Inspreform healthandsafety ppt

Health and Safety Regulation - Targeting to 2015
FOD: Delivering Quality Fieldwork 2011 the Risks
Inspection Reform
The Change That Matters

UK Health and Safety – Risk-based Inspections
21-23 November, BIS Conference Centre, London, UK

Wendy McVey
Health and Safety Executive
November 2012

FOD: Delivering Quality Fieldwork 2011 to 2015
Health and Safety Regulation - Presentation

Today I will talk about:

1. UK context – regulatory model and UK risk profile

2. Reasons for risk-based targeting

3. Approach to major hazards – hazard-based targeting

4. Risk – based targeting – industry level

5. Risk – based targeting – work place level level

6. Targeting your resources strategically –and beyond
inspection

Health and Safety Regulation in the UK

National Regulators
 Examples: Health and Safety Executive and Food
Standards Agency
 National role in directing, monitoring and supporting
regulation by local authorities
 Also direct regulation – HSE directly regulates major
hazards, high and medium risk sectors.
 400 Local authorities regulate the lower risk activities –
food inspections and health and safety inspections are
often done together by one inspector

Health and Safety Regulation
Hazard – Potential to cause harm

Risk – Likelihood of harm

Uncontrolled hazard = high risk

Controlled hazard = low risk

No hazard – no risk!

Overview

Hazard-based
regime - HSE Major
hazards

Higher risks

Risk-based
regime - HSE
Medium risks

Risk-based Lower risks
regime - LAs

Overview

Nuclear Off-shore
National Regulator:
installations installations Permissioning
Health and Safety
Executive (HSE) (oil & gas) regime
Chemical
Major
installations Explosives
hazards

Higher risks

Medium risks

Lower risks

Overview

Major
National Regulator: hazards
Risk-based
Health and Safety inspection
Construction
Executive (HSE) regime
High risk Higher risks Waste &
manufacturing recycling

Medium risks

Lower risks


Risk Profile of Manufacturing industries in the UK
Basic & molten metals High
Ship building & repair
Food (dairy and meat)

Motor Vehicle Repair
Stonework, Woodwork
Fabricated metal Medium
to low
Other food manufacturing
Plastics, rubber, minerals
Paper and board

Leather, electronics, printing,
textiles, computers

Overview

Major
hazards

Higher risks
National Regulator:
Education Risk-based
Health and Safety
Health care inspection
Executive (HSE)
Medium and regime
Public Medium risks lower risk
sector manufacturing

Lower risks

Overview

Major
hazards

Higher risks

Medium risks

Local Regulator: Risk-based
Catering Shops
400 local inspection
authorities Lower risks regime
Offices
Beauty

Overview and Context –Fieldwork 2011 to 2015
FOD: Delivering Quality Enforcing Authorities

Higher risk premises enforced by HSE
3 broad categories of workplaces HSE inspects:
 Major hazards (eg nuclear, off-shore oil and gas,
chemical plants) – Permissioning regimes apply
 Other higher risk sectors, eg construction, waste
management and the higher risk manufacturing
processes – Target these sectors for inspection
 Workplaces about which we have intelligence which
indicates poor health and safety management –
Intelligence-led targeting only

Overview and Context –Fieldwork 2011 to 2015
FOD: Delivering Quality Enforcing Authorities

Lower risk workplaces enforced by Local Authorities:
 Examples: leisure, retail, catering, beauty sectors
 Local Authority regulators have flexibility to join forces –
“one stop shop” approach across different disciplines
 Can provide supportive advice to small businesses


Benefits of a risk-based approach:
 Best use of resources for best outcomes
 Intelligence based targeting ensures maximum results
for the investment made
 Unnecessary regulation stunts business growth
 Unnecessary regulation leads to a loss of credibility
 Inspection is not always the best approach


1. Targeting Major Hazards:
 Which areas of your economy present the greatest
hazards – ie no matter how well controlled you would
still need to regulate heavily?

In the UK our major hazards include:
 nuclear installations,
 oil and gas rigs off-shore,
 large chemical plants,


Approaches to dealing with major hazard industries:

 Major hazards, such as nuclear, oil and gas, chemical
plants operate “permissioning” regimes
 Dutyholders must produce a “Safety Case” to be
permitted to operate
 Regulator assesses the safety case and verifies it through
a substantial and structured programme of
inspections
 The business pays for this work – all costs are recovered
by the state regulator (“polluter pays principle”)
 This is a hazard-based approach


1. Targeting Higher Risk Industry Sectors:
 Which areas of your economy present most risk of injury
or ill-health to its workers or the public (excluding major
hazards)?
 What evidence do you have? H&S statistics?

In the UK currently, higher risk industries include:
 construction
 waste and recycling
 Ship building
 Meat and dairy


Approaches to dealing with the higher risk industries:

High risk industries:
 In the UK, construction, waste and recycling, ship building
and a number of manufacturing sectors are considered
high risk – based on health and safety statistics
 These are targeted for inspection because the
industry is considered high risk
 If the business is found to be in material breach of Health
and safety law, they are charged for HSE’s time. (New
Fee for Intervention regulations).


2. Targeting the rest:
 Which of the local workplaces you could inspect
present the biggest risks to health and safety?
 What evidence do you have?

Approach to everything else:
 How to know where to inspect?
 Need local information
 Intelligence-led approach


Approaches to targeting the right workplaces:
 To target “health and safety poor performers” we need
evidence, for example:
 Accident and ill-health record of the business, and / or
 Enforcement record of the business, and / or
 “Valid” complaints about the business, and / or
 Records of previous inspections, and / or
 Other intelligence, eg from insurance companies or other
regulators

FOD: Delivering QualityRisk and 2011 to 2015
Health and Safety: Fieldwork Regulation
Pulling the intelligence together

 Geographical Information Systems (GIS) used to overlay
different sources of intelligence about the workplaces in
the UK
 Identifies those:
 in higher risk industries,
 with a poor enforcement history,
 with records of accidents or complaints, and
 which we have visited and given poor inspection
“rating” (discussed later)

Purpose of an inspection?

Where an inspection is warranted – ie
workplaces which are likely to present
sufficient risk – the purpose of
inspection is to secure sustained
compliance with minimum legal
requirements for health and safety

Approach to Inspection – Matters of concern:
Matters of evident concern (MEC):
 Unsafe conditions
Immediate action
 Unsafe practices
Matters of potential major concern (MPMC):
 Things you will not see without looking / asking, eg
hidden underground LPG pipelines
Be aware of any
potential MPMC for
this workplace

Approach to Inspection – management systems:
 Strengths and weaknesses of H&S performance?
 How reliable and sustainable is the approach?
 Underlying reasons for deficiency, eg competence,
attitude, resources, accountability?
 Have they learned from previous experience?
 Full inspections rarely required – assess these things
based on sample topics
 Base sample topics on the risk profile of the
workplace, eg…………


Sampling relevant topics at inspections:

 Example: – Steel Fabrication
 Workplace transport Management controls…
Driver controls…
 Noise and vibration Site lay-out…
 Falls Etc…..
from height
 Lifting operations
 Machinery safety
 Maintenance


Following an inspection, a rating is allocated:
 Inspector score assessment of the risk at a workplace
against:
 health,
 safety,
 welfare and
 confidence in management
 Using:
 conditions found on site,
 records of management systems,
 interviews and so on.
 This provides good intelligence for future targeting.

Rating the Performance of a Business
Confidence in management of H&S
Level of hazard

Applying Ratings in Prioritising Inspection
Confidence in management of H&S

In
sp
ec
t F
re
qu
Level of hazard

In en
sp tly
ec
t R
Do ar
n’ el
t I y
ns
pe
ct


3. Targeting strategically:
 What are the riskiest health and safety topics?
 Where are these most prevalent?
 What other tools do we have to tackle these?

 In the UK we seek to use the right
intervention with the right issues at the
right places
 This requires an evidence based
approach at all levels


Other techniques to consider (as well as inspection):

Examples:
 Supply chain: encouraging large businesses to influence
standards through their suppliers?
 Working with those at risk – ie employees as well as
employers?
 Education and awareness: educate in schools and colleges,
work with worker and industry groups, and provide easy to
use guidance and advice channels for businesses?
 Take agriculture….


Campaigns:

 Working at heights
 Cancer-producing substances (eg Asbestos)
 And our statistics tell us in which kinds of industries
and workplaces these issues are most serious, for
example ….


Where the hazards are likely to be found:
 Occupational asthma – in the UK, caused by work in:
 Bakers,
 Motor
vehicle repair shops,
 Wooden furniture manufacture

 Workplace transport – in the UK, issues mostly in:
 Logistics, postal and courier services,
 Retail – large supermarkets and warehousing
 Food industry


Where the hazards are likely to be found:

 Example: – Skin disease in the UK, a problem for:
 Bakers
 Beauticians and nail bar operators
 Hairdressers
 Caterers
 Cleaners
 Construction workers
 Health care workers


Risk-based approach to investigations and complaints
Handling / investigating complaints:
 Not all complaints are valid, and some are trivial
 Small central Administrative team deals with most of these
– only a small % are passed to inspectors
Investigating reports of accidents or ill-health:
 HSE investigates about 6% of the reports received
 Clear criteria is used to direct what we investigate – ie only
the most serious
 Investigating trivial complaints and investigations is
not an effective use of professional regulators, or
public money


Summary of key points about risk-based targeting:
 No inspection without a purpose
 Intelligence is the key
 Intelligence about relative risks across industry sectors
 Intelligence about specific businesses
 Intelligence about which risks are greatest at which types
of business
 Intelligence about where inspection works best and
where other methods are better
 Good systems to pull this together for practical use (eg
Geographical Information Systems)


Thank you for your attention

For more information on the UK’s approach to risk-based
targeting, please see HSE’s web site:

www.hse.gov.uk

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