1.3 Management of Health and Safety at Work Regulations 1999 & HSG65 (Plan-Do-Check-Act)

Management of Health and Safety at Work Regulations 1999 (MHSWR)

While HASAWA 1974 sets out broad legal responsibilities, the Management of Health and Safety at Work Regulations 1999 (MHSWR) explicitates how employers must manage health and safety day-to-day. MHSWR mandates a proactive, systematic risk management approach across all construction projects.

Regulation 3: Statutory Risk Assessment

Regulation 3 requires every employer and self-employed person to carry out a suitable and sufficient assessment of the risks to the health and safety of their employees and non-employees (subcontractors, site visitors, members of the public) arising out of or in connection with their work.

Key statutory requirements under Regulation 3 include:

• If an employer employs 5 or more employees, the significant findings of the risk assessment must be recorded in writing.
• Assessments must identify hazards, evaluate risks, determine appropriate control measures, and identify groups of workers specifically at risk.
• Assessments must be reviewed and revised if there is reason to suspect they are no longer valid, or if significant changes occur in work procedures, plant, or site conditions.

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Regulation 4 & Schedule 1: General Principles of Prevention

Regulation 4 mandates that where an employer implements preventive and protective measures, they must do so on the basis of the General Principles of Prevention specified in Schedule 1 (derived from European Council Directive 89/391/EEC):

1. Avoid risks (e.g., design out hazardous work at height or pre-fabricate components off-site).
2. Evaluate risks which cannot be avoided (e.g., conduct formal risk assessments).
3. Combat risks at source (e.g., control silica dust using local exhaust ventilation or water suppression directly on cut-off saws).
4. Adapt work to the individual (e.g., design workstations, choose ergonomic tools, and adjust working speeds).
5. Adapt to technical progress (e.g., substitute manual lifting with modern telehandlers or vacuum lifters).
6. Replace the dangerous by the non-dangerous or less dangerous (e.g., replace solvent-based paints with water-based coatings).
7. Develop a coherent overall prevention policy (e.g., integrate technology, work organization, working conditions, and social relationships).
8. Give collective protective measures priority over individual protective measures (e.g., install scaffold guardrails or safety netting rather than relying solely on personal fall arrest harnesses).
9. Give appropriate instructions to employees (e.g., deliver site inductions, clear method statements, and daily tooltalks).

The Hierarchy of Risk Controls (ERIC PD Mnemonic)

In construction management, the Principles of Prevention are practically applied through the Hierarchy of Risk Controls:

• Eliminate the hazard.
• Reduce / Substitute the hazard.
• Isolate the hazard (enclosures, barrier fencing).
• Control engineering measures (LEV, guards).
• Protect individuals (Personal Protective Equipment - PPE as last resort).
• Discipline / Administration (signage, permits to work, training).

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Key Operational Regulations under MHSWR 1999

• Regulation 5 (Health and Safety Arrangements): Employers must make arrangements for the effective planning, organization, control, monitoring, and review of preventive and protective measures. Written arrangements are mandatory for employers with 5+ staff.
• Regulation 7 (Competent Persons): Employers must appoint one or more competent persons to assist them in undertaking measures to comply with statutory health and safety duties. Competence is legally defined as a combination of training, knowledge, experience (TKE) and other qualities.
• Regulation 10 (Information for Employees): Employers must provide employees with comprehensible and relevant information on workplace risks, preventative measures, emergency procedures, and identities of appointed competent persons.
• Regulation 13 (Capabilities and Training): Employers must take into account employees' capabilities regarding health and safety when allocating tasks. Training must be provided on recruitment, on exposure to new/increased risks, or when work equipment/technology changes.
• Regulation 19 (Young Persons & Expectant Mothers): Employers must carry out specific risk assessments for young persons (under 18 years of age) taking into account their lack of experience, absence of awareness of existing or potential risks, and developmental immaturity. Specific assessments are also required for new and expectant mothers.

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The HSG65 Framework: Managing for Health and Safety

HSG65 is the Health and Safety Executive's core guidance document outlining a practical business management approach to safety. Structured around the Plan-Do-Check-Act (PDCA) methodology, HSG65 integrates safety management directly into core operational construction management.

   +-------------------------------------------------------------+
   |                          PLAN                               |
   |  - Set H&S Policy & Intent                                  |
   |  - Plan for Implementation & Resources                      |
   +------------------------------+------------------------------+
                                  |
                                  v
   +------------------------------+------------------------------+
   |                           DO                                |
   |  - Risk Profiling & Control Measures                        |
   |  - Organize, Train & Communicate (Competence)               |
   |  - Implement Safe Systems of Work                           |
   +------------------------------+------------------------------+
                                  |
                                  v
   +------------------------------+------------------------------+
   |                         CHECK                               |
   |  - Active Monitoring (Inspections, Plant Audits)            |
   |  - Reactive Monitoring (Accident/Near-Miss Investigations)   |
   +------------------------------+------------------------------+
                                  |
                                  v
   +------------------------------+------------------------------+
   |                          ACT                                |
   |  - Management Review & Auditing                             |
   |  - Learn Lessons & Revise Procedures                        |
   +-------------------------------------------------------------+

1. PLAN

• Establish an effective health and safety policy.
• Plan for implementation by setting measurable targets and allocating necessary resources.
• Identify legal requirements and design safe systems of work before site operations commence.

2. DO

• Risk Profiling: Identify hazards, assess risks, and decide on appropriate control measures using the hierarchy of controls.
• Organizing: Communicate effectively, promote worker involvement, ensure competence, and provide adequate supervision.
• Implementing: Deliver site-specific inductions, enforce safety rules, and implement Safe Systems of Work (SSoW) and Method Statements (RAMS).

3. CHECK

• Active (Proactive) Monitoring: Checking that safety standards, risk controls, and site rules are being correctly implemented before an accident occurs. Examples include routine site safety inspections, scaffold inspections every 7 days, daily plant checks, health surveillance, and safety audits.
• Reactive Monitoring: Measuring performance by investigating incidents after they occur. Examples include accident investigations, dangerous occurrence reviews, near-miss logging, and analyzing ill-health data.

4. ACT

• Review performance against targets through comprehensive management reviews and formal safety audits.
• Investigate root causes of non-compliance or incidents and implement corrective action plans.
• Revise risk assessments, policies, and operational arrangements to achieve continuous improvement.

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Active vs. Reactive Performance Monitoring