Health and Safety

1. HSC,HSE, Health and Safety Law
and Appointed/Approved Doctors
Dr Nerys Williams
DWP Medical Policy Advisor/
Principal Occupational Health Physician
IOEH May 2006

2. Introduction
Structure and organisation of HSC and HSE
Overview of basic principles of UK H&S Law with
specific mentions of COSHH, IRR, CAW, CLAW,
DAW Regulations
Recent changes, difference of opinion and new
legislation
Appointed doctors (who, what, why)

3. HSC and HSE
Mission “to ensure that risks to people’s health and
safety from work activities are properly
controlled”
HSC administers the Act, proposes regulations and approved
codes of practice, makes arrangements for research and
appoints Advisory committees.
HSE “executive” 3 people appointed by HSC. 4000+ staff
undertakes functions delegated by HSC and enforces
HASAWA. Also provides policy advice to HSC and
conducts licensing and approvals.

4. HSC
The BIGGER picture : DWP, Jane Kennedy Minister
Health and Safety Commission
 Set up 1974
 Responsible to the Secretary of State for administration
of H&S through Commissioners
 Duty to secure the H,S and W of persons at work and
protect the public generally from risks at work.
 10 people (9 part time), Chair Bill Callaghan ( TU)
 Reps from employers, employees, consumers and LA

5. HSE
 Operational arm
 work directed by HSC
 responsible for enforcement, research, publicity
and advice
 divided into directorates
 policy and administration
 technical and research
 enforcement ( FOD, offshore, nuclear, construction)

6. Field Operations Directorate
 Proactive routine inspection (single/multiple issue)
 incident investigation
 complaint follow up
 special projects e.g. blitzes

7. Field Operations Directorate
Action is based on risk and principles of:
 proportionality
 consistency
 transparency
 targeting

8. Field Operations Directorate
An inspectors options :
 Verbal advice
 Written advice
 Improvement notice
 Prohibition notice (immediate or deferred)
 Prosecution

9. Field Operations Directorate
Penalties
 Fines – up to £20,000 in Magistrates Courts,
unlimited in Crown Court
 Imprisonment
 Manslaughter – dealt with by Crown Prosecution
Service

10. Powers of inspectors
 Appointed under HASAWA ( Section 19)
 Can only exercise powers in their area of responsibility (cf
LA) and use powers only for the purposes of the Act
 Must be appointed in writing and be suitably qualified
 Can enter and take a constable or authorised person
 Examine and investigate
 Require discovery of books and documents
 Measure and sample
 Leave undisturbed, take possession and dismantle
 Require a signed statement of truth

11. FOD arrangements
 6 divisions ( including Wales!) plus Scotland
 Each division has team of regulatory inspectors
and specialists
 Specialists include occupational hygiene,
construction and mechanical engineers and
radiation)

12. EMAS
Employment Medical Advisory Service
 set up by HASAWA (Sections 55-60)
 legal duties to advise on gaining and retaining
employment
 run appointed doctor and appeal systems
 advise, inspect, investigate, research and enforce
 same powers as regulatory inspectors

13. EMAS
 Now medical and occupational health inspectors
 Part of Corporate Medical Unit
 New types of work – national inspection programmes e.g.
animal allergy, stress in social workers, MSD in printers
 Investigation of RIDDOR reports of disease
 Expert witness in Court
 Networking with key stakeholders and academic
department
 Specific portfolios both sector and topic – opportunity to
develop expertise

14. Revitalising Health and Safety
Background
25 years post HASAWA
progress with safety but less with health
aim to reduce H&S failures by 30% over 10 years

15. Revitalising Health and Safety
10 point Strategy
 promote better working conditions
 involve the workforce more
 make health a top priority
 positively engage small firms
 motivate employers
 better self regulation
 partnerships
 Government lead by example
 education at every level
 “design it in”

16. Revitalising Health and Safety
Targets
 reduce days lost due to work related injury and ill health by
30% by 2010
 reduce the incidence rate of fatal and major accidents by
10% by 2010
 reduce the incident rate of cases of work related ill health
by 20% by 2010
 achieve half of the improvement under each target by
2004!

17. Revitalising Health and Safety
Priorities
 Sectors health, agriculture, construction
 Topics musculoskeletal, stress, asthma,HAVS,
 Accident topics slips/trips/falls/transport.

18. Occupational Health and Safety Law
General philosophy
 “duty holders” responsibility
 “self regulation” within a framework
 Co-operation and consent
 Goal setting not prescriptive
 Concept of SFAIRP

19. SFAIRP
“so far as is reasonably practicable”
 legal term widely used in GB H&S law
 aims to ensure control measures giving most risk
reduction are taken but at a cost which is not
grossly disproportionate to the benefit achieved.

20. Legal duty
SRAIRP can be complied with by meeting :
 Relevant good practice
 or otherwise reduce risks ALARP (as low as
reasonably practicable) * (campbell-fitzpatrick case)
“Relevant good practice ? “
 based on technical feasibility, balance of costs and
benefits, societal concerns, acceptable residual risk

21. H&S Law Coverage
HASAWA 1974 places duties on :
 employers
 employees
 self employed
 manufacturers
 others (covers the public where work activities
affect them)

22. Acts,Regulations, Approved Codes
of Practice and Guidance
 Act is the law (umbrella)
 Regulations are laws, usually made under HASAWA
Usually goal setting, though sometimes have an absolute
requirement. They implement EU directives
 ACOPs are practical e.g.s of good practice and provide
advice on how to comply (e.g. on what is reasonably
practicable). Special legal status. Burden of proof on duty
holder.
 Guidance interprets the law, helps people comply, gives
technical advice but is not compulsory

23. Law
 Criminal versus Civil
 HASAWA is criminal law so no insurance against
prosecution. Directors have liabilities they cannot
avoid. They can delegate tasks but not overall
responsibility.

24. HASAWA etc 1974
Section 2 duties of employers
 Section 2(1) “to ensure, so far as is reasonably
practicable, the health, safety and welfare at work
of all of his employees”
 Section 2(3) 5 or more employees
H&S policy statement detailing organisation and
arrangements for carrying it out. Brought to notice
of employees (usually by poster)

25. HASAWA etc 1974
Section 3 “ persons not in his employ… not
exposed to risks to their health or safety”
Section 6 manufacturers, suppliers
Section 7 duties of employees to
 look after themselves and others
 acts and omissions
 co –operate with the employer as necessary
Section 8 interference and misuse of anything
provided in the interests of health,safety or welfare
Section 9 duty not to charge

26. HASAWA etc 1974
Section 36 offences due to the fault of others. No
need to prosecute employer
Section 37 offences by the body corporate –
consent or connivance or neglect of a director,
manager etc e.g. Harvestime Bakery. Implicit
prosecution of company

27. Main regs under HASAWA 1974
 Health and Safety (First Aid) regs 1981
 Ionising Radiation Regulations (85) 1999
 Control of Asbestos at Work Regs (87) 2002
 Control of Substances Hazardous to Health Regs (87) 2002
 Reporting of Injuries, Diseases and Dangerous occurrences
regs (85) 1995
 Control of Lead at Work Regs (81) 2002
 Compressed Air Regs 1996
 Diving at Work Regs 1997
 (plus construction etc etc)

28. Health and Safety(First Aid)
Regulations 1981
 An employer decides he no longer needs to send
employees on First Aid courses as you, the newly
appointed occupational physician, are now visiting the site
weekly and he is only 15 minutes walk from the hospital
casualty department.
 What is your view regarding his compliance with the
regulations ?
 Who counts as first aiders for the purposes of the
regulations ?

29. COSHH 2002
Control of Substances Hazardous to Health
Regulations
Covers all substances which could cause harm including
biological agents and carcinogens .

30. COSHH
 What hazardous materials/agents are not covered ?
 Why not ?

31. COSHH
Reg 11 health surveillance
 Schedule 6 substances and process ( app dr only)
 Generic if criteria are met i.e. identifiable health
effect, reasonable chance of occurring, valid
techniques for detecting, surveillance would
further protect e.g. skin or respiratory sensitisers
(competent person, nurse, doctor)
 Requires records to be kept

32. Article 118A
 Pre EU : HASAWA, Noise at Work regs, CAW,
CLAW, IRR, Compressed Air regs
 Post EU : COSHH, 6 pack and subsequent
Pregnant Workers, Young Persons, Temporary
Workers, Working Time Regs

33. 6 Pack
 Management of Health and Safety at Work Regs 1992
(now 1999) *Reg 6
 Provision and Use of Work Equipment Regs 1992 (now
1998)
 Workplace (H,S and W) Regulations 1992
 Manual Handling Operations Regulations 1992
 Personal Protective Equipment at Work Regulations 1992
 Health and Safety (Display Screen Equipment)
Regulations 1992

34. Generic Framework
 identify the hazard
 assess the risk
 control and reduce the risk (elimination,
substitution,enclosure, at source rather than at the
individual level)
 check controls work ( e.g. monitoring)
 provide information, instruction and training
 health surveillance if indicated

35. Health surveillance
Under which regulations is health surveillance a
legal requirement ?

36. Main regs under HASAWA 1974
 Health and Safety (First Aid) regs 1981
 Ionising Radiation Regulations (85) 1999 *
 Control of Asbestos at Work Regs (87) 2002*
 Control of Substances Hazardous to Health Regs (87)
2002*
 Reporting of Injuries, Diseases and Dangerous occurrences
regs (85) 1995
 Control of Lead at Work Regs (81) 2002*
 Compressed Air Regs 1996*
 Diving at Work Regs 1997*

37. Health Surveillance
 Health surveillance is indicated :
 COSHH
 Schedule 6 substances and processes
Reg 11 when indicated and criteria met
performed by responsible person, nurse or doctor
Aim: to provide information on the control of
residual risk through examination, BM, BEM,
enquiry/inspection, periodic review of records
Feedback to company and records essential

38. Health Surveillance
 Plus Reg 6 of Management Regs
 health surveillance for physical hazards such as noise and
vibration ( whole body and hand arm) was a requirement
pre-2006
 Now implementation of the EU physical agents directive
(see later)

39. Management of Health and Safety at
Work Regulations 1999
Includes legislation covering
 Pregnant and nursing mothers
 Temporary workers
 Young workers

40. Management of Health and Safety at
Work Regulations 1999
Includes in Regulation 3 the need for “suitable and

sufficient risk assessment…. to identify groups of
workers particularly at risk e.g. young and
inexperienced workers, disabled staff, new or
expectant mothers”.

41. Other law relevant to OH
 Employers Liability Insurance
 Disability Discrimination Act 1995 ( remember all
employers covered from October 2004)
 Employment Rights Act 1996
 Human Rights Act 1998
 Access to Medical Reports Act 1988
 Access to Medical Records Act 1990 (then Data
Protection Act 1998)
 RIDDOR 1995

42. “NEW” LEGISLATION
Physical agents directive
 Noise
 HAVS
 WBV

43. Physical Agents
After (now) 2006:
Noise
1st action level 80dB(A)
NAW effected 1/1/1980
(peak value 112 pascals)
EC 86/188/EEC – new regs by 15
February 2006
2nd action level 85 dB(A)
Before:
(peak level of 140 pascals)
1st action level 85 dB(A)
2nd action level 90 dB(A)
Limit value 87 dB(A) and 200
peak sound pressure 200 pascals
pascals
( takes into account hearing
protection)

44. Physical Agents
Now:
Vibration
 Exposure action value
Current situation – no
(EAV) 2.5 m/s2
specific regs but covered
by MHSW regs  Exposure limit value
EC directive (ELV) 5 m/s2.
Before:  Total vibration value –
Action level of 2.8 m/s2 m/ment in 3 directions
(HS(G)88)
 Current action level of
3 directions but magnitude 2.8= about 4 m/s2 (total
from dominant direction
vibration value TVV)

45. Changes to exposure standards
First there were: Now there are :
Workplace exposure limits (WELs)
Occupational exposure levels
Apply 8 principles of good practice
– OES (occupational
for control of substances
exposure standard)
Ensure the WEL is not exceeded
– MEL (maximum Ensure that substances that cause
exposure standard) cancer, asthma, genotoxic is
reduced ALARP

46. Appointed and Approved Doctors
 Appointed by HSE ( SMI) to undertake statutory medical
examinations under specific regs for specific companies.
 Approved to undertake medical examinations of divers for
the divers ( not the companies/employers)
 Appointed with certificate
 Up to 5 years
 Subject to satisfactory performance ( admin and technical
knowledge of regs)
 No employer, no appointment

47. Appointed Doctors
 Application ( MS38A and MS38B). DOM = basic
requirement.
 Visit to ensure competence and understanding of the role
and requirements
 Responsibility by SMI for App Dr with support with
manual, telephone advice
 Fees at discretion of doctor
 Duties to employee, employer and EMAS/HSE. Right of
access to employees for medicals in work time
 CLAW visits to workplace essential, for all regs an
understanding of work processes very important

48. Appointed Doctors
 May advise suspension ( CLAW or IRR)
 Must advise of right of appeal
 Has right to be paid for service
 Must maintain currency and attend updates as
advised.
 ( for IR needs to have attended one day course
before appointment)

49. Approved Doctors
 Approved under DAW regs 1987
 Must have attended basic course (4 days)
 2 days in 5 years for update
 Equipment must be calibrated/serviced
 Doctor must be prepared to complete documentation and
issue diver with certificate to dive.
 Prefer doctors who dive
 Applications via Mrs Barbara Bell, HSE Glasgow

50. Sources of Information
( on areas not covered)
 L5 COSHH ACOP and www.hse.gov.uk COSHH indg136.pdf
 HSG 97 Step by step guide to COSHH assessment
 HSG110 7 steps to successful substitution of hazardous substances
 HSG 37 introduction to local exhaust ventilation
 HSG53 selection, use and maintenance of respiratory protective
equipment
 HSG54 maintenance, examination and testing of local exhaust
ventilation
EH40/2002 Occupational exposure limits ( updated annually – 2003

supplement)

51. Sources of information
 HSE info line 0845 345 0055
 HSE Books 01787881165
 Incident Contact centre (info on RIDDOR reportable
conditions) 0845 300 9923
 HSE web page www.hse.gov.uk for information searches,
free leaflets
 www.nrpg.org - general information on radiation
 www.hmso.gov.uk for statutory instruments

52. THE END
Thank you