DEFINING SERIOUS HARM
1. Summary
"Serious harm" is a key concept for hazard management and notification of harm under the Health and Safety in Employment Act 1992 (HSE Act). It has four main uses under the Act, by defining:
- what is a "significant hazard" and so must be managed by an employer (under the hierarchy of actions set out in sections 7-10)
- the occurrences of harm or accidents that must be notified, and when an accident scene must be protected until investigated (sections 25 and 26)
- the degree of harm that creates the most serious offences, with the highest fines, or imprisonment, under the Act (section 49)
- the work that employees may refuse because it is likely to cause them serious harm (section 28A).
The term is defined by section 2 of the HSE Act as "death or harm of a kind or description declared by the Governor-General by Order in Council to be serious" for the purposes of the Act. Section 2(4) then provides that until the commencement of the first Order in Council, serious harm is as defined in Schedule 1 of the HSE Act. Schedule 1 is reproduced as appendix 2.
When the HSE Act was passed in 1992, the intention was that the "temporary" definition in Schedule 1 of the Act was to be replaced with a more comprehensive definition developed after consultation.
The "temporary" definition contained in Schedule 1 has always presented difficulties for users and had gaps in terms of certain types of harm and hazard covered by the law. Employers, departmental staff and others have had particular difficulty interpreting the phrase "temporary severe loss of bodily function" in clause 1. Court cases have not clarified interpretation.
Schedule 1 is also now ambiguous regarding the amendment made to the Act in 2002 to recognise harm caused by stress and fatigue.
On 11 April 2007 Minister of Labour, Hon Ruth Dyson, released for public consultation the paper titled Defining Serious Harm: a discussion paper on the revision of the definition of serious harm.
The discussion paper was based on a draft amended definition. There were 17 questions on aspects of the draft, to structure discussion and encourage comments and suggestions. Submissions closed on 15 June 2007.
This report summarises submissions and provides analysis and statistical tables by question, with the department's recommendations in response.
The basis for analysis has been to ensure that the policy intent of the HSE Act is implemented and administered in a manner that:
- eliminates unnecessary compliance costs and minimises necessary compliance costs for employers and others
- provides maximum clarity and consistency
- gives comprehensive coverage of workplaces and hazards
- maintains the interests of employees and others affected by work activities.
Consultation very clearly confirmed the need to revise the definition, but submissions contained a wide range of responses and suggestions for changes to the draft contained in the discussion document.
From our analysis we recommended a total of 19 changes to the wording of the draft contained in the discussion document. We summarised these as giving effect to five key changes to the definition, each of which responded to a significant theme arising from submissions:
- reducing the coverage of soft tissue injuries from what was proposed in the draft
- making the definition clearer by grouping it into the three main types of harm considered "serious"
- requiring diagnosis for all types of serious harm not resulting from a single exposure to a workplace hazard
- revising upwards the threshold of harm to non-employees
- better defining "contact with any energy source" and "fall or physical impact".
Method of consultation
Reducing all forms of serious harm in all types of workplaces to a few short paragraphs - while achieving several legislative objectives - was always going to be an intricate and challenging project.
The Department's approach has been to develop a specific proposal and then test it though consultation. The proposal, or draft definition itself, was drafted to use the existing terminology and approach while extending coverage to give the widest effect to the legislation - and, as such was an "ideal" in terms of the policy intent of the legislation.
The intention was that consultation focused on the draft definition would test it and allow refinement to make it more practical from the point of view of the regulated and regulators.
Considering it is a technical amendment, there was relatively high response rate and quality of submissions on the discussion document. Over a thousand pages of submissions and questionnaire responses were received.
The bulk of submissions responded directly to the questions in the discussion document - although in the course of doing this, many offered comments and suggestions. Some submitters also provided extensive analysis and discussion of their own, and often in addition to responding to the questions.
Method of analysis
In analysing submissions, the Department has reviewed the responses to individual questions, which were reasonably closely aligned to the draft definition. From this analysis it has recommended changes to the draft.
Where the consultation questions encouraged a "yes" or "no" answer, or asked respondents to choose from options, the responses are summarised tables. The tables show responses according to industry or submitter type. It should be noted that they are illustrative only and suggest only generally where submissions came from, rather than indicating any objective "weight" or value to responses.
We analysed submitters' responses to each of the 17 individual questions in the discussion document. The basis for analysis was to ensure that the policy intent of the HSE Act is implemented and administered in a manner that:
- eliminates unnecessary compliance costs and minimises necessary compliance costs for employers and others
- provides maximum clarity and consistency
- gives comprehensive coverage of workplaces and hazards
- maintains the interests of employees and others affected by work activities
Broad themes emerging from consultation
Below is a summary of seven significant themes emerging from consultation as a whole.
1. The definition shouldn't be used to collect injury and illness data that can be obtained from ACC data
Although there was general acceptance of the need for the review, the objects of the revision was challenged by some submitters - particularly with respect to the definition being broadened in scope to include less serious injuries for data collection purposes.
Submitters questioned why there was additional reporting of minor injuries when they were unlikely to be investigated further by the Department and while more comprehensive injury and illness data is available from ACC records.
Related to this, numerous submitters felt the broader coverage of the draft for data collection purposes would cloud its other uses: particularly to determine "significant hazards", and to define the work an employee can refuse as unsafe.
The Department notes these comments, also that the injury data available to the inspectorate has improved considerably since parties were originally consulted on the revision. It recommends raising the threshold for serious harm to a level of harm that suggests there is a need for the involvement of the health and safety inspectorate to ascertain whether or not there has been compliance with the Health and Safety in Employment Act.
2. The draft's coverage of soft tissue injuries is too broad
A majority of employers, industry groups and professional groups described a greatly increased compliance burden if the draft were implemented. They submitted that a major cause of this is that the draft sets too low a threshold for soft tissue and other minor injuries, including gradual process injuries that need to be actively managed in a range of work settings, but should not be deemed "serious harm".
Employers and others also submitted that lowering the draft's threshold would trivialise the harm and not encourage employers and others to pay more attention to "serious" harm.
The discussion document asked submitters to choose between "absence from the workplace" or "unable to perform normal duties" as a threshold for physical incapacity.
The Department notes that, although absence from the workplace provides a sharper distinction that would be more easily understood and applied by employers and others, it could result in some quite serious conditions, such as broken limbs or serious musculoskeletal conditions not being reported. For that reason it proposes "inability to complete normal duties" as the trigger. This option, in addition to restricting the first clause to physical harm arising from a single incident, and in combination with other changes, will provide adequate coverage of soft tissue injuries.
3. The definition will be made clearer by grouping it into the three main types of harm that are considered "serious"
Submitters said that the definition could be grouped and worded much more clearly and that this would aid the majority of users.
The draft definition had followed the format of the current definition and was presented as a series of legal clauses alone, rather than using headings to indicate the types of harm being caught by each of the different clauses.
The discussion document mentioned the possibility of alternatives, and categories of injury and illness used by legislation overseas. Various submitters, including professional bodies and practitioners in businesses showing best practice, indicated a preference for types of harm being grouped into three main categories: trauma injury, acute illness in specified circumstances, and chronic illness or injury requiring diagnosis or treatment.
Other submitters suggested a degree of confusion around the meaning of the draft definition. This added support to submissions that the definition could have a more coherent structure to improve clarity for users.
The Department recommends that the definition is grouped in three distinct clauses, each describing a category of harm:
- trauma injury;
- acute illness or injury (in specified circumstances); and
- chronic or serious occupational illness or injury.
4. Diagnosis should be required for all types of serious harm not resulting from a single exposure to a workplace hazard
Submitters said the reference to gradual process injuries in clause 1 of the draft, in combination with using the phrase "unable to perform their normal duties" set the threshold too low. They submitted this was inconsistent with ACC injury management practices.
Submitters asked that the definition set a threshold of diagnosis by the appropriate medical specialist for gradual process injuries, as is proposed for mental harm, and for better alignment to ACC definitions and approaches.
Numerous submitters referred to the variability of the medical profession in determining incapacity, and varying access to diagnosis and treatment. There were references to "the socialisation of medicine", where GPs apply social - rather that strictly clinical - values to the presenting patient. The Department notes this is an issue where medical diagnosis and treatment is used to set the threshold for reporting.
The Department's recommendation is that all chronic illness and injury resulting from exposure to a workplace hazard should, where possible, be confirmed by diagnosis by the appropriate specialist medical practitioner. This is consistent with other recommendations to improve and clarify the definition in response to point 3 above.
5. The draft's references to "contact with any energy source" and "fall or physical impact" are too broad and need to be better defined
There was general agreement with the content of clause 3 of the draft, which sets a lower threshold for reporting acute illness in certain circumstances.
One such circumstance is "contact with any energy source", and another is "a fall or other physical impact". Submitters suggested that both of these are too broad in the draft, and that more serious cases would be caught by clauses 1 or 4 in any event.
The Department agrees and proposes that clause 3(c) of the draft is amended to refer to "any electrical, combustible or mechanical energy source".
The Department also proposes that clause 3(d) is amended to refer only to "a fall from one height to another", rather than all slips, trips and falls resulting in a visit to the doctor.
6. The draft's coverage of injuries to non-employees is too broad in some circumstances
Departments or Crown agencies responsible for public areas, such as the Department of Conservation and district health boards, and supermarket operators submitted that the coverage of members of the public visiting workplaces was too wide. They submitted it would be difficult, if not impossible for them to meet their obligations to report in many cases.
The Department notes that in many such cases information about injuries is as likely to be received by complaints, either to the dutyholder, or the Department. It proposes minor changes to the draft to set the threshold at a level where reporting is more achievable for businesses and other agencies responsible for public access areas, while keeping the definition consistent with the policy intent of the 2002 amendments.
7. Explanatory materials and implementation of the revision were seen as important for it to be successful
Consistent with the relatively high interest in the discussion paper, and the number of submissions received, there were many good suggestions on the provision of guidance and support for employers and others after the Order in Council is passed.
Recommended changes to the draft
The following recommendations for change are discussed in the responses to specific questions in part 4 of this report, following.
- That further consideration is given to the inclusion of interpretations of key phrases in the definition itself.
- That the HSE (Prescribed Matters) Regulations 1993 are amended concurrently with the proposed definition and that further consideration is given to aligning classifications with ACC descriptors.
- That the reference to gradual process injuries is removed from clause 1 of the draft definition.
- That clause 4 of the draft definition is amended to make specific reference to "diagnosis" to require reporting of occupational illness and disease where a diagnosis is provided by the appropriate registered medical specialist.
- That clause 1 of the draft definition is amended to refer to "physical incapacity" instead of "injury or disease".
- That the definition is grouped into three clearly distinguishable categories of harm: trauma injury, acute illness or injury (including loss of consciousness), and chronic or serious occupational illness or injury.
- That clause 1 of the draft definition is amended to refer to harm arising from a single accident or incident only.
- That the phrase "temporary severe loss of bodily function" be removed from the draft.
- That the reference to "including" in clause 1(b) of the draft is removed.
- That clause 1 of the draft is amended to refer to "physical incapacity", and that clause 1(b) refers to physical incapacity leading to a person being unable to complete their normal duties.
- That the degree of incapacity in clause 1(b) of the draft is amended to refer to "physical incapacity" leading to a person being unable to complete their normal duties for a period of 7 or more calendar days".
- That clause 4 of the draft definition is amended so that the reference to "registered specialist operating within their scope of practice" becomes "registered specialist operating within the appropriate scope of practice".
- That clause 4 of the draft definition is amended so that the reference to "treatment" becomes "diagnosed and confirmed as caused by exposure to a workplace hazard".
- That clause 2 of the draft be deleted and clause 1(a) is amended to refer to "permanent loss of bodily function (including from any amputation of body part)".
- That the reference to physical impact be removed from clause 3(d) of the draft.
- That the reference to "a fall" in clause 3(d) of the draft be narrowed to only include falls from one height to another.
- That the reference to "contact with any energy source" in clause 3(c) be further defined to refer more specifically to types of energy.
- That the Department consult with Parliamentary Counsel Office regarding whether it is better to promulgate a revised definition with the prescribed manner of written notice and accident register.
- That the Department consult with the Accident Compensation Corporation and Department of Statistics to align the prescribed manner of written notice and accident register and forms used under the Injury Prevention, Rehabilitation and Compensation Act 2001 as appropriate.
Recommended changes to the draft definition after consultation
Changes to the draft definition in the discussion document are marked as "track changes" below
Text struck through has been deleted from the draft.
Text italicised has been added to the draft.
Serious harm, for the purposes of the Health and Safety in Employment Act 1992 means death, or:
1. Trauma injury
1. Injury (including that caused by gradual process) or disease which causes Physical incapacity caused by an accident or event and leading to:
a) permanent loss of bodily function (including from any amputation of body part); or
b) temporary severe loss of bodily function (including any harm causing the person to beu a person being unable to perform their normal duties for a period of 7 or more calendar days).
2. Amputation or surgical removal of body part; or
2. Acute illness or injury
3. Loss of consciousness, or Acute illness or injury requiring treatment by a medical
practitioner, or any loss of consciousness, from caused by:
(a) lack of oxygen; or
(b) absorption, inhalation, or ingestion of any hazardous substance; or
(c) contact with any electrical, combustible, or mechanical energy source; or
(d) a fall from one height to another or other physical impact.
3. Chronic or serious occupational illness or injury
4. Any Physical or mental harm that requires:
(a) resulting in hospital admission for more than 24 hours,; or
(b) requiring in-patient surgery,; or
(c) diagnosed treatment and confirmed as caused by exposure to a workplace hazard, by a medical practitioner who is a registered specialist operating within their the appropriate scope of practice.
