Student-NGC1 - Element 1 Foundations in Health & Safety - E&W

Element 1
Foundations in
Health and Safety
Foundations in health and safety
Contents
1.1 The scope and nature of occupational health and
safety
1.2 The moral and financial reasons for promoting good
standards of health and safety
1.3 The legal framework for the regulation of health
and safety
1.4 Health and Safety at Work etc. Act (HASAWA) 1974
1.5 Management of Health and Safety at Work
Regulations (MHSWR) 1999
1.6 Responsibilities of clients and contractors
1.7 The court and tribunal structure for Scotland
Contents
safety
and safety
The scope and nature of occupational health and safety
The multi-disciplinary nature of health and safety
Health and safety embraces a number of disciplines:

Finance
Insurance
Health
Personnel
Production
Design
Purchase
Information technology (IT)
The scope and nature of occupational health and safety
Meaning of and distinctions between common terms
Health, safety, welfare and environmental protection
Health
- A state of well being
Safety
- Absence of danger of physical harm
Welfare
- Facilities for workplace comfort
Environmental protection
- A measure used to prevent harm to the environment
of the world
Contents
safety
1.2 The moral and financial reasons for promoting
good standards of health and safety
and safety
The moral and financial reasons
General argument
1) Moral
2) Legal
3) Financial
The size of the problem
HSE statistics for 2009/10:

152 workers were killed at work
Over 121,000 other injuries reported under RIDDOR
About 28,500,000 days were lost in total due to work-related
ill-health and injury
Slipping and tripping accounts for 41% of all major injuries
Lifting, handling or carrying accounts for 36% of all 3 day
injuries
The size of the problem
Ill-health
1.3 million working people suffered from a work-related
illness during the year, of which 555,000 were new cases
2,249 people died of mesothelioma in 2008
Injuries
152 workers were killed at work
121,430 other injuries to employees reported under
RIDDOR 1995
233,000 reportable injuries occurred
Working days lost
28.5 million - days were lost overall
Societal expectations of good standards of health

and safety
Strategic
Influenced by the general mass of public
Local influences
This is most acute following an accident and has had the
effect of causing closure of some smaller organisations
The business case for health and safety

Insured and uninsured costs
Uninsured costs between 8 and 36 times greater than costs

of insurance premiums
Following Accident Costs Iceberg represents the ratio of
insured to uninsured costs incurred by a main contractor
during the building of a supermarket
Costs incurred by the main contractor (1:11) during the building of a supermarket
Source: RMS/HSG96.

Direct costs
Insurance
Court costs
Fines
Lost time of injured employees
Damage

Indirect costs
Lost time by other employees who stop work
Weakened morale
Lost time by supervisor or other managers
Preparing accident reports, attending hearings, inquest
courts
Interference with production leading to failure to fill orders
on time

Sample costs of accidents
Total loss Annualised Representing

loss
1 Construction site 245,075 700,000 8.5% tender price
2 Creamery 243,834 975,336 1.4% operating costs
3 Transport 48,928 195,712 1.8% of operating costs
company 37% of profits
4 Oil platform 940,921 3,763,684 14.2% of potential output
Source: The costs of accidents at work, HSG96, HSE Books.

Employers liability insurance
Enables businesses to meet the costs of compensation and

legal fees
Employers Liability (Compulsory Insurance) Act 1969
Insured for at least 5 million per claim
Certificate must be displayed
Copies kept for at least 40 years
HSE responsible for enforcing the law
Employers can be fined up to 2,500 each day for
inappropriate insurance
Contents
safety
and safety
The legal framework for the regulation of health and safety
Role of the European Union in harmonising

standards
Issue directives under the Treaty of Rome
Harmonise the laws of the member states
Representatives meet to agree on content of draft
directives
Presented to European Parliament for ratification
Directives impose duty on each member state
Directives legally binding on the governments
In the UK Directives are translated into Regulations
Meaning of Criminal Law
Deals with offences against the state and society
Prosecution to establish guilt
Prosecution normally by the crown on behalf of the state
HSE or Local Authority initiate prosecution for health and safety
issues
Matters considered in criminal courts
Prove guilt beyond reasonable doubt
Burden of proof on the accused to show they were in compliance with
the requirement (HASAWA Section 40)
Principal remedy is punishment
May be imposed on a person or organisation
Involve, fines, imprisonment or other sanctions
Not possible to insure against a criminal act
Structure of Criminal Courts

Magistrates Court
Lay magistrates sit two or usually three to a court, a District

Judge sits alone
Hear and decide minor (summary) offences
Consider indictable offences to decide if case to answer
Appeal usually to Crown Court, to High Court on point of
law

The Crown Court
Cases heard by judge and jury

Hear and decide serious (indictable) offences
Hears appeals and referred cases for sentencing from
Magistrates Courts
Refers appeals on point of law to high court and others
to Court of Appeal

The High Court
Judges must be persons who have had right of audience in

the High Court for at least ten years or a Circuit judge who
has held office for at least two years
In hearing a case for the first time a High Court judge sits
alone
A Divisional Court of two or more High Court judges sits to
hear appeals from Magistrates and Crown Courts

The Court of Appeal
Criminal Division
Normally 3 judges
Hears appeals from Crown Courts
Uphold, reverse or order a retrial
Appeal is to the Supreme Court

The Supreme Court
12 justices
Hears points of law of the greatest public importance for
the whole of the UK
Operates explicitly separate from both Government and
Parliament
Source: RMS
Courts and Tribunals - England and Wales
Criminal law liabilities

The roles and functions of external agencies
Health and Safety Executive

Health and Safety Executive for Northern Ireland (HSENI)
Local authorities
Office of Rail Regulation (ORR)
Fire authorities
Environment Agency/Scottish Environment Protection
Agency
Insurance companies

Powers of Inspectors under HASAWA 1974 - Summary
Enter any premises Article be dismantled or

tested
Take constable,
authorised person Take possession
Examine and investigate Take statements
Direct that items not be Inspect and copy
disturbed documents
Measure, photo, record Require assistance
Take samples Any other power

Enforcement notices
General points
Improvement notices
Prohibition notices
Appeals against notices
Penalties for failure to comply
Formal cautions and warnings
Prosecution
- Summary offences (minor)
- Indictable offences (serious offences)
- Initiation and prosecution of an offence

Role of the Courts - Penalties
Health and Safety (Offences) Act (HSOA) 2008

The Health and Safety Offences Act (HSOA) 2008
amended Section 33 of the HASAWA 1974
Altered the maximum custodial sentence in the lower courts
(magistrates) from 6 months to 12 months
This did not give authority to magistrates to increase
sentences
Can be done by other legislation covering magistrates
powers (Criminal Justice Act 2003)

Health and Safety (Offences) Act (HSOA) 2008

The Criminal Justice Act 2003 s.154 increases the powers of
the lower courts to pass a maximum custodial sentence of
12 months, but only subject to the section being brought into
force
Section 154 has not yet been brought into force, and the
Ministry of Justice has apparently no current plans to do so
Therefore, the maximum custodial sentence in magistrates
courts remains at 6 months

BUT
Although a case might be decided in the lower court, if the
magistrates believe the circumstances warrant a sentence
greater than 6 months, they have the power to refer it to
Crown Court for sentencing
This means that a defendant could receive a sentence of up
to 2 years for a conviction handed down in the lower court
Therefore, the maximum penalty for conviction in the

magistrates court if sentencing is handed down there, is a
fine of 20k, or 6 months in custody, or both
The HSE view is that the maximum penalty for conviction in
the magistrates court is a fine of 20k, or 2 years in custody
(if referred), or both
HSOA 2008 - Penalties
Offence Penalty on summary Penalty on conviction
conviction (maximum) on indictment
2-6 & 8 HASAWA 6 months and/or Two years and or
20,000 unlimited fine
7 HASAWA 6 months and/or Two years and or
5,000 unlimited fine
9 HASAWA 20,000 Unlimited fine
Regulations made under 6 months and/or Two years and or
HASAWA 20,000 unlimited fine
Breach of enforcement 6 months and/or Two years and or
notice 20,000 unlimited fine
Any other offence under 6 months and/or Two years and or
existing provisions 20,000 unlimited fine

Compensatory awards
Damages
Damages or compensation orders for personal injury, loss
or damage may be awarded
Defences
Individual
Must prove they took all reasonable care
That all due diligence was exercised
Employer
Must prove they took all reasonable foreseeable
precautions
That it was not practicable or reasonably practicable to
have done more
That all due diligence was exercised
Meaning of Civil law
Deals with disputes between individuals
Claimant sues the defendant
For failing to meet rights and obligations when dealing with
each other
Purpose of claiming compensation or other remedy
Matters considered in civil courts
Prove on balance of probability
No presumption of favour
May sue more than one person or organisation
Must sue within reasonable period of harm or is statue barred -
usually 3 years
Possible to insure against claims
Structure of Civil Courts - England and Wales
Small Claims Court
Case typically heard by a registrar

Deal with claims for personal injury up to 5,000
Appeal is to County Court
County Court
Cases heard by a judge

Deal with claims for personal injury up to 50,000
Appeal is to Court of Appeal
High Court
Cases heard by a judge

Deal with claims for personal injury over 50,000
Has no upper limit
Appeal is to Court of Appeal
Court of Appeal
Civil Division
Normally 3 judges
Hears appeals from County Courts, High Court and
Employment Appeal Tribunals
Uphold, reverse or order a retrial
Appeal is to the Supreme Court

Supreme Court
Apart from the European Court of Justice, the Supreme

Court is the highest court of appeal in the UK
Independent institution
Presided over by 12 independently appointed judges
A majority decision is given and dissenting judgments
are stated
The court hears appeals from both the civil and the
criminal divisions of the Court of Appeal
Civil law liabilities
Civil wrong (tort/delict)
There are many branches of civil law including contract law and
the law of tort (England and Wales)/delict (Scotland)
Contract law deals with the legally binding relationships which
individuals enter into
Whereas tort/delict law is aimed at redressing the wrongs
committed by one person against another
Examples of torts include negligence and breach of statutory duty
A tort/delict is a civil wrong committed by one party against
another
Negligence together with action for breach of statutory duty is the
most common cause of action for harm caused at work
Tort/delict of negligence
Negligence is a tort/delict
Based on the provision of the common law duty of care to a
reasonable standard (principle of liability for loss caused by
failure in the duty of care, in Scotland)
Negligence is generally defined as conduct that falls below
what a reasonable person would do to protect another
individual from foreseeable risk of harm
It is actionable in a civil court for compensation
Duty of care (neighbour principle)

You must take reasonable care to avoid acts or omissions
when you can reasonably foresee would be likely to injure
your neighbour
In general life neighbours are the people around us that
foreseeably might be affected by what we do
The duty applies to an employer just as it does an individual
If the employer fails to meet this duty, they may be
considered negligent
Tests and defences for tort/delict of negligence
Tests for tort/delict of negligence

Duty owed
Breach of duty
Loss resulted
Tests and defences for tort/delict of negligence
Defences for tort/delict of negligence

Denial of duty to take care
Reasonable care was taken (no breach of duty)
No actionable injury or damage
Volenti non fit injuria
Statute of limitations

Tort of breach of statutory duty
When a statutory duty is broken there is liability for penalty

stipulated in the statute
A person suffering damage as a result of the breach may
also bring a civil action in tort to obtain compensation
It should be noted that the injured person might sue for both
negligence and breach of statutory duty (known as a
double-barrelled action)

Tests and defences for breach of statutory duty
Tests for breach of statutory duty

Defendant was in breach of the statute
Breach caused the injury
Claimant was of a class of person the statute was intended
to protect
Type of injury was one the statute was intended to prevent

Tests and defences for breach of statutory duty
Defences for breach of statutory duty

Statute barred
No breach of statutory duty
Breach did not cause the loss
Injured party not within the class of persons protected by the
statute
Injury not of the type that the statute was designed to
prevent

Role of the Courts
Hear disputes between individuals

Cases heard at level relating to the claim
Courts do not favour either party
Need to prove on balance of probability
If one party does not agree with the court decision they
can appeal
Decisions of higher courts bind lower courts

Role of employment tribunals
Victimisation
Dismissal - actual or constructive
Appeals against improvement and prohibition notices
Safety representatives and safety committees - pay, time off
and training
Representatives of employee safety - pay and time off
Suspension from work for medical reasons or on maternity
grounds

Compensation
Special damages - loss of earnings, travel expenses,

medical costs and special care
General damages - pain, suffering and loss of amenity

Contributory negligence
Where injury is partly the fault of the injured person

Any compensation awarded is reduced by the proportion of
the injured parties contribution to the injury
Vicarious liability
Employers are liable to persons injured by the negligent

acts of their employees
If committed in the course of their employment
Employers civil common law duty
Safe place of work

Safe appliances and equipment
Safe system of work
Competent and safety conscious personnel
Double barrelled action
Civil action to gain compensation

Two types of tort used
- Negligence
- Breach of statutory duty
When both torts used in claim it is referred to as a double-
barrelled action
The meaning of Common law

Precedents and case law
Principles of case law derived from judgement

Circumstances and decision of case when written down is
case law
They establish a binding precedent on subsequent similar
cases
Precedents set by higher courts bind lower courts

The importance of common law
Established over many years

Creates duties and principles that affect many aspects of life
Creates precedents to follow
Each time a case is heard it provides an opportunity to
decide if circumstances have changed, so is readily
maintained up to date
Provides a basis for both criminal and civil law

Relevance to criminal and civil law
Common law is a source to both criminal and civil law

Civil law
Establishes general duty of care and liability for negligence
Employers duty of care
Criminal law
HASAWA 1974 reflects employers common law duties
Common law liability for manslaughter (homicide in
Scotland)
Meaning of Statute law

Statute law
Statute law is a source of both criminal and civil law

Exists as Acts of Parliament, regulations and other
delegated legislation
Criminal law
HASAWA 1974
Management of Health and Safety at Work Regulations
Civil law
Occupiers liability Act

Acts of Parliament
Drafted form known as a Bill

Bill is debated several times in Commons and Lords
Bill voted
If passed goes for Royal Assent
Added to statute book
Remains till amended or repealed
Health and Safety at Work Etc Act (HASAWA) 1974
HASAWA 1974 sets out general responsibilities in a legal
framework
It places responsibilities on people, covering all the main
parties that contribute to health and safety in the workplace
e.g. employers, employees, designers and suppliers
The general basis of the HASAWA 1974 is that measures
taken should, as a minimum, reflect the level of risk for the
issue being considered
The HASAWA 1974 made provision for the creation of
approved codes of practice (ACOPs) to support its general
provisions and the regulations made under the HASAWA 1974
Health and safety regulations
These contain specific details
The Secretary of State may make regulations, but is
required to consult the HSC and other interested parties
When the Regulations have been made, they are laid on the
table of the Houses of Parliament to enable observation
It is usual for the Regulations to come into force after forty
days, unless either House passes a negative resolution
It should be noted that acts and regulations both carry the
full force of the law
Failure to comply with either can be both a criminal offence
and a basis for civil action
Approved Codes of Practice
Approved by the HSE with consent of the Secretary of State
May be cited in evidence of a breach of legislation where it
has not been followed
Employers must either meet the ACOP or show how they
complied with legislation in an equal or better way
Examples include:
- Managing Health and Safety in Construction -
Construction (Design and Management) Regs
- Safe Use of Work Equipment (which supplements the
Provision and Use of Work Equipment Regulations
(PUWER) 1998)

Official guidance
The HSE sometimes issue guidance notes that are advisory

and have no standing in law
Advice is more practical than that contained in an ACOP
Examples of guidance notes that accompany:
- The Personal Protective Equipment Regulations (PPER)
1992
- The Manual Handling Operations Regulations (MHOR)
1992
Absolute and qualified duties
Absolute statutory requirements

Where the risk of injury is inevitable if health and safety
precautions are not taken, a statutory duty may well be absolute
Practicable requirements
This means they must be carried out and are only limited by
the current state of knowledge and invention, even though
implementation may be difficult, inconvenient and/or costly
Reasonably practicable requirements
A statutory duty which has to be carried out as far as is
reasonably practicable is one where there is a risk/benefit
trade off
Absolute and qualified duties
Reasonably practicable
Source: RMS/Corel Clipart.

Comparison of two sources of law
Common law Statute law
Judge - made law through decisions of Established by Parliament.
cases, builds up over time as cases are
heard and sets principles.
Not written down. Written down and codified in Acts and
Regulations.
Duty of reasonable care. A range of levels of care used e.g.
reasonably practicable.
In the area of health and safety, forms the Failure to comply normally (but not
basis of most civil cases. always) constitutes a criminal offence,
although it can also be used in civil
actions unless specifically disallowed.
Establishes the common law criminal Sets out some civil liabilities, for example
offence of personal manslaughter - gross occupiers liability.
negligence.
Source: RMS.
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safety
and safety
1.4 Health and Safety at Work etc. Act (HASAWA)
1974
Health and Safety at Work etc Act (HASAWA) 1974
Scope
Section 1
Securing the health, safety and welfare of persons at work

Protecting persons other than persons at work against risks
to health or safety
Controlling the keeping and use of explosive or highly
flammable or otherwise dangerous substances, and
generally preventing the unlawful acquisition, possession
and use of such substances
Scope
Section 2 - duties of employers to employees
Section 2(1)
To ensure so far as is reasonably practicable the health,
safety and welfare at work of employees
Scope
Section 2(2)
Safe plant and systems of work
Safe use, handling, storage and transport of goods and
materials
Provision of information, instruction, training and
supervision
Safe place of work including means of access and egress
Safe and healthy working environment and welfare
arrangements
Scope
Storage of gas cylinders/Office workplace
Source: RMS.
Scope
Section 2(3) safety policies

Prepare and revise a written statement (what) of health
and safety policy
The organisation (who) and arrangements (how) for
carrying it out
Employers with fewer than five employees are exempt from
having a written policy statement
Scope
Section 2(4) appointment of safety representatives

Allows the Secretary of State to make regulations dealing
with consultations between employers and recognised trade
unions
This led to the Safety Representatives and Safety
Committee Regulations (SRSC) Regulations 1977)
Those representatives shall represent the employees in
consultations with the employer
Scope
Section 2(6) consultation

Duty of employer to consult recognised trade union
representatives (under SRSC Regulations 1977)
Scope
Section 2(7) safety committee

Duty of employers to establish a safety committee if
requested to do so by recognised trade union
representatives (in accordance with SRSC Regulations
1977)
Scope
Section 3 - duties of employers and self-employed to persons

other than employees
The employer shall so far as reasonably practicable:

(a) Not expose them to risk to their heath and safety e.g. an
area used by a contractor on a busy site should be
separated from hazards by barriers
(b) Give information about risks which may affect them e.g.
providing an induction for contractors
Scope
Section 3 - duties of employers and self-employed to persons

other than employees
Section 3(2) self-employed

Self-employed persons should conduct their undertakings so
that neither themselves, nor others, are affected by their
activities and exposed to health and safety hazards
The above are qualified by reasonably practicable
Scope
Section 4 - duties of those in control of premises
Ensure safe access and egress to premises and plant

Ensure that plant or substances in the premises, or
provided for their use, are safe and without risk to health
Scope
Section 6 - duties of those who manufacture etc
Safe design, installation and testing

Substances without risks to health
Tests or examinations
Provision of information
Carry out research to minimise risks
Erectors and installers
Scope
Section 7 - duties of employees
Take reasonable care of their own health and safety and

that of others who may be affected by their acts or
omissions
Co-operate with the employer so as to ensure that the
employer can comply with his statutory obligations
Scope
Section 8 - duties of all persons
No person shall intentionally or recklessly misuse or

interfere with anything provided under the HASAWA 1974
and other legislation in the interested of health, safety or
welfare
Scope
Section 9 - duty of employer not to charge
The employer shall not charge employees for anything done

or provided to comply with a specific legal obligation, e.g.
provision of personal protective equipment, health
surveillance, welfare facilities etc
Scope
Section 36 - offences due to the fault of another person
Where the commission by any person of the breach of

legislation is due to the act or default of some other person,
that other person shall be guilty of the offence and may be
charged with and convicted of the offence whether or not
proceedings are taken against the first mentioned person
Scope
Section 37 - offences by the body corporate
Where there has been a breach of legislation on the part of

a body corporate (limited company or local authority) and
the offence can be proved:
- To have been committed with the consent or connivance
of
- To be attributable to any neglect on the part of any
director, manager, secretary or similar officer of the
body corporate, he, as well as the body corporate, can
be found guilty and punished accordingly
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safety
and safety
Scope
The MHSWR 1999 set out some broad general duties which
apply to almost all kinds of work
They are aimed mainly at improving health and safety
management
You may already be familiar with broad health and safety
law of this kind - as it is the form taken by the HASAWA
1974
The Regulations work in a similar way and in fact they can
be seen as a way of expanding on what is already in the
HASAWA 1974
Scope
The 1999 Regulations replace the Management of Health

and Safety at Work Regulations 1992, the Management of
Health and Safety at Work (Amendment) Regulations 1994,
the Health and Safety (Young Persons) Regulations 1997
and Part III of the Fire Precautions (Workplace) Regulations
1997
Risk assessment (Regulation 3)
The regulations require employers (and the self-employed)

to assess the risk to the health and safety of their
employees and to anyone else who may be affected by their
work activity
Where 5 or more employees are employed the significant
findings must be recorded in writing
The record must include details of employees identified as
being especially at risk
Principles of prevention to be applied (Regulation 4)
Requires an employer to implement preventive and

protective measures on the basis of general principles of
prevention specified in Schedule 1 to the Regulations
Principles of prevention to be applied (Regulation 4)

Avoiding risks
Evaluating the risks which cannot be avoided
Combating the risks at source
Adapting the work to the individual
Adapting to technical progress
Replacing the dangerous by the non-dangerous or the less
dangerous
Developing a coherent overall prevention policy
Giving collective protective measures priority
Giving appropriate instructions to employees
Health and safety arrangements (Regulation 5)
Appropriate arrangements must be made for the effective:

Planning
Organisation
Control
Monitoring
Review of preventative and protective measures
Health surveillance (Regulation 6)
In addition to the requirements of specific regulations such

as the Control of Substances Hazardous to Health (COSHH)
2002 and the Control of Asbestos Regulations (CAR) 2012,
consideration must be given to carry out health surveillance
of employees where there is a disease or adverse health
condition identified in risk assessments
Health and safety assistance (Regulation 7)
Employer must appoint one or more competent persons to

assist him in complying with the legal obligations imposed on
the undertaking
Number of persons appointed should reflect the number of
employees and the type of hazards in the workplace
Adequate co-operation between appointed persons
Be given time and resource to fulfil their functions
Have sufficient training and experience or knowledge and
other qualities to enable them to perform their functions
Appointment of employee in preference to non-employee
Procedures for serious and imminent danger and for
danger areas (Regulation 8)
Identification and training requirements
Layout of the premises in relation to escape routes
Number of persons affected
Assessment of special needs
Warning systems
Emergency lighting
Location of shut-off valves, isolation switches, hydrants
Equipment required dealing with the emergency
Location of assembly points
Communication with emergency services
Training and/or information to be given to people
affected
Contacts with external services (Regulation 9)
Employers must ensure that, where necessary, contacts are

made with external services
This particularly applies with regard to first-aid, emergency
medical care and rescue work
Information for employees (Regulation 10)
Employees must be provided with information about:

Hazards to their health and safety
Any preventative or protective control measures including
those relating to serious and imminent danger and fire
assessments
Details of any competent persons nominated to discharge
specific duties
Co-operation and co-ordination (Regulation 11)
Employers who work together in a common workplace have

a duty to co-operate to discharge their duties under relevant
statutory provisions
They must also take all reasonable steps to inform their
respective employees of risks to their health or safety which
may arise out of their work
Persons working in host employers or self-

employed persons undertakings (Regulation 12)
This regulation extends the requirements of regulation 11 to

include employees working as sole occupiers of a workplace
under the control of another employer
Such employees would include those working under a
service of contract and employees in temporary employment
businesses under the control of the first employer
Capabilities and training (Regulation 13)
Employers need to take into account the capabilities of their

employees before entrusting tasks
This is necessary to ensure that they have adequate health
and safety training and are capable enough at their jobs to
avoid risk
Employees duties (Regulation 14)
Employees are required to use machinery, equipment, etc

in accordance with the instructions and training that they
have received
They must also inform their employer of any situation
representing a serious and immediate danger or
shortcoming in the health and safety arrangements, where
they affect their health and safety or arise out of their work
Temporary workers (Regulation 15)
Consideration is given to the special needs of temporary

workers on fixed term contracts or employed through an
employment business
In particular, the employer must provide health and safety
information on qualifications required to perform the task
safely and requirements for health surveillance
Risks assessment in respect of new or expectant

mothers (Regulation 16)
Where the work is of a kind which would involve risk to a
new or expectant mother or her baby, then the risk
assessment required by regulation 3 should take this into
account
If the risk cannot be avoided, then the employer should take
reasonable steps to:
Adjust the hours worked
Offer alternative work
Give paid leave for as long as is necessary
Certificate from a registered medical practitioner in

respect of new or expectant mothers (Regulation 17)
Where the woman is a night shift worker and has a medical

certificate identifying night shift work as a risk then the
employer must put her on day shift or give paid leave for as
long as is necessary
Notification by new or expectant mothers

(Regulation 18)
The employer need take no action until notified in writing by

the woman that she is pregnant, has given birth in the last
six months, or is breastfeeding
Protection of young persons (Regulation 19)
Employers of young persons shall ensure that they are not

exposed to risk as a consequence of their lack of
experience, lack of awareness or lack of maturity
Contents
safety
and safety
Responsibilities of clients and contractors
Relationship between client and contractor

Clients
Criminal and civil duties to conduct their undertaking to
ensure health and safety of those affected - this includes
using the services of contractors
Contractors
Are contracted to do work on behalf of others - including
repair maintenance, refurbishment, installation, building
alterations, construction and demolition
Duties to each other and the others employees
Shared control of premises

General points
- MHSWR 1999 -
Regulation 12 - Persons
working in host
employers or self employed
persons undertakings
(Image) - Joint occupancy, trip
hazards in common area
Source: RMS.
Duties to each other and the others employees
Occupiers liability - to public, safety barriers in place
Source: RMS.
Effective planning and co-ordination of contracted
work
Co-operation and co-ordination
MHSWR 1999 - Regulation 11 - Co-operation and co-ordination
Employers who work together in a common workplace, such
as where contracted work is carried out in the workplace of
a client, have a duty to co-operate in order to discharge their
duties under relevant statutory provisions
This will include consideration of each other when
conducting risk assessments and provision of procedures
for serious or imminent danger
Management controls for significant construction projects
Duties and responsibilities

Client duties
For all projects, ensure that:
Work can be carried out safely
Adequate welfare facilities are provided
Any workplace complies with the Workplace (Health, Safety
and Welfare) Regulations (WHSWR) 1992
Make relevant pre-construction health and safety
information available
Client duties
Where a project is notifiable, the client shall:
As soon as practicable appoint competent CDM co-ordinator
Then appoint a competent principal contractor
Promptly provide the CDM co-ordinator and principal
contractor with pre-construction information
Not allow work to start until the construction phase plan and
adequate welfare facilities are in place
Provide the CDM co-ordinator with information for health and
safety file
Keep health and safety file available and revised
Designer duties
The client is aware of their duties
Take account of other design considerations
Design to avoid foreseeable risk during construction, use
and maintenance of the building
Give priority to collective measures over individual
measures
Where not possible to avoid risks ensure are minimised
Provide adequate information about materials used in the
design

Designer duties
Where a project is notifiable, the client shall:
Not commence until a CDM co-ordinator has been
appointed
Provide the CDM co-ordinator with information for inclusion
in the health and safety file
CDM Co-ordinators duties
Be in a position to give advice to clients
Ensure co-operation between persons involved in the project
Ensure designers include the principles of prevention
Liaise with principal contractor regarding health and safety
plan/file
Identify and collect pre-construction information
Ensure designers comply with their duties
Ensure co-operation between designers and principal contractor
Prepare a health and safety file and deliver to the client
Notify the HSE
Principal contractors duties

The principal contractor should:
Plan, manage and monitor the construction phase
Liaise with the CDM co-ordinator
Ensure adequate welfare facilities are provided
Draw up site rules
Display the notification details
Prevent unauthorised access to the site

Ensure that every contractor is:
Informed of the minimum amount of time allocated for
planning and preparation
If necessary, consulted about the health and safety plan
Given access to the health and safety plan
Given any relevant information
Informed about the information that may be required for
inclusion in the health and safety file


Ensure that every worker is provided with:
Site induction
Information that has to be provided by a contractor
Any further information that might be necessary
Contractors duties
They do not start work unless they are aware of their duties
Plan, manage and monitor work
Every contractor that the contractor appoints is provided with
relevant information
Every worker under the contractors control is given information
and training
They do not commence work until unauthorised access to the site
has been prevented
Ensure that adequate welfare facilities are provided
Contractors duties
Where a project is notifiable the contractor shall:
Not start work unless the contractor knows the names of the
CDM co-ordinator and principal contractor
Provide relevant information to the principal contractor
Identify any contractors they have appointed to the principal
contractor
Comply with directions given by the principal contractor and
any rules in the health and safety plan
Provide the principal contractor with any RIDDOR 1995
reports
HSE notification of projects
CDM 2007 applies to all construction projects

Construction projects with a construction phase longer than
30 days or involving more than 500 person days of
construction work are notifiable to the HSE
Notification by the CDM Co-ordinator must be in writing and
can be made using the form F10 (rev)
Health and safety plan
Pre-construction information
The client
Who has to provide information relevant to health and safety to
the CDM co-ordinator
This could include existing drawings, surveys of the site or
premises, information on the location of services, etc
Designers
Who have to provide information about the risks which cannot be
avoided and will have to be controlled by the principal contractor
and other contractors
Typically, this information may be provided on drawings, in
written specifications or in outline method statements
Content of the pre-construction information pack
Project description and programme details
Details of client, designers, CDM co-ordinator and other
consultants
Extent and location of existing records and plans
Clients considerations and management requirements
Structure and organisation
Safety goals
Permits and authorisation requirements
Emergency procedures

Content of the pre-construction information pack

Site rules and other restrictions
Activities on or adjacent to the site
Arrangements for liaison between parties
Security arrangements
Environmental restrictions and existing on-site risks
Hazards
Format of the pre-construction information pack

Effective in helping to select a principal contractor, the CDM
co-ordinator and any other professional advisers
The pre-construction information does not have to be a
separate document
On small projects, some of the information outlined will
already be in existing tender documentation
The key information can be highlighted in a covering letter
or by use of an index pointing to which information should
be considered
The construction phase health and safety plan
A description of the project
The management structure and responsibilities
The health and safety standards to which the project will be
carried out
Means for informing contractors about risks to their health
and safety
All contractors, the self employed and designers to be
appointed by the principal contractor are properly selected
Means for communicating and passing information between
the project team
The construction phase health and safety plan
Carrying out risk assessments
Emergency arrangements
Arrangements for:
- Passing information to the principal contractor about accidents, ill-
health and dangerous occurrences
- The provision and maintenance of welfare facilities
- The principal contractor to check that people on site have been
provided with information and training
- Making site rules
- Passing on information to the CDM co-ordinator
Monitoring systems
Provision of information
Every person designing the structure who may be bidding

for the work is conversant with the project-specific health
and safety information needed
Every contractor who has been or may be appointed by the
client is promptly provided with pre-construction information
in accordance with the CDM 2007 Regulations
Preparation of the health and safety file
Provide information needed to allow future construction work,
including cleaning, maintenance, alterations, refurbishment and
demolition
The CDM co-ordinator is responsible for ensuring the health and
safety file is prepared
Putting together the health and safety file is a task which should
ideally be a continual process throughout the project
Not left until the construction work is completed
Early on in the construction project the CDM co-ordinator may
find it useful to discuss the health and safety file with the client
This will help determine what information the client requires and
how the client wishes the information to be stored and recorded
Assessment, selection and control of contractors

The main elements to a strategy for the effective control of
contractors are:
Assessment
Assessment of potential contractors
Selection
Checking of the health and safety aspects of bids and
selection of contractor
Contractor agrees to be subject to client's rules
Control
Control of the contractor on site
Checking after completion of contract
Contents
safety
and safety
The court and tribunal structure for Scotland
Introduction
As in England and Wales there are also two legal systems

in Scotland, one for criminal and one for civil cases
The court structure differs from those in England, Wales
and Northern Ireland (Northern Ireland is similar to that of
England and Wales)
Source: RMS
Courts and Tribunals - Scotland

Criminal law
Prosecution of crime in the Scottish Courts is taken by the Lord
Advocate or his local representative, the regional Procurator
Fiscal in each Sheriff Court district
The Lord Advocate is the head of the Crown Office, which is
the administrative headquarters of the Procurator Fiscal service
There are two types of criminal procedure in Scotland
In summary procedure in Sheriff and District Courts, the judge
sits without jury and decides both questions of facts and law
In solemn procedure in both High Court of Judiciary and Sheriff
Court, trial is before a judge and jury of 15 lay people
- Judge decides questions of law
- Jury decides questions of fact
Penalties
The lower courts can already impose a custodial sentence

of 12 months for H&S offences
Under Scottish law therefore, it is correct to say that lower
court penalties are a fine of up to 20k, or 12 months in
custody, or both
Civil law
Civil liability occurs only if the alleged wrongdoer has

committed a civil wrong recognised by law, for example "the
general law of delict" or "breach of some specific statutory
duties
Generally a master (employer) is liable for his own delict, i.e.
"personal liability" and for the delict committed by his own
employees, in the course of their employment, i.e. vicarious
liability
In general the employer is not responsible for the delict of
independent contractors employed by him
Relevant statutory provisions
The Health and Safety at Work etc. Act 1974

The Interpretation Act (IA) 1978
The Management of Health and Safety at Work
Regulations (MHSWR) 1999 (as amended)
The Construction (Design and Management) Regulations
(CDM) 2007
Corporate Manslaughter and Corporate Homicide Act
(CMCHA) 2007

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Element 1

Health and safety embraces a number of disciplines:

The size of the problem

HSE statistics for 2009/10:

Societal expectations of good standards of health

The business case for health and safety

Uninsured costs between 8 and 36 times greater than costs

The business case for health and safety

The business case for health and safety

The business case for health and safety

Sample costs of accidents

Total loss Annualised Representing

Source: The costs of accidents at work, HSG96, HSE Books.

Enables businesses to meet the costs of compensation and

Role of the European Union in harmonising

Structure of Criminal Courts

Lay magistrates sit two or usually three to a court, a District

Structure of Criminal Courts

Cases heard by judge and jury

Structure of Criminal Courts

Judges must be persons who have had right of audience in

Structure of Criminal Courts

Structure of Criminal Courts

Criminal law liabilities

Health and Safety Executive

Criminal law liabilities

Enter any premises Article be dismantled or

Criminal law liabilities

Criminal law liabilities

Health and Safety (Offences) Act (HSOA) 2008

Criminal law liabilities

Health and Safety (Offences) Act (HSOA) 2008

Criminal law liabilities

Criminal law liabilities

Role of the Courts - Penalties

Therefore, the maximum penalty for conviction in the

Criminal law liabilities

Structure of Civil Courts - England and Wales

Small Claims Court

Case typically heard by a registrar

Structure of Civil Courts - England and Wales

Cases heard by a judge

Structure of Civil Courts - England and Wales

Cases heard by a judge

Structure of Civil Courts - England and Wales

Structure of Civil Courts - England and Wales

Apart from the European Court of Justice, the Supreme

Civil law liabilities

Duty of care (neighbour principle)

Civil law liabilities

Tests and defences for tort/delict of negligence

Tests for tort/delict of negligence

Civil law liabilities

Tests and defences for tort/delict of negligence

Defences for tort/delict of negligence

Civil law liabilities

When a statutory duty is broken there is liability for penalty

Civil law liabilities

Tests for breach of statutory duty

Civil law liabilities

Defences for breach of statutory duty

Civil law liabilities

Hear disputes between individuals

Student-NGC1 - Element 1 Foundations in Health & Safety - E&W

Student-NGC1 - Element 1 Foundations in Health & Safety - E&W