Forum of Private Business
Forum of Private Business Health and Safety Guide First edition published
1997 22nd edition, April 2019
Forum of Private Business Ruskin Chambers Drury Lane Knutsford Cheshire WA16 6HA Telephone Email Website
01565 626001 firstname.lastname@example.org www.fpb.org
ÂŠâ€‰Forum of Private Business 2019
All rights reserved other than templates. No part of this publication may be reproduced in any material form, whether by photocopying, scanning, downloading onto computer or otherwise, without the written permission of the copyright owners, except in accordance with the provisions of the Copyright, Designs and Patents Act 1988. Subscribers to the Guide have paid for an update and information service, which is non-transferable. The document itself remains the property of the Forum of Private Business. Any unauthorised or restricted act in relation to this publication may result in civil proceedings and/or criminal prosecution.
Disclaimer Each business is responsible for ensuring its own compliance with UK health and safety regulations. Whilst the Forum has taken every possible care to ensure the information contained in this guide is accurate at the time of going to press, the publishers cannot accept any liability for errors or omissions, however caused.
Health and Safety Guide 2019
Health and Safety Guide – twenty-second edition
Health and safety management
About the guide
Section 1a - Health and safety management systems
3a Directors’ duties
3b Directors’ competencies
Enforcing authority inspections
Health and safety policy
Accident and emergency procedures
Accident and incident recording and reporting
10 Incident analysis
11 Young people
12 New and expectant mothers
13 Safety representatives/representatives of employee safety
14 Health and safety poster/leaflet
15 Health and safety training
16 Working time
18 Safety signs and signals
19 Workplace inspections
20 Working at height
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Contents 21 Lone working
22 Personal protective equipment (PPE)
23 Safe systems of work (SSoW)
24 Violence, bullying and harassment
25 Traffic management
26 Vehicle safety
27 Adverse weather
28 Fire precautions and arrangements
29 Electrical safety
30 Display screen equipment (DSE)
31 Work equipment (WE)
Section 1b - Occupational health and safety systems
First aiders and appointed persons
First aid provisions
First aid - mental health
Section 2 - Health and safety requirements for specific hazards
Working on othersâ€™ premises
Hazardous substances (COSHH)
Respiratory protective equipment (RPE)
Health assessment monitoring
Asbestos-containing materials (ACMs)
Health and Safety Guide 2019 iii
Contents 11 Lead
13 Hot work
14 Lifting equipment (LE) and lifting operations
15 Pressurised equipment
16 Oil and gas equipment
17 Confined spaces
18 Equality and diversity
19 Waste management
Section 3 - Health and Safety requirements for specific industries
Building, construction and installation
a) Construction (Design and Management) (CDM)
b) Construction health, safety and welfare
d) Confined spaces
Transport, haulage and distribution
Motor vehicle repair
Property and facilities management
10 Agriculture and rural businesses
13 License trade/brewers/distillers
14 Funeral directors
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Health and Safety Guide 22nd edition HSE’s ‘Helping Great Britain Work Well’ strategy states that: “Successful organisations understand that sensible and proportionate risk management is integral to delivering their business. This approach supports growth, enables innovation and protects an organisation’s most vital asset, its people. Positive outcomes can include reduced sickness absence, lower costs and a good reputation.”* Health and safety legislation applies to all businesses, no matter what size or sector you are in. Its importance cannot be overestimated as failing to comply can lead to prosecution with fines averaging £126,000** per case. As an employer, you are responsible for managing health and safety in your business and you need to ensure you are providing a safe working environment for employees, contractors, visitors and anyone else who might be affected by your operations. This new edition of the Forum’s Health and Safety Guide is a vital business resource to give you the peace of mind that you are fully up to speed when it comes to managing your legal health and safety duties. The simple guidance in checklist format will help you identify where you are already legally compliant and point to any action you need to take. This guide forms part of the Forum’s comprehensive support package to help members comply with legislation. We can also offer advice on all aspects of health and safety and offer audits, policies, assessments, procedures, inspections and training. Simply call our friendly helpline team on 01565 626001 to find out more.
*www.hse.gov.uk/strategy **statistics courtesy of HSE www.hse.gov.uk/statistics/enforcement.pdf?pdf=enforcement
Health and Safety Guide 2019 v
Introduction There are many reasons why companies should establish an effective health and safety management system. The first reason should always be to ensure that risks are sensibly and proportionately controlled so as to prevent accidents and injuries. Proportionate risk management essentially means that your effort to control an identified risk presented by your operations should be proportionate to the level of risk presented. If your operations are low risk then you need not devote an excessive volume of time, effort and resources to controlling those risks. However, you should not assume that a small business will present low risks. It is often assumed that the Health and Safety Executive (HSE) is responsible for all of the compliance pressures that businesses may feel themselves under. This is not always the case. The motivators for businesses to demonstrate that they are managing and developing their health and safety management systems beyond what is required by legislation and come from many sources including: •
Health and Safety Executive (HSE) – which is responsible for the enforcement of workplace health and safety legislation.
Insurance companies – keen to see companies manage health and safety so that their own financial risk is limited. This is reflected in the size of the premiums they require.
Solicitors – who may act on behalf of injured parties claiming that a company has been negligent with respect to civil law.
Fire authorities – which assess the suitability of and enforce fire safety measures.
Local authorities – which are, in general, the main enforcing authority for retail, wholesale distribution and warehousing, hotel and catering premises, offices and the consumer/leisure industries.
Equality and Human Rights Commission – which is the enforcing authority for the Equality Act 2006 with respect to equality and diversity.
Pre-Qualification Schemes – such as the Safety Scheme In Procurement (SSIP). This is an umbrella organisation that tries to facilitate mutual recognition between many competing procurement schemes in the UK, e.g. CHAS, SMAS, Constructionline, etc.
Environment Agency – which is the main enforcement body responsible for UK environmental legislation.
Police – who are responsible for investigating workplace fatalities (in conjunction with HSE) as well as other areas of law such as substance misuse in the workplace.
Commercial clients – who, as part of their own due diligence and contractor control procedures, wish to see evidence of effective health and safety management for their supply chains.
This is a long (but not exhaustive) list of motivators and, while it does not always have its roots in legal compliance, companies will nonetheless find themselves having to address their many requirements in order to operate their businesses successfully.
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The Forum of Private Business’s Health and Safety Guide is for you, the proprietor, partner or managing director, to help make sure you are aware of the many requirements for compliance with health and safety law, as well as all the other motivators that businesses need to take account of when allocating resources to health and safety management. The Guide has been produced to assist companies in addressing the many health and safety issues that they face. It is a guide only and does not replace your responsibility as an employer for the management of health and safety in your organisation. In following the Guide, you will need to provide additional documents to demonstrate that you can comply with the law. The Guide, and the information in it, does not constitute having access to competent health and safety advice, as is a strict legal requirement – the Forum of Private Business does not act directly as your health and safety advisors. It is to be used as a first step to establishing a successful health and safety management system. In addressing each of the subject areas within it, you may find that you need additional help and support. This can be obtained by calling the Forum of Private Business’s member helpline in the first instance on 01565 626001. The Management of Health and Safety at Work Regulations 1999 require that employers appoint one or more ‘competent persons’ to assist them in undertaking the measures needed to comply with legal requirements and prohibitions. The flowchart on page 34 will help you in appointing a competent person. Some of this assistance may come from competent individuals from inside a company. Note that this may be from more than one person. Many businesses develop in-house competence to manage their health and safety risks and do not need to use health and safety consultants. Developing in-house competence does not necessarily require formal health and safety qualifications; for low-risk businesses, following HSE guidance (such as Health and Safety Made Simple, www.hse.gov.uk/simple-health-safety) will normally be enough. Competency can be defined as: • Skills – having a specific range of skills or abilities to enable successful undertaking of the work • Knowledge – having a good working level of knowledge relevant to the proposed operation(s) • Experience – having experience of the same set of circumstances as presented by the task(s) at hand • Training – having a suitable level of training/qualifications to enable safe completion of the work. In terms of the skills mix, this may come from a single person or a team of people within an organisation, and could be supplemented by an external health and safety consultancy. However, any advice given by an external consultancy still has to be coordinated and implemented in-house. It is therefore important to address any shortcomings as far as in-house experience is concerned. This could mean a training programme so that you can start to have more ownership and hence more control over your own health and safety management. It must be noted that directors of a company (and sometimes individuals such as managers and supervisors) can be held personally liable for any health and safety failings or negligence, especially where there is a fatality.
Health and Safety Guide 2019 vii
The Management of Health and Safety at Work Regulations 1999 make it abundantly clear that, whoever you (the proprietor, partner or managing director) use as a ‘competent person’, whether employees or external consultants, it is YOU who is ultimately responsible for the management of health and safety within your business. You must understand that, while health and safety duties can be delegated as part of day-to-day operations, the ultimate responsibility can never be delegated. All of the information in this Health and Safety Guide can be used to develop safe systems of work (SSoW). These SSoW then need to be formally documented so that employees (and others) can be trained in them. In addressing these issues, you will help to ensure that your business can: • Be legally compliant
• Operate more efficiently
• Avoid criminal prosecution
• Operate more morally
• Avoid civil liability
• Reduce overheads
• Avoid high staff turnover rates
• Reduce insurance premiums
• Implement sensible risk control systems
• Demonstrate health and safety competence to clients
• Attract motivated and skilled staff • Operate more economically
viii Forum of Private Business
• Win more contracts.
Health and safety management D
Employers have a legal duty to put in place suitable arrangements to manage health and safety within their organisation. There are many different ways of managing your obligations, but the PDCA system is a fairly standard methodology.
• Identify the risk profile of the organisation.
• Planning and coordination of the policy is essential for the management system to be effective.
• Coordinate the actions of those responsible for controlling the risks. K
• An effective health and safety policy sets the strategic direction of the organisation.
• Implement a risk control system (RCS).
• Monitoring the effectiveness of the RCS is vital to measure performance. • Investigating accidents and incidents will help prevent recurrence and improve performance.
• Regular audit and review will enable confirmation that existing arrangements are still valid. • Incorporating results will allow lessons to be learnt for personnel and the organisation.
Health and Safety Guide 2019 ix
About the Guide The purpose of this Health and Safety Guide is to allow you to identify health and safety issues that are relevant to your business. Identifying which topics are relevant to your operations will help you to feel confident that your business complies with health and safety law and other business requirements. The Health and Safety at Work etc. Act 1974 places responsibility on business owners. Put simply, you have a duty of care to your employees and others who may be affected by what you do. You have duties to: • Yourself and your employees, including trainees, wherever they are working • Contractors and visitors to your business • Those affected by your work, for example neighbours or the general public • People who use the products you supply • Users of your services. The Forum of Private Business’s Health and Safety Guide 2019 is divided into three sections. Section 1 covers general health and safety topics – ALL businesses must complete this section. Section 2 identifies health and safety requirements relating to specific hazards – you should review this section to determine if any areas are applicable to your operations. Section 3 identifies further health and safety requirements for specific industries – you will only need to complete the topics that are relevant to your business (it may be that none of the topics are relevant). Each topic has a series of questions with tick boxes, designed to help ensure that you have considered the essential points. As you read through the topic, tick the boxes to show you have taken the point into consideration. The Guide will enable you to identify those areas where you need additional help in controlling the risks from your activities. If you discover serious issues while working through the Guide, they should be corrected immediately. After considering all the appropriate sections of the Guide, you are likely to have a list of areas needing further work. You should assess what you need to do and prioritise the actions. Developing your action plan and implementing it can depend on a number of factors including time, cost and resources. Your action plan should clearly identify realistic timescales for completion by named individuals. It is important that those involved can clearly see what is expected of them. Regular meetings during implementation of the plan will give individuals the chance to discuss their progress and any issues they may have. The action plan will also serve to keep everyone focused in achieving their goals. Note: Possession of this guide does not make you automatically compliant with the law or satisfy the many other motivators; it is purely a tool to aid you in the steps required to achieve a proportionate health and safety management system for your business. If you need further help, contact the Forum of Private Business’s member helpline on 01565 626001 or email email@example.com
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Approved code of practice
Exposure action value
European Economic Area
Approved Dosimetry Service
Electrical installation condition report
British Safety Industry Federation
Exposure limit value
Emergency first aid at work
Employment Medical Advisory Service
Construction (Design and Management)
First aid at work
Computer numerically controlled
Control of substances hazardous to health
Fees for intervention
Care Quality Commission
Fork lift truck
Disclosure and Barring Service
Fire risk assessment
Dangerous goods safety adviser
Full repairing and insuring lease
Driver qualification card
Food Standards Agency
Driver certificate of professional competence
General Data Protection Regulations
Display screen equipment
Hazard analysis and critical control point
Driver and Vehicle Standards Agency
Hand-arm vibration syndrome
Emergency assembly point
Highly flammable liquid
Health and Safety Guide 2019 xi
Heavy goods vehicle
Passenger carrying vehicle
High pressure water jetting
Plan Do Check Act
Personal emergency evacuation plan
International Powered Access Federation
Personal protective equipment
Public service vehicle
Local education authority
Permit to work
Local exhaust ventilation
Residual current device
Large goods vehicle
Risk control system
Liquified petroleum gas
Registration, evaluation, authorisation and restriction of chemicals
Mobile elevated work platform
Reporting of Incidences, Diseases and Dangerous Occurrences Regulations
Material safety data sheets
Minimum school-leaving age
Rollover protective structure
Overhead power lines
Radiation protection adviser
Prefabricated Access Suppliers’ and Manufacturers’ Association
Respiratory protective equipment
Portable appliance tests
Safety Schemes in Procurement
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Safe systems of work
Visual display unit
Short-term exposure limit
Vibration white finger
Telescopic materials handlers
Whole body vibration
Traffic management plan
Workplace exposure limits
Vehicle as a weapon
Waste transfer note
Health and Safety Guide 2019 xiii
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Section 1a Health and safety management systems This section covers general health and safety topics and is relevant to all businesses. Most of the topics covered in this section will be applicable to your business. As you work your way through the Guide, any ‘no’ answers should help you to identify areas that may need improvement. When you have completed all the relevant parts of Section 1a, move on to Section 1b and check whether any further topics are relevant to your business. After considering all the appropriate sections of the Guide you will have created a list of areas needing further work. You should then develop an action plan in which actions are clearly identified and assigned to named individuals, with realistic timescales set for completion. Template 33 – Health and safety guide action plan
Note: 1.4 million workers are suffering from a new or long-standing work-related illness. HSE 2018
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1. Insurances Employers’ Liability (Compulsory Insurance) Act 1969 Employers’ Liability (Compulsory Insurance) Regulations 1998 Most companies should have a certificate of employers’ liability (EL) insurance in place to a value of not less than £5 million.
Have you implemented procedures to ensure that:
You are aware of whether you qualify for an exemption? Refer to the Employers’ Liability (Compulsory Insurance) Act 1969: A Guide for Employers (HSE40) for further details. EL insurance is obtained (to a value of not less than £5 million)? A copy of your current certificate of EL insurance is displayed at each site or premises? Your employees must have access to it but it can be made available electronically if required, e.g. on an intranet site. You retain copies of certificates that have expired? Claims for diseases may be made up to 40 years after they have been identified. Your company may also require other insurances, such as: • Public liability • Building and contents • Professional indemnity/liability • Business interruption • Key person • Vehicles and equipment • Contractors’ all risk. Usually, insurance companies include these as part of a package of insurance policies for businesses. Forum insurance Comprehensive legal expenses and tax investigation insurance is included as standard in Forum membership. This includes cover for costs incurred in defending a health and safety criminal prosecution and access to an expert health and safety helpline. For more information on our business insurance, call us now on 01565 626001.
References HSE Employers’ Liability (Compulsory Insurance) Act 1969: A Guide for Employers (HSE40) www.hse.gov.uk/pubns/hse40.pdf HSE insurance website www.hse.gov.uk/simple-health-safety/get.htm
Health and Safety Guide 2019 3
2. Responsibility Health and Safety at Work etc. Act 1974 You must identify who is ultimately responsible for health and safety in your business. The proprietor, partner, managing director/board/trustees or other similar person is ultimately responsible for health and safety across all aspects of the business. Sometimes this responsibility may be shared jointly by directors or board members for example. Duties for health and safety may be delegated to a person in the organisation who is competent to perform them, but the responsibility will still remain with the formally identified person, i.e. the proprietor, partner or managing director. It is necessary that the formally identified person is identified as having ultimate responsibility for health and safety. This person must ensure that the business has access to competent health and safety advice, so that health and safety responsibilities can be suitably discharged. Where it is not economically viable to employ someone directly, then the assistance of an external consultancy can be sought. You may find that a combination of in-house and external expertise is preferable. Obtaining this advice, however, in no way reduces the responsibility of the formally identified person. Enter the details of the person who is ultimately responsible for health and safety in your workplace.
Company Company address
Postcode Telephone Email Person responsible for health and safety Position
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3a. Directors’ duties Health and Safety at Work etc. Act 1974 Corporate Manslaughter and Corporate Homicide Act 2007 Company Directors Disqualification Act 1986 Companies and directors (and those ultimately responsible for health and safety – the ‘controlling minds’) can be prosecuted for failing to comply with health and safety legislation. This can lead to large fines and penalties and also imprisonment in serious cases. Disqualification orders relating to health and safety failures in the management of companies may also be raised. These are legal sanctions against directors convicted of health and safety offences. The maximum period of disqualification is 15 years, except where the order is made by a court of summary jurisdiction, in which case the maximum period is 5 years. Where offences and liabilities are deemed to be corporate then penalties can include unlimited fines, remedial orders and publicity orders. A remedial order will require a company or organisation to take steps to remedy any management failure that led to a death. The court can also impose a publicity order requiring the company or organisation to publicise that it has been convicted of the offence.
Are you confident that suitable arrangements are in place to:
Plan, deliver, monitor and review a comprehensive health and safety management system? Ensure the company board, directors, partners, proprietors, etc. lead by example and show a strong commitment to health and safety? Ensure all those involved in the management of health and safety are suitably aware of their duties and responsibilities and that they are competent? This includes the director and other key decision-makers. Ensure you have access to competent health and safety advice? Ensure all staff are sufficiently trained and competent in their health and safety responsibilities? Ensure your workforce is consulted properly on health and safety matters, and that their concerns are reaching the appropriate level within your organisation? Undertake suitable and sufficient risk assessments at all levels in your organisation? Ensure that monitoring of what is happening on a day-to-day basis is undertaken? Ensure you have at least an annual board meeting where health and safety is discussed and appropriate targets and budgets are set to help manage and improve health and safety?
References HSE Leading Health and Safety at Work microsite www.hse.gov.uk/leadership HSE Corporate Manslaughter microsite www.hse.gov.uk/corpmanslaughter
Health and Safety Guide 2019 5
3b. Directors’ competencies Health and Safety at Work etc. Act 1974 Corporate Manslaughter and Corporate Homicide Act 2007 Company Directors Disqualification Act 1986 Directors (and boards and trustees) make decisions at the top level of a company that can affect health and safety outcomes for all employees and others who may be affected by the company’s undertakings. It is therefore important that directors and those responsible for setting a company’s agenda fully understand the impact of the decision-making process that occurs behind closed doors. This understanding and competency may need to be demonstrated if things go wrong. A formal training course can help to demonstrate this compliance and will also send out a message to staff that health and safety is being taken seriously at the highest level.
If you are a director, board member or trustee, can you demonstrate that you are aware of:
The human costs of decisions made in the boardroom? The economic implications of allowing unsafe systems of work? The importance of allocating suitable resources and budgets to ensure safe systems of work? Your personal and the company’s legal responsibilities with regards to health and safety? The importance of incorporating the risk assessment process at the core of company decision-making? The need to have access to competent health and safety assistance and, where someone is appointed, that they are given suitable resources to assist you? This may include appointing an internal coordinator to coordinate and implement the advice given. The importance of incorporating a proactive health and safety culture within the organisation? The importance of developing a health and safety strategy? The need to identify training requirements at every level within the company? The importance of monitoring and reviewing health and safety performance?
References HSE Leading Health and Safety at Work - Actions for directors, board members, business owners and organisations of all sizes www.hse.gov.uk/pubns/indg417.pdf
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4. Enforcing authority inspections Health and Safety at Work etc. Act 1974 Health and Safety (Fees for Intervention) Regulations 2012 If an enforcing authority inspector calls, you must ensure you co-operate with his or her requests. An enforcing authority can include the HSE, the fire and rescue service, the police or your local authority (LA).
Are you aware that:
Enforcement inspectors can enter your workplace at any time without giving notice, though notice may be given where the inspector thinks it is appropriate? Normal inspection includes assessing the workplace, work activities, health and safety management systems and documents to ensure you are complying with health and safety, food and fire legislation? During a normal inspection, an inspector will check that you have arrangements in place for consulting and informing employees? Enforcement action may result in a letter informing you of your requirements for compliance? Enforcement action may result in an improvement notice (IN) informing you of what has to be done, why and by when? The IN will inform you when the remedial action has to be undertaken by. After this period, a re-inspection may be undertaken to determine your compliance. If you fail to comply with the requirements of the improvement notice, you may be prosecuted? Enforcement action may result in a prohibition notice (PN) instructing you to cease the activity until appropriate remedial action has been taken? The prohibition notice will inform you of when the remedial action has to be undertaken by. After this period, a re-inspection may be undertaken to determine your compliance. If you fail to comply with the requirements of the prohibition notice, you may be prosecuted?
Health and Safety Guide 2019 7
Fees For Intervention Are you aware that:
The new HSE cost recovery scheme is called Fees For Intervention (FFI)? If you are in material breach of health and safety legislation the HSE may recover its costs from you by charging a fee for the time and effort it spends on helping you to put the matter right, investigating and taking enforcement action? The recovery of costs for formal intervention is currently levied at £124 per hour, with a monthly invoicing schedule? You can avoid intervention fees by ensuring legal compliance?
References HSE What to Expect when a Health and Safety Inspector Calls (HSC14) www.hse.gov.uk/pubns/hsc14.htm HSE Health and Safety Regulation – A Short Guide (HSC13) www.hse.gov.uk/pubns/hsc13.pdf HSE Fee for Intervention – What you need to know www.hse.gov.uk/pubns/hse48.pdf HSE How HSE Regulates www.hse.gov.uk/enforce/ HSE Fee for Intervention (FFI) microsite www.hse.gov.uk/fee-for-intervention/index.htm
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5. Health and safety policy Health and Safety at Work etc. Act 1974 By law, businesses employing five or more employees, including proprietors or partners, must have a written health and safety policy that is reviewed on at least an annual basis. It is helpful, in terms of defence against litigation, if a business has a written policy even if it employs fewer than five employees. For example, the company may employ fewer than five employees directly, but may also employ casual or agency staff or contractors. For the purposes of health and safety, casual or agency staff or contractors should be classed as employees as you still have a duty of care towards them. If you employ five or more people, you need to have a formal, documented health and safety policy.
Are you aware that: You will need to formulate a health and safety policy document if you employ five or more people Template 32 – Health and safety policy Having a health and safety policy in place will assist in: • Complying with the law • Documenting the management systems that you already have in place • Ensuring employees (and others working at your premises, such as contractors) are informed of the health and safety arrangements for the business • Securing contracts with clients • Demonstrating compliance to insurance companies • Demonstrating a professional image to clients and suppliers. You will need to work through the rest of the Guide and formulate or update your policy statement accordingly. The level of detail in your policy statement will depend on how complex your business is. You may need to significantly expand on the template provided to ensure that your arrangements are covered. The health and safety policy should be broken down into three sections: 1. Statement of intent (the policy statement) 2. Organisation/duties and responsibilities 3. Arrangements.
References HSE website: Write a health and safety policy for your business www.hse.gov.uk/simple-health-safety/write.htm
Health and Safety Guide 2019 9
22nd Edition of the Forum of Private Business Health and Safety Guide 2019. Health and Safety legislation applies to all businesses, no mat...
Published on Mar 19, 2019
22nd Edition of the Forum of Private Business Health and Safety Guide 2019. Health and Safety legislation applies to all businesses, no mat...