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Element IA1: Principles of Health and Safety Management

Element IA1:

Principles of Health and Safety


Management

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Contents
Reasons for Managing Health and Safety

4
4
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6

1) Moral Reasons
2) Legal Reasons
3) Economic Reasons

Societal Factors Which Influence Health and Safety Standards and


Priorities

7
7
8
9
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11
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12

Economic Climate
Government Policy and Initiatives
Globalisation of Business
Migrant Workers
Levels of Sickness Absence and Incapacity
Societal Expectations
Corporate Social Responsibility (CSR)

Effective Health and Safety Management Systems

15
15
16
28
32
33

The Health and Safety Practitioner and Health and Safety Management Systems
Influencing Ownership and Conduct Within the Organisation
Competence and Continuing Professional Development
Evaluating and Developing Their Own Practice
Professional Ethics
Conflict of Interest

The Role and Responsibilities of the Health and Safety Practitioner

34
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35
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39

References

40

Definitions
Health and Safety Management Systems
Principles of Quality Management Systems and Environmental Management Systems
Integrated Management Systems
Benefits of Introducing a Management System

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Reasons for Managing Health


and Safety
There is a complex web of social pressures driving the agenda for the effective management of
health and safety. Typically these are considered in three broad categories:

Moral;

Legal; and

Economic.

1) Moral Reasons
Everyone has a moral obligation not to cause harm to others. Employers have a moral obligation,
based on the concept of a duty of reasonable care, towards their employees and other persons
who may be affected by their business products, services and activities.
The right to life is the most fundamental right. Yet according to ILO 2005 figures every year
2.2 million men and women are deprived of that right by occupational accidents and workrelated diseases. By conservative estimates workers suffer 270 million (as of ILO 2005 figures)
occupational accidents and 160 million occupational diseases each year. Deaths and injuries
take a particularly heavy toll in developing countries, where large numbers of workers are
concentrated in primary and extractive activities such as agriculture, logging, fishing and mining
- some of the worlds most hazardous industries.
This social and economic burden is not evenly distributed. Fatality rates in some European
countries are twice as high as in some others, and in parts of the Middle East and Asia fatality
rates soar to four-fold those in the industrialised countries with the best records. Certain
hazardous jobs can be from 10 to 100 times riskier, depending on the country.
Employers should not place any person at risk of death, injury or ill-health. Society demands
that employers demonstrate a positive moral attitude towards health and safety.

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2) Legal Reasons
Law is a body of rules designed to regulate the behaviour of society. The effects of law can
either be preventative, punitive or compensatory. In many parts of the world, law is divided into
two sections criminal and civil law.

Criminal Law
A crime is an offence against the state, which can be addressed within the legal framework of
each particular country with punitive consequences. Punitive - fines and prison sentences may
be imposed with the aim of punishment, deterrence and reformation.

Civil Law
A civil action is brought between individuals, or groups of individuals, for compensatory reasons
- whereby the claimant is seeking either financial compensation or a court order to prevent a
certain activity or settle a grievance from the respondent.
In some countries civil actions by the claimant have to demonstrate that the employer was
negligent in some way i.e. the employer was at fault. In other countries such as Australia and
New Zealand they operate a no fault compensatory system where if somebody is injured at
work they receive compensation from the State.

Self Regulation
Modern health and safety laws tend to set targets following a style based on goal setting which
encourages organisations to self regulate, rather than relying on compliance with specific technical
requirements. These place more emphasis on the duty holder to comply with the principles and
requirements of the law rather than the enforcing authority laying down, and then enforcing
prescriptive technical rules.
In this goal setting environment, the enforcing authority not only takes on a role of enforcer and
punisher where these laws have been broken but also a role of adviser, providing guidance and
information on how these laws may be complied with.
The broad target is the adequate control of risks to the health and safety of employees and others.

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3) Economic Reasons
The ILO figures of workers suffering 270 million occupational accidents and 160 million occupational
diseases each year would suggest a significant cost to both the employer and the state.
The costs of accidents will vary from country to country depending upon many factors such as
the country cost base, the social security system and the medical care regimes.
The true cost of accidents is a lot higher than most people realise, with indirect costs being
substantially more than the direct costs involved.
It is therefore difficult to estimate the cost of accidents on a country by country basis but for
illustrative purposes an example is the UKs HSE Guidance Note HSG 96, Cost of Accidents at
Work which illustrates the significance of the cost of accidents. Further costs to an organisation
may result from absenteeism, compensatory insurance costs, preventative enforcement action,
legal costs and punitive fines, loss of business reputation and business opportunity.
The costs of health and safety control programmes (precautionary and preventive measures)
are usually easily recognised and calculated as a bottom-line expense.
The cost of failure is less easy to calculate, as the losses tend to be absorbed into operating
costs. Costs include:

Accident investigation;

Payments for non productive time (injured persons);

Payments for non productive time (witnesses, investigators, first-aiders, clearing up, etc.);

Replacement labour (probably less effective);

Training for replacement labour;

Business interruption / disruption;

Loss of reputation;

Damage repair;

Replacement plant;

Compensation payments;

Legal costs and fees; and

Insurance.

The true costs would be very difficult and time consuming to calculate.

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Societal Factors Which


Influence Health and Safety
Standards and Priorities
Health and Safety standards and priorities can be influenced by many societal factors,
these include;

Economic climate;

Government policy and initiatives;

Globalisation of business;

Migrant workers;

National levels of sickness absence and incapacity; and

Corporate social responsibility

Economic Climate
Research by the Institute of Employment Research (IER, 2005) at the University of Warwick, has
suggested that the injury and ill health incident rates are counter cyclical, with rates decreasing
during recessions. Subsequently a paper published by the HSE Economic Analysis Unit in May
2009 entitled HSE Strategy Launch, Background Paper: the economic evidence, suggests
that during recessions injury rates usually fall due to fewer newly hired workers being used,
thus leading to higher than average levels of experience within the workforce. This can also be
combined with less product demand resulting in less hours being worked and therefore less
fatigue and work production pressures. (HSE, 2009).
Against this however is possible corner cutting by employers and less investment and training
which could lead to more injuries. However, past recessions have shown that injury rates have
fallen despite this possibility.
The paper suggests there is however less evidence when it comes to ill-health. Less product
demand might have a positive effect on work-related stress and more experienced workers
might have a better risk perception regarding health risks. However, health/welfare issues could
be subject to cost-cutting by the employer and non-work factors including unemployment /
deprivation and general ill-health could have an adverse effect possibly leading to stress.
In the recession of 2010 there is evidence that injury rates have fallen. However, the paper
suggests there are differences to previous recessions:

The origins of the credit crunch, financial and housing markets;

The speed and depth of the downturn; and

The scale and nature of response fiscal and regulatory.

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Turning to the response by employers, the paper reports that there is a mixed picture with
regard to corner cutting. One survey showed that employees were reluctant in raising health
and safety concerns in the current economic climate while half of company directors surveyed
said they would cut bonuses rather that cut health and safety spending.
The paper predicts that as the UK comes out of recession there may be a rise in injury rates due
to an increase in hours worked and new workers hired possibly with little previous experience
as those laid off may have left the labour market.

Government Policy and Initiatives


Each countries government will influence through its policies the perception of health and safety
by each countries employers and employees

The Health & Safety of Great Britain Be Part


of the Solution
In 2009 the HSE launched its Strategy The Health & Safety of Great Britain Be Part of the
Solution. However, no measurable targets for the reduction of accidents or ill health, were laid
out in either the Strategy or the Business Plan.

EU Strategy
Occupational accidents should be cut by a quarter across the EU under a new five-year strategy
for health and safety at work through a series of actions at European and national levels in the
following main areas:

Improving and simplifying existing legislation and enhancing its implementation by exchange
of good practices, awareness-raising campaigns and better information and training;

Defining and implementing national strategies adjusted to the specific context of each
Member State;

Mainstreaming of health and safety at work in other national and European policy areas
(education, public health, research) and finding new synergies; and

Better identifying and assessing potential new risks through more research, exchange of
knowledge and practical application of results.

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ILO Five Pillars Strategy


The ILO have developed a five pillars strategy for a culture of preventing workplace accidents
in business and society:
1.

Reducing work accidents and occupational diseases (Vision Zero);

2.

Raising awareness, developing competencies and capacity building;

3.

Cooperation between public health and OSH;

4.

Health and safety as an integral part of lifestyle; and

5.

Integrating prevention into the social security system.

Globalisation of Business
Two departments of the United Nations recently
warned that globalisation may considerably increase
the number of work-related diseases and injuries
in the next century. They said the pressures for
deregulation of the basic standards for health and
safety is growing.
Dr Richard Helmer of the World Health Organisation
(WHO) said, in order to reduce costs, industries with
their accompanying occupational hazards are being
relocated to developing countries - home to 75 per
cent of the global workforce. There are about 2.6
billion workers in the world as a whole.
Dr Jukka Takala, Chief of the International Labour
Organisations (ILO) Health and Safety Programme,
estimates that there are 250 million accidents in the
workplace each year, leading to 335,000 fatalities.
One million people die each year from the 160 million
illnesses caused by pollution and toxic materials and
processes. One hundred thousand chemicals are in
use. Of these 350 are known to be carcinogens and
3,000 are allergenic. Illnesses include respiratory and
cardiovascular disease, cancer and reproductive and
neurological problems.
In the least developed countries most workers are
involved in production of raw materialsagriculture
and mining. This means heavy and noisy physical
work and exposure to pesticide sprays, dusts and
parasitic and infectious diseases. In industrialising
countries, less advanced and more hazardous
technologies are used. The extent of illnesses and
injuries is unknown. In industrialised countries and
increasingly elsewhere, more than half the workers
suffer from psychological stress.

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Migrant Workers
Research from the Migration Research Unit, University College London, shows that of those
entering the UK on work permits, the biggest group was from India (mainly health and IT),
followed by the USA (mainly business). In addition, over 80 per cent of migrant workers are
under 35.
Many migrant workers face no, or very little, increased risk. They speak fluent English, may
have worked in the UK for many years and have the same working conditions and security
as non-migrant workers. Nevertheless there is no doubt that migrant workers with low English
language skills or with vulnerable employment or residency status are at greater risk.
HSE Research Document RR502 Migrant workers in England and Wales: An assessment
of migrant worker health and safety risks, states that there is no current method of identifying
whether there are any specific health and safety risks for migrant workers. Existing Health and
Safety Executive (HSE) programmes and recording systems only report a limited number of
workplace incidents and there is no systematic way of identifying whether someone is a recent
migrant. Consequently it is impossible to document, on the basis of the available statistics,
whether migrants are in a higher risk category than local workers.
However, RR502 does reveal that migrants are more likely to be working in sectors or
occupations where there are existing health and safety concerns and that their status as new
workers that may place them at added risk, due to a range of factors including:

Relatively short periods of work in the UK;

Limited knowledge of the UKs health and safety system;

Different experiences of health and safety regimes in countries of origin;

Motivation to earn as much as possible, in the shortest possible time;

Inability to communicate effectively with other workers and with supervisors, particularly in
relation to their understanding of risk;

Access to limited health and safety training and their difficulties in understanding what is
being offered, where proficiency in English is limited;

Failure of employers to check on their skills for work and on their language skills; and

Lack of knowledge of health and safety rights and how to raise them.

The research was primarily qualitative and much of the data was collected through in-depth,
face-to-face interviews with 200 migrant workers and with more than 60 employers, together
with over 30 key respondents who worked with, advised, employed or organised migrants.
These interviews were conducted in five regions of England and Wales and were mainly carried
out between May and November 2005.

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Levels of Sickness Absence and


Incapacity
There are many ways of calculating the rates of sickness absences making comparisons
difficult. At the global level, the ILO reports that as many as 145 countries provide for paid sick
leave,but the benefit schedules for paid sick leave differ widely among countries. Globally, the
replacement rates that is the ratio of the total resources received when out of work to those
received when in employment vary between lump sums and up to 100 per cent of wages. The
majority more than 50 per cent of countries provide for replacement rates that vary between
50 and 75 per cent of the wage received before. The period of paid sick leave spans from more
than one month (and up to two years) to less than 7 days.

Societal Expectations
Research into discrimination within the workplace to such groups as women and the disabled
suggests that the pattern of findings is similar to those found in the broader society

ILO Declaration on Fundamental Principles


and Rights at Work, 1998
All ILO Members, even if they have not ratified the Conventions to respect, and promote the
principles concerning the fundamental rights including the elimination of discrimination in
respect of employment and occupation, are required to observe these fundamental principles.
This is further amplified within ILO Vocational Rehabilitation and Employment of (Disabled
Persons) Convention which requires each Member to, in accordance with national conditions,
implement a national policy on vocational rehabilitation and employment of disabled persons.
This should be based on the principle of equal opportunity between disabled workers and
workers generally.

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Corporate Social Responsibility (CSR)


The growth of the global economy has seen benefits across the world but also increasing public
concern about business activities and a decline in trust. At the World Summit on Sustainable
Development (WSSD) in Johannesburg in September 2002 there was as much focus on
business as on poverty and the environment.
Todays heightened interest in the proper role of businesses in society has been promoted
by increased sensitivity to, and awareness of environmental and ethical issues. Issues like
environmental damage, improper treatment of workers, and faulty production leading to
customers inconvenience or danger, are highlighted in the media.
In some countries government regulation regarding environmental and social issues has
increased, and standards and laws are also often set at a supranational level (e.g., by the
European Union). Some investors and investment fund managers have begun to take account
of a corporations CSR policy in making investment decisions (so called ethical investing).
Some consumers have also become increasingly sensitive to the CSR performance of the companies
from which they buy their goods and services. These trends have contributed to the pressure on
companies to operate in an economically, socially and environmentally sustainable way.
The Confederation of British Industry (CBI) describes CSR as;
the acknowledgement by companies that they should be accountable not only for
their financial performance, but for the impact of their activities on society and/or the
environment.(www.cbi.org.uk)
Corporate Social Responsibility requires organisations to conduct their activities in an ethical
fashion and to report annually on their progress against previously set targets. Topics to be
reported upon included:

Health and safety.

Environment.

Ethical trading.

Community involvement.

Employment standards.

CSR can be considered as a form of corporate self-regulation. It would be integrated into


a business model which would function as a built-in, self-regulating mechanism whereby
businesses would monitor themselves to ensure its support to law, ethical standards, and
national / international norms.
Consequently, businesses would consider the impact of their activities on the environment,
consumers, employees, communities, stakeholders and all other members of the public.
They would also proactively promote the public interest by encouraging community growth
and development. Essentially, CSR is the deliberate inclusion of public interest into corporate
decision-making.

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Social Accountability 8000(SA8000) Standard


In 1997, Social Accountability International (SAI) was established to develop standards
and systems to address workers rights. Representatives of trade unions, human rights
organisations, academia, retailers, manufacturers, contractors, as well as consulting,
accounting, and certification firms, by consensus, cooperated to develop the Social
Accountability 8000 (SA8000) Standard. Published in late 1997 and revised in 2001, the
SA8000 Standard and verification system is an auditable certification standard based on
international workplace norms of International Labour Organisation (ILO) conventions, the
Universal Declaration of Human Rights and the UN Convention on the Rights of the Child. A
summary of the Standard elements follows:

Child Labour;

Forced Labour;

Health and Safety: (Provide a safe and healthy work environment; take steps to prevent injuries;
regular health and safety training for workers; systems to detect threats to health and safety);

Freedom of Association and Right to Collective Bargaining;

Discrimination;

Discipline;

Working Hours;

Compensation; and

Management Systems.

ISO 26000
ISO 26000 is the recognized international standard for CSR. This standard offers guidance
on socially responsible behaviour and possible actions; it does not contain requirements and,
therefore, in contrast to ISO management system standards, is not certifiable.
ISO 26000:2010 provides guidance to all types of organisations, regardless of their size or
location, on:

Concepts, terms and definitions related to social responsibility;

The background, trends and characteristics of social responsibility;

Principles and practices relating to social responsibility;

The core subjects and issues of social responsibility;

Integrating, implementing and promoting socially responsible behaviour throughout the


organisation and, through its policies and practices, within its sphere of influence;

Identifying and engaging with stakeholders; and

Communicating commitments, performance and other information related to social


responsibility.

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The Global Reporting Initiative (GRI)


The Global Reporting Initiative was initially convened by the Coalition for Environmentally
Responsible Economies (CERES), a non-profit coalition of over 50 investor, environmental,
religious, labour and social justice groups. The GRI has developed a set of core metrics
intended to be applicable to all business enterprises, sets of sector-specific metrics for specific
types of enterprises and a uniform format for reporting information integral to a companys
sustainability performance.
The main reason for starting the GRI project was that there was no guideline on what a
voluntary CER or CSR should contain. Because of this, there was no possibility to compare
reports from different companies. The guidelines are constructed to be applicable to the ISO
14001 standard.
The guidelines recommend the following parts to be included in the report:
1.

EO statement, including a statement from the organisations CEO describing the key
elements of the report;

2.

Profile of reporting organisation, including an overview of the reporting organisation;

3.

Executive summary and key indicators, showing an overview of the GRI report;

4.

Vision and strategy, giving the organisations vision and how the vision integrates economic,
environmental and social performance;

5.

Policies, organisation, and management systems, including an overview of the


organisations governance structure and the management systems that are in place to
implement the vision, and

6.

Performance, covering a report of the organisations economic, environmental and social


performance.

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Effective Health and Safety


Management Systems
Many management systems exist throughout the world. Organisations often fail to manage
health and safety effectively as they view it as something distinct from other management
systems such as systems for the environment or quality.
However, before considering management systems in detail it is important that the definitions
of key terms used in such systems is clearly understood.

Definitions
Various similar definitions exist for health and safety terminology. The definitions offered below
arise from a combination of authoritative sources.

Hazard
A hazard is something with the potential to cause harm; hazards can be physical, chemical,
biological, ergonomic or psychological in nature.
HSE publication HSG 65 defines a hazard as:
The potential to cause harm, including ill-health and injury; damage to property, plant, products
or the environment; and production losses or increased liabilities.
OHSAS 18001 gives the following definition:
A source or situation with a potential for harm in terms of injury or ill-health, damage to property,
damage to the workplace environment, or a combination of these.

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Danger
The Concise Oxford Dictionary defines danger as:
Liability or exposure to harm; a thing that causes or is likely to cause harm.

Risk
Risk is the likelihood that the harm from one or more particular hazards is realised (the extent
of the risk covers the population affected and the consequences for them).
HSE publication HSG 65 defines risk as:
The likelihood that a specified undesired event will occur due to the realisation of a hazard by,
or during, work activities or by the products and services created by work activities.
OHSAS 18001 defines risk as:
A combination of the likelihood and consequence(s) of a specified hazardous event occurring.

Health and Safety Management


Systems
A management system is a proven framework for managing and continually improving an
organisations policies, procedures and processes.
The modern approach to health and safety management is systems based. Successful
management of health and safety results from the application of sound management principles
and business expertise.
Management systems are generally constructed in accordance with a Plan, Do, Check, Act (PDCA)
cycle providing a framework for problem solving, organisational learning and continual improvement.
The process, simply involves:

Planning what is needed;

Doing it;

Checking that it worked; and

Acting to correct any problems and improve performance

The PDCA cycle was originally developed by Walter Shewart in the 1930s and was taken up
and championed in the 1950s by William Edwards Deming, the quality management authority.

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Figure 1: PDCA Cycle


Figure 1: PDCA Cycle

Various commercial health and safety management systems are discussed in this section
including:

BS OHSAS 18001 Occupational Health and Management Systems: Specification. British


Figure
2: The Elements
OHSAS 18001
Standards
Institution,of1999.

ILO-OSH-2001 Guidelines on Occupational Health and Safety Management Systems.


ILO, 2001.

Whichever individual system is selected, all effective health and safety management systems
Continual
amplify the Plan-Do-Check-Act
model.
Improvement

OH&S Policy
Management
Review
Planning
Checking
Corrective
Action

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Elements of a Health and Safety Management


System
The key elements of any effective health and safety management system will include:

Policy;

Organisation;

Planning and implementation;

Measuring performance;

Performance review;

Audit; and

Continual improvement.

Policy
A health and safety policy should influence all workplace activities, including the selection
of people, equipment and materials, the way the work is done and how goods and services
are designed. Effective health and safety policies set a clear direction for the organisation to
follow and are a vehicle for the effective communication of health and safety information. They
contribute to all aspects of business performance as part of a demonstrable commitment to
continuous improvement. Responsibilities to people and the environment should be met in
ways that fulfil moral duties and any legal requirement.
The health and safety policy should include cost effective approaches to preserving and
developing physical and human resources, which reduce financial losses and liabilities.
The policy requires consideration of a corporate strategy, including the setting of objectives,
allocation of resources, monitoring and appraisal of performance. Stakeholders expectations in
the undertaking (whether they are shareholders employees, or their representatives, customers
or society at large) should be satisfied.

Organisation
The policy sets the direction for health and safety, but organisations need to create a robust
framework for management activity and to detail the responsibilities and relationships that will
deliver improved performance. To make a health and safety policy effective, staff (permanent
and temporary) must become involved and committed to health and safety matters. This is
often referred to as a positive health and safety culture. To promote a positive health and safety
culture organisations should address the following:

Control:

By allocating responsibilities, accountabilities, securing commitment,


instruction and supervision.

Competence:

In recruitment, training and advisory support.

Co-operation:

Between individuals and groups, including consultation with



employees and other persons, such as contractors and other
employers who share the site.

Communication: Spoken, written and visible. Effectively flowing in all directions.

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Planning and Implementing


Planning is essential for the implementation of health and safety policies. Adequate control of
risks can be achieved through the co-ordinated action by all members of the organisation. An
effective planning system for health and safety requires organisations to establish and operate
a health and safety management system that:

Generates objectives;

Identifies hazards, assesses risks and establishes priorities according to risk;

Controls risk;

Reacts to changing demands;

Establishes, monitoring arrangements to ensure standards are met; and

Sustains a positive health and safety culture.

A systematic approach is necessary to answer three key questions:


1.

Where are we now?

2.

Where do we want to be?

3.

How do we get there?

Although health and safety management systems vary in detail, they have some general
characteristics, such as:

Designing, developing and installing suitable management arrangements, risk control


systems and workplace precautions, which are proportionate to the needs, hazards and
risks of the organisation; and

Operating, maintaining and improving the system to suit changing needs and process
hazards / risks.

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Risk Control Systems (RCS)


The Risk Control Systems ensure that appropriate workplace precautions are provided and
maintained for all aspects of the undertaking. At the input stage the aim is to minimise hazards
and risks entering the organisation. At the process stage the focus is on containing risks
associated with the process. At the output stage the aim is to prevent the export of risks off
site, or in the products generated or services provided by the business. The nature and relative
importance of the RCS will vary according to the nature and hazard profile of the business and
the workplace.
Example RCS include policies, standard operation procedures, safety method statements, safe
systems of work, communication systems, consultation systems, training, workplace and activity
monitoring systems, environmental and personal monitoring, record keeping, maintenance
schedules, induction and competency assessments, control of contractors, etc.

Workplace Precautions
The purpose of the health and safety management system is to prevent injuries and ill health
due to work-related activities. Adequate workplace precautions are required to prevent harm at
the point of risk. Workplace precautions should match the hazards and risks of each business
activity. They can include a combination of:

Avoiding the risks completely by using alternatives, e.g. avoid exposure to solvents by
using water based paints;

Reducing the nature of the hazard, e.g. the use of granular materials rather than fine
powders that create a dust hazard;

Isolating the hazards from people by preventing access by means of guards, barriers
and screens;

Reducing exposure to the hazards by ventilation, job rotation and personal protective
equipment; and

Safety information instruction and training on hazards, precautions and safe systems
of work.

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Measuring Performance
Measurement is essential to maintain and improve health and safety performance. There are
two ways to generate information on performance:
Active (pro-active) monitoring, which monitors the achievement of plans and the extent of
compliance with standards before an accident, incident or ill-health. Examples would be:

Progress monitoring of objectives;

Performance reviews;

Review of training assessment, records and needs;

Examination of documents;

Workplace inspections;

Management system audits;

Environmental monitoring;

Health surveillance;

Behavioural observation;

Safety tours (a general impression gained on the tour);

Safety sampling (scoring compliance and non-compliance);

Safety survey (concentrates on a specific topic); and

Consideration of regular reports by the board of directors.

Reactive monitoring, which monitor accidents, ill health and incidents, e.g.

Accident incident rates;

Ill health incidence rates;

Accident frequency rates;

Accident severity rates;

Sickness absence; and

Property or product damage.

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Reviewing Performance
Organisations can maintain and improve their ability to manage risks by learning from experience
through the use of audits and proactive and reactive performance reviews. Monitoring provides
the information in order to review activities and improve performance.

Auditing
Internal and external audits complement the monitoring activities by determining whether the
health and safety policy, organisation and systems are actually achieving the required reliability
and effectiveness.

Continual Improvement
The requirement for continual improvement for many reasons employee morale, insurance
costs, liability, etc. not to mention simple human concern for the welfare of others, nothing in a
business is more important than improving health/safety performance.

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BS OHSAS 18001; 2007 entitled Occupational


Health and Safety
BS OHSAS 18001 is the internationally recognised assessment specification for occupational
health and safety management systems. It was developed to address a gap where no thirdparty certifiable international standard exists.
OHSAS 18001 has been designed to be compatible with ISO 9001 (quality) and ISO 14001
(environmental). It is not related to the safety of products and services, nor is it a British
Standard
accreditation
purposes,
rather it is a specification for certification purposes.
Figure 2:for
The
Elements of
OHSAS but
18001
Figure 2: The Elements of OHSAS 18001

Continual
Improvement

OH&S Policy
Management
Review
Planning
Checking
Corrective
Action

Implementation
and Operation

The OHSAS specification is applicable to any organisation that wishes to:

Establish an OH&S management system to eliminate or minimise risk to employees


and other interested parties; implement, maintain and continually improve an OH&S
management system;

Assure itself of its conformance with its stated OH&S policy; and

Demonstrate such conformance to others by seeking certification/registration of its


OH&S management system by an external organisation or making a self-declaration
of conformance.

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Element IA1: Principles of Health and Safety Management

OH&S Policy
An OH&S policy establishes an overall sense of direction and sets the principles of action
for OH&S objectives, responsibility and performance required. The OH&S policy should be
documented, implemented and maintained and it should be consistent with the organisations
overall business policies, including policies for other management disciplines, e.g. quality
management and environmental management.

Planning
OHSAS 18001 requires the establishment and maintenance of documented systems that are
kept up to date for:

Occupational health and safety objectives at each relevant function and level within the
organisation. A management programme for achieving its OH&S objectives should be
established and maintained. This includes documentation of responsibilities and authorities
for achievement of the objectives at relevant functions and levels of the organisation, and
the means and time-scale by which objectives are to be achieved;

Procedures for ongoing identification of hazards, the assessment of risks, and the
implementation of control measures as necessary for the activities of all persons having
access to the premises; and

Procedures for identifying and accessing the legal and other OH&S requirements that
are applicable to it. This information should be communicated to its employees and other
relevant interested parties.

Implementation and Operation


The roles, responsibilities and authorities of personnel who manage, perform and verify activities
having an effect on the OH&S risks of the organisations activities, facilities and processes,
should be defined, documented and communicated.
To make an effective health and safety policy, a positive health and safety culture should be
established whereby staff are involved and committed to health and safety. Employee involvement
and consultation arrangements should be documented and interested parties informed.
OHSAS 18001 states that personnel should be competent to perform tasks that may impact
on OH&S in the workplace. Competence in the specification is defined in terms of appropriate
education, training and/or experience.
OHSAS 18001 requires procedures for ensuring that pertinent OH&S information is
communicated to and from employees and other interested parties.
The specification requires that the organisation establishes and maintain plans and procedures
to identify the potential for, and responses to, incidents and emergency situations, and for
preventing and mitigating the likely illness and injury that may be associated with them. The
organisation should review its emergency preparedness and response plans and procedures,
in particular, after the occurrence of incidents or emergency situations and periodically test
such procedures.

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Element IA1: Principles of Health and Safety Management

Checking and Corrective Action


The OHSAS specification requires that the organisation establishes and maintains procedures
to monitor and measure OH&S performance on a regular basis. Any corrective or preventive
action taken to eliminate the causes of actual and potential non-conformances should be
appropriate to the magnitude of problems and commensurate with the OH&S risk encountered.
Procedures for periodic OH&S management system audits should be established, maintained
and an audit programme carried out.

Management Review
Each organisations top management should, at intervals that it determines, review the OH&S
management system, to ensure its continuing suitability, adequacy and effectiveness. The
management review process should ensure that the necessary information is collected to allow
management to carry out this evaluation and this review should be documented.
The management review should address the possible need for changes to elements of
the management system, in the light of management system audit results and changing
circumstances, e.g. legislative requirements or societal expectations. Any changes introduced
should be communicated as soon as practicable.

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Element IA1: Principles of Health and Safety Management

ILO-OSH 2001: Guidelines on Occupational


Safety and Health Management Systems
This standard was introduced by the International Labour Organisation in 2001. Its aim is to
provide guidance on management systems for:

National policy;

National guidelines; and

Tailored guidelines.

The guidances most practical use is in the use of this standard as a framework to develop
tailored occupational health and safety systems for an organisation reflecting a framework that
is multi-national and can be adopted for national legislation.
Despite being an international standard and developed with representatives from worldwide
health and safety organisations, BS OHSAS 18001 has become the leader in terms of popularity
of standards, possibly because unlike the International Labour Organisation standard it is
capable of certification.

Figure 3: ILO Health and Safety Management System

Figure 3: ILO Health and Safety Management System

Figure 4: Customer Driven, Process Based Quality Management System


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Element IA1: Principles of Health and Safety Management

Policy
The main difference between this and other systems is the emphasis on standard basis and
worker participation in the development of the policy.
The OSH policy should include, as a minimum, the following key principles and objectives to
which the organisation is committed:

Protecting the safety and health of all members of the organisation by preventing workrelated injuries, ill health, diseases and incidents;

Complying with relevant OSH national laws and regulations, voluntary programmes,
collective agreements on OSH and other requirements to which the organisation subscribes;

Ensuring that workers and their representatives are consulted and encouraged to
participate actively in all elements of the OSH management system; and

Continually improving the performance of the OSH management system.

Organising
Here the main difference between this and other organisational policy systems is the requirement
for health promotion and prevention.

Planning and Review


The key differences with the ILO system is the emphasis placed upon:

The requirement for money and the initial review;

Contains any legal register (country specific);

Includes management of change;

Includes procurement; and

Includes specific requirements of contracting and contractors.

Evaluating
This section contains the specific requirement that the development of performance indicators
that are both qualitative and quantitative. There is a requirement for both reactive and active
data along with the need for audit programmes as OHSAS 18001.

Actions for Improvement


This, like OHSAS 18001 has a commitment to continuous improvement.

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Element IA1: Principles of Health and Safety Management

Principles of Quality Management


Systems and Environmental
Management Systems
Quality Management Systems (BS EN ISO
9001: 2008)
Quality is defined within ISO 9001 as the degree to which a set of inherent characteristics (or
distinguishing features of a product or service) fulfils requirements (i.e. a need or expectation be it stated, generally implied or obligatory).
ISO 9001 advocates a process approach for developing, implementing and improving the
effectiveness of a quality management system, and enhancing customer satisfaction by
meeting customer requirements
The approach emphasizes the importance of:

Understanding and meeting requirements;

The need to consider processes in terms of added value;

Obtaining results of process performance and effectiveness; and

Continual improvement of processes based on objective measurement.

Customer satisfaction is monitored through the evaluation of customer perception of how well
the organisation has met the customer requirements. Customers therefore play a significant
role in defining requirements as inputs.
Figure 4 models a customer driven, process based quality management system.
It is important to note that the Plan-Do-Check-Act (PDCA) methodology can be applied to
all processes.

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Figure 4: Customer Driven, Process Based Quality Management System

Figure 5: ISO 14001 Environmental Management System

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Element IA1: Principles of Health and Safety Management

Environmental Management Systems (BS EN


ISO 14001: 2004)
ISO 14001 is intended to provide organisations with the elements of an effective environmental
management system (EMS) that can be integrated with other management requirements and
help organisations achieve environmental and economic goals
The Standard contains only those requirements that can be objectively audited and does not
establish absolute requirements for environmental performance beyond the commitments, in
the environmental policy.
The key differences with OHSAS 18001 lies in the planning stage and relate to the identification
of significant environmental aspects and impacts rather than health and safety hazards and
risks (see table 1)

Environmental aspect is defined as an element of an organisations activities or products


or services that can interact with the environment. A significant environmental aspect has
or can have a significant environmental impact; and

Environmental impact is any change to the environment whether adverse or beneficial,


wholly or partially resulting from an organisations environmental aspects

The key elements in the system are shown in Figure 5.


Figure 5: ISO 14001 Environmental Management System

Continual
Improvement

Management
Review

Environmental
Policy

Planning

Checking

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and Operation

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Element IA1: Principles of Health and Safety Management

Table 1: Comparison of Management Systems


OHSAS 18001: 2007

ISO 14001:2004

ISO 9001: 2008

OH&S Policy

Environmental policy

Quality policy,
Management commitment,
and Continual
improvement

Planning
Hazard ID, risk
assessment and controls
Legal and other
requirements
Objectives and
programmes

Planning
Environmental aspects
Legal and other Requirements
Objectives, targets and
programme(s)

Planning
Customer focus
Determination of product
related requirements
Quality objectives
Management system
planning and continual
improvement

Implementation and
operation
Resources, roles,
responsibility,
accountability and
authority
Competence, training and
awareness
Communication,
participation and
consultation
Documentation
Control of documents
Operational control
Emergency preparedness
and response

Implementation and
operation
Resources, roles,
responsibility, and authority
Competence, training and
awareness
Communication
Documentation
Control of documents
Operational control
Emergency preparedness and
response

Product realisation
Management commitment
Responsibility and authority
Provision of resources
Infrastructure
Competence, awareness
and Training
Internal and customer
communication
Documentation
requirements
Control of documents
Planning of product
realisation and customerrelated processes
Design and development
processes
Production and service
provision
Preservation of product
Control of non-conforming
product

Checking
Performance
measurement and
monitoring
Evaluation of compliance
Incident investigation
Nonconformity, corrective
and preventive action
Control of records
Internal audit

Checking
Monitoring and measurement
Evaluation of compliance
Incident investigation
Nonconformity, corrective
action and preventive action
Control of records
Internal audit

Measurement, analysis
and Improvement
Monitoring and
measurement of processes
and product
Control of nonconforming
product
Control of records
Internal audit

Management review

Management review

Management review
Review input and output
Continual improvement

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Element IA1: Principles of Health and Safety Management

Integrated Management Systems


There is increasing recognition that a developed approach to quality is an essential feature of a
successful organisation, not just an optional extra.
The advent of the quality management systems, ISO 9000 series and its counterpart BS5750,
led to organisations producing quality manuals and procedures, which did not consistently
regard other business aspects such as health and safety and environmental issues. Emphasis
was, and in many cases still is, placed upon quality of goods and services to the detriment of
other business activities.
The introduction and adoption of ISO 14000 addressed environmental integration, yet still
health and safety was not always systematically considered.
BS 18000 was designed to enable the integration of occupational health and safety management
within an overall management system, however the quality, environmental and health and
safety functions within an organisation were often separate. Quality, environmental and health
and safety line managers were often in different departments reporting to different managers,
leading to inconsistent approach and emphasis, a lack of communication and hence integration.
Similar procedures were produced for each discipline often with conflicting results leading to
confusion and reduced performance.
The integration of health and safety with quality management and environmental protection
is a sensible business strategy, if properly resourced and managed, for achieving business
efficiency and the associated benefits. Integrated management systems are most effective with
large, complex, multi-hazard industrial organisations. They are less beneficial for other types of
organisation, particularly when the degree of risk posed by their operations to either the health
and safety of individuals or to the environment is low. For these organisations the costs of
introduction would be disproportionate to the benefits.
The various management systems however do not necessarily specify how to achieve
conformance, nor do they guarantee legal compliance. Competent, specialist personnel must
undertake the implementation and integration of the management systems to develop a series
of detailed standards for non-specialist personnel to use.
Many organisations today have health, safety and environmental managers or quality and health
and safety managers in recognition of past failings to integrate the functions and disciplines.
Anomalies between the standards will inevitably exist because of the very nature of the risks, e.g.
the risk assessment methodology cannot be developed as a fully integrated system because
health and safety risk assessment requires a task-based approach, whereas the environment
usually requires a global approach, although partial integration is possible.
The effectiveness of integrated management systems is generally found to be variable. At most
levels of implementation, integrated management systems are effective. However, integrated
risk assessment and audit methodologies prove to be the least effective, particularly when used
by non-specialist personnel.

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Element IA1: Principles of Health and Safety Management

Table 2: Benefits of Integrated and Separate Management Systems


Integrated Management Systems

Separate Management Systems

Consistency / avoidance of duplication and


unnecessary cost in procedural, recordkeeping, auditing and software areas.

Existing systems may work well and may


lose some effectiveness during and after
integration.

Avoids narrow decision making that solves


a problem in one area but creates a
problem in another area.

Safety and quality systems cannot be


treated exactly the same, e.g. safety
standards must meet legal minima, and
quality standards can be set internally.
Separate systems can be operated more
easily with a different philosophy.

Encourages priorities and resource


utilisation that reflects the overall needs
of the organisation rather than individual
disciplines.

Business needs may demand systems of


different complexity, e.g. a complex safety
system and a simple quality system, so
bureaucracy can be more easily tailored to
the needs of the subject.

Initiatives in one area may benefit other


areas.

Separate systems may encourage a more


detailed and focused approach to auditing
and standards.

Encourages closer working and equal


influence amongst specialists / career
development.

Separate systems are clearer for regulators


to work with.

Provides scope for the integration of other


areas, e.g. security, production safety, etc.

Change to integration will require resource


input / time to develop.

Encourages the spread of a positive culture


across three disciplines.

Benefits of Introducing a Management


System
The benefits of establishing an OH&S management system is to eliminate or minimise risk to
employees and other interested parties who may be exposed to OH&S risks associated with
its activities and to:

Assure itself of its conformance with its stated OH&S policy;

Demonstrate such conformance to others;

Implement, maintain and continually improve an OH&S management system; and

Seek certification/registration of its OH&S management system by an external organisation.

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Element IA1: Principles of Health and Safety Management

The Role and Responsibilities


of the Health and Safety
Practitioner
The Health and Safety Practitioner
and Health and Safety Management
Systems
The health and safety practitioner has a strategic role in the design, implementation, evaluation
and maintenance of a health and safety management system. The key aspects of the role include:

Advising the board or senior management on strategic health and safety issues;

Formulating and developing health and safety policies, not just for existing activities but
also with respect to new acquisitions or processes;

Formulating and developing specific aspects of the health and safety management system,
e.g. the practical arrangements for risk assessment;

Promoting a positive health and safety culture and securing the effective implementation
of health and safety policy;

Developing and contributing to the implementation of arrangements to ensure effective


consultation and communication of health and safety issues;

Planning for health and safety including the setting of realistic short and long-term
objectives, deciding priorities and establishing adequate systems and performance
standards;

Day-to-day implementation and monitoring of policy and plans including accident and
incident investigation, reporting and analysis; and

Reviewing performance and auditing of the health and safety management system.

To fulfil the role effectively health and safety advisers need to have the status and competence to
advise management and employees or their representatives with authority and independence.

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Element IA1: Principles of Health and Safety Management

Influencing Ownership and Conduct


Within the Organisation
In order for the practitioner to play an effective role in the development, maintenance and
improvement of the organisations health and safety management system, they will naturally have
to work with individuals at all levels with the organisation. The health and safety management
system will not be effective in improving the organisations health and safety performance by
itself, it needs individuals throughout the organisation to take ownership of it and play their part.
This is where the practitioner can have a significant influence.
During discussions and consultation with employees and management, the practitioner must
be seen as the champion or driving force for health and safety and must be able to convince
managers especially senior management - of the benefits of improving health and safety
performance. They must therefore themselves show commitment, ownership, enthusiasm and
always conduct themselves in such a way that demonstrates they believe in what are talking
about. Being positive about health and safety, making suggestions for improvements and not
just highlighting problems, encouraging others to share their views and suggestions and actively
getting people involved with health and safety programs will all make positive influences on
employees conduct and ownership of health and safety.

Competence and Continuing


Professional Development
Competence
Competence, in the health and safety context, is legally defined within case law from the 1960s
onwards (Cooper, 1997) and more recently within the UKs Management of Health and Safety at
Work Regulations which defines competence as the ability to perform to a required standard,
and states that:A person shall be regarded as competent. where he has sufficient training and
experience or knowledge and other qualities to enable him properly to assist in undertaking the
measures referred to. (HSC,2000, p17)
Professional competence must be obtained, maintained and developed by taking all reasonable
steps to keep up to date with new developments in occupational safety and health.
Acknowledgement of the limitations of personal competence is an important part of the process.
Proper preparation and/or appropriate qualifications may be essential in assuring competence
for a specific activity.
Within the USA the Certified Safety Professional or CSP is a safety professional who has
met education and experience standards, has demonstrated by examination the knowledge
that applies to professional safety practice, continues to meet Recertification requirements
established by the Board of Certified Safety Professionals. Those holding the CSP certification
must also be re-certified every five years.
The UKs Institute of Occupational Safety and Healths (IOSH) Continuing Professional
Development (CPD) scheme provides a practical framework for demonstrating the maintenance
of competence

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Element IA1: Principles of Health and Safety Management

Continuing Professional Development


Continuing Professional Development (CPD) is the term used to describe a commitment to
structured skills enhancement and personal or professional competence.
Commitment to CPD is an acknowledgement that becoming professionally qualified is not an
end in itself - it is merely the beginning.
IOSHs CPD scheme provides a framework to identify personal and technical skill gaps and
create an action plan to refresh or expand knowledge and experience. It is intended to enhance
professional effectiveness, create a structured career path and safeguard professional status.
Notions of learning through reflection on past experience as an aid to personal continuous
improvement are now common in many professions, notably those in education and medicine.

Evaluating and Developing Their Own


Practice
In order for the Health and Safety Practitioner to competently advise the organisation in its
health and safety management system and general issues, they must evaluate and develop
their own practice. This will ensure they are helping and not hindering the organisations health
and safety performance.
Evaluation of their own practice involves the practitioner analyzing their own performance and
the health and safety impact they are having in the organisation. This can be done by:

Measuring the effects of changes and developments they have introduced such as the
effects of introducing behavioural safety programmes;

Setting personal objectives and targets and measuring their performance against them;

Reviewing failures or unsuccessful attempts to produce change such as reasons why a


simplification of accident reporting procedures has not resulted in more minor accidents
being reported;

Benchmarking their practice against other practitioners and against good practice case
studies and information;

Seeking advice from other competent professionals such as occupational hygenists,


engineers or chemists; and

Seeking feedback from others such as clients and as part of annual appraisals from
senior management.

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Developing their own practice may involve:

Increasing their core knowledge and competence by obtaining a recognised qualification


e.g. NEBOSH International Diploma in Occupational Health and Safety;

Keeping up to date by undertaking training in relevant areas such as Confined Space


Entry, Work at Height equipment training or other hazard specific training programme;

Participating in CPD schemes;

Access to suitable information sources;

Networking with their peers at safety groups and conferences such as IOSH Branch
Meetings or seminars;

Seeking advice from other competent practitioners and consultants; and

Initiating and following a personal development plan.

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Element IA1: Principles of Health and Safety Management

Professional Ethics
Ethics may be considered to be the science, or systematic analysis, of morality where morality
implies the codes of conduct or rules of behaviour imposed by a society regarding what is right
and wrong.
Professional bodies, such as IOSH (2009) issue codes of conduct to frame the expected
standard of professional practice with regard to technical competence, as previously discussed,
and professional conduct.
The key ethical principles of professional conduct are broadly covered by the interrelated
concepts of honesty, respect and integrity.
In addition to maintenance and development of professional competence and not working
beyond the boundaries of that competence, the IOSH ethics code requires professional safety
practitioners to adhere to the following principles

Perform according to the highest standards and ethical principles, maintaining respect for
human dignity, loyalty to the workforce and professional independence in the execution of
their functions;

Ensure that any professional opinion is given honestly and is objective and reliable;

Accept professional responsibility for all their work and shall take all reasonable steps to
ensure the competence of those conducting tasks on their behalf;

Take reasonable steps to ensure that persons overruling or neglecting their professional
advice are formally made aware of potential adverse consequences which may result;

Uphold the reputation and good standing of the Institution, other members, and professional
practice and standards, and not bring them into disrepute;

Not recklessly or maliciously injure, the professional reputation, prospects or business


of another;

Not behave in a way which may be considered inappropriate to other members or staff of
the Institution;

Not improperly use membership or position within the organisation of the Institution for
commercial or personal gain;

Not improperly disclose any information which may reasonably be considered to be


prejudicial to the business of any present or past employer, client or the Institution;

Make information they hold necessary to safeguard the health and safety of those persons
for whom they have a legal and moral responsibility available as required;

Comply with the data protection principles and notification requirements set out in the
Data Protection Act 1998 or equivalent legislation;

Maintain financial propriety in all their professional dealings with employers and clients
and shall ensure that they are covered by appropriate professional indemnity insurance;

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Be respectful of all people they come into professional contact with and not discriminate
on grounds of race, colour, religion or belief, disability, sex, marital status, age, sexual
orientation, nationality and ethnic or national origins;

Act within the law and notify the Institution if convicted of any criminal offence. (A relevant
conviction may lead to disciplinary proceedings); and

Comply with the Institutions Charter, Byelaws and Regulations

Conflict of Interest
Conflict of interest refers to occasions where using professional judgment may lead to problems
in securing future or continuing employment or contracts.
A simple example of this type of conflict might be where a consultant is aware that his
recommendations arent being implemented, but continues to advise the organisation so as not
to lose the income from the contract.
The IOSH code of conduct requires members to seek to avoid their professional judgment
being influenced by any conflict of interest and to inform their employer, client, or the Institution
of any conflict between personal interest and service to the relevant party.

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References
HSE

2002 INDG 355; Reduce Risks, Cut Costs

HSE

1991 HSG96; The Cost of Accidents at Work.

The World Health Organisation Occupational health page


http://www.who.int/peh/Occupational_health/occindex.htm
G.Slapper

1999 Corporate Crime, Longman.

and S.Tombs
P.Mitchel,
1999




The impact of globalisation on health and safety at work.



Report issued by the World Health Organisation and International
Labour Organisation
http://www.wsws.org/articles/1999/jul1999/who-j23.shtml

HSE

2006 RR502; HSE Research Document - Migrant workers in England



and Wales: An assessment of migrant worker health and safety risks

IOSH

2009 Code of Conduct.

IIRSM

2010 Code of Ethics.

HSE

2009 The Health and Safety of Great Britain: Be Part of the Solution.

ISO

2010 ISO 26000; Social Responsibility, www.iso.org/iso/iso_catalogue

ISO/BSI

1996 Environmental Management Systems, BS EN ISO 14000 series.

ILO
2001 ILO-OSH-2001 Guidelines on Occupational Health and Safety

Management Systems.
ILO
1981 C155; International Labour Standards, Occupational Safety and

Health Convention, Geneva.
ILO
1981 R164; International Labour Standards, Occupational Safety and

Health Recommendation, Geneva.
BSI

1999 OHSAS 18001; Occupational Health and Safety Management



Systems Specification.

Sarbanes-Oxley

Act 2002 (pub L. No 107-204, 116 Stat 745)

HSE
1991 HSG 65; Successful Health and Safety Management HSG 65, as

amended.
BSI

1994 Quality Management Systems, BS EN ISO 9000 series.

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