iosh belfast 280103
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IOSH Northern Ireland Branch
Tuesday 28th January 2003
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G.S.J. Fulwell
The Way Forward in OHSMS
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Contents of the presentation;
Introduction The Corporate onslaught in OHSMS.
Key Performance Indicators.
The position on Corporate killing.
Recent developments in Global Standards
OHSAS 18001 and Integrated Systems
The ILO OHSMS Guideline
IOSH international Specialist Group
Questions.
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Current position on standards;
ISO 9001 - Quality Management Systems.
ISO 14001 Environmental Management
Systems.
OHSAS 18001/2 OHSMS management
guideline.
PD 6668 Integrated Management Systems.
Environmental Management AuditingSystem.(EMAS).
Risk Management Standards
Standards for Corporate Accountability
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The Process Based Approach.
The new approach to standards;
All new standards are no longer based upon
the attainment of a prescribed level of
performance but on the process based
approach of continuous improvement.
( Guide 72 - May 2001)
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OHSAS 18001 + Agreed by major certification bodies.
+ International credibility and development.
+ A standards based approach
+ Benchmarking opportunity
+ Aligns with other standards - integration _____________________
- Not an ISO standard.
- Commercially based activity
- Auditor Competence not defined
- Development of the global ILO guideline
- Application to sme sized undertakings
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Strategic approach formula;
PLAN
ACT
CHECK
DO
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Continual Improvement
Process of enhancing the
OH&S Management System,
to achieve improvements inoverall occupational health
and safety performance in
line with the organisationspolicy
(OHSAS 18001)
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The Management Systems Approach
in the Workplace.
EMS
QUALITY
OHSMS
Risk
Management
influences the
process
Continuous
Improvement
Standards.
Legislation.
Policy. Minimumonly.
Cooper 1998
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Integrated Management Systems
Risk Recognition
Risk Identification
External Market
Environment
Risk Ranking
Risk MappingOpportunities
Assessed
Risk SurveysRisk Controls
Business StrategyPlans Developed
Integrated Risk
Responses
Business Process
ImplementedAudit and
Compliance
Management
Review
Risk Management Tool Business Process
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The Manufacturing Environment.
INPUT. PROCESS OUTPUT.
AssetsRaw Materials.
Supply Chain Management.
Research & Development.
Finance and Investment.Training and Development.
Energy.
Product or
Services
Marketing
Distribution
Waste
Finance
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Combined or Integrated?
Combined v Integrated
SH E Q
MS MS MS
SH E Q
IMS
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The Integrated Strategy Policy
Planning
Implementation and Operation
Performance Assessment
Improvement
Management Review
PLAN
DO
CHECK
ACT
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Common Elements of an Integrated System Element 9000 14001 18001
Policy 5.1, 5.3 4.2 4.2 Planning 5.2, 5.4, 7.2 4.3, 4.4 4.3, 4.1
Implementation 7.2-7.5 4.4.6 4.4.5,4.4.6
& Operation 4.2 4.4.5 4.4.3
Performance 8.2 4.5.1,2,3. 4.5.1,2,3.
Measurement 8.2.2. 4.5.4. 4.5.4.
Improvement 8.5.2,3 4.5.2. 4.5.2.
Management 5.6 4.6 4.6
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Key features of the approach;
* Common organisational objectives
* Clearly defined responsibilities
* Common objective of continual improvement
* Based upon the plan,do,check,act approach* Driven by top management
* Implemented as a project based approach
* Based upon a business risks approach* Cross department ownership and commitment
Fulwell 2003
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Definition of an Audit.
A systematic examination to determine
whether activities and related results conform
to planned arrangements and whether these
arrangements are implemented effectively
and are suitable for achieving the
organisations policy and objectives
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3 Key stages of an audit.
Documentation - reflects the hazards.
Interviews - verify competence.
Observations - implemented in practice.
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International Labour Office
ILO-OSH 2001
Guidelines on occupational safety
and health management systems
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International developments.
International Labour Office proposal.
technical experts met in April 2001.
ILO Council met in July 2001.
implementation programme being developed
Alternative proposal from ISCSA.
Strong support for the ILO from Asia/Pacific.
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The role of the ILO in OHS.
International Labour Organisation.
NationalGovernments
Legislation and
enforcement policy
Organisations Health and
Safety Management Systems.
Conventions
Recommendations
Monitoring
Auditing
National
OHSMS
Protocols.
Audit
Fulwell 2001.
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ILO - OSH 2001
Section 3.2. Worker participation:
3.2.1. Essential requirement of OSH.
3.2.2. Workers and their representatives are
consulted, informed and trained ( includingemergency arrangements ) in respect of their
work.
3.2.3. Arrangements for active involvement.
3.2.4. Ensure the establishment and effective
operation of a safety and health committee.
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Key points of the ILO.
Fulwell 2001.
*Reciprocal observer status with the E.U..*Tri-partite organisational membership.
*A United Nations Specialist Agency.
*Linked to the World-Bank requirements.*Role in defining minimum standards.
*Supervisory role in national legislation and
enforcement policy,
*International role with member countries.
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Supply Chain Management. ILO (2001) section 3.10.5. Contracting
organizations standards applied to contractors.
Arrangements when on site must include:
a) criteria for evaluation & selection. b)communications & coordination between all.
c)arrangements for reporting accidents/ill-health.
d) specific awareness & training arrangements. e) regularly monitor contractor performance.
f) ensure all on-site arrangements complied with.
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Supply chain management.
ILO (2001) section 3.10.4.1. Procurement.
procedures established and maintained;
compliance in purchasing & leasing specs..
any relevant national laws in advance.
arrangements made to ensure compliance
before use.
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Corporate
CivilCriminal
Corporate SHE Liabilities
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Corporate Liability
Maintaining Stakeholder Confidence.
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Financial Times - November 15th 2002. ABB now has 110,000 Asbestos claims.
ABB estimates its exposure at $812million.
Hanson has 75,000 asbestos claims.
Hanson has currently paid out $86 million.
Hanson receiving 17,500 claims per year.
Business News - Sunday 19th January 2003.
ABB pays $1.2 billion to settle the USclaim on asbestos liabilities and places
Combustion Engineering into Chapter 11
bankruptcy protection. Assets $812 million
balance ABB.
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Top Risks Facing the
OrganisationStrategic These are the long term strategic aimsand objectives of the organisation.
Project (These may also be considered as tactical or
developmental risks). These are the change
objectives, including product and process
developments.
Operational These are the day to day issues that
ensure continued operation of the organisation
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RISK CONTROL STRATEGIES
RISK AVOIDANCE
RISK RETENTION RISK TRANSFER
RISK REDUCTION
or any combination
Residual Risks will remain
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OECD Principles of Corporate
Governance. Established in April 1998 - 5 principles.
1) Rights of Shareholders.
2) Equitable treatment of shareholders.
3) Role of Stakeholders.
4) Disclosures and transparency.
5) Responsibilities of the Board.
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OECD Guidelines for Multinational
Enterprises 2001 Follows a review of the 1976 guidelines
Recommendations to Governments,
Express the shared values of governments
observance is voluntary
principle of establishing a common position
part of the Declaration of International
Investment and Multinational Enterprises
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European Commission Green
Paper. Promoting a European framework for
corporate social responsibility;
In addition the tendency of companies toinclude OHSMS in their procurement..
..which allows for a third party to carry
out certification or initial approval of thecontractors as well as overseeing the
continuous improvement of the scheme.
EU September 2001.
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Corporate Governance
Process by which corporate bodiesgovern themselves - a risk based
approach
No Surprises - ICAEW
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Corporate Governance
Cadbury - 1992 -reporting of control Greenbury - 1995 - remuneration
Hampel - 1998 - annual declaration
Turnbull - 1999 - internal control Higgs - 2003 - role of non-executives
If the non-statutory approach embodied in the code is
to be successful over the long term, the code needs toretain the widespread confidence of shareholders,employees, government and others - Institute ofChartered Accountants
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Turnbull requirements
AssessmentObjectives
plans
performance targets
indicators
Control strategy
culture - senior management demonstration Authority and accountability
communicate to its employees
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Turnbull requirements:
The annual report will:- The board is responsible for internal controls and
reviewing its effectiveness.
On-going process for identifying, evaluating and
managing the companys significant risks.
That is has been in place in the year.
Process is regularly reviewed.
A summary of the review process. The process applied to deal with any significant
problems disclosed.
Accounts Digest - 417 -October 1999
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Higgs Report - January 2003
Role of Non-Executive Directors
Ratio of Non-Executive to Executive
Training and selection of non-executives
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Civil Liability position.
The changing position
An opportunity or a threat?.
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The Insurance Market
Client Broker Insurer ReinsuranceMarket
Offshore
Account.
Level andsize of claimsSize andNumber of
ClaimsNumber
Numberand
Scope.
Fulwell 2002
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The Insurance Market
Client Broker InsurerReinsurance
Market
WTC - $80 billion
Eur flood $60 billion
Asbestos & stress
Stock Market fall
= Reduced Capacity
Fire + 130%
Weather +70%
Theft +20%
Stress +19%
Commercial +100%Property +50%
Independent
Insurance
Woolf Reforms
Claims size &frequency
Fulwell 2002
Underwriting loss of 4.5 billion since 1993.
FLOW OF MONEY since 1991.
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Catalogue of Disasters
Forest Fires in Australia and the USA.
World Trade Centre act of terrorism.
Flooding in the United Kingdom.
Collapse of Independent Insurance. Flooding in Eastern Europe.
Asbestos claims globally.
Earthquakes in Turkey. Collapse of the global stock market
(ie 6% value loss on Monday 27th January ).
Th Ch i P i
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The Changing Perspective
Historic Position (pre 2001);
Unlimited availability at very low premium, norequirement to demonstrate risk control.
Future Perspective (post 2001);
Limited availability at a very high premiumand only with effective risk control.
Significant role of OHSMS now emerging.
Fulwell 2002
S
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The Future StrategyThe future requirements will be risk exposure based;
Identify the key exposures of the business Establish effective risk control for the key risks Monitor and review on-going performance
Demonstrate a clear policy and effective control Establish liaison with the insurance provider Adopt a policy of continuous improvement Ensure that a risk based approach is the norm
Identify significant influencing factors Review Management performance on a risk
basis.
Fulwell 2002
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Criminal Liability
Corporate and Individual
accountability
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Number of prosecutions;
Year. Company. Individual.
1996/97. 1490 49. (10)
1997/98. 1606 25. (1)
1998/99. 1760 27. (0) 1999/2000. 2253 34. (11)
2000/01. 2077 43. (0)
2001/02. 2034 55. (11) 2002/03.
Di t ti
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Directors prosecution Brian Dean, a construction company director
became the twelfth director to be convicted ofwork-related manslaughter at Stafford CrownCourt and has been sentenced to eighteenmonths imprisonment.The prosecution followed
a demolition accident in Stoke where a fatherand son were killed.
Changed on Appeal to a Section 2(1) offence
after 5 months served, Jury misdirected. The Client, Daniel Platt was fined 125,000
plus costs of 10,000 for breaching CDMregulations.
HSB
June 2002
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Fresha Bakeries Ltd.- Leicester. Fatal accident to two employees in 1998.
Trapped in an oven at 100 Centigrade.
Entered the oven to remove a broken part.
Company fined 250,000 + 175,000 costs.
Parent company, 100,000 + 75,000 costs.
Managing Director fined 20,000 Production Director fined 1000.
Chief Engineer fined 2000.
HSB September 2001.
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Subcontractor electrocuted. Subcontractor was fatally electrocuted whilst
undertaking maintenance work in an officeblock. Reaching into a false ceiling he touched
an exposed control panel on an air conditioning
unit.Doncaster Council were fined 400,000 plus
31,000 costs
Maintenance budget had been cut despite aprevious incident of electrocution at the site, some
years earlier.
judge made comments about fine equivalent to the
annual turnover if it had been a private company.
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EXEL fined for Workplace fatality Exel Europe Ltd., was fined 96k for a fatal
accident when an agency driver was crushed bya reversing vehicle at the Comet operation in
Corby.
In addition the employment agency Taskmaster
Resources Ltd was also fined 40k for failing to
request copies of risk assessments and failing toensure that Exel had introduced adequate
arrangements for all relevant personnel.
MARS October 2002
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Corporate Killing Legislation.
France,Canada,
Republic of Ireland,
Australia,
New Zealand,
UK - England and Wales
United States of America.
UK l f f
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UK proposals for reform on
Involuntary Manslaughter
a) Corporate Killing -specific offence making companies accountable
b) Reckless Killing -person aware of the risk
c) Killing by Gross Carelessness -
conduct below that expected
d) Killing when the intention was to
cause only minor injury
UK i i C t Killi
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UK issues in Corporate Killing. The UK has specific problems in this area;
i) only individuals may commit a crime
ii) requirement for the identification principle
iii) prove both actus reas and mens rea
iv) aggregation is not permitted
v) vicarious liability only applies in civil law
vi) no current recognition of corporate culture NOT included in the Queens Speech but not
withdrawn from the proposed legislation.
Republic of Ireland
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Republic of Ireland.
Corporate Manslaughter Bill, 2001
A Company shall be guilty of the offence if;
failure to manage or organise in a way
which ensures health or safety of persons.
failure amounts to conduct falling far below
reasonable expectations.
failure is the cause or one of the causes of
the death of a person.
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United States of America
Concept ofrespondeat superior
A corporation may be held criminally liablefor the acts of any of its agents if an agent
commits a crime within the scope of his
employment and with the intent to benefitthe corporation.
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Canada
New Private Members Bill, C-242 February 2001
New Part XIII section 467.3 to 6 to Criminal
Code
A corporation is guilty of every offence ofwhich an individual could be found guilty for
committing that act or omission.
section 467.6 (d)
Corporate fault - C$1,000,000 per day of offence
Individual fault - C$10,000 per day of offence
unsafe workplace up to 7 years or life if a fatality
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The Pyramid of Sanctions.
Advice - warnings - persuasion
Fines or civil penalties
Voluntary disciplinary action.
Court ordered disciplinary action
Corporate criminal sanctions
Corporatelicenserevoked
Corporateprobation.
Braithwaite 1989
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Corporate Killing
Defence of due diligence;
The company falls to be judged not on itswords but its actions, including the action of
its employees.
Wells, Corporations and
Criminal Responsibility , 2001
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Corporate Killing - due diligence.
Evidence that the illegal and forbidden act wasclearly in breach of established internal policy.
Elements; Specific company policy/procedures.
Evidence that the illegal conduct was forbidden.
Safeguards had been developed and
implemented Lack of previous examples of the
offence.Wells 2001.
Longford explosion
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Longford explosion. Longford Australia 25 September 1998
Liquid flow into plant causes disturbance,control was not re-established
Vessel fracture lead to hydrocarbon release,
Explosion and Fire Casualties
2 Killed
8 Injured
Fire extinguished 27 September
Victoria gas supply cut off for 2 weeks
Culture
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Culture The commission noted:
over time a culture developed whereby itbecame normal to operate the plant in alarm.
This culture developed despite the fact that
the alarms existed for the primary purpose ofalerting operators to that which was
abnormalThe consequence was that the
protective purpose of the alarms was lost
The culture of operators regarding the
operation of the plant in alarm was, in our
submission, a contributing factor to the
disaster.
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Conclusion
The jury found Esso guilty of 11 breaches
of workplace safety, including a failure to
train staff properly and a failure to provideproperly trained supervisors at its gas plant.
A$ 2 million fine and A$1 billion
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A$ 2 million fine and A$1 billion
class action to follow
Justice Philip Cummins said the blast that killedtwo workers and shut down Victoria's gas supply
for two weeks was no mere accident - it was
avoidable and it was all Esso's fault.
"The events of September 25, 1998, were the
responsibility of Esso - no-one else," Justice
Cummins told the Supreme Court. "The cause wasgrievous, forseeable and avoidable. The consequence
was grievous, tragic and avoidable. To use the term
'accident' denotes a lack of understanding of
responsibility and a lack of understanding of cause."
BP Prudhoe Bay Alaska
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BP - Prudhoe Bay, Alaska
Major Corporate threat following an explosion
Group = BP - ExxonMobil - ConocoPhilips
BP operates 1600 oil wells for the group
Alaska Oil & Gas Conservation Commission Largest oilfield in North America
BP already on corporate probation
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HSE FOD Risk Control Indicators;
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HSE - FOD - Risk Control Indicators; Falls from Height
Workplace Transport Musculoskeletal Disorders (MSD)
Stress
Slips, trips and falls on the level
Hand, Arm Vibration, (HAV).
Noise.
Occupational Asthma.
Management of Risks.
Working Environment.
Source HSE, 2003.
F t l A id t M f t i
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Fatal Accident Manufacturing
YEAR Manuf. Constr. Total1997/98 61 80 274
1998/99 69 65 253
1999/00 41 81 2202000/01 50 105 292
2001/02 47 79 249
2002/03 - ytd 21 36 110As at 30/09/02 = 6 months.
Source - HSE Statistics dept.
Fatal Accident Ca sation 2001/02
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Fatal Accident Causation 2001/02 Contact with moving machinery - 22
Struck by falling object - 43 Struck by Moving Vehicle - 40
Injured whilst handling - 1
Slips trips and falls - 2 Falls from height - 68
Trapped by collapsing/overturning 8
Drowning or asphyxiation - 11 Exposure to fire/explosion - 8
Contact with Electricity - 12
Others kind of accident - 22
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Current issues in OHSMS
Civil Liability premium increases
Corporate Killing
Enforcement Management Model
Accident Investigation
Employee Representation
Manual Handling survey by the HSE
Directors duties
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International SpecialistGroup.
1. Approved by Council in September 2001
2. Comprises two separate Working Parties
IOSH Specialist Groups;
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IOSH Specialist Groups; Municipal and Public Services.
Off-Shore Group. Construction Group.
Environmental Group.
Healthcare Group.
Fire Risk Management.
Railway Safety Group.
International Group.
Safety Sciences Group. Education Group.
Consultants Group.
In progress - Airways and Telecommunications.
International Specialist Group
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International Specialist Group
2 separate Working Parties;
Internal Working Party - focus upon the
membership services required to support a
global organisation and its development.
External Working Party - focus upon the
development of the Institution into a globalorganisation and the establishment of a
network of international contacts.
International Group Objectives
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p j*Develop an international information web site.
*Review the International membership criteria.*Publish 2 Learned Journal articles.
*Establish a network of international contacts.
*Establish a comparative qualification base.*Increase the International Group membership.
*Investigate potential questionnaire in SHP.
*Monitor international developments.
*Present at the IOSH Conference.
*Advise IOSH of global developments in SH&E.
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