealt with promptly, damageassessed and immediate action taken to prevent recurrence,particularly through command and control procedures.

• Management information - it enables managers to consider: -

v what preventive action needs to be taken to avoidfurther/future damage/injury;

v implications for force health and safety policy.

• Statutory obligations - it provides the information forcesrequire: -

v to report certain accidents/incidents to the Health and SafetyExecutive under the Reporting of Injuries, Diseases andDangerous Occurrences Regulations 1995; and

v to comply with the Social Security (Claims and Payments)Regulations, which require the preservation of data aboutinjured persons to enable claims for industrial disability to beprocessed.

• Data supplied to the Research Development and StatisticsDirectorate.

Effective recording procedures will be further enhanced where: -

• health and safety policy identifies responsibilities to record,analyse and manage accident/incident reports;

• health and safety policy determines the level and scope ofaccident/incident investigations;

• active participation of appointed safety representatives isencouraged within investigations, monitoring and proactiveplanning aspects of health and safety management;

• procedures are established for sharing accident/incidentinformation in a more timely manner, to ensure organisationallearning is applied and in compliance with other legislativeconsiderations; and

• procedures are established to enable healthcare professionalsto use the accident/incident information as part of any ongoinghealthcare strategy.

The ‘Reporting of Injuries, Diseases and Dangerous OccurrencesRegulations 1995’ prescribe the reporting criteria when details of more

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serious matters have to be referred to the Health and SafetyExecutive.

Management action

It is important that managers should analyse this referable dataroutinely in conjunction with information from the Human ResourcesDepartment, including Occupational Health and Welfare sections, inorder to provide a holistic view of performance.

It is equally important that managers and supervisors should actpromptly to prevent the recurrence of the accident or dangerousoccurrence. The reporting form requires the following steps to betaken: -

• Investigative action - each accident or occurrence should beinvestigated to identify what caused it, what lessons can belearnt and what action needs to be taken to prevent theirrecurrence.

In most cases the investigation can be carried out informally bythe supervisor in consultation with the officers or staffconcerned. But in more serious cases this will require a moreformal investigation by either a local investigator or a seniorinvestigator and team, preferably in conjunction with theappointed safety representative.

In some cases the Health and Safety Executive may wish tocarry out an independent investigation. They should be givenevery assistance.

• Immediate action - although it goes without saying, it is alsoessential that supervisors and managers should take steps tosecure the site to prevent the recurrence of the accident. Inmany cases this is all the action that will be necessary.

• Further action - where further action is required this needs tobe identified at the outset and a path charted to ensure that thenecessary steps are taken.

Sometimes this will be dependent on the result of a formalinvestigation. The important thing is to ensure that the matteris not overlooked.

Managers should be provided with sufficient authority tocommission emergency repairs and other action needed tosecure a site.

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Effective Management of Sickness Absence andMedical Retirement

Occupational health services nationally have been identified asrequiring a more strategic approach. The ACPO ‘Strategy for a HealthyPolice Service, 2006-2010’ and the ACPOS ‘Strategy for a HealthyPolice Service 2003-13’, reaffirms the commitment of the service toimproving the health and safety of officers and police staff alike.

The principles of this strategy reflect the Home Office ‘Strategy for aHealthier Police Service’, the Ministerial Task Force for Health, Safetyand Productively ‘Review of Sickness Absence in the Public Sector’,the Department of Work and Pensions ‘Health, Work and WellbeingStrategy,’ the Green Paper on Incapacity Benefit and the ScottishExecutive equivalents. These documents are similarly linked to theHealth and Safety Commission’s publication ‘Strategy for WorkplaceHealth and Safety in Great Britain to 2010 and beyond.’

Causes of sickness absence

Any member of staff may from time to time be absent from dutybecause of illness. The duties of operational staff are often particularlyonerous and are at times both dangerous and stressful. Sicknessabsence will include: -

• instances of injuries sustained whilst at work;

• work-related ill health, such as stress, post traumatic stress,musculoskeletal disorders and work related upper limbdisorders caused by especially difficult situations; and

• the kinds of sickness which might arise in any circumstances.

Sickness absence is inevitable in any occupation. Sometimes it iscaused by organisational and personal factors, which can include: -

• unsatisfactory working conditions;

• low morale;

• conflicting domestic and professional priorities; and

• poor management.

Responsibilities of managers and supervisors

It is important that managers and supervisors recognise that they havethe prime responsibility for managing sickness absence. This involvesdealing with individuals sensitively and fairly, but also firmly whenrequired.

The primary duties of managers and supervisors in this area are to: -

• respond sympathetically and supportively in order to help thosewho are on sick leave to return to work, through the use ofrecuperative or restricted duties, early interventions and medicalreferrals;

• develop and maintain a system for managing sickness absencewhich minimises the scope for inappropriate management orabuse of trust;

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• be vigilant for any organisational factors which might affectsickness, including sickness due to disability and to take actionto eliminate or minimise their effects; and

• comply with the force’s sickness management policy.

Policy and guidance

As with health and safety generally, it is important to the success ofany system for controlling sickness absence and work related ill healththat: -

• the policies should be set out in clear and unambiguous terms,appropriate to the needs of the force;

• their aim should be to minimise ill health whilst at the same timetreating all personnel fairly, reasonably and compassionately;and

• they should state clearly what the force expects of its personneland what staff may expect from the force, particularly regardinghealth and safety and disability issues.

In other words there needs to be a consistent approach withprocedures which will assure all employees of fair and reasonabletreatment, effectively manage their return to work and address workrelated or aggravated ill health issues.

Policy statement

As with health and safety a formal policy statement should be preparedin consultation with the representative associations and trade unions.This should then be drawn to the attention of all officers and policestaff.

The policy statement should set out: -

• a commitment at the highest levels that the management ofsickness absence is fully integrated into the force’s corporatemanagement structure;

• the general policy of the force towards sickness and work-related ill health;

• the actions the force itself will take to minimise the effects ofsickness on the individual and the operational effectiveness ofthe force; and

• the recognition of gender and disability related ill health.

Commitment at the highest level - this should: -

• make it clear to all officers and staff that sickness absence is aserious and accountable matter;

• establish clear principles, standards and procedures formanaging sickness absence;

• emphasise the fundamental responsibility of managers topromote a genuine caring attitude among officers and staff intheir command and where possible, to take positive steps to

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expedite rehabilitation and the early return to work; and

• establish an effective force reporting system to enable theincidence and costs of sickness absence to be monitored andanalysed at all management levels.

General policy - commitments to: -

• deal fairly, reasonably and sympathetically with all categories ofill health amongst staff;

• ensure a fair, reasonable and consistent approach on the part ofmanagement with consideration given to individualcircumstances and needs; and

• combine a caring, sympathetic attitude towards the health andthe well being of staff, with firm action against those who mayabuse the system.

Force actions - this might contain commitments to produce guidelineson ways to handle sickness which provide that: -

• line managers will accept that the management of sicknessabsence is principally their responsibility;

• line managers will take a genuine interest in those who aresuffering ill health, but will take appropriate action to counter anyabuses of the system; and

• the force will establish clear procedures for the reporting andmonitoring of sickness absence.

Consultation and dissemination - it is essential that: -

• the staff associations and trade unions are consulted at allstages during the preparation of the policy statement; and

• when agreed, the statement is disseminated throughout theforce for the information of all personnel.

Force guidelines - the force guidelines should include the details ofthe force policy on some or all of the following items: -

• recuperative or light duties;

• retirement on grounds of injury or ill health;

• time limits for payment of statutory and organisational/occupational sick pay;

• special leave;

• disability entitlements;

• compassionate leave;

• attendance at court when on sick leave;

• visits to doctors, dentists etc, whilst on duty; and

• impact on other HR processes e.g. selection, training

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opportunities, specialisation.

(It should be acknowledged that medical screening and treatment areintegral to sickness management and that the employer shouldsupport this. As Doctors and Dentists work fixed hours it may notalways be possible to arrange appointments outside working hours.NHS hospital appointments are most often outside the control ofpatients).

As a shared approach, it is considered good practice to utilise the in-force risk assessment model, where the force medical advisor/officerwill determine the functional limitations of the individual as part of thehazard criteria and managers will determine the role deployment in linewith evaluation of risk.

Using the in-force risk assessment model will enable managers todischarge their responsibilities towards individual staff subject ofrecuperative or restrictive duty deployments, disability or other specialcategory considerations.

Training of line managers and supervisors

Managers and supervisors are in a position to take into account anyknown personal circumstances of staff, such as domestic worries,which may have a bearing on a situation. Training for competence istherefore an essential element for the manager’s and supervisors role.

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Annex A

Individuals Consulted

Home Office Health and Safety Standing CommitteeJeremy Crump (Chair) Police Human Resources Unit, Home Office Bettina Von Hornhardt Police Human Resources Unit, Home OfficeGary Locker ACPOAlan Goodwin ACPOAlex Kirk Representing ACPO (Scotland)Robin Field-Smith H M Inspectorate of ConstabularyMandy Wynn H M Inspectorate of ConstabularyCharles Cochrane Association of Police AuthoritiesBrenda Griffiths Association of Police AuthoritiesCameron Bayly Association of Police AuthoritiesKeith Dickinson Metropolitan Police AuthorityGuy Thomson Police Superintendent’s Association of

Northern IrelandRay Phillips Police Superintendent’s Association of

Northern IrelandHugh Little Scottish Police FederationStevie McCann Police Federation of Northern IrelandFred Cullum Association of Police Health and Safety

AdvisorsJohn Orchin Chief Health and Safety Advisor (PSNI)Martin Tiplady Metropolitan Police ServiceNick Kettle Metropolitan Police Service

Association of Chief Police Officers Joint Advisory GroupAllyn Thomas (Chair) ACC KentAndrea Sillars Representing ACPO ScotlandLinda Van Den Hende ACPO Consultant for Workforce Development

Business AreaRebecca Pentelow Home OfficeDr John East Occupational Health, Serious Organised

Crime AgencyDr David Courtney Occupational Health Police Service of

Northern IrelandDr David Bulpitt Association of Local Authority Medical

AdvisorsJohn Hussey National Association of Police Welfare

AdvisorsVince Lungley Occupational Health Nurse Advisors to the

Police ServiceRaymond Duplock Association of Police Health and Safety

AdvisorsSue Graham Association of Police Health and Safety

AdvisorsScott Westbrook National Disabled Police AssociationAmanda Stokes Employers Forum on Disability Police Co-

ordinator

Attendees to both CommitteesToni Drury Health and Safety ExecutiveMark Collins Health and Safety ExecutiveMike McAndrew Superintendents’ Association (England and

Wales)Paul Lewis Police Federation of England and WalesPaul McKeevar Police Federation of England and WalesChris Hanrahan Unison

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Annex B

Benchmarking checklist/aide memoir

Auditing current Health & Safety measures

• Health and Safety Policy in place

• Responsible owner identified at chief officer level

• Structure for Health & Safety management in place (includingroles and responsibilities for Health and Safety Advisors,steering groups etc)

• Risk Assessment database available which is up to date,audited and with identified owners

• H & S responsibilities understood by all

Reviewing policies and provision

• Policies comply with legislation and have been written in clearEnglish

• Policies are readily accessible to the whole workforce

• Risk assessments are appropriate and accessible to the wholeworkforce

• Appropriate channels for sharing information on incidentsbetween key stakeholders and healthcare professionals

• Consultation process for reviews/revisions

• Training programmes regularly reviewed and updated asnecessary

• Set targets and have monitoring in place. [H & S plan witheffective performance management approved by CC and PA/B.Absence targets, recuperative/restricted, medical retirement,accident, injury and near-miss reduction targets]

• Anything else that needs to be considered in reviewing currentprovisions/revising policies and structure

Annual/Periodical tasks

• Review policies and targets at least once a year

• Audit to ensure training for new staff/officers, those who havemoved roles, those who have new responsibilities

• Consider Health and Safety planning in light of the LocalPolicing Plan, force objective setting and performance indicators

• Regular meetings of stakeholder forum and monitoringperformance against targets

In case of incidents

• Incidents are reported, recorded and monitored e.g. for trends

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and appropriate action is taken

• Data from incident/accident reports is considered as part of riskmanagement strategy

• Short/long term management of problems arising from incidentsi.e revised risk assessment, return to work policies, working withoccupational health specialists

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Annex C

Example of force health and safety policy statement

It is the policy of the Police Authority/Board and the Chief Constable toensure so far as is reasonably practicable, the provision andmaintenance of:

• safe and healthy working conditions, equipment and systems ofwork for all Force personnel; and• to provide such leadership, resources, information, training andsupervision as is needed for these purposes.

The Police Authority/Board and the Chief Constable also accept theirresponsibility for the health and safety of other people who may beaffected by the force activities.

To this end the Force will comply with the requirements of the Healthand Safety at Work etc Act 1974, all other relevant statutory provisionsand recognised codes of practice. The Chief Constable and the PoliceAuthority/Board expect all members of the Service – police officers,police staff and members of the Special Constabulary, irrespective ofrank, grade or position – and all contractors working on behalf of theService, to co-operate fully in the achievement of this policy.

The allocation of responsibilities for health and safety matters and theparticular arrangements made to implement the policy are set out inthe schedule to this statement.

Chief Constable Police Authority/Board

Date: Date:

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Schedule

Allocations of responsibilities

Overall responsibilities

In accordance with the Health and Safety at Work etc Act 1974 and thePolice (Health and Safety) Act 1997, the Chief Constable hasresponsibility for the day to day management of health and safetywithin [name of force].

[name of force] Police Authority/Board will assist the Chief Constablein the discharge of those health and safety duties and will ensure thatadequate resources are available for health and safety issues.

The [insert title of officer designated] is responsible to the ChiefConstable for the arrangements for implementing the Force’s healthand safety policy.

[Agreed responsibilities of the police authority/board and the chiefconstable can also be included]

Force personnel

It is the duty of all Force personnel – police officers, police staff andmembers of the Special Constabulary and designated volunteers,irrespective of rank, grade or position – to take all reasonable care ofthemselves and of other persons who may be affected by their acts oromissions.

The duty of care to third parties is particularly important in relation to:

• lay visitors and other members of the public who visit policeproperty;

• those in police custody; and

• contractors and their employees whilst working on policeproperty.

Basic command unit commanders and heads of department

Commanders and heads of department listed in this Schedule areaccountable to the Chief Constable for the implementation of theForce’s health and safety policy in areas under their control. They areresponsible for the health and safety of their staff while on duty and forothers, particularly members of the public, who may be affected bytheir work activities.

Each is responsible for:

• drawing up, implementing and maintaining a health and safetypolicy for the department;

• ensuring health and safety priorities are identified andperformance managed;

• allocating duties and responsibilities for health and safetymatters within the department;

• ensuring that risk assessments are prepared throughout the

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department which identify all significant hazards and establishappropriate control measures to eliminate or reduce the risksinvolved.

• ensuring the provision, so far as is reasonably practicable, ofsafe systems of work and regular workplace inspections;

• providing effective arrangements for communication andconsultation with staff, their representatives and accreditedsafety representatives, on health and safety matters;

• ensuring such facilities and assistance to accredited safetyrepresentatives that they may reasonably require for thepurpose of carrying out their functions;

• providing, in conjunction with health and safety trainers,appropriate training for staff; and

• allocating resources for the above purposes.

Role of safety representatives

In accordance with the provisions of the Health and Safety at Work etcAct 1974 and the general policy of the Chief Constable and the PoliceAuthority/Board in relation to health and safety, official staffassociations and recognised trade unions representing the interests ofForce personnel are entitled to appoint safety representatives toconsult with management in matters relating to health and safety andto carry out the functions detailed in the Safety Representatives andSafety Committees Regulations 1977, as amended.

Advice, information and monitoring of health and safetyperformance

The designated health and safety advisors and occupational healthadvisors within the [insert name of department, e.g. Directorate ofOccupational Health] are responsible for providing advice andinformation on the application of health and safety legislation within theForce. The advisors, reporting to the Chief Constable via [insertdesignated officer] are responsible for monitoring and reviewing theperformance of the Force in health and safety matters.

Executive officers and senior managers responsible for healthand safety policy implementation:

Other responsibilities to outline include line managers, supervisors,individuals, visitors and contractors.

Section 3 page 40

The need here is to list the executive officers, senior managers andoperational commanders by role whose responsibilities requiredthem to oversee health and safety arrangements.

Federation policy and practice –National

This section starts with the statement of where the Police Federationof England and Wales stands on issues of Health and Safety andincludes the objectives of the National Committee, the Job Descriptionof the Health and Safety Leader and the guidance on the issuing (andwithdraw) of provisional improvement notices (PINS are in line with theoperating procedures of other Trade Unions in the Health and Safetyfield).

In all aspects of Health and Safety, the Police Federation of Englandand Wales conducts its business as a Trade Union as set out inlegislation.

The Police (Health & Safety) Act 1997 extended the Health and Safetyat Work Act 1974 to cover police officers.

The Police Federation of England and Wales believe that properobservance of health, safety and welfare enhances the effectivenessof policing. In the hazardous police environment, the legislation strivesto create work surroundings, which are free, as far as is reasonablypracticable, from risk, so everyone is working in situations that are ashealthy and safe as possible.

There is no legal excuse for the police service to be treated differentlyfrom any other service or organisation. Section 2(1) of the HSW Actstates that it is the central duty of the employer to ensure so far as isreasonably practicable the health, safety and welfare of all employees.The qualification “so far as is reasonably practicable” means that thereshould be no conflict between effective policing and compliance withhealth and safety legislation. Suitable and sufficient risk assessmentshould ensure that, whilst dangerous activities may need to beundertaken, the risk involved should be reduced to as low as isreasonably practicable.

The Police Federation is currently encouraging the establishment of asystem to share best health and safety practice between forces and tolearn from any mistakes made. In cases where there has been abreach of regulations, this information should be disseminated to otherforces in order that correct procedures are learnt and developednationally.

Workplace health and safety representatives operating in partnershipwith management are recognised as important elements in anorganisation obtaining the greatest health and safety benefits. ThePolice Federation of England and Wales train their safetyrepresentatives to an approved accredited standard in order that theybring a requisite level of knowledge to these partnerships.

Accident and incident investigation is a fundamental tool in reducingaccidents. The Police Federation expects management to use thefindings of such investigations to learn and to make the workplace asafer place. This is known to assist in reducing sickness absence. ThePolice Federation also encourages forces to comply with their statutoryduty by training all staff to a minimum standard in health and safety. There is also a statutory requirement for employers to consult at an

Section 4 page 1

early stage with their safety representatives on any health, safety andwelfare issues which affect all staff, so that together we can resolveissues and where necessary put in place proper control measures toimprove the working conditions for all.

The Police Federation supports the HSC’s Strategy for WorkplaceHealth and Safety in Great Britain to 2010 and Beyond and wouldencourage forces to use the Commission’s document as a way ofreducing sickness absence.

The Police Federation firmly believes that an effective occupationalhealth policy should include the use of rehabilitation programmes tofacilitate the earlier return to work of individuals who have hadprolonged periods of absence. A guidance paper on the use of fast-track intervention is available from Federation JBB representatives.The Police Federation of England and Wales is working towardsachieving a fair, safe and healthier system of work, which is at leastcompliant with the minimum standards of the Working TimeRegulations 1998 (WTR). The service’s commitment to reducingabsence will not be effective unless working hours are reduced toenable a proper work life balance and the first step would be to ensurethey do not exceed the WTR’s recommendations of 48 hours.Excessive hours are known to lead to health problems, stress andhigher accident rates. We have consistently supported theGovernment’s approach to introducing a work life balance and arefirmly of the view that this will be helped by strict adherence to thatlegislation which promotes a healthier and safer workplace for all.

National ObjectivesThe health and safety sub-committee on behalf of the Joint Centralcommittee and with their approval has set out the following objectivesto comply with the Police Federation of England and Wales aims andobjectives, in respects of health and safety namely: -“To actively promote a healthy and safe working environment andworking practices”

Training/Awareness• All safety representatives are to be trained to an accredited

standard.• Provision of sufficient training courses to meet the demands on the

organisation and of the joint branch boards.• Encourage safety representatives to keep abreast of changes to

legislation / good practices through conferences and seminars at alllevels/Regional networking.

Advise• Provision of advise / information to enable safety representatives to

fulfil their rolls effectively.• Pro-actively disseminate good practices nationally through the

network of health and safety leaders.

Influence• Apprise employers of their respective duties under health and

safety legislation and encourage compliance.• To forge effective lines with key players including: - Association of

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Chief Police Officers (ACPO), Home Office, Association of PoliceAuthorities (APA), Health and Safety Executive / Commission(HSE/C), Association of Police Health and Safety Advisors(APHSA), Her Majesty's Inspectorate of Constabulary (HMIC) inorder to influence them for the benefit of our members.

Diversity• To encourage a broad cross section of our members to become

safety representatives.• To ensure safety representatives are aware of diversity issues as

they affect health and safety matters.

Reporting of Accidents.• To address the under reporting of accidents, near miss and

dangerous occurrences and to encourage accurate and diligentrecord keeping.

• To encourage the safety representative to place a greater emphasisin the investigation of accident and incident and to learn from theoutcomes.

This is a living document and can be reviewed at any time but at leastonce a year by the Health and Safety sub-committee.

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ROLE RESPONSIBILITY OF A HEALTH AND SAFETYLEADER

It is considered that that a Health and Safety Leader should be able toor work towards demonstrating competency in the following areas:

Communication:

• Analyse and disseminate information received from diverse areasto members.

• To be able to prepare documents and reports for SafetyRepresentatives, the Joint Branch Board and the Secretary of theHealth and Safety Sub-Committee at Surbiton.

• To be able to communicate effectively with the Force Health andSafety Executive Committee.

• To be able to communicate with other Health and Safety Leaderswithin their region on a regular basis.

• To be able to communicate effectively on a range of issues with theSecretary of the Health and Safety Sub-Committee at Surbiton.

Leadership:• Lead the P.F. appointed Safety Representatives.• In consultation with the Officers of the Joint Branch Board manage

and monitor the activities of the Safety Representatives.• Identify and develop working relationships with individuals of

influence of outside agencies in the health and safety arena.• To be the focal point on the Joint Branch Board on Health and

safety matters.

Coaching:• Provide a local contact point for Safety Representative.• Provide support, guidance and direction to the Safety

Representative.• Identify the strengths and weaknesses of the P.F.’s Safety

Representatives and develop strategies to enhance performance.

In addition, Health and Safety Leader should continue whenever ableto develop their knowledge of Health and Safety ensuring thatwhenever possible they are up to date with the latest guidance.

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Police Federation Improvement Notice

The Police Federation of England and Wales endeavours to formaliseits procedures to assist JBB and the police service in delivering a safeworking environment. To this end we introduced the PFIN. Thefollowing circulars to JBB and Chief Constables explains the process.

gb/ccl 25 September 2002

JBB Circular 39/2002

To: Branch Board Chairman, Secretary and Health & Safetyleaders

Provisional Improvement Notices

At the Health and Safety Leaders seminar held at York on 23-25September, each leader present was issued with a supply ofProvisional Improvement Notices, together with the associatedprotocols for use. It is intended that the scheme will operate from 10October 2002.

I attach herewith for your information, a copy of a letter I have todaysent to each Chief Officer outlining the launch of this scheme.

Any Joint Branch Board who’s leader was not able to attend theseminar at York should contact Brian Burdus, Chairman of the Healthand Safety Sub-Committee, as soon as possible, in relation to theirinvolvement in the scheme.

Yours sincerely

Clint ElliottGeneral Secretary

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Dear Chief Constable

Provisional Improvement Notices

As you may be aware, the PFEW are launching a Health andSafety Provisional Improvement Notice scheme, which will beimplemented on 10 October 2002. I write to inform you of theprotocols that our representatives have been instructed to used,if any circumstances arise which should make the issue of oneof these notices appropriate.

The introduction of the scheme is intended to further enhancethe development of partnerships within the constituent parts ofthe police service in an effort to improve Health, Safety andWelfare for all members of the police service. The experiencesin countries where such notices have been used indicates thatthe occasions they are issued are few in number, as results areachieved before this stage is reached.

Another main motivator for Provisional Improvement Notices isthe preventative influence acting as an early warning system formanagement with important issues highlighted early on, therebyreducing the risks of actual accidents.

Over the last year, the Police Federation of England and Waleshas built up a structure of Health and Safety Leaders and is nowdelivering an accredited Health and Safety training course,which incorporates a written examination. I believe that thisstructure will allow us to develop, implement and monitor aneffective Provisional Improvement Notice into the police service.

Before issuing such a notice, the safety leader for the branchboard must have successfully completed an accredited courseand they must be convinced of four things:

1 There is a breach of Health & Safety law

2 The breach has been brought to the attention of managementin a proper manner through agreed channels

3 Management has failed to respond appropriately within areasonable time

4 The matter is not already subject of enforcement action

As a further safeguard, the notice will have to be countersignedby the Chairman or Secretary of the relevant Joint BranchBoard.

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The above summary will hopefully give you some indication ofthe proposed structure of the scheme.

I attach herewith, for your information, a copy of the PIN and itsprotocol for issue. I hope you are able to support us in thisinitiative to help reduce work related accidents and injuries topolice staff.

Yours sincerely

Clint ElliottGeneral Secretary

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Federation policy and practice –Local

Introduction

This draft Joint Branch Board policy on Health and Safety issues isincluded in this copy of the updated Safety Representative’s manual asa suggestion from the Joint Central Committee’s Health and SafetySub Committee. In it there are sections in [ ] the specifics of your localprocedures will have to be added. Your Joint Branch Board will have todecide whether to adopt this suggested draft (amended as necessary)as its policy. However doing nothing is not an option. The safetyrepresentative needs to know and understand the context in whichthey are working. The initial course and the safety manual makefrequent reference to the need for the safety representative to beworking in accordance with their local Joint Branch Board policy. Themanual has a section kept for the local Joint Branch Board policy to beinserted.

Joint Branch Board Policy

• It is the role of the Joint Branch Board Officers to manage theHealth and Safety activity, delegating the day to day managementtask to the Health and Safety Leader.

• The role of the Safety Representative is as set out in the regulationsand the role of the leader is as set out in the safety representative’smanual.

• [The policy will explain whether only police federationrepresentatives are appointed as safety representatives or inaddition some ordinary members are also appointed as safetyrepresentatives.]

• The Joint Branch Board will appoint sufficient safetyrepresentatives to ensure that all sections of the workplace arecovered by a safety representative.

• Where a member or representative is a risk assessor for the force,they will not be appointed as a safety representative because of theconflict of interest.

• The Joint Branch Board will end the appointment of safetyrepresentatives in writing as per the appointment process, when arepresentative or member is moved away from the workplace or asdetermined by the Joint Branch Board.

Facilities

• Each Safety Representative will have a safety representative’smanual and other reference material following their national trainingand working with their Leader.

• They will accumulate copies of risk assessments, safety committeeminutes and agendas and other papers and will need to be able tosecurely store them.

• [Providing facilities for this is allowed for in the Regulations and willbe covered in the local Joint Branch Board policy.]

Federation Health and Safety Meeting

• All safety representatives (whether they are federationrepresentatives or ordinary members) will meet periodically with the

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Health and Safety Leader (and the Joint Branch Board Officers) inorder to be updated about national, force and local issues and toallow them to raise issues they are unable to resolve at their localsafety committee or issues that are of general interest.

Force Safety committee

• The force safety committee will be where the Joint Branch BoardOfficers and the Health and Safety Leader meet with the seniormanagement of the force and the appointed Health and Safetyadvisor(s).

• This committee will oversee the work done by the local safetycommittees and resolve issues not resolved at a local level. It willalso be the appropriate location for consultation on force wideissues.

Health and Safety Leader

• The role of the Health and Safety leader is well set out in the Safetyrepresentative’s manual.

• The Leader will be appointed by the Joint Branch Board and willtypically be an experienced safety representative with sufficientduty time to be able to carry out the delegated managementfunctions set out in the Joint Branch Board policy under the overalloversight of the Joint Branch Board Officers.

• [The Leader will either be a full member of the Joint Branch BoardExecutive or will attend meetings whenever there are Health andSafety issues to be considered.]

See job description of a Leader in the Safety Representative’smanual.

Joint Branch Board

• The Joint Branch Board will approve, amend and update theirpolicy as required

• All members of the Joint Branch Board will be given a copy of theJoint Branch policy on Health and Safety issues.

• The Joint Branch Board will be kept up to date with Health andSafety issues, particularly following Leaders, Regional Health andSafety meetings, Force Health and Safety meetings and FederationHealth and Safety Meetings.

• Not all members of the Joint Branch Board will be appointed SafetyRepresentatives.

Learning and Development

• The learning and development of the Safety Representatives willbe the responsibility of the Health and Safety leader.

• Training courses should be available for safety representatives toattend before they are appointed.

• The Leader will have access to e-learning resources on Health andSafety topics that can be used in a blended learning approach forall the safety representatives.

• Another important part of the approach to the learning anddevelopment of the safety representatives will be the operationalwork they will do with the leader and other more experienced safetyrepresentatives.

• They will be encouraged to keep current papers in their safety

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manual so that it can be referred to when they attend FederationHealth and Safety meetings, meet with the Leader or work withexperienced safety representatives as part of their development.

• They will be encouraged to attend force and regional federationmeetings as part of their development.

• They will be encouraged to use the log book section of their safetyrepresentative’s manual to record their activities and progress.

Local Safety committees

• The role of the local safety committee is well set out in theregulations, and these guidelines should be adhered to.

• There is sufficient space in the safety representative’s manual forcurrent paperwork to be kept in it.

See Safety Representatives and safety Committees Regulationsin the Safety representative’s manual

National and local meetings

• The Leader will normally attend the bi-annual meetings with thenational Health and Safety Sub Committee. Arrangements will bemade to update safety representatives and where relevantfederation representatives who are not safety representatives ofissues raised at such meetings

• The Leader (and Joint Branch Board Officers) will normally attendany Health and Safety meetings organised in their region.Arrangements will be made to update safety representatives andwhere relevant federation representatives who are not safetyrepresentatives of issues raised at such meetings

• Depending on the subjects to be discussed and the relevanceadditional safety representatives may also attend regionalmeetings, particularly as part of their development.

Records written and computer

• [The Joint Branch Board policy on the keeping of records in linewith the Data Protection Act will need to be included to explain howthe Joint Branch Board expects Safety Representatives to keepactive records and how they archive them when they are completedbut stored or how they are to be destroyed when they are no longerneeded.]

Safety Representatives

• Safety Representatives are only appointed after initial training.• Safety Representatives are appointed in line with the local policy by

the Joint Branch Board managed in the first instance by the Leader,who is answerable to the Joint Branch Board through their Officers.

• [The policy will explain whether only police federationrepresentatives are appointed as safety representatives or inaddition some ordinary members are also appointed as safetyrepresentatives.]

• When appointed they will be appointed in line with the regulationsfor a particular section of the workplace. They will be appointed inwriting and copies will be sent to them, the force and their localmanagement. A similar process will be adopted when they cease tobe safety representatives.

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• Each Safety Representative will during their training be suppliedwith a current Safety representatives training manual that willinclude a copy of the local procedures.

• Once they are competent and experienced they will be expectedunder the guidance of the leader to help in the development of newsafety representatives.

• Safety representatives will have access to other information andtraining material as required through the Leader. They will alsohave access to equipment such as digital cameras as requiredthrough their Leader.

• The Joint Branch Board will end the appointment of safetyrepresentatives in writing as per the appointment process, when arepresentative or member is moved away from the workplace or asdetermined by the Joint Branch Board.

• When they cease to be a safety representative all manualsequipment etc. will be returned to the Leader for future allocation.

See Safety Representatives and safety Committees Regulationsin the Safety representative’s manual

Section 4 page 11

Incidents, Accidents and Occurrences Checklist

Every year in the United Kingdom many people suffer serious injuriesin workplace accidents. If one or your members suffers an accident atwork it is important the accident is properly investigated and propersupport is given to your member. This is where the Police Federationprovides a vital service. The Police Federation will campaign andensure proper health and safety standards are in place at work.

Compensation is very important, but more importantly it is better ifaccidents are prevented in the first place. Police Federation SafetyRepresentatives have a particularly important role to play. SafetyRepresentatives need to gather facts and make sure that the causesof the accident are investigated, so that improvements can be made.This will help your members. This checklist gives valuable advice onwhat you need to do when an accident happens in the workplace.

LEGAL RIGHTS TO INVESTIGATESafety Representatives have legal rights under the SafetyRepresentatives and Safety Committee Regulations to examine thecauses of accidents and to investigate dangerous occurrences in theworkplace. For a full explanation see the guidance given in section 6.In addition you will need to understand what your force and localFederation operating procedures say about how you are informedabout IAO’s and how they are investigated locally.

WHAT TO DO WHEN AN IAO HAPPENS

When your local operating procedures give you the job of investigationand you have been informed of an IAO get to the scene as soon aspossible, this gives you the opportunity to exercise your legal right toinvestigate accidents independently of the employer. Your membersshould also know that you need to be told immediately about anyaccidents or dangerous occurrences.

In the event of an accident, the action to be taken by SafetyRepresentatives is divided into three parts:

1. Immediately after the IAO.

2. Investigating the IAO.

3. Follow up.

1 IMMEDIATELY AFTER THE IAO

Get to the scene as soon as possibleIt is important that the injured person gets prompt medical attention.Someone should stay with the injured person to provide comfort andprevent unnecessary questioning. This is important because someemployers pressurise per¬sons into making statements that coulddamage possible claims.

Witnesses, including the injured person, need not feel pressurised tomake statements immediately to the employer or safety officer. Theonly person who can legally insist on a statement is the Health andSafety Inspectorate Inspector, or the police in the event of a fatalaccident. Make sure nothing is moved.

If the IAO is so serious that it requires hospital treatment, it will be theresponsibility of the line manager to make sure that the site is

Section 4 page 12

cordoned off and left undisturbed until it has been examined. Somedisturbance may be necessary to prevent further damage. Ensure thatthe more serious IAO's are notified to the HSE in line with your localoperating procedures. More than half of the accidents that should bereported are not. All it takes is a telephone call to the nearest HSI AreaOffice.

Keep your contact list up to date with all relevant numbers ready tohand.

If serious harm remains

It is the responsibility of the line manager Health and Safety Adviser toensure that work is not resumed after the IAO if serious dangerremains, or if resuming work will interfere with accident investigation.Management should have established clear procedures to befollow¬ed in the event of an accident or an emergency. This should bewritten into the safety policy and communicated to all employees. Ifthere is any doubt call the Health and Safety Leader or FederationOffice in the first instance. Try to ensure the support of your membersby keeping them informed of the situation and by explaining why theIAO investigation is important

2 INVESTIGATING THE IAO

Make a detailed inspection of the IAO site.

Once it is safe to do so, carry out a detailed inspection of the accidentsite. Notify management first. You are entitled to reasonableassistance from the employer, including facilities for privatediscussions with employees. Record as much detail as possible aboutconditions in the workplace, and talk to witnesses and accident victims.If possible, make sketches and take measurements and photographs.It is also important to investigate other factors (for example inadequatesupervision, information or training) which could cause or contributetowards the accident.

Working Environment• What was it like at the time of the incident?• Was any Machinery, Plant and Equipment involved – if it was what

was it's condition?

Substances and Materials• Were any involved?• Was the accident caused by manual handling?

Protective Clothing and Equipment• Were the correct items of clothing issued or being worn?

Other Employees• Anyone else involved? Are there any witnesses?

Legal Standards• Are there any suspected breaches of legal standards?

Training, Job Experience and Supervision• Was there any supervision? Had safety training been given?

Was Information Provided• Were the people involved properly briefed?

Section 4 page 13

Risk Assessment• Have risk assessments been carried out?• Have action plans been implemented?

Other Incidents• Have there been other accidents?• Is there a common link?

Management Investigation• Have management conducted an investigation and how does it

measure up to your report?

3 FOLLOW UP

Follow-up action after an IAO is essential. Safety Representativesneed to be sure that any investigation into the cause of the accidenttakes all relevant evidence into account. Injured members will alsoneed assistance with claims. Finally, it is vital to ensure that steps aretaken to prevent similar IAO's happening in the future.

Safety Representatives should do the Following;-• Make sure you liaise with the investigator

You should take into account any evidence, statements and otherdetails of the cause of the incident which your investigation hasrevealed.

• Advise Injured Members

It is important that injured members are informed of their entitlement tobenefits and assisted in making a claim. They may be entitled tobenefits from the state or Federation Schemes. In addition, they maybe entitled to legal compensation from their employer.

• Check the Employer's Accident Records

Check that details of the IAO are in the employer's accident book, ordo so on behalf of the injured member. It is important that the IAO isreported as soon as possible, otherwise there may be problems withany claim for benefits, compensation or salary under currentregulations. If there is no accident book, the employer should beinformed by letter. Give the name and address of the injured person,their job, the cause of the injury, and the date, time and place of theaccident.

• Make sure that it is reported

Even if an IAO does not seem serious at the time make sure it isreported. It might have some ill effect in the future, and the membermay be able to apply for a decision that the incident was an industrialaccident. It is a legal requirement under RIDDOR (The Reporting ofInjuries, Diseases and Dangerous Occurrences Regulations) for theemployer to report certain accidents and dangerous occurrences to theHealth and Safety Inspectorate. Make sure that this has been done;the enforcing authority may visit the workplace as a result. Betterreporting will also help to ensure that government accident statisticsare more accurate, which will help the Police Federations to campaignfor improvements in health and safety standards.

• Negotiate Improvements

Section 4 page 14

You need to negotiate with your employer to ensure that future IAO'sare prevented. Suggest improvements or immediate precautionsbased upon the findings of your workplace inspections andinvestigation. You may also need to discuss the following withmanagement:

• Risk Management

A new risk assessment will need to be carried out, if the previous onefailed to identify the causes of the IAO and identify the necessarymeasures to control the risk in the future.

• Safety Management Systems

An IAO shows that something is wrong with the system. Somemanagers may try to blame the individual(s) involved in the IAO.However, research by the Health and Safety Inspectorate has shownthat the vast majority of accidents are due to the failure of employersto provide proper health and safety protection. Make sure thatmanagement concentrates upon addressing the failures in the waythat safety is managed. It is a fact that far more IAO's result frominadequate safety arrangements and procedures than the so-called"careless employees".

• Training

Did inadequate training contribute towards the IAO? If so, try to get aproper review of training needs for all employees. SafetyRepresentatives are legally entitled to be fully consulted onarrangements for training.

• InformationIs better information needed to make employees aware of the hazardsin the workplace? Try also to persuade management to publicise thecauses of the IAO, and the steps being taken to improve things.

Section 4 page 15

Safety Representatives and Safety Committees

This section deals with Safety Representatives and SafetyCommittees. The second part of this section is the TUC version of the“Brown Book” that sets out the regulations regarding SafetyRepresentatives and Safety Committees. You will need to be veryfamiliar with these regulations as they set out your rights as a SafetyRepresentative.

To be a successful Safety Representative you will have to be able toget the best out of your relationship with those involved in Health andSafety issues, and that should be everyone in the workplace. You willneed to build up a good relationship with everyone.

In addition to dealing with individuals you will have to be effective atmeetings and below are some suggestions for those new to meetings.

Meeting with IndividualsHere are some suggestions for meetings with individual members whomay have issues they want to raise.

Meeting• Preparation and papers you and them.• Location suitable to both. Phones off. Safe place you and them.

Refreshments. Access to support and copying facilities.• “Make sufficient time” you and them.• Distractions (supporters).

Explain• Rules of engagement. Exit strategy. Ground rules. Including

consulting others.• Confidential unless serious etc will let them know if crossing the

line. • Unpack agendas and styles yours and theirs.• Honesty (include other advisors or applications).

Explore• Listen• What, Why, When, Where, Who, How.• Iterative Process.• Check for understanding.• Until you both understand all the issues.

Their desired outcome(s)• If they could get it what do they realistically want as an outcome?

Involve• Lay out the options (reference material).• They decide the + and the –.• They decide, they have ownership (relevant forms).

Getting it clear• Clarify what they will do.• Clarify what you will do.• Agree timescales.• Arrange to re-contact and then re-contact.• Write it down and both share all documents and keep running log.

Section 5 page 1

Safety CommitteesYou will not be the one that runs these meetings but it is as well tounderstand how to run a meeting so that you can help to ensure thatthe Safety committee meetings that you attend go well for those yourepresent, so here is an outline of how to hold productive meetings;

Plan• Decide whether a meeting is needed.• Think through the objectives of the meeting in advance.

Inform• Decide who should attend.• Tell those attending the meeting what is to be discussed and why.• Make sure they know what the meeting is intended to achieve.• Decide and obtain the information needed for the meeting.

Prepare• Arrange the agenda in a logical order.• Allot the correct amount of time for each subject.• Distinguish between urgent and important items and don’t let the

former take up too much time.

Structure and control• Structure discussions so that evidence comes before interpretationand interpretation before decisions.• Keep the stages separate.• Stop people jumping to the next stage or going back over old

ground.

Summarise and record• Summarise and record decisions and action points and make sure

that they are published promptly.

Unite the group• Aggression from one person attending can ruin a meeting and there

are various ways that can be used to defuse the situation. TheChair can allow a certain amount of “letting off steam”. At the sametime making sure that people stick to the facts. The Chair needs tobring everyone in and be sure not to take sides.

Focus the group• A constant danger is people getting off the point. The Chair has to

stay alert, with a hand on the wheel at all times. Periodically theChair should test comprehension and check back over what hasbeen said and paraphrase progress so far.

Mobilise the group• Strong characters can seek to squash weaker ones and the points

they are trying to make. So the Chair should protect the weak, buildup ideas by checking around the group and asking others for theirviews on suggestions, making a point of recording suggestions.

Section 5 page 2

But what can you do as a member of such a meeting other thanhelping the Chair? There are a number of things that you can do to bean effective member of the meeting;• You can do your homework, carefully researching the facts,

anticipating and preparing for objections and when the time comespresenting your case professionally.

• Make sure that you keep to the Agenda and keep your points briefand if you have nothing to say shut up.

• Keep your approach cool and courteous, ask questions do notcontradict. Show you have been listening by acknowledging andrespecting peoples arguments. Admit your weak points and theirstrong ones.

• Some people at the meeting may be wafflers, what they often seekis recognition, give it to them and then jump in and take over thesteering wheel and after agreeing with them change the subjectand where appropriate hand over the wheel to someone else. Tryto ensure that the discussion continues and reaches a conclusion.

• Turf Warriors may be at the meeting. Any mention of theirdepartment or area of responsibility may lead to defensive oraggressive behaviour on their part. A good approach to these socalled turf warriors is to recognise their position and ask them forsuggestions.

• In meetings another menace are the idea assassins, who jump onany new idea intent on killing it before it even gets a hearing. Whenconfronted by one of these ask for their ideas and keep pushing,until they become more positive (fairly unlikely) or become moresubdued.

• Some just dominate either by personality or rank, you will need tokeep cool stick to your guns and respond to their arguments nottheir manner. Address your remarks to the Chair, like being in court.Behave like a stuck record, keep focused on your point until youable to finish what you had planned to say.

• Some people make a practice of interrupting, if you are speaking atthe invitation of the Chair ignore the interrupter and appeal to theChair. If they continue to be a nuisance you can try the three pointtechnique. And finish what you are saying as three points, eveninterrupters seem to shut up for just a list of three.

REMEMBER THAT AS A SAFETY REPRESENTATIVE YOU HAVENO LEGAL OBLIGATIONS ONLY RIGHTS BUT YOU ARE AREPRESENTATIVE OF THE POLICE FEDERATION OF ENGLANDAND WALES

Section 5 page 3

Section 5 page 5

Safetyrepresentativesand safetycommitteesThe Regulations, Codes of Practice andguidance relating to safety representativesand safety committees. These are the SafetyRepresentatives and Safety CommitteesRegulations 1977 and the Health andSafety Consultation with EmployeesRegulations 1996.

These regulations apply to England,Scotland and Wales.

Sponsored by

Section 5 page 6

2

Contents Contents

Contents

Introduction 3

Preface 4

Regulation 1 Citation and commencement 5Code of Practice 6Guidance Notes 7

Regulation 2 Interpretation 8Code of Practice 9

Regulation 3 Appointment of safety representative 10Guidance Notes 11

Regulation 4 Functions of safety representatives 13Code of Practice 16Guidance Notes 18

Regulation 5 Inspections of the workplace 22Guidance Notes 23

Regulation 6 Inspections following notifiable accidents,occurrences and diseases 25Guidance Notes 26

Regulation 7 Inspections of documents and provision of information 27Code of Practice 28Guidance Notes 29

Regulation 8 Cases where safety representatives need not be employees 30

Regulation 9 Safety committees 31Guidance Notes 32Objectives and functions of safety committees 32Membership of safety committees 33The conduct of safety committees 35

Regulation 10 Power of Health and Safety Commission to grant exemptions 36

Regulation 11 Provision as to industrial tribunals 37

Section 5 page 7

Introduction

This booklet has been published by the TUC to ensure that all safety representatives are awareof their rights and responsibilities.

It reproduces the text of the two main pieces of legislation relating to safety representatives,although in a clearer way than in the official government publications. It also gives the Codesof Practice on safety representatives and the guidance notes for both the regulations.

The regulations are legally binding. However the Code of Practice and guidance give additionalofficial advice on the Regulations. The Code of Practice has been approved by the Health andSafety Commission so that, if an employer is prosecuted under the Regulations, they have toshow they have either followed the Code of Practice, or that they have alternative arrangementsthat are either the same or better.

The legislation refers to ‘industrial tribunals’, as they were known at the time. These have sincebeen renamed ‘employment tribunals’.

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Introduction

Section 5 page 8

Preface

This booklet contains:

(a) The Regulations on Safety Representatives and Safety Committees (SI 1977 No 500), asamended by the Management of Health and Safety at Work Regulations (SI 1992 No 2051)and the Health and Safety (Consultation with Employees) Regulations (SI 1996 No 1513).

(b) The Code of Practice on Safety Representatives.

(c) The Code of Practice on Time Off for the Training of Safety Representatives.

(d) The guidance notes.

The booklet is arranged so that the relevant Code and Guide references appear alongside eachRegulation. The Safety Representatives and Safety Committees Regulations were made undersection 15 of the Health and Safety at Work etc Act 1974. The Codes of Practice and theguidance notes give practical guidance on the Regulations.

The Regulations and Codes of Practice provide a legal framework for employers and tradeunions to reach agreement on arrangements for safety representatives and safety committees tooperate in their workplace. There is nothing to stop employers and employees agreeing toalternative arrangements for joint consultation on health and safety at work. But sucharrangements cannot detract from the rights and obligations created by the Regulations.Recognised trade unions can at any time invoke the rights given by the Regulations and theobligations on the employer would then apply.

Disagreements which might arise between employers and trade unions on the issues should besettled through the normal machinery for resolving industrial relations problems. There are twocircumstances in which safety representatives may present a complaint to an industrial tribunal– if employers have failed to allow time off or failed to pay safety representatives while carryingout their functions or undergoing training.

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Preface

Section 5 page 9

Regulation 1Citation and commencement

These Regulations may be cited as the Safety Representatives and Safety CommitteesRegulations 1977 and shall come into operation on 1 October 1978.

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Regulation 1

Section 5 page 10

Code of Practice

1 The Safety Representatives and Safety Committees Regulations 1977 concern safetyrepresentatives appointed in accordance with section 2(4) of the 1974 Act (The Act)and cover:

(a) prescribed cases in which recognised trade unions may appoint safety representativesfrom among the employees;

(b) prescribed functions of safety representatives.

Section 2(6) of the Act requires employers to consult with safety representatives with a viewto the making and maintenance of arrangements which will enable him and his employeesto co-operate effectively in promoting and developing measures to ensure the health andsafety at work of the employees, and in checking the effectiveness of such measures. Undersection 2(4) safety representatives are required to represent the employees in thoseconsultations.

2 This Code of Practice has been approved by the Health and Safety Commission with theconsent of the Secretary of State for Employment. It relates to the requirements placed onsafety representatives by section 2(4) of the Act and on employers by the Regulations andtakes effect on the date the Regulations come into operation.

3 The employer, the recognised trade unions concerned and safety representatives shouldmake full and proper use of the existing agreed industrial relations machinery to reach thedegree of agreement necessary to achieve the purpose of the Regulations and in order toresolve any differences.

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Regulation 1 Code of Practice 1

Section 5 page 11

Guidance Notes

1 The Safety Representatives and Safety Committees Regulations 1977, made under section2(4) of the Health and Safety at Work etc Act 1974, prescribe the cases in which recognisedtrade unions may appoint safety representatives, specify the functions of such safetyrepresentatives, and set out the obligations of employers towards them.

2 When appointing safety representatives the trade union will inform the employer of thegroup or groups of employees represented. They may for example say that all the employeesin a particular category are represented or, alternatively, only their own members. If someemployees are not members of a trade union recognised by the employer, but are part of agroup of employees for which a union is recognised, they may be covered by theconsultation arrangements with the union safety representative. If they are not members ofsuch a group, or if the union safety representative(s) cover only their own members, thenthe employer needs to make arrangements to consult these employees – either directly orthrough representatives elected by them for this purpose under the Health and Safety(Consultation with Employees) Regulations 1996.

3 The Commission have decided that it would be wrong to try and make regulations whichcater in detail for the wide variety of circumstances in which they will have to be applied.Accordingly, the purpose of the Regulations and the Code of Practice is to provide aframework within which each undertaking can develop effective working arrangements.To supplement this statutory framework these guidance notes are being issued which theCommission hope will be of help to employers, to trade unions, to safety representativesand to members of safety committees. Disagreements between employers and employeesabout the interpretation of these Regulations – with the exception of matters covered byRegulation 11 – should be resolved through the normal machinery for resolving industrialrelations disputes. In certain circumstances it may be helpful to involve the Advisory,Conciliation and Arbitration Service (ACAS).

4 This part of the guidance notes offers advice to all who are concerned with the appointmentand functioning of safety representatives. Advice regarding safety committees is given onpage 31.

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Guidance Notes 1 Regulation 1

Section 5 page 12

Regulation 2

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Regulation 2Interpretation

2(1) In these Regulations, unless the context otherwise requires:

“the 1974 Act” means the Health and Safety at Work etc Act 1974;

“the 1975 Act” means the Employment Protection Act 1975;

“employee” has the meaning assigned by section 53(1) of the 1974 Act and “employer”shall be construed accordingly;

“recognised trade union” means an independent trade union as defined in section 30(1) ofthe Trade Union and Labour Relations Act 19741 which the employer concernedrecognises for the purpose of negotiations relating to or connected with one or more ofthe matters specified in section 29(1) of that Act in relation to persons employed by himor as to which the Advisory, Conciliation and Arbitration Service has made arecommendation for recognition under the Employment Protection Act2 which is operativewithin the meaning of section 15 of that Act;

“safety representative” means a person appointed under Regulation 3(1) of theseRegulations to be a safety representative;

“welfare at work” means those aspects of welfare at work which are the subject of healthand safety regulations or of any of the existing statutory provisions within the meaning ofsection 53(1) of the 1974 Act;

“workplace” in relation to a safety representative means any place or places where thegroup or groups of employees he is appointed to represent are likely to work or whichthey are likely to frequent in the course of their employment or incidentally to it.

2(2) The Interpretation Act 18893 shall apply to the interpretation of these Regulations as itapplies to the interpretation of an Act of Parliament.

2(3) These Regulations shall not be construed as giving any person a right to inspect any place,article, substance or document which is the subject of restrictions on the grounds ofnational security unless he satisfies any test or requirement imposed on those grounds byor on behalf of the Crown.

1 1974 c.522 The Employment Act 1980 repealed those Sections of the EP Act 1975 which empowered ACAS to make a

recommendation for recognition.}3 1889 c.63

Section 5 page 13

Code of Practice

4 (a) In this Code “the 1974 Act” means the Health and Safety at Work etc Act and “theRegulations” means the Safety Representatives and Safety Committees Regulations 1977(SI 1977 No 500);

(b) words and expressions which are defined in the Act or in the Regulations have the samemeaning in this Code unless the context requires otherwise.

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Code of Practice 2 Regulation 2

Section 5 page 14

Regulation 3Appointment of safety representatives

3(1) For the purposes of section 2(4) of the 1974 Act, a recognised trade union may appointsafety representatives from among the employees in all cases where one or more employeesare employed by an employer by whom it is recognised.

3(2) Where the employer has been notified in writing by or on behalf of a trade union of thenames of the persons appointed as safety representatives under this Regulation and thegroup or groups of employees they represent, each such safety representative shall havethe functions set out in Regulation 4 below.

3(3) A person shall cease to be a safety representative for the purposes of these Regulationswhen:

(a) the trade union which appointed him notifies the employer in writing that hisappointment has been terminated; or

(b) he ceases to be employed at the workplace but if he was appointed to representemployees at more than one workplace he shall not cease by virtue of thissub-paragraph to be a safety representative so long as he continues to be employedat any one of them; or

(c) he resigns.

3(4) A person appointed under paragraph (1) above as a safety representative shall so far as isreasonably practicable either have been employed by his employer throughout thepreceding two years or have had at least two years’ experience in similar employment.

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Regulation 3

Section 5 page 15

Guidance Notes

5 Regulation 3 of the SRSCR has been amended by the Health and Safety (Consultation withEmployees) Regulations 1996, so that recognised trade unions can now appoint safetyrepresentatives to represent employees working at coal mines. This change does not affectthe provision in the Mines and Quarries Act 1954 (MQA) for the appointment of workers’inspectors. Although there is some overlap between that provision and Regulation 5 of theSRSCR, the Health and Safety Commission believes that in practice employers and tradeunions will be able to reach agreement on arrangements which will meet the requirementsof both the MQA and SRSCR.

6 The Regulations provide that recognised trade unions may appoint safety representatives torepresent the employees. Recognition for this purpose is as defined in the appropriateemployment legislation (currently the Trade Union and Labour Relations (Consolidation)Act 1992). Any disputes between employers and trade unions about recognition should bedealt with through the normal industrial relations machinery. The Advisory, Conciliationand Arbitration Service (ACAS) is able to offer advice and guidance relating to trade unionrecognition issues, and where there is a dispute may provide conciliation where appropriate.

7 Normally, recognised trade unions will appoint representatives to represent a group orgroups of workers of a class for which the union has negotiating rights. The limitation ofrepresentation to a particular group or groups should not, however, be regarded as ahindrance to the raising by that representative of general matters affecting the health andsafety of employees as a whole.

8 Equally, these general principles do not preclude the possibility of a safety representativerepresenting, by mutual agreement between the appropriate unions, more than one group orgroups of employees (eg in a small workplace or within the organisation of a smallemployer when the number of recognised trade unions is high relative to the total numbersemployed).

9 When consideration is being given to the numbers of safety representatives to be appointedin a particular case the guidance given by the Commission in paragraph 3 of the Code ofPractice should be borne in mind. Appropriate criteria would include:

(a) the total numbers employed;

(b) the variety of different occupations;

(c) the size of the workplace and the variety of workplace locations;

(d) the operation of shift systems;

(e) the type of work activity and the degree and character of the inherent dangers.

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Guidance Notes 3 Regulation 3

Section 5 page 16

10 At certain undertakings there will be a particular need for flexibility of approach both tothe question of the group or groups of the employees the safety representative representsand to the number of safety representatives which might be appropriate in particularcircumstances. Examples of such circumstances might include:

(a) workplaces with rapidly changing situations and conditions as the work develops andwhere there might be rapid changes in the numbers of employees, eg building andconstruction sites, shipbuilding and ship repairing, docks.

(b) workplaces from which the majority of employees go out to their actual place of workand subsequently report back, eg goods and freight depots, builders’ yards, servicedepots of all kinds.

(c) workplaces where there is a wide variety of different work activities going on within aparticular location.

(d) workplaces with a specially high process risk, eg construction sites at particular stages –demolition, excavations, steel erection, etc and some chemical works and researchestablishments.

(e) workplaces where the majority of employees are employed in low risk activities, butwhere one or two processes or activities or items of plant have special risks connectedwith them.

11 The Regulations require that appointed safety representatives normally have either workedfor their present employer throughout the preceding two years or have had at least twoyears experience in similar employment. This is to ensure that those who are appointed havethe kind of experience and knowledge of their particular type of employment necessary toenable them to make a responsible and practical contribution to health and safety in theiremployment. Circumstances may, however, arise where it will not be reasonably practicablethat the appointed safety representative shall possess such experience (eg where theemployer or workplace location is newly established, or where work is of short duration, orwhere there is a high labour turnover.)

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Regulation 3 Guidance Notes 3

Section 5 page 17

Regulation 4Functions of safety representatives

4(1) In addition to his function under section 2(4) of the 1974 Act to represent the employeesin consultation with the employer under section 2(6) of the 1974 Act (which requiresevery employer to consult safety representatives with a view to the making andmaintenance of arrangements which will enable him and his employees to co-operateeffectively in promoting and developing measures to ensure the health and safety at workof the employees and in checking the effectiveness of such measures), each safetyrepresentative shall have the following functions:

(a) to investigate potential hazards and dangerous occurrences at the workplace (whetheror not they are drawn to his attention by the employees he represents) and to examinethe causes of accidents at the workplace;

(b) to investigate complaints by any employee he represents relating to that employee’shealth, safety or welfare at work;

(c) to make representations to the employer on matters arising out of subparagraphs (a)and (b) above;

(d) to make representations to the employer on general matters affecting the health, safetyor welfare at work of the employees at the workplace;

(e) to carry out inspections in accordance with Regulations 5, 6 and 7 below;

(f) to represent the employees he was appointed to represent in consultations at theworkplace with inspectors of the Health and Safety Executive and of any otherenforcing authority;

(g) to receive information from inspectors in accordance with section 28(8) of the 1974Act;

and

(h) to attend meetings of safety committees where he attends in his capacity as a safetyrepresentative in connection with any of the above functions;

but, without prejudice to sections 7 and 8 of the 1974 Act, no function given to a safetyrepresentative by this paragraph shall be construed as imposing any duty on him.

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Regulation 4

Section 5 page 18

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Regulation 4

4(2) An employer shall permit a safety representative to take such time off with pay during theemployee’s working hours as shall be necessary for the purposes of:

(a) performing his functions under section 2(4) of the 1974 Act and paragraph (1) (a) to(h) above;

(b) undergoing such training in aspects of those functions as may be reasonable in all thecircumstances having regard to any relevant provisions of a code of practice relating totime off for training approved for the time being by the Health and SafetyCommission under section 16 of the 1974 Act.

In this paragraph “with pay” means with pay in accordance with the Schedule to theseRegulations.

Regulation 4AEmployer’s duty to consult and provide facilities and assistance

1 Without prejudice to the generality of section 2(6) of the Health and Safety at Work etc Act1974, every employer shall consult safetyrepresentatives in good time with regard to –

(a) the introduction of any measure at the workplace which may substantially affect thehealth and safety of the employees the safety representatives concerned represent;

(b) his arrangements for appointing or, as the case may be, nominating persons inaccordance with regulations 6(1) and 7(1)(b) of the Management of Health and Safetyat Work Regulations 1992;

(c) any health and safety information he is required to provide to the employees the safetyrepresentatives concerned represent by or under the relevant statutory provisions;

(d) the planning and organisation of any health and safety training he is required to provideto the employees the safety representatives concerned represent by or under the relevantstatutory provisions; and

(e) the health and safety consequences for the employees the safety representativesconcerned represent of the introduction (including the planning thereof) of newtechnologies into the workplace.

2 Without prejudice to regulations 5 and 6 of these Regulations, every employer shall providesuch facilities and assistance as safety representatives may reasonably require for thepurpose of carrying out their functions under section 2(4) of the 1974 Act and under theseRegulations.

Section 5 page 19

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Regulation 4

THE SCHEDULE Regulation 4(2)Pay for time off allowed to safety representatives

1 Subject to paragraph 3 below, where a safety representative is permitted to take time off inaccordance with Regulation 4(2) of these Regulations, his employer shall pay him:

(a) where the safety representative’s remuneration for the work he would ordinarily havebeen doing during that time does not vary with the amount of work done, as if he hadworked at that work for the whole of that time;

(b) where the safety representative’s remuneration for that work varies with the amount ofwork done, an amount calculated by reference to the average hourly earnings for thatwork (ascertained in accordance with paragraph 2 below).

2 The average hourly earnings referred to in paragraph 1(b) above are the average hourlyearnings of the safety representative concerned or, if no fair estimate can be made of thoseearnings, the average hourly earnings for work of that description of persons in comparableemployment with the same employer or, if there are no such persons, a figure of averagehourly earnings which is reasonable in the circumstances.

3 Any payment to a safety representative by an employer in respect of a period of time off:

(a) if it is a payment which discharges any liability which the employer may have undersection 57 of the Employment Protection Act 19754 in respect of that period, shall alsodischarge his liability in respect of the same period under Regulation 4(2) of theseRegulations;

b) if it is a payment under any contractual obligation, shall go towards discharging theemployer’s liability in respect of the same period under Regulation 4(2) of theseRegulations;

(c) if it is a payment under Regulation 4(2) of these Regulations shall go towardsdischarging any liability of the employer to pay contractual remuneration in respect ofthe same period.

4 1975 c.71.

Section 5 page 20

Regulation 4 Code of Practice 4

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Code of Practice

5 In order to fulfil their functions under section 2(4) of the Act safety representatives should:

(a) take all reasonably practicable steps to keep themselves informed of:

(i) the legal requirements relating to the health and safety of persons at work,particularly the group or groups of persons they directly represent,

(ii) the particular hazards of the workplace and the measures deemed necessary toeliminate or minimise the risk deriving from these hazards, and

(iii) the health and safety policy of their employer and the organization andarrangements for fulfilling that policy;

(b) encourage cooperation between their employer and his employees in promoting anddeveloping essential measures to ensure the health and safety of employees and inchecking the effectiveness of these measures.

(c) bring to the employer’s notice normally in writing any unsafe or unhealthy conditions orworking practices or unsatisfactory arrangements for welfare at work which come totheir attention whether on an inspection or day to day observation. The report does notimply that all other conditions and working practices are safe and healthy or that thewelfare arrangements are satisfactory in all other respects.

Making a written report does not preclude the bringing of such matters to the attentionof the employer or his representative by a direct oral approach in the first instance,particularly in situations where speedy remedial action is necessary. It will also beappropriate for minor matters to be the subject of direct oral discussion without theneed for a formal written approach.

Code of Practice approved under Regulation 4(2)(b) of the Regulations on SafetyRepresentatives and Safety Committees (SI 1977 No 500)

1 The function of safety representatives appointed by recognised trade unions as set out insection 2(4) of the Health and Safety at Work etc Act 1974, is to represent employees inconsultations with employers about health and safety matters. Regulation 4(1) of the SafetyRepresentatives and Safety Committees Regulations (SI 1977 No 500) prescribes otherfunctions of safety representatives appointed under those Regulations.

2 Under Regulation 4(2)(b) of those Regulations the employer has a duty to permit thosesafety representatives such time off with pay during the employee’s working hours as shallbe necessary for the purpose of ‘undergoing such training aspects of those functions as maybe reasonable in all the circumstances’.

3 As soon as possible after their appointment safety representatives should be permitted timeoff with pay to attend basic training facilities approved by the TUC or by the independentunion or unions which appointed the safety representatives. Further training, similarlyapproved, should be undertaken where the safety representative has special responsibilitiesor where such training is necessary to meet changes in circumstances or relevant legislation.

Section 5 page 21

4 With regard to the length of training required, this cannot be rigidly prescribed, but basictraining should take into account the functions of safety representatives placed on them bythe Regulations. In particular, basic training should provide an understanding of the role ofsafety representatives, of safety committees, and of trade unions’ policies and practices inrelation to:

(a) the legal requirements relating to the health and safety of persons at work, particularlythe group or class of persons they directly represent;

(b) the nature and extent of workplace hazards, and the measures necessary to eliminate orminimise them;

(c) the health and safety policy of employers, and the organisation and arrangements forfulfilling those policies.

Additionally, safety representatives will need to acquire new skills in order to carry out theirfunctions, including safety inspections, and in using basic sources of legal and officialinformation and information provided by or through the employer on health and safetymatters.

5 Trade unions are responsible for appointing safety representatives and when the trade unionwishes a safety representative to receive training relevant to his function it should informmanagement of the course it has approved and supply a copy of the syllabus, indicating itscontents, if the employer asks for it. It should normally give at least a few weeks’ notice ofthe safety representatives it has nominated for attendance. The number of safetyrepresentatives attending training courses at any one time should be that which isreasonable in the circumstances, bearing in mind such factors as the availability of relevantcourses and the operational requirements of the employer. Unions and management shouldendeavour to reach agreement on the appropriate numbers and arrangements and refer anyproblems which may arise to the relevant agreed procedures.

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Code of Practice 4 Regulation 4

Section 5 page 22

Regulation 4 Guidance Notes 4

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Guidance Notes

12 Regulation 4A specifically requires employers to consult safety representatives on:

(a) the introduction of any measure at the workplace which may substantially affect thehealth and safety of the employees the safety representatives concerned represent;

(b) arrangements for getting a competent person or persons to help them comply withhealth and safety requirements. The Management of Health and Safety at WorkRegulations 1992 (“the Management Regulations”) require employers to make such anappointment unless they are competent to deal with these matters themselves;Regulation 4A requires employers to consult safety representatives on how they plan togo about this;

(c) the information they must give their employees on risks to health and safety, andpreventive measures. This will include the information they are already required byother regulations to give their employees. Appendix A of A guide to the Health andSafety (Consultation with Employees) Regulations 1996 (ISBN 0 7176 1234 1) sets outthe details. Under the Management Regulations, for example, among other things,employers have to tell their employees about the risks identified by the risk assessmentthey must carry out, and their preventive and protective measures. Employers must alsotell their employees about the emergency procedures, and who will carry out proceduresfor evacuation. Regulation 4A requires employers to consult safety representatives aboutthese matters before telling them what has been decided, and before they make changes;

(d) the planning and organising of any health and safety training they must provide toemployees under health and safety law: for example when employees are first recruitedand when they are to be exposed to new or increased risks (as required by theManagement Regulations). Other Regulations are relevant where employees are exposedto particular risks or hazards. Appendix B of the guide for employers on the EmployeeConsultation Regulations sets out what applies.

(e) the health and safety consequences for employees of new technology that they plan tobring into the workplace. This will cover the introduction of any new technology ifthere could be implications for employees’ health and safety, and for the risks andhazards to which they are exposed;

13 Regulation 4A requires that employers consult safety representatives “in good time”. Thatmeans that wherever a decision involving work equipment, processes or organisation couldhave health and safety consequences for employees, before making that decision they shouldallow time:

(a) to provide the safety representatives with information about what they, the employer,propose to do;

(b) to give the safety representatives an opportunity to express their views about the matterin the light of that information;

and then

(c) to take account of any response.

Section 5 page 23

14 It is provided in the Regulations that no function given to a safety representative shall beconstrued as imposing any duty on him other than duties he may have as an employeeunder sections 7 and 8 of the Act. For example, a safety representative, by accepting,agreeing with or not objecting to a course of action taken by the employer to deal with ahealth or safety hazard, does not take upon himself any legal responsibility for that courseof action. In addition, the Commission have directed that the Health and Safety Executiveshall not institute criminal proceedings against any safety representative for any act oromission by him in respect of the performance of functions assigned to him by theRegulations or indicated by the Code of Practice. Similar arrangements have been madewith the other enforcing authorities.

15 Recognised trade unions will have well established methods of communications within aworkplace, or within a particular employer’s undertaking. These will be the appropriatechannels by which the appointed safety representatives can keep the members of the groupor groups which they represent informed on all matters of consequence affecting theirhealth, safety and welfare at work. Appointed safety representatives will also need toestablish close relationships with the other appointed safety representatives, including thoseappointed by trade unions other than their own, for example, in order to look at hazardoussituations, and to develop a common approach to carrying out their responsibilities.

16 It is important that safety representatives should be able to take matters up withmanagement without delay. They must therefore have ready access to the employer or hisrepresentatives; who those should be, will be determined in the light of local circumstances.It may not be desirable to specify one individual for all contacts, bearing in mind thathazards could involve differing degrees of urgency and importance. The need is to ensurethat safety representatives have a clear idea as to who is authorised to act as the employer’srepresentative for the purpose of these Regulations.

17 Safety representatives should record when they have made an inspection. Specimens of thekinds of PRO FORMA which might be adopted by safety representatives both to recordthat an inspection has been made and to draw the employer’s attention to an unsafe orunhealthy condition, etc are given on pages 20 and 21. A copy of each completed formshould be given to the employer. These forms may be purchased from HSE Books.

18 Section 28(8) of the HSW Act requires inspectors to give certain types of information toemployees and employers. Where safety representatives have been appointed under theRegulations, they are the appropriate persons to receive this information on behalf of theemployees.

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Guidance Notes 4 Regulation 4

Section 5 page 24

Examples of report forms

A Sample of suggested form to be used for recording that an inspection by a safetyrepresentative(s) has taken place.

Number

Safety Representative: Inspection formRecord that an inspection by a safety representative or representatives has taken place.

Date and time of inspection:

Area or workplace inspected:

[This record does not imply that the conditions are safe and healthy or that the arrangementsfor welfare at work are satisfactory]

Record of receipt of inspection form by the employer (or his representative)

Signature Date

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Regulation 4 Guidance Notes 4

Name(s) and signature(s) of safetyrepresentatives taking part in the inspection

Name(s) and signature(s) of employer(or his representative) taking part in theinspection (if appropriate)

Section 5 page 25

B Sample of suggested form to be used for notifying to the employer, or his representative,unsafe and unhealthy conditions and working practices and unsatisfactory arrangements forwelfare at work.

Number

Safety Representative: Report formNotification to the employer (or his representative) of conditions This column to beand working practices considered to be unsafe or unhealthy and completed by theof arrangements for welfare at work considered to be unsatisfactory. employer.

Signature(s) of safety representative(s): Date: Date:

Record of receipt of form by the employer, or his representative(s):

Signature: Date:

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Guidance Notes 4 Regulation 4

Date and time ofinspection

Particulars ofmatters(s) notifiedto employer or hisrepresentative(include locationwhere appropriate)

Name(s) of safetyrepresentative(s)notifying matter(s)to employer or hisrepresentative

Remedial actiontaken (with date)or explanation ifnot taken. Thisinformation to berelayed to safetyrepresentative(s)

Signature of employeror representative

[This report does not imply that the conditions are safe and healthyor that the arrangements for welfare at work are satisfactory in allother respects]

Section 5 page 26

Regulation 5Inspection of the workplace

5(1) Safety representatives shall be entitled to inspect the workplace or a part of it if they havegiven the employer or his representative reasonable notice in writing of their intention todo so and have not inspected it, or that part of it, as the case may be, in the previous threemonths; and may carry out more frequent inspections by agreement with the employer.

5(2) Where there has been a substantial change in the conditions of work (whether because ofthe introduction of new machinery or otherwise) or new information has been publishedby the Health and Safety Commission or the Health and Safety Executive relevant to thehazards of the workplace since the last inspection under this Regulation the safetyrepresentatives after consultation with the employer shall be entitled to carry out a furtherinspection of the part of the workplace concerned notwithstanding that three months havenot elapsed since the last inspection.

5(3) The employer shall provide such facilities and assistance as the safety representatives mayreasonably require (including facilities for independent investigation by them and privatediscussion with the employees) for the purpose of carrying out an inspection under thisRegulation, but nothing in this paragraph shall preclude the employer or his representativefrom being present in the workplace during the inspection.

5(4) An inspection carried out under section 123 of the Mines and Quarries Act 19545 shallcount as an inspection under this Regulation.

22

Regulation 5

5 1954 c.70.

Section 5 page 27

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Guidance Notes 5 Regulation 5

Guidance Notes

19 The Regulations deal with the frequency of formal inspection by the appointed safetyrepresentatives. In some circumstances where a high risk activity or rapidly changingcircumstances are confined to a particular area of a workplace or sector of an employee’sactivities it may be appropriate for more frequent inspections of that area or sector to beagreed.

20 In providing for formal inspection of the workplace by the appointed safety representativesthe Regulations require that they shall give reasonable notice to the employer of theirintention to do so. In the Commission’s view it is desirable that the employer and the safetyrepresentatives should plan a programme of formal inspections in advance, which will itselffulfil the conditions as to notice. Variations in this planned programme should of course besubject to agreement.

21 The Commission see advantages in formal inspections being jointly carried out by theemployer or his representatives and safety representatives, but this should not prevent safetyrepresentatives from carrying out independent investigations or private discussion withemployees. The safety representatives should co-ordinate their work to avoid unnecessaryduplication. It will often be appropriate for the safety officer or specialist advisers to beavailable to give technical advice on health and safety matters which may arise during thecourse of the inspection.

22 There are various forms which the formal inspection may take and it will be for theappointed safety representatives to agree with their employer about this, but theCommission consider that the following types of inspection, or a combination of any or allof them over a period of time, may be appropriate in the fulfilment of this function.

(a) safety tours – general inspections of the workplace;

(b) safety sampling – systematic sampling of particular dangerous activities, processesor areas;

(c) safety surveys – general inspections of the particular dangerous activities, processesor area.

The numbers of safety representatives taking part in any one formal inspection should be amatter for agreement between the appointed safety representatives and their employer in thelight of their own particular circumstances and the nature of the inspection.

Section 5 page 28

23 At large workplaces it may be impracticable to conduct a formal inspection of the entireworkplace at a single session or for the complete inspection to be carried out by the samegroup of safety representatives. In these circumstances arrangements may be agreed betweenthe employer (or his representative) and the appointed safety representatives for theinspection to be carried out by breaking it up into manageable units (eg on a departmentalbasis). It may also be appropriate, as part of the planned programme, for different groupsof safety representatives to carry out inspections in different parts of the workplace eithersimultaneously or at different times but in such a manner as to ensure complete coveragebefore the next round of formal inspections becomes due. There may be specialcircumstances in which appointed safety representatives and their employer will wish toagree a different frequency of inspections for different parts of the same workplace (egwhere there are areas or activities of especially high risk).

24 Where safety representatives have made a written report to the employer in accordance withparagraph 5(c) of the Code of Practice, appropriate remedial action will normally be takenby the employer. Where remedial action is not considered appropriate or cannot be takenwithin a reasonable period of time, or the form of remedial action is not acceptable to thesafety representatives, then the employer or his representative should explain the reasonsand give them in writing to the safety representatives. A suggested method for this is torecord it in Form B (page 21). Where remedial action has been taken, the safetyrepresentatives who notified the matter(s) should be given the opportunity to make anynecessary reinspection in order to satisfy themselves that the matter(s) notified have receivedappropriate attention and they should also be afforded the opportunity to record their viewson this aspect.

25 Such action should be publicised throughout the workplace and to other appropriate partsof the employer’s organisation – if necessary the whole – by the normal channels ofcommunication. It may also be appropriate that it should be brought to the specificattention of the safety committee, if one exists.

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Regulation 5 Guidance Notes 5

Section 5 page 29

Regulation 6Inspections following notifiable accidents, occurrences and diseases

6(1) Where there has been a notifiable accident or dangerous occurrence in aworkplace or anotifiable disease has been contracted there and:

(a) it is safe for an inspection to be carried out, and

(b) the interests of employees in the group or groups which safety representatives areappointed to represent might be involved. those safety representatives may carry outan inspection of the part of the workplace concerned and so far as is necessary for thepurpose of determining the cause they may inspect any other part of the workplace;where it is reasonably practicable to do so they shall notify the employer or hisrepresentative of their intention to carry out the inspection.

6(2) The employer shall provide such facilities and assistance as the safety representatives mayreasonably require (including facilities for independent investigation by them and privatediscussion with the employees) for the purpose of carrying out an inspection under thisRegulation; but nothing in this paragraph shall preclude the employer or his representativefrom being present in the workplace during the inspection.

6(3) In this Regulation “notifiable accident or dangerous occurrence” and “notifiable disease”mean any accident, dangerous occurrence or disease, as the case may be, notice of whichis required to be given by virtue of any of the relevant statutory provisions within themeaning of section 53(1) of the 1974 Act.

25

Regulation 6

Section 5 page 30

Guidance Notes

26 For the purpose of ascertaining the circumstances of a notifiable accident, dangerousoccurrence, or notifiable disease, it will be necessary for the representatives to examine anyrelevant machinery, plant, equipment or substance in the workplace. It is the Commission’sview that the main purpose of the examination should be to determine the causes so thatthe possibility of action to prevent a recurrence can be considered. For this reason it isimportant that the approach to the problem should be a joint one by the employer and thesafety representatives.

27 It may be necessary, following an accident or dangerous occurrence for the employer to takeurgent steps to safeguard against further hazards. If he does this he should notify the safetyrepresentatives of the action he has taken and confirm this in writing.

28 Such examinations may include visual inspection, and discussions with persons who arelikely to be in the possession of relevant information and knowledge regarding thecircumstances of the accident or occurrence. The examination must not, however, includeinterference with any evidence or the testing of any machinery, plant, equipment orsubstance which could disturb or destroy the factual evidence before any inspector from theappropriate enforcing authority has had the opportunity to investigate as thoroughly as isnecessary the circumstances of the accident or occurrence.

29 In the course of the performance of their functions, in particular concerning formalinspections of the workplace and examinations following notifiable accidents, dangerousoccurrences, or notifiable diseases, safety representatives have rights under the Regulationsto inspect and take copies of relevant documents which the employer is required to keep inaccordance with the Act and other relevant statutory provisions.

30 Safety representatives should in exercising this right have regard to the reasonableness oftime as well as any other circumstances with which the employer may be faced in producingsuch documents.

31 Where technical matters are involved the appointed safety representatives may find that thenecessary expertise is not available within the undertaking. The employer and the safetyrepresentatives may wish to seek advice from outside the undertaking, for example fromappropriate universities or polytechnics. The Commission considers that arrangementsshould be agreed as to the persons from such institutions who may be called upon. If therepresentatives wish to have advice from their own technical advisers, such advisers may becalled in where this has been agreed in advance with the employer. A copy of any reportspecifically relating to health or safety matters made to the safety representatives shouldalso be available to the employer.

26

Regulation 6 Guidance Notes 6

Section 5 page 31

Regulation 7Inspection of documents and provision of information

7(1) Safety representatives shall for the performance of their functions under section 2(4) of the1974 Act and under these Regulations, if they have given the employer reasonable notice,be entitled to inspect and take copies of any document relevant to the workplace or to theemployees the safety representatives represent which the employer is required to keep byvirtue of any relevant statutory provision within the meaning of section 53(1) of the 1974Act except a document consisting of or relating to any health record of an identifiableindividual.

7(2) An employer shall make available to safety representatives the information within theemployer’s knowledge, necessary to enable them to fulfil their functions except:

(a) any information the disclosure of which would be against the interests of nationalsecurity, or

(b) any information which he could not disclose without contravening a prohibitionimposed by or under an enactment, or

(c) any information relating specifically to an individual, unless he has consented to itsbeing disclosed, or

(d) any information the disclosure of which would, for reasons other than its effect onhealth, safety or welfare at work, cause substantial injury to the employer’sundertaking or, where the information was supplied to him by some other person, tothe undertaking of that other person, or

(e) any information obtained by the employer for the purpose of bringing, prosecuting ordefending any legal proceedings.

7(3) Paragraph (2) above does not require an employer to produce or allow inspection of anydocument or part of a document which is not related to health, safety or welfare.

27

Regulation 7

Section 5 page 32

Code of Practice

6 The Regulations require employers to make information within their knowledge available tosafety representatives necessary to enable them to fulfil their functions. Such informationshould include:

a) information about the plans and performance of their undertaking and any changesproposed insofar as they affect the health and safety at work of their employees;

b) information of a technical nature about hazards to health and safety and precautionsdeemed necessary to eliminate or minimise them, in respect of machinery, plant,equipment, processes, systems of work and substances in use at work, including anyrelevant information provided by consultants or designers or by the manufacturer,importer or supplier of any article or substance used, or proposed to be used, at workby their employees;

c) information which the employer keeps relating to the occurrence of any accident,dangerous occurrence or notifiable industrial disease and any statistical records relatingto such accidents, dangerous occurrences or cases of notifiable industrial disease;

d) any other information specifically related to matters affecting the health and safety atwork of his employees, including the results of any measurements taken by the employeror persons acting on his behalf in the course of checking the effectiveness of his healthand safety arrangements;

e) information on articles or substances which an employer issues to homeworkers.

28

Regulation 7 Code of Practice 7

Section 5 page 33

Guidance Notes

32 Employers have a duty under section 2(2)(c) of the 1974 Act to provide such information,instruction and training as is reasonably practicable, to ensure the health and safety at workof all their employees. Appointed safety representatives will need to be given informationand knowledge over and above that necessary for employees generally to enable them toplay an informed part in promoting health and safety at work. The recognised trade unionsresponsible for appointing safety representatives will make their own arrangements for theinformation and guidance of their appointed safety representatives as to how they will carryout their functions.

33 Employers also have duties under the Management of Health and Safety at WorkRegulations 1992 to provide information on: the risks to their employees’ health and safetyidentified by their risk assessment; the preventive and protective measures designed toensure employees’ health and safety; the procedures to be followed in the event of anemergency in the undertaking; the identity of any “competent person” or personsnominated by the employer to help with the implementation of those procedures; and risksnotified by another employer with whom a workplace is shared, arising out of, or inconnection with, the conduct of the second employer’s undertaking.

29

Guidance Notes 7 Regulation 7

Section 5 page 34

Regulation 8Cases where safety representatives need not be employees

8(1) In the cases mentioned in paragraph (2) below safety representatives appointed underRegulation 3(1) of these Regulations need not be employees of the employer concerned;and section 2(4) of the 1974 Act shall be modified accordingly.

8(2) The said cases are those in which the employees in the group or groups the safetyrepresentatives are appointed to represent are members of the British Actors’ EquityAssociation or of the Musicians’ Union.

8(3) Regulations 3(3)(b) and (4) and 4(2) of these Regulations shall not apply to safetyrepresentatives appointed by virtue of this Regulation and in the case of safetyrepresentatives to be so appointed Regulation 3(1) shall have effect as if the words “fromamongst the employees” were omitted.

30

Regulation 8

Section 5 page 35

Regulation 9Safety committees

9(1) For the purposes of section 2(7) of the 1974 Act (which requires an employer inprescribed cases to establish a safety committee if requested to do so by safetyrepresentatives), the prescribed cases shall be any cases in which at least two safetyrepresentatives request the employer in writing to establish a safety committee.

9(2) Where an employer is requested to establish a safety committee in a case prescribed inparagraph (1) above, he shall establish it in accordance with the following provisions:

(a) he shall consult with the safety representatives who made the request and with therepresentatives of recognised trade unions whose members work in any workplace inrespect of which he proposes that the committee should function;

(b) the employer shall post a notice stating the composition of the committee and theworkplace or workplaces to be covered by it in a place where it may be easily read bythe employees;

(c) the committee shall be established not later than three months after the request for it.

31

Regulation 9

Section 5 page 36

Regulation 9 Guidance Notes 9

32

Guidance Notes

34 The Safety Representatives and Safety Committees Regulations 1977 prescribe the cases inwhich an employer shall establish a safety committee. The guidance notes are concernedwith such committees.

35 The Commission believe that the detailed arrangements necessary to fulfil this particularrequirement of the Act should evolve from discussion and negotiation between employersand the appointed safety representatives who are best able to interpret the needs of theparticular workplace or places with which the committee is to concern itself. Theseguidance notes are, however, issued by the Commission to provide background advice tothose involved in the setting up and functioning of such committees. Although the title‘Safety Committees’ might suggest functions limited to purely safety matters, the functionsof safety representatives comprise health, safety and welfare at work (see Regulation 4) andso safety committees should therefore be concerned with all relevant aspects of thesematters in the working environment.

36 Circumstances will vary greatly between one workplace and another. Safety committees willbe set up to deal with work situations as varied as that between a foundry and forest or aconstruction site and a general hospital. Each situation must be looked at carefully by thoseinvolved in it and systems for safety, including safety committees, will need to be developedto take full account of all the relevant circumstances.

37 Although the relationship of the safety committee to other works committees is a matter forlocal organisation, it is necessary to ensure that the work of the safety committee has aseparate identity, and that safety matters do not become interposed in the agenda for othermeetings.

38 Safety committees are most likely to prove effective where their work is related to a singleestablishment rather than to a collection of geographically distinct places. There may be aplace for safety committees at group or company level for larger organisations; this willapply where relevant decisions are taken at a higher level than the establishment. In general,it should be unnecessary for an employer to appoint duplicate committees for the sameworkplace, eg representing different levels of staff. In large workplaces, however, a singlecommittee may either be too large, or if kept small, may become too remote. In thesecircumstances, it may be necessary to set up several committees with adequate arrangementsfor co-ordination between them.

Objectives and functions of safety committees

39 Under Section 2(7) of the HSW Act, safety committees have the function of keeping underreview the measures taken to ensure the health and safety at work of the employees. Incarrying out this function safety committees ought to consider the drawing up of agreedobjectives or terms of reference.

40 An objective should be the promotion of co-operation between employers and employees ininstigating, developing and carrying out measures to ensure the health and safety at work ofthe employees.

Section 5 page 37

41 Within the agreed basic objectives certain specific functions are likely to become defined.These might include:

(a) The study of accident and notifiable disease statistics and trends, so that reports can bemade to management on unsafe and unhealthy conditions and practices, together withrecommendations for corrective action;

(b) Examination of safety audit reports on a similar basis;

(c) Consideration of reports and factual information provided by inspectors of theenforcing authority appointed under the Health and Safety at Work Act;

(d) Consideration of reports which safety representatives may wish to submit;

(e) Assistance in the development of works safety rules and safe systems of work;

(f) A watch on the effectiveness of the safety content of employee training;

(g) A watch on the adequacy of safety and health communication and publicity in theworkplace;

(h) The provision of a link with the appropriate enforcing authority.

42 In certain instances safety committees may consider it useful to carry out an inspection bythe committee itself. But it is management’s responsibility to take executive action and tohave adequate arrangements for regular and effective checking of health and safetyprecautions and for ensuring that the declared health and safety policy is being fulfilled. Thework of the safety committees should supplement these arrangements; it cannot be asubstitute for them.

Membership of safety committees

43 The membership and structure of safety committees should be settled in consultationbetween management and the trade union representatives concerned through the use of thenormal machinery. The aim should be to keep the total size as reasonably compact aspossible and compatible with the adequate representation of the interests of managementand of all the employees, including safety representatives. The number of managementrepresentatives should not exceed the number of employees’ representatives.

44 Management representatives should not only include those from line management but suchothers as work engineers and personnel managers. The supervisory level should also berepresented. Management representation should be aimed at ensuring:

(a) adequate authority to give proper consideration to views and recommendations;

(b) the necessary knowledge and expertise to provide accurate information to the committeeon company policy, production needs and on technical matters in relation to premises,processes, plant, machinery and equipment.

33

Guidance Notes 9 Regulation 9

Section 5 page 38

45 In undertakings where a company doctor, nurse, occupational hygienist or safetyofficer/adviser is employed, they should be ex-officio members of the safety committee.Other company specialists, such as project engineers, chemists, organisation and methodsstaff and training officers might be coopted for particular meetings when subjects on whichthey have expertise are to be discussed.

46 It should be fully understood that a safety representative is not appointed by the safetycommittee or vice versa, but the relationship between safety representatives and the safetycommittee should be a flexible but intimate one. Neither is responsible to, or for, the other.The aim should be to form the most effective organisation appropriate to the particularundertaking, and in particular effective co-ordination between the work of the committeeand the safety representatives.

47 It should be the practice for membership of safety committees to be regarded as part of anindividual’s normal work. As a consequence he or she should suffer no loss of pay throughattendance at meetings of safety committees or at other agreed activities such as inspectionsundertaken by, or on behalf of, such committees.

48 The purpose of studying accidents is to stop them happening again; it is not the committees’business to allocate blame, its job should be:

(a) to look at the facts in an impartial way;

(b) to consider what sort of precautions might be taken;

(c) to make appropriate recommendations.

49 There are advantages in looking at not only legally notifiable cases but also at selectedgroups of minor injuries. The records of such injuries can yield valuable information if it isextracted and analysed.

50 The committee may well be able to:

(a) advise on the appropriateness and adequacy of the rules for safety and health proposedby management and/or

(b) draw attention to the need to establish rules for a particular hazardous work activity orclass of operations.

Adherence to these rules will also be secured more easily if employees appreciate the reasonsfor having them and know that their representatives have been consulted in the making ofthem.

51 Where written reports have been made by safety representatives following inspections, theymay be brought to the attention of the safety committee. In such cases the committee maysuggest suitable publicity.

52 An essential condition for the effective working of a safety committee is goodcommunications between management and the committee and between the committee andthe employees. In addition, there must be a genuine desire on the part of management to tapthe knowledge and experience of its employees and an equally genuine desire on the part ofthe employees to improve the standards of health and safety at the workplace.

34

Regulation 9 Guidance Notes 9

Section 5 page 39

53 The effectiveness of a joint safety committee will depend on the pressure and influence it isable to maintain on all concerned. The following activities could assist in maintaining theimpetus of a committee’s work:

(a) regular meetings with effective publicity of the committee’s discussions andrecommendations;

(b) speedy decisions by management on the committee’s recommendations, where necessarypromptly translated into action and effective publicity;

(c) participation by members of the safety committee in periodical joint inspections;

(d) development of ways of involving more employees.

The conduct of safety committees

54 Safety committees should meet as often as necessary. The frequency of meetings will dependon the volume of business, which in turn is likely to depend on local conditions, the size ofthe workplace, numbers employed, the kind of work carried out and the degree of riskinherent. Sufficient time should be allowed during each meeting to ensure full discussion ofall business.

55 Meetings should not be cancelled or postponed except in very exceptional circumstances.Where postponement is absolutely necessary an agreed date for the next meeting should bemade and announced as soon as possible.

56 The dates of the meetings should as far as possible be arranged well in advance, even to theextent of planning a programme six months or a year ahead. In these circumstances allmembers of the committee should be sent a personal copy of the programme giving thedates of the meetings. Notices of the dates of meetings should also be published where allemployees can see them. A copy of the agenda and any accompanying papers should be sentto all committee members at least one week before each meeting.

57 Committees may wish to draw up additional rules for the conduct of meetings. These mightinclude procedures by which committees might reach decisions.

58 In certain undertakings it might be useful for the safety committee to appoint sub-committees to study particular health and safety problems.

59 Agreed minutes of each meeting should be kept and a personal copy supplied to eachmember of the committee as soon as possible after the meeting to which they relate and acopy sent to each safety representative appointed for workplaces covered by the committee.A copy of the minutes should be sent to the most senior executive responsible for health andsafety; and arrangements should be made to ensure that the Board of Directors is keptinformed generally of the work of the committee. An adequate number of copies of theminutes should be displayed, or made available by other means, along with any otherinformation which the employer provides whether required by statute or not.

35

Guidance Notes 9 Regulation 9

Section 5 page 40

Regulation 10Power of Health and Safety Commission to grant exemptions

10 The Health and Safety Commission may grant exemptions from any requirementimposed by these Regulations and any such exemption may be unconditional or subjectto such conditions as the Commission may impose and may be with or without a limit oftime.

36

Regulation 10

Section 5 page 41

Regulation 11Provisions as to industrial tribunals

11(1) A safety representative may, in accordance with the jurisdiction conferred on industrialtribunals by paragraph 16(2) of Schedule 1 to the Trade Union and Labour Relations Act19746, present a complaint to an industrial tribunal that:

(a) the employer has failed to permit him to take time off in accordance with Regulation4(2) of these Regulations; or

(b) the employer has failed to pay him in accordance with Regulation 4(2) of and theSchedule to these Regulations.

11(2) An industrial tribunal shall not consider a complaint under paragraph (1) above unless itis presented within three months of the date when the failure occurred or within suchfurther period as the tribunal considers reasonable in a case where it is satisfied that itwas not reasonably practicable for the complaint to be presented within the period ofthree months.

11(3) Where an industrial tribunal finds a complaint under paragraph (1)(a) above well-founded the tribunal shall make a declaration to that effect and may make an award ofcompensation to be paid by the employer to the employee which shall be of such amountas the tribunal considers just and equitable in all the circumstances having regard to theemployer’s default in failing to permit time off to be taken by the employee and to anyloss sustained by the employee which is attributable to the matters complained of.

11(4) Where on a complaint under paragraph (1)(b) above an industrial tribunal finds that theemployer has failed to pay the employee the whole or part of the amount required to bepaid under paragraph (1)(b), the tribunal shall order the employer to pay the employeethe amount which it finds due to him.

11(5) Paragraph 16 of Schedule 1 to the Trade Union and Labour Relations Act 1974(jurisdiction of industrial tribunals)7 shall be modified by adding the following sub-paragraph:

“(2) An industrial tribunal shall have jurisdiction to determine complaints relating totime off with pay for safety representatives appointed under regulations made underHealth and Safety at Work etc Act 1974.”

37

Regulation 11

6 1974 c.52.7 Now superseded by section 2 of the Industrial Tribunals Act 1996.

Section 5 page 42

38

Notes

Section 5 page 43

39

Notes

Section 5 page 44

Published by Trades Union Congress Congress House Great Russell Street London WC1B 3LS

Regulations, Codes of Practice and GuidanceNotes are all Crown Copyright

Design RIMA Print Ancient House Printing Group

March 2005

All TUC publications may be made available for dyslexicor visually impaired readers, on request, in an agreed electronicformat or in accessible formats such as braille, audio tapeand large print, at no extra cost. Contact TUC Publicationson 020 7467 1294.

Safety Representatives Active Papers

These pages have been inserted so that you can include notes that arerelevant to you iin your role as a safety representative. An example ofthese being:Safety InspectionsAccident InvestigationIncident InvestigationSafety Committees attendedConsultation ie. members, management or other organisationsPolice Federation improvement notice

Section 6 page 1

Dates Location Forwarded to

Section 6 page 2

Dates Location Forwarded to

POLICE FEDERATION OF ENGLAND AND WALES

HEALTH AND SAFETY INSPECTION

SAFETY REPRESENTATIVE’S REPORT

Section 6 page 3

OVERVIEW OF INSPECTION

Date…………………………… Signed……………….............……………………..

Section 6 page 4

Section 6 page 5

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Section 6 page 8

A CHECKLIST IS A GOOD START, BUT DO NOT LET IT BECOME A BARRIER TO YOUAFTER YOU HAVE COMPLETED THE CHECKLIST STANDBACK AND LOOK FOR ANYTHING ELSE

THAT YOU SHOULD BE DEALING WITH.

• Accident reporting arrangements• Asbestos• Boilers and boilers-rooms• Cleanliness (windows, work surfaces, general state of the building)• Competent persons-their appointment and ability (i.e. the skills and knowledge to do the job)• Deliveries to, and goods out of the workplace• Doors, gates and escalators• Dust control measures• Display screen equipment (VDUs)• Eye protection• Electrical Safety• Food hygiene• Fire precautions• First Aid• Health and safety training and instruction• Health surveillance arrangements• Information provisions for employees (policies,minutes,risk assessments)• Loading and unloading (of goods, materials, products etc)• Lone workers• Maintenance activities• Non-routine operations (for example, work activities, which do not necessarily happen every day or those

that are not being carried out at the time of the inspection)• Occupational health provision• Office furniture and equipment• Overcrowding and space requirements• Protection of pregnant women and nursing mothers• Planned changes to processes, machinery or work organisation• Risk assessments• Transport• Safe systems of work• Safety supervision and management• Supervision and training for young and inexperienced workers• Shiftwork arrangements• Violence to staff• Welfare and welfare facilities• Work in confined spaces• Workers with exceptional or additional needs (e.g. safety systems and welfare facilities covering the

needs of disabled workers, young workers, trainees etc)• Work organisation (i.e. too much work, repetitive or monotonous work, too little control over how the job

is done etc)• Working time and rest breaks (systems of work or work schedules, too few breaks or difficulties taking

breaks)

REMEMBER

A CHECKLIST IS A GOOD START, BUT DO NOT LET IT BECOME A BARRIER TO YOUAFTER YOU HAVE COMPLETED THE CHECKLIST STANDBACK AND LOOK FOR

ANYTHING ELSE THAT YOU SHOULD BE DEALING WITH.

Section 6 page 9

Risk Assessment

This section includes the Health and Safety Executive (HSE) guide,“Five steps to risk assessment”, it sets out a step-by-step approach torisk assessment. Risk assessment is also covered in section 2 at page10 and in section 10 in the Management of Health and Safety at WorkRegulations 1999.

Five steps to risk assessment

Step 1 - look for hazards by visually inspecting the workplace,consulting employees and their representatives, looking atmanufacturers’ instructions or data sheets and considering accidentand ill-health records;

Step 2 - decide who might be harmed and how;

Step 3 - evaluate the risks arising from the hazards and decidewhether existing precautions are adequate or whether more should bedone. If something needs to be done, either remove the hazardaltogether or, if this cannot be done, control the risks. Only usepersonal protective equipment (PPE) if nothing else can reasonably bedone;

Step 4 - record your findings; and

Step 5- review your assessment from time to time and revise it ifnecessary.

Whilst Safety Representatives do not carry out risk assessmentsit is important that they understand the process of riskassessment.

Section 7 page 1

Section 7 page 2

Five stepsrisk assessment

Five stepsTO

risk assessment

Section 7 page 3

2

What is riskassessment?

A risk assessment is nothing more than a

careful examination of what, in your

work, could cause harm to people, so

that you can weigh up whether you have

taken enough precautions or should do

more to prevent harm. The aim is to

make sure that no one gets hurt or

becomes ill. Accidents and ill health can

ruin lives, and affect your business too if

output is lost, machinery is damaged,

insurance costs increase, or you have to

go to court. You are legally required to

assess the risks in your workplace.

The important things you need to decide

are whether a hazard is significant,and whether you have it covered by

satisfactory precautions so that the risk issmall. You need to check this when you

assess the risks. For instance, electricity

can kill but the risk of it doing so in an

office environment is remote, provided

that ‘live’ components are insulated and

metal casings properly earthed.

This leafletaims to helpemployersand self-employedpeople toassess risksin the work-place. It isaimed atfirms in thecommercial,service andlight industrialsectors.

RISK ASSESSMENT5 steps to

Section 7 page 4

How to assess the risksin your workplace

Follow the five steps in this leaflet:

STEP 1: Look for the hazards

STEP 2: Decide who might be

harmed and how

STEP 3: Evaluate the risks and decide

whether the existing precautions are

adequate or whether more should

be done

STEP 4: Record your findings

STEP 5: Review your assessment and

revise it if necessary

Don’t be overcomplicated. In

most firms in the commercial, service

and light industrial sectors, the hazards

are few and simple. Checking them is

common sense, but necessary. You

probably already know whether, for

example, you have machinery that could

cause harm, or if there is an awkward

entrance or stair where someone could

be hurt. If so, check that you have taken

what reasonable precautions you can to

avoid injury.

If you are a small firm and you are

confident you understand what’s

involved, you can do the assessment

yourself (you don’t have to be a health

and safety expert!). If you are a larger

firm, you could ask a responsible

employee, safety representative or safety

officer to help you. If you are not

confident, get help from a competent

source (see under ‘Getting help’ on page

8). But remember - you are responsible

for seeing it is adequately done.

3

Hazard and Risk -

don’t let words in this

guide put you off!

hazard means any-

thing that can cause

harm (eg chemicals,

electricity, working

from ladders, etc)

risk is the chance,

high or low, that

somebody will be

harmed by the hazard.

Section 7 page 5

STEP 1

Look for thehazardsIf you are doing the assessment yourself,

walk around your workplace and look

afresh at what could reasonably be

expected to cause harm. Ignore the

trivial and concentrate on significant

hazards which could result in serious

harm or affect several people.

Ask your employees or their represen-

tatives what they think. They may have

noticed things which are not immediately

obvious. Manufacturers’ instructions or

data sheets can also help you spot hazards

and put risks in their true perspective. So

can accident and ill-health records.

STEP 2

Decide whomight be harmed,and howDon’t forget:

� young workers, trainees, new and

expectant mothers, etc who may be

at particular risk

� cleaners, visitors, contractors,

maintenance workers, etc who

may not be in the workplace all

the time

� members of the public, or people

you share your workplace with, if

there is a chance they could be hurt

by your activities.

4

Section 7 page 6

STEP 3

Evaluate the risksand decidewhether existingprecautions areadequate or moreshould be doneConsider how likely it is that each

hazard could cause harm. This will

determine whether or not you need to

do more to reduce the risk. Even after

all precautions have been taken, some

risk usually remains. What you have to

decide for each significant hazard is

whether this remaining risk ishigh, medium or low.

First, ask yourself whether you have

done all the things that the law says

you have got to do. For example, there

are legal requirements on prevention

of access to dangerous parts of

machinery. Then ask yourself whether

generally accepted industry standards

are in place. But don’t stop there -

think for yourself, because the law also

says that you must do what is

reasonably practicable to keep your

workplace safe. Your real aim is to

make all risks small by adding to

your precautions as necessary.

If you find that something needs to be

done, draw up an ‘action list’ and give

priority to any remaining risks which are

high and/or those which could affect most

people. In taking action ask yourself:

a) can I get rid of the hazardaltogether?

b) if not, how can I control the risksso that harm is unlikely?

In controlling risks apply the principles

below, if possible in the following order:

� try a less risky option

� prevent access to the hazard

(eg by guarding)

� organise work to reduce exposure

to the hazard

� issue personal protective equipment

� provide welfare facilities (eg washing

facilities for removal of

contamination and first aid)

Improving health and safety need not

cost a lot. For instance, placing a mirror

on a dangerous blind corner to help

prevent vehicle accidents, or putting

some non-slip material on slippery steps,

are inexpensive precautions considering

the risks. And failure to take simple

precautions can cost you a lot more if an

accident does happen.

5

Section 7 page 7

But what if the work you dotends to vary a lot, or you oryour employees move fromone site to another? Identify the

hazards you can reasonably expect and

assess the risks from them. After that, if

you spot any additional hazards when

you get to a site, get information from

others on site, and take what action

seems necessary.

But what if you share a work-place? Tell the other employers and

self-employed people there about any

risks your work could cause them, and

what precautions you are taking. Also,

think about the risks to your own work-

force from those who share your workplace.

But what if you have alreadyassessed some of the risks?If, for example, you use hazardous

chemicals and you have already assessed

the risks to health and the precautions

you need to take under the Control of

Substances Hazardous to Health

Regulations (COSHH), you can consider

them ‘checked’ and move on.

More information about legal require-

ments and standards can be found in the

HSE publications An Introduction to

Health and Safety, Essentials of Health and

Safety and Management of Health and

Safety at Work: Approved Code of Practice.

Details of these are given on page 8.

STEP 4

Record yourfindingsIf you have fewer than five employees

you do not need to write anything down,

though it is useful to keep a written

record of what you have done. But if you

employ five or more people you must

record the significant findings of your

assessment. This means writing down

the significant hazards and conclusions.

Examples might be ‘Electrical

installations: insulation and earthing

checked and found sound’ or ‘Fume

from welding: local exhaust ventilation

provided and regularly checked’.

You must also tell your employees about

your findings.

Suitable and sufficient - not perfect!

Risk assessments must be suitable and

sufficient. You need to be able to show that:

� a proper check was made

� you asked who might be affected

� you dealt with all the obvious

significant hazards, taking into

account the number of people who

could be involved

� the precautions are reasonable, and

the remaining risk is low.

6

Section 7 page 8

Keep the written record for future

reference or use; it can help you if an

inspector asks what precautions you

have taken, or if you become involved

in any action for civil liability. It can also

remind you to keep an eye on particular

hazards and precautions. And it helps to

show that you have done what the law

requires. There is an example at the end

of this guide which you may find

helpful to refer to, but you can make

up your own form if you prefer.

To make things simpler, you can refer to

other documents, such as manuals, the

arrangements in your health and safety

policy statement, company rules,

manufacturers’ instructions, your health

and safety procedures and your arrange-

ments for general fire safety. These may

already list hazards and precautions. You

don’t need to repeat all that, and it is up

to you whether you combine all the

documents, or keep them separately.

STEP 5

Review yourassessment andrevise it ifnecessarySooner or later you will bring in new

machines, substances and procedures

which could lead to new hazards. If

there is any significant change, add to

the assessment to take account of the

new hazard. Don’t amend your

assessment for every trivial change,

or still more, for each new job, but if

a new job introduces significant new

hazards of its own, you will want to

consider them in their own right and

do whatever you need to keep the

risks down. In any case, it is good

practice to review your assessment

from time to time to make sure that

the precautions are still working

effectively.

7

Section 7 page 9

Getting helpHere’s a selection of practical guidance tohelp you. If you are still stuck on theassessment, your local health and safetyinspector can advise you on what to do.

You will find most of what you need to knowabout standards and legal requirements in:

An introduction to health and safety: Healthand safety in small businesses LeafletINDG259(rev1) HSE Books 2003 (singlecopy free)

Essentials of health and safety at workHSE Books 1994 ISBN 0 7176 0716 X

but you might also find the following useful:

Management of health and safety at work.Management of Health and Safety atWork Regulations 1999. Approved Code ofPractice and guidance L21 (Secondedition) HSE Books 2000ISBN 0 7176 2488 9

Successful health and safety managementHSG65 (Second edition) HSE Books 1997ISBN 0 7176 1276 7

Stating your business: Guidance onpreparing a health and safety policydocument for small firmsLeaflet INDG324 HSE Books 2000 (singlecopy free or priced packs of 5ISBN 0 7176 1799 8)

Need help on health and safety? Guidancefor employers on when and how to getadvice on health and safety LeafletINDG322 HSE Books 2000 (single copyfree or priced packs of 10ISBN 0 7176 1790 4)

COSHH: a brief guide to the regulations:What you need to know about theControl of Substances Hazardous toHealth Regulations 2002 (COSHH) LeafletINDG136(rev2) HSE Books 2003 (singlecopy free or priced packs of 10ISBN 0 7176 2677 6)

Personal protective equipment at work.Personal Protective Equipment at WorkRegulations 1992. Guidance onRegulations L25 HSE Books 1992ISBN 0 7176 0415 2

Getting to grips with manual handling: Ashort guide for employers LeafletINDG143(rev1) HSE Books 2000 (singlecopy free or priced packs of 15ISBN 0 7176 1754 8)

Electrical safety and you LeafletINDG231 HSE Books 1996 (single copyfree or priced packs of 15ISBN 0 7176 1207 4)

Managing vehicle safety at the workplace:A short guide for employers LeafletINDG199 HSE Books 1995 (single copyfree or priced packs of 10ISBN 0 7176 0982 0)

Workplace transport safety: Guidance foremployers HSG136 HSE Books 1995ISBN 0 7176 0935 9

Working with VDUs Leaflet INDG36(rev1)HSE Books 1998 (single copy free orpriced packs of 10 ISBN 0 7176 1504 9)

Work with display screen equipment.Health and Safety (Display ScreenEquipment) Regulations 1992 as amendedby the Health and Safety (MiscellaneousAmendments) Regulations 2002.Guidance on Regulations L26 (Secondedition) HSE Books 2003ISBN 0 7176 2582 6

Whose risk is it anyway? Hazard and riskassessment in a small firm VideoHSE Books 1992 ISBN 0 7176 1942 7

Five steps to risk assessment: Casestudies HSG183 HSE Books 1998ISBN 0 7176 1580 4

8

HSE priced and free publications are available by mail order from HSE Books, PO Box 1999,Sudbury, Suffolk CO10 2WA Tel: 01787 881165 Fax: 01787 313995 Website: www.hsebooks.co.uk (HSE priced publications are also available from bookshops.)

Section 7 page 10

HSE officesGovernment Buildings, Phase 1, Ty Glas, Llanishen,CARDIFF CF14 5SH Tel: 029 2026 3000 Fax: 029 2026 3120

Inter City House, Mitchell Lane, Victoria Street, BRISTOL BS1 6AN Tel: 01179 886000 Fax: 01179 262998

The Marches House, Midway, NEWCASTLE-UNDER-LYME ST5 1DT Tel: 01782 602300 Fax: 01782 602400

14 Cardiff Road, LUTONLU1 1PP Tel: 01582 444200 Fax: 01582 444320

Priestley House, Priestley Road, BASINGSTOKE RG24 9NW Tel: 01256 404000Fax: 01256 404100

Wren House,Hedgerows Business Park,Colchester Road,Springfield,CHELMSFORDCM2 5PF Tel: 01245 706200 Fax: 01245 706222

3 East Grinstead House, London Road, EAST GRINSTEAD RH19 1RR Tel: 01342 334200 Fax: 01342 334222

1 Hagley Road, BIRMINGHAMB16 8TG Tel: 0121 607 6200 Fax: 0121 607 6349

5th Floor Belgrave House, 1 Greyfriars, NORTHAMPTON NN1 2BS Tel: 01604 738300 Fax: 01604 738333

1st Floor, The Pearson Building, 55 Upper Parliament Street, NOTTINGHAM NG1 6AU Tel: 01159 712800 Fax: 01159 712802

Marshalls Mill,Marshall Street,LEEDSLS11 9YJTel: 0113 283 4200 Fax: 0113 283 4296

Edgar Allen House,241 Glossop Road,SHEFFIELDS10 2GW Tel: 0114 291 2300 Fax: 0114 291 2379

9

Arden House, Regent Centre, Regent Farm Road, Gosforth, NEWCASTLE-UPON-TYNE NE3 3JN Tel: 0191 202 6200 Fax: 0191 202 6300

Grove House, Skerton Road, MANCHESTERM16 0RB Tel: 0161 952 8200 Fax: 0161 952 8222

Marshall House, Ringway, PRESTON PR1 2HS Tel: See Manchester Fax: 01772 836222

Belford House, 59 Belford Road, EDINBURGHEH4 3UE Tel: 0131 247 2000 Fax: 0131 247 2121

375 West George Street, GLASGOW G2 4LW Tel: 0141 275 3000Fax: 0141 275 3100

Offshore Division, Lord Cullen House, Fraser Place, ABERDEEN AB25 3UB Tel: 01224 252500Fax: 01224 252662

Section 7 page 11

STEP 1

HazardLook only for hazards which you

could reasonably expect to result in

significant harm under the

conditions in your workplace. Use

the following examples as a guide

� slipping/tripping hazards (eg

poorly maintained floors or stairs)

� fire (eg from flammable

materials)

� chemicals (eg battery acid)

� moving parts of machinery

(eg blades)

� work at height (eg from

mezzanine floors)

� ejection of material (eg from

plastic moulding)

� pressure systems (eg steam

boilers)

� vehicles (eg fork-lift trucks)

� electricity (eg poor wiring)

� dust (eg from grinding)

� fumes (eg welding)

� manual handling

� noise

� poor lighting

� low temperature

STEP 2

Who mightbe harmed?There is no need to list

individuals by name - just

think about groups of

people doing similar work

or who may be affected, eg

� office staff

� maintenance personnel

� contractors

� people sharing your

workplace

� operators

� cleaners

� members of the public

Pay particular attention to:

� staff with disabilities

� visitors

� inexperienced staff

� lone workers

They may be more

vulnerable

STEP 3

Is more neededto control therisk?For the hazards listed, do theprecautions already taken:

� meet the standards set by a legal

requirement?

� comply with a recognised

industry standard?

� represent good practice?

� reduce risk as far as reasonably

practicable?

Have you provided:

� adequate information,

instruction or training?

� adequate systems or procedures?

If so, then the risks are adequately

controlled, but you need to indicate

the precautions you have in place.

(You may refer to procedures,

company rules, etc.)

Where the risk is not adequately

controlled, indicate what more you

need to do (the ‘action list’)

STEP 5

Review and revisionSet a date for review of the assessment (see opposite).

On review check that the precautions for each hazard still adequately control the risk. If not indicate the action

needed. Note the outcome. If necessary complete a new page for your risk assessment.

Making changes in your workplace, eg when bringing in new

� machines

� substances

� procedures

may introduce significant new hazards. Look for them and follow the 5 steps.

Section 7 page 12

STEP 1

List significant hazards here:

STEP 2

List groups of peoplewho are at risk from thesignificant hazards youhave identified:

STEP 3

List existing controls or notewhere the information may befound. List risks which are notadequately controlled and theaction needed:

RISK ASSESSMENT FORCompany Name

Company Address

Postcode

ASSESSMENTUNDERTAKEN

(date)

Signed

Date

ASSESSMENTREVIEW

Date

Section 7 page 13

RISK ASSESSMENT5 steps toHSE priced and free publications areavailable by mail order from HSE Books,PO Box 1999, Sudbury, Suffolk CO10 2WATel: 01787 881165 Fax: 01787 313995Website: www.hsebooks.co.uk (HSEpriced publications are also availablefrom bookshops.)

For information about health and safetyring HSE's InfoLine Tel: 08701 545500Fax: 02920 859260 e-mail:hseinformationservices@natbrit.com orwrite to HSE Information Services,Caerphilly Business Park, Caerphilly CF83 3GG. You can also visit HSE’swebsite: www.hse.gov.uk

This leaflet is available in priced packs of10 from HSE Books, ISBN 0 7176 1565 0.Single free copies are also available fromHSE Books.

This leaflet contains notes on good

practice which are not compulsory but

which you may find helpful in

considering what you need to do.

© Crown copyright This publication maybe freely reproduced, except foradvertising, endorsement or commercialpurposes. First published 5/99. Pleaseacknowledge the source as HSE.

INDG163(rev1) Reprinted 7/03 C5000

Printed and published by

the Health and Safety Executive

Section 7 page 14

Disability

Dealing with Disability issues.

Where a member has a grievance about how they have been dealtwith arising out of their disability, they should be referred to arepresentative that deals with Fairness at Work and EmploymentTribunal issues .

Detailed advice is available in the Diversity manual and is not duplicatedhere. However early intervention in the process of risk assessments andreasonable adjustments and how to assist members with them areareas that should be dealt with by Safety Representatives as expectedby the Trade Union code of practice written by the Disability RightsCommission and hence are covered here.

The relevant section of the code is reproduced below.

Disability Rights Commission - Trade Union code.“2.13 Trade unions are a particular kind of trade organisation. Inaddition to taking the general steps outlined in paragraph 2.12, it isadvisable for trade unions to:

• Have (and inform local branches about) a central budget or‘access fund’ to pay for adjustments for disabled members incircumstances where it would be too expensive for the adjustments tobe funded by local branches.

• Ensure that union representatives understand the Act’s provisionson employment and occupation so that they are able to support unionmembers who encounter disability discrimination at work.

• Ensure that health and safety representatives have a properunderstanding of the principles of risk assessment and reasonableadjustments, so that health and safety issues are not used todiscriminate against disabled people in the workplace or whenparticipating in union activities.

The above considerations apply just as much to unpaid unionrepresentatives in the workplace as to salaried employees of a union.2.14 Trade unions should not enter into collective agreementscontaining terms which discriminate against disabled people (seeparagraphs 10.14 to 10.16). In addition, European law encouragestrade unions to enter into collective agreements at national and locallevel in respect of anti-discriminatory policies and practices. It isadvisable for trade unions to monitor the effectiveness of any suchagreements.”

Helping members with issues surrounding Disability.Unlike most of the activities of safety representatives here you will bedealing with individuals and you may care to make use of a checklistfor meeting and dealing with peoples issues supplied below;-Meeting

• Preparation and papers you and them• Suitable location. Phones off. Safe place you and them.

Refreshments. Access to support and copying facilities• “Make sufficient time” you and them

Explain• Rules of engagement. Exit strategy. Ground rules. Including

consulting others• Confidential unless serious etc will let them know if crossing the

line.

Section 8 page 1

• Unpack agendas and styles yours and theirs

Explore• Listen• What, Why, When, Where, Who, How• Iterative Process• Check for understanding• Until you both understand all the issues

Their desired outcome(s)• If they could get it what do they realistically want as an outcome?

Involve• Lay out the options (reference material)• They decide the + and the –• They decide, they have ownership (relevant forms)

Getting it clear• Clarify what they will do• Clarify what you will do• Agree timescales• Arrange to re-contact and then re-contactWrite it down and share it (materials.)

Reasonable Adjustments.If a force applies a provision, criterion or practice that places a disabledofficer at a substantial disadvantage in comparison with officers whoare not disabled they must take such steps as are reasonable in all thecircumstances to remove the substantial disadvantage. When decidingif an adjustment is reasonable consideration must be given to theextent to which the adjustment would alleviate the disadvantage, thepracticalities, cost and potential disruption of making the adjustmentand the nature, size and financial resources of the force. Adjustmentscould include alterations to premises, equipment, duties or hours ofwork, permitting absence for treatment or rehabilitation and providinga supportive working environment including training. The approachshould be to fit the job around the officer, not the officer around the job.A failure to make a reasonable adjustment cannot be justified by theforce, however the duty to make a reasonable adjustment will onlyapply if the force has knowledge of the disability.

So what are the steps to follow.

• Is the Officer disabled?The commission strongly suggests that rather than get involved indetailed discussions about what the phrase means, it will be better todeal with people claiming disability as if they are disabled within themeaning of the law.

• Does the Force know they are disabled or could reasonably beexpected to know? In most cases where you are trying to help anindividual the force is likely to be able to help where it understandswhat the problem is.

• What is the substantial disadvantage? You will have found out whatthis is in your initial discussions with the member.

• Is it caused either by a physical feature of premises occupied by theForce, or a provision, criterion or practice? (policy, procedure,practice etc.)

Section 8 page 2

• What steps could prevent the disadvantage?

• Is it reasonable to take those steps?

Remember the duty is not a duty to adjust the job – just a duty to adjustproblems with the arrangements or premises. The key to a reasonableadjustment is whether it works. Plainly a step that does not alleviatethe substantial disadvantage is not likely to be reasonable, although astep that removes the majority of the problem will be reasonable insome circumstances.

Draw up a wish-list of how to remove the substantial disadvantagewithout regard for expense, then each can be assessed for practicality.Try and think outside the normal parameters as some managers will beconvinced that there is nothing that can be done whereas an outsidercan immediately see an answer. Get the Force to use an employmentadvisor from Jobcentre Plus, Employers Forum on Disability, charities,Occupational Health etc.

Use the list of statutory examples in the Code for inspiration!Remember that the code is on the Representatives’ Support disc butdo not be limited by the examples

The next step is for the Force to look at the wish list and the experts’suggestions and assess which of these steps is practical andaffordable.

Some steps may be dismissed as impractical when they are merelyinconvenient.

Ask – Why is it impractical?Is it affordable with assistance? (Access to Work)Not a once and for all time process

Remember that the member’s situation will vary with time and theadjustments may have to be re-negotiated.

If you are unable to negotiate what you and the member consider to bereasonable adjustments,they will have recourse to the Fairness atWork procedure and an Employment Tribunal

Risk Assessments.The fact that an officer has a disability does not necessarily mean thats/he represents an additional risk to health and safety. Under healthand safety law every Force must ensure, so far as is reasonablypracticable, the health, safety and welfare at work of all officers. Theymust assess the risks and put in place measures that reduce the risksto as low a level as can reasonably be achieved. Genuine concernsabout the health and safety of any officer (including a disabled officer)may be relevant when seeking to establish that disability-related lessfavourable treatment of a disabled officer is justified. However, it isimportant to remember that the law does not require Forces to removeall conceivable risk, but to ensure that risk is properly appreciated,understood and managed. This obligation to assess risk should beapplied by the force to each officer including an officer who has adisability.

Section 8 page 3

Working Time Regulations

The Police Federation run separate Working time regulation coursesand maintains a separate manual to cover all of the related issues. TheWorking Time Regulations 1998 came into force on 1 October 1998,and implemented the European Directive on the Organisation ofWorking Time (EWTD). There have been various amendments. TheWTR introduced limits on working time and entitlements to rest.Workers whose entitlements are breached can seek redress at anEmployment Tribunal. The main provisions generally give workers theright to:

➩ a limit on average weekly working hours of 48 *

➩ a limit on night workers= average normal daily hours of 8hours *

➩ health assessments for night workers *

➩ a minimum daily rest period of 11 consecutive hours

➩ a minimum weekly uninterrupted rest period of 24 hours

➩ rest breaks at work (where the working day is more than 6hours, an uninterrupted period of not less than 20 minutes)

➩ 4 weeks paid annual leave

The WTR are primarily a health and safety provision. The aboveprovisions represent minimum standards of protection for the healthand safety of workers. Employers are required to take all reasonablesteps to provide this protection. Failure to do so could be a criminaloffence. The WTR apply to all federated ranks, though the very limitedderogations applicable to the police service mean that the nature ofapplication may differ depending on the duties assigned to themember.

The Police Regulations continue to govern members’ conditions ofservice. Police Regulations currently provide a statutory framework forthe organisation of working time and the WTR have not changed this.

However, the WTR comprise a health and safety safeguard againstpotential abuses by management of the organisation of working timewithin the framework provided by the Police Regulations.

* these aspects of the Working Time Regulations are enforced by theHSE.

The WTR are primarily a health and safety provision

Section 9 page 1

Reference

This section contains a variety of either reference material or pointerson where to find reference material. Remember there will be otherTrade Unions dealing with health and safety in the police Service,make local contacts and they may be able to provide you with theinformation you require.

Legislation• the relevant parts of the main act of parliament the Health and

Safety at Work Act 1974 and • the Management of Health and Safety at Work Regulations 1999.It also contains the legislation that made it apply to police officers andoperational policing,• The Police (Health and Safety) Act 1997,• The Police (Health and Safety) Regulations 1999 and• Section 158 of the Serious Organised Crime and Police Act 2005.

Other related Health and Safety regulations etc. are available to thosewho subscribe to Barbour-Index, also our own web page and any othergood web site.

Useful Websites

www.dennismac.co.uk/hands/ a website for Safety representativesagency.osha.eu.int/info/ the European Agency for Safety and Health atWorkwww.hse.gov.uk/index.htm the Health and Safety Executivewww.hsedirect.com/ The Health and Safety Executive information sitewww.iosh.co.uk/ the Institute of Occupational Safety and Healthwww.tuc.org.ukwww.hazards.orgwww.alcoholconcern.org.ukwww.backcare.org.ukwww.corporateaccountability.orgwww.drugscope.org.ukwww.lrd.org.ukwww.lasg.co.ukwww.orsa.org.uk.htmwww.suzylamplugh.org/home/ondex.shtlwww.workstress.netwww.wen.org.ukwww.dwp.gov.ukwww.dti.gov.ukwww.drc-gb.orgwww.firekills.gov.uk

Legal publications

All regulations made since 1987 can be downloaded from the Office ofPublic Sector Information (OPSI) website. The OPSI, part of thecabinet office, has replaced the Stationery Office (HMSO) as the placeto get copies of regulations. This can be done from the OPSI websiteat www.opsi.gov.uk using the Statutory Instrument (SI) number or codeand the year the regulations were made.

Section 10 page 1

The text of some cases referred to is contained in the monthlyIndustrial Relations Law Reports (IRLR). EAT cases can be found at:www.employmentappeals.gov.uk;

Court of Appeal decisions at: www.courtservice.gov.uk;and House of Lords decisions at: www.publications.parliament.uk. Health and Safety Bulletin, containing court case summaries, ispublished by Industrial Relations Services, tel: 020 8686 9141;www.irsonline.co.uk

Organisations providing advice and information

Advisory, Conciliation and Arbitration Service (ACAS), Brandon House,180 Borough High Street, London, SEI 1LW, helpline: 08457 474747,www.acas.org.uk.Hazards, PO Box 199, Sheffield, Sl 4YL; tel: 0114 235 2074;www.hazards.orgHealth and Safety Executive, HSE Information Line, CaerphillyBusiness Park, Caerphilly, CF83 3GG; tel: 08701545500;www.hse.gov.uk. HSE publications are available from HSE Books, POBox 1999, Sudbury, Suffolk, CO10 2WA; tel: 01787 881165;www.hsebooks.co.uk.

Labour Research Department, 78 Blackfriars Road, London, SEl 8HF;tel: 020 7928 3649; web: www.lrd.org.uk. LRD provides an enquiryservice for affiliates and the monthly publications Safety Rep, LabourResearch and Workplace Report. The LRD booklet series alsoincludes many health and safety topics.

TUC, Congress House, Great Russell Street, London, WC1B 3LS; tel:020 7636 4030; web: www.tuc.org.uk

Local health and safety organisationsSafety representatives wanting advice on health and safety shouldapproach their Health and Safety Leader first. There are a number of organisations that may be able to providefurther information or help. These include: Bradford Occupational Health Project and BradfordWorkers' Health Advice Team; tel: 01274 393949; e-mail:hazards@what-bohp.freeserve.co.uk; Greater Manchester HazardsCentre, tel: 0161 953 4037; e-mail: mail@gmhazards.org.uk; web:www.gmhazards.org.uk; Health Works in London, tel: 020 8557 6161;e-mail: healthworks@newham.gov.uk; web: www.healthworks-in-london.org.uk; Keighley Work Safe Project, tel: 01535 691264; e-mail:advice@worksafe.org.uk; web: www.worksafe.org.uk; LeedsOccupational Health Advisory Service, tel: 01132 948222; e-mail:info@leedsohas.org.uk; Health at Work, tel: 0151 236 6608; e-mail:danielle@healthatworkcentre.org.uk; web: healthatworkcentre.org.uk;London Hazards Centre, tel: 020 7794 5999; e-mail: mail@Ihc.org.uk;web: www.lhc.org.uk; Lothian Trade Union and Community ResourceCentre, tel: 0131 556 7318; e-mail: Itucrc@aol.com; RotherhamOccupational Health Advice Service, tel: 01709 820472; e-mail:ohasrpct@tiscali.co.uk; Sheffield Occupational Health AdvisoryService, tel: 0114 275 5760; e-mail: sohas@sohas.co.uk; web:www.sohas.co.uk

Section 10 page 2

Health and Safety at Work etc Act 1974.

Preliminary

1. (1) The provisions of this Part shall have effect with a Preliminary.view to • (A) securing the health, safety and welfare of persons at work; • (B) protecting persons other than persons at work against risks to

health or safety arising out of or in connection with the activities ofpersons at work;

• (C) controlling the keeping and use of explosive or highlyflammable or otherwise dangerous substances, and generallypreventing the unlawful acquisition, possession and use of suchsubstances; and

• (D) controlling the emission into the atmosphere of noxious oroffensive substances from premises of any class prescribed for thepurposes of this paragraph.

(2) The provisions of this Part relating to the making of health andsafety regulations and agricultural health and safety regulations andthe preparation and approval of codes of practice shall in particularhave effect with a view to enabling the enactments specified in thethird column of Schedule 1 and the regulations, orders and otherinstruments in force under those enactments to be progressivelyreplaced by a system of regulations and approved codes of practiceoperating in combination with the other provisions of this Part anddesigned to maintain or improve the standards of health, safety andwelfare established by or under those enactments.

(3) For the purposes of this Part risks arising out of or in connectionwith the activities of persons at work shall be treated as including risksattributable to the manner of conducting an undertaking, the plant orsubstances used for the purposes of an undertaking and the conditionof premises so used or any part of them.

(4) References in this Part to the general purposes of this Part arereferences to the purposes mentioned in subsection (1) above.

General duties

General duties of employers to their employees.

2. (1) It shall be the duty of every employer to ensure, so far as isreasonably practicable, the health, safety and welfare at work of all hisemployees.

(2) Without prejudice to the generality of an employer's duty under thepreceding subsection, the matters to which that duty extends includein particular

• (A) the provision and maintenance of plant and systems of workthat are, so far as is reasonably practicable, safe and without risksto health;

• (B) arrangements for ensuring, so far as is reasonably practicable,safety and absence of risks to health in connection with the use,handling, storage and transport of articles and substances;

• (C) the provision of such information, instruction, training andsupervision as is necessary to ensure, so far as is reasonablypracticable, the health and safety at work of his employees;

• (D) so far as is reasonably practicable as regards any place ofwork under the employer's control, the maintenance of it in a

Section 10 page 3

condition that is safe and without risks to health and the provisionand maintenance of means of access to and egress from it that aresafe and without such risks;

• (E) the provision and maintenance of a working environment forhis employees that is, so far as is reasonably practicable, safe,without risks to health, and adequate as regards facilities andarrangements for their welfare at work.

(3) Except in such cases as may be prescribed, it shall be the duty ofevery employer to prepare and as often as may be appropriate revisea written statement of his general policy with respect to the health andsafety at work of his employees and the organisation andarrangements for the time being in force for carrying out that policy,and to bring the statement and any revision of it to the notice of all ofhis employees.

(4) Regulations made by the Secretary of State may provide for theappointment in prescribed cases by recognised trade unions (withinthe meaning of the regulations) of safety representatives from amongstthe employees, and those representatives shall represent theemployees in consultations with the employers under subsection (6)below and shall have such other functions as may be prescribed.

(5) Regulations made by the Secretary of State may provide for theelection in prescribed cases by employees of safety representativesfrom amongst the employees, and those representatives shallrepresent the employees in consultations with the employers undersubsection (6) below and may have such other functions as may beprescribed.

(6) It shall be the duty of every employer to consult any suchrepresentatives with a view to the making and maintenance ofarrangements which will enable him and his employees to cooperateeffectively in promoting and developing measures to ensure the healthand safety at work of the employees, and in checking the effectivenessof such measures.

(7) In such cases as may be prescribed it shall be the duty of everyemployer, if requested to do so by the safety representativesmentioned in subsections (4) and (5) above, to establish, inaccordance with regulations made by the Secretary of State, a safetycommittee having the function of keeping under review the measurestaken to ensure the health and safety at work of his employees andsuch other functions as may be prescribed.

General duties of employers and self-employed to persons otherthan their employees.

3. (1) It shall be the duty of every employer to conduct hisundertaking in such a way as to ensure, so far as is reasonablypracticable, that persons not in his employment who may be affectedthereby are not thereby exposed to risks to their health or safety.

(2) It shall be the duty of every self-employed person to conduct hisundertaking in such a way as to ensure, so far as is reasonablypracticable, that he and other persons (not being his employees) whomay be affected thereby are not thereby exposed to risks to theirhealth or safety.

(3) In such cases as may be prescribed, it shall be the duty of everyemployer and every self-employed person, in the prescribed

Section 10 page 4

circumstances and in the prescribed manner, to give to persons (notbeing his employees) who may be affected by the way in which heconducts his undertaking the prescribed information about suchaspects of the way in which he conducts his undertaking as mightaffect their health or safety.

General duties of persons concerned with premises to personsother than their employees.

4. (1) This section has effect for imposing on persons duties inrelation to those who

• (A) are not their employees; but • (B) use non-domestic premises made available to them as a

place of work or as a place where they may use plant orsubstances provided for their use there,

and applies to premises so made available and other non-domesticpremises used in connection with them.

(2) It shall be the duty of each person who has, to any extent, controlof premises to which this section applies or of the means of accessthereto or egress therefrom or of any plant or substance in suchpremises to take such measures as it is reasonable for a person in hisposition to take to ensure, so far as is reasonably practicable, that thepremises, all means of access thereto or egress therefrom availablefor use by persons using the premises, and any plant or substance inthe premises or, as the case may be, provided for use there, is or aresafe and without risks to health.

(3) Where a person has, by virtue of any contract or tenancy, anobligation of any extent in relation to

• (A) the maintenance or repair of any premises to which thissection applies or any means of access thereto or egresstherefrom; or

• (B) the safety of or the absence of risks to health arising fromplant or substances in any such premises; that person shall betreated, for the purposes of subsection (2) above, as being aperson who has control of the matters to which his obligationextends.

(4) Any reference in this section to a person having control of anypremises or matter is a reference to a person having control of thepremises or matter in connection with the carrying on by him of a trade,business or other undertaking (whether for profit or not).

General duty of persons in control of certain premises in relationto harmful emissions into atmosphere.

General duties of manufacturers etc. as regards articles andsubstances for use at work.

6. (1) It shall be the duty of any person who designs, manufactures,imports or supplies any article for use at work

• (A) to ensure, so far as is reasonably practicable, that thearticle is so designed and constructed as to be safe andwithout risks to health when properly used;

• (B) to carry out or arrange for the carrying out of such testingand examination as may be necessary for the performance ofthe duty imposed on him by the preceding paragraph;

• (C) to take such steps as are necessary to secure that there

Section 10 page 5

will be available in connection with the use of the article at workadequate information about the use for which it is designedand has been tested, and about any conditions necessary toensure that, when put to that use, it will be safe and withoutrisks to health.

(2) It shall be the duty of any person who undertakes the design ormanufacture of any article for use at work to carry out or arrange forthe carrying out of any necessary research with a view to the discoveryand, so far as is reasonably practicable, the elimination or minimisationof any risks to health or safety to which the design or article may giverise.

(3) It shall be the duty of any person who erects or installs any articlefor use at work in any premises where that article is to be used bypersons at work to ensure, so far as is reasonably practicable, thatnothing about the way in which it is erected or installed makes it unsafeor a risk to health when properly used.

(4) It shall be the duty of any person who manufactures, imports orsupplies any substance for use at work

• (A) to ensure, so far as is reasonably practicable, that thesubstance is safe and without risks to health when properlyused;

• (B) to carry out or arrange for the carrying out of such testingand examination as may be necessary for the performance ofthe duty imposed on him by the preceding paragraph;

• (C) to take such steps as are necessary to secure that therewill be available in connection with the use of the substance atwork adequate information about the results of any relevanttests which have been carried out on or in connection with thesubstance and about any conditions necessary to ensure thatit will be safe and without risks to health when properly used.

(5) It shall be the duty of any person who undertakes the manufactureof any substance for use at work to carry out or arrange for the carryingout of any necessary research with a view to the discovery and, so faras is reasonably practicable, the elimination or minimisation of anyrisks to health or safety to which the substance may give rise.

(6) Nothing in the preceding provisions of this section shall be taken torequire a person to repeat any testing, examination or research whichhas been carried out otherwise than by him or at his instance, in so faras it is reasonable for him to rely on the results thereof for the purposesof those provisions.

(7) Any duty imposed on any person by any of the precedingprovisions of this section shall extend only to things done in the courseof a trade, business or other undertaking carried on by him (whetherfor profit or not) and to matters within his control.

(8) Where a person designs, manufactures, imports or supplies anarticle for or to another on the basis of a written undertaking by thatother to take specified steps sufficient to ensure, so far as isreasonably practicable, that the article will be safe and without risks tohealth when properly used, the undertaking shall have the effect ofrelieving the first-mentioned person from the duty imposed bysubsection (1)(A) above to such extent as is reasonable having regardto the terms of the undertaking.

Section 10 page 6

(9) Where a person (“the ostensible supplier”) supplies any article foruse at work or substance for use at work to another (“the customer”)under a hire-purchase agreement, conditional sale agreement orcredit-sale agreement, and the ostensible supplier

• (A) carries on the business of financing the acquisition ofgoods by others by means of such agreements; and

• (B) in the course of that business acquired his interest in thearticle or substance supplied to the customer as a means offinancing its acquisition by the customer from a third person(“the effective supplier”),

The effective supplier and not the ostensible supplier shall be treatedfor the purposes of this section as supplying the article or substance tothe customer, and any duty imposed by the preceding provisions ofthis section on suppliers shall accordingly fall on the effective supplierand not on the ostensible supplier.

(10) For the purposes of this section an article or substance is not tobe regarded as properly used where it is used without regard to anyrelevant information or advice relating to its use which has been madeavailable by a person by whom it was designed, manufactured,imported or supplied.

General duties of employees at work.

7. It shall be the duty of every employee while at work

• (A) to take reasonable care for the health and safety of himselfand of other persons who may be affected by his acts oromissions at work; and

• (B) as regards any duty or requirement imposed on hisemployer or any other person by or under any of the relevantstatutory provisions, to co-operate with him so far as isnecessary to enable that duty or requirement to be performedor complied with.

Duty not to interfere with or misuse things provided pursuant to certainprovisions.

8. No person shall intentionally or recklessly interfere with or misuseanything provided in the interests of health, safety or welfare inpursuance of any of the relevant statutory provisions.

Duty not to charge employees for things done or providedpursuant to certain specific requirements.

9. No employer shall levy or permit to be levied on any employee ofhis any charge in respect of anything done or provided in pursuance ofany specific requirement of the relevant statutory provisions.

The Health and Safety Commission and the Health and SafetyExecutive

Sections 10 to 14

Health and safety regulations and approved codes of practice

Health and safety regulations.

15. (1) Subject to the provisions of section 50, the Secretary of Stateshall have power to make regulations under this section (in this part

Section 10 page 7

referred to as “health and safety regulations”) for any of the generalpurposes of this Part except as regards matters relating exclusively toagricultural operations.

(2) Without prejudice to the generality of the preceding subsection,health and safety regulations may for any of the general purposes ofthis Part make provision for any of the purposes mentioned inSchedule 3.

(3) Health and safety regulations

• (A) may repeal or modify any of the existing statutoryprovisions;

• (B) may exclude or modify in relation to any specified class ofcase any of the provisions of sections 2 to 9 or any of theexisting statutory provisions;

• (C) may make a specified authority or class of authoritiesresponsible, to such extent as may be specified, for theenforcement of any of the relevant statutory provisions.

(4) Health and safety regulations

• (A) may impose requirements by reference to the approval ofthe Commission or any other specified body or person;

• (B) may provide for references in the regulations to anyspecified document to operate as references to that documentas revised or re-issued from time to time.

(5) Health and safety regulations

• (A) may provide (either unconditionally or subject toconditions, and with or without limit of time) for exemptionsfrom any requirement or prohibition imposed by or under anyof the relevant statutory provisions;

• (B) may enable exemptions from any requirement orprohibition imposed by or under any of the relevant statutoryprovisions to be granted (either unconditionally or subject toconditions, and with or without limit of time) by any specifiedperson or by any person authorised in that behalf by aspecified authority.

(6) Health and safety regulations

• (A) may specify the persons or classes of persons who, in theevent of a contravention of a requirement or prohibitionimposed by or under the regulations, are to be guilty of anoffence, whether in addition to or to the exclusion of otherpersons or classes of persons;

• (B) may provide for any specified defence to be available inproceedings for any offence under the relevant statutoryprovisions either generally or in specified circumstances;

• (C) may exclude proceedings on indictment in relation tooffences consisting of a contravention of a requirement orprohibition imposed by or under any of the existing statutoryprovisions, sections 2 to 9 or health and safety regulations;

• (D) may restrict the punishments which can be imposed inrespect of any such offence as is mentioned in paragraph (C)above.

(7) Without prejudice to section 35, health and safety regulations maymake provision for enabling offences under any of the relevant

Section 10 page 8

statutory provisions to be treated as having been committed at anyspecified place for the purpose of bringing any such offence within thefield of responsibility of any enforcing authority or conferringjurisdiction on any court to entertain proceedings for any such offence.

(8) Health and safety regulations may take the form of regulationsapplying to particular circumstances only or to a particular case only(for example, regulations applying to particular premises only).

(9) If an Order in Council is made under section 84(3) providing thatthis section shall apply to or in relation to persons, premises or workoutside Great Britain then, notwithstanding the Order, health andsafety regulations shall not apply to or in relation to aircraft in flight,vessels, hovercraft or offshore installations outside Great Britain orpersons at work outside Great Britain in connection with submarinecables or submarine pipelines except in so far as the regulationsexpressly so provide.

(10) In this section “specified” means specified in health and safetyregulations.

Approval of codes of practice by the Commission.

16. (1) For the purpose of providing practical guidance with respect tothe requirements of any provision of sections 2 to 7 or of health andsafety regulations or of any of the existing statutory provisions, theCommission may, subject to the following subsection and except asregards matters relating exclusively to agricultural operations

• (A) approve and issue such codes of practice (whetherprepared by it or not) as in its opinion are suitable for thatpurpose;

• (B) approve such codes of practice issued or proposed to beissued otherwise than by the Commission as in its opinion aresuitable for that purpose.

(2) The Commission shall not approve a code of practice undersubsection (1) above without the consent of the Secretary of State,and shall, before seeking his consent, consult

• (A) any government department or other body that appears tothe Commission to be appropriate (and, in particular, in thecase of a code relating to electro-magnetic radiations, theNational Radiological Protection Board); and

• (B) such government departments and other bodies, if any, asin relation to any matter dealt with in the code, the Commissionis required to consult under this section by virtue of directionsgiven to it by the Secretary of State.

(3) Where a code of practice is approved by the Commission undersubsection (1) above, the Commission shall issue a notice in writing

• (A) identifying the code in question and stating the date onwhich its approval by the Commission is to take effect; and

• (B) specifying for which of the provisions mentioned insubsection (1) above the code is approved.

(4) The Commission may

• (A) from time to time revise the whole or any part of any codeof practice prepared by it in pursuance of this section;

Section 10 page 9

• (B) approve any revision or proposed revision of the whole orany part of any code of practice for the time being approvedunder this section; and the provisions of subsections (2) and (3) above shall, withthe necessary modifications, apply in relation to the approval ofany revision under this subsection as they apply in relation tothe approval of a code of practice under subsection (1) above.

(5) The Commission may at any time with the consent of the Secretaryof State withdraw its approval from any code of practice approvedunder this section, but before seeking his consent shall consult thesame government departments and other bodies as it would berequired to consult under subsection (2) above if it were proposing toapprove the code.

(6) Where under the preceding subsection the Commission withdrawsits approval from a code of practice approved under this section, theCommission shall issue a notice in writing identifying the code inquestion and stating the date on which its approval of it is to cease tohave effect.

(7) References in this Part to an approved code of practice arereferences to that code as it has effect for the time being by virtue ofany revision of the whole or any part of it approved under this section.

(8) The power of the Commission under subsection (1)(B) above toapprove a code of practice issued or proposed to be issued otherwisethan by the Commission shall include power to approve a part of sucha code of practice; and accordingly in this Part “code of practice” maybe read as including a part of such a code of practice.

Use of approved codes of practice in criminal proceedings.

17. (1) A failure on the part of any person to observe any provision ofan approved code of practice shall not of itself render him liable to anycivil or criminal proceedings; but where in any criminal proceedings aparty is alleged to have committed an offence by reason of acontravention of any requirement or prohibition imposed by or underany such provision as is mentioned in section 16(1) being a provisionfor which there was an approved code of practice at the time of thealleged contravention, the following subsection shall have effect withrespect to that code in relation to those proceedings.

(2) Any provision of the code of practice which appears to the court tobe relevant to the requirement or prohibition alleged to have beencontravened shall be admissible in evidence in the proceedings; and ifit is proved that there was at any material time a failure to observe anyprovision of the code which appears to the court to be relevant to anymatter which it is necessary for the prosecution to prove in order toestablish a contravention of that requirement or prohibition, that mattershall be taken as proved unless the court is satisfied that therequirement or prohibition was in respect of that matter complied withotherwise than by way of observance of that provision of the code.

(3) In any criminal proceedings • (A) a document purporting to be a notice issued by the

Commission under section 16 shall be taken to be such anotice unless the contrary is proved; and (B) a code of practicewhich appears to the court to be the subject of such a noticeshall be taken to be the subject of that notice unless thecontrary is proved.

Section 10 page 10

Enforcement

Section 18

Appointment of inspectors.

19. (1) Every enforcing authority may appoint as inspectors (underwhatever title it may from time to time determine) such persons havingsuitable qualifications as it thinks necessary for carrying into effect therelevant statutory provisions within its field of responsibility, and mayterminate any appointment made under this section.

(2) Every appointment of a person as an inspector under this sectionshall be made by an instrument in writing specifying which of thepowers conferred on inspectors by the relevant statutory provisionsare to be exercisable by the person appointed; and an inspector shallin right of his appointment under this section

• (A) be entitled to exercise only such of those powers as are sospecified; and

• (B) be entitled to exercise the powers so specified only withinthe field of responsibility of the authority which appointed him.

(3) So much of an inspector's instrument of appointment as specifiesthe powers which he is entitled to exercise may be varied by theenforcing authority which appointed him.

(4) An inspector shall, if so required when exercising or seeking toexercise any power conferred on him by any of the relevant statutoryprovisions, produce his instrument of appointment or a dulyauthenticated copy thereof.

Powers of inspectors.

20. (1) Subject to the provisions of section 19 and this section, aninspector may, for the purpose of carrying into effect any of the relevantstatutory provisions within the field of responsibility of the enforcingauthority which appointed him, exercise the powers set out insubsection (2) below.

(2) The powers of an inspector referred to in the preceding subsectionare the following, namely

• (A) at any reasonable time (or, in a situation which in hisopinion is or may be dangerous, at any time) to enter anypremises which he has reason to believe it is necessary for himto enter for the purpose mentioned in subsection (1) above);

• (B) to take with him a constable if he has reasonable cause toapprehend any serious obstruction in the execution of his duty;

• (C) without prejudice to the preceding paragraph, on enteringany premises by virtue of paragraph (A) above to take with him

• (i) any other person duly authorised by his (the inspector’s)enforcing authority; and

• (ii) any equipment or materials required for any purpose forwhich the power of entry is being exercised;

• (D) to make such examination and investigation as may in anycircumstances be necessary for the purpose mentioned insubsection (1) above;

• (E) as regards any premises which he has power to enter, todirect that those premises or any part of them, or anythingtherein, shall be left undisturbed (whether generally or in

Section 10 page 11

particular respects) for so long as is reasonably necessary forthe purpose of any examination or investigation underparagraph (D) above;

• (F) to take such measurements and photographs and makesuch recordings as he considers necessary for the purpose ofany examination or investigation under paragraph (D) above;

• (G) to take samples of any articles or substances found in anypremises which he has power to enter, and of the atmospherein or in the vicinity of any such premises;

• (H) in the case of any article or substance found in anypremises which he has power to enter, being an article orsubstance which appears to him to have caused or to be likelyto cause danger to health or safety, to cause it to be dismantledor subjected to any process or test (but not so as to damage ordestroy it unless this is in the circumstances necessary for thepurpose mentioned in subsection (1) above);

• (I) in the case of any such article or substance as ismentioned in the preceding paragraph, to take possession of itand detain it for so long as is necessary for all or any of thefollowing purposes, namely

• (i) to examine it and do to it anything which he has power todo under that paragraph;

• (ii) to ensure that it is not tampered with before hisexamination of it is completed;

• (iii) to ensure that it is available for use as evidence in anyproceedings for an offence under any of the relevant statutoryprovisions or any proceedings relating to a notice undersection 21 or 22;

• (J) to require any person whom he has reasonable cause tobelieve to be able to give any information relevant to anyexamination or investigation under paragraph (D) above toanswer (in the absence of persons other than a personnominated by him to be present and any persons whom theinspector may allow to be present) such questions as theinspector thinks fit to ask and to sign a declaration of the truthof his answers;

• (K) to require the production of, inspect, and take copies of orof any entry in

• (i) any books or documents which by virtue of any of therelevant statutory provisions are required to be kept; and

• (ii) any other books or documents which it is necessary for himto see for the purposes of any examination or investigationunder paragraph (D) above;

• (L) to require any person to afford him such facilities andassistance with respect to any matter or things within thatperson's control or in relation to which that person hasresponsibilities as are necessary to enable the inspector toexercise any of the powers conferred on him by this section;

• (M) any other power which is necessary for the purposementioned in subsection (1) above.

(3) The Secretary of State may by regulations make provision as tothe procedure to be followed in connection with the taking of samplesunder subsection (2)(G) above (including provision as to the way inwhich samples that have been so taken are to be dealt with).

(4) Where an inspector proposes to exercise the power conferred bysubsection (2)(H) above in the case of an article or substance found inany premises, he shall, if so requested by a person who at the time ispresent in and has responsibilities in relation to those premises, causeanything which is to be done by virtue of that power to be done in the

Section 10 page 12

presence of that person unless the inspector considers that its beingdone in that person's presence would be prejudicial to the safety of theState.

(5) Before exercising the power conferred by subsection (2)(H) abovein the case of any article or substance, an inspector shall consult suchpersons as appear to him appropriate for the purpose of ascertainingwhat dangers, if any, there may be in doing anything which heproposes to do under that power.

(6) Where under the power conferred by subsection (2)(I) above aninspector takes possession of any article or substance found in anypremises, he shall leave there, either with a responsible person or, ifthat is impracticable, fixed in a conspicuous position, a notice givingparticulars of that article or substance sufficient to identify it and statingthat he has taken possession of it under that power; and before takingpossession of any such substance under that power an inspector shall,if it is practicable for him to do so, take a sample thereof and give to aresponsible person at the premises a portion of the sample marked ina manner sufficient to identify it.

(7) No answer given by a person in pursuance of a requirementimposed under subsection (2)(J) above shall be admissible inevidence against that person or the husband or wife of that person inany proceedings.

(8) Nothing in this section shall be taken to compel the production byany person of a document of which he would on grounds of legalprofessional privilege be entitled to withhold production on an order fordiscovery in an action in the High Court or, as the case may be, on anorder for the production of documents in an action in the Court ofSession.

Improvement notices.

21. If an inspector is of the opinion that a person

• (A) is contravening one or more of the relevant statutoryprovisions; or

• (B) has contravened one or more of those provisions incircumstances that make it likely that the contravention willcontinue or be repeated, he may serve on him a notice (in this Part referred to as “animprovement notice”) stating that he is of that opinion,specifying the provision or provisions as to which he is of thatopinion, giving particulars of the reasons why he is of thatopinion, and requiring that person to remedy the contraventionor, as the case may be, the matters occasioning it within suchperiod (ending not earlier than the period within which anappeal against the notice can be brought under section 24) asmay be specified in the notice.

Prohibition notices.

22. (1) This section applies to any activities which are being or areabout to be carried on by or under the control of any person, beingactivities to or in relation to which any of the relevant statutoryprovisions apply or will, if the activities are so carried on, apply.

(2) If as regards any activities to which this section applies aninspector is of the opinion that, as carried on or about to be carried on

Section 10 page 13

by or under the control of the person in question, the activities involveor, as the case may be, will involve a risk of serious personal injury, theinspector may serve on that person a notice (in this Part referred to as“a prohibition notice”).

(3) A prohibition notice shall

• (A) state that the inspector is of the said opinion; • (B) specify the matters which in his opinion give or, as the case

may be, will give rise to the said risk; • (C) where in his opinion any of those matters involves or, as

the case may be, will involve a contravention of any of therelevant statutory provisions, state that he is of that opinion,specify the provision or provisions as to which he is of thatopinion, and give particulars of the reasons why he is of thatopinion; and

• (D) direct that the activities to which the notice relates shall notbe carried on by or under the control of the person on whomthe notice is served unless the matters specified in the noticein pursuance of paragraph (B) above and any associatedcontraventions of provisions so specified in pursuance ofparagraph (C) above have been remedied.

(4) A direction given in pursuance of subsection (3)(D) above shalltake immediate effect if the inspector is of the opinion, and states it,that the risk of serious personal injury is or, as the case may be, will beimminent, and shall have effect at the end of a period specified in thenotice in any other case.

Restrictions on disclosure of information. 28. (1) In this and the two following subsections

• (A) “relevant information” means information obtained by aperson under section 27(1) or furnished to any person inpursuance of a requirement imposed by any of the relevantstatutory provisions; and

• (B) “the recipient”, in relation to any relevant information,means the person by whom that information was so obtainedor to whom that information was so furnished, as the case maybe.

(2) Subject to the following subsection, no relevant information shallbe disclosed without the consent of the person by whom it wasfurnished.

(3) The preceding subsection shall not apply to

• (A) disclosure of information to the Commission, theExecutive, a government department or any enforcingauthority;

• (B) without prejudice to paragraph (A) above, disclosure by therecipient of information to any person for the purpose of anyfunction conferred on the recipient by or under any of therelevant statutory provisions;

• (C) without prejudice to paragraph (A) above, disclosure by therecipient of information to

• (i) an officer of a local authority who is authorised by thatauthority to receive it,

• (ii) an officer of a water authority or water development boardwho is authorised by that authority or board to receive it,

• (iii) an officer of a river purification board who is authorised by

Section 10 page 14

that board to receive it, or • (iv) a constable authorised by a chief officer of police to receive

it; • (D) disclosure by the recipient of information in a form

calculated to prevent it from being identified as relating to aparticular person or case;

• (E) disclosure of information for the purposes of any legalproceedings or any investigation or inquiry held by virtue ofsection 14(2), or for the purposes of a report of any suchproceedings or inquiry or of a special report made by virtue ofsection 14(2).

(4) In the preceding subsection any reference to the Commission, theExecutive, a government department or an enforcing authorityincludes respectively a reference to an officer of that body or authority(including, in the case of an enforcing authority, any inspectorappointed by it), and also, in the case of a reference to theCommission, includes a reference to

• (A) a person performing any functions of the Commission orthe Executive on its behalf by virtue of section 13(1)(A);

• (B) an officer of a body which is so performing any suchfunctions; and

• (C) an adviser appointed in pursuance of section 13(1)(D).

(5) A person to whom information is disclosed in pursuance ofsubsection (3) above shall not use the information for a purpose otherthan

• (A) in a case falling within paragraph (A) of that subsection, apurpose of the Commission or of the Executive or of thegovernment department in question, or the purposes of theenforcing authority in question in connection with the relevantstatutory provisions, as the case may be;

• (B) in the case of information given to an officer of a localauthority or of a water authority or of a river purification boardor water development board, the purposes of the authority orboard in connection with the relevant statutory provisions orany enactment whatsoever relating to public health, publicsafety or the protection of the environment;

• (C) in the case of information given to a constable, thepurposes of the police in connection with the relevant statutoryprovisions or any enactment whatsoever relating to publichealth, public safety or the safety of the State.

(6) In subsections (3)(C) and (5) above, before 16th May 1975, thereferences to a water authority in their application to Scotland shall beconstrued as references to a regional water board.

(7) A person shall not disclose any information obtained by him as aresult of the exercise of any power conferred by section 14(4)(A) or 20(including, in particular, any information with respect to any tradesecret obtained by him in any premises entered by him by virtue of anysuch power) except

• (A) for the purposes of his functions; or • (B) for the purposes of any legal proceedings or any

investigation or inquiry held by virtue of section 14(2) or for thepurposes of a report of any such proceedings or inquiry or of aspecial report made by virtue of section 14(2); or

• (C) with the relevant consent.

Section 10 page 15

In this subsection “the relevant consent” means, in the case ofinformation furnished in pursuance of a requirement imposed undersection 20, the consent of the person who furnished it, and, in anyother case, the consent of a person having responsibilities in relationto the premises where the information was obtained.

(8) • Notwithstanding anything in the preceding subsection aninspector shall, in circumstances in which it is necessary to doso for the purpose of assisting in keeping persons (or therepresentatives of persons) employed at any premisesadequately informed about matters affecting their health,safety and welfare, give to such persons or theirrepresentatives the following descriptions of information, that isto say

• (A) factual information obtained by him as mentioned in thatsubsection which relates to those premises or anything whichwas or is therein or was or is being done therein; and

• (B) information with respect to any action which he has takenor proposes to take in or in connection with those premises inthe performance of his functions; and, where an inspector does as aforesaid, he shall give thelike information to the employer of the first- mentioned persons.

36. (1) Where the commission by any person of an offence under anyof the relevant statutory provisions is due to the act or default of someother person, that other person shall be guilty of the offence, and aperson may be charged with and convicted of the offence by virtue ofthis subsection whether or not proceedings are taken against the first-mentioned person.

(2) Where there would be or have been the commission of an offenceunder section 33 by the Crown but for the circumstance that thatsection does not bind the Crown, and that fact is due to the act ordefault of a person other than the Crown, that person shall be guilty ofthe offence which, but for that circumstance, the Crown would becommitting or would have committed, and may be charged with andconvicted of that offence accordingly.

(3) The preceding provisions of this section are subject to anyprovision made by virtue of section 15(6). Offences by bodiescorporate.

37. (1) Where an offence under any of the relevant statutoryprovisions committed by a body corporate is proved to have beencommitted with the consent or connivance of, or to have beenattributable to any neglect on the part of, any director, manager,secretary or other similar officer of the body corporate or a person whowas purporting to act in any such capacity, he as well as the bodycorporate shall be guilty of that offence and shall be liable to beproceeded against and punished accordingly.

(2) Where the affairs of a body corporate are managed by itsmembers, the preceding subsection shall apply in relation to the actsand defaults of a member in connection with his functions ofmanagement as if he were a director of the body corporate.

Section 10 page 16

Civil liability. (Management Regulations have amended this)47. (1) Nothing in this Part shall be construed

• (A) as conferring a right of action in any civil proceedings inrespect of any failure to comply with any duty imposed bysections 2 to 7 or any contravention of section 8; or

• (B) as affecting the extent (if any) to which breach of a dutyimposed by any of the existing statutory provisions isactionable; or

• (C) as affecting the operation of section 12 of the NuclearInstallations Act 1965 {1965 c. 57.} (right to compensation byvirtue of certain provisions of that Act).

(2) Breach of a duty imposed by health and safety regulations oragricultural health and safety regulations shall, so far as it causesdamage, be actionable except in so far as the regulations provideotherwise.

(3) No provision made by virtue of section 15(6) (B) shall afford adefence in any civil proceedings, whether brought by virtue ofsubsection (2) above or not; but as regards any duty imposed asmentioned in subsection (2) above health and safety regulations or, asthe case may be, agricultural health and safety regulations mayprovide for any defence specified in the regulations to be available inany action for breach of that duty.

(4) Subsections (1)(A) and (2) above are without prejudice to any rightof action which exists apart from the provisions of this Act, andsubsection (3) above is without prejudice to any defence which may beavailable apart from the provisions of the regulations there mentioned.

(5) Any term of an agreement which purports to exclude or restrict theoperation of subsection (2) above, or any liability arising by virtue ofthat subsection shall be void, except in so far as health and safetyregulations or, as the case may be, agricultural health and safetyregulations provide otherwise.

(6) In this section “damage” includes the death of, or injury to, anyperson (including any disease and any impairment of a person’sphysical or mental condition).

Changes of the main act to include police officers“Application of Part to police.

51A. - (1) For the purposes of this Part, a person who, otherwisethan under a contract of employment, holds the office of constable oran appointment as police cadet shall be treated as an employee of therelevant officer.

(2) In this section “the relevant officer”-

(a) in relation to a member of a police force or a special constableor police cadet appointed for a police area, means the chief officerof police,(b) in relation to a person holding office under section 9(1)(b) or55(1)(b) of the Police Act 1997 (police members of the NationalCriminal Intelligence Service and the National Crime Squad)means the Director General of the National Criminal IntelligenceService or, as the case may be, the Director General of theNational Crime Squad, and(c) in relation to any other person holding the office of constable or

Section 10 page 17

an appointment as police cadet, means the person who has thedirection and control of the body of constables or cadets inquestion.

“(2A) For the purposes of this Part the relevant officer, as defined by subsection (2)(a) or (c) above, shall be treated as a corporation sole.

(2B) Where, in a case in which the relevant officer, as sodefined, is guilty of an offence by virtue of this section, it is proved-

(a) that the officer-holder personally consented to the commissionof the offence,(b) that he personally connived in its commission, or(c) that the commission of the offence was attributable to personalneglect on his part, the office-holder (as well as the corporationsole) shall be guilty of the offence and shall be liable to beproceeded against and punished accordingly.

(2C) In subsection (2B) above “the office-holder”, in relation tothe relevant officer, means an individual who, at the time of theconsent, connivance or neglect-

(a) held the office or other position mentioned in subsection (2)above as the office or position of that officer; or

(b) was for the time being responsible for exercising andperforming the powers and duties of that office or position.

(2D) The provisions mentioned in subsection (2E) below (whichimpose the same liability for unlawful conduct of constables onpersons having their direction or control as would arise if theconstables were employees of those persons) do not apply to anyliability by virtue of this Part.

(2E) Those provisions are-

(a) section 39 of the Police (Scotland) Act 1967;(b) section 88(1) of the Police Act 1996;(c) section 97(9) of that Act;(d) paragraph 7(1) of Schedule 8 to the Police Act 1997;(e) paragraph 14(1) of Schedule 3 to the Criminal Justice andPolice Act 2001;(f) section 28 of the Serious Organised Crime and Police Act 2005.

(2F) In the application of this section to Scotland-

(a) subsection (2A) shall have effect as if for the words“corporation sole” there were substituted “distinct juristic person (thatis to say, as a juristic person distinct from the individual who for thetime being is the office-holder)”;

(b) subsection (2B) shall have effect as if for the words“corporation sole” there were substituted “juristic person”; and

(c) subsection (2C) shall have effect as if for the words“subsection (2B)” there were substituted “subsections (2A) and (2B)”.”

(2) For subsection (2) of each of the following sections of theEmployment Rights Act 1996 (c. 18)-

(a) section 49A (right of police officers not to suffer detriment inrelation to health and safety issues), and(b) section 134A (right of police officers not to be unfairly dismissed inrelation to health and safety issues), substitute the subsection set outin subsection (3) of this section.

Section 10 page 18

(3) The subsection to be substituted is-

"(2) In this section “the relevant officer”, in relation to-

(a) a person holding the office of constable, or(b) a person holding an appointment as a police cadet, means the

person who under section 51A of the Health and Safety at Work etc.Act 1974 is to be treated as his employer for the purposes of Part 1 ofthat Act.”

(4) The following provisions of the Police Reform Act 2002 (c. 30)(which relate to duties and rights in relation to the health and safety ofpolice) cease to have effect-

(a) section 95, and(b) in Schedule 8, the reference to section 5 of the Police (Health

and Safety) Act 1997 (c. 42).(5) The amendments made by subsections (1) to (3) have effect

for the purposes of any proceedings in or before a court or tribunal thatare commenced on or after the day on which this Act is passed as ifthe amendments had come into force on 1st July 1998.

(6) For the purposes of proceedings commenced against a personin his capacity by virtue of this section as a corporation sole (or, inScotland, as a distinct juristic person) anything done by or in relationto that person before the passing of this Act shall be deemed to havebeen done by or in relation to that person in that capacity.

(7) No person shall be liable by virtue of section 51A(2B) of theHealth and Safety at Work etc. Act 1974 (c. 37) in respect of anythingoccurring before the passing of this Act.

(3) For the purposes of regulations under section 2(4) above-

(a) the Police Federation for England and Wales shall be treatedas a recognised trade union recognised by each chief officer of policein England and Wales,

(b) the Police Federation for Scotland shall be treated as arecognised trade union recognised by each chief officer of police inScotland, and

(c) any body recognised by the Secretary of State for thepurposes of section 64 of the Police Act 1996 shall be treated as arecognised trade union recognised by each chief officer of police inEngland, Wales and Scotland.

(4) Regulations under section 2(4) above may provide, in relationto persons falling within subsection (2)(b) or (c) above, that a bodyspecified in the regulations is to be treated as a recognised trade unionrecognised by such person as may be specified."

Meaning of work and at work.

52. (1) For the purposes of this Part

• (A) “work” means work as an employee or as a self-employedperson;

• (B) an employee is at work throughout the time when he is inthe course of his employment, but not otherwise; and

• (C) a self-employed person is at work throughout such time ashe devotes to work as a self-employed person; and, subject to the following subsection, the expressions

Section 10 page 19

“work” and “at work”, in whatever context, shall be construedaccordingly.

(2) Regulations made under this subsection may

• (A) extend the meaning of “work” and “at work” for thepurposes of this Part; and

• (B) in that connection provide for any of the relevant statutoryprovisions to have effect subject to such adaptations as maybe specified in the regulations.

(3) The power to make regulations under subsection (2) above shallbe exercisable

• (A) in relation to activities not relating exclusively to agriculturaloperations, by the Secretary of State;

• (B) in relation to activities relating exclusively to the relevantagricultural purposes, by the appropriate agriculture authority.

(4) Regulations under subsection (2) above in relation to activitiesfalling within subsection (3)(B) above may be either regulationsapplying to Great Britain and made by the Minister of Agriculture,Fisheries and Food and the Secretary of State acting jointly, orregulations applying to England and Wales only and made by the saidMinister, or regulations applying to Scotland only and made by theSecretary of State; and in subsection (3)(B) above “the appropriateagriculture authority” shall be construed accordingly.

• “article for use at work” means (A) any plant designed for use or operation (whetherexclusively or not) by persons at work, and (B) any article designed for use as a component in any suchplant;

• “code of practice” (without prejudice to section 16(8)) includesa standard, a specification and any other documentary form ofpractical guidance;

• “the Commission” has the meaning assigned by section 10(2); • “contract of employment” means a contract of employment or

apprenticeship (whether express or implied and, if express,whether oral or in writing);

• “credit-sale agreement” means an agreement for the sale ofgoods, under which the purchase price or part of it is payableby instalments, but which is not a conditional sale agreement;

• “employee” means an individual who works under a contract ofemployment, and related expressions shall be construedaccordingly;

• “the general purposes of this Part” has the meaning assignedby section 1;

• “health and safety regulations” has the meaning assigned bysection 15(1);

• “improvement notice” means a notice under section 21; • “inspector” means an inspector appointed under section 19; • “local authority” means

(A) in relation to England and Wales, a county council, theGreater London Council, a district council, a London boroughcouncil, the Common Council of the City of London, the Sub-Treasurer of the Inner Temple, or the Under-Treasurer of theMiddle Temple, (B) in relation to Scotland, a regional, islands or district councilexcept that before 16th May 1975 it means a town council orcounty council;

Section 10 page 20

• “offshore installation” means any installation which is intendedfor underwater exploitation of mineral resources or explorationwith a view to such exploitation;

• “personal injury” includes any disease and any impairment of aperson’s physical or mental condition;

• “plant” includes any machinery, equipment or appliance; • “premises” includes any place and, in particular, includes

(A) any vehicle, vessel, aircraft or hovercraft, (B)any installation on land (including the foreshore and otherland intermittently covered by water), any offshore installation,and any other installation (whether floating, or resting on theseabed or the subsoil thereof, or resting on other land coveredwith water or the subsoil thereof), and (C)any tent or movable structure;

• “prescribed” means prescribed by regulations made by theSecretary of State;

• “prohibition notice” means a notice under section 22; • “self-employed person” means an individual who works for

gain or reward otherwise than under a contract of employment,whether or not he himself employs others;

• “substance” means any natural or artificial substance, whetherin solid or liquid form or in the form of a gas or vapour;

• “substance for use at work” means any substance intended foruse (whether exclusively or not) by persons at work;

• “supply”, where the reference is to supplying articles orsubstances, means supplying them by way of sale, lease, hireor hire-purchase, whether as principal or agent for another.

Section 10 page 21

Section 10 page 22

The Management of Health and Safety at Work Regulations 1999

1. - (1) These Regulations may be cited as the Management ofHealth and Safety at Work Regulations 1999 and shall come into forceon 29th December 1999.

(2) In these Regulations - “the 1996 Act” means the Employment Rights Act 1996[4];“the assessment” means, in the case of an employer or self-employed person, the assessment made or changed by him inaccordance with regulation 3;“child” - (a) as respects England and Wales, means a person who is notover compulsory school age, construed in accordance with section8 of the Education Act 1996[5]; and

(b) as respects Scotland, means a person who is not over schoolage, construed in accordance with section 31 of the Education(Scotland) Act 1980[6];“employment business” means a business (whether or not carriedon with a view to profit and whether or not carried on in conjunctionwith any other business) which supplies persons (other thanseafarers) who are employed in it to work for and under the controlof other persons in any capacity;“fixed-term contract of employment” means a contract ofemployment for a specific term which is fixed in advance or whichcan be ascertained in advance by reference to some relevantcircumstance;“given birth” means delivered a living child or, after twenty-fourweeks of pregnancy, a stillborn child;“new or expectant mother” means an employee who is pregnant;who has given birth within the previous six months; or who isbreastfeeding;“the preventive and protective measures” means the measureswhich have been identified by the employer or by the self-employed person in consequence of the assessment as themeasures he needs to take to comply with the requirements andprohibitions imposed upon him by or under the relevant statutoryprovisions and by Part II of the Fire Precautions (Workplace)Regulations 1997[7];“young person” means any person who has not attained the age ofeighteen.

(3) Any reference in these Regulations to -

(a) a numbered regulation or Schedule is a reference to theregulation or Schedule in these Regulations so numbered; or

(b) a numbered paragraph is a reference to the paragraph sonumbered in the regulation in which the reference appears.

Risk assessment

3. - (1) Every employer shall make a suitable and sufficientassessment of -

(a) the risks to the health and safety of his employees to whichthey are exposed whilst they are at work; and

(b) the risks to the health and safety of persons not in hisemployment arising out of or in connection with the conduct by

Section 10 page 23

him of his undertaking,

for the purpose of identifying the measures he needs to take to complywith the requirements and prohibitions imposed upon him by or underthe relevant statutory provisions and by Part II of the Fire Precautions(Workplace) Regulations 1997.

(2) Every self-employed person shall make a suitable and sufficientassessment of -

(a) the risks to his own health and safety to which he is exposedwhilst he is at work; and

(b) the risks to the health and safety of persons not in hisemployment arising out of or in connection with the conduct by himof his undertaking,

for the purpose of identifying the measures he needs to take to complywith the requirements and prohibitions imposed upon him by or underthe relevant statutory provisions.

(3) Any assessment such as is referred to in paragraph (1) or (2)shall be reviewed by the employer or self-employed person who madeit if -

(a) there is reason to suspect that it is no longer valid; or

(b) there has been a significant change in the matters to which itrelates; and where as a result of any such review changes to anassessment are required, the employer or self-employed personconcerned shall make them.

(4) An employer shall not employ a young person unless he has,in relation to risks to the health and safety of young persons, made orreviewed an assessment in accordance with paragraphs (1) and (5).

(5) In making or reviewing the assessment, an employer whoemploys or is to employ a young person shall take particular account of -

(a) the inexperience, lack of awareness of risks and immaturity ofyoung persons;

(b) the fitting-out and layout of the workplace and the workstation;

(c) the nature, degree and duration of exposure to physical,biological and chemical agents;

(d) the form, range, and use of work equipment and the way inwhich it is handled;

(e) the organisation of processes and activities;

(f) the extent of the health and safety training provided or to beprovided to young persons; and

(g) risks from agents, processes and work listed in the Annex toCouncil Directive 94/33/EC[8] on the protection of young people atwork.

(6) Where the employer employs five or more employees, he shall

Section 10 page 24

record -

(a) the significant findings of the assessment; and

(b) any group of his employees identified by it as being especiallyat risk.

Principles of prevention to be applied

4. Where an employer implements any preventive and protectivemeasures he shall do so on the basis of the principles specified inSchedule 1 to these Regulations.

Health and safety arrangements

5. - (1)Every employer shall make and give effect to sucharrangements as are appropriate, having regard to the nature of hisactivities and the size of his undertaking, for the effective planning,organisation, control, monitoring and review of the preventive andprotective measures.

(2) Where the employer employs five or more employees, he shallrecord the arrangements referred to in paragraph (1).

Health surveillance

6. Every employer shall ensure that his employees are providedwith such health surveillance as is appropriate having regard to therisks to their health and safety which are identified by the assessment.

Health and safety assistance

7. - (1)Every employer shall, subject to paragraphs (6) and (7),appoint one or more competent persons to assist him in undertakingthe measures he needs to take to comply with the requirements andprohibitions imposed upon him by or under the relevant statutoryprovisions and by Part II of the Fire Precautions (Workplace)Regulations 1997.

(2) Where an employer appoints persons in accordance withparagraph (1), he shall make arrangements for ensuring adequate co-operation between them.

(3) The employer shall ensure that the number of personsappointed under paragraph (1), the time available for them to fulfil theirfunctions and the means at their disposal are adequate having regardto the size of his undertaking, the risks to which his employees areexposed and the distribution of those risks throughout the undertaking.

(4) The employer shall ensure that - (a) any person appointed by him in accordance with paragraph (1)who is not in his employment -

(i) is informed of the factors known by him to affect, orsuspected by him of affecting, the health and safety of anyother person who may be affected by the conduct of hisundertaking, and

(ii) has access to the information referred to in regulation 10;and

(b) any person appointed by him in accordance with paragraph (1)

Section 10 page 25

is given such information about any person working in hisundertaking who is -

(i) employed by him under a fixed-term contract ofemployment, or

(ii) employed in an employment business,

as is necessary to enable that person properly to carry out thefunction specified in that paragraph.

(5) A person shall be regarded as competent for the purposes ofparagraphs (1) and (8) where he has sufficient training and experienceor knowledge and other qualities to enable him properly to assist inundertaking the measures referred to in paragraph (1).

(6) Paragraph (1) shall not apply to a self-employed employer whois not in partnership with any other person where he has sufficienttraining and experience or knowledge and other qualities properly toundertake the measures referred to in that paragraph himself.

(7) Paragraph (1) shall not apply to individuals who are employersand who are together carrying on business in partnership where atleast one of the individuals concerned has sufficient training andexperience or knowledge and other qualities -

(a) properly to undertake the measures he needs to take tocomply with the requirements and prohibitions imposed upon himby or under the relevant statutory provisions; and

(b) properly to assist his fellow partners in undertaking themeasures they need to take to comply with the requirements andprohibitions imposed upon them by or under the relevant statutoryprovisions.

(8) Where there is a competent person in the employer’semployment, that person shall be appointed for the purposes ofparagraph (1) in preference to a competent person not in hisemployment.

Procedures for serious and imminent danger and for dangerareas

8. - (1)Every employer shall -

(a) establish and where necessary give effect to appropriateprocedures to be followed in the event of serious and imminentdanger to persons at work in his undertaking;

(b) nominate a sufficient number of competent persons toimplement those procedures in so far as they relate to theevacuation from premises of persons at work in his undertaking;and

(c) ensure that none of his employees has access to any areaoccupied by him to which it is necessary to restrict access ongrounds of health and safety unless the employee concerned hasreceived adequate health and safety instruction.

(2) Without prejudice to the generality of paragraph (1)(a), theprocedures referred to in that sub-paragraph shall -

Section 10 page 26

(a) so far as is practicable, require any persons at work who areexposed to serious and imminent danger to be informed of thenature of the hazard and of the steps taken or to be taken toprotect them from it;

(b) enable the persons concerned (if necessary by takingappropriate steps in the absence of guidance or instruction and inthe light of their knowledge and the technical means at theirdisposal) to stop work and immediately proceed to a place ofsafety in the event of their being exposed to serious, imminent andunavoidable danger; and

(c) save in exceptional cases for reasons duly substantiated(which cases and reasons shall be specified in those procedures),require the persons concerned to be prevented from resumingwork in any situation where there is still a serious and imminentdanger.

(3) A person shall be regarded as competent for the purposes ofparagraph (1)(b) where he has sufficient training and experience orknowledge and other qualities to enable him properly to implement theevacuation procedures referred to in that sub-paragraph.

Contacts with external services

9. Every employer shall ensure that any necessary contacts withexternal services are arranged, particularly as regards first-aid,emergency medical care and rescue work.

Information for employees

10. - (1) Every employer shall provide his employees withcomprehensible and relevant information on -

(a) the risks to their health and safety identified by theassessment;

(b) the preventive and protective measures;

(c) the procedures referred to in regulation 8(1)(a) and themeasures referred to in regulation 4(2)(a) of the Fire Precautions(Workplace) Regulations 1997;

(d) the identity of those persons nominated by him in accordancewith regulation 8(1)(b) and regulation 4(2)(b) of the FirePrecautions (Workplace) Regulations 1997; and

(e) the risks notified to him in accordance with regulation 11(1)(c).

(2) Every employer shall, before employing a child, provide aparent of the child with comprehensible and relevant information on -

(a) the risks to his health and safety identified by the assessment;

(b) the preventive and protective measures; and

(c) the risks notified to him in accordance with regulation 11(1)(c).

(3) The reference in paragraph (2) to a parent of the child includes-

(a) in England and Wales, a person who has parental

Section 10 page 27

responsibility, within the meaning of section 3 of the Children Act1989[9], for him; and

(b) in Scotland, a person who has parental rights, within themeaning of section 8 of the Law Reform (Parent and Child)(Scotland) Act 1986[10] for him.

Co-operation and co-ordination

11. - (1) Where two or more employers share a workplace(whether on a temporary or a permanent basis) each such employershall -

(a) co-operate with the other employers concerned so far as isnecessary to enable them to comply with the requirements andprohibitions imposed upon them by or under the relevant statutoryprovisions and by Part II of the Fire Precautions (Workplace)Regulations 1997;

(b) (taking into account the nature of his activities) take allreasonable steps to co-ordinate the measures he takes to complywith the requirements and prohibitions imposed upon him by orunder the relevant statutory provisions and by Part II of the FirePrecautions (Workplace) Regulations 1997 with the measures theother employers concerned are taking to comply with therequirements and prohibitions imposed upon them by thatlegislation; and

(c) take all reasonable steps to inform the other employersconcerned of the risks to their employees’ health and safety arisingout of or in connection with the conduct by him of his undertaking.

(2) Paragraph (1) (except in so far as it refers to Part II of the FirePrecautions (Workplace) Regulations 1997) shall apply to employerssharing a workplace with self-employed persons and to self-employedpersons sharing a workplace with other self-employed persons as itapplies to employers sharing a workplace with other employers; andthe references in that paragraph to employers and the reference in thesaid paragraph to their employees shall be construed accordingly.

Persons working in host employers’ or self-employed persons’undertakings

12. - (1) Every employer and every self-employed person shallensure that the employer of any employees from an outsideundertaking who are working in his undertaking is provided withcomprehensible information on -

(a) the risks to those employees' health and safety arising out ofor in connection with the conduct by that first-mentioned employeror by that self-employed person of his undertaking; and

(b) the measures taken by that first-mentioned employer or by thatself-employed person in compliance with the requirements andprohibitions imposed upon him by or under the relevant statutoryprovisions and by Part II of the Fire Precautions (Workplace)Regulations 1997 in so far as the said requirements andprohibitions relate to those employees.

(2) Paragraph (1) (except in so far as it refers to Part II of the FirePrecautions (Workplace) Regulations 1997) shall apply to a self-

Section 10 page 28

employed person who is working in the undertaking of an employer ora self-employed person as it applies to employees from an outsideundertaking who are working therein; and the reference in thatparagraph to the employer of any employees from an outsideundertaking who are working in the undertaking of an employer or aself-employed person and the references in the said paragraph toemployees from an outside undertaking who are working in theundertaking of an employer or a self-employed person shall beconstrued accordingly.

(3) Every employer shall ensure that any person working in hisundertaking who is not his employee and every self-employed person(not being an employer) shall ensure that any person working in hisundertaking is provided with appropriate instructions andcomprehensible information regarding any risks to that person's healthand safety which arise out of the conduct by that employer or self-employed person of his undertaking.

(4) Every employer shall -

(a) ensure that the employer of any employees from an outsideundertaking who are working in his undertaking is provided withsufficient information to enable that second-mentioned employer toidentify any person nominated by that first mentioned employer inaccordance with regulation 8(1)(b) to implement evacuationprocedures as far as those employees are concerned; and

(b) take all reasonable steps to ensure that any employees froman outside undertaking who are working in his undertaking receivesufficient information to enable them to identify any personnominated by him in accordance with regulation 8(1)(b) toimplement evacuation procedures as far as they are concerned.

(5) Paragraph (4) shall apply to a self-employed person who isworking in an employer's undertaking as it applies to employees froman outside undertaking who are working therein; and the reference inthat paragraph to the employer of any employees from an outsideundertaking who are working in an employer's undertaking and thereferences in the said paragraph to employees from an outsideundertaking who are working in an employer’s undertaking shall beconstrued accordingly.

Capabilities and training

13. - (1) Every employer shall, in entrusting tasks to hisemployees, take into account their capabilities as regards health andsafety.

(2) Every employer shall ensure that his employees are providedwith adequate health and safety training -

(a) on their being recruited into the employer's undertaking; and

(b) on their being exposed to new or increased risks because of -

(i) their being transferred or given a change of responsibilitieswithin the employer’s undertaking,

(ii) the introduction of new work equipment into or a changerespecting work equipment already in use within theemployer’s undertaking,

Section 10 page 29

(iii) the introduction of new technology into the employer’sundertaking, or

(iv) the introduction of a new system of work into or a changerespecting a system of work already in use within theemployer's undertaking.

(3) The training referred to in paragraph (2) shall -

(a) be repeated periodically where appropriate;

(b) be adapted to take account of any new or changed risks to thehealth and safety of the employees concerned; and

(c) take place during working hours.

Employees’ duties

14. - (1) Every employee shall use any machinery, equipment,dangerous substance, transport equipment, means of production orsafety device provided to him by his employer in accordance both withany training in the use of the equipment concerned which has beenreceived by him and the instructions respecting that use which havebeen provided to him by the said employer in compliance with therequirements and prohibitions imposed upon that employer by orunder the relevant statutory provisions.

(2) Every employee shall inform his employer or any otheremployee of that employer with specific responsibility for the healthand safety of his fellow employees -

(a) of any work situation which a person with the first-mentionedemployee’s training and instruction would reasonably considerrepresented a serious and immediate danger to health and safety;and

(b) of any matter which a person with the first-mentionedemployee’s training and instruction would reasonably considerrepresented a shortcoming in the employer’s protectionarrangements for health and safety,

in so far as that situation or matter either affects the health andsafety of that first mentioned employee or arises out of or inconnection with his own activities at work, and has not previouslybeen reported to his employer or to any other employee of thatemployer in accordance with this paragraph.

Risk assessment in respect of new or expectant mothers

16. - (1) Where -

(a) the persons working in an undertaking include women of child-bearing age; and

(b) the work is of a kind which could involve risk, by reason of hercondition, to the health and safety of a new or expectant mother, orto that of her baby, from any processes or working conditions, orphysical, biological or chemical agents, including those specified inAnnexes I and II of Council Directive 92/85/EEC[11] on theintroduction of measures to encourage improvements in the safety

Section 10 page 30

and health at work of pregnant workers and workers who haverecently given birth or are breastfeeding, the assessment requiredby regulation 3(1) shall also include an assessment of such risk.

(2) Where, in the case of an individual employee, the taking of anyother action the employer is required to take under the relevantstatutory provisions would not avoid the risk referred to in paragraph(1) the employer shall, if it is reasonable to do so, and would avoidsuch risks, alter her working conditions or hours of work.

(3) If it is not reasonable to alter the working conditions or hours ofwork, or if it would not avoid such risk, the employer shall, subject tosection 67 of the 1996 Act suspend the employee from work for so longas is necessary to avoid such risk.

(4) In paragraphs (1) to (3) references to risk, in relation to riskfrom any infectious or contagious disease, are references to a level ofrisk at work which is in addition to the level to which a new or expectantmother may be expected to be exposed outside the workplace.

Certificate from registered medical practitioner in respect of newor expectant mothers

17. Where -

(a) a new or expectant mother works at night; and

(b) a certificate from a registered medical practitioner or aregistered midwife shows that it is necessary for her health orsafety that she should not be at work for any period of such workidentified in the certificate,

the employer shall, subject to section 67 of the 1996 Act, suspend herfrom work for so long as is necessary for her health or safety.

Notification by new or expectant mothers

18. - (1) Nothing in paragraph (2) or (3) of regulation 16 shallrequire the employer to take any action in relation to an employee untilshe has notified the employer in writing that she is pregnant, has givenbirth within the previous six months, or is breastfeeding.

(2) Nothing in paragraph (2) or (3) of regulation 16 or in regulation17 shall require the employer to maintain action taken in relation to anemployee -

(a) in a case - (i) to which regulation 16(2) or (3) relates; and

(ii) where the employee has notified her employer that she ispregnant, where she has failed, within a reasonable time ofbeing requested to do so in writing by her employer, to producefor the employer's inspection a certificate from a registeredmedical practitioner or a registered midwife showing that she ispregnant;

(b) once the employer knows that she is no longer a new orexpectant mother; or

(c) if the employer cannot establish whether she remains a new orexpectant mother.

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Provisions as to liability21. Nothing in the relevant statutory provisions shall operate so as

to afford an employer a defence in any criminal proceedings for acontravention of those provisions by reason of any act or default of -

(a) an employee of his, or

(b) a person appointed by him under regulation 7.

Restriction of civil liability for breach of statutory duty

22. Breach of a duty imposed on an employer by theseRegulations shall not confer a right of action in any civil proceedingsinsofar as that duty applies for the protection of persons not in hisemployment (as amended by the Management of Health and Safety atWork and Fire Precautions (Workplace) (Amendment) Regulations2003.).

SCHEDULE 1Regulation 4

GENERAL PRINCIPLES OF PREVENTION

(This Schedule specifies the general principles of prevention set out inArticle 6(2) of Council Directive 89/391/EEC)[24]

(a) avoiding risks;

(b) evaluating the risks which cannot be avoided;

(c) combating the risks at source;

(d) adapting the work to the individual, especially as regards thedesign of workplaces, the choice of work equipment and the choiceof working and production methods, with a view, in particular, toalleviating monotonous work and work at a predetermined work-rate and to reducing their effect on health;

(e) adapting to technical progress;

(f) replacing the dangerous by the non-dangerous or the lessdangerous;

(g) developing a coherent overall prevention policy which coverstechnology, organisation of work, working conditions, socialrelationships and the influence of factors relating to the workingenvironment;

(h) giving collective protective measures priority over individualprotective measures; and

(i) giving appropriate instructions to employees.

Section 10 page 32

Police (Health and Safety) Act 1997

1997 Chapter 42

ARRANGEMENT OF SECTIONSSection1. Application of Part I of Health and Safety at Work etc. Act 1974 to

police.2. Meaning of “at work” in relation to constables.3. Right of police not to suffer detriment in health and safety cases.4. Right of police not to be dismissed on certain grounds relating to

health and safety.5. Payment of damages, compensation and fines out of certain funds.6. Consequential amendments.7. Corresponding provision for Northern Ireland.8. Financial provision.9. Short title, commencement and extent.

------------------------------------------------------------------------

An Act to make provision about the health, safety and welfare at workof members of police forces, special constables, other persons havingthe powers or privileges of a constable, and police cadets; and forconnected purposes.

[21st March 1997]

BE IT ENACTED by the Queen’s most Excellent Majesty, by and withthe advice and consent of the Lords Spiritual and Temporal, andCommons, in this present Parliament assembled, and by the authorityof the same, as follows:-

Application of Part I of Health and Safety at Work etc. Act 1974 topolice.

1. After section 51 of the Health and Safety at Work etc. Act 1974there is inserted-

“Application of Part to police.51A. - (1) For the purposes of this Part, a person who, otherwise

than under a contract of employment, holds the office of constable oran appointment as police cadet shall be treated as an employee of therelevant officer.

(2) In this section “the relevant officer”-

(a) in relation to a member of a police force or a special constableor police cadet appointed for a police area, means the chief officer ofpolice,

(b) in relation to a person holding office under section 9(1)(b) or55(1)(b) of the Police Act 1997 (police members of the NationalCriminal Intelligence Service and the National Crime Squad) meansthe Director General of the National Criminal Intelligence Service or, asthe case may be, the Director General of the National Crime Squad,and

(c) in relation to any other person holding the office of

Section 10 page 33

constable or an appointment as police cadet, means the person whohas the direction and control of the body of constables or cadets inquestion.

(3) For the purposes of regulations under section 2(4) above-

(a) the Police Federation for England and Wales shall be treatedas a recognised trade union recognised by each chief officer of policein England and Wales,

(b) the Police Federation for Scotland shall be treated as arecognised trade union recognised by each chief officer of police inScotland, and

(c) any body recognised by the Secretary of State for thepurposes of section 64 of the Police Act 1996 shall be treated as arecognised trade union recognised by each chief officer of police inEngland, Wales and Scotland.

(4) Regulations under section 2(4) above may provide, in relationto persons falling within subsection (2)(b) or (c) above, that a bodyspecified in the regulations is to be treated as a recognised trade unionrecognised by such person as may be specified."

Meaning of "at work" in relation to constables.2. In section 52 of the Health and Safety at Work etc. Act 1974

(meaning of work and at work) in subsection (1) for the word “and” atthe end of paragraph (b) there is substituted- “(bb) a person holding the office of constable is at work throughoutthe time when he is on duty, but not otherwise; and”. Right of police notto suffer detriment in health and safety cases.

3. In Part V of the Employment Rights Act 1996 (protection fromsuffering detriment in employment) after section 49 there is inserted-

“Application to police of rights relating to health and safetyApplication to police of section 44 and related provisions.

49A. - (1) For the purposes of section 44, and of sections 48 and49 so far as relating to that section, the holding, otherwise than undera contract of employment, of the office of constable or an appointmentas police cadet shall be treated as employment by the relevant officerunder a contract of employment.

(2) In this section “the relevant officer”-

(a) in relation to a member of a police force or a special constableor police cadet appointed for a police area, means the chief officer ofpolice,

(b) in relation to a person holding office under section 9(1)(b) or55(1)(b) of the Police Act 1997 (police members of the NationalCriminal Intelligence Service and the National Crime Squad) meansthe Director General of the National Criminal Intelligence Service or, asthe case may be, the Director General of the National Crime Squad,and

(c) in relation to any other person holding the office of constable or anappointment as police cadet, means the person who has the directionand control of the body of constables or cadets in question."Right ofpolice not to be dismissed on certain grounds relating to health andsafety.

4. In Chapter III of Part X of the Employment Rights Act 1996 (right

Section 10 page 34

not to be unfairly dismissed) after section 134 there is inserted-

"Application to police.134A. - (1) For the purposes of section 100, and of the other

provisions of this Part so far as relating to the right not to be unfairlydismissed in a case where the dismissal is unfair by virtue of section100, the holding, otherwise than under a contract of employment, ofthe office of constable or an appointment as police cadet shall betreated as employment by the relevant officer under a contract ofemployment.

(2) In this section “the relevant officer”-

(a) in relation to a member of a police force or a special constableor police cadet appointed for a police area, means the chief officer ofpolice,

(b) in relation to a person holding office under section 9(1)(b) or55(1)(b) of the Police Act 1997 (police members of the NationalCriminal Intelligence Service and the National Crime Squad) meansthe Director General of the National Criminal Intelligence Service or, asthe case may be, the Director General of the National Crime Squad,and

(c) in relation to any other person holding the office of constable oran appointment as police cadet, means the person who has thedirection and control of the body of constables or cadets in question.“Payment of damages, compensation and fines out of certain funds.

5. - (1) There shall be paid out of the relevant fund-

(a) any damages, costs or expenses awarded against theresponsible officer in any proceedings brought against him by virtue ofsection 51A(1) of the Health and Safety at Work etc. Act 1974 inrespect of a breach of health and safety regulations and any costs orexpenses incurred by him in any such proceedings so far as notrecovered by him in the proceedings,

(b) any sum required in settlement of any claim made against theresponsible officer by virtue of section 51A(1) of that Act in respect ofan alleged breach of health and safety regulations, if the settlement isapproved by the relevant authority,

(c) any compensation, costs or expenses awarded against theresponsible officer in any proceedings brought against him-

(i) under section 48 of the Employment Rights Act 1996 by virtueof section 49A of that Act, or

(ii) under section 111 of that Act by virtue of section 134A of thatAct,

and any costs or expenses incurred by him in any such proceedingsso far as not recovered by him in the proceedings, and

(d) any sum required in settlement of any claim made against theresponsible officer as mentioned in paragraph (c)(i) or (ii) above, if thesettlement is approved by the relevant authority.

(2) Any fine imposed on the responsible officer on conviction of anoffence under Part I of the Health and Safety at Work etc. Act 1974 byvirtue of section 51A(1) of that Act, any costs or expenses ordered to

Section 10 page 35

be paid by him on conviction of such an offence and any costs orexpenses incurred by him in connection with proceedings for such anoffence may, with the approval of the relevant authority, be paid out ofthe relevant fund.

(3) In this section-

“health and safety regulations” has the same meaning as in Part I ofthe Health and Safety at Work etc. Act 1974;

“the relevant authority” means-

(a) in relation to a chief officer of police in England and Wales, thepolice authority,

(b) in relation to a chief officer of police in Scotland, the policeauthority or, in the case of a combined area, the joint police board(within the meaning of the Police (Scotland) Act 1967),

(c) in relation to the Director General of the National CriminalIntelligence Service, the Service Authority for the National CriminalIntelligence Service, and

(d) in relation to the Director General of the National Crime Squad, theService Authority for the National Crime Squad, and

(e) in relation to any other responsible officer, the authority by whomthe constables or cadets in question are paid;

“the relevant fund” means-

(a) in relation to a chief officer of police, the police fund,

(b) in relation to the Director General of the National CriminalIntelligence Service, the NCIS service fund, and

(c) in relation to the Director General of the National Crime Squad, theNCS service fund,

(d) in relation to any other responsible officer, money provided by therelevant authority;

“the responsible officer” means-

(a) in relation to a police force or police cadets appointed for a policearea, the chief officer of police,

(b) in relation to the National Criminal Intelligence Service or theNational Crime Squad, the Director General of the National CriminalIntelligence Service or the Director General of the National CrimeSquad, and

(c) in relation to any other body of constables or cadets, the personwho has the direction and control of the body of constables or cadetsin question.Consequential amendments. 6. - (1) In section 53(1) of theHealth and Safety at Work etc. Act 1974 (general interpretation of PartI), in the definition of “employee” after “employment” there is inserted"or is treated by section 51A as being an employee".

Section 10 page 36

(2) In section 200 of the Employment Rights Act 1996 (whichspecifies provisions of the Act which do not apply to employment undera contract of employment in police service or to persons engaged insuch employment), in subsection (1)-

(a) the word “44” is hereby repealed, and

(b) after “Part X” there is inserted “(except sections 100 and 134A andthe other provisions of that Part so far as relating to the right not to beunfairly dismissed in a case where the dismissal is unfair by virtue ofsection 100)”.Corresponding provision for Northern Ireland.

7. An Order in Council under paragraph 1(1)(b) of Schedule 1 tothe Northern Ireland Act 1974 (legislation for Northern Ireland in theinterim period) which contains a statement that it is made only forpurposes corresponding to the purposes of sections 1 to 6 above-

(a) shall not be subject to paragraph 1(4) and (5) of that Schedule(affirmative resolution of both Houses of Parliament), but

(b) shall be subject to annulment in pursuance of a resolution ofeither House of Parliament.

Financial provision.8. There shall be paid out of money provided by Parliament-

(a) any expenses of the Secretary of State attributable to theprovisions of this Act, and

(b) any increase attributable to this Act in the sums which underany other Act are payable out of money so provided.Short title, commencement and extent.

9. - (1) This Act may be cited as the Police (Health and Safety) Act1997.

(2) This Act, apart from sections 7 and 8 and this section, shallnot come into force until such day as the Secretary of State may byorder made by statutory instrument appoint; and different days may beappointed for different purposes.

(3) Section 7 extends to Northern Ireland, but the otherprovisions of this Act do not extend there.

Section 10 page 37

Section 10 page 38

1999 No. 860

HEALTH AND SAFETY

The Police (Health and Safety) Regulations 1999

Citation and commencement1. These Regulations may be cited as the Police (Health and

Safety) Regulations 1999 and shall come into force on 14th Apri11999.

Amendment to the meaning of “employee” and “at work” inregulations made under Part I of the Health and Safety at Worketc. Act 1974

2. For the purposes of regulations made under Part I of the 1974Act before the coming into force of the Police (Health and Safety) Act1997-

(a) a person who, otherwise than under a contract ofemployment, holds the office of constable or an appointmentas police cadet shall be treated as an employee of the relevantofficer referred to in section 51A of the 1974 Act; and

(b) a person holding the office of constable shall be treated asat work throughout the time when he is on duty but nototherwise,

and any reference to an “employee” and “at work” in those regulationsshall have effect accordingly.

Amendments to the Safety Representatives and SafetyCommittees Regulations 1977

3. - (1) The Safety Representatives and Safety CommitteesRegulations 1977[2] shall be amended in accordance with paragraphs(2) to (6) of this regulation.

(2) In paragraph (1) of regulation 2, in the definition of “recognisedtrade union”, before the words “means an independent trade union” thewords “subject to regulation 2A” shall be inserted.

(3) After regulation 2, the following regulation shall be inserted-" Bodies to be treated as recognised trade unions

2A. In relation to each of the undertakings listed in column 1 ofSchedule 1, each of the bodies specified in the corresponding entriesin column 2 shall be treated as a recognised trade union, recognisedby the person specified in the corresponding entry in column 3.”.

(4) In paragraph (2) of regulation 4, the words “Schedule 2” shallbe substituted for the words “the Schedule”.

(5) There shall be inserted as Schedule 1 the contents of theSchedule to these Regulations.

(6) The Schedule shall be numbered Schedule 2.

Amendments to the Personal Protective Equipment at WorkRegulations 1992

4. - (1) The Personal Protective Equipment at Work Regulations1992[3] shall be amended in accordance with paragraphs (2) and (3)of this regulation.

(2) In paragraph (1) of regulation 4, before the words “Every

Section 10 page 39

employer”, there shall be inserted the words “Subject to paragraph(1A),”.

(3) After paragraph (1), there shall be added the followingparagraph-

“ (1A) Where the characteristics of any policing activity are suchthat compliance by the relevant officer with the requirement inparagraph (1) would lead to an inevitable conflict with the exercise ofpolice powers or performance of police duties, that requirement shallbe complied with so far as is reasonably practicable.”.

Amendment to the Provision and Use of Work Equipment Regulations1998

5. - (1) For paragraph (4) of regulation 4 of the Provision and Useof Work Equipment Regulations 1998[4] there shall be substituted thefollowing paragraph-

“(4) In this regulation “suitable”-(a) subject to sub-paragraph (b), means suitable in any respect whichit is reasonably foreseeable will affect the health or safety of anyperson;

(b) in relation to-(i) an offensive weapon within the meaning of section 1(4) of thePrevention of Crime Act 1953[5] provided for use as self-defence or asdeterrent equipment; and

(ii) work equipment provided for use for arrest or restraint, by a personwho holds the office of constable or an appointment as police cadet,means suitable in any respect which it is reasonably foreseeable willaffect the health or safety of such person.”.

Signed by authority of the Secretary of State

Alan MealeParliamentary Under-Secretary of State, Department of theEnvironment, Transport and the Regions

17th March 1999

Section 10 page 40

SCHEDULERegulation 3(5)

“SCHEDULE 1Regulation 2A

BODIES TO BE TREATED AS RECOGNISED TRADE UNIONS

Section 10 page 41

(1) (2) (3) Name of undertaking Name of body Specified

person The National Criminal The Chief Police Officers’ The Director Intelligence Service Staff Association General

The Association of Chief Police Officers in ScotlandThe Police Superintendents’Association of England and WalesThe Association of Scottish Police SuperintendentsThe Police Federation of England and Wales

The Scottish Police FederationThe National Crime Squad The Chief Police Officers’ Staff The Director

Association GeneralThe Police Superintendents’Association of England and WalesThe Police Federation of England and Wales.”

Section 10 page 42

“Serious Organised Crime and Police Act 2005

Section 158

Responsibilities in relation to the health and safety etc. of police

(1) In section 51A of the Health and Safety at Work etc. Act 1974(c. 7) (application of Part 1 of that Act to police) after subsection (2)insert-

“(2A) For the purposes of this Part the relevant officer, as definedby subsection (2)(a) or (c) above, shall be treated as a corporationsole.

(2B) Where, in a case in which the relevant officer, as so defined,is guilty of an offence by virtue of this section, it is proved-

(a) that the officer-holder personally consented to thecommission of the offence,(b) that he personally connived in its commission, or(c) that the commission of the offence was attributable topersonal neglect on his part, the office-holder (as well as thecorporation sole) shall be guilty of the offence and shall beliable to be proceeded against and punished accordingly.

(2C) In subsection (2B) above “the office-holder”, in relation to therelevant officer, means an individual who, at the time of the consent,connivance or neglect-

(a) held the office or other position mentioned in subsection (2)above as the office or position of that officer; or(b) was for the time being responsible for exercising andperforming the powers and duties of that office or position.

(2D) The provisions mentioned in subsection (2E) below (whichimpose the same liability for unlawful conduct of constables onpersons having their direction or control as would arise if theconstables were employees of those persons) do not apply to anyliability by virtue of this Part.

(2E) Those provisions are-

(a) section 39 of the Police (Scotland) Act 1967;(b) section 88(1) of the Police Act 1996;(c) section 97(9) of that Act;(d) paragraph 7(1) of Schedule 8 to the Police Act 1997;(e) paragraph 14(1) of Schedule 3 to the Criminal Justice andPolice Act 2001;(f) section 28 of the Serious Organised Crime and Police Act2005.

(2F) In the application of this section to Scotland-

(a) subsection (2A) shall have effect as if for the words"corporation sole" there were substituted “distinct juristicperson (that is to say, as a juristic person distinct from theindividual who for the time being is the office-holder)”;(b) subsection (2B) shall have effect as if for the words“corporation sole” there were substituted “juristic person”; and(c) subsection (2C) shall have effect as if for the words"subsection (2B)" there were substituted “subsections (2A) and

Section 10 page 43

(2B)”.”

(2) For subsection (2) of each of the following sections of theEmployment Rights Act 1996 (c. 18)-

(a)section 49A (right of police officers not to suffer detriment inrelation to health and safety issues), and(b) section 134A (right of police officers not to be unfairlydismissed in relation to health and safety issues), substitutethe subsection set out in subsection (3) of this section.

(3) The subsection to be substituted is-

"(2) In this section “the relevant officer”, in relation to-

(a) a person holding the office of constable, or(b) a person holding an appointment as a police cadet, meansthe person who under section 51A of the Health and Safety atWork etc. Act 1974 is to be treated as his employer for thepurposes of Part 1 of that Act.”

(4) The following provisions of the Police Reform Act 2002 (c. 30)(which relate to duties and rights in relation to the health and safety ofpolice) cease to have effect-

(a) section 95, and(b) in Schedule 8, the reference to section 5 of the Police(Health and Safety) Act 1997 (c. 42).

(5) The amendments made by subsections (1) to (3) have effectfor the purposes of any proceedings in or before a court or tribunal thatare commenced on or after the day on which this Act is passed as ifthe amendments had come into force on 1st July 1998.

(6) For the purposes of proceedings commenced against a personin his capacity by virtue of this section as a corporation sole (or, inScotland, as a distinct juristic person) anything done by or in relationto that person before the passing of this Act shall be deemed to havebeen done by or in relation to that person in that capacity.

(7) No person shall be liable by virtue of section 51A(2B) of theHealth and Safety at Work etc. Act 1974 (c. 37) in respect of anythingoccurring before the passing of this Act.

Section 10 page 44