MHSAW

Health and Safety
Executive
Management of health
and safety at work
Management of Health and Safety at Work Regulations
1999
Approved Code of Practice & guidance
This is a free-to-download, web-friendly version of L21 (second edition,

published 2000). This version has been adapted for online use from HSE’s
current printed version.
You can buy the book at www.hsebooks.co.uk and most good bookshops.
ISBN 978 0 7176 2488 1

Price £8.00
This Approved Code of Practice and guide is aimed at employers, managers and
other dutyholders for health and safety, including self-employed people. It explains
their duties under the Management of Health and Safety at Work Regulations 1999,
which requires them to assess the risks posed to workers and any others who may
be affected by their work or business.
It focuses on risk assessments and how to use them effectively to identify potential
hazards and risks, preventive measures that can be applied and the management
and surveillance of health and safety and procedures that should be followed in the
event of serious or imminent danger.
There is also information for employees and guidance about health and safety
responsibilities for temporary workers, expectant mothers and young people.
HSE Books Page 1 of 54

Health and Safety
Executive
© Crown copyright 2000
First published 1992

Second Edition 2000
Reprinted 2000, 2001 (twice), 2002, 2004, 2005, 2007
ISBN 978 0 7176 2488 1
All rights reserved. No part of this publication may be reproduced, stored in

a retrieval system, or transmitted in any form or by any means (electronic,
mechanical, photocopying, recording or otherwise) without the prior written
permission of the copyright owner.
Applications for reproduction should be made in writing to:

The Office of Public Sector Information, Information Policy Team,
Kew, Richmond, Surrey TW9 4DU or e-mail: [email protected]
Approved Code of Practice and guidance
This Code has been approved by the Health and Safety Commission, with the
consent of the Secretary of State. It gives practical advice on how to comply with
the law. If you follow the advice you will be doing enough to comply with the law
in respect of those specific matters on which the Code gives advice. You may use
alternative methods to those set out in the Code in order to comply with the law.
However, the Code has special legal status. If you are prosecuted for breach of
health and safety law, and it is proved that you did not follow the relevant provisions
of the Code, you will need to show that you have complied with the law in some
other way or a court will find you at fault.
This document also includes other, more general guidance not having this special
status. This guidance is issued by the Health and Safety Commission. Following
the guidance is not compulsory and you are free to take other action. But if you
do follow the guidance you will normally be doing enough to comply with the law.
Health and safety inspectors seek to secure compliance with the law and may refer
to this guidance as illustrating good practice.
The Management of Health and Safety at Work Regulations are regularly subject
to revision and amendment. You should check you have a copy of the most up-to-
date statutory instrument of these regulations when applying them.
Page 2 of 54
Health and Safety
Executive
Contents
Editorial note 5
Foreword 6
Introduction 7
Regulation 1 Citation, commencement and interpretation 9
Regulation 2 Disapplication of these Regulations 10
Regulation 3 Risk assessment 10

General principles and purpose of risk assessment 11
Suitable and sufficient 12
Risk assessment in practice 13
Identifying the hazards 15
Identifying who might be harmed and how 15
Evaluating the risks from the identified hazards 15
Recording 15
Review and revision 16
Assessment under other regulations 16
Regulation 4 Principles of prevention to be applied 17
Regulation 5 Health and safety arrangements 18

Planning 18
Organisation 19
Control 19
Monitoring 19
Review 20
Regulation 6 Health surveillance 20
Regulation 7 Health and safety assistance 21
Regulation 8 Procedures for serious and imminent danger and

for danger areas 24
Regulation 9 Contacts with external services 24

Danger areas 26
Contacts with external services 26
Regulation 10 Information for employees 26
Regulation 11 Co-operation and co-ordination 28

Appointment of health and safety co-ordinator 29
Person in control 29
Regulation 12 Persons working in host employers’ or

self-employed persons’ undertakings 30
Regulation 13 Capabilities and training 31
Regulation 14 Employees’ duties 33
Management of health and safety at work Page 3 of 54

Health and Safety
Executive
Regulation 15 Temporary workers 34

Fixed-duration contracts 34
Employment businesses 34
Self-employed 35
Regulation 16 Risk assessment in respect of new or expectant mothers 35
Regulation 17 Certificate from a registered medical practitioner in respect of

new or expectant mothers 36
Regulation 18 Notification by new or expectant mothers 36
Regulation 19 Protection of young persons 37
Regulation 20 Exemption certificates 39
Regulation 21 Provisions as to liability 39

Employers’ liability 39
Regulation 22 Exclusion of civil liability 40
Regulation 23 Extension outside Great Britain 40
Regulation 24 Amendment of the Health and Safety (First-Aid) Regulations

1981 40
Regulation 25 Amendment of the Offshore Installations and Pipeline Works

(First-Aid) Regulations 1989 41
Regulation 26 Amendment of the Mines Miscellaneous Health and Safety

Provisions Regulations 1995 41
Regulation 27 Amendment of the Construction (Health, Safety and

Welfare) Regulations 1996 42
Regulation 28 Regulations to have effect as health and safety

regulations 42
Regulation 29 Revocations and consequential amendments 43
Regulation 30 Transitional provision 43
Schedule 1 General principles of prevention 44
Schedule 2 Consequential amendments 45
References and further reading 51
Select index 53
Further information 54

Health and Safety
Executive
Editorial note
Since this Approved Code of Practice and Guidance was written, regulation 22
has been amended by the Management of Health and Safety at Work and Fire
Precautions (Workplace) (Amendment) Regulations 2003. This amendment came
into force from 27th October 2003.
Regulation 22 now reads:
Restriction of civil liability for breach of statutory duty
Breach of a duty imposed on an employer by these Regulations shall not confer a

right of action in any civil proceedings insofar as that duty applies for the protection
of persons not in his employment.
The amendment to Regulation 22 also alters other Regulations in this Approved

Code of Practice and Guidance, as follows:
For Regulation 2 there shall be substituted the following regulation:
Disapplication of these Regulations
(1) These Regulations shall not apply to or in relation to the master or

crew of a ship, or to the employer of such persons, in respect of the normal ship-
board activities of a ship’s crew which are carried out solely by the crew under the
direction of the master.
(2) Regulations 3 (4), (5), 10(2) and 19 shall not apply to occasional work
or short-term work involving work regarded as not being harmful, damaging or
dangerous to young people in a family undertaking.
(3) In this regulation –
“normal ship-board activities” include –
(a) the construction, reconstruction on conversion of a ship outside, but not

inside, Great Britain; and
(b) the repair of a ship save repair when carried out in dry dock; “ship”
includes every description of vessel used in navigation, other than a ship
belonging to Her Majesty which forms part of Her Majesty’s Navy”.
In Regulation 3 (3) the words “and where” to the end shall follow and not appear in
subparagraph (b).
Regulation 19 (4) shall be omitted.

Health and Safety
Executive
Foreword
This document contains advice on how to comply with duties under the
Management of Health and Safety at Work Regulations 1999. It contains the
regulations themselves, an Approved Code of Practice (ACOP) which gives
advice that has a special legal status described on page ii on preferred means of
compliance, and more general guidance that does not have this special status
on ways to comply with the law. The regulations are shown in italics, the ACOP is
bold type, and the guidance is in plain type. The status of the ACOP and guidance
material is described on page ii.
The Management of Health and Safety at Work Regulations 1999 revoke and
replace the 1992 Regulations of the same title. This ACOP replaces that associated
with the 1992 Regulations.
Notice of Approval
By virtue of Section 16(4) of the Health and Safety at Work etc Act 1974, and
with the consent of the Secretary of State for the Environment, Transport and the
Regions, the Health and Safety Commission has on 9 December 1999 approved
the Code of Practice entitled Management of Health and Safety at Work.
The Code of Practice is approved for the purposes of providing practical guidance
with respect to the requirements of the Management of Health and Safety at Work
Regulations 1999. The Code of Practice comes into effect on 29 December 1999.
Signed
ROSEMARY BANNER
Secretary of Health and Safety Commission
16 December 1999
The Health and Safety Commission (HSC) and the Health and Safety Executive
(HSE) merged on 1 April 2008 to form a single national regulatory body. From that
date, the Health and Safety Executive became responsible for approving Codes of
Practice, with the consent of the Secretary of State.

Health and Safety
Executive
Introduction
Introduction
1 The original Management of Health and Safety at Work Regulations (‘the
Management Regulations’) came into force in 19931 as the principal method of
implementing the EC Framework Directive (89/391/EEC), adopted in 1989. The
Regulations were supported by an Approved Code of Practice. The original
Regulations have had to be amended four times since 1992 by the Management of
Health and Safety at Work (Amendment) Regulations 1994,2 which relates to new or
expectant mothers, the Health and Safety (Young Persons) Regulations 1997,3 the
Fire Precautions (Workplace) Regulations 19974 and by the Management of Health
and Safety at Work Regulations 1999.5 Because the original Regulations have been
so significantly amended, they have been revised and published with this new
Approved Code of Practice.
2 The Fire Precautions (Workplace) Regulations 1997, as amended by the Fire

Precautions (Workplace) (Amendment) Regulations 19996 (‘the Fire Regulations’),
introduced by the Home Office, amend the Management Regulations in several
respects. The amendments made by the Fire Regulations make explicit the risk
assessment requirement, in so far as it relates to fire safety. They directly require
employers to take account of their general fire precautions requirements in Part II of
the Fire Regulations (concerning fire-fighting, fire detection, emergency routes and
exits and their maintenance) in their assessments. The amendments made by the
Fire Regulations affect employers but not self-employed people who do not employ
others. The Fire Regulations also introduce:
(a) a requirement for competent assistance to deal with general fire safety risks;
(b) a requirement to provide employees with information on fire provisions; and
(c) a requirement on employers and self-employed people in a shared workplace
to co-operate and co-ordinate with others on fire provisions and to provide
outside employers with comprehensive information on fire provisions.
See References and Further reading section. Further guidance on fire precautions is
available in Fire safety: An employer’s guide.
3 The duties of the Management Regulations overlap with other regulations

because of their wide-ranging general nature. Where duties overlap, compliance
with the more specific regulation will normally be sufficient to comply with the
corresponding duty in the Management Regulations. For example, the Control
of Substances Hazardous to Health Regulations (COSHH) require employers and
the self-employed to assess the risks from exposure to substances hazardous
to health. An assessment made for the purposes of COSHH will not need to be
repeated for the purposes of the Management Regulations. Other instances where
overlap may occur include the appointment of people to carry out specific tasks
or arrangements for emergencies. However, where the duties in the Management
Regulations go beyond those in the more specific regulations, additional measures
will be needed to comply fully with the Management of Health and Safety at Work
Regulations.
1
S.I. 1992/2051
2
S.I. 1994/2865
3
S.I. 1997/135
4
S.I. 1997/1840
5
The Management of Health and Safety at Work Regulations 1999 introduced amendments
proposed by the Health and Safety (Miscellaneous Modification) Regulations 1999.
Guidance 6
S.I. 1999/1877

Health and Safety
Executive
Introduction 4 Although only the courts can give an authoritative interpretation of law, in
considering the application of these regulations and guidance to people working
under another’s direction, the following should be considered.
5 If people working under the control and direction of others are treated as
self-employed for tax and national insurance purposes they may nevertheless be
treated as their employees for health and safety purposes. It may therefore be
necessary to take appropriate action to protect them. If any doubt exists about
who is responsible for the health and safety of a worker this could be clarified and
included in the terms of a contract. However, remember, a legal duty under section
3 of the Health and Safety at Work etc Act 1974 (HSW Act)7 cannot be passed on
by means of a contract and there will still be duties towards others under section 3
of HSW Act. If such workers are employed on the basis that they are responsible
for their own health and safety, legal advice should be sought before doing so.
6 Words or expressions which are defined in the Management Regulations or

in the HSW Act have the same meaning in this Code unless the context requires
otherwise.
Guidance 7
S.I. 1974 c.37

Health and Safety
Executive
Regulation Regulation 1 Citation, commencement and

interpretation
(1) These Regulations may be cited as the Management of Health and
Safety at Work Regulations 1999 and shall come into force on 29th December
1999.
(2) In these Regulations-
“ the 1996 Act” means the Employment Rights Act 1996(a);
“the assessment” means, in the case of an employer or self-employed person, the

assessment made or changed by him in accordance with regulation 3;
“child” -
(a) as respects England and Wales, means a person who is not over
compulsory school age, construed in accordance with section 8 of the
Education Act 1996(b); and
(b) as respects Scotland, means a person who is not over school age,
construed in accordance with section 31 of the Education (Scotland) Act
1980(c);
“employment business” means a business (whether or not carried on with a view to

profit and whether or not carried on in conjunction with any other business) which
supplies persons (other than seafarers) who are employed in it to work for and
under the control of other persons in any capacity;
“ fixed-term contract of employment” means a contract of employment for a

specific term which is fixed in advance or which can be ascertained in advance by
reference to some relevant circumstance;
“ given birth” means delivered a living child or, after twenty-four weeks of
pregnancy, a stillborn child;
“ new or expectant mother” means an employee who is pregnant; who has given
birth within the previous six months; or who is breastfeeding;
“ the preventive and protective measures” means the measures which have been
identified by the employer or by the self-employed person in consequence of the
assessment as 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(d);
“ young person” means any person who has not attained the age of eighteen.
(3) Any reference in these Regulations to-
(a) a numbered regulation or Schedule is a reference to the regulation or

Schedule in these Regulations so numbered; or
(b) a numbered paragraph is a reference to the paragraph so numbered in
the regulation in which the reference appears.
(a)
1996 c.18.
(b)
1996 c.56.
(c)
1980 c.44.
1 (d)
S.I. 1997/1840; amended by S.I. 1999/1877

Health and Safety
Executive
Regulation Regulation 2 Disapplication of these Regulations

(1) These Regulations shall not apply to or in relation to the master or crew
of a sea-going ship or to the employer of such persons in respect of the normal
ship-board activities of a ship’s crew under the direction of the master.
(2) Regulations 3(4), (5), 10(2) and 19 shall not apply to occasional work or
short-term work involving-
(a) domestic service in a private household; or

(b) work regulated as not being harmful, damaging or dangerous to young
2 people in a family undertaking.
7 Regulation 2(1) excludes the master and crew of a sea-going ship, as similar
Guidance duties are placed on them by the Merchant Shipping and Fishing Vessels (Health
and Safety at Work) Regulations 1997.8 However, when a ship is in a port in
Great Britain and shoreside workers and the ship’s crew work together, eg in dock
operations, or in carrying out repairs to the ship, these Regulations may apply.
Dock operations, ship construction, ship repair carried out in port with shoreside
assistance, and work connected to construction or the offshore industry (other
than navigation, pollution prevention and other aspects of the operation of the
ship, which are subject to international shipping standards) are not considered as
‘normal ship-board activities’ and are therefore subject to these Regulations.
8 Regulation 2(2) clarifies that these Regulations do not apply to domestic

services in a private household.
8
S.I. 1997/2962
2
Regulation 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 by him 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 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 by him 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

3
reviewed by the employer or self-employed person who made it if-
Health and Safety
Executive
Regulation (a) there is reason to suspect that it is no longer valid; or

(b) there has been a significant change in the matters to which it relates;
and where as a result of any such review changes to an assessment are
required, the employer or self-employed person concerned shall make
them.
(4) An employer shall not employ a young person unless he has, in

relation to risks to the health and safety of young persons, made or reviewed an
assessment in accordance with paragraphs (1) and (5).
(5) In making or reviewing the assessment, an employer who employs or is

to employ a young person shall take particular account of-
(a) the inexperience, lack of awareness of risks and immaturity of young

persons;
(b) the fitting-out and layout of the workplace and the workstation;
(c) the nature, degree and duration of exposure to physical, biological and
chemical agents;
(d) the form, range, and use of work equipment and the way in which it is
handled;
(e) the organisation of processes and activities;
(f) the extent of the health and safety training provided or to be provided to
young persons; and
(g) risks from agents, processes and work listed in the Annex to Council
Directive 94/33/EC(a) on the protection of young people at work.
(6) Where the employer employs five or more employees, he shall record-
(a) the significant findings of the assessment; and

(b) any group of his employees identified by it as being especially at risk.
3 (a)
OJ No. L216, 20.8.94, p.12.
ACOP General principles and purpose of risk assessment
9 This regulation requires all employers and self-employed people to

assess the risks to workers and any others who may be affected by their
work or business. This will enable them to identify the measures they need
to take to comply with health and safety law. All employers should carry out
a systematic general examination of the effect of their undertaking, their work
activities and the condition of the premises. Those who employ five or more
employees should record the significant findings of that risk assessment.
10 A risk assessment is carried out to identify the risks to health and safety
to any person arising out of, or in connection with, work or the conduct of
their undertaking. It should identify how the risks arise and how they impact
on those affected. This information is needed to make decisions on how to
manage those risks so that the decisions are made in an informed, rational
and structured manner, and the action taken is proportionate.
11 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. In this Approved
3 Code of Practice:

Health and Safety
Executive
ACOP (a) a hazard is something with the potential to cause harm (this can include
articles, substances, plant or machines, methods of work, the working
environment and other aspects of work organisation);
(b) a risk is the likelihood of potential harm from that hazard being realised.
The extent of the risk will depend on:
(i) the likelihood of that harm occurring;

(ii) the potential severity of that harm, ie of any resultant injury or
adverse health effect; and
(iii) the population which might be affected by the hazard, ie the
number of people who might be exposed.
12 The purpose of the risk assessment is to help the employer or self-

employed person to determine what measures should be taken to comply
with the employer’s or self-employed person’s duties under the ‘relevant
statutory provisions’ and Part II of the Fire Regulations. This covers the
general duties in the HSW Act and the requirements of Part II of the Fire
Regulations and the more specific duties in the various acts and regulations
(including these Regulations) associated with the HSW Act. Once the
measures have been determined in this way, the duty to put them into effect
will be defined in the statutory provisions. For example a risk assessment on
machinery would be undertaken under these Regulations, but the Provision
and Use of Work Equipment Regulations (PUWER 1998)9 determine what
precautions must be carried out. A risk assessment carried out by a self-
employed person in circumstances where he or she does not employ others
does not have to take into account duties arising under Part II of the Fire
Regulations.
Suitable and sufficient
13 A suitable and sufficient risk assessment should be made. ‘Suitable

and sufficient’ is not defined in the Regulations. In practice it means 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 routine 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.
(i) 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 will be
required.
(ii) 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, or risks which need specialist analytical techniques
such as being able to measure air quality and to assess its impact.
3 9
S.I. 1998/2306

Health and Safety
Executive
ACOP Whenever specialist advisers are used, employers should ensure

that the advisers have sufficient understanding of the particular
work activity they are advising on, this will often require effective
involvement of everyone concerned - employer, employees and
specialist.
(iii) Large and hazardous sites will require the most developed and
sophisticated risk assessments, particularly where there are
complex or novel processes. In the case of certain manufacturing
sites who use or store bulk hazardous substances, large scale
mineral extraction or nuclear plant, the risk assessment will be
a significant part of the safety case or report which is legally
required and may incorporate such techniques as quantified risk
assessment. A number of other statutory requirements exist (eg
the Control of Major Accident Hazards (COMAH), and Nuclear
Installations licensing arrangements) which include more specific
and detailed arrangements for risk assessment.
(iv) Risk assessments must also consider all those who might be
affected by the undertaking, whether they are workers or others
such as members of the public. For example, the risk assessment
produced by a railway company will inter alia, have to consider the
hazards and risks which arise from the operation and maintenance
of rail vehicles and train services and which might adversely affect
workers (their own employees and others), passengers and any
member of the public who could foreseeably be affected (eg level
crossing users).
(b) Employers and the self-employed are expected to take reasonable steps
to help themselves identify risks, eg by looking at appropriate sources of
information, such as relevant legislation, appropriate guidance, supplier
manuals and manufacturers’ instructions and reading trade press, or
seeking advice from competent sources. They should also look at and
use relevant examples of good practice from within their industry. The
risk assessment should include only what an employer or self-employed
person could reasonably be expected to know; they would not be
expected to anticipate risks that were not foreseeable;
(c) 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.
14 For activities where the nature of the work may change fairly frequently
or the workplace itself changes and develops (such as a construction site),
or where workers move from site to site, the risk assessment might have to
concentrate more on the broad range of risks that can be foreseen. When
other less common risks arise, detailed planning and employee training will
be needed to take account of those risks and enable them to be controlled.
Risk assessment in practice
15 There are no fixed rules about how a risk assessment should be carried
out; indeed it will depend on the nature of the work or business and the
types of hazards and risks. Paragraph 18 does, however, set out the general
principles that should be followed. The risk assessment process needs to
be practical and take account of the views of employees and their safety
representatives who will have practical knowledge to contribute. It should
involve management, whether or not advisers or consultants assist with
3 the detail. Employers should ensure that those involved take all reasonable

Health and Safety
Executive
ACOP care in carrying out the risk assessment. For further guidance see HSE’s
publication Five steps to risk assessment (see References and further reading
section).
16 Where employees of different employers work in the same workplace,

their respective employers may have to co-operate to produce an overall risk
assessment. Detailed requirements on co-operation and co-ordination are
covered by Regulation 11.
17 In some cases employers may make a first rough assessment, to

eliminate from consideration those risks on which no further action is
needed. This should also show where a fuller assessment is needed, if
appropriate, using more sophisticated techniques. Employers who control
a number of similar workplaces containing similar activities may produce
a ‘model’ risk assessment reflecting the core hazards and risks associated
with these activities. ‘Model’ assessments may also be developed by trade
associations, employers’ bodies or other organisations concerned with a
particular activity. Such ‘model’ assessments may be applied by employers
or managers at each workplace, but only if they:
(a) satisfy themselves that the ‘model’ assessment is appropriate to their

type of work; and
(b) adapt the ‘model’ to the detail of their own actual work situations,
including any extension necessary to cover hazards and risks not
referred to in the ‘model’.
18 A risk assessment should:
(a) ensure the significant risks and hazards are addressed;

(b) ensure all aspects of the work activity are reviewed, including routine
and non-routine activities. The assessment should cover all parts of
the work activity, including those that are not under the immediate
supervision of the employer, such as employees working off site as
contractors, workers from one organisation temporarily working for
another organisation, self-employed people, homeworkers and mobile
employees. Details of where to find additional guidance on homeworkers
and volunteers is given in the References and further reading section.
Where workers visit members of the public in the home, eg nurses,
employers should consider any risks arising from potential dangers;
(c) take account of the non-routine operations, eg maintenance, cleaning
operations, loading and unloading of vehicles, changes in production
cycles, emergency response arrangements;
(d) take account of the management of incidents such as interruptions to
the work activity, which frequently cause accidents, and consider what
procedures should be followed to mitigate the effects of the incident;
(e) be systematic in identifying hazards and looking at risks, whether one
risk assessment covers the whole activity or the assessment is divided
up. For example, it may be necessary to look at activities in groups such
as machinery, transport, substances, electrical etc, or to divide the work
site on a geographical basis. In other cases, an operation by operation
approach may be needed, dealing with materials in production, dispatch,
offices etc. The employer or self-employed person should always adopt
a structured approach to risk assessment to ensure all significant risks
or hazards are addressed. Whichever method is chosen, it should reflect
the skills and abilities of the individuals carrying out that aspect of the
assessment;
(f) take account of the way in which work is organised, and the effects this
3 can have on health;

Health and Safety
Executive
ACOP (g) take account of risks to the public;

(h) take account of the need to cover fire risks. The guide Fire safety:
An employer’s guide tells you how to comply with the law relating to fire
issues and how to carry out a fire risk assessment (see References and
further reading at the back of this document).
Identifying the hazards
19 First, identify what the hazards are.
20 If there are specific acts or regulations to be complied with, these may

help to identify the hazards. Some regulations require the assessment of
particular risks or types of risks. If these particular risks are present, they
must all be addressed in a risk assessment process for the purpose of these
Regulations.
Identifying who might be harmed and how
21 Identify people who might be harmed by the hazard, including

employees, other workers in the workplace and members of the public. Do
not forget office staff, night cleaners, maintenance staff, security guards,
visitors and members of the public. You should identify groups of workers
who might be particularly at risk, such as young or inexperienced workers,
new and expectant mothers, night workers, homeworkers, those who work
alone and disabled staff.
Evaluating the risks from the identified hazards
22 You need to evaluate the risks from the identified hazards. Of course, if
there are no hazards, there are no risks. Where risks are already controlled in
some way, the effectiveness of those controls needs to be considered when
assessing the extent of risk which remains. You also need to:
(a) observe the actual practice; this may differ from the works manual,
and the employees concerned or their safety representatives should be
consulted;
(b) address what actually happens in the workplace or during the work
activity; and
(c) take account of existing preventive or precautionary measures; if existing
measures are not adequate, ask yourself what more should be done to
reduce risk sufficiently.
Recording
23 All employers and self-employed people are required to make a risk

assessment. The regulation also provides that employers with five or more
employees must record the significant findings of their risk assessment. This
record should represent an effective statement of hazards and risks which
then leads management to take the relevant actions to protect health and
safety. The record should be retrievable for use by management in reviews
and for safety representatives or other employee representatives and visiting
inspectors. Where appropriate, it should be linked to other health and safety
records or documents such as the record of health and safety arrangements
required by regulation 5 and the written health and safety policy statement
required by section 2(3) of the HSW Act. It may be possible to combine these
3 documents into one health and safety management document.

Health and Safety
Executive
ACOP 24 This record may be in writing or recorded by other means (eg

electronically) as long as it is retrievable and remains retrievable even when,
for example, the technology of electronic recording changes. The record
will often refer to other documents and records describing procedures and
safeguards.
25 The significant findings should include:
(a) a record of the preventive and protective measures in place to control

the risks;
(b) what further action, if any, needs to be taken to reduce risk sufficiently;
(c) proof that a suitable and sufficient assessment has been made. In
many cases, employers (and the self-employed) will also need to record
sufficient detail of the assessment itself, so that they can demonstrate
(eg to an inspector or to safety representatives or other employee
representatives) that they have carried out a suitable and sufficient
assessment. This record of the significant findings will also form a basis
for a revision of the assessment.
Review and revision
26 The regulation requires employers and the self-employed to review

and, if necessary, modify their risk assessments, since assessment should
not be a once-and-for-all activity. HSE’s guide Successful health and safety
management (see References and further reading section) provides sound
guidance on good practice. The following sub-paragraphs identify particular
examples of review and revision.
(a) As the nature of work changes, the appreciation of hazards and risks
may develop. Monitoring under the arrangements required by regulation
5 may reveal near misses or defects in plant or equipment. The risk
assessment may no longer be valid because of, for example, the results
of health surveillance, or a confirmed case of occupationally induced
disease. Adverse events such as an accident, ill health or dangerous
occurrence may take place even if a suitable and sufficient risk
assessment has been made and appropriate preventive and protective
measures taken. Such events should be a trigger for reviewing the
original assessment.
(b) The employer or self-employed person needs to review the risk
assessment if developments suggest that it may no longer be valid (or
can be improved). In most cases, it is prudent to plan to review risk
assessments at regular intervals. The time between reviews is dependent
on the nature of the risks and the degree of change likely in the work
activity. Such reviews should form part of standard management
practice.
Assessment under other regulations
27 Other regulations also contain requirements for risk assessment specific

to the hazards and risks they cover. Where an employer is assessing a work
situation or activity for the first time, an assessment is particularly useful
to identify where a more detailed risk assessment is needed to fulfil the
requirements of other regulations.
28 An assessment made for the purpose of other regulations will partly

cover the obligation to make assessments under these regulations. Where
3 employers have already carried out assessments under other regulations,

Health and Safety
Executive
ACOP 3 they need not repeat those assessments as long as they remain valid; but
they do need to ensure that they cover all significant risks.
Regulation Regulation 4 Principles of prevention to be applied

Where an employer implements any preventive and protective measures he shall
4
do so on the basis of the principles specified in Schedule 1 to these Regulations.
ACOP 29 Employers and the self-employed need to introduce preventive and

protective measures to control the risks identified by the risk assessment
in order to comply with the relevant legislation. A set of principles to be
followed in identifying the appropriate measures are set out in Schedule 1 to
the Regulations and are described below. Employers and the self-employed
should use these to direct their approach to identifying and implementing the
4
necessary measures.
Guidance 30 In deciding which preventive and protective measures to take, employers and
self-employed people should apply the following principles of prevention:
(a) if possible avoid a risk altogether, eg do the work in a different way, taking
care not to introduce new hazards;
(b) evaluate risks that cannot be avoided by carrying out a risk assessment;
(c) combat risks at source, rather than taking palliative measures. So, if the steps
are slippery, treating or replacing them is better than displaying a warning
sign;
(d) adapt work to the requirements of the individual (consulting those who will be
affected when designing workplaces, selecting work and personal protective
equipment and drawing up working and safety procedures and methods
of production). Aim to alleviate monotonous work and paced working at a
predetermined rate, and increase the control individuals have over work they
are responsible for;
(e) take advantage of technological and technical progress, which often offers
opportunities for improving working methods and making them safer;
(f) implement risk prevention measures to form part of a coherent policy and
approach. This will progressively reduce those risks that cannot be prevented
or avoided altogether, and will take account of the way work is organised, the
working conditions, the environment and any relevant social factors. Health
and safety policy statements required under section 2(3) of the HSW Act
should be prepared and applied by reference to these principles;
(g) give priority to those measures which protect the whole workplace and
everyone who works there, and so give the greatest benefit (ie give collective
protective measures priority over individual measures);
(h) ensure that workers, whether employees or self-employed, understand what
they must do;
(i) the existence of a positive health and safety culture should exist within an
organisation. That means the avoidance, prevention and reduction of risks at
work must be accepted as part of the organisation’s approach and attitude to
all its activities. It should be recognised at all levels of the organisation, from
junior to senior management.
31 These are general principles rather than individual prescriptive requirements.

They should, however, be applied wherever it is reasonable to do so. Experience
suggests that, in the majority of cases, adopting good practice will be enough to
ensure risks are reduced sufficiently. Authoritative sources of good practice are
prescriptive legislation, Approved Codes of Practice and guidance produced by
Government and HSE inspectors. Other sources include standards produced
4
by standard-making organisations and guidance agreed by a body representing
Health and Safety
Executive
Guidance an industrial or occupational sector, provided the guidance has gained general
acceptance. Where established industry practices result in high levels of health
and safety, risk assessment should not be used to justify reducing current control
4 measures.
Regulation Regulation 5 Health and safety arrangements

(1) Every employer shall make and give effect to such arrangements as are
appropriate, having regard to the nature of his activities and the size of his
undertaking, for the effective planning, organisation, control, monitoring and review
of the preventive and protective measures.
(2) Where the employer employs five or more employees, he shall record the
5
arrangements referred to in paragraph (1).
ACOP 32 This regulation requires employers to have arrangements in place to

cover health and safety. Effective management of health and safety will
depend, amongst other things, on a suitable and sufficient risk assessment
being carried out and the findings being used effectively. The health and
safety arrangements can be integrated into the management system for
all other aspects of the organisation’s activities. The management system
adopted will need to reflect the complexity of the organisation’s activities
and working environment. Where the work process is straightforward and
the risks generated are relatively simple to control, then very straightforward
management systems may be appropriate. For large complicated
organisations more complex systems may be appropriate. Although the
principles of the management arrangements are the same irrespective of
the size of an organisation. The key elements of such effective systems
can be found in Successful health and safety management (see References
and further reading section) or the British Standard for health and safety
management systems BS8800. A successful health and safety management
system will include all the following elements.
Planning
33 Employers should set up an effective health and safety management

system to implement their health and safety policy which is proportionate to
the hazards and risks. Adequate planning includes:
(a) adopting a systematic approach to the completion of a risk assessment.

Risk assessment methods should be used to decide on priorities and
to set objectives for eliminating hazards and reducing risks. This should
include a programme, with deadlines for the completion of the risk
assessment process, together with suitable deadlines for the design and
implementation of the preventive and protective measures which are
necessary;
(b) selecting appropriate methods of risk control to minimise risks;
(c) establishing priorities and developing performance standards both for
the completion of the risk assessment(s) and the implementation of
preventive and protective measures, which at each stage minimises the
risk of harm to people. Wherever possible, risks are eliminated through
5 selection and design of facilities, equipment and processes.

Health and Safety
Executive
ACOP Organisation
34 This includes:
(a) involving employees and their representatives in carrying out risk

assessments, deciding on preventive and protective measures and
implementing those requirements in the workplace. This may be
achieved by the use of formal health and safety committees where
they exist, and by the use of teamworking, where employees are
involved in deciding on the appropriate preventive and protective
measures and written procedures etc;
(b) establishing effective means of communication and consultation
in which a positive approach to health and safety is visible and
clear. The employer should have adequate health and safety
information and make sure it is communicated to employees and
their representatives, so informed decisions can be made about
the choice of preventive and protective measures. Effective
communication will ensure that employees are provided with
sufficient information so that control measures can be
implemented effectively;
(c) securing competence by the provision of adequate information,
instruction and training and its evaluation, particularly for those
who carry out risk assessments and make decisions about
preventive and protective measures. Where necessary this will
need to be supported by the provision of adequate health and
safety assistance or advice.
Control
35 Establishing control includes:
(a) clarifying health and safety responsibilities and ensuring that the
activities of everyone are well co-ordinated;
(b) ensuring everyone with responsibilities understands clearly what they
have to do to discharge their responsibilities, and ensure they have the
time and resources to discharge them effectively;
(c) setting standards to judge the performance of those with responsibilities
and ensure they meet them. It is important to reward good performance
as well as to take action to improve poor performance; and
(d) ensuring adequate and appropriate supervision, particularly for those
who are learning and who are new to a job.
Monitoring
36 Employers should measure what they are doing to implement their health
and safety policy, to assess how effectively they are controlling risks, and
how well they are developing a positive health and safety culture. Monitoring
includes:
(a) having a plan and making adequate routine inspections and checks
to ensure that preventive and protective measures are in place and
effective. Active monitoring reveals how effectively the health and safety
management system is functioning;
(b) adequately investigating the immediate and underlying causes of
incidents and accidents to ensure that remedial action is taken, lessons
5 are learnt and longer term objectives are introduced.

Health and Safety
Executive
ACOP 37 In both cases it may be appropriate to record and analyse the results of
monitoring activity, to identify any underlying themes or trends which may not
be apparent from looking at events in isolation.
Review
38 Review involves:
(a) establishing priorities for necessary remedial action that were discovered
as a result of monitoring to ensure that suitable action is taken in good
time and is completed;
(b) periodically reviewing the whole of the health and safety management
system including the elements of planning, organisation, control and
5 monitoring to ensure that the whole system remains effective.
Guidance 39 Consulting employees or their representatives about matters to do with their

health and safety is good management practice, as well as being a requirement
under health and safety law. Employees are a valuable source of information and
can provide feedback about the effectiveness of health and safety management
arrangements and control measures. Where safety representatives exist, they can
act as an effective channel for employees’ views.
40 Safety representatives’ experience of workplace conditions and their

commitment to health and safety means they often identify potential problems,
allowing the employer to take prompt action. They can also have an important part
5 to play in explaining safety measures to the workforce and gaining commitment.
Regulation Regulation 6 Health surveillance

Every employer shall ensure that his employees are provided with such health
surveillance as is appropriate having regard to the risks to their health and safety
6
which are identified by the assessment.
ACOP 41 The risk assessment will identify circumstances in which health

surveillance is required by specific health and safety regulations eg COSHH.
Health surveillance should also be introduced where the assessment shows
the following criteria to apply:
(a) there is an identifiable disease or adverse health condition related to the

work concerned; and
(b) valid techniques are available to detect indications of the disease or
condition; and
(c) there is a reasonable likelihood that the disease or condition may occur
under the particular conditions of work; and
(d) surveillance is likely to further the protection of the health and safety of
the employees to be covered.
42 Those employees concerned and their safety or other representatives

should be given an explanation of, and opportunity to comment on, the
nature and proposed frequency of such health surveillance procedures and
should have access to an appropriately qualified practitioner for advice on
surveillance.
43 The appropriate level, frequency and procedure of health surveillance

should be determined by a competent person acting within the limits of their
training and experience. This could be determined on the basis of suitable
6
general guidance (eg regarding skin inspection for dermal effects) but in
Health and Safety
Executive
ACOP certain circumstances this may require the assistance of a qualified medical
practitioner. The minimum requirement for health surveillance is keeping a
health record. Once it is decided that health surveillance is appropriate, it
should be maintained throughout an employee’s employment unless the risk
to which the worker is exposed and associated health effects are rare and
6 short term.
Guidance 44 Where appropriate, health surveillance may also involve one or more health
surveillance procedures depending on suitability in the circumstances (a non-
exhaustive list of examples of diseases is included in the footnote for guidance).10
Such procedures can include:
(a) inspection of readily detectable conditions by a responsible person acting

within the limits of their training and experience;
(b) enquiries about symptoms, inspection and examination by a qualified person
such as an Occupational Health Nurse;
(c) medical surveillance, which may include clinical examination and measurement
of physiological or psychological effects by an appropriately qualified person;
(d) biological effect monitoring, ie the measurement and assessment of early
biological effects such as diminished lung function in exposed workers; and
(e) biological monitoring, ie the measurement and assessment of workplace
agents or their metabolites either in tissues, secreta, excreta, expired air or any
combination of these in exposed workers.
45 The primary benefit, and therefore objective of health surveillance should be to

detect adverse health effects at an early stage, thereby enabling further harm to be
prevented. The results of health surveillance can provide a means of:
(a) checking the effectiveness of control measures;

(b) providing feedback on the accuracy of the risk assessment; and
(c) identifying and protecting individuals at increased risk because of the nature of
their work.
10
If the worker is exposed to noise or hand-arm vibrations, health surveillance may be needed under
these regulations. If the worker is exposed to hazardous substances such as chemicals, solvents, fumes,
dusts, gases and vapours, aerosols, biological agents (micro-organisms), health surveillance may be
needed under COSHH. If the worker is exposed to asbestos, lead, work in compressed air, medical
6 examinations may be needed under specific regulations.
Regulation Regulation 7 Health and safety assistance

(1) Every employer shall, subject to paragraphs (6) and (7), appoint one or more
competent persons to assist him in undertaking 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) Where an employer appoints persons in accordance with paragraph (1), he

shall make arrangements for ensuring adequate co-operation between them.
(3) The employer shall ensure that the number of persons appointed under
paragraph (1), the time available for them to fulfil their functions and the means at
their disposal are adequate having regard to the size of his undertaking, the risks to
which his employees are exposed and the distribution of those risks throughout the
7
undertaking.

Health and Safety
Executive
Regulation (4) The employer shall ensure that-
(a) any person appointed by him in accordance with paragraph (1) who is
not in his employment-
(i) is informed of the factors known by him to affect, or suspected by

him of affecting, the health and safety of any other person who may
be affected by the conduct of his undertaking, and
(ii) has access to the information referred to in regulation 10; and
(b) any person appointed by him in accordance with paragraph (1) is given
such information about any person working in his undertaking who is-
(i) employed by him under a fixed-term contract of employment, or

(ii) employed in an employment business,
as is necessary to enable that person properly to carry out the function

specified in that paragraph.
(5) A person shall be regarded as competent for the purposes of paragraphs (1)
and (8) where he has sufficient training and experience or knowledge and other
qualities to enable him properly to assist in undertaking the measures referred to in
paragraph (1).
(6) Paragraph (1) shall not apply to a self-employed employer who is not in
partnership with any other person where he has sufficient training and experience
or knowledge and other qualities properly to undertake the measures referred to in
that paragraph himself.
(7) Paragraph (1) shall not apply to individuals who are employers and who are
together carrying on business in partnership where at least one of the individuals
concerned has sufficient training and experience or knowledge and other qualities-
(a) properly to undertake the measures he needs to take to comply with

the requirements and prohibitions imposed upon him by or under the
relevant statutory provisions; and
(b) properly to assist his fellow partners in undertaking the measures they
need to take to comply with the requirements and prohibitions imposed
upon them by or under the relevant statutory provisions.
(8) Where there is a competent person in the employer’s employment, that

person shall be appointed for the purposes of paragraph (1) in preference to a
7 competent person not in his employment.
ACOP 46 Employers are solely responsible for ensuring that those they appoint
to assist them with health and safety measures are competent to carry out
the tasks they are assigned and are given adequate information and support.
In making decisions on who to appoint, employers themselves need to
know and understand the work involved, the principles of risk assessment
and prevention, and current legislation and health and safety standards.
Employers should ensure that anyone they appoint is capable of applying the
above to whatever task they are assigned.
47 Employers must have access to competent help in applying the

provisions of health and safety law, including these Regulations. In particular
they need competent help in devising and applying protective measures,
unless they are competent to undertake the measures without assistance.
Appointment of competent people for this purpose should be included
7 among the health and safety arrangements recorded under regulation 5(2).

Health and Safety
Executive
ACOP Employers are required by the Safety Representatives and Safety Committees
Regulations 1977 to consult safety representatives in good time on
7 arrangements for the appointment of competent assistance.
Guidance 48 When seeking competent assistance employers should look to appoint one
or more of their employees, with the necessary means, or themselves, to provide
the health and safety assistance required. If there is no relevant competent worker
in the organisation or the level of competence is insufficient to assist the employer
in complying with health and safety law, the employer should enlist an external
service or person. In some circumstances a combination of internal and external
competence might be appropriate, recognising the limitations of the internal
competence. Some regulations contain specific requirements for obtaining advice
from competent people to assist in complying with legal duties. For example the
Ionising Radiation Regulations requires the appointment of a radiation protection
adviser in many circumstances, where work involves ionising radiations.
49 Employers who appoint doctors, nurses or other health professionals to advise

them of the effects of work on employee health, or to carry out certain procedures,
for example health surveillance, should first check that such providers can offer
evidence of a sufficient level of expertise or training in occupational health. Registers
of competent practitioners are maintained by several professional bodies, and are
often valuable.
50 The appointment of such health and safety assistants or advisers does not
absolve the employer from responsibilities for health and safety under the HSW Act
and other relevant statutory provisions and under Part II of the Fire Regulations.
It can only give added assurance that these responsibilities will be discharged
adequately. Where external services are employed, they will usually be appointed in
an advisory capacity only.
51 Competence in the sense it is used in these Regulations does not necessarily

depend on the possession of particular skills or qualifications. Simple situations may
require only the following:
(a) an understanding of relevant current best practice;

(b) an awareness of the limitations of one’s own experience and knowledge; and
(c) the willingness and ability to supplement existing experience and knowledge,
when necessary by obtaining external help and advice.
52 More complicated situations will require the competent assistant to have

a higher level of knowledge and experience. More complex or highly technical
situations will call for specific applied knowledge and skills which can be offered by
appropriately qualified specialists. Employers are advised to check the appropriate
health and safety qualifications (some of which may be competence-based and/
or industry specific), or membership of a professional body or similar organisation
(at an appropriate level and in an appropriate part of health and safety) to
satisfy themselves that the assistant they appoint has a sufficiently high level of
competence. Competence-based qualifications accredited by the Qualifications and
Curriculum Authority and the Scottish Qualifications Authority may also provide a
7 guide.

Health and Safety
Executive
Regulation Regulation 8 Procedures for serious and imminent

danger and for danger areas
(1) Every employer shall-
(a) establish and where necessary give effect to appropriate procedures to

be followed in the event of serious and imminent danger to persons at
work in his undertaking;
(b) nominate a sufficient number of competent persons to implement those
procedures in so far as they relate to the evacuation from premises of
persons at work in his undertaking; and
(c) ensure that none of his employees has access to any area occupied by
him to which it is necessary to restrict access on grounds of health and
safety unless the employee concerned has received adequate health and
safety instruction.
(2) Without prejudice to the generality of paragraph (1)(a), the procedures

referred to in that sub-paragraph shall-
(a) so far as is practicable, require any persons at work who are exposed to
serious and imminent danger to be informed of the nature of the hazard
and of the steps taken or to be taken to protect them from it;
(b) enable the persons concerned (if necessary by taking appropriate
steps in the absence of guidance or instruction and in the light of their
knowledge and the technical means at their disposal) to stop work and
immediately proceed to a place of safety in the event of their being
exposed to serious, imminent and unavoidable danger; and
(c) save in exceptional cases for reasons duly substantiated (which cases
and reasons shall be specified in those procedures), require the persons
concerned to be prevented from resuming work in any situation where
there is still a serious and imminent danger.
(3) A person shall be regarded as competent for the purposes of paragraph (1)
(b) where he has sufficient training and experience or knowledge and other qualities
to enable him properly to implement the evacuation procedures referred to in that
8 sub-paragraph.
Regulation Regulation 9 Contacts with external services

Every employer shall ensure that any necessary contacts with external services
are arranged, particularly as regards first-aid, emergency medical care and rescue
9
work.
ACOP 53 Employers should establish procedures for any worker to follow if

situations presenting serious and imminent danger were to arise, eg a fire,
or for the police and emergency services an outbreak of public disorder. The
procedures should set out:
(a) the nature of the risk (eg a fire in certain parts of a building where
substances might be involved), and how to respond to it;
(b) additional procedures needed to cover risks beyond those posed by fire
and bombs. These procedures should be geared, as far as is practicable,
to the nature of the serious and imminent danger that those risks might
9 pose;

Health and Safety
Executive
ACOP (c) the additional responsibilities of any employees, or groups of employees,

who may have specific tasks to perform in the event of emergencies (eg
to shut down a plant that might otherwise compound the danger); or who
have had training so that they can seek to bring an emergency event
under control. Police officers, fire-fighters and other emergency service
workers, for example, may sometimes need to work in circumstances
of serious or imminent danger in order to fulfill their commitment to the
public service. The procedures should reflect these responsibilities,
and the time delay before such workers can move to a place of safety.
Appropriate preventive and protective measures should be in place for
these employees;
(d) the role, responsibilities and authority of the competent people
nominated to implement the detailed actions. The procedures should
also ensure that employees know who the relevant competent people
are and understand their role;
(e) any requirements laid on employers by health and safety regulations
which cover some specific emergency situations;
(f) details of when and how the procedures are to be activated so that
employees can proceed in good time to a place of safety. Procedures
should cater for the fact that emergency events can occur and develop
rapidly, thus requiring employees to act without waiting for further
guidance. It may be necessary to commence evacuation while attempts
to control an emergency (eg a process in danger of running out of
control) are still under way, in case those attempts fail.
54 Emergency procedures should normally be written down as required

by regulation 5(2), clearly setting out the limits of actions to be taken by
employees. Information on the procedures should be made available to all
employees (under regulation 10), to any external health and safety personnel
appointed under regulation 7(1), and where necessary to other workers and/
or their employers under regulation 12. Induction training, carried out under
regulation 13, should cover emergency procedures and should familiarise
employees with those procedures.
55 Work should not be resumed after an emergency if a serious danger

remains. If there are any doubts, expert assistance should be sought, eg
from the emergency services and others. There may, for certain groups of
workers, be exceptional circumstances when re-entry to areas of serious
danger may be deemed necessary, eg police officers, fire-fighters and other
emergency service workers, where, for example, human life is at risk. When
such exceptional circumstances can be anticipated, the procedures should
set out the special protective measures to be taken (and the pre-training
9 required) and the steps to be taken for authorisation of such actions.
56 The procedure for any worker to follow in serious and imminent danger, has
Guidance
to be clearly explained by the employer. Employees and others at work need to
know when they should stop work and how they should move to a place of safety.
In some cases this will require full evacuation of the workplace; in others it might
mean some or all of the workforce moving to a safer part of the workplace.
57 The risk assessment should identify the foreseeable events that need to be
covered by these procedures. For some employers, fire (and possibly bomb) risks
will be the only ones that need to be covered. For others, additional risks will be
identified.
58 Where different employers (or self-employed people) share a workplace,

9 their separate emergency procedures will need to take account of everyone in the

Health and Safety
Executive
Guidance workplace, and as far as is appropriate the procedures should be co-ordinated.

Detailed requirements on co-operation and co-ordination are covered by regulation
11.
Danger areas
59 A danger area is a work environment which must be entered by an employee

where the level of risk is unacceptable without taking special precaution. Such
areas are not necessarily static in that minor alterations or an emergency may
convert a normal working environment into a danger area. The hazard involved
need not occupy the whole area, as in the case of a toxic gas, but can be localised,
eg where there is a risk of an employee coming into contact with bare live electrical
conductors. The area must be restricted to prevent inadvertent access.
60 This regulation does not specify the precautions to take to ensure safe
working in the danger area - this is covered by other legislation. However, once the
employer has established suitable precautions the relevant employees must receive
adequate instruction and training in those precautions before entering any such
danger area.
Contacts with external services
61 The employer should ensure that appropriate external contacts are in place to
make sure there are effective provisions for first aid, emergency medical care and
rescue work, for incidents and accidents which may require urgent action, and/or
medical attention beyond the capabilities of on-site personnel. This may only mean
making sure that employees know the necessary telephone numbers and, where
there is a significant risk, that they are able to contact any help they need. This
requirement does not in any way reduce employers’ duty to prevent accidents as
the first priority.
62 Where a number of employers share a workplace and their employees face

the same risks, it would be possible for one employer to arrange contacts on
behalf of themselves and the other employers. In these circumstances it would be
for the other employers to ensure that the contacts had been made. In hazardous
or complex workplaces, employers should designate appropriate staff to routinely
contact the emergency services to give them sufficient knowledge of the risks they
need to take appropriate action in emergencies, including those likely to happen
outside normal working hours. This will help these services in planning for providing
first aid, emergency medical care and rescue work, and to take account of risks
to everyone involved, including rescuers. Contacts and arrangements with external
services should be recorded, and should be reviewed and revised as necessary,
in the light of changes to staff, processes and plant, and revisions to health and
9 safety procedures.
Regulation Regulation 10 Information for employees

(1) Every employer shall provide his employees with comprehensible and relevant
information on-
(a) the risks to their health and safety identified by the assessment;
(b) the preventive and protective measures;
(c) the procedures referred to in regulation 8(1)(a) and the measures referred
to in regulation 4(2)(a) of the Fire Precautions (Workplace) Regulations
10
1997;

Health and Safety
Executive
Regulation (d) the identity of those persons nominated by him in accordance with
regulation 8(1)(b) and regulation 4(2)(b) of the Fire Precautions
(Workplace) Regulations 1997; and
(e) the risks notified to him in accordance with regulation 11(1)(c).
(2) Every employer shall, before employing a child, provide a parent of the child
with comprehensible and relevant information on-
(a) the risks to his health and safety identified by the assessment;
(b) the preventive and protective measures; and
(c) the risks notified to him in accordance with regulation 11(1)(c).
(3) The reference in paragraph (2) to a parent of the child includes-
(a) in England and Wales, a person who has parental responsibility, within
the meaning of section 3 of the Children Act 1989(a), for him; and
(b) in Scotland, a person who has parental rights, within the meaning of
section 8 of the Law Reform (Parent and Child) (Scotland)) Act 1986(b)
for him.
10 (a)
1989 c.41.
(b)
1986 c.9.
Guidance 63 The risk assessment will help identify information which has to be provided
to employees under specific regulations, as well as any further information relevant
to risks to employees’ health and safety. Relevant information on risks and on
preventive and protective measures will be limited to what employees need to
know to ensure their own health and safety and not to put others at risk. This
regulation also requires information to be provided on the emergency arrangements
established under regulation 8, including the identity of staff nominated to help if
there is an evacuation.
64 The information provided should be pitched appropriately, given the level of

training, knowledge and experience of the employee. It should be provided in a
form which takes account of any language difficulties or disabilities. Information
can be provided in whatever form is most suitable in the circumstances, as long as
it can be understood by everyone. For employees with little or no understanding
of English, or who cannot read English, employers may need to make special
arrangements. These could include providing translation, using interpreters, or
replacing written notices with clearly understood symbols or diagrams.
65 This regulation applies to all employees, including trainees and those on

fixed-duration contracts. Additional information for employees on fixed-duration
contracts is contained in regulation 15. Specific requirements relate to the provision
of information to safety representatives, and enabling full and effective consultation
of employees.11
66 While a child (below minimum school leaving age) is at work, the requirements
to provide information are the same as for other employees. There is, however, an
extra requirement on the employer to provide the parents or guardians of children
at work (including those on work experience) with information on the key findings of
the risk assessment and the control measures taken, before the child starts work.
This information can be provided in any appropriate form, including verbally or
directly to the parents or guardians, or in the case of work experience, via an
11
Safety Representatives and Safety Committees Regulations 1977 SI1977/500 and Health and
10 Safety (Consultation with Employees) Regulations 1996 SI1996/1513.

Health and Safety
Executive
Guidance 10 organisation such as the school, the work experience agency, or, if agreed with the
parents, via the child him or herself, as long as this is considered a reliable method.
Regulation Regulation 11 Co-operation and co-ordination

(1) Where two or more employers share a workplace (whether on a temporary or a
permanent basis) each such employer shall-
(a) co-operate with the other employers concerned so far as is necessary to

enable them to comply with the requirements and prohibitions imposed
upon them by or under the relevant statutory provisions and by Part II of
the Fire Precautions (Workplace) Regulations 1997;
(b) (taking into account the nature of his activities) take all reasonable steps
to co-ordinate the measures he takes 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 with the measures the other employers concerned are taking to
comply with the requirements and prohibitions imposed upon them by
that legislation; and
(c) take all reasonable steps to inform the other employers concerned of the
risks to their employees’ health and safety arising out of or in connection
with the conduct by him of his undertaking.
(2) Paragraph (1) (except in so far as it refers to Part II of the Fire Precautions
(Workplace) Regulations 1997) shall apply to employers sharing a workplace with
self-employed persons and to self-employed persons sharing a workplace with
other self-employed persons as it applies to employers sharing a workplace with
other employers; and the references in that paragraph to employers and the
11
reference in the said paragraph to their employees shall be construed accordingly.
ACOP 67 To meet the requirements of these Regulations, such as carrying out

a risk assessment under regulation 3 and establishing procedures to follow
serious and dangerous situations under regulation 8, it is necessary to cover
the whole workplace to be fully effective. When the workplace is occupied
by more than one employer, this will require some degree of co-ordination
and co-operation. All employers and self-employed people involved should
satisfy themselves that the arrangements adopted are adequate. Employers
should ensure that all their employees, but especially the competent people
appointed under regulations 7 and 8, are aware of and take full part in the
arrangements. Specific co-ordination arrangements may be required by other
regulations.
68 Where a particular employer controls the workplace, others should assist

the controlling employer in assessing the shared risks and co-ordinating
any necessary measures. In many situations providing information may be
sufficient. A controlling employer who has established site-wide arrangements
will have to inform new employers or self-employed people of those
arrangements so that they can integrate themselves into the co-operation and
11 co-ordination procedures.
69 Where the activities of different employers and self-employed people

Guidance
interact, for example where they share premises or workplaces, they may need
to co-operate with each other to make sure their respective obligations are met.
This regulation does not extend to the relationship between a host employer and a
11 contractor, which will be covered by regulation 12.

Health and Safety
Executive
Guidance 70 The duties to co-operate and co-ordinate measures relate to all statutory
duties, except for Part II of the Fire Regulations, in the case of people who are
self-employed and are not employers. Therefore, they concern all people who may
be at risk, both on and off site, and not just where employers and self-employed
people share workplaces all the time. They also include situations where an
employer may not be physically present at the workplace.
Appointment of health and safety co-ordinator
71 Where there is no controlling employer, the employers and self-employed

people present will need to agree any joint arrangements needed to meet
the requirements of the Regulations, such as appointing a health and safety
co-ordinator. This will be particularly useful in workplaces where management
control is fragmented and employment is largely casual or short term (eg in
construction). The Construction (Design and Management) Regulations 199412
require principal contractors to ensure co-operation between all contractors.
In workplaces which are complex or contain significant hazards, the controlling
employer or health and safety co-ordinator (on behalf of the employers etc
present) may need to seek competent advice in making or assisting with the risk
assessment and determining appropriate measures. Employers do not absolve
themselves of their legal responsibilities by appointing such co-ordinators who
provide competent advice.
Person in control
72 The person in control of a multi-occupancy workplace may not always be an

employer of the people working in that workplace or be self-employed, but will still
need to co-operate with those occupying the workplace under their control. For
example, procedures for authorising or carrying out repairs and modifications will
have to take account of the need for co-operation and exchanges of information.
Co-operation is needed to effectively carry out the general duties placed on
those people under section 4 of the HSW Act, as well as more specific duties
under other Regulations (eg in offshore health and safety legislation or in relation
to welfare facilities provided under the Workplace (Health, Safety and Welfare)
Regulations 1992).13
73 People who control the premises and make arrangements to co-ordinate

health and safety activities, particularly for emergencies, may help employers
and self-employed people who participate in those arrangements to comply with
regulation 11(1)(b).
74 This regulation does not apply to multi-occupancy buildings or sites, where

each unit under the control of an individual tenant employer or self-employed
person is regarded as a separate workplace. In some cases, however, the
common parts of such multi-occupancy sites may be shared workplaces (eg a
common reception area in an office building) or may be under the control of a
person to whom section 4 of the HSW Act applies and suitable arrangements may
need to be put in place for these areas.
12
S.I. 1994/3140.
10 13
S.I. 1992/3004.

Health and Safety
Executive
Regulation Regulation 12 Persons working in host employers’ or

self-employed persons’ undertakings
(1) Every employer and every self-employed person shall ensure that the
employer of any employees from an outside undertaking who are working in his
undertaking is provided with comprehensible information on-
(a) the risks to those employees’ health and safety arising out of or in
connection with the conduct by that first-mentioned employer or by that
self-employed person of his undertaking; and
(b) the measures taken by that first-mentioned employer or by that self-
employed person in compliance 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 in so far
as the said requirements and prohibitions relate to those employees.
(2) Paragraph (1) (except in so far as it refers to Part II of the Fire Precautions
(Workplace) Regulations 1997) shall apply to a self-employed person who is
working in the undertaking of an employer or a self-employed person as it applies
to employees from an outside undertaking who are working therein; and the
reference in that paragraph to the employer of any employees from an outside
undertaking who are working in the undertaking of an employer or a self-employed
person and the references in the said paragraph to employees from an outside
undertaking who are working in the undertaking of an employer or a self-employed
person shall be construed accordingly.
(3) Every employer shall ensure that any person working in his undertaking who
is not his employee and every self-employed person (not being an employer) shall
ensure that any person working in his undertaking is provided with appropriate
instructions and comprehensible information regarding any risks to that person’s
health and safety which arise out of the conduct by that employer or self-employed
person of his undertaking.
(4) Every employer shall-
(a) ensure that the employer of any employees from an outside undertaking
who are working in his undertaking is provided with sufficient information
to enable that second-mentioned employer to identify any person
nominated by that first mentioned employer in accordance with
regulation 8(1)(b) to implement evacuation procedures as far as those
employees are concerned; and
(b) take all reasonable steps to ensure that any employees from an outside
undertaking who are working in his undertaking receive sufficient
information to enable them to identify any person nominated by him in
accordance with regulation 8(1)(b) to implement evacuation procedures
as far as they are concerned.
(5) Paragraph (4) shall apply to a self-employed person who is working in an

employer’s undertaking as it applies to employees from an outside undertaking
who are working therein; and the reference in that paragraph to the employer of
any employees from an outside undertaking who are working in an employer’s
undertaking and the references in the said paragraph to employees from an outside
undertaking who are working in an employer’s undertaking shall be construed
12 accordingly.
75 The risk assessment carried out under regulation 3 will identify risks
ACOP 12 to people other than the host employers’ employees. This will include other

Health and Safety
Executive
ACOP employers’ employees and self-employed people working in that business.

Employers and self-employed people need to ensure that comprehensive
information on those risks, and the measures taken to control them is given
to other employers and self-employed people. Further guidance can be found
under regulation 10.
76 Host employers and self-employed people must ensure that people

carrying out work on their premises receive relevant information. This may be
done by either providing them with information directly or by ensuring that
their employers provide them with the relevant information. If you rely on their
employers to provide information to the visiting employees, then adequate
checks should be carried out to ensure that the information is passed on.
The information should be sufficient to allow the employer of the visiting
employee to comply with their statutory duties, and should include the
identity of people nominated by the host employer to help with an emergency
evacuation under regulation 8.
77 Information may be provided through a written permit-to-work system.

Where the visiting employees are specialists, brought in to do specialist
tasks, the host employer’s instructions need to be concerned with those
risks which are peculiar to the activity and premises. The visiting employee
may also introduce risks to the permanent workforce (eg from equipment or
substances they may bring with them). Their employers have a general duty
under section 3 of the HSW Act to inform the host employer of such risks and
to co-operate and co-ordinate with the host employer to the extent needed to
control those risks.
78 The guidance on information for employees under regulation 10 applies

12 equally to information provided under regulation 12.
Guidance 79 This regulation applies where employees or self-employed people carry

out work for an employer other than their own or of another self-employed
person. This will include contractors’ employees carrying out cleaning, repair,
or maintenance work under a service contract; and employees in temporary
employment businesses, hired to work under a host employer’s control (additional
requirements for information to employment businesses are under regulation 15).
Safety representatives and other employee representatives are often used to ensure
12 information is supplied to everyone who comes on site.
Regulation Regulation 13 Capabilities and training

(1) Every employer shall, in entrusting tasks to his employees, take into account
their capabilities as regards health and safety.
(2) Every employer shall ensure that his employees are provided with adequate
health and safety training-
(a) on their being recruited into the employer’s undertaking; and

(b) on their being exposed to new or increased risks because of -
(i) their being transferred or given a change of responsibilities within

the employer’s undertaking,
(ii) the introduction of new work equipment into or a change
respecting work equipment already in use within the employer’s
13
undertaking,

Health and Safety
Executive
Regulation (iii) the introduction of new technology into the employer’s undertaking,
or
(iv) the introduction of a new system of work into or a change
respecting a system of work already in use within the employer’s
undertaking.
(3) The training referred to in paragraph (2) shall-
(a) be repeated periodically where appropriate;

(b) be adapted to take account of any new or changed risks to the health
and safety of the employees concerned; and
13 (c) take place during working hours.
ACOP 80 When allocating work to employees, employers should ensure that the
demands of the job do not exceed the employees’ ability to carry out the
work without risk to themselves or others. Employers should take account
of the employees’ capabilities and the level of their training, knowledge and
experience. Managers should be aware of relevant legislation and should
be competent to manage health and safety effectively. Employers should
review their employees’ capabilities to carry out their work, as necessary.
If additional training, including refresher training, is needed, it should be
provided.
81 Health and safety training should take place during working hours.
If it is necessary to arrange training outside an employee’s normal hours,
this should be treated as an extension of time at work. Employees are not
required to pay for their own training. Section 9 of the HSW Act prohibits
employers from charging employees for anything they have to do or are
required to do in respect of carrying out specific requirements of the relevant
statutory provisions. The requirement to provide health and safety training is
13 such a provision.
Guidance 82 The risk assessment and subsequent reviews of the risk assessment will help
determine the level of training and competence needed for each type of work.
Competence is the ability to do the work required to the necessary standard. All
employees, including senior management, should receive relevant training. This
may need to include basic skills training, specific on-the-job training and training
in health and safety or emergency procedures. There may be a need for further
training eg about specific risks, required by other legislation. For those working
towards National and Scottish Vocational Qualifications, the Employment National
Training Organisation has designed stand-alone training units in health, safety and
the environment. These vocational units are for people at work who are not health
and safety professionals/specialists.
83 Training needs are likely to be greatest for new employees on recruitment.

They should receive basic induction training on health and safety, including
arrangements for first-aid, fire and evacuation. Particular attention should be given
to the needs of young workers. The risk assessment should identify further specific
training needs. In some cases, training may be required even though an employee
already holds formal qualifications (eg for an update on new technology). Training
and competence needs will have to be reviewed if the work activity a person is
involved in or the working environment changes. This may include a change of
department or the introduction of new equipment, processes or tasks.
84 An employee’s competence will decline if skills are not used regularly (eg in
emergency procedures, operating a particular item of equipment or carrying out
a task). Training therefore needs to be repeated periodically to ensure continued
13 competence. This will be particularly important for employees who occasionally

Health and Safety
Executive
Guidance deputise for others, home workers and mobile employees. Information from
personal performance monitoring, health and safety checks, accident investigations
and near-miss incidents can help to establish a suitable period for re-training.
Employers are required by the Safety Representatives and Safety Committees
Regulations 1997 to consult safety representatives in good time about the planning
and organisation of health and safety training required for the employees they
13 represent.
Regulation Regulation 14 Employees’ duties

(1) Every employee shall use any machinery, equipment, dangerous substance,
transport equipment, means of production or safety device provided to him by
his employer in accordance both with any training in the use of the equipment
concerned which has been received by him and the instructions respecting that
use which have been provided to him by the said employer in compliance with the
requirements and prohibitions imposed upon that employer by or under the relevant
statutory provisions.
(2) Every employee shall inform his employer or any other employee of that
employer with specific responsibility for the health and safety of his fellow
employees-
(a) of any work situation which a person with the first-mentioned employee’s
training and instruction would reasonably consider represented a serious
and immediate danger to health and safety; and
(b) of any matter which a person with the first-mentioned employee’s training
and instruction would reasonably consider represented a shortcoming in
the employer’s protection arrangements for health and safety,
in so far as that situation or matter either affects the health and safety of that
first mentioned employee or arises out of or in connection with his own activities
at work, and has not previously been reported to his employer or to any other
14
employee of that employer in accordance with this paragraph.
ACOP 85 Employees’ duties under section 7 of the HSW Act include co-operating
with their employer to enable the employer to comply with statutory duties for
health and safety. Under these Regulations, employers or those they appoint
(eg under regulation 7) to assist them with health and safety matters need
to be informed without delay of any work situation which might present a
serious and imminent danger. Employees should also notify any shortcomings
in the health and safety arrangements, even when no immediate danger
exists, so that employers can take remedial action if needed.
86 The duties placed on employees do not reduce the responsibility of

the employer to comply with duties under these Regulations and the other
relevant statutory provisions. In particular, employers need to ensure that
employees receive adequate instruction and training to enable them to
14
comply with their duties.
Guidance 87 Employees have a duty under section 7 of the HSW Act to take reasonable
care for their own health and safety and that of others who may be affected by
their actions or omissions at work. Therefore, employees must use all work items
provided by their employer correctly, in accordance with their training and the
14
instructions they received to use them safely.

Health and Safety
Executive
Regulation Regulation 15 Temporary workers

(1) Every employer shall provide any person whom he has employed under a
fixed-term contract of employment with comprehensible information on-
(a) any special occupational qualifications or skills required to be held by that

employee if he is to carry out his work safely; and
(b) any health surveillance required to be provided to that employee by or
under any of the relevant statutory provisions,
and shall provide the said information before the employee concerned commences
his duties.
(2) Every employer and every self-employed person shall provide any person
employed in an employment business who is to carry out work in his undertaking
with comprehensible information on-
(a) any special occupational qualifications or skills required to be held by that

employee if he is to carry out his work safely; and
(b) health surveillance required to be provided to that employee by or under
any of the relevant statutory provisions.
(3) Every employer and every self-employed person shall ensure that every
person carrying on an employment business whose employees are to carry out
work in his undertaking is provided with comprehensible information on-
(a) any special occupational qualifications or skills required to be held by

those employees if they are to carry out their work safely; and
(b) the specific features of the jobs to be filled by those employees (in so far
as those features are likely to affect their health and safety);
and the person carrying on the employment business concerned shall ensure that
15
the information so provided is given to the said employees.
Guidance 88 This regulation supplements previous regulations requiring the provision of

information with additional requirements on temporary workers (ie those employed
on fixed-duration contracts and those employed in employment businesses, but
working for a user company). The use of temporary workers needs to be notified to
health and safety staff under regulation 7(4)(b), as necessary.
Fixed-duration contracts
89 Regulation 10 deals with the provision of information by employers to their

employees. This includes those on fixed-duration contracts. Under regulation
15(1), employees on fixed-duration contracts also have to be informed of any
special occupational qualifications or skills required to carry out the work safely
and whether the job is subject to statutory health surveillance (the latter being a
protective measure covered in general by regulation 10(1)(b)).
Employment businesses
90 Regulation 12(4) deals with the provision of information by a first employer

to a second employer, whose employees are working on the premises. This
includes employees of people who have an employment business. Under regulation
15(3), an employment business has to be informed of any special occupational
qualifications or skills required to carry out the work safely and the specific features
15 of the job which might affect health and safety (eg work at heights).

Health and Safety
Executive
Guidance 91 The person who has an employment business and the user employer
both have duties to provide information to the employee. The person with the
employment business has a duty under regulation 10 (as an employer) and a duty
under regulation 15(3) to ensure that the information provided by the user employer
is given to the employee. The user employer has a duty under regulation 12(4) to
check that information provided to an employer (including someone carrying on an
employment business) is received by the employee. In addition, regulations 15(1)
and (2) require that information on qualifications, skills and health surveillance are
given directly to employees in an employment business.
92 These duties overlap to make sure the information needs of those working
for, but not employed by, user employers are not overlooked. User employers
and people carrying on employment businesses should therefore make suitable
arrangements to satisfy themselves that information is provided. In most cases, it
may be enough for user employees to provide information directly to employees.
Those carrying on employment businesses will need to satisfy themselves that
arrangements for this are adequate. However, basic information on job demands
and risks should be supplied to the employment business at an early stage to help
select those most suitable to carry out the work (in accordance with regulation
15(3)).
Self-employed
93 Self-employed people have similar duties under regulations 11(2), 12, 15(2)
and 15(3) to inform employment businesses and the employees of employment
businesses who carry out work on their premises. They may also need to agree
arrangements with the employment businesses concerned. Self-employed workers
hired through employment businesses are entitled to receive health and safety
information from the employers or self-employed people for whom they carry out
work under regulation 12(2). There is a full definition of how these Regulations apply
to self-employed workers in paragraphs 4 and 5. It explains how people working
under the control and direction of others but are treated as self-employed for
other reasons such as tax and national insurance, are nevertheless treated as their
15 employees for health and safety purposes.
Regulation Regulation 16 Risk assessment in respect of new or

expectant mothers
(1) Where -
(a) the persons working in an undertaking include women of child-bearing

age; and
(b) the work is of a kind which could involve risk, by reason of her condition,
to the health and safety of a new or expectant mother, or to that of her
baby, from any processes or working conditions, or physical, biological or
chemical agents, including those specified in Annexes I and II of Council
Directive 92/85/EEC(a) on the introduction of measures to encourage
improvements in the safety and health at work of pregnant workers and
workers who have recently given birth or are breastfeeding,
the assessment required by regulation 3(1) shall also include an assessment of

such risk.
(a)
16 OJ No. L348, 28.11.92, p.1.

Health and Safety
Executive
Regulation (2) Where, in the case of an individual employee, the taking of any other action
the employer is required to take under the relevant statutory provisions would not
avoid the risk referred to in paragraph (1) the employer shall, if it is reasonable to do
so, and would avoid such risks, alter her working conditions or hours of work.
(3) If it is not reasonable to alter the working conditions or hours of work, or if it

would not avoid such risk, the employer shall, subject to section 67 of the 1996 Act
suspend the employee from work for so long as is necessary to avoid such risk.
(4) In paragraphs (1) to (3) references to risk, in relation to risk from any infectious
or contagious disease, are references to a level of risk at work which is in addition
to the level to which a new or expectant mother may be expected to be exposed
16 outside the workplace.
Regulation Regulation 17 Certificate from registered medical

practitioner in respect of new or expectant mothers
1. Where-
(a) a new or expectant mother works at night; and

(b) a certificate from a registered medical practitioner or a registered midwife
shows that it is necessary for her health or safety that she should not be
at work for any period of such work identified in the certificate,
the employer shall, subject to section 67 of the 1996 Act, suspend her from work
17 for so long as is necessary for her health or safety.
Regulation Regulation 18 Notification by new or expectant

mothers
(1) Nothing in paragraph (2) or (3) of regulation 16 shall require the employer to
take any action in relation to an employee until she has notified the employer in
writing that she is pregnant, has given birth within the previous six months, or is
breastfeeding.
(2) Nothing in paragraph (2) or (3) of regulation 16 or in regulation 17 shall require

the employer to maintain action taken in relation to an employee-
(a) in a case-
(i) to which regulation 16(2) or (3) relates; and

(ii) where the employee has notified her employer that she is pregnant,
where she has failed, within a reasonable time of being requested
to do so in writing by her employer, to produce for the employer’s
inspection a certificate from a registered medical practitioner or a
registered midwife showing that she is pregnant;
(b) once the employer knows that she is no longer a new or expectant
mother; or
(c) if the employer cannot establish whether she remains a new or expectant
18 mother.

Health and Safety
Executive
ACOP 94 Where the risk assessment identifies risks to new and expectant mothers
and these risks cannot be avoided by the preventive and protective measures
taken by an employer, the employer will need to:
(a) alter her working conditions or hours of work if it is reasonable to do so

and would avoid the risks or, if these conditions cannot be met;
(b) identify and offer her suitable alternative work that is available, and if
that is not feasible;
(c) suspend her from work. The Employment Rights Act 1996 (which is the
responsibility of the Department of Trade and Industry) requires that
this suspension should be on full pay. Employment rights are enforced
through the employment tribunals.
95 All employers should take account of women of child-bearing age when

carrying out the risk assessment and identify the preventive and protective
measures that are required in Regulation 3. The additional steps of altering
working conditions or hours of work, offering suitable alternative work or
suspension as outlined above may be taken once an employee has given
her employer notice in writing that she is pregnant, has given birth within the
last six months or is breastfeeding. If the employee continues to breastfeed
for more than six months after the birth she should ensure the employer is
informed of this, so that the appropriate measures can continue to be taken.
Employers need to ensure that those workers who are breastfeeding are not
exposed to risks that could damage their health and safety as long as they
breastfeed. If the employee informs her employer that she is pregnant for the
purpose of any other statutory requirements, such as statutory maternity pay,
this will be sufficient for the purpose of these Regulations.
96 Once an employer has been informed in writing that an employee is a

new or expectant mother, the employer needs to immediately put into place
the steps described in paragraph 94 and 95. The employer may request
confirmation of the pregnancy by means of a certificate from a registered
medical practitioner or a registered midwife in writing. If this certificate has
not been produced within a reasonable period of time, the employer is not
bound to maintain changes to working hours or conditions or to maintain
paid leave. A reasonable period of time will allow for all necessary medical
examinations and tests to be completed.
97 Further guidance on new and expectant mothers is contained in New

and expectant mothers at work: A guide for employers (see References and
further reading section). The table of hazards identified in the EC Directive
on Pregnant Workers (92/85/EEC) is given in this publication, along with the
risks and ways to avoid them. The DTI booklet PL705 Suspension from work
on medical or maternity grounds and PL958 Maternity rights, both of which
18 cover the maternity suspension provisions, are available from DTI.
Regulation Regulation 19 Protection of young persons

(1) Every employer shall ensure that young persons employed by him are
protected at work from any risks to their health or safety which are a consequence
of their lack of experience, or absence of awareness of existing or potential risks or
the fact that young persons have not yet fully matured.
(2) Subject to paragraph (3), no employer shall employ a young person for work -
19
(a) which is beyond his physical or psychological capacity;

Health and Safety
Executive
Regulation (b) involving harmful exposure to agents which are toxic or carcinogenic,
cause heritable genetic damage or harm to the unborn child or which in
any other way chronically affect human health;
(c) involving harmful exposure to radiation;
(d) involving the risk of accidents which it may reasonably be assumed
cannot be recognised or avoided by young persons owing to their
insufficient attention to safety or lack of experience or training; or
(e) in which there is a risk to health from:-
(i) extreme cold or heat;

(ii) noise; or
(iii) vibration,
and in determining whether work will involve harm or risks for the purposes of this
paragraph, regard shall be had to the results of the assessment.
(3) Nothing in paragraph (2) shall prevent the employment of a young person
who is no longer a child for work-
(a) where it is necessary for his training;

(b) where the young person will be supervised by a competent person; and
(c) where any risk will be reduced to the lowest level that is reasonably
practicable.
(4) The provisions contained in this regulation are without prejudice to-
(a) the provisions contained elsewhere in these Regulations; and

(b) any prohibition or restriction, arising otherwise than by this regulation,
19 on the employment of any person.
98 The employer needs to carry out the risk assessment before young
ACOP workers start work and to see where risk remains, taking account of control
measures in place, as described in regulation 3. For young workers, the risk
assessment needs to pay attention to areas of risk described in regulation
19(2). For several of these areas the employer will need to assess the risks
with the control measures in place under other statutory requirements.
99 When control measures have been taken against these risks and if a
significant risk still remains, no child (young worker under the compulsory
school age) can be employed to do this work. A young worker, above the
minimum school leaving age, cannot do this work unless:
(a) it is necessary for his or her training; and

(b) she or he is supervised by a competent person; and
(c) the risk will be reduced to the lowest level reasonably practicable.
100 Further guidance on young workers is contained in Young people at

work: A guide for employers (see References and further reading section).
The table on hazards, risks and ways of avoiding them from the EC Directive
on the protection of Young People at Work (94/33/EEC) is given in this
19
publication.

Health and Safety
Executive
Regulation Regulation 20 Exemption certificates

(1) The Secretary of State for Defence may, in the interests of national security, by
a certificate in writing exempt-
(a) any of the home forces, any visiting force or any headquarters from those
requirements of these Regulations which impose obligations other than
those in regulations 16-18 on employers; or
(b) any member of the home forces, any member of a visiting force or any
member of a headquarters from the requirements imposed by regulation
14;
and any exemption such as is specified in sub-paragraph (a) or (b) of this paragraph
may be granted subject to conditions and to a limit of time and may be revoked by
the said Secretary of State by a further certificate in writing at any time.
(2) In this regulation-
(a) “the home forces” has the same meaning as in section 12(1) of the
Visiting Forces Act 1952(a);
(b) “headquarters” means a headquarters for the time being specified in
Schedule 2 to the Visiting Forces and International Headquarters
(Application of Law) Order 1999(b);
(c) “member of a headquarters” has the same meaning as in paragraph 1(1)
of the Schedule to the International Headquarters and Defence
Organisations Act 1964(c); and
(d) “visiting force” has the same meaning as it does for the purposes of any
provision of Part I of the Visiting Forces Act 1952.
(a)
1952 c.67.
(b)
S.I. 1999/1736.
20 (c)
1964/c. 5.
Regulation Regulation 21 Provisions as to liability

Nothing in the relevant statutory provisions shall operate so as to afford an
employer a defence in any criminal proceedings for a contravention of those
provisions by reason of any act or default of-
(a) an employee of his, or

21 (b) a person appointed by him under regulation 7.
ACOP Employers’ liability
101 An employer is not to be afforded a defence for any contravention of

his health and safety obligations by reason of any act or default caused by
an employee or by a person appointed to give competent advice. It does
not affect employees’ duties to take reasonable care of their own health and
21 safety and that of others affected by their work activity.
Guidance 102 In practice enforcers will take account of the circumstances of each case
before deciding on the appropriateness of any enforcement action, and who this
should be taken against. Where the employer has taken reasonable steps to satisfy
him or herself of the competency of the employee or person appointed to provide
21 competent advice or services, this will be taken into account.

Health and Safety
Executive
Regulation Regulation 22 Exclusion of civil liability

(1) Breach of a duty imposed by these Regulations shall not confer a right of
action in any civil proceedings.
(2) Paragraph (1) shall not apply to any duty imposed by these Regulations on an
employer-
(a) to the extent that it relates to risk referred to in regulation 16(1) to an

employee; or
22
(b) which is contained in regulation 19.
Regulation Regulation 23 Extension outside Great Britain

(1) These Regulations shall, subject to regulation 2, apply to and in relation to the
premises and activities outside Great Britain to which sections 1 to 59 and 80 to
82 of the Health and Safety at Work etc. Act 1974 apply by virtue of the Health and
Safety at Work etc. Act 1974 (Application Outside Great Britain) Order 1995(a) as
they apply within Great Britain.
(2) For the purposes of Part I of the 1974 Act, the meaning of “at work” shall be
extended so that an employee or a self-employed person shall be treated as being
at work throughout the time that he is present at the premises to and in relation to
which these Regulations apply by virtue of paragraph (1); and, in that connection,
these Regulations shall have effect subject to the extension effected by this
paragraph.
23 (a)
S.I. 1995/263.
Guidance 103 The 1989 Order has been replaced by the Health and Safety at Work etc
Act 1974 (Application outside Great Britain) Order 1995. This Order applies the
Act to offshore installations, wells, pipelines and pipeline works, and to connected
activities within the territorial waters of Great Britain or in designated areas of the
United Kingdom Continental Shelf, plus certain other activities within territorial
waters. Regulation 23(1) applies the Management of Health and Safety at Work
Regulations to these places and activities. Regulation 23(2) ensures that workers
23 are protected even while off duty offshore.
Regulation Regulation 24 Amendment of the Health and Safety

(First-Aid)Regulations 1981
Regulation 6 of the Health and Safety (First-Aid) Regulations 1981(a) is hereby
revoked.
24 (a)
S.I. 1981/917; amended by S.I. 1989/1671.
Guidance 24 104 Regulation 24 revokes the Health and Safety Executive’s powers to grant
exemptions from the Health and Safety (First-Aid) Regulations 1981.

Health and Safety
Executive
Regulation Regulation 25 Amendment of the Offshore

Installations and Pipeline Works (First-Aid)
Regulations 1989
(1) The Offshore Installations and Pipeline Works (First-Aid) Regulations 1989(a)
shall be amended in accordance with the following provisions of this regulation.
(2) In regulation 7(1) for the words “from all or any of the requirements of these
Regulations”, there shall be substituted the words “from regulation 5(1)(b) and (c)
and (2)(a) of these Regulations”.
(3) After regulation 7(2) the following paragraph shall be added-
“(3) An exemption granted under paragraph (1) above from the requirements in
regulation 5(2)(a) of these Regulations shall be subject to the condition that a
person provided under regulation 5(1)(a) of these Regulations shall have undergone
adequate training”.
25 (a)
S.I. 1989/1671; amended by S.I. 1993/1823, and S.I. 1995/738.
105 Regulation 25 limits the scope of the exemptions that can be granted by the
Guidance
Health and Safety Executive to those specified in regulations 5(1)(b)(c) and (2)(a) of
the Offshore Installations and Pipeline Works (First Aid) Regulations 1989. It also
requires that where an exemption is granted the person provided under regulation
25 5(1)(a) shall have undergone adequate training.
Regulation Regulation 26 Amendment of the Mines

Miscellaneous Health and Safety Provisions
Regulations 1995
(1) The Mines Miscellaneous Health and Safety Provisions Regulations 199528
shall be amended in accordance with the following provisions of this regulation.
(2) Paragraph (2)(b) of regulation 4 shall be deleted.
(3) After paragraph (4) of regulation 4 there shall be added the following
paragraph-
“ (5) In relation to fire, the health and safety document prepared pursuant to
paragraph (1) shall-
(a) include a fire protection plan detailing the likely sources of fire, and the
precautions to be taken to protect against, to detect and combat the
outbreak and spread of fire; and
(b) in respect of every part of the mine other than any building on the
surface of that mine-
(i) include the designation of persons to implement the plan, ensuring

that the number of such persons, their training and the equipment
available to them is adequate, taking into account the size of, and
the specific hazards involved in the mine concerned; and
(ii) include the arrangements for any necessary contacts with external
emergency services, particularly as regards rescue work and fire-
26 fighting; and

Health and Safety
Executive
Regulation (iii) be adapted to the nature of the activities carried on at that mine,
the size of the mine and take account of the persons other than
employees who may be present”.
26 (a)
S.I. 1995/2005.
106 Regulation 26 introduces a new paragraph into regulation 4 of the Mines

Guidance
Miscellaneous Health and Safety Provisions Regulations 1995. This requires that
a fire protection plan be included in all cases in the health and safety document
required by these Regulations. In all parts of the mine other than buildings on the
surface, the mine owner is required to designate in the document those who are to
implement the plan and include the arrangements for the necessary contacts with
26 external services, especially rescue work and fire-fighting.
Regulation Regulation 27 Amendment of the Construction

(Health, Safety and Welfare) Regulations 1996
(1) The Construction (Health, Safety and Welfare) Regulations 1996(a) shall be
amended in accordance with the following provision of this regulation.
(2) Paragraph (2) of regulation 20 shall be deleted and the following substituted -
“ (2) Without prejudice to the generality of paragraph (1), arrangements

prepared pursuant to that paragraph shall -
(a) have regard to those matters set out in paragraph (4) of regulation 19;
(b) designate an adequate number of persons who will implement the
arrangements; and
(c) include any necessary contacts with external emergency services,
particularly as regards rescue work and fire-fighting.”.
27 (a)
S.I. 1996/1592.
Guidance 107 This regulation amends regulation 20 of the Construction (Health, Safety
and Welfare) Regulations 1996, so that arrangements for dealing with foreseeable
emergencies on construction sites include designating people to implement the
arrangements and arranging necessary contacts with external services, especially
27 rescue work and fire-fighting.
Regulation Regulation 28 Regulations to have effect as health

and safety regulations
Subject to regulation 9 of the Fire Precautions (Workplace) Regulations 1997(a),
these Regulations shall, to the extent that they would not otherwise do so, have
effect as if they were health and safety regulations within the meaning of Part I of
the Health and Safety at Work etc. Act 1974.
28 (a)
S.I. 1997/1840; amended by S.I. 1999/1877.

Health and Safety
Executive
Regulation Regulation 29 Revocations and consequential

amendments
(1) The Management of Health and Safety at Work Regulations 1992(a), the
Management of Health and Safety at Work (Amendment) Regulations 1994(b),
the Health and Safety (Young Persons) Regulations 1997(c) and Part III of the Fire
Precautions (Workplace) Regulations 1997 are hereby revoked.
(2) The instruments specified in column 1 of Schedule 2 shall be amended in

accordance with the corresponding provisions in column 3 of that Schedule.
(a)
S.I. 1992/2051; amended by S.I. 1994/2865; S.I. 1997/135, and S.I. 1997/1840.
(b)
S.I. 1994/2865.
29 (c)
S.I. 1997/135.
Regulation Regulation 30 Transitional provision

The substitution of provisions in these Regulations for provisions of the
Management of Health and Safety at Work Regulations 1992 shall not affect the
continuity of the law; and accordingly anything done under or for the purposes of
such provision of the 1992 Regulations shall have effect as if done under or for the
30
purposes of any corresponding provision of these Regulations.

Health and Safety
Executive
Schedule Schedule 1 General principles of prevention

Regulation 4
(This Schedule specifies the general principles of prevention set out in Article 6(2) of
Council Directive 89/391/EEC) 34
(a) avoiding risks;

(b) evaluating the risks which cannot be avoided;
(c) combating the risks at source;
(d) adapting the work to the individual, especially as regards the design of
workplaces, the choice of work equipment and the choice of working
and production methods, with a view, in particular, to alleviating
monotonous work and work at a predetermined work-rate and to
reducing their effect on health;
(e) adapting to technical progress;
(f) replacing the dangerous by the non-dangerous or the less dangerous;
(g) developing a coherent overall prevention policy which covers technology,
organisation of work, working conditions, social relationships and the
influence of factors relating to the working environment;
(h) giving collective protective measures priority over individual protective
measures; and
(i) giving appropriate instructions to employees.
1 34
OJ No. L183, 29.6.89, p.1.

Health and Safety
Executive
Schedule Schedule 2 Consequential Amendments

Regulation 29
Column 1 Column 2 Column 3

Description of Instrument References Extent of Modiﬁcation
The Safety S.I. 1977/500; In regulation 4A(1)(b)

Representatives and amended by for “regulations 6(1)
Safety Committees S.I. 1992/2051; and 7(1)(b) of the
Regulations 1977 S.I. 1996/1513; Management of Health
S.I. 1997/1840; and Safety at Work
S.I. 1999/860 Regulations 1992”,
and by section 1(1) there shall be
and (2) of the substituted “regulations
Employment Rights 7(1) and 8(1)(b) of the
(Dispute Resolution) Management of Health
Act 1998. and Safety at Work
Regulations 1999;”.
The Offshore S.I. 1989/971; In regulation 23(4)

Installations amended by for “regulation 6(1) of
(Safety Representatives S.I. 1992/2885; the Management of
and Safety Committees) S.I. 1993/1823; Health and Safety at
Regulations 1989 S.I. 1995/738; Work Regulations
S.I. 1995/743; and 1992”, there shall be
S.I. 1995/3163. substituted “regulation
7(1) of the
Management of Health
and Safety at Work
Regulations 1999”.
The Railways (Safety S.I. 1994/237; In paragraph 6 of

Case) Regulations 1994 amended by Schedule 1 for
S.I. 1996/1592. “regulation 3 of the
and Safety at Work
Regulations 1992 and
particulars of the
arrangements he has
made pursuant to
regulation 4(1)
thereof.”, there shall be
substituted “regulation
3 of the Management
of Health and Safety at
Work Regulations 1999
and particulars of the
arrangements he has
made in accordance
with regulation 5(1)
thereof.”.
The Suspension from S.I. 1994/2930. In article 1(2)(b) for

Work (on Maternity ““the 1992 Regulations”
Grounds) Order 1994* means the Management
2 Work

Health and Safety
Executive
Schedule Column 1 Column 2 Column 3

Regulations 1992”,
there shall be
substituted, ““the 1999
Regulations” means the
and Safety at Work
Regulations 1999”; and
In article 2(b) for

“regulation 13B of the
1992 regulations”,
there shall be
17 of the 1999
Regulations”.
The Construction S.I. 1994/3140; In regulation 16(1)(a)

(Design amended by for “regulation 9 of the
and Management) S.I. 1996/1592. Management of Health
Regulations 1994 and Safety at Work
there shall be
11 of the Management
Work Regulations
1999;”;
In regulation 17(2)(a)
for “regulation 8 of the
and Safety at Work
Regulations 1992;”,
there shall be
10 of the Management
Work Regulations
1999;”;
In regulation 17(2)(b)
for “regulation 11(2)(b)
of the Management of
Health and Safety at
Work Regulations
1992”, there shall be
13(2)(b) of the
and Safety at Work
2
for “the Management

Health and Safety
Executive


Work Regulations
substituted “the
and Safety at Work
Regulations 1999”.
The Escape and Rescue S.I. 1995/2870. In regulation 2(1) for

from Mines Regulations ““the 1992 Regulations”
1995 means the Management
Work Regulations
substituted ““the 1999
and Safety at Work
In regulation 4(2) for

“regulation 3 of the
1992 Regulations,”
there shall be
3 of the 1999
Regulations.”.
The Mines S.I. 1995/2005. In regulation 2(1) for

Miscellaneous ““the 1992 regulations”
Health and Safety means the Management
Provisions Regulations of Health and Safety at
1995 Work Regulations
1992;”, there shall be
and Safety at Work
Regulations 1999;” and
In regulation 4(1)(a) for

1992 Regulations;”,
there shall be
3 of the 1999
Regulations;”.
The Quarries S.I. 1995/2036. In regulation 2(1) for

Miscellaneous ““the 1992 Regulations”
Health and Safety means the Management
Provisions of Health and Safety at
Regulations 1995 Work Regulations
2 substituted ““the 1999

Health and Safety
Executive


and Safety at Work
Regulations 1999.” and

1992 Regulations;”,
there shall be
3 of the 1999
Regulations;”.
The Borehole Sites and S.I. 1995/2038. In regulation 7(5) for

Operations Regulations ““the Management
1995 Regulations” means
the Management of
Work Regulations
substituted ““the
Management
and Safety at Work
Regulations 1999.”.
The Gas Safety S.I. 1996/551 In paragraph 5 of

(Management) Schedule 1 for
Regulations “regulation 3 of the
1996 Management of Health
and Safety at Work
Regulations 1992, and
particulars of the
arrangements he has
made in accordance
thereof.”, there shall be
3 of the Management of
Work Regulations
1999, and particulars of
the arrangements he
has made in accordance
thereof”.
The Health and Safety S.I. 1996/341. In regulation 4(1) for

(Safety Signs and “paragraph (1) of
Signals) regulation 3 of the
Regulations 1996 Management of Health
and Safety at Work
2 there shall be

Health and Safety
Executive

substituted “paragraph
(1) of regulation 3 of
the Management of
Work Regulations
1999”.
The Health and Safety S.I. 1996/1513. In regulation 3(b) for

(Consultation with “regulations 6(1) and
Employees) Regulations 7(1)(b) of the
1996 Management of Health
and Safety at Work
there shall be
substituted “regulations
7(1) and 8(1)(b) of
the Management of
Work Regulations
1999”.
The Fire Precautions S.I. 1997/1840; In regulation 2(1) for

(Workplace) Regulations amended by ““the 1992 Management
1997 S.I. 1999/1877. Regulations” means the
and Safety at Work
there shall be
Management
and Safety at Work
Regulations 1999”;
In regulation 2(1) in
the deﬁnitions of
“employee” and
“employer” for “1992”
substitute “1999”; and
for the words
“regulations 1 to 4, 6 to
10 and 11(2) and (3) of
the 1992 Management
Regulations (as
amended by Part III of
these Regulations)”,
there shall be
substituted “regulations
1 to 5, 7 to 12 and
13(2) and (3) of the
1999 Management
2 Regulations”.

Health and Safety
Executive

The Control of Lead at S.I. 1998/543. In regulation 5 for

Work Regulations 1998 “regulation 3 of the
and Safety at Work
there shall be
Work Regulations
1999”.
The Working Time S.I. 1998/1833. In regulation 6(8)(b)

Regulations 1998* for “regulation 3 of the
and Safety at Work
there shall be
Work Regulations
1999”.
The Quarries S.I. 1999/2024. In regulation 2(1) for
Regulations ““the 1992 Regulations”
1999 means the Management
Work Regulations
and Safety at Work
Regulations 1999;”.

“paragraphs (1) to (3c)
of regulation 3 of the
1992 Regulations;”
there shall be
Work Regulations
1999”.
In regulation 43 for
1992 regulations” there
shall be substituted
“regulation 6 of the 1999
Regulations”.
Note
2 The Regulations marked with an asterisk are referred to in the Preamble to these Regulations

Health and Safety
Executive
References and further reading

A guide to the Health and Safety (Consultation with Employees) Regulations 1996.
Guidance on Regulations L95 HSE Books 1996 ISBN 0 7176 1234 1
BS 8800:2004 Occupational health and safety management systems. Guide British

Standards Institution 2004 ISBN 0 580 43987 9
Charity and voluntary workers: A guide to health and safety at work HSG192 HSE
Books 1999 ISBN 0 7176 2424 2
Reducing risks, protecting people Discussion Document DDE11 HSE 1999 Web
only version available at http://www.hse.gov.uk/consult/disdocs/dde11.htm
EC Directive on Pregnant Workers (92/85/EEC) Official Journal of the European

Communities 28 November 1992, 35, L348, pp.1-7
EC Directive on the protection of young people at work (94/33/EEC) Official Journal

of the European Communities 20 August 1994, 37, L216, pp.12-20
Fire safety: An employers guide Guidance Booklet HSE Books 1999

ISBN 0 11 341229 0
Five steps to risk assessment Leaflet INDG163(rev1) HSE Books 1998 (single copy
free or priced packs of 10 ISBN 0 7176 1565 0)
Health surveillance at work HSG61 (Second edition) HSE Books 1999

ISBN 0 7176 1705 X
Homeworking: Guidance for employers and employees on health and safety

Leaflet INDG226 HSE Books 1996 (single copy free or priced packs of 15
ISBN 0 7176 1204 X)
New and expectant mothers at work: A guide for employers HSG122 (Second
edition) HSE Books 2002 ISBN 0 7176 2583 4
Safety representatives and safety committees L87 (Third edition) HSE Books 1996
ISBN 0 7176 1220 1
Need help on health and safety? Guidance for employers on when and how to get
advice on health and safety Leaflet INDG322 HSE Books 2000 (single copy free or
priced packs of 10 ISBN 0 7176 1790 4)
Successful health and safety management HSG65 (Second edition) HSE Books
1997 ISBN 0 7176 1276 7
Suspension from work on medical or maternity grounds under health and safety
regulations Booklet URN 01/690 Department of Trade and Industry 1998
First aid at work. The Health and Safety (First Aid) Regulations 1981. Approved
Code of Practice and guidance L74 HSE Books 1997 ISBN 0 7176 1050 0
Understanding health surveillance at work: An introduction for employers

Leaflet INDG304 HSE Books 1999 (single copy free or priced packs of 15 ISBN 0
7176 1712 2)

Health and Safety
Executive
Young people at work: A guide for employers HSG165 (Second edition) HSE Books
2000 ISBN 0 7176 1889 7
British Standards can be obtained in PDF or hard copy formats from the BSI online
shop: www.bsigroup.com/Shop or by contacting BSI Customer Services for hard
copies only Tel: 020 8996 9001 e-mail: [email protected].

Health and Safety
Executive
Select index
Children at work Paragraph: 66
Cleaning and Paragraphs: 18(c), 21 & 79

maintenance workers
Disabled staff Paragraphs: 21 & 64
Domestic services: Paragraph: 8
Fire Paragraphs: 2, 12, 18(h), 50, 53, 70 & 106
Homeworkers Paragraphs: 18(b), 21 & 84
Language difficulties Paragraph: 64
Lone workers Paragraph: 21
Mobile workers Paragraphs: 18(b) and 84
Monotonous work Paragraph: 30(d)
Night workers Paragraph: 21
Police and emergency Paragraphs: 53, 55, 61 and 107

services
The public Paragraphs: 18 (b) and (g) and 21
Shipping and Docks Paragraph: 7
Volunteers Paragraph: 18(b)
Those who are self-employed for tax or national insurance purposes - Paragraphs
5 and 18(b)

Health and Safety
Executive
Further information
HSE priced and free publications can be viewed online or ordered from
www.hse.gov.uk or contact HSE Books, PO Box 1999, Sudbury, Suffolk
CO10 2WA Tel: 01787 881165 Fax: 01787 313995. HSE priced publications
are also available from bookshops.
For information about health and safety ring HSE’s Infoline Tel: 0845 345 0055
Fax: 0845 408 9566 Textphone: 0845 408 9577 e-mail: [email protected] or
write to HSE Information Services, Caerphilly Business Park, Caerphilly CF83 3GG.
The Stationery Office publications are available from The Stationery Office,
PO Box 29, Norwich NR3 1GN Tel: 0870 600 5522 Fax: 0870 600 5533 e-mail:
[email protected] Website: www.tso.co.uk (They are also available
from bookshops.) Statutory Instruments can be viewed free of charge at
www.opsi.gov.uk.
Published by HSE 09/09 Page 54 of 54

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Health and Safety

This is a free-to-download, web-friendly version of L21 (second edition,

ISBN 978 0 7176 2488 1

HSE Books Page 1 of 54

© Crown copyright 2000

First published 1992

ISBN 978 0 7176 2488 1

All rights reserved. No part of this publication may be reproduced, stored in

Applications for reproduction should be made in writing to:

Approved Code of Practice and guidance

Regulation 1 Citation, commencement and interpretation 9

Regulation 2 Disapplication of these Regulations 10

Regulation 3 Risk assessment 10

Regulation 4 Principles of prevention to be applied 17

Regulation 5 Health and safety arrangements 18

Regulation 6 Health surveillance 20

Regulation 7 Health and safety assistance 21

Regulation 8 Procedures for serious and imminent danger and

Regulation 9 Contacts with external services 24

Regulation 10 Information for employees 26

Regulation 11 Co-operation and co-ordination 28

Regulation 12 Persons working in host employers’ or

Regulation 13 Capabilities and training 31

Regulation 14 Employees’ duties 33

Management of health and safety at work Page 3 of 54

Regulation 15 Temporary workers 34

Regulation 16 Risk assessment in respect of new or expectant mothers 35

Regulation 17 Certificate from a registered medical practitioner in respect of

Regulation 18 Notification by new or expectant mothers 36

Regulation 19 Protection of young persons 37

Regulation 20 Exemption certificates 39

Regulation 21 Provisions as to liability 39

Regulation 22 Exclusion of civil liability 40

Regulation 23 Extension outside Great Britain 40

Regulation 24 Amendment of the Health and Safety (First-Aid) Regulations

Regulation 25 Amendment of the Offshore Installations and Pipeline Works

Regulation 26 Amendment of the Mines Miscellaneous Health and Safety

Regulation 27 Amendment of the Construction (Health, Safety and

Regulation 28 Regulations to have effect as health and safety

Regulation 29 Revocations and consequential amendments 43

Regulation 30 Transitional provision 43

Schedule 1 General principles of prevention 44

Schedule 2 Consequential amendments 45

References and further reading 51

Management of health and safety at work Page 4 of 54

Regulation 22 now reads:

Restriction of civil liability for breach of statutory duty

Breach of a duty imposed on an employer by these Regulations shall not confer a

The amendment to Regulation 22 also alters other Regulations in this Approved

For Regulation 2 there shall be substituted the following regulation:

Disapplication of these Regulations

(1) These Regulations shall not apply to or in relation to the master or

(3) In this regulation –

“normal ship-board activities” include –

(a) the construction, reconstruction on conversion of a ship outside, but not

Regulation 19 (4) shall be omitted.

Management of health and safety at work Page 5 of 54

Management of health and safety at work Page 6 of 54

2 The Fire Precautions (Workplace) Regulations 1997, as amended by the Fire

3 The duties of the Management Regulations overlap with other regulations