1. SOLGM Wanaka Retreat Health and Safety at Work Act 2015 Ready? 4 February 2016 Samantha Turner Partner DDI: +64 4 924 3460 Mob: +64 21 310 216 samantha.turner@simpsongrierson.com

2. Talking points

3. Challenges and opportunities

4. Where to start? Critical risks - do you know what they are and do you have adequate controls in place? Operations map - what happens where? Safety observations Plan for “efficiencies”

5. Officer

6. Definition of officer An officer of a PCBU must exercise due diligence to ensure that the PCBU complies with its duties Officer duties apply to: – Any person occupying the position of a director of the company; and those in senior governance roles with the ability to exercise significant influence over the management of the business or undertaking, eg a Chief Executive

7. Who will be an officer? Elected members Directors of CCOs Chief Executive Senior Leadership Team – to be reviewed on an individual basis What other structures do you have in place?

8. Elected members Exempted: – A member of the governing body of a local authority; – A member of a local board; – A member of a community board; appointed or elected under the Local Electoral Act 2001 They do not commit offences when acting in that capacity for failure to comply with duties of officers

9. However… Elected members who are officers still have an obligation to comply with duties Elected members will have the duties of an officer when acting in their capacity as an officer of a CCO, but otherwise do not have due diligence obligations for that CCO And can be liable for other offences: – Failure to comply with an improvement notice Fine up to $50,000 for an individual Fine up to $250,000 for a body corporate

10. What do Officers have to do?

11. Due diligence obligations

12. Why is due diligence important?

13. Safety leadership: duties support improved leadership that contributes to safety culture Compliance leads to greater understanding of what is needed to manage risks Officers lead organisation to a positive health and safety outcome

14. What does due diligence look like in practice?

15. Keep up-to-date with health and safety matters Theory and practice of safety leadership and safety culture Legal obligations under the Act, regulations and relevant Codes of Practice Health and safety management principles and practices – risk management – incident investigation – auditing methodology Good processes in place for keeping up-to-date with health and safety developments

16. Practical steps Investigate current industry issues through conferences, seminars, information and awareness sessions Acquire knowledge from senior managers, experts, supervisors and workers Ensure knowledge management system in place Induction package and training programme Regular reviews of induction process and refresher training

17. Understand the nature of the business Contextualises knowledge acquired Critical risks and controls in place to address risks First-hand knowledge Take an active and personal interest in the nature of operations eg: – commission reports on critical risks – operations map – what happens where? – safety observations

18. Officers should consider… Are the right people in the right place? Is information available at the right time? Does the PCBU have a proactive as well as responsive approach to health and safety? Responsibility and accountability? Regular verification of policies and practices? Active engagement – lead from the top

19. Appropriate resources and processes Do you have sufficient understanding and information: – to understand what resources and processes should be implemented? – to ensure the necessary resources and processes are available and are being used? The safety impact of decisions must be considered in every operational decision

20. Practical steps Do you have a system to ensure you use safety impact assessments for: – capital expenditure, and – cost cutting programmes, and – design of premises, system or plant?

21. Reporting and investigation processes Monitoring of safety performance and driving improvement requires data Do you have an open reporting culture? Do you have efficient, timely reporting systems?

22. Complying with the Act Processes implemented must comply with PCBU’s specific duties and obligations under the Act Conduct regular legal compliance audits of policies, procedures and practices Frequency of audits will depend on what is reasonable in the circumstances

23. Verify How do I know the systems, policies and procedures are helping to protect the health and safety of workers? Ensure process in place to verify use of resources and processes: – Audits – Safety observations – Peer reviews

24. Due diligence checklist Identify officers and develop due diligence framework policy Due diligence training programme for officers Safety observations programme for officers Critical risk review Safety impact assessment procedure

25. Due diligence checklist cont’d Key safety performance indicators report Legal compliance report Peer review programme Audit programme Due diligence framework review

26. Quick check

27. Policy and Planning Create a charter setting out the officers’ role in leading health and safety Publish a safety vision and beliefs statement Establish health and safety targets for the organisation Ensure there is an effective linkage between health and safety goals and the actions and priorities of senior management

28. Delivery Ensure effective implementation of a fit-for-purpose health and safety management system Ensure management have staffed the organisation with sufficient personnel with the right skill mix and support Provide sufficient funding for the effective implementation and maintenance of the system and improvement programmes

29. Monitor Review serious incidents including serious non-compliance and near misses Be personally satisfied with the adequacy of management actions in response Specify clear requirements for the regular reporting of health and safety performance results Review these reports for indications of trends, system breakdowns and improvement needs

30. Review Conduct a formal review of the organisation’s health and safety performance on a periodic basis to consider whether the policy and system are being effectively implemented and are still fit for purpose Ensure the review includes internal and external audits to seek independent and objective assurance Ensure that actions identified in the review are communicated and effectively implemented

31. How do I know if I’ve complied? Measure compliance against standard – all reasonable steps in the particular circumstances Regular audits and peer reviews Routinely review your systems and processes

32. Key messages Officers can’t rely on fact PCBU has health and safety management system in place Need to understand how it works and take steps to make sure it’s working Be wary of empty slogans

33. Samantha Turner Partner DDI: +64 4 924 3460 Mob: +64 21 310 216 samantha.turner@simpsongrierson.com