1. Breakout Session 2
SME Senior
Management

2. Legal obligations for senior management Keith Rhodes | 26/05/16

3. Sections 2 and 3

4. 142 fatal injuries

5. 76,000 RIDDOR reportable injuries

6. Section 7
Duties of employees

7. Section 33 - offences
Duties of employees

8. 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

11. 12,430 enforcement notices
728 prosecutions

12. Section 37
Duties of employees

13. 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?

14. 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

17. 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.

18. Corporate manslaughter
Duties of employees

19. 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

21. 2538 mesothelioma deaths

22. 1.2 million ill workers

23. 27.3 million days lost

25. 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.

27. 2016
most dramatic change in health and safety enforcement since the HSW Act
fines proportionate to turnover
more individuals will receive custodial sentences

28. Gross negligence manslaughter
Duties of employees

29. Construction (Design and Management) Regulations 2015
Duties of employees

30. 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

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

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

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

34. 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

35. 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

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

37. 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 system? 5

38. 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

39. 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

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

41. 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

42. Overall responsibility
The responsibility for the safety of all workers within the business and under the control of the ISO 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

43. Tel: