Breakout Session 2 SME Senior Management

Legal obligations for senior management Keith Rhodes | 26/05/16 www.alcumusgroup.com

Sections 2 and 3

142 fatal injuries

76,000 RIDDOR reportable injuries

Section 7 Duties of employees

Section 33 - offences Duties of employees

It is an offence to contravene sections 2 to 9 of HASAWA to contravene any health and safety regulations intentionally to obstruct an inspector in the exercise of his powers under that section intentionally make a false entry in any register, book, notice or other document required under relevant statutory provisions to be kept to contravene any requirement or prohibition imposed under any such regulations

12,430 enforcement notices 728 prosecutions

Section 37 Duties of employees

Where an offence is proved to have been committed with the consent, connivance or neglect of any director, manager, secretary or other similar officer of the body corporate….. he as well as the body corporate shall be guilty of that offence and shall be liable to be proceeded against and punished accordingly to be culpable it must be shown they had real authority and have responsibility to decide corporate policy. (R v Boal 1992) have you considered legal cover, Directors insurance, legal representation?

Company Directors Disqualification Act 1986 if convicted of a criminal offence, and the offence was in connection with the management of the company…. ….may be disqualified for up to 5 years in Magistrates Court or up to 15 years in a higher court

3. Risk assessment. 4. Principles of prevention to be applied. 5. Health and safety arrangements. 6. Health surveillance. 7. Health and safety assistance. 8. Procedures for serious and imminent danger 9. Contacts with external services. 10. Information for employees. 11. Co-operation and co-ordination. 12. Persons working in host employers' undertakings. 13. Capabilities and training. 14. Employees' duties. 15. Temporary workers. 16. Risk assessment in respect of new or expectant mothers. 19. Protection of young persons.

Corporate manslaughter Duties of employees

an organisation will be guilty of an offence if a death to a person to whom a duty of care was owed results from the way the organisation’s activities were managed or organised by senior management and there was a gross breach of the duty of care … …resulting in unlimited fines

2538 mesothelioma deaths

1.2 million ill workers

27.3 million days lost

Registered claims via Claims Portal CRU (Claims Recovery Unit) Registered claims via Claims Portal CRU (Claims Recovery Unit). Upward trend in disease claims (particularly NIHL) possibly due to law firms chasing work to make up for tightening reforms of whiplash claims. Source: Weightmans Solicitors THSP Dec 2015.

2016 most dramatic change in health and safety enforcement since the HSW Act fines proportionate to turnover more individuals will receive custodial sentences

Gross negligence manslaughter Duties of employees

Construction (Design and Management) Regulations 2015 Duties of employees

Senior leaders who get visibly and demonstrably involved in managing health and safety will be best placed to meet the new global standard ISO 45001 Duties of employees

The requirements for controlling risks relating to contractors is expanded upon ISO 45001 Duties of employees

Ensure high levels of competence Adhere to standards Ensure high levels of competence Have an effective training programme in place Competence Duties of employees

Your role in an ISO 45001 audit Senior Managers Your role in an ISO 45001 audit Roger Wood and Steven Moss 26/05/16 www.alcumusgroup.com 1

ISO 45001: Management related clauses (not sub clauses) 4. Context of the organisation 5. Leadership and worker participation 6. Planning 9. Performance evaluation 10.Improvement 2

Key Elements: Senior Management responsibility Context of the organisation Interested parties Legal requirements and risk based management Worker participation Planning and prevention methodology Performance review 3

Context of the organisation What is your understanding of this? How would you evidence conformity of this during an audit? 4

Interested parties: Who are your interested parties? How are safety issues communicated to the interested parties? What input do interested parties have into your ISO 45001 system? 5

Legal requirements and risk based management What are your legal requirements? How do you show compliance to applicable legal requirements? How is safety managed within the organisation? What is your overall responsibility for safety? 6

Worker participation Who do you class as workers within the organisation? What process of worker consultation is in place? What evidence of worker participation is in place? 7

Planning and prevention methodology What planning takes place to manage the ISO 45001 system? How is prevention identified within the management system? How are preventive results measured? When are preventive actions implemented? 8

Performance review/improvement What elements of the system are subject to performance review? How do you evaluate safety objectives and targets? How are the results of internal audits implemented back into the system? How are the results of management review used to identify system improvement? 9

Overall responsibility The responsibility for the safety of all workers within the business and under the control of the ISO 45001 system rests with the Senior Management team. It is your duty to provide a safe working environment for both staff and visitors within your place of work and to ensure that all adhere to the mandatory legal requirements applicable to the industry you are working in The process of open communication and consultation is fundamental to achieving a controlled and safe working environment Your commitment to the safety management system can be evidenced though a thorough participation within the audit process 10

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