Element 2: Plan

Question 1

Outline the general content of the THREE sections of a health and safety policy

Answer 1

1. Statement of Intent

The statement of intent provides the overall aims and objectives of the organisation. It must be signed and dated by the most senior person in the organisation to give authority and demonstrate senior management commitment. Here are some of the things that would be included in the statement of intent.

• Overall aims and objectives
• Commitment to provide all necessary resources
• How the organisation will protect employees and others from harm
• Name of senior manager responsible for overseeing health and safety management
• How employees are to be involved and their responsibilities

2. Organisation

This section provide details of the roles and responsibilities of people who are involved in health and safety management in the organisation.

3. Arrangements

This section provides the details of all procedures, provisions, rules and systems for implementing the statement of intent. It is therefore the largest section of the health and safety policy.

Emergency Procedures - Including arrangements for fire, explosion, first aid and chemical spillage.

Risk Assessments - Arrangements to identify the significant risks associated with all workplace activities.

Inspections - Inspections and other monitoring strategies to ensure hazards are well managed and that the workplace remains safe.

Machinery Safety - Including machinery safeguarding, operational procedures and maintenance.

Electrical Safety - Arrangements for the inspection, testing and maintenance of all electrical equipment and appliances.

Hazardous Substances - Including safe use, handling, storage and transportation of all hazardous substances.

Personal Protection - Arrangements and rules for the provision and use of all items of personal protection.

Consultation - Arrangements for actively involving the workforce in health and safety matters.

Question 2

Explain why the health and safety policy should be signed by the most senior person in an
organisation.

Answer 2

By signing the policy the senior person is demonstrating their commitment to
health and safety.

The signature would also give it authority providing a clear direct ion to employees. This would then provide motivation for staff and may improve morale. It is possible that the signature is a legal requirement or a requirement of the internal quality assurance
systems.

The signature would act as a promise that sufficient resources will be provided and that
employees’ health and safety would be adequately managed.

• In organisations the ultimate responsibility lies with the most senior person in the organisation, for example, the chief executive.
• This person is required to show the organisational commitment to health and safety but cannot carry out all of the required tasks without support.
• The statement of intent should be signed by the most senior person in the organisation, providing a clear demonstration of organisational commitment to health and safety.
• It is important that this commitment is taken seriously and is further demonstrated through the allocation of appropriate resources to ensure the health and safety policy is effectively implemented and maintained.
• All managers must be involved and show a consistent approach to health and safety. This involvement should always begin with the senior management team ensuring health and safety is discussed and owned at strategic level.
• This level of management is expected to adequately resource/support the health and safety requirements. The senior management team must lead by example at all times.

Question 3

Plan - determine and assess OHS risks, OHS opportunities and other risks and opportunities, establish OHS objectives and processes necessary to deliver results in accordance with the organisation’s OHS policy requirements;

Answer 3

Planning

The planning element of the health and safety management system deals with the practical arrangements required for the implementation of the health and safety policy.

Policy

The health and safety policy provides a clear statement of the organisational commitment to health and safety and contains details of the health and safety aims and objectives of the organisation.

Question 4

Do – effectively implement the processes as planned;

Answer 4

Risk profiling

The risk profiling element of the health and safety management system deals with the overall (business) risks to activities, which include health and safety.

Organising

The organisational element of the health and safety management system is specific to staff throughout the organisation and assigns roles and responsibilities in respect of health and safety.

Implementing the plans

The implementing element of the health and safety management system deals with the practical arrangements required for the implementation of the health and safety policy.

Question 5

Check - monitor and measure activities and processes with regard to the OHS policy and objectives, and report the results;

Answer 5

Measuring performance

Organisations need to measure what they are doing to implement their health and safety policy to assess how effectively they are controlling risks.

This measurement process includes both active and reactive monitoring activities to assess how well the organisation is progressing against set organisational objectives.

Typical active monitoring activities may include carrying out safety inspections and tours and typical reactive monitoring activities include collecting statistical data on the numbers of accidents.

Investigating accidents

Investigation is used to understand what happened and what went wrong so that corrective action(s) at an appropriate level can be taken

Question 6

Act - take actions to continually improve OHS performance to achieve the intended outcomes of the OHS management system.

Answer 6

Reviewing performance

Reviewing is the process of making judgements about the adequacy of performance and making decisions about the nature and timing of the actions necessary to remedy deficiencies.

Organisations need to have feedback to see if the health and safety management system is working effectively as designed. The main sources of information come from measuring activities and from audits.

Learning lessons

The auditing element of the health and safety management system checks the effectiveness and reliability of the system to ensure continual improvement.

Question 7

Give 6 reasons why it is important to have a policy for health and safety

Answer 7

1. To help minimise financial losses
2. To increase workforce co-operation
3. Increase job satisfaction, production and quality
4. To meet legal requirements
5. To ensure there is a systematic approach to the assessment and management of risk
6. To provide commitment by the organisation to the provision of adequate resources

Question 8

Identify eight different issues that might be addressed within the arrangements section of the health and safety policy.

Answer 8

This section should identify a range of health and safety issues for which arrangements should be in place. For example:

1. Hazardous substances
2. Accident investigation
3. Reporting and control
4. Employee consultation
5. Monitoring arrangements
6. Emergency procedures
7. Risk assessments
8. Selection and training of staff etc

Question 9

Explain when a health and safety policy should be reviewed and revised.

Answer 9

• Changes in the structure of the organisation
• Change in premises
• Passage of time
• Change in technology available/used
• Legal requirements change
• Change in organisational operation such as shift patterns
• Following an accident/loss event
• Following the findings of an audit

Question 10

Identify the legal requirements relating to the health and safety policy in HASAWA

Answer 10

Must be written if 5 or more employees
Must be brought to the attention of employees
Must be reviewed and revised as required

Question 11

Identify the ways in which an organisation might evaluate the effectiveness of its health and safety systems.

Answer 11

• Monitoring, measurement, analysis
• Evaluation of compliance
• Internal audit
• Management review

Question 12

The principle requirements of ISO 45001 include :

Answer 12

• Demonstrable leadership and commitment from top management in particular
• Closer alignment to other management disciplines and standards
• Focus upon health and safety being integrated into the overall business planning
• Identification of opportunities as well as threats arising from risk management processes
• Emphasis on worker participation in development and operation of the health and safety management system

Question 13

Clause 4: context of the organisation.

Answer 13

This clause establishes the context of the organisation in relation to the OH&S management system.

Question 14

Clause 5: leadership and worker participation

Answer 14

It is worth noting that leadership and worker participation have been placed together in the same clause, reflecting the fact that creating an effective OHS management system requires the combined efforts of a range of people in the organisation, not just a health and safety specialist.

The clause places explicit (13) requirements on the top management of an organisation in relation to health and safety management.

Question 15

Clause 6: planning

Answer 15

ISO 45001 builds upon the planning requirement established in OHSAS 18001 to take full account of the issues determined when meeting Clause 4 ‘context of the organisation’ and includes consideration of opportunities as well as risks.

Question 16

Clause 7: support

Answer 16

This clause requires the organisation to determine and provide resources to support the establishment, implementation, maintenance, and continual improvement of the OHS management system. This critical requirement covers all OHS resource need, including human resources, infrastructure and financial resources.

Question 17

Clause 8: operation

Answer 17

This clause focuses on the ‘do’ part of PDCA cycle, the implementation of the actions identified in previous clauses. Operational planning and control of processes need to be established as necessary to enhance health and safety, by the elimination of hazards and reduction of OHS risks. Operational control of processes can include a variety of methods, for example, procedures, method statements, systems of work, preventative maintenance regimes, inspection programmes and engineering or administrative controls, such as a permit to work.

The clause also places explicit requirements on the management of change, procurement, management of contractors and outsourcing.

Question 18

Clause 9: performance evaluation

Answer 18

This clause requires the organisation to be active in various aspects of performance evaluation:

• Monitoring, measurement, analysis
• Evaluation of compliance
• Internal audit
• Management review.

This establishes a comprehensive range of performance evaluation.

Question 19

Clause 10: improvement

Answer 19

The first requirement in this clause is a general one to determine opportunities for improvement and implement actions. This is a proactive requirement to make improvements. Notwithstanding this, if incidents or nonconformities occur there is a requirement in Clause 10 to react to them and take action in a timely manner.

Question 20

The purpose and importance of setting policy for health and safety

Answer 20

The health and safety policy provides a strong foundation for the health and safety management system and the requirements should be integrated into all organisational planning and decision making.
The purpose and importance of setting the health and safety policy is to set out the organisation’s aims and objectives with regard to health and safety.

The policy provides the structure for general health and safety responsibilities for managers and employees. This ensures everyone understands their individual roles and responsibilities and that all the allocated tasks are completed.

Question 21

Setting a health and safety policy is important to the organisation as it provides the following benefits:

Answer 21

• To help minimise financial losses
• To increase workforce co-operation
• To increase job satisfaction, production and quality
• To meet legal requirements
• To ensure there is a systematic approach to the assessment and management of risk
• To provide commitment by the organisation to the provision of adequate resources

Question 22

Section 2(3) of the Health and Safety at Work etc. Act 1974 (HASWA) states:

Answer 22

“Except in such cases as may be prescribed, it shall be the duty of every employer to prepare and as often as may be appropriate revise a written statement of his general policy with respect to the health and safety at work of his employees and the organisation and arrangements for the time being in force for carrying out that policy, and to bring the statement and any revision of it to the notice of all his employees.”

Question 23

Under section 2(3) the written statement must:

Answer 23

Employers with five or more employees have a statutory duty under the HASWA to have a written health and safety statement.

• State the general policy on health and safety
• Describe the organisation
• Set out the arrangements for carrying out the policy
• Be brought to the notice of all employees
• Be revised whenever appropriate (every revision must be brought to the attention of all employees)

Although employers with fewer than five employees do not have to have a written health and safety policy, this doesn’t mean that they can ignore their health and safety responsibilities.

Question 24

Health and safety performance targets are an important part of the statement of intent as they:

Answer 24

• Motivate the workforce by providing achievable goals
• Provide the data required to measure performance and review the health and safety management system
• Demonstrate management commitment

The statement of intent should be signed by the most senior person in the organisation, providing a clear demonstration of organisational commitment to health and safety. It is important that this commitment is taken seriously and is further demonstrated through the allocation of appropriate resources to ensure the health and safety policy is effectively implemented and maintained.

Question 25

Describe the different categories of people who may be included in the organisation section of the health and safety policy.

Answer 25

• Senior managers, who are responsible for ensuring that health and safety is considered at a
strategic level and is adequately resourced.

• Middle managers, who are responsible for ensuring that health and safety requirements are considered and used in day-to-day work activities.
• Specialist roles, such as safety advisers, medical advisers and safety engineers to provide support and input into the design and implementation of safe working procedures and their monitoring

Question 26

ISO 45001: Occupational health and safety standard

Answer 26

ISO 45001 is the world’s first international occupational health and safety standard. It replaced BS OHSAS 18001.

It follows the Plan – Do – Check - Act approach and contains a number of clauses, such as:

Clause 4: Context of the organisation.
Clause 5: Leadership and worker participation
Clause 6: Planning
Clause 7: Support
Clause 8: Operation
Clause 9: Performance evaluation
Clause 10: Improvement

Question 27

Describe ways in which the health and safety policy might be brought to the attention of employees in a multi-site facility.

Answer 27

• Distributing the Safety Statement, specific Risk Assessments or relevant sections of it to all employees when first prepared and whenever significant changes are made
• Making the Safety Statement and specific Risk Assessments available electronically on company intranet sites which can be easily interrogated
• Verbal communication of the terms of the Safety Statement or particular Risk Assessments
• Inclusion of the relevant parts of the Safety Statement and specific Risk Assessments in employees’ handbooks or manuals
• Through ongoing training

Question 28

Outline the issues that should be included within the statement of intent.

Answer 28

• Failure to communicate the policy to employees
• A lack of commitment from management
• A lack of investment in health and safety
• A poor overall safety culture
• High accident, incident and ill-health rates
• Low morale amongst employees
• High staff turnover
• Unacceptable rates of absenteeism
• Unsafe and poorly maintained equipment
• Inadequate provision of personal protective equipment
• The absence of monitoring procedures.

Question 29

Outline the key elements of a health and safety management system

Answer 29

Safety management systems make health and safety an integral part of your business’s core operations. By designing, developing and implementing an effective safety management system, you will have methods for managing reporting, responsibilities, planning and resourcing to create a safer workplace.

Safety management systems have six elements:

a safety plan;

policies, procedures and processes;

training and induction;

monitoring;

supervision; and

reporting.

Question 30

How to measure performance

Answer 30

Decide how you will measure performance. Think about ways to do this that go beyond looking at accident figures - look for leading as well as lagging indicators. These are also called active and reactive indicators:

Active methods monitor the design, development, installation and operation of management arrangements.

These tend to be preventive in nature, for example:

• routine inspections of premises, plant and equipment by staff
• health surveillance to prevent harm to health
• planned function check regimes for key pieces of plant

Reactive methods monitor evidence of poor health and safety practice but can also identify better practices that may be transferred to other parts of a business, for example:

• investigating accidents and incidents
• monitoring cases of ill health and sickness absence records

Question 31

What should your policy cover?

Answer 31

An important part of achieving effective health and safety outcomes is having a strategy and making clear plans.

You need to think about what you are going to do to manage health and safety, then decide who is going to do what and how. This is your health and safety policy. If your organisation has five or more employees, that policy must be written down.

Your policy sets a clear direction for the organisation to follow and should be shared throughout the workforce, so that everyone understands how health and safety will be managed.

Question 32

Who is best placed to write the policy?

Answer 32

It is best written by someone within the organisation rather than someone from outside, as it needs to reflect the organisation’s:

■ values and beliefs;
■ commitment to provide a safe and healthy environment.

Question 33

Consulting and acting on your policy:

Answer 33

It should be written in consultation with the workforce, and should be signed by a person
at the top of the organisation – the owner or a director. Most importantly, you should
make sure your actions, and those of your workers, mirror the statements you have made

Question 34

Why planning is essential:

Answer 34

Planning is essential for the implementation of health and safety policies. Adequate control
of risk can only be achieved through co-ordinated action by all members of the organisation.

An effective system for health and safety management requires organisations to plan to:

■ control risks;
■ react to changing demands;
■ sustain positive health and safety attitudes and behaviours.

Question 35

Effective planning

Answer 35

Effective planning is concerned with prevention through identifying and controlling risks.

This is especially important when dealing with health risks that may only become apparent after a long period of time.

In addition to setting your policy, planning should include steps to ensure legal compliance and procedures for dealing with emergency situations. It should involve people throughout the organisation.

Planning the system you will use to manage health and safety involves:

■ designing, developing and implementing suitable and proportionate management
arrangements, risk control systems and workplace precautions;
■ operating and maintaining the system while also seeking improvement where needed;
■ linking it to how you manage other aspects of the organisation.
In order to plan successfully, you need to establish:
■ where the organisation is now, by considering accurate information about the
current situation;
■ where you need to be, using legal requirements and benchmarking to make comparisons;
■ what action is necessary to reach that point.

Question 36

Key actions in effective policy development and planning:

Answer 36

Leaders

■ Make a statement of intention. Say what you will do to keep a safe and healthy environment for your workers and anyone else who could be affected by your
work activities.
■ Clearly set out everyone’s roles and responsibilities. Include those with particular roles, for example directors, supervisors/managers, safety representatives, workers, fire wardens, first-aiders and the competent person.
■ Say how things will be done and what resources will be allocated to make things happen. Include details of the systems and procedures that will be in
place to help to meet your legal obligations, such as:
■ how risk assessments will be carried out;
■ what your plans are for training and safe use of equipment;
■ what controls you will have in place to ensure your specifiers and buyers are competent in assessing the risks in procurement, for example they know the
requirements for purchasing suitable personal protective equipment (PPE);
■ how accidents/incidents will be investigated;
■ how workers will be consulted;
■ how equipment will be maintained;
■ how you will measure the success of your plan.
■ Consider how you will measure health and safety performance. Will there be
performance targets, for example reductions in accidents or absences, or an increase in reporting issues or near misses?
■ Prioritise actions.
■ Sign the policy statement to demonstrate commitment to health and safety.

Managers

■ Think about management of contractors when developing a policy, if this is relevant to your organisation.
■ Identify when you will revisit your policy and plans, for example:
■ when changes have taken place, such as in processes or staff;
■ following accident or incident investigations, both within the organisation and
where lessons have been learned from others;
■ following consultation with employees’ representatives;
■ if you receive new information, eg from manufacturers or others in the same
sector or industry.
■ Talk to other occupants not employed or managed by you, but who share the
same premises.

Worker consultation and involvement

■ Discuss your plans with workers or their representatives.
■ Communicate the plan so that everyone knows what is required.

Competence

■ When developing plans and policies, consider the level of competence necessary to comply with the law.

Question 37

Planning for health and safety

Answer 37

Planning is the key to ensuring your health and safety arrangements really work. It helps you think through the actions you have set out in your policy and work out
how they will happen in practice. Consider:

■ what you want to achieve, eg how you will ensure that your employees and
others are kept healthy and safe at work;
■ how you will decide what might cause harm to people and whether you are
doing enough or need to do more to prevent that harm;
■ how you will prioritise the improvements you may need to make;
■ who will be responsible for health and safety tasks, what they should do, when
and with what results;
■ how you will measure and review whether you have achieved what you set out
to do.

Question 38

Writing a health and safety policy

Answer 38

Your business must have a health and safety policy, and if you have five or more employees, that policy must be written down.

Most businesses set out their policy in three sections:

■ The statement of general policy on health and safety at work sets out your
commitment to managing health and safety effectively, and what you want to
achieve.
■ The responsibility section sets out who is responsible for specific actions.
■ The arrangements section contains the detail of what you are going to do in
practice to achieve the aims set out in your statement of health and safety
policy.

Question 39

The additional actions you take to manage health and safety should be set out in the arrangements section of your policy. They could include:

Answer 39

■ staff training;
■ using signs to highlight risks;
■ improved safety equipment such as guards or additional personal protective
equipment including goggles, safety boots or high-visibility clothing;
■ replacing hazardous chemicals with less harmful alternatives;
■ improved lighting;
■ anti-slip flooring.

Focus your attention on the activities that could present a risk to people or cause
serious harm.