nebosh idiploma unit a 1.1a

8/18/2019 NEBOSH IDiploma Unit a 1.1a

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Version 1.1a


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A1 Principles of health and safety management

Element A1 : Principles of health and safety management

Learning outcomes

On completion of this element, candidates should be able to:

Explain the moral, legal and economic reasons for a health and safety management system

Discuss the principles of an effective health and safety management system with reference to

appropriate examples

Outline the requirements, role, structure (implementation and monitoring) of an effective

health and safety policy

Outline the role of health and safety specialists

Relevant Standards

International Labour Standards, Occupational Safety and Health Convention, C155,

International Labour Organisation, Geneva, 1981

International Labour Standards, Occupational Safety and Health Recommendation R164,

International Labour Organisation, Geneva, 1981

Minimum hours of tuition 15 hours.

1.0 Introduction

An Introduction to Management Theories

In order to understand the concept of managing the health and safety function of an organisation,

you must first have an appreciation of the different styles and theories of management that have

been presented to the world at large of a considerable period of time. There are many management

gurus and many management theories out there and it would be encouraged should you wish to

further your own studies by undertaking your own research.

That said, however, let us introduce some of the more known and less obscure theories that have

become established in Management:

We will briefly look at five management gurus and their theories:

1. Maslow

2. Fayol

3. McGregor

4. McClelland

5. Taylor

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1.1 Maslow's Hierarchy of Needs

Abraham Maslow developed the Hierarchy of Needs model in 1940-50's USA, and the Hierarchy of

Needs theory remains valid today for understanding human motivation, management training, and

personal development.

Indeed, Maslow's ideas surrounding the Hierarchy of Needs concerning the responsibility of

employers to provide a workplace environment that encourages and enables employees to fulfil their

own unique potential (self-actualisation) are today more relevant than ever.

Abraham Maslow was born in New York in 1908 and died in 1970, although various publications

appear in Maslow's name in later years. Maslow's PhD in psychology in 1934 at the University of

Wisconsin formed the basis of his motivational research, initially studying rhesus monkeys. Maslow

later moved to New York's Brooklyn College. Maslow's original five-stage Hierarchy of Needs model is

clearly and directly attributable to Maslow; later versions with added motivational stages are not so

clearly attributable.

Each of us is motivated by needs. Our most basic needs are inborn, having evolved over tens of

thousands of years. Abraham Maslow's Hierarchy of Needs helps to explain how these needs

motivate us all. Maslow's Hierarchy of Needs states that we must satisfy each need in turn, starting

with the first, which deals with the most obvious needs for survival itself:

Physiological the basic requirements of life

Safety and security the need for job security

Belongingness the need to be part of the team, to be accepted

Esteem the need for recognition and respect

Self-actualisation to reach the personal goal

1.2 Henry FayolHenry Fayol's background was in mining. His book Administration Industrielle et Generale was first published in

1916 when he was 75. It was translated into English in 1949. He is famous for three things.

1. The six functional groups.

Fayol suggested that all activities could fit into six functions:

1 Technical - (production, manufacture, adaptation);

2 Commercial - (buying, selling, exchange);

3 Financial - (search for and optimum use of capital);



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Perhaps the one thing that may have changed since Fayol's day was the rigid notion of functions and functional

boundaries. While the basis remains, the strict divisions do not.

2. The managerial elements

This was a response to the question, 'What is management?' The five elements were defined as:

4 Security - (protection of property and personnel);

5 Accounting - (stocktaking, balance sheets, costs, statistics - bean counting!);

6 Managerial activities - (planning, (prevoyance) organisation, command, co-ordination and

control).

1 Prevoyance - examining the future and drawing up a plan of action - the elements of strategy

2 To organise - build up the structure, both material and human, of the undertaking

3 To command - maintaining activity among the personnel

4 To co-ordinate - binding together, unifying and harmonising all activity and effort

5 To control - seeing that everything occurs in conformity with established rule and expressed

command



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Again, this forms a basis that is still relevant, although the emphasis may have changed.

3. Fourteen Principles

From this came Fayol's third contribution, his 14 principles. He did, however, freely admit that they were his rules,

developed out of his own experience and did not necessarily have universal application or even great permanence.

1.3 Douglas McGregor's XY Theory

Douglas McGregor, an American social psychologist, proposed his famous X-Y theory in his 1960 book 'The Human

Side of Enterprise'. Theory x and theory y are still referred to commonly in the field of management and motivation,

and whilst more recent studies have questioned the rigidity of the model, McGregor's X-Y Theory remains a valid

basic principle from which to develop positive management style and techniques. McGregor's XY Theory remainscentral to organisational development, and to improving organisational culture.

McGregor's X-Y theory is a salutary and simple reminder of the natural rules for managing people, which under the

pressure of day-to-day business are all too easily forgotten.

McGregor maintained that there are two fundamental approaches to managing people. Many managers tend

towards theory x, and generally get poor results. Enlightened managers use theory y, which produces better

performance and results, and allows people to grow and develop.

Theory 'X' Authoritarian Management Style

The average person dislikes work and will avoid it if he/she can

Therefore most people must be forced with the threat of punishment to work towards

organisational objectives

The average person prefers to be directed; to avoid responsibility; is relatively

unambitious, and wants security above all else



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Characteristics of the x theory manager

What are the characteristics of a Theory X manager?

Typically some, most or all of these:

• results-driven and deadline-driven, to the exclusion of everything else

• intolerant

• issues deadlines and ultimatums

Theory 'Y' Participative Management Style

Effort in work is as natural as work and play

People will apply self-control and self-direction in the pursuit of organisational

objectives, without external control or the threat of punishment

Commitment to objectives is a function of rewards associated with their achievement.

People usually accept and often seek responsibility

The capacity to use a high degree of imagination, ingenuity and creativity in solving

organisational problems is widely, not narrowly, distributed in the population

In industry the intellectual potential of the average person is only partly utilised



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• distant and detached

• aloof and arrogant

• elitist

• short temper

• shouts

• issues instructions, directions, edicts

• issues threats to make people follow instructions

• demands, never asks

• does not participate

• does not team-build

• unconcerned about staff welfare, or morale

• proud, sometimes to the point of self-destruction

1.4 David McClelland's motivational needs theory

American David Clarence McClelland (1917-98) achieved his doctorate in psychology at Yale in 1941and became professor at Wesleyan University He then taught and lectured, including a spell at

Harvard from 1956, where with colleagues for twenty years he studied particularly motivation and

the achievement need.

He began his consultancy in 1963, helping industry assess and train staff, and later taught at Boston

University, from 1987 until his death. McClelland is chiefly known for his work on achievement

motivation, but his research interests extended to personality and consciousness. David McClelland

pioneered workplace motivational thinking, developing achievement-based motivational theory and

models, and promoted improvements in employee assessment methods, advocating competency-

based assessments and tests, arguing them to be better than traditional IQ and personality-based

tests. His ideas have since been widely adopted in many organisations, and relate closely to thetheory of Frederick Herzberg.

David McClelland is most noted for describing three types of motivational need, which he identified in

his 1988 book, Human Motivation:

achievement motivation (n-ach)

authority/power motivation (n-pow)

affiliation motivation (n-affil)

David McClelland's needs-based motivational model



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n-ach 'achievement-motivated' people are big risk takers. On the contrary - typically, achievement-motivated

individuals set goals which they can influence with their effort and ability, and as such the goal is considered to be

achievable. This determined results-driven approach is almost invariably present in the character make-up of all

successful business people and entrepreneurs.

McClelland suggested other characteristics and attitudes of achievement-motivated people:

McClelland firmly believed that achievement-motivated people are generally the ones who make things happen

and get results, and that this extends to getting results through the organisation of other people and resources,

although as stated earlier, they often demand too much of their staff because they prioritise achieving the goal

above the many varied interests and needs of their people.

Achievement is more important than material or financial reward.

Achieving the aim or task gives greater personal satisfaction than receiving praise or

recognition.

Financial reward is regarded as a measurement of success, not an end in itself.

Security is not prime motivator, nor is status.

Feedback is essential, because it enables measurement of success, not for reasons of

praise or recognition (the implication here is that feedback must be reliable,

quantifiable and factual).

Achievement-motivated people constantly seek improvements and ways of doing

things better

Achievement-motivated people will logically favour jobs and responsibilities that

naturally satisfy their needs, i.e. offer flexibility and opportunity to set and achieve

goals, e.g., sales and business management, and entrepreneurial roles.

1.5 Frederick Wilson Taylor

F W Taylor's name is synonymous with the term 'scientific management'. He is considered the

pioneer of work study and industrial engineering. He published his first work in 1895, when he was

39. Much of his work was published under the heading Scientific Management in 1949. His name

appears in management texts that date from the 1950s and 1960s and still survives in the traditional

texts today.

Taylor had four basic principles of management:

(i) The development of a true science of work.

Taylor's main contention was that the worker did not really know what was expected of him. There

was no basic measure as to what consisted of a fair day's work. What Taylor tried to develop was a

measure or standard of the amount of work that a suitable worker could achieve in a normal day

under optimum conditions. For this, Taylor was prepared to pay higher than average wages. Taylor's

classic example was a man shovelling coal or iron ore at the Bethlehem steel works. This was a

repetitive job which has now been mechanised for the most part. Taylor also believed in single skills,

largely irrelevant in much of today's multi-skilled environment. Yet, there are still businesses that do

not know if they are getting value out of the few operatives that remain on the shop floor. Shop floor

labour may only be 12% of total turnover compared with materials 56%, but if the net margin is only

5%, there is little room for error or complacency. Direct labour may not just be on the shop floor. A



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product may need installation engineers, and management still needs to know if they are working

efficiently and what is an efficient rate of working.

(ii) The scientific selection and progressive development of the worker

Taylor believed that the best man for the job should be selected. He should possess the physical and

intellectual qualities to achieve the required output. However, it was up to management to ensure

that the right people were selected and trained. Such is the basis of quality circles. Operatives meet

to discuss work-related problems, investigate the causes and solutions and take appropriate action.

However, for this to work successfully, the participating operatives must be trained.

(iii) The bringing together of the science of work and scientifically selected and trained men.

Students might see an anticipation of McGregor here. What Taylor was really anxious to eliminate

was the managerial mental block. Management, he found, resisted his ideas because they saw higher

hourly rates of pay. What they did not see was the potential for much higher productivity.

(iv) The constant and intimate co-operation of management and men.

Under this heading, R C Townsend always quotes the battle of Dienbienphu. The French were

defeated by an army where the colonels marched with their men and lived with their men under the

same conditions. In this, Taylor may have anticipated Henri Fayol.

Taylor probably survives because:

We still need to know what is a reasonable day's work;

What is required for that work to be achieved;

The nature of many jobs may have changed, but the rules still apply. It can be argued that

there is little difference between the Bethlehem shoveller of the 1890s, and the tele-sales

person or the call centre receptionist of the first decade of the 21st century.

As you can see there are many theories and management specialist 'thinkers' out there. This section

of the course is to serve as an introduction to the ideas that are available when involved in

managing. It is designed to give you an insight into how motivation and management are closely

linked and how you must consider the theories in order to manage health and safety effectively and

efficiently.

2.0 Common H&S Definitions

Definitions of 'hazard', 'risk', 'danger', 'suitable and sufficient'.

In all aspects of health and safety and its management there are certain words and phrases which

will all ways be used and referred to. These words and phrases are plentiful and as this course

progresses you will learn their meaning and importance in the world of successful health and safety

management. In this section four key words and phrases will be introduced along with several

descriptions. These are -

Hazard

Risk



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Danger

'Suitable and Sufficient'

2.1 Definitions of Hazard:

In health and safety management there is no one universal definition of what constitutes a hazard.

The definition you use is a personal choice as to what you feel comfortable using (and

understanding). Another factor that will help you to understand what constitutes as a hazard will be

the Safety Management System you work to or intend to adopt in your organisation. Several

management systems are out there (BS 8800, OHSAS 18001, HSG65) and each have there own

advantages and disadvantages, but this will be discussed later. However, for the moment let us

introduce the different definitions that are used and the sources they come from:

BS8800

BS8800 defines a hazard as - “A source or a situation with a potential for harm in terms of human

injury or ill health, damage to property, damage to the environment, or a combination of these.”

OHSAS 18001

OHSAS 18001 defines a hazard as a - “Source or situation with a potential for harm in terms of injury

or ill health, damage to the workplace, damage to the workplace environment, or a combination of

these.”

Five Steps To Risk Assessment

The Health and Safety Executive in their guidance to risk assessment leaflet define a hazard as -

“‘Hazard’ means anything that can cause harm (e.g. chemicals, electricity, working from ladders,

etc).”

HSG65

The Health and Safety Executive’s HSG65 management standard ‘Successful Health and Safety

Management’ defines a hazard as - “the potential to cause harm including ill health and injury,

damage to property, plant, products or the environment; production losses or increased liabilities.”

The Management of Health and Safety at Work Regulations 1999

In Regulation 3 of the Management of Health and Safety at Work Regulations 1999, a hazard isdefined as - “Something with the potential to cause harm (this can include substances or machines,

methods of work and other aspects of work organisation).”

So, as you can see there are plenty of definitions to choose from, although, if you read them closely

they all use one key word - “Harm” - within their text. This word is therefore key to what is defined

as a hazard and how you use hazard in the right context. Harm can have two meanings which are

both important in the world of health and safety management:

physical or other injury or damage (such as ill health or damage to machinery):

to hurt someone or damage something:



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As you can see both these above phrases are not desired when it comes to managing health and

safety!

2.2 Definitions of Risk:

Let's now move on to defining what constitutes as a risk. Again using the same sources of

information as used to define hazard (above), the following can be produced:

BS8800

BS8800 defines a risk as - “The combination of the likelihood and consequences of a specified

hazardous event occurring.”

OHSAS 18001

OHSAS 18001 defines a risk as a - “Combination of the likelihood and consequence(s) of a specified

hazardous event occurring.”

Five Steps To Risk Assessment

The Health and Safety Executive in their guidance to risk assessment leaflet define a risk as - “The

chance, high or low, that somebody will be harmed by the hazard.”

HSG65

The Health and Safety Executive’s HSG65 management standard ‘Successful Health and Safety

Management’ defines a risk as - “Risk means 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.”

The Management of Health and Safety at Work Regulations 1999

In Regulation 3 of the Management of Health and Safety at Work Regulations 1999, a risk is defined

as - is the likelihood of potential harm from that hazard being realised. The extent of the risk will

depend on:

the likelihood of that harm occurring;

the potential severity of that harm, i.e. of any resultant injury or adverse health effect; and

the population which might be affected by the hazard, i.e. the number of people who might be

exposed.”

So, by using the Management of Health and Safety at Work Regulations 1999’s definition there are

three things to take into account when defining risk.

The table below is an example of using the definitions outlined above to show how a window cleaner

using a ladder would define hazard and risk:



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For each of the outlined risks there will be different influences on what affects the likelihood and

severity of the risks. For example, the number of people working near to the window cleaner, are

there any pieces of machinery or equipment in close proximity, is the ladder secured to prevent it

from moving and becoming unbalanced etc. These and other factors must be taken into account.

Hazard The ladders

Risk(s) The window cleaner could fall from the ladder

The window cleaner could drop equipment from the ladder onto machinery

or equipment below

The window cleaner could drop equipment from the ladder onto persons

below

The ladder could fall onto persons below

The ladder could fall onto machinery or equipment below.

2.3 Definitions of Danger:

‘Danger’ is defined in the dictionary as follows:

1. Authority; jurisdiction; control

2. Power to harm; subjection or liability to penalty

3. Exposure to injury, loss, pain, or other evil; peril; risk; insecurity.

4. Difficulty; sparingness

5. Coyness; disdainful behaviour

If we further break down the underlined definition we can see that by saying ‘exposure’ we areimplying a proximity to the hazard or risk.

Question 1

The definition of a Hazard is?

Multiple Choice (HP)

Answer 1: The likelihood of the hazard occurring

Response 1:

Jump 1: This page

Answer 2: The steps taken to reduce the risk of a hazard occurring to an acceptable levelResponse 2:

Jump 2: This page

Answer 3: Something having the potential to cause harm

Response 3:

Jump 3: Next page

Answer 4: Something Risky

Response 4:

Jump 4: This page



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Question 2

An example of a hazard which represents an immediate danger is?

Multiple Choice (HP)

Answer 1: being struck by an object

Response 1:

Jump 1: Next page

Answer 2: hearing loss due to noise

Response 2:

Jump 2: This page

Answer 3: contact with asbestos

Response 3:

Jump 3: This page

Answer 4: repetitive strain injuries

Response 4:

Jump 4: This page

2.4 Definition of Suitable and Sufficient

Suitable and Sufficient is a heavily used phrase in health and safety management which gets its roots

from the Management of Health and Safety at Work Regulations 1999 (previously 1992). It is

introduced in Regulation 3 - Risk Assessment, and the Approved Code of Practice is by far the most

reliable to use when searching for and trying to understand its meaning. Therefore the following text

is taken directly from Regulation 3, and the guidance notes which accompany it.

Regulation 3: Risk Assessment

(1) Every employer shall make a suitable and sufficient assessment of -

(a) the risks to the health and safety of his employees to which they are exposed whilst they are at

work; and

(b) the risks to the health and safety of persons not in his employment arising out of or in connection

with the conduct of him in his undertaking, for the purpose of identifying the measures he needs to

take to comply with the requirements and prohibitions imposed upon him by or under the relevant

statutory provisions and by Part II of the Fire Precautions (Workplace) Regulations 1997.

(2) Every self-employed person shall make a suitable and sufficient assessment of -

(a) the risks to his own health and safety to which he is exposed whilst he is at work; and

(b) the risks to the health and safety of persons not in his employment arising out of or in connection

with the conduct of his undertaking, for the purpose of identifying the measures he needs to take to

comply with the requirements and prohibitions imposed upon him by or under the relevant statutory

provisions.

(3) Any assessment such as is referred to in paragraph (1) or (2) shall be reviewed by the employer

or self employed person who made it if -



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A risk assessment should usually involve identifying the hazards present in any working environment

or arising out of commercial activities and work activities, and evaluating the extent of the risks

involved, taking into account existing precautions and their effectiveness:

Suitable and Sufficient

A suitable and sufficient risk assessment should be made. ‘Suitable and sufficient’ is not defined in

the Regulations. In practice the risk assessment should do the following:

(a) The risk assessment should identify the risks arising from or in connection with work. The level of

detail in a risk assessment should be proportionate to the risk. Once the risks are assessed and

taken into account, insignificant risks can usually be ignored, as can risks arising from activities

associated with life in general, unless the work activity compounds or significantly alters those risks.

The level of risk arising from the work activity should determine the degree of sophistication of the

risk assessment.

For small businesses presenting few or simple hazards a suitable and sufficient risk assessment can

be a very straightforward process based on informed judgement and reference to appropriate

guidance. Where the hazards and risks are obvious, they can be addressed directly. No complicated

processes or skills are required.

In many intermediate cases the risk assessment will need to be more sophisticated. There may be

some areas of the assessment for which specialist advice is required; for example risks which require

specialist knowledge such as a particularly complex process or technique such as being able to

measure air quality and to assess its impact.

The risk assessment should be appropriate to the nature of the work and should identify the period

of time for which it is likely to remain valid. This will enable management to recognise when short

term control measures need to be reviewed and modified, and to put in place medium and long term

controls where these are necessary.

As you can see the Regulations and guidance are themselves complex but necessary when it comes

to managing health and safety and the risk assessment process. Suitable and sufficient no real

definition only what is available in the actual regulations themselves as guidance.

3.0 Reasons for managing health and safety

There are three reasons that are given for managing health and safety within an organisation. These

are in no particular order but equal attention should be given to all three:

1. Ethical and Moral reasons

2. Legal reasons

3. Financial reasons

3.1. Moral Reasons:

It is fair to say that when people go to work they do not expect to be injured or worse - killed. Every



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manufactured by the respondent, and which contained the decomposed remains of a snail.

The appellant by her condescendence averred that the bottle of ginger-beer was purchased for the

appellant by a friend in a cafe, at Paisley, Glasgow, which was occupied by one Minchella; that the

bottle was made of dark opaque glass and that the appellant had no reason to suspect that it

contained anything but pure ginger-beer; that the said Minchella poured some of the ginger-beer out

into a tumbler, and that the appellant drank some of the contents of the tumbler; that her friend was

then proceeding to pour the remainder of the contents of the bottle into the tumbler when a snail,

which was in a state of decomposition, floated out of the bottle; that as a result of the nauseating

sight of the snail in such circumstances, and in consequence of the impurities in the ginger-beer

which she had already consumed, the appellant suffered from shock and severe gastro-enteritis.

The appellant further averred that the ginger-beer was manufactured by the respondent to be sold

as a drink to the public (including the appellant); that it was bottled by the respondent and labelled

by him with a label bearing his name; and that the bottles were thereafter sealed with a metal cap

by the respondent. She further averred that it was the duty of the respondent to provide a system of

working his business which would not allow snails to get into his ginger-beer bottles, and that it was

also his duty to provide an efficient system of inspection of the bottles before the ginger-beer was

filled into them, and that he had failed in both these duties and had so caused the accident.

The general principles for duty of care were highlighted in this case as:

Does a duty of care exist?

This depends on the relationship between the parties, as a duty of care is not owed to the world at

large, but only to those who have a sufficiently proximate relationship. The courts have found that

there is no liability if the relationship between the parties is too remote.

Is there a breach of that duty?

Liability will only arise if the action breaches the duty of care and causes a loss or harm to the

individual who would have been reasonably foreseeable in all the facts and circumstances of the

case.

Did the breach cause damage or loss to an individual’s person or property?

When Donoghue was decided it was thought that duty of care would only be applicable to physical

injury and damage to property; however this has now been extended, in some circumstances, to

where there is only pure economic loss.

Another Moral Reason for managing safety is stated by Dr Tony Boyle in his book Health and Safety:

Risk Management as -

“..there is an expectation on the part of society in general that organisations will take reasonable

care to ensure that the people and activities they manage do not harm other people or their

property. This expectation has changed over the years with general shifts in the attitude of society to

health and safety. What was acceptable 20 years ago in many aspects of life is no longer acceptable

today. This is perhaps noticeable in relation to environmental issues which were not even generally

discussed 20 years ago. However people in general are now less tolerant of lack of health and

safety....It seems likely that, as people’s expectations of life in general increases, their expectations



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for a healthy and safe life also increase.”

It is therefore a moral responsibility of management to ensure that safe and healthy working

environments are provided for there workforce.

3.2 Legal Reasons

Legal: the preventive (by enforcement notices), punitive (through criminal sanctions), and

compensatory effects of law.

There are many legal reasons why health and safety must be managed in organisations. There are

Law’s in place that instil requirements and guidelines for organisations to follow and comply with.

Failure to do so can lead to fines, imprisonment and lack of business image within the competitive

markets.

The Health and Safety Executive (HSE) and the Health and Safety Commission (HSC) has

enforcement powers given to them under the Health and Safety at work etc Act 1974. Under section

10 of the Act the Health and Safety Executive (HSE) and the Health and Safety Commission (HSC)

were established their functions being:

HSE

This is the enforcement arm of the HSC. The Health and Safety Executive have Inspectors up and

down the country that has the following powers:

An inspector can gain access without a warrant to a workplace at any time.

An inspector can employ the police to assist them in the execution of their duty(ies)

An inspector can take equipment or materials onto the premises to assist in carrying out

investigations

An inspector can carry out investigations and examinations of equipment, machinery etc as

they deem necessary, taking photographs and samples and measurements etc.

An inspector can order the removal and testing of equipment or machinery.

An inspector can take statements, records and documents etc.

HSC

The Health and Safety Commission takes on the responsibility of developing health and safety from

the Government.

Powers of enforcement:

An inspector, if they deem necessary and appropriate, can issue a Prohibition Notice or Improvement

Notice when they believe or have reason to believe that a health and safety contravention is being

committed.

Prohibition Notice

A prohibition notice is issued by the Inspector which prohibits the work described in it, if the

inspector is of the opinion that the circumstances present a serious risk of personal injury. The notice

is usually to take immediate effect although it can have a deferred time limit.



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The notice when issued remains in place and effective until steps have been taken to remedy the

situation that has brought about the issue of the prohibition notice.

Any appeal can be made to an employment tribunal (within 21 days) but the prohibition notice

remains in effect until the appeal has been heard.

Improvement Notice

An Improvement Notice is issued by an inspector (which specifies a time period to remedy the

contraventions) when a statutory requirement is not being complied with. As with a prohibition

notice, an appeal can be made to an employment tribunal within 21 days. In doing so this has the

effect of postponing the notice until the tribunal alters the notice or confirms it.

Other powers

The HSE can also prosecute any person who contravenes a statutory requirement

The HSE can also prosecute any person who fails to comply with a prohibition notice or

improvement notice The HSE can seize and render obsolete any article/substance which is considered to be the

source of imminent danger

Statute Law

Statute law is the written law of the land. It includes Acts of Parliament, Regulations etc. An Act of

Parliament is called a primary legislation and any regulations made under it are called secondary

legislation. So for example:

Primary Legislation: Health and Safety at Work etc Act 1974

Secondary Legislation: Management of Health and Safety at Work Regulations 1992

Manual Handling Operations Regulations 1992

Common Law

This part of the English law is not embodied in legislation. It consists of rules of law based on

common custom and usage and on judicial (court) decisions. English common law became the basis

of law in the USA and many other English-speaking countries.

Common law developed after the Norman Conquest 1066 as the law common to the whole of

England, rather than local law. As the court system became established under Henry II in the 12th

century, and judges’ decisions became recorded in law reports, the doctrine of precedent developed.

This means that, in deciding a particular case, the court must have regard to the principles of law

laid down in earlier reported cases on the same, or similar points, although the law may be extended

or varied if the facts of the particular case are sufficiently different. Hence, common law (sometimes

called ‘case law’ or ‘judge-made law’) keeps the law in harmony with the needs of the community

where no legislation is applicable or where the legislation requires interpretation.

Civil law



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What is it and how does it work?

Civil Law is the section of the law that deals with disputes between individuals or organisations. For

example, a car crash victim claims damages against the driver for loss or injury sustained in an

accident, or one company sues another over a trade dispute.

Unlike criminal offences, the Crown Prosecution Service (CPS) doesn’t prosecute a civil offence.

Rather than any sentence, custodial or otherwise, the end result is usually financial compensation.

Civil Law has developed in a similar way to the way criminal law has, through a mixture of Statutory

Law made by Governments, and ‘precedent’ which is created by earlier cases.

Burden of proof

One crucial difference between Civil and Criminal law is that the ‘burden of proof’ is lower in a civil

case. A criminal case must be proved ‘beyond reasonable doubt.’ A civil case only has to be proved

on the ‘balance of probabilities,’ i.e. it is ‘likely’ that the defendant is guilty.

The OJ Simpson trial in America is a classic example. The criminal trial hadn’t proved ‘beyond

reasonable doubt’ that he had murdered his wife, yet a subsequent civil trial decided that on the

‘balance of probabilities’ he had. As a result, the victim’s family was awarded compensation, but in

the criminal case, Simpson wasn’t found guilty of murder, so he wasn’t jailed.

Civil actions aren’t always successful though. The family of Stephen Lawrence brought a civil action

against those suspected of his murder. Although the ‘burden of proof’ was lower than in a criminal

trial the men were once again acquitted when crucial identification evidence was ruled to be

inadmissible.

Since the introduction of the Civil Procedure Rules in 1999, after a review by Lord Woolf, making a

claim for compensation under civil law has been made easier and less time consuming. Claims are

now handled differently in proportion to their complexity and claim value.

To assist in this speeding up process, the Personal Injury Protocol was established and made the

early exchange of any documentation a priority in order for both sides of the claim to establish their

‘position’ (either they feel they can successfully defend or admit to some percentage of liability).

After a detailed written letter of claim has been received the defendant’s solicitor must acknowledge

the letter within 21 days. There is then a period of three months for the exchange of documentation

and information so as to progress any investigation. After the investigations a decision will be made

whether to defend the claim or admit liability.

3.3 Financial reasons

Economic: direct and indirect costs associated with incidents and their impact on the organisation.

Tried and true approaches to safety have performed exceptionally well. The 90's workplace has never

been safer; yet, financial margins can be wiped out through compensation claims resulting from

unsafe work practices. For any organisation, financial survival can hinge upon a single catastrophic

accident or even a series of much smaller ones.



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Safety professionals will have to create organisational processes with safety seamlessly integrated.

Leaders, supported by safety personnel, will use opportunity-risk concepts to achieve competitive

advantages in the marketplace.

Losses due to injuries exceed £12 billion annually. Worse yet, these are the direct costs - indirect

costs are even more impressive despite their elusive nature. For example, consider only the many

inclusive costs to defend yourself against a lawsuit. Or, the costs of retraining replacements,

increased insurance premiums, production interruptions, and poor morale.

Accident Costs

You may assume that your liability insurance covers you for the full cost of accidents and claims in

your workplace. Research in Ireland has shown that the insured costs of accidents are only the tip of

the iceberg when it comes to determining the full cost of an accident.

The cost of accidents, both locally and nationally, are made up of elements of the following:

Direct Costs

Death

Hospital, etc treatment

Permanent disability

Sick pay

Legal costs



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Insurance claims

Damage to buildings, vehicles, machinery, etc

Product loses and or damage

Material loses and or damage

Overtime working

Indirect Costs

Investigation costs

Fines

Hiring or raining replacement staff

Loss of experience and expertise

Lowering of morale

Loss of goodwill

Loss of image

Business interruptions

Product liability

Production delays

Increased insurance premiums

3.4 Video: Risk management in the real world

IOSH President Nattasha Freeman and Immediate Past President Ray Hurst discuss the industry

debate on the first day of the IOSH 09 Conference & Exhibition in Liverpool. 'Risk management in the

real world: driving societal change' included speakers from IOSH, Association of British Insurers,

Royal Mail Assets and the Association of Chief Police Officers.

http://www.sheilds-elearning.co.uk/file.php/4/video/IOSH_09_-

_risk_management_in_the_real_world.flv



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4.0 Introduction to health and safety management

It is an excellent management practice for every organisation to have a Safety Management System

in place, and an effective system can be of great benefit to your organisation.

A Safety Management System can vary greatly in style according to the trade or profession

concerned. For some companies, issues such as storage, plant and equipment, hazardous

substances, contractor management, violence and aggression may be essential features of the safety

management system. For others, the main concern is the assessment of workstations and the

working environment of people who work on computers for prolonged periods of time.

Whatever organisation or industry you work for implementing a Safety Management System is vitally

important if you are to successfully manage your health and safety.

There are three main health and safety management systems which we need to discuss. these are:

HSG65

BS8800

OHSAS18001

4.1 The Benefits of a Formal Health and Safety Management System

Occupational Health & Safety is a subject that must be addressed by all organisations large and

small. The organisation’s management system should identify all legislative requirements, identify

the hazards and control the risks of the organisation.

Progressive business will aim to go beyond compulsory measures and promote continuous

improvement on health and safety matters, in line with the HSC “Revitalising Health & Safety

Strategy 2000”.

Managing the health and safety of an organisation can be approached in an unstructured way or by

using a formal approach (i.e. ISO 9001/2 or ISO 14001 or similar) and it can be integrated into any

current system, to reduce the burden of bureaucracy.

A formal Health and Safety Management system will provide the following benefits:

• A system for continually identifying legal and other requirements

• A clear management structure delegating authority and responsibility

• A clear set of objectives for improvement, with measurable results

• A structured approach to risk assessment within the organisation• A planned and documented approach to health and safety

• The monitoring of health and safety management issues, auditing of performance and review

of policies and objectives.

• A system for continually identifying legal and other requirements

• A clear management structure delegating authority and responsibility

• A clear set of objectives for improvement, with measurable results

• A structured approach to risk assessment within the organisation

• A planned and documented approach to health and safety

• The monitoring of health and safety management issues, auditing of performance and review

of policies and objectives.



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Time spent on improving an organisation’s health and safety could provide a financial return in terms

of:

• Reduced accidents and occupational ill health

• Reduced stress and greater productivity

• An improvement in underwriting risk

• A reduction in the likelihood of paying legal costs and compensation

4.2 Systematic Occupational Health & Safety Management

Against a background of increasing globalisation, there is a growing convergence of managerial

approaches to risk management. These range from the development of an increasingly

internationally respected Australasian standard on Risk Management (Australia and New Zealand

Standards Institutes, 1999) to the growth of Corporate Governance guidelines and standards, from

pressures on large corporations to meet the challenge for transparency and openness in their reports

(Global Reporting Initiative, 2000) to calls from the UK Government for Directors to take more

responsibility for the management of health and safety (Health and Safety Executive, 2001).

This was the context in which significant developments in Occupational Health & Safety Management

Systems (OHMS) were discussed at a conference held in Amsterdam in 1998, and modified versions

of the papers have been published in this challenging and thought-provoking book. The editors

identify four strands in the process by which increasing numbers of the larger organisations in the

developed world have been adopting OHMS: active promotion by consultants and governments; an

international debate and the adoption of national standards; a trend towards mandatory

requirements for OHMS; spread of OHMS through ‘hybrid’ regulatory regimes which require self-

audit. Within Europe the first three strands are the key drivers, while Australasia and the USA have

been developing an approach that reduces the regulatory burden (through inspections) for

organisations which meet the specified systems and self-audit criteria. From almost all quarters there

is agreement that OHMS is the way to ill-health at work, although such implied claims are notmatched by proper evaluation.

The ‘success’ hypothesis posits that ensuring senior management commitment, and the integration

of health and safety into the day-to-day decisions of organisations will reduce ill-health. The ‘paper

tiger’ hypothesis suggests that many risks are ignored by such systems, which generate a great deal

of paperwork and may create obstacles to worker involvement. The ‘sham’ hypothesis is openly

critical of OHMS, seeing it as a pretext to deregulate. Exploring these issues, and seeking some of

the practical outcomes of the development of OHMS within countries and within organisations, the

papers are organised into four sections: Politics and Strategies; Changing Labour Markets and

Business Structures; Implementation and Effects; Integration of OHMS into Business and

Management Development. The IOHA was invited to review the then extant OHMS available aroundthe world, and prepare a report for the ILO (International Occupational Hygiene Association, 1998).

The result of the debate that this provoked led the ILO to launch a new international OHMS at a

conference in Finland in October 2001 (International Labour Office, 2001).

Whilst such a significant development occurred after the publication of the proceedings of the

Amsterdam conference, this does not invalidate for a moment the views expressed in this excellent

text. For occupational hygiene practitioners, the arguments marshalled within the book will assist in

deciding on the advice to colleagues—‘Should we work towards OHSAS 18001 (British Standards

Institution, 1999) or is HSE’s HS(G)65 (Health and Safety Executive, 1997) adequate?’ For those

with a broader responsibility, in the political arena, there is a strong cautionary note that managerial



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solutions are desirable, but not when they exclude either the workforce or wider society through the

regulatory framework. OHMS may offer a significant opportunity to improve the health of the

workforce, or it appears it may be a smokescreen for deregulation. But then another convergent

theme is the growth of Socially Responsible Investment, so perhaps whatever the deregulators may

wish, OHMS will have to be a servant of organisations genuinely seeking better health and safety

outcomes.

4.2.1 HSG65

HS(G)65 is the Health and Safety Executive's own management system that was first published in 1991. The

publication was titled 'Successful Health and Safety Management' and quickly after its launch it became a much

needed document for serious health and safety managers. HS(G)65 was revised on 1997 after the Health and Safety

Executive recognised it influence on the health and safety industry.

The updated standard is now entitled HSG65 Successful Health and Safety Management (you will note that the

updated version dropped the (G) to G, making it easy to distinguish between the old and new versions.)

Policy

A written health and safety policy is a legal requirement embedded on the Health and Safety at Work

etc Act 1974. It is also the first stage of the HSG65 management system model. Having a written

policy showing commitment to health and safety within the organisations is an important aspect. The

policy itself may come in a variety of forms but essentially should outline the way in which the

company is thinking and the direction it wishes to take with regards to its pursuit of a healthy and



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safe working environment. HSG65 gives more detailed information in its text regarding what should

form the basis of the policy statement:

A review period for the policy must be set so that the document can be continually up dated and

reflect current and best practice as well as any advancement with the ever changing safety legislation.

Organising

There are four main components that HSSG65 identify as important issues when organising health

and safety in an organisation:

Control

Co-operation

Communication

Competence

We will now look at these individually:

Set the direction for the organisation by:

Demonstrating senior management commitment.

Setting health and safety in context with other business objectives.

Making a commitment to continuous improvement in health and safety

performance.

Outline the details of the policy framework, showing how implementation will take place by:

Identifying the director or key senior manager with overall responsibility for

formulating and implementing the policy.

Having the document signed and dated by the director or chief executive.

Explaining the responsibilities of managers and staff.

Recognising and encouraging the involvement of employees and safety

representatives.

Outlining the basis for effective communication.

Showing how adequate resources will be allocated.

Committing the leaders to planning and regularly reviewing and developing the

policy.

Securing the competence of all employees and the provision of any necessary

specialist advice.

Control

Lead by example: demonstrate your commitment and provide clear

direction - let everyone know health and safety is important

Identify people responsible for particular health and safety jobs -especially where special expertise is called for e.g. doing risk

assessments, driving fork lift trucks etc

Ensure that managers, supervisors and team leaders understand

their responsibilities and have time and resources to carry them out

Ensure everyone knows what they must do and how they will be held

accountable - set objectives

Co-operation Chair your health and safety committee - if you have one. Consult

with your staff and their representatives

Involve staff in planning and reviewing performance, writing

procedures and solving problems



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Planning

Planning is the key to ensuring that your health and safety efforts really work. Planning for health and

safety involves setting objectives, identifying hazards, and assessing risk, implementing standards of

performance and developing a positive culture. It is often useful to record your plans in writing. Your

planning should provide for:

Identifying hazards and assessing risks, and deciding how they can be eliminated or controlled

Complying with the health and safety laws that apply to your organisation

Agreeing health and safety targets with managers and supervisors

A purchasing and supply policy which takes health and safety into account

Design of tasks, processes, equipment, products and services, safe systems of work Procedures to deal with serious and imminent danger

Co-operation with neighbours, and or subcontractors

Setting standards against which performance can be measured

Standards help build a positive culture and control risk. They set out what people in your organisation

will do to deliver your policy and control risk. They should identify who does what, when and with

what result.

Three key points about standards are that they must be:

Measurable

Achievable Realistic

Statements such as 'staff must be trained' are difficult to measure if you don't know exactly what

'trained' means and who is to do the work.

'All machines must be guarded' is difficult to achieve if there is no measure of adequacy of the

guarding.

Many industry based standards exist and you can adopt and set your own, preferably referring to

numbers, quantities and levels which are seen to be realistic and can be checked. For example:

Completing risk assessments and implementing controls required

Co-ordinate and co-operate with those contractors who work on your

premises

Communication Provide information about hazards, risk and preventive measures to

employees and contractors working on your premises

Discuss health and safety regularly

Be 'visible' on health and safety

Competence Assess the skills needed to carry out all tasks safely

Provide the means to ensure that all employees, including your

managers, supervisors and temporary staff, are adequately instructed

and trained

Ensure that people doing especially dangerous work have the

necessary training, experience and other qualities to carry out the

work safely

Arrange for access to sound advice and help

Carry out restructuring or re-organisation to ensure the competence

of those taking on new health and safety responsibilities



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Maintaining workshop temperatures within a specified range

Specifying levels of waste or emissions that are acceptable

Specifying methods and frequency for checking guards on machines, levels of training etc.

Arranging to consult staff or their representatives at set intervals

Monitoring performance in particular ways at set times

Ask yourself:

Do you have a health and safety plan?

Is health and safety always considered before any new work is started?

Have you identified hazards and assessed risks to your own staff and the public, and set standards for

premises, plant, substances, procedures, people and products?

Do you have a plan to deal with serious and imminent danger?

Are the standards put in place and risks effectively controlled?

Measuring your performance?

Just like finance, production or sales, you need to measure your health and safety performance to find

out if you are being successful. You need to know:

Where you are

Where you want to be

What is the difference and why

Active monitoring, before things go wrong, involves regular inspection and checking to ensure that

your standards are being implemented and management controls are working. Reactive monitoring,

after things go wrong, involves learning from your mistakes, whether they have resulted in injuries,

illness, property damage or near misses.

Active monitoring (before things go wrong): Are you achieving the objectives and standards

you set yourself and are they effective?

Reactive monitoring (after things go wrong): Investigating injuries, cases of illness, property

damage and near misses - identifying in each case why performance was substandard.

You need to ensure that information from active and reactive monitoring is used to identify situations

that create risks, and do something about them. Priority should be given where risks are greatest.

Look closely at serious events and those with potential for serious harm. Both require an

understanding of the immediate and the underlying causes of events.

Investigate and record what happened - find out why. Refer the information to the people with

authority to take remedial action, including organisational and policy changes.

Ask yourself:

Do you know how well you perform in health and safety?

How do you know if you are meeting your own objectives and standards for health and safety?

Are your controls for risks good enough?

How do you know you are complying with the health and safety laws that affect your business?

Do your accident investigations get to all the underlying causes - or do they stop when you find

the first person that has made a mistake?

Do you have accurate records of injuries, ill health and accidental loss?

Audit and Review



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Monitoring provides the information to let you review activities and decide how to improve

performance. Audits, by your own staff or outsiders, complement monitoring actives by looking to see

if your policy, organisation and systems are actual achieving the right results. They tell you about the

reliability and effectiveness of your systems. Learn from your experiences. Combine the results from

measuring performance with information from audits to improve your approach to health and safety

management. Review the effectiveness of your health and safety policy, paying particular attention to:

The degree of compliance with health and safety performance standards

Areas where standards are absent or inadequate

Achievement of stated objectives within given time-scales

Injury, illness and incident data - analyses of immediate and underlying causes, trends and

common features

These indicators will show you where you need to improve.

Ask yourself:

How do you learn from your mistakes and your successes?

Do you carry out health and safety audits?

What action is taken on audit findings?

Do the audits involve staff at all levels?

When did you last review your policy and performance?

4.2.2 BS8800/OHSAS18001

The Origins of OHSAS 18001

The British Standards Institution was given the task of developing a specification for an occupational

health and safety management system that could be integrated into an organisation’s overall

management system. This resulted in BS 8800:1996 being published, which is a guide to

occupational health and safety management systems that can be based on either the environmental

standard ISO 14001, or the Health and Safety Executive’s Guidance Note HSG65.

For many years, there has been demand for a certification scheme for occupational health and

safety, which intensified with the publication of BS 8800 in 1996. However, whilst BS 8800 offers

guidance on implementing an occupational health & safety management system, it is not and never

was intended for certification purposes. The pressure was, therefore, for a certification scheme that

could offer independent verification that an organisation has taken all reasonable measures tominimise risks and prevent accidents.

The situation prompted many certification bodies to develop their own specifications based on BS

8800. The inevitable irregularities between the specifications made this an undesirable way forward.

In response, a committee was formed in November 1998 chaired by the British Standards Institution,

and consisted of the major UK certification bodies and other national standard organisations known

to be active in health and safety, with the remit of creating a single specification. This resulted in the

occupational health and safety assessment series OHSAS 18001, which unified the existing schemes.

Structure of OHSAS 18001



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OHSAS 18001 contains 6 elements, as detailed below:

1 General requirements

2 OHS Policy

3 Planning

Hazard identification, risk assessment and risk control

Legal and other requirements

Objectives

OH&S management programme

4 Implementation and operation

Structure and responsibility, awareness and competence

Consultation and communication

Documentation

Documentation and data control

Operational control

Emergency preparedness and response

5 Monitoring and audit

Performance monitoring and measuring

Accidents, incidents, non-conformance, corrective and preventive action

Records and record management

6 Management review

4.2.3 What is ISO 9000?

ISO 9000 is a generic name given to a family of standards developed to provide a framework around

which a quality management system can effectively be implemented.



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The ISO 9000 family of standards was revised in December 2000. (These pages refer to ISO

9001:2000 series, as opposed to ISO 9000:1994 series - the previous version).

ISO 9001:2000, the requirement standard, includes the following main sections:

1. Quality Management System

2. Management Responsibility

3. Resource Management

4. Product Realisation

5. Measurement Analysis and Improvement

To gain the maximum benefit from ISO 9001:2000 there are a number of steps to take:

Define why your organisation is in business.

Determine the key processes that state 'what' you do.

Establish how these processes work within your business.

Determine who owns these processes.

Agree these processes throughout the organisation.

Differences between ISO 9000:1994 and ISO 9001:2000

The ISO 9001:2000 series was created after extensive consultation with users. It is simpler, more

flexible for organisations to adopt and embraces the use of Plan-Do-Check-Act principles and Process

Management.

The single most significant change to ISO 9001 is the movement away from a procedurally based

approach to management (stating how you control your activities) to a process based approach

(which is more about what you do). This shift enables organisations to link business objectives with

business effectiveness more directly. The

ISO 9001:2000 includes the following main sections:

1. Quality Management System- an organisation needs to ensure that it has established what its

processes are, how they interact with each other, what resources are required to provide the product

and how the processes are measured and improved. When the above has been established then a

system for the control of documentation has to be established together with the Quality Manual andcontrols for looking after records.

2. Management Responsibility - the management at the highest level in the organisation will need to

be conversant with this important section of the standard. It is their responsibility to set policies,

objectives and review the systems, as well as communicating the effectiveness of the systems within

the organisation.

3. Resource Management - more emphasis has been placed on the resources the organisation needs

to ensure that the customer receives what has been agreed. It covers not only people but also

physical resources such as equipment premises and any support services required.



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4. Product Realisation- this section covers the processes that are needed to provide the

product/service. These processes cover activities such as taking the instruction from the customer,

the design and development of products, the purchasing of materials and services and the delivery of

the products and services.

5. Measurement Analysis and Improvement- carrying out the measurement of the products,

customer satisfaction, the management systems and ensuring continual improvement of the systemsare vital to the management of the systems.

In comparison with the original standard, the revised standard:

applies to all product categories, sectors and organisations

reduces the required amount of documentation.

connects management systems to organisational processes

is a natural move towards improved organisational performance

has greater orientation towards continual improvement and customer satisfaction

is compatible with other management systems such as ISO 14001

is capable of going beyond ISO 9001:2000 in line with ISO 9004:2000 in order to furtherimprove the performance of the organisation.

Implementing a Quality Management System

Review support literature and software

There are a wide range of quality publications and software tools designed to help you understand,

implement and become registered to a quality management system.

Assemble a team and agree your strategy

You should begin the entire implementation process by preparing your organisational strategy with

top management. Responsibility for a QMS lies with Senior Management, therefore it is vital that

Senior Management is involved from the beginning of the process.

Consider Training

Whether you are the Quality Manager seeking to implement a quality management system or a

Senior Manager who would like to increase your general awareness of ISO 9001:2000, there are a

range of workshops, seminars and training courses available.

Review Consultancy Options

You can receive advice from independent consultants on how best to implement your quality

management system. They will have the experience in implementing a QMS and can ensure you

avoid costly mistakes.



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Choose a Registrar

The registrar is the third party who come and assesses the effectiveness of your quality management

system, and issue a certificate if it meets the requirements of the standard. Choosing a registrar can

be a complex issue as there are so many operating in the market. Factors to consider include

industry experience, geographic coverage, price and service level offered. The key is to find the

registrar who can best meet your requirements. A great place to start is by contacting us.

Develop a Quality manual

A Quality manual is a high level document that outlines your intention to operate in a quality

manner. It outlines why you are in business, what your intentions are, how you are applying the

standard and how your business operates.

Develop support documentation

This is typically a procedures manual that supports the Quality manual. Quite simply, it outlines what

you do to complete a task. It describes who does what, in what order and to what standard.

Implement your Quality Management System

The key to implementation is communication and training. During the implementation phase

everyone operates to the procedures and collects records that demonstrate you are doing what you

say you are doing.

Consider a pre-assessment

A pre-assessment by your registrar normally takes place about six weeks into the implementation of

the quality system. The purpose of the pre-assessment is to identify areas where you may not be

operating to the standard. This allows you to correct any areas of concern you may have before the

initial assessment.

Gain registration

You should arrange your initial assessment with your registrar. At this point the registrar will review

your QMS and determine whether you should be recommended for registration.

Continual assessment

Once you have received registration and been awarded your certificate, you can begin to advertise

your success and promote your business. To maintain your registration, all you need to do is

continue to use your quality system. This will be periodically checked by your registrar to ensure that

your Quality System continues to meet the requirements of the standard.



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4.2.4 TQM - Total Quality Management:

Theory

Total Quality Management (TQM) is a business philosophy that seeks to encourage both individual

and collective responsibility to quality at every stage of the production process from initial design and

conception through to after sales service.

Many businesses may not use the term TQM anymore but the philosophy is still very much part of

most business thinking. It is seen as being a way in which a business can add value to its product

and to gain competitive advantage over its rivals. The former may allow a business to charge a

higher price for its product or service whilst the latter can be a key feature of its marketing

programme.

TQM requires a change in the way in which businesses operate. It implies a number of things if it is

to work successfully:

Management structures have to be more consultative and less hierarchical. Workers have to be empowered to be able to make decisions at all levels of the organisation.

Workers have to be trained and involved in the building of the philosophy.

Communication links between workers and management and between the business and all

aspects of the supply chain must be excellent.

Commitment to TQM must be backed by action, which the customer can see, and experience.

Commitment to the process must be led by the senior management of the business - paying

'lip service' will invariably end up in failure.

TQM can be addressed in a business in a number of ways. The most common are:

A policy of zero defects - any problems in the production process are filtered out before theyget anywhere near the customer.

Quality chains - each stage of the production process is seen as being a link in the chain right

down to the relationship between one worker in the process and another.

Quality circles - meetings of those directly involved in the production process to discuss and

solve problems and make improvements to the production process.

Statistical monitoring - the use of data and statistics to monitor and evaluate production

processes and quality.

Consumer feedback - using market research and focus groups to identify consumer needs and

experiences and to build these into the process.

Changing production methods - many businesses, where appropriate, have looked at the

layout of their production processes - it could be the move to open plan offices, thedevelopment of teams or the use of cell production to improve worker commitment to the

philosophy.

TQM invariably involves some sort of cost. Re-organising the business in any of the ways above not

only involves capital cost but also the cost of training staff. High quality change management is

therefore an essential ingredient of the success of such strategies.

Costs can however be saved if the change is successful. The cost of replacing damaged or faulty

goods can be high - if the business waits until the end of the process other resources will have been

wasted. The improved communication between suppliers and the firm should help to reduce defective



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components.

Other benefits may involve the effect on customer loyalty and repeat purchases, as well as winning

over customers from rivals. Image and reputation can take many years to win but only a short time

to lose so the stakes for the business are high.

To prove that the business has rigorous quality standards, external certification by a respected body

is seen as being important. Such external certification could be through the Investors in People

programme - a recognised standard in the training and professional development of staff in a

business - and through such bodies as the ISO.

Two certificates are particularly sought after - ISO 9000 and ISO 14000. The former is concerned

with quality management in relation to customer requirements, customer satisfaction, adherence to

regulations and the pursuit of continuous improvement.

ISO 14000 is related to the impact of the firm's activities on the environment and the firm's attempts

to improve its performance in this respect. Getting certification means that the company can send a

message to companies throughout the world, which recognise this standard - currently, around 90

countries - of the quality that they can expect when dealing with the company.

The standards for ISO 9000 deal with the following areas:

1. Quality management systems - establishing and monitoring the process whereby product and

service quality are maintained.

2. Management responsibility - how the management establish, maintain, monitor and communicate

their commitment to the standards.

3. Resource management - how the business provides the resources - both physical and human - to

enable the standards to be met and maintained.

4. Product realisation requirements - how businesses establish and monitor quality from concept to

final product or service delivery.

5. Measurement, analysis and improvement requirements - how businesses use data to monitor their

quality control and how this data is used to improve quality provision.

The terminology related to quality management could be regarded as being a bit 'nineties' but the

philosophy is still one that drives many businesses as they seek to find ways in which, in an

increasingly competitive global market, they can gain some form of competitive advantage or add

value to their business. ISO14000 - Introduction

After the success of the ISO9000 series of quality standards, the International Standards

organisation has completed and published a comprehensive set of standards for environmental

management. This series of standards is designed to cover the whole area of environmental issues

for organisations in the global market place.

What are some of the benefits of having an ISO EMS?

Some of the most commonly cited benefits of an ISO 14001 EMS are:



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Improved perception of the key environmental issues by their employees and a better

(greener) public image of the organisation.

An increase in the efficiency and use of energy and raw materials (less waste)

Improved ability to meet compliance with environmental regulations

Dependence on a system rather than just the experience and capabilities of an individual to

manage the environmental function of an organisation.

4.2.5 History of Development

The ISO 14000 series emerged primarily as a result of the Uruguay round of the GATT negotiations

and the Rio Summit on the Environment held in 1992. While GATT concentrates on the need to

reduce non-tariff barriers to trade, the Rio Summit generated a commitment to protection of the

environment across the world. The environmental field has seen a steady growth of national and

regional standards. The British Standards Institution has BS 7750, the Canadian Standards

Association has environmental management, auditing, eco-labelling and other standards, the

European Union has all of these plus the eco-management and audit regulations, and many other

countries (e.g. USA, Germany and Japan) have introduced eco-labelling programs.

After the rapid acceptance of ISO 9000, and the increase of environmental standards around the

world, ISO assessed the need for international environmental management standards. They formed

the Strategic Advisory Group on the Environment (SAGE) in 1991, to consider whether such

standards could serve to:

In 1992, SAGE's recommendations created a new committee, TC 207, for international

environmental management standards. The committee and its sub-committees include

representatives from industry, standards organisations, government and environmental organisations

from many countries. The new series of ISO14000 standards are designed to cover:

Why have these standards?

A set of international standards brings a world-wide focus to the environment, encouraging a cleaner,

safer, healthier world for us all. The existence of the standards allows organisations to focus

environmental efforts against an internationally accepted criteria.

At present many countries and regional groupings are generating their own requirements for

environmental issues and these vary between the groups. A single standard will ensure that there

are no conflicts between regional interpretations of good environmental practice.

Promote a common approach to environmental management similar to quality management;

Enhance organisations' ability to attain and measure improvements in environmental

performance; and

Facilitate trade and remove trade barriers.

environmental management systems

environmental auditing

environmental performance evaluation

environmental labelling

life-cycle assessment

environmental aspects in product standards



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The fact that companies may need environmental management certification to compete in the global

marketplace could easily overshadow all ethical reasons for environmental management.

Within Europe, many organisations gained ISO9000 Registration primarily to meet growing demands

from customers. ISO 9000 quality registration has become necessary to do business in many areas

of commerce. Similarly, the ISO 14000 management system registration may become the primary

requirement for doing business in many regions or industries.

Who do the standards apply to?

The standards apply to all types and sizes of organisations and are designed to encompass diverse

geographical, cultural and social conditions. For ISO14001, except for committing to continual

improvement and compliance with applicable legislation and regulations, the standard does not

establish absolute requirements for environmental performance. Many organisations, engaged in

similar activities, may have widely different environmental management systems and performance,

and may all comply with ISO14001 .

What do the standards apply to?

This is primarily for the company to decide, and to clearly document the extent of coverage.

However, limiting coverage to a small area may provide competitors with an ideal marketing

opportunity!

There does not appear to be a limit to the coverage of the environmental management system in

that it can include the organisation's products, services, activities, operations, facilities,

transportation, etc.

From a slightly different viewpoint, all of the elements in the previous sentence should be considered

for environmental impact resulting from current practices, past practices and future practices ...and

should further be reviewed for their impact under normal, abnormal and emergency conditions.

What does the ISO 14000 Series cover?

The best way to answer this question is to provide a list of the proposed standards:

Standard Title / Description

14000Guide to Environmental Management Principles, Systems and Supporting

Techniques

14001 Environmental Management Systems - Specification with Guidance for Use

14010Guidelines for Environmental Auditing - General Principles of Environmental

Auditing

14011Guidelines for Environmental Auditing - Audit Procedures-Part 1: Auditing of

Environmental Management Systems

14012Guidelines for Environmental Auditing - Qualification Criteria for

Environmental Auditors

14013/15Guidelines for Environmental Auditing - Audit Programmes, Reviews &

Assessments



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General Description of ISO14001

ISO14001 requires an Environmental Policy to be in existence within the organisation, fully supported

by senior management, and outlining the policies of the company, not only to the staff but to the

public. The policy needs to clarify compliance with environmental legislation that may effect the

organisation and stress a commitment to continuou

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