Copyright © 2009 Gael Limited & ECRI Institute

Protecting against the risk of a corporate manslaughter investigation

and prosecution in the NHS

Stuart Emslie BSc MSc FIHM

Independent consultant and advisor to ECRI Institute (Europe)

Visiting Fellow, Loughborough University Business School

Governance Advisor, Harrogate and District NHS foundation trustFormer Department of Health Head of Controls Assurance for the NHS in England

About ECRI Institute

Major international non-profit health services research agency

Designated as a Collaborating Centre of the World Health Organisation

Over 5,000 members, with client list including, public and private hospitals, government agencies, and accrediting agencies worldwide

About Gael Ltd

UK market leader in the design, development and delivery of compliance management solutions

Flagship product ,Q-Pulse was designed to enable organisations to achieve value from demonstrating compliance

Q-Pulse users represent organisations of all sizes, across all industry sectors, including healthcare, life sciences and aviation, with installations in over 90 countries

Meeting Format

Background to Health & Safety Laws & RegulationsRisk Management in the NHSControls assurance H&S standardStandards for Better HealthOccupational health & safety standardsLeading Health & Safety at workTen Steps to compliance

1992: Compliance with Health & Safety Laws & Regulations

Around 500 safety related statutes in UK Approximately 60 of day-to-day concern >100 authoritative codes of practice

Safecode…….

Issued to all UK NHS organisations 1994

Audit compliance against 60 key H&S statutes

Comprehensive module for setting investment priorities for safety/risk management

1994

38 pages…..

1999 Controls assurance H&S standard

www.cascara.co.uk

Copyright © 2009 Gael Limited & ECRI Institute

2004 Standards for better health

“While Standards for Better Health will synthesise a large number of existing rules and guidance, NHS bodies will continue to be subject to the wider regulatory framework, such as health and safety legislation.”

Copyright © 2009 Gael Limited & ECRI Institute

Copyright © 2009 Gael Limited & ECRI Institute

Norfolk and Norwich University Hospital NHS Trust

Male, mid-forties dies due to air embolism during routine cardiac angiogram

Injected with air rather than radio-opaque fluid

No ‘safety check’ carried out Trust successfully prosecuted

under Health and Safety at Work etc. Act 1974 for not having a ‘safe system of work’

Poor management…….

Ten steps to compliance?

1. Ensure that you have in place an effective health and safety/risk management system, e.g. see OHSAS 180001:2007; HSG 65, Successful Health and Safety Management (HSE); AS/NZS 4360:2004 risk management (See also IoD/HSE and NHS guidance).

2. As part of the management system, ensure that a robust health and safety policy is in place. Within that policy all health and safety roles and responsibilities should be articulated.

3. Job descriptions of staff should reflect their role in health and safety management, particularly at a senior level.

4. Senior managers should be trained to ensure they understand their role in the effective management of health and safety. Reflect upon the competencies of existing senior managers with respect to health and safety management. Provide additional developmental opportunities to address any deficiencies.

5. Line managers should receive training to enable them to manage health and safety within the part of the organisation for which they are responsible.

Adapted from Local Government Employers - www.lge.gov.uk

Ten steps to compliance?…..cont…6. Board members should receive awareness training on their role and

responsibilities within the health and safety system. This is particularly important for non-executive directors. To help ensure adequate representation of health and safety issues, consider designating an executive director with responsibility for the management of health and safety.

7. Ensure that health and safety performance, including compliance with health and safety legislation, is regularly considered at board level. Refer NHS Staff Council OHSS standards. Remember that health and safety law applies to everyone, including patients!

8. Mainstream health and safety into decision-making processes and ensure proper scrutiny of the health and safety implications of policy decisions.

9. Ensure health and safety (including patient safety) is firmly part of an integrated approach to risk management across the organisation.

10. Adopt a robust and transparent approach to prioritising investment in improving the management of health and safety and other risks.

11. Ensure you have a good policy regarding what to do when the inspector and/or police arrive to investigate!

Adapted from Local Government Employers - www.lge.gov.uk

Copyright © 2009 Gael Limited & ECRI Institute

For more information about how your organisation can ensure compliance with the Corporate

Manslaughter Act,

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