Supplementary written evidence from the Ministry of Defence

The Sub-Committee of the HCDC announced a new inquiry titled Beyond Endurance? Military Exercises and the Duty of Care on 19 October 2015 to which the Ministry of Defence (MOD) submitted written evidence on 4 November.  This paper is designed to answer the supplementary questions raised by the Sub-Committee.

1.               How often, and in what circumstances, has the Director General of the Defence Safety Authority raised matters directly with the Secretary of State for Defence?

Since 1 April 2015, the Director General of the Defence Safety Authority (DG DSA) has raised two issues directly with the Secretary of State for Defence.  The first was the presentation of his Annual Assurance Report within which he provided the Secretary of State with his assessment of the safety assurance provided by each of the Defence Regulators. The report also highlighted the strategic safety risks currently faced by Defence and key safety-related issues from both the Duty Holder and Duty Holder Facing perspectives. It also outlined performance in relation to meeting Departmental environmental obligations, a summary of Defence safety statistics and the accident investigation activity conducted in support of safety-related Service Inquiries (SIs) under the remit of DG DSA’s primary Convening Authority role.  This report will be published on the www.gov.uk website in late November/early December.

The second issue that DG DSA has raised directly is in relation to the disclosure of Cockpit Voice Recordings (CVR) following fatal military aircraft accidents.  The DSA drew attention to two issues: firstly the difference between the legal protections afforded for civilian CVRs, as opposed to military CVRs; secondly, arguments about the potential damage that can be done to safety investigations and aviation safety culture by disclosing CVRs.  The MOD accordingly raised these concerns with HM Coroner for Oxfordshire, the Coroner responsible for investigating the deaths of five Servicemen killed in a Lynx helicopter crash in Afghanistan in 2014.

2.               Please can you give a breakdown of the deaths on training, exercise or selection event in each Service by unit / formation?

Between 1 January 2000 and 24 October 2015, 131 members of the UK Armed Forces (Regulars and Reserves) have died whilst on training or exercise. 

Source: Defence Statistics (Health)/single Services

Notes:

1. Figures are for regular and reservist personnel.
2. Figures are for all causes of death and therefore include those deaths that occurred due to injury or natural causes whilst on training or exercise.
3. Figures are for all types of training or exercise.
4. Deaths from Regiment’s prior to the 2006 Army restructuring have been subsumed into the Regiment’s as they are titled currently.

3.               What is the breakdown for each Service of deaths that have occurred while on (a) individual training and (b) collective training?

Breakdown of UK Armed Forces deaths that have occurred while on individual and collective training, 1 January 2000 to 24 October 2015.

Notes:

1. This does not include all Army deaths, as 8 of those were not identified as either collective or individual training.
2. In accordance with the Defence Collective Training Policy issued on 2 June 2015, Collective Training is defined as “training that is aimed at improving the ability of teams, units or formations to function as a cohesive entity and so enhance operational capability.”

4.               Please can you give a breakdown of the types of injuries that caused the deaths of 98 Service personnel on training or exercise between 1 January 2000 and 24 October 2015.

Defence Statistics (Health) conduct a yearly validation exercise on cause of death information where it cross-references the medical information it holds against publicly available death certificate information available from the National Health Service. This validated information is released yearly in the National Statistic publication: Deaths in the UK Regular Armed Forces.

The table below presents the number of UK Armed Forces deaths on training and exercise by medical cause of death as defined by the International Statistical Classification of Diseases and Related Health Problems 10th Revision (ICD-10).

UK Armed Forces1 deaths on training2 or exercise by medical cause3 of death, 1 January 2000 to 24 October 2015, numbers

Source: Defence Statistics (Health)

Notes:

1. Figures are for regular and reservist personnel.
2. Figures are for all types of training or exercise.
3. As coded to the World Health Organisation (WHO) International Statistical Classification of Diseases and Related Health Problems 10th Revision (ICD-10).
4. Denotes provisional where some cause of death information has yet to be validated and could be subject to change.

5.               Looking at the July 2015 FOI release, the figure for the deaths of Army Reservists on training or exercises appears strikingly higher than those for the other Services. What assessment has been made of this?

It is not believed that the Army has undertaken an assessment of this issue.  The dataset from the July 2015 FOI shows 17 Army Reservists died compared to one in the Naval Service and two in the RAF.  If taken at face value it could be perceived as concerning but it should be noted that this includes 9 personnel who died of natural causes.  Of the 8 personnel remaining:

• three were those involved in the Brecons selection incident and are effectively in a category of their own;
• a further 3 died in Adventurous Training accidents;
• one died in a helicopter accident in Afghanistan (and it is therefore debatable whether he should have been included in the original data); and
• one died of a gunshot wound while on exercise. 

While regrettable, 5 deaths (arguably 4) is not necessarily ‘strikingly higher’ relative to the other Services given the comparative size and number of Army reservists mobilised over the period. 

6.               Do additional measures exist in respect to ensure the health and safety of Reservists on training, exercises and selection events and, if so, when were these last reviewed?

An overview is provided for each Service.

Royal Navy.  The standards for conducting risk assessments for Reserve personnel undergoing new entry training are consistent and applied in accordance with the policy direction in Joint Service Publications (JSPs) 898, 375 and 539.  For Reserves Phase 2 (Professional) training, Commander Maritime Reserves (CMR) staff are currently conducting a review of all Operational Performance Statements for their sub-branches and part of this review will include reviewing risk assessments for delivery of training.  It should be noted that Phase 2 training is more professional and technical skill-based and does not replicate the arduous nature of Initial Naval Training (INT).

Besides inclusion in establishment formal Risk Assessments (RAs), staff conduct dynamic RAs prior to serials and any near misses are then reported through the Safety, Health, Environment and Fire (SHEF) system and changes made where necessary.  Op Orders (which are individually reviewed and raised for training events) include Health and Safety and environmental awareness. In many cases Reservists are embedded within the Training Providers and as appropriate bring Reserve-specific input to establishment RAs.

The Royal Naval Reserve (RNR) INT and Royal Maritime Reserve (RMR) Phase 1 programmes (including selection/assessment criteria) have only recently been reviewed (2013/14) and RNR Phase 2 training is now progressing through the Defence Systems Approach to Training (DSAT) process which will include RA/Health and Safety reviews.

Army.  The Army treats all of its personnel in the same way and therefore there are no extra measures in place specifically for Reservists.  However, a full risk assessment is completed for each discrete activity conducted both within the exercise and in support of it.  They will individually establish if all elements of the Safe System are in place and identify what hazards, if any, are not covered.  For each risk to life identified, mitigating action to ‘treat’ the risk is taken to ensure it remains ‘as low as reasonably possible’ (ALARP).  Only once all risks have been identified and the level at which that risk is held established can the exercise proceed.  If a waiver is not granted, the activity ceases or does not occur.  This assessment is continuous and dynamic during the course of any training activity, taking account of physical conditions, training objectives and the condition of the soldiers involved.  So for example, an adventurous training activity might not be undertaken based on a changing weather situation, or a collective training exercise changed to account for fatigue in the exercising troops.  This applies to all activity, whether it involves Reservists or not. 

Royal Air Force.  There are no additional health and safety measures applied to Reservist training, exercises and selection events.

7.               How many deaths or accidents involving Junior Entry Recruits have occurred while on training or exercise?

The MOD has interpreted ‘Junior Entry Recruits’ to be all those untrained personnel under the age of 18.  Of the 131 deaths that have occurred on training or exercise from 1 January 2000 to 24 October 2015, five personnel have been defined as ‘Untrained’ and under the age of 18 at the time of their death.  One person was from the Royal Marines and four personnel were from the Army.  Of these four, we believe one was a Junior Entry soldier; none was on the trained strength.  One of the deaths was of natural causes, one involved a helicopter crash, one was on adventurous training and the last was on an exercise.

8.               What compensation schemes are available to Service personnel and their families in respect of deaths and accidents on training, exercises and selection events?

Armed Forces Compensation Scheme.  The Armed Forces Compensation Scheme provides no-fault compensation for injury, illness or death where caused by service from 6 April 2005.  The scheme applies equally to both Regular and Reserve personnel.  It derives from the Armed Forces (Pensions and Compensation) Act 2004.

Compensation is paid for injuries which arise as a result of service, regardless of how they are sustained. No distinction is made between injuries sustained on operations, and those incurred during training, service-approved sport, or while exercising to maintain fitness. Recognising that members of the Armed Forces do not generally choose where they deploy and what activities they undertake as part of their service, the compensation scheme covers the wide spectrum of activities the Armed Forces undertake.  Awards can be made in-service. There is also a right of appeal to an independent tribunal.

Awards.  All awards provide a tax-free lump sum for the pain and suffering caused by the injury. For those with serious injuries and illness the scheme also provides a Guaranteed Income Payment (GIP) for life.  This element is tax-free and recognises the impact of the injury on the individual’s future employment prospects.

Benefits are also paid to eligible dependants where death is caused by service.  These take the form of: an ongoing income stream paid for life to an eligible partner known as Survivors Guaranteed Income Payment (SGIP), an income stream for eligible children, known as a Child Payment and a one-off grant known as a Bereavement Grant.

9.               What is the amount of compensation paid in each of the last 10 years by each Service due to accidents and deaths during training, exercises and selection events?

The information presented in the table below is the overall payments made under the Armed Forces Compensation Scheme.

Notes (applicable to the breakdown by Service):

1. 2015/16 amounts are as at 30 September 2015.
2. Where the Bereavement Grant paid is shown as zero this is because under the rules governing payment, the member’s salary at date of death was £25,000 or more so the Bereavement Grant was not payable.

A breakdown of payments made under the Armed Forces Compensation Scheme by Service is shown in the tables below:

Army

Royal Navy

Royal Air Force

The total amounts of compensation paid to members of the individual Services in respect of Employer’s Liability (EL) claims for each financial year from April 2007 are shown in the table below. This covers all EL claims, not just those relating to training, exercises and selection events.  The detailed breakdown of this information into types of claim is currently not available. The Department realises that a full breakdown would be valuable and is considering how best to capture more granular information in future years.

10.               Please can you provide examples of letters issued to Operating Duty Holders and Delivery Duty Holders as part of the Defence Safety Governance arrangements.

Examples of letters issued as part of the Defence Safety Governance arrangements are provided at Enclosures 1 to 4 to this written evidence.

11.               Who is responsible for the design, supervision and delivery of Specialist Military Unit training and selection activity: Joint Forces Command or the individual Services?

The design, supervision and delivery of training and selection activities, which are unique within Defence, rests with Headquarters Specialist Military Units (SMU) under their two star Commander.  All training for SMUs is focussed on the role that an individual or groups may be required to undertake in operational circumstances.  This training is intended to enable members of SMU to operate at ‘reach’ which is defined as the ability to operate for extended periods at considerable distance from support (UK supplement to the NATO Terminology Database).  All MOD policies apply equally to SMUs.  Where MOD policy would prevent the conduct of operationally necessary exercises, processes exist to seek higher level authority to allow a departure from the extant policy, balanced against the need to take the risk and additional mitigation put in place.

12.               In work to enshrine the duty-holding concept, are there special difficulties in working in areas where more than one Service is involved (for example all Services feature in Specialist Military Units , which sit within a separate Chief’s area: Joint Forces Command)?

The Duty Holder concept applies equally in the single Services or in the Joint environment.  Where more than one Service is involved (such as in JFC), any potential complexity in the Command chain should not necessarily translate into difficulties in the application of Duty Holding.  A Senior Duty Holder (for example, a Chief of Service, including JFC) holds the responsibility, accountability and, importantly, the budgetary power to affect change for a capability, piece of equipment or military Unit.  Beneath this layer, the Operating Duty Holder bears the immediate responsibility for ensuring the safe operation of equipment, or the safe conduct of activity.  The fact that these two appointments may come from different Services does not alter or affect their Duty Holding relationship.

As part of the work to enshrine the Duty Holder construct, the DSA is developing a set of principles to better guide all parts of Defence towards a universal understanding of the concept and a more common implementation of the construct.  It will be applied differently in each Service, to reflect the different balance of roles and equipment that exist in each, but at its core will remain the critical requirement for a clear and defined relationship between each of the Duty Holding layers.  This is needed to ensure that risks to life are owned, can be mitigated, and where not reduced to ALARP, activity is either stopped or escalated to the next Duty Holder level, so that appropriate resources can be applied to provide additional mitigation measures.

13.               Please provide the Committee with examples of completed risk assessments for training, exercises and selection events.

An example of a completed risk assessment is provided at Enclosure 5 to this written evidence.

14.              Please outline the procedures in place for liaising and integrating with civil authorities on training, exercises and selection events.

This is an overview of the procedures that the Armed Forces have in place for liaising and integrating with civil authorities for activities at sea, on land and in the air.  Each of the Services will draw on the liaison and integration arrangements which are applicable for the specific activity they are conducting.  

Sea:

• Numerous and regular liaison with Her Majesty’s Coast Guard (HMCG), maritime organisation and local fishing industry associations to pass on information of military ship and submarine operations, and activity such as live firings.  The aim of this is to improve the safety of local fishing activities.
• Interactions between fishing vessels and submarines is governed by a Code of Practice developed by the Department of Environment Transport and Regions sponsored Fishing Industry Safety Group (FISG), sub-group on submarine and fishing vessel matters.
• Liaison with environmental agencies over activities in or near Maritime Protected Areas.  This principally affects use of sonars for anti-submarine warfare or mine detection, but also covers a range of other activities including operating high speed small craft and replenishment at sea.

Land:

•                Participants on land training areas plan the exercise, conduct a reconnaissance and liaise with the Defence Infrastructure Organisation (DIO) who manage the training estate on behalf of Defence.  As part of this they will produce an Exercise or Range Action Safety Plan, specific to the location and activities being conducted.  This draws on the Training Area or Range’s Standing Orders that include the procedures to be followed in the event of an incident.  DIO will then liaise with external services if the nature of the activity requires it.
•                If training on private land, a separate request is submitted to DIO, which will conduct the liaison with civilian organisations and landowners.  Any agreements or restrictions are made with DIO acting as the intermediary.

Air

• Liaison with the Civil Aviation Authority (CAA) via the Airspace Utilisation Section for airspace reservations and to use Secondary Surveillance Radar interrogators.
• Direct liaison with the National Air Traffic Service (NATS) and Civil Airspace Users to ensure positive sharing of information regarding activity.
• Nuclear Restricted Area: Liaison with CAA Safety Airspace Regulatory Group (SARG) and all civil agencies and companies that hold an Exemption to the Air Navigation Order (ANO) 2007 that allows flying within Radiological Hazard Potential EGR002 under the conditions of the exemption.

Military Radar Air Traffic Control (ATC) provides support to Operational Sea Training.  Related liaison with civil authorities includes but is not limited to:

• NATS Civil Sectors:  Tactical and Standing Co-ordination of Airspace and Airspace users.
• CAA:  Liaison with SARG and Defence Airspace Air Traffic Management (DAATM) for the implementation of Airspace Classification Notifications (ACNs) and Flexible Use of Airspace (FUA) concept.
• Adjacent Other Civil ATC Units:  All with Letters of Agreement or Memorandum of Understanding in place to ensure a safe and expeditious flow of Air traffic.
• HMCG: Provision of Air Traffic Services to HMCG aircraft both on and off task within exercise areas.
• Emergency Services:  Provision of Air Traffic Services to Police Aircraft both on and off task within exercise areas and adjacent airspace.
• Other Civil Airspace Users & Flying Clubs:  Provision of Air Traffic Services, Danger Areas Crossing Service (DACS), Danger Areas Aeronautical Information Service (DAAIS), and education on airspace infringements.
• Promulgation of Danger Area Activation times and heights for hazardous activity with UK Civil Aeronautical Information Publication (AIP) and “Notice to Airmen” NOTAM raised if hazardous activity is to take place outside of these published times.

General

• Training establishments maintain a good relationship with the local emergency services, particularly when conducting exercises outside of the training establishment.  Risk assessment and Incident Response plans and procedures include the use of emergency services where appropriate, and the procedures for liaising with civilian authorities involving training emergencies are contained in Unit Standing Orders.
• Liaison with the Joint Spectrum Authority for use of radio frequencies.
• Regular liaison with medical facilities around exercise areas to maintain an up to date understanding of facilities available, including opening times.
• Direct liaison with appropriate civilian agencies when an exercise may impinge on the safety of civilian activities.  This includes liaison with the Joint Spectrum Authority, Maritime and Coastguard Agency, Marine Management Organisation, and CAA for activities such as GPS Jamming or the National Air Traffic Control Centre at Swanick for artillery firing or parachute jumping.  This information is then widely publicised – media and social media releases – to maximise its distribution to civilian users of the exercise areas.

Specialist Military Units.  In Specialist Military Units a Medical Plan is produced prior to every exercise which outlines the medical services to be provided during training, exercises and selection events. Some civil authorities are open to prior liaison, which is taken up where relevant; for example Mountain Rescue Teams local to an exercise or selection. Others, such as the National Health Service Ambulance Service, prefer to react to emergencies on a 999 call as they must deal with competing incidents over their area of responsibility using their own protocols. Local Police authorities are inevitably informed and consulted, at the planning stage, about exercises and selection in order to contribute to the threat assessment and potential impact on the community in the local area.

15.               What input do civil authorities have into learning lessons from deaths or accidents on training, exercises and selection events?

In circumstances that have led to the death or serious injury of an individual within the UK the Health and Safety Executive (HSE) may initiate an investigation, additionally in the event of an unnatural death the relevant Coroner may conduct an Inquest.  Both of these may generate lessons.  In the event of any unnatural death the Home Office Police has primacy and may conduct an investigation if a criminal act is suspected but these do not focus on identifying lessons to prevent recurrence.

Health and Safety Executive.  The HSE may undertake an investigation in order to determine if a death or serious injury has arisen as a result of a breach of Health and Safety legislation. There is no MOD exemption from the Health and Safety at Work Act and relevant statutory provisions.  However, as a Crown body the MOD cannot be prosecuted for breaches of the Act, or for failure to comply with Crown improvement and prohibition notices.  In place of this there are administrative arrangements by which Crown bodies may be censured in respect of offences, where there is deemed to be sufficient evidence of failing to comply with health and safety law which would have otherwise have led to a successful prosecution.

The HSE will provide a detailed record of the failings, setting out the evidence against the MOD and the reasons for their decision in relation to issuing a Crown Censure.  The MOD is then given the opportunity to provide a written response prior to the formal Censure hearing.  The hearing is non-adversarial and is chaired by a senior HSE official, minuted, and subject to any restrictions for matters of national security / personal details, the matter becomes a public record. The relatives of those affected by the breach of the Act maybe invited to the Censure hearing with MOD’s agreement.

Coroners.  In circumstances where an unnatural death has occurred the Coroner may hold an inquest and in their findings draw attention to the existence of circumstances which, if nothing is done, may lead to further deaths.  In such circumstance the Coroner is under a statute duty to make a formal report under Regulation 28 of The Coroners (Investigation) Regulations 2013.  The report is sent to the Chief Coroner and in respect to the MOD to the Defence Inquest Unit (DIU)  and then on to the relevant Front Line Command / Top Level Budget Holder (TLB) in which the accident occurred.  The Chief Coroner may also send a copy to any other parties that may find it useful or of interest, which may include families of the deceased.

Following receipt of a Regulation 28 Report the MOD is invited to respond within 56 days.  The reply must contain details of any action that has been taken or is proposed to address each of the issues raised, including the timeline for compliance, or explain, with evidence, why no action is proposed.

A copy of the response may be forwarded by the Chief Coroner to the interested parties to whom the original Regulation 28 report was sent.  The lessons identified from external investigations are captured by the relevant TLB lessons management systems for tracking through until completion.

16.               What interaction does the Defence Safety Authority have with external organisations and individuals such as the Health and Safety Executive, Coroners’ Service, Service Families Federations, and families of Service personnel who have died or been injured and their representatives?

The DSA is the author and custodian of the General Agreement that exists between the MOD and the HSE.  This General Agreement defines the relationship between the two organisations and sets out the approach MOD uses to comply with relevant legislation and that of HSE as a statutory authority for Defence activities. This General Agreement was co-signed by the MOD Permanent Under Secretary and Chief Executive/HSE in December 2014.  The central liaison with HSE at a strategic level is through the HSE’s representation at DSA Executive Board and at the working level between DSA’s Corporate Policy and Assurance (CPA) team and HSE’s Public Services Sector (PSS) lead.  DSA’s CPA co-ordinates an annual meeting of the Joint Liaison Committee (JLC) between each of the TLB’s Chief Environment and Safety Officers (CESOs) and HSE’s PSS lead.  Guidance on the application of HSE’s statutory health and safety requirements is also provided by the CPA team through relevant JSPs.

DSA’s Defence regulators maintain a peer relationship with HSE in order to ensure seamless regulation of Defence activities.  The liaison arrangements make provision for joint regulatory activities such as inspections and sharing of information and domain-specific arrangements are described in annexes to the General Agreement.  This liaison has also allowed for HSE’s peer review and audit of DSA’s regulatory arrangements, for example, the HSE last audited the Land Systems Safety Regulator in February 2015.  The DSA Executive Board also includes, as a permanent member, a senior representative from the Health and Safety Executive in order to provide independent safety advice.

DG DSA, in his capacity as Defence’s primary convening authority for safety-related SIs, is responsible for the process of investigating fatal safety-related accidents.  This is done through the mechanism of a DSA led SI.  These inquiries are convened using personnel taken from across Defence who have appropriate and relevant experience; importantly the personnel selected are taken from outside of the affected command chain to ensure the independence of their investigation.  Examples of recent safety-related Sis can be found at the following on the gov.uk website.

Once a DSA safety-related SI is convened, the SI President (who will be of minimum OF4 rank in the event of a fatality) offers to meet with the family of the affected persons.  The briefing offered explains the SI process, outlines the Terms of Reference DG DSA has directed to be investigated, and the expected duration of the SI.  At the end of the SI process the President again offers to meet with the family in order to explain his findings. The DSA also provides the affected Next of Kin (NOK) with an un-redacted copy of the SI report at this time, and in advance of the public release of a redacted copy of the report.  DSA engagement with the Coroner involved is coordinated by/through the DIU which ensures he is provided with an un-redacted copy of the report in advance of its public release. The DIU also facilitates Coroner’s access to any of the associated evidence from the DSA safety-related SI that may be needed to support a subsequent inquest.  This process has been in place following aviation accidents since 2010, and for all other safety related SI investigations involving a fatality since the DSA formed on 1 April 2015.

Beyond this interaction by the DSA, the DIU is responsible for managing the interaction between the MOD and HM Coroner’s nationally.  Each respective single Service has a responsibility to support the families of their respective Service personnel who have died or been injured.  They also have their own relationships with the range of Service Families Federations that exist to promote and represent the issues and concerns of affected service personnel and their dependents.

17.               Please can you outline the support available to the families of Service personnel who are injured or die on training, exercises and selection events.

The HCDC considered the issue of support to bereaved families during their Inquiry into the Armed Forces Covenant in 2011 and the information provided for this will be applicable here.  The MOD Joint Service Publication (JSP) 751, Joint Casualty and Compassionate Policy and Procedures, provides the framework, guidance and direction on casualty management, from which the single Services develop and deliver their support for bereaved families.  No distinction is made between operational and non-operational deaths.  Although JSP 751 lays out the overarching process, each Service will have different organisations involved in supporting families. 

Following notification of an incident and in accordance with JSP 751, immediate support is provided to the NOK/Emergency Contact (EC) of a Service casualty.  Every Service Person is required to maintain up to date NoK/EC information on their Joint Personnel Administration account in order to facilitate the notification process. 

The Joint Casualty and Compassionate Centre is responsible for coordinating the initial response via designated Service Notifying Authorities who are in turn responsible for appointing trained Casualty Notification Officers (CNO) and Visiting Officers (VOs).  A VO should normally establish contact with and visit the family within 24 hours of an incident.

A CNO will normally notify the NoK/EC of an incident and someone from the Chaplaincy will visit shortly after to offer pastoral support.  If the Civilian Police undertakes to inform the NoK/EC (if they elect to do so, as they have primacy), a CNO may not always be activated.  However, in these instances, Notifying Authorities will ensure that family members are provided with contact details of designated support staffs via the Civilian Police until a VO is in place.  They may also be visited by someone from the Chaplaincy to offer support in the interim.

A VO will be appointed to provide support to the NoK/EC on all service-related issues.  In the case of a deceased casualty, this may include repatriation, a Service funeral, a Coroner’s Inquest and a SI.  The VO acts as the primary conduit for all communication with the NoK/EC to ensure that they are not overwhelmed.  The VO will also explain what additional specialist support is available to the family, when they judge the time is right to do so.  Support is tailored to the individual needs of family members and is considered on a case by case basis. 

In addition to the above, if a SI is initiated, the VO will facilitate contact by the President of the SI in accordance with the procedures set out in JSP 832, Guide to SIs.

The allowances package and grants available to NoK/EC will be made in accordance with entitlement and tailored to their particular needs; this could include support with travel and subsistence, funeral grants, financial support, specialist welfare support, education and training and third sector/charitable support, for example, bereavement counselling.

18 November 2015

Enclosures:

1. Example of a Duty Holder Letter Royal Navy
2. Example of a Duty Holder Letter Royal Air Force
3. Example of a Duty Holder Letter Joint Forces Command
4. Example of a Duty Holder Letter Army
5. Example of an MOD Risk Assessment Form

1. Example of a Duty Holder Letter Royal Navy

LETTER OF AUTHORITY TO ACT AS OPERATING DUTY HOLDER

1. As the Senior Duty Holder for Navy Command TLB, I hereby appoint you as the Operating Duty Holder (ODH) and delegate you my authority for ensuring the safety of all personnel and management of environmental protection, meeting relevant statutory requirements and implementing both MOD and domain-specific policy for the activities carried out on the Naval Training Estate.
2. I require you to put in place an organisation and arrangements to discharge your ODH functions and describe these in the Navy Command’s Safety and Environment Management System (NCSEMS), BRd 9147. As part of these arrangements you are to put in place arrangements to oversee the management and implementation of statutory requirements and both MOD and domain-specific policy for the activities carried out on the Naval Training Estate through an ODH Working Group (ODHWG), chaired at OF5 level, by liaising regularly with Commanding Officer Duty Holders. In doing do you are to ensure that:
1. A positive safety culture for the protection all personnel is promoted within your area of responsibility;
2. You receive full and regular assurance, using appropriate metrics, that all ODH requirements are being implemented and apprised of any shortcomings in this implementation;
3. You are fully and regularly advised of risks to this implementation and that safety and environmental protection risks are fully justified and managed to As Low As Reasonably Practicable (ALARP). Where this is not possible these risk are to be escalated in the management chain;
4. You are able to provide Fleet Commander, as my appointed Senior Manager and chair of the RNDG, with the necessary assurance that your ODH requirements are being implemented and identify where there are any shortcomings or risks to that implementation;
5. The management of risk and compliance with MOD policy and legislation requirements are monitored through appropriate audit;
6. Standards of training and experience are specified for all personnel deemed as having roles as suitably qualified and experienced personnel (SQEP) and that levels of SQEP are monitored.
7. Safety and safety related structures, components and systems are subject to regular maintenance, inspection, testing and servicing, so that they remain capable of meeting their design requirements throughout their life;
8. Equipment and platforms are operated within the limits of relevant safety cases for the operating envelope. Where for justified operational reasons equipment and platforms are operated outside of the design envelopes sufficient and suitable risk assessments are carried out to identify any additional risks and controls, and where time permits, this is to be in consultation with the Platform Duty Holder or equipment project team;
9. All records of personal injuries, incidents, accidents and near misses occurring within your areas of responsibility are analysed and investigated to ensure lessons are identified, learnt and shared with all stakeholders;
10. The actions of your ODHWG are co-ordinated, with the activities of other Duty Holders within Navy Command through co-ordination and communication at the 1* Duty Holder Co-ordination Group (DCOG);
11. Your organisation and arrangements are regularly reviewed and revised as necessary and maintained ready to support an accident and crisis response (ARCO) or other unplanned safety-related event;
12. You are to provide an input to the TLB annual report to my Navy Board on your performance in complying with these requirements and any risks to this compliance, through appropriate senior boards.

3. Finally, your position as ODH means that you have right of access to me on any safety matter in your area of responsibility that requires my immediate attention.
4. You are to acknowledge receipt of this Letter of Authority and your appointment as ODH in writing.

2. Example of a Duty Holder Letter Royal Air Force

LETTER OF AUTHORITY TO BE THE DELIVERY DUTY HOLDER FOR ROYAL AIR FORCE MARHAM

1. In my role as the RAF Senior Duty Holder (SDH) and in accordance with the current Military Aviation Authority (MAA) Regulatory Publications,[1] I hereby appoint you to be the Delivery Duty Holder (DDH) for all aviation activities under your command, and for all the airfield facilities and operations at the RAF Marham. As such, you are personally legally responsible and accountable to me, through the Operating Duty Holder (ODH), for the Air Safety[2] of the air systems within your Area of Responsibility (AoR)[3] including whilst they are detached on exercise or deployed on operations.[4]

2. As DDH you are subject to the assurance requirements of your OFH and those of the MAA, and specifically responsible for:

1. Compliance with the requirements of HQ 1 Group’s Air Safety Management Plan (ASMP) as directed by the ODH.
2. The provision and maintenance of an effective Safety Management System (SMS) that should, wherever possible, align with AP8000, the RAF Safety and Environmental Management System, in order to demonstrate an acceptable means of compliance.[5]
3. Ensuring all air systems and airfields within your command are operated with risks assessed as tolerable and ALARP. In the event that these criteria cannot be met by appropriate mitigation measures within your gift, you are to notify the ODH of your intention to cease specified operations or continue as directed by the ODH.  In considering technical risks, you are encouraged to consult with the Group Chief Air Engineer (CAE).
4. Ensuring that personnel under your command who are engaged directly in Air Safety-related activities are suitably qualified, trained, experienced and equipped.
5. The provision of subject matter advice to commanders outside your chain of command such as other DDHs at units where your air systems may be operating (eg T&E activity) or commanders pursuing operational objectives in accordance with a CDS Directive (eg formed units on deployed operations).

3. Your authority as DDH applies throughout your tenure and, unlike other authorities, shall not be temporarily delegated to a deputy.  However, on the rate occurrences where you consider it more prudent to nominate a suitably-empowered individual to manage DDH activity on your behalf, you are to action the following, recognising always that this does not absolve you of your responsibility and accountability as DDH:

1. Inform your ODH which individual and for what period you are nominating a SQEP to manage DDH activity.
2. Ensure that such nominated individuals are made aware of the boundaries of their authority. If they consider themselves umable to manage Risk to Life to a level they consider Tolerable and ALARP, then they are to refer such risks to your ODH – this might arise either because the mitigations in place for those Risks already owned by you as the DDH have changed, or new Risks have been identified, during your temporary absence, which you are required to own.
3. Review, on return to duty, any risk judgements made by that nominated individual and then formally endorse, modify or rescind their decisions; you are to discuss any such amendments/changes immediately with your ODH.

4. Your responsibilities as a DDH are complementary to those delegated to you by your AOC as an Aircraft Operating Authority, since you are in his command chain.  You should note that your role as a DDH does not absolve you from the enduring duty of care responsibilities under Common Law and the Health and Safety at Work Act (1974).

5. You are to acknowledge receipt of this Letter of Authority and accept your appointment as a DDH in writing prior to 27 Jul 15.

3. Example of a Duty Holder Letter Joint Forces Command

Dear

CHIEF OF STAFF JOINT FORCES COMMAND – LETTER OF APPOINTMENT OPERATING DUTY HOLDER

The Secretary of State for Defence has appointed me as the Senior Duty Holder for all Risk to Life activities under my control.  I accept the responsibilities that come with this appointment and recognise the enabling and sustaining role that good safety management can play in our operations.

In accordance with the JFC Duty Holder Construct, as agreed at the March 13 Command, I am required to appoint Operating Duty Holders to manage the Risk to Life activities under their control. So, in parallel with your general responsibilities for Health, Safety & Environmental Protection as HLB Holders with the resources to deliver your respective outputs, I am appointing you as Operating Duty Holder to manage the Risk to Life activities that you have under your control.

As an Operating Duty Holder I expect you to:

1. Identify all Risk-to-Life activities within your areas of control.
2. Identify suitability qualified and experienced subject matter experts to advise you on the operating and technical aspects of the Risk-to-Life activities within your areas of control.
3. Ensure that an effective safety management system is resourced, implemented and appropriately managed for the Risk-to-Life activities under your control.
4. Appoint suitably qualified and experience Delivery Duty Holders to manage the Risk-to-Life Activities under your control.
5. Ensure that relevant inspections/audits take place and that any recommendations/actions are acted upon within the require timescale.
6. Subject to operational circumstances, discuss any excursions from defined safe operating conditions involving the Risk-to-Life activities under your control with your suitably qualified and experienced subject matter experts and document those discussions with the rationale for any risk mitigation decisions made.
7. Escalate any risks that cannot be mitigated to As Low as is Reasonably Practicable to the appropriate Senior Duty Holder.
8. Provide an annual performance and assurance report to me as Senior Duty Holder.
9. Further guidance on the JFC Duty Holder Construct can be found in JFC SOP 0013. Further advice can be sought from JFC CESO (9352 30248).

I will be establishing a JFC Risk to Life Steering Committee and will expect you to attend to report on progress with implementing the JFC Duty Holder Construct and to table any risks that require escalation or join consideration.

Finally, I would be grateful if you could write to me to confirm that you accept and understand this appointment.

4. Example of a Duty Holder Letter Army

See Distribution

References:

A.              Army/COS/14/2/10 dated 28 Feb 14.

B.              FRAGO 01 To OpO 14/002 – The Army’s Approach To ‘Risk To Life’

Sport And Adventurous Training dated 3 Sep 14.

C.              Army HQ/Plans/Org Plans Implementation Warning Order dated 10 Jul 15.

SITUATION

1.             This FRAGO is issued in accordance with Reference A and prior to the publication of a revised LFSO 3216 that will detail the Army’s mechanism for complying with its Duty Holding (DH) responsibilities.    This FRAGO applies to the resubordination of 16 Air Assault Brigade (16 AA Bde) and Collective Training Group (CTG). 

MISSION

2.             No change.

EXECUTION

3.             Concept of Operations. No change.

a.             Intent.  No change.

b.             Scheme of Manoeuvre.  No change.

c.              Main Effort.  No change.

4.             Tasks.

a.             CGS (as Senior Duty Holder (SDH)). No change.

b.             CLF[6] as 3* oversight.  No change.

c.              CLF as Operating Duty Holder (ODH).  CLF is to assume the ODH role for 16 AA  Bde, and CTG wef 30 Nov 15 on resubordination[7].   ODH tasks as per OPO 14/002 and FRAGO 01 remain unchanged. 

d.             1*/OF 5 Commanders (providing 1* oversight).  Comd 16 AA Bde, Comd CTG.  1* oversight task as per OPO 14/002 and FRAGO 01 remain unchanged.

e.             Commanding Officers/County Commandants/OCs of Independent Squadrons (as DDH).  No change.

f.               DG Cap (as the DH-facing SME).  No change.

g.             CESO(A).  No change.

h.             Chief Engineer (Army).  No change.

5.             Coordinating Instructions.

a.             Timings.  As per IO (currently predicted 30 Nov 15).

b.             Assurance.  No change.

SERVICE SUPPORT

6.             No change.

COMMAND AND SIGNAL

7.             No change.

5. Example of an MOD Risk Assessment Form

MOD Form 5010a

Introduced Mar 2011

MOD Risk Assessment Form

Notes:

1         If using a ‘Generic’ risk assessment, Assessors and Line Managers are to satisfy themselves that the assessment is valid for the task and that all significant hazards have been identified and assessed.  If additional hazards are identified they are to be recorded and attached to the Generic assessment.

2              Line Managers are to note that they are responsible for production of the risk assessment and that they are signing to indicate that the risk assessment is suitable and sufficient and they consider the risks to be acceptable.

3              When recording the Risk Rating ensure that both the Likelihood and Consequence scores are included.

              4              Record the residual Risk Rating to demonstrate that the risk has been reduced to an acceptable level; record Likelihood and Consequence scores.              

5              Risk Assessments are to be reviewed:

• Annually.
• If there is reason to doubt the effectiveness of the assessment.
• Following an accident or near miss.
• Following significant changes to the task, process, procedure or Line Management.
• Following the introduction of more vulnerable personnel.
• If “Generic” prior to use.