1026 Int Diploma IA1 v2
1026 Int Diploma IA1 v2
1026 Int Diploma IA1 v2
Element IA1:
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Contents
Reasons for Managing Health and Safety
4
4
5
6
1) Moral Reasons
2) Legal Reasons
3) Economic Reasons
7
7
8
9
9
11
11
12
Economic Climate
Government Policy and Initiatives
Globalisation of Business
Migrant Workers
Levels of Sickness Absence and Incapacity
Societal Expectations
Corporate Social Responsibility (CSR)
15
15
16
28
32
33
The Health and Safety Practitioner and Health and Safety Management Systems
Influencing Ownership and Conduct Within the Organisation
Competence and Continuing Professional Development
Evaluating and Developing Their Own Practice
Professional Ethics
Conflict of Interest
34
34
35
36
37
38
39
References
40
Definitions
Health and Safety Management Systems
Principles of Quality Management Systems and Environmental Management Systems
Integrated Management Systems
Benefits of Introducing a Management System
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Moral;
Legal; and
Economic.
1) Moral Reasons
Everyone has a moral obligation not to cause harm to others. Employers have a moral obligation,
based on the concept of a duty of reasonable care, towards their employees and other persons
who may be affected by their business products, services and activities.
The right to life is the most fundamental right. Yet according to ILO 2005 figures every year
2.2 million men and women are deprived of that right by occupational accidents and workrelated diseases. By conservative estimates workers suffer 270 million (as of ILO 2005 figures)
occupational accidents and 160 million occupational diseases each year. Deaths and injuries
take a particularly heavy toll in developing countries, where large numbers of workers are
concentrated in primary and extractive activities such as agriculture, logging, fishing and mining
- some of the worlds most hazardous industries.
This social and economic burden is not evenly distributed. Fatality rates in some European
countries are twice as high as in some others, and in parts of the Middle East and Asia fatality
rates soar to four-fold those in the industrialised countries with the best records. Certain
hazardous jobs can be from 10 to 100 times riskier, depending on the country.
Employers should not place any person at risk of death, injury or ill-health. Society demands
that employers demonstrate a positive moral attitude towards health and safety.
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2) Legal Reasons
Law is a body of rules designed to regulate the behaviour of society. The effects of law can
either be preventative, punitive or compensatory. In many parts of the world, law is divided into
two sections criminal and civil law.
Criminal Law
A crime is an offence against the state, which can be addressed within the legal framework of
each particular country with punitive consequences. Punitive - fines and prison sentences may
be imposed with the aim of punishment, deterrence and reformation.
Civil Law
A civil action is brought between individuals, or groups of individuals, for compensatory reasons
- whereby the claimant is seeking either financial compensation or a court order to prevent a
certain activity or settle a grievance from the respondent.
In some countries civil actions by the claimant have to demonstrate that the employer was
negligent in some way i.e. the employer was at fault. In other countries such as Australia and
New Zealand they operate a no fault compensatory system where if somebody is injured at
work they receive compensation from the State.
Self Regulation
Modern health and safety laws tend to set targets following a style based on goal setting which
encourages organisations to self regulate, rather than relying on compliance with specific technical
requirements. These place more emphasis on the duty holder to comply with the principles and
requirements of the law rather than the enforcing authority laying down, and then enforcing
prescriptive technical rules.
In this goal setting environment, the enforcing authority not only takes on a role of enforcer and
punisher where these laws have been broken but also a role of adviser, providing guidance and
information on how these laws may be complied with.
The broad target is the adequate control of risks to the health and safety of employees and others.
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3) Economic Reasons
The ILO figures of workers suffering 270 million occupational accidents and 160 million occupational
diseases each year would suggest a significant cost to both the employer and the state.
The costs of accidents will vary from country to country depending upon many factors such as
the country cost base, the social security system and the medical care regimes.
The true cost of accidents is a lot higher than most people realise, with indirect costs being
substantially more than the direct costs involved.
It is therefore difficult to estimate the cost of accidents on a country by country basis but for
illustrative purposes an example is the UKs HSE Guidance Note HSG 96, Cost of Accidents at
Work which illustrates the significance of the cost of accidents. Further costs to an organisation
may result from absenteeism, compensatory insurance costs, preventative enforcement action,
legal costs and punitive fines, loss of business reputation and business opportunity.
The costs of health and safety control programmes (precautionary and preventive measures)
are usually easily recognised and calculated as a bottom-line expense.
The cost of failure is less easy to calculate, as the losses tend to be absorbed into operating
costs. Costs include:
Accident investigation;
Payments for non productive time (witnesses, investigators, first-aiders, clearing up, etc.);
Loss of reputation;
Damage repair;
Replacement plant;
Compensation payments;
Insurance.
The true costs would be very difficult and time consuming to calculate.
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Economic climate;
Globalisation of business;
Migrant workers;
Economic Climate
Research by the Institute of Employment Research (IER, 2005) at the University of Warwick, has
suggested that the injury and ill health incident rates are counter cyclical, with rates decreasing
during recessions. Subsequently a paper published by the HSE Economic Analysis Unit in May
2009 entitled HSE Strategy Launch, Background Paper: the economic evidence, suggests
that during recessions injury rates usually fall due to fewer newly hired workers being used,
thus leading to higher than average levels of experience within the workforce. This can also be
combined with less product demand resulting in less hours being worked and therefore less
fatigue and work production pressures. (HSE, 2009).
Against this however is possible corner cutting by employers and less investment and training
which could lead to more injuries. However, past recessions have shown that injury rates have
fallen despite this possibility.
The paper suggests there is however less evidence when it comes to ill-health. Less product
demand might have a positive effect on work-related stress and more experienced workers
might have a better risk perception regarding health risks. However, health/welfare issues could
be subject to cost-cutting by the employer and non-work factors including unemployment /
deprivation and general ill-health could have an adverse effect possibly leading to stress.
In the recession of 2010 there is evidence that injury rates have fallen. However, the paper
suggests there are differences to previous recessions:
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Turning to the response by employers, the paper reports that there is a mixed picture with
regard to corner cutting. One survey showed that employees were reluctant in raising health
and safety concerns in the current economic climate while half of company directors surveyed
said they would cut bonuses rather that cut health and safety spending.
The paper predicts that as the UK comes out of recession there may be a rise in injury rates due
to an increase in hours worked and new workers hired possibly with little previous experience
as those laid off may have left the labour market.
EU Strategy
Occupational accidents should be cut by a quarter across the EU under a new five-year strategy
for health and safety at work through a series of actions at European and national levels in the
following main areas:
Improving and simplifying existing legislation and enhancing its implementation by exchange
of good practices, awareness-raising campaigns and better information and training;
Defining and implementing national strategies adjusted to the specific context of each
Member State;
Mainstreaming of health and safety at work in other national and European policy areas
(education, public health, research) and finding new synergies; and
Better identifying and assessing potential new risks through more research, exchange of
knowledge and practical application of results.
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2.
3.
4.
5.
Globalisation of Business
Two departments of the United Nations recently
warned that globalisation may considerably increase
the number of work-related diseases and injuries
in the next century. They said the pressures for
deregulation of the basic standards for health and
safety is growing.
Dr Richard Helmer of the World Health Organisation
(WHO) said, in order to reduce costs, industries with
their accompanying occupational hazards are being
relocated to developing countries - home to 75 per
cent of the global workforce. There are about 2.6
billion workers in the world as a whole.
Dr Jukka Takala, Chief of the International Labour
Organisations (ILO) Health and Safety Programme,
estimates that there are 250 million accidents in the
workplace each year, leading to 335,000 fatalities.
One million people die each year from the 160 million
illnesses caused by pollution and toxic materials and
processes. One hundred thousand chemicals are in
use. Of these 350 are known to be carcinogens and
3,000 are allergenic. Illnesses include respiratory and
cardiovascular disease, cancer and reproductive and
neurological problems.
In the least developed countries most workers are
involved in production of raw materialsagriculture
and mining. This means heavy and noisy physical
work and exposure to pesticide sprays, dusts and
parasitic and infectious diseases. In industrialising
countries, less advanced and more hazardous
technologies are used. The extent of illnesses and
injuries is unknown. In industrialised countries and
increasingly elsewhere, more than half the workers
suffer from psychological stress.
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Migrant Workers
Research from the Migration Research Unit, University College London, shows that of those
entering the UK on work permits, the biggest group was from India (mainly health and IT),
followed by the USA (mainly business). In addition, over 80 per cent of migrant workers are
under 35.
Many migrant workers face no, or very little, increased risk. They speak fluent English, may
have worked in the UK for many years and have the same working conditions and security
as non-migrant workers. Nevertheless there is no doubt that migrant workers with low English
language skills or with vulnerable employment or residency status are at greater risk.
HSE Research Document RR502 Migrant workers in England and Wales: An assessment
of migrant worker health and safety risks, states that there is no current method of identifying
whether there are any specific health and safety risks for migrant workers. Existing Health and
Safety Executive (HSE) programmes and recording systems only report a limited number of
workplace incidents and there is no systematic way of identifying whether someone is a recent
migrant. Consequently it is impossible to document, on the basis of the available statistics,
whether migrants are in a higher risk category than local workers.
However, RR502 does reveal that migrants are more likely to be working in sectors or
occupations where there are existing health and safety concerns and that their status as new
workers that may place them at added risk, due to a range of factors including:
Inability to communicate effectively with other workers and with supervisors, particularly in
relation to their understanding of risk;
Access to limited health and safety training and their difficulties in understanding what is
being offered, where proficiency in English is limited;
Failure of employers to check on their skills for work and on their language skills; and
Lack of knowledge of health and safety rights and how to raise them.
The research was primarily qualitative and much of the data was collected through in-depth,
face-to-face interviews with 200 migrant workers and with more than 60 employers, together
with over 30 key respondents who worked with, advised, employed or organised migrants.
These interviews were conducted in five regions of England and Wales and were mainly carried
out between May and November 2005.
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Societal Expectations
Research into discrimination within the workplace to such groups as women and the disabled
suggests that the pattern of findings is similar to those found in the broader society
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Environment.
Ethical trading.
Community involvement.
Employment standards.
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Child Labour;
Forced Labour;
Health and Safety: (Provide a safe and healthy work environment; take steps to prevent injuries;
regular health and safety training for workers; systems to detect threats to health and safety);
Discrimination;
Discipline;
Working Hours;
Compensation; and
Management Systems.
ISO 26000
ISO 26000 is the recognized international standard for CSR. This standard offers guidance
on socially responsible behaviour and possible actions; it does not contain requirements and,
therefore, in contrast to ISO management system standards, is not certifiable.
ISO 26000:2010 provides guidance to all types of organisations, regardless of their size or
location, on:
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EO statement, including a statement from the organisations CEO describing the key
elements of the report;
2.
3.
Executive summary and key indicators, showing an overview of the GRI report;
4.
Vision and strategy, giving the organisations vision and how the vision integrates economic,
environmental and social performance;
5.
6.
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Definitions
Various similar definitions exist for health and safety terminology. The definitions offered below
arise from a combination of authoritative sources.
Hazard
A hazard is something with the potential to cause harm; hazards can be physical, chemical,
biological, ergonomic or psychological in nature.
HSE publication HSG 65 defines a hazard as:
The potential to cause harm, including ill-health and injury; damage to property, plant, products
or the environment; and production losses or increased liabilities.
OHSAS 18001 gives the following definition:
A source or situation with a potential for harm in terms of injury or ill-health, damage to property,
damage to the workplace environment, or a combination of these.
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Danger
The Concise Oxford Dictionary defines danger as:
Liability or exposure to harm; a thing that causes or is likely to cause harm.
Risk
Risk is the likelihood that the harm from one or more particular hazards is realised (the extent
of the risk covers the population affected and the consequences for them).
HSE publication HSG 65 defines risk as:
The likelihood that a specified undesired event will occur due to the realisation of a hazard by,
or during, work activities or by the products and services created by work activities.
OHSAS 18001 defines risk as:
A combination of the likelihood and consequence(s) of a specified hazardous event occurring.
Doing it;
The PDCA cycle was originally developed by Walter Shewart in the 1930s and was taken up
and championed in the 1950s by William Edwards Deming, the quality management authority.
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Various commercial health and safety management systems are discussed in this section
including:
Whichever individual system is selected, all effective health and safety management systems
Continual
amplify the Plan-Do-Check-Act
model.
Improvement
OH&S Policy
Management
Review
Planning
Checking
Corrective
Action
Implementation
and Operation
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Policy;
Organisation;
Measuring performance;
Performance review;
Audit; and
Continual improvement.
Policy
A health and safety policy should influence all workplace activities, including the selection
of people, equipment and materials, the way the work is done and how goods and services
are designed. Effective health and safety policies set a clear direction for the organisation to
follow and are a vehicle for the effective communication of health and safety information. They
contribute to all aspects of business performance as part of a demonstrable commitment to
continuous improvement. Responsibilities to people and the environment should be met in
ways that fulfil moral duties and any legal requirement.
The health and safety policy should include cost effective approaches to preserving and
developing physical and human resources, which reduce financial losses and liabilities.
The policy requires consideration of a corporate strategy, including the setting of objectives,
allocation of resources, monitoring and appraisal of performance. Stakeholders expectations in
the undertaking (whether they are shareholders employees, or their representatives, customers
or society at large) should be satisfied.
Organisation
The policy sets the direction for health and safety, but organisations need to create a robust
framework for management activity and to detail the responsibilities and relationships that will
deliver improved performance. To make a health and safety policy effective, staff (permanent
and temporary) must become involved and committed to health and safety matters. This is
often referred to as a positive health and safety culture. To promote a positive health and safety
culture organisations should address the following:
Control:
Competence:
Co-operation:
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Generates objectives;
Controls risk;
2.
3.
Although health and safety management systems vary in detail, they have some general
characteristics, such as:
Operating, maintaining and improving the system to suit changing needs and process
hazards / risks.
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Workplace Precautions
The purpose of the health and safety management system is to prevent injuries and ill health
due to work-related activities. Adequate workplace precautions are required to prevent harm at
the point of risk. Workplace precautions should match the hazards and risks of each business
activity. They can include a combination of:
Avoiding the risks completely by using alternatives, e.g. avoid exposure to solvents by
using water based paints;
Reducing the nature of the hazard, e.g. the use of granular materials rather than fine
powders that create a dust hazard;
Isolating the hazards from people by preventing access by means of guards, barriers
and screens;
Reducing exposure to the hazards by ventilation, job rotation and personal protective
equipment; and
Safety information instruction and training on hazards, precautions and safe systems
of work.
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Measuring Performance
Measurement is essential to maintain and improve health and safety performance. There are
two ways to generate information on performance:
Active (pro-active) monitoring, which monitors the achievement of plans and the extent of
compliance with standards before an accident, incident or ill-health. Examples would be:
Performance reviews;
Examination of documents;
Workplace inspections;
Environmental monitoring;
Health surveillance;
Behavioural observation;
Reactive monitoring, which monitor accidents, ill health and incidents, e.g.
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Reviewing Performance
Organisations can maintain and improve their ability to manage risks by learning from experience
through the use of audits and proactive and reactive performance reviews. Monitoring provides
the information in order to review activities and improve performance.
Auditing
Internal and external audits complement the monitoring activities by determining whether the
health and safety policy, organisation and systems are actually achieving the required reliability
and effectiveness.
Continual Improvement
The requirement for continual improvement for many reasons employee morale, insurance
costs, liability, etc. not to mention simple human concern for the welfare of others, nothing in a
business is more important than improving health/safety performance.
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Continual
Improvement
OH&S Policy
Management
Review
Planning
Checking
Corrective
Action
Implementation
and Operation
Assure itself of its conformance with its stated OH&S policy; and
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OH&S Policy
An OH&S policy establishes an overall sense of direction and sets the principles of action
for OH&S objectives, responsibility and performance required. The OH&S policy should be
documented, implemented and maintained and it should be consistent with the organisations
overall business policies, including policies for other management disciplines, e.g. quality
management and environmental management.
Planning
OHSAS 18001 requires the establishment and maintenance of documented systems that are
kept up to date for:
Occupational health and safety objectives at each relevant function and level within the
organisation. A management programme for achieving its OH&S objectives should be
established and maintained. This includes documentation of responsibilities and authorities
for achievement of the objectives at relevant functions and levels of the organisation, and
the means and time-scale by which objectives are to be achieved;
Procedures for ongoing identification of hazards, the assessment of risks, and the
implementation of control measures as necessary for the activities of all persons having
access to the premises; and
Procedures for identifying and accessing the legal and other OH&S requirements that
are applicable to it. This information should be communicated to its employees and other
relevant interested parties.
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Management Review
Each organisations top management should, at intervals that it determines, review the OH&S
management system, to ensure its continuing suitability, adequacy and effectiveness. The
management review process should ensure that the necessary information is collected to allow
management to carry out this evaluation and this review should be documented.
The management review should address the possible need for changes to elements of
the management system, in the light of management system audit results and changing
circumstances, e.g. legislative requirements or societal expectations. Any changes introduced
should be communicated as soon as practicable.
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National policy;
Tailored guidelines.
The guidances most practical use is in the use of this standard as a framework to develop
tailored occupational health and safety systems for an organisation reflecting a framework that
is multi-national and can be adopted for national legislation.
Despite being an international standard and developed with representatives from worldwide
health and safety organisations, BS OHSAS 18001 has become the leader in terms of popularity
of standards, possibly because unlike the International Labour Organisation standard it is
capable of certification.
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Policy
The main difference between this and other systems is the emphasis on standard basis and
worker participation in the development of the policy.
The OSH policy should include, as a minimum, the following key principles and objectives to
which the organisation is committed:
Protecting the safety and health of all members of the organisation by preventing workrelated injuries, ill health, diseases and incidents;
Complying with relevant OSH national laws and regulations, voluntary programmes,
collective agreements on OSH and other requirements to which the organisation subscribes;
Ensuring that workers and their representatives are consulted and encouraged to
participate actively in all elements of the OSH management system; and
Organising
Here the main difference between this and other organisational policy systems is the requirement
for health promotion and prevention.
Evaluating
This section contains the specific requirement that the development of performance indicators
that are both qualitative and quantitative. There is a requirement for both reactive and active
data along with the need for audit programmes as OHSAS 18001.
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Customer satisfaction is monitored through the evaluation of customer perception of how well
the organisation has met the customer requirements. Customers therefore play a significant
role in defining requirements as inputs.
Figure 4 models a customer driven, process based quality management system.
It is important to note that the Plan-Do-Check-Act (PDCA) methodology can be applied to
all processes.
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Continual
Improvement
Management
Review
Environmental
Policy
Planning
Checking
Implementation
and Operation
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ISO 14001:2004
OH&S Policy
Environmental policy
Quality policy,
Management commitment,
and Continual
improvement
Planning
Hazard ID, risk
assessment and controls
Legal and other
requirements
Objectives and
programmes
Planning
Environmental aspects
Legal and other Requirements
Objectives, targets and
programme(s)
Planning
Customer focus
Determination of product
related requirements
Quality objectives
Management system
planning and continual
improvement
Implementation and
operation
Resources, roles,
responsibility,
accountability and
authority
Competence, training and
awareness
Communication,
participation and
consultation
Documentation
Control of documents
Operational control
Emergency preparedness
and response
Implementation and
operation
Resources, roles,
responsibility, and authority
Competence, training and
awareness
Communication
Documentation
Control of documents
Operational control
Emergency preparedness and
response
Product realisation
Management commitment
Responsibility and authority
Provision of resources
Infrastructure
Competence, awareness
and Training
Internal and customer
communication
Documentation
requirements
Control of documents
Planning of product
realisation and customerrelated processes
Design and development
processes
Production and service
provision
Preservation of product
Control of non-conforming
product
Checking
Performance
measurement and
monitoring
Evaluation of compliance
Incident investigation
Nonconformity, corrective
and preventive action
Control of records
Internal audit
Checking
Monitoring and measurement
Evaluation of compliance
Incident investigation
Nonconformity, corrective
action and preventive action
Control of records
Internal audit
Measurement, analysis
and Improvement
Monitoring and
measurement of processes
and product
Control of nonconforming
product
Control of records
Internal audit
Management review
Management review
Management review
Review input and output
Continual improvement
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Advising the board or senior management on strategic health and safety issues;
Formulating and developing health and safety policies, not just for existing activities but
also with respect to new acquisitions or processes;
Formulating and developing specific aspects of the health and safety management system,
e.g. the practical arrangements for risk assessment;
Promoting a positive health and safety culture and securing the effective implementation
of health and safety policy;
Planning for health and safety including the setting of realistic short and long-term
objectives, deciding priorities and establishing adequate systems and performance
standards;
Day-to-day implementation and monitoring of policy and plans including accident and
incident investigation, reporting and analysis; and
Reviewing performance and auditing of the health and safety management system.
To fulfil the role effectively health and safety advisers need to have the status and competence to
advise management and employees or their representatives with authority and independence.
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Measuring the effects of changes and developments they have introduced such as the
effects of introducing behavioural safety programmes;
Setting personal objectives and targets and measuring their performance against them;
Benchmarking their practice against other practitioners and against good practice case
studies and information;
Seeking feedback from others such as clients and as part of annual appraisals from
senior management.
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Networking with their peers at safety groups and conferences such as IOSH Branch
Meetings or seminars;
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Professional Ethics
Ethics may be considered to be the science, or systematic analysis, of morality where morality
implies the codes of conduct or rules of behaviour imposed by a society regarding what is right
and wrong.
Professional bodies, such as IOSH (2009) issue codes of conduct to frame the expected
standard of professional practice with regard to technical competence, as previously discussed,
and professional conduct.
The key ethical principles of professional conduct are broadly covered by the interrelated
concepts of honesty, respect and integrity.
In addition to maintenance and development of professional competence and not working
beyond the boundaries of that competence, the IOSH ethics code requires professional safety
practitioners to adhere to the following principles
Perform according to the highest standards and ethical principles, maintaining respect for
human dignity, loyalty to the workforce and professional independence in the execution of
their functions;
Ensure that any professional opinion is given honestly and is objective and reliable;
Accept professional responsibility for all their work and shall take all reasonable steps to
ensure the competence of those conducting tasks on their behalf;
Take reasonable steps to ensure that persons overruling or neglecting their professional
advice are formally made aware of potential adverse consequences which may result;
Uphold the reputation and good standing of the Institution, other members, and professional
practice and standards, and not bring them into disrepute;
Not behave in a way which may be considered inappropriate to other members or staff of
the Institution;
Not improperly use membership or position within the organisation of the Institution for
commercial or personal gain;
Make information they hold necessary to safeguard the health and safety of those persons
for whom they have a legal and moral responsibility available as required;
Comply with the data protection principles and notification requirements set out in the
Data Protection Act 1998 or equivalent legislation;
Maintain financial propriety in all their professional dealings with employers and clients
and shall ensure that they are covered by appropriate professional indemnity insurance;
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Be respectful of all people they come into professional contact with and not discriminate
on grounds of race, colour, religion or belief, disability, sex, marital status, age, sexual
orientation, nationality and ethnic or national origins;
Act within the law and notify the Institution if convicted of any criminal offence. (A relevant
conviction may lead to disciplinary proceedings); and
Conflict of Interest
Conflict of interest refers to occasions where using professional judgment may lead to problems
in securing future or continuing employment or contracts.
A simple example of this type of conflict might be where a consultant is aware that his
recommendations arent being implemented, but continues to advise the organisation so as not
to lose the income from the contract.
The IOSH code of conduct requires members to seek to avoid their professional judgment
being influenced by any conflict of interest and to inform their employer, client, or the Institution
of any conflict between personal interest and service to the relevant party.
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References
HSE
HSE
and S.Tombs
P.Mitchel,
1999
HSE
IOSH
IIRSM
HSE
2009 The Health and Safety of Great Britain: Be Part of the Solution.
ISO
ISO/BSI
ILO
2001 ILO-OSH-2001 Guidelines on Occupational Health and Safety
Management Systems.
ILO
1981 C155; International Labour Standards, Occupational Safety and
Health Convention, Geneva.
ILO
1981 R164; International Labour Standards, Occupational Safety and
Health Recommendation, Geneva.
BSI
Sarbanes-Oxley
HSE
1991 HSG 65; Successful Health and Safety Management HSG 65, as
amended.
BSI
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