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Health and safety policy

Quilter is committed to providing a safe and healthy working environment for all its employees, contractors and visitors in accordance with local legislation, good practice and corporate behaviours.

Quilter and its Managers have the primary legal responsibility for implementing this policy but all employees, contractors and visitors also have a legal duty to contribute constructively to their own health and safety and that of others.

Scope of policy

Quilter employees, buildings and all working environments including homes for those contracted to work from home and who travel as part of their duties.

Risks Controlled by policy

Risk of injury or harm to a member of employees, contractors or visitors and any other persons using Quilter buildings or office space through a failure to take adequate steps to comply with health and safety legislation. This could result in criminal prosecution or a civil claim of negligence relating to personal injury or harm.

Mandatory requirements

Safety Management

Quilter recognises its responsibilities to provide a safe and healthy working environment for all employees, contractors and visitors as far as reasonably practicable

Quilter will take steps to ensure that statutory duties are met at all times, both nationally and internationally

Quilter management will ensure that all processes and systems of work are designed to take account of health and safety and are properly supervised at all times

All employees and contractors will be given such information, instruction, supervision and training as is necessary to enable the safe performance of work activities

Organisation Responsibilities

CEO’s of Quilter & Market Operating Units (MOUs)

The Quilter CEO has overall responsibility for health, safety and welfare matters within Quilter. The Quilter CEO shall ensure:

  • that there is an effective policy for health and safety;
  • the provision of regular reviews to its effectiveness and the provision of adequate personnel, funds and materials to meet the requirements within the Health and Safety Policy;
    • that arrangements are in place to facilitate consultation and communication with employees with regards to matters of health and safety, and that personnel are informed of any relevant changes in legislation and that the Health and Safety Policy is up-dated as necessary; and
    • that CEOs of each MOU adopt the Health and Safety Policy and adapt it to meet local requirements in terms of legislation and premises

Each MOU CEO shall ensure that:

  • health and safety arrangements are in place and documented by each MOU
  • a competent person is nominated from each MOU to facilitate day to day health and safety duties;
  • arrangements are made for suitable health and safety training for all employees;
  • appropriate resources are allocated to allow for the elimination and/or control of all known and reasonably foreseeable hazards; and
  • any individual failing to discharge their health and safety responsibilities is reprimanded, as necessary and instigate disciplinary action in accordance with Quilter disciplinary procedures and policy.

Health and Safety ‘Competent Person’

The health and safety ‘competent person’ has day to day responsibility for health and safety matters, reporting to the MOU CEO. The Health and Safety Competent Person fully supports the health and safety policy and has responsibility for:

  • carrying out risk assessments, implementing suitable and adequate control measures, monitoring and periodically reviewing the risk assessments;
  • carrying out regular inspections of the premises and maintain suitable records;
  • ensuring that all information regarding health and safety is communicated to all employees;
  • providing suitable training to employees with regards to health and safety;
  • liaising with all safety representatives as necessary;
  • ensuring that adequate Employers’ Liability Insurance is provided and that the relevant certificate is displayed;
  • ensuring all accidents, near misses and cases of occupational ill health and disease are recorded in the
  • accident book;
  • investigating all accidents, near misses and cases of occupational ill health and disease to the CEO of
  • Quilter Market Operating Units;
  • reporting to the Enforcing Authority as required all accidents, near misses and cases of occupational ill health and disease; and
  • accompanying any health and safety enforcing officer on all health and safety related Visits. (There are no
  • internal H & S Enforcing Authorities).

Line Managers

Line managers play a key role in ensuring the health and safety of their employees. Specifically they are responsible for:

  • ensuring all employees are familiarised with emergency procedures;
  • communicating with the health and safety competent person and/or HR representative on health and safety matters;
    • investigating any concerns or complaints made to Line Managers with regards to health and safety;
    • communicating all accidents, near misses and cases of occupational ill health and disease to the Health and Safety Competent Person;
    • ensuring implementation of H&S policy and procedures in their area of responsibility? (Dependant on setup of market operating unit).


All employees irrespective of status have a personal responsibility as follows:

  • To take reasonable care for their own health and safety and to consider the safety of others who may be affected by their actions or omissions
  • To be familiar with all relevant information in the Health and Safety Policy and additional procedures and to co-operate with their implementation
  • To understand and comply with all instructions, working procedures and safety rules which apply to their work.
  • To never operate plant, tools, equipment or vehicles or undertake any tasks unless trained and authorised to do so
  • To keep all such plant, tools, equipment and vehicles in a good condition and to report any defects immediately to the health and safety competent person
  • To wear/use personal protective equipment as instructed or when circumstances dictate and maintain it in a good condition
  • To report any hazard and/or risks to the health and safety competent person
  • Ensure their work area is kept clean and tidy
  • To never intentionally or recklessly interfere with or misuse anything provided in the interest of health and safety
  • To report all accidents, near misses and cases of occupational ill health and disease to their line manager
  • To co-operate in the investigation of complaints, accidents, near misses and cases of occupational ill health and disease

First Aiders

Only qualified first aiders to carry out first aid.

Incident Marshals

All incident marshals to carry out duties as instructed in the case of emergency as described in Quilter and MOU emergency procedures. (All offices should have these).


Managers must provide contractors and temporary employees with health and safety information relevant to the tasks they perform, the premises they work in, and monitor their safe working practices

General Arrangements


The local Competent Persons must carry out fire safety assessments on all premises and review these annually or on material changes to business operations

Fire action notices informing fire alarm and evacuation procedures must be displayed in a clearly visible location in all office floors/premises

Fire exits and evacuation routes must be signed and kept clear of obstructions at all times. There shall be a “responsible person” for all buildings/satellite premises. Fire alarms must be tested in accordance with local arrangements and there must be a regular evacuation drill

First Aid

A periodic risk assessment must be conducted by the local Competent Person to assess the requirement for training first aiders and appropriate facilities. Names and contact numbers of the first aiders, trained persons and the times they are available must be made available to all employees

Accident Reporting

All accidents, near misses and cases of occupational ill health and disease must be immediately reported to the health and safety competent person

New and Expectant Mothers

It is the responsibility each MOU to take account of women of child bearing age and ensure that there are suitable arrangements in place for those activities and processes that could present a risk to new and expectant mothers.

It is the responsibility of the individual to notify HR if they are an expectant mother, a mother that has given birth in the last six months or a mother who is breastfeeding.


All premises shall meet the standards required by the relevant legislation for health, safety and welfare.

All premises must be kept clean in line with an agreed cleaning programme and waste must be removed daily

All work premises must be fully accessible for people with disabilities

Work Equipment

All work equipment must be safe and suitable for the task and meet local health and safety requirements. Users must be provided with training in the safe use of equipment and managers must keep records of this training

New equipment must be assessed using a local pre-purchase safety checklist prior to purchase and introduction. The completed checklist must be referred to the local health and safety competent person for analysis and advice prior to final contract agreement

Display Screen Equipment (DSE

All workstations are to be assessed, with the full involvement of the user. The self assessment form on the local

Health and Safety Intranet site should be used in accordance with the guidance provided

Assessments must be completed by all new workers, including contractors and temporary employees, and must be reviewed annually and whenever there is a move of desk / location or new equipment

Eye tests must be made available to all users, with a company contribution available where glasses are prescribed for use with DSE

Breaks from DSE work must be incorporated into the user daily work activity

Manual Handling

Regular and significant lifting activities must be identified and assessed, with training provided for employees who carry out these activities

Wherever possible, lifting and carrying must be minimised by using mechanical aids such as trolleys

Home workers

Home workers are subject to an assessment process which will identify any risks/shortfalls and requirements for specific equipment, e.g. adjustable chair

The local health and safety competent person must be informed by line management of all home workers and maintain a central assessment register


All electrical equipment must be installed in a safe manner and periodically inspected/tested

Unauthorised personal electrical equipment must not be used within Quilter Market Operating Unit premises

Hazardous Substances

The introduction/use of any hazardous substance is not allowed without a full assessment prior to its introduction/use. This will be carried out by the user in liaison with the local health and safety competent person

Users of hazardous substances must be provided with health and safety information and training relating to the substance and safe use. Safety data sheets are available free of charge from the supplier / manufacturer and

a copy must be provided to and held by the local health and safety competent person.

Technical” Health and Safety areas

Local management are responsible for the more technical areas of health and safety management and must ensure that all required inspections and certifications are conducted and that records of these are maintained, e.g. lifts, lifting equipment, pressure systems, control of Legionella, building specifications, working at height or fire systems

External events / activities

Work related events and activities, including social events, are subject to safety management legislation and risk assessments must be obtained and recorded. The local health and safety competent person must be contacted for assistance with the risk assessment.

Policy Breaches

Breaches of this policy must be reported to Quilter Policy Owner and Specialist in accordance with the risk reporting and escalation requirements and the Escalation Policy. Non-compliance with this policy will be investigated and if proven, may be treated as misconduct/gross misconduct and result in disciplinary

action. If identified and pursued by regulatory body/inspector, this may also result in criminal prosecution.

Supporting Materials

In accordance with local arrangements each location will adhere to the:

  • Statement of Intent
  • The local Managers Guide to Health and Safety in an office environment
  • Local pre-purchase checklists

Where intranet access is unavailable, subject specific information and guidance can be obtained in hard copy from the local competent health and safety person.

Health and safety legislation, guidance and information

European legislation and information

Escalation Policy

Policy Suite

Competency: Health and Safety Competent Person = Qualified (Must be suitably qualified and experienced based on level of associated risk.

Home worker: any worker who carries out all or a significant part of their work from home.

Hazardous substance: any liquid, solid, dust, powder or gas that can cause damage via inhalation, ingestion or skin/eye contact. Hazardous substances containers are identified by an orange identification symbol

Work Equipment: All work equipment must be safe and suitable for the task and for European businesses

must bear the “CE” mark (the recognised EC safety logo).

Core Health and Safety Roles & Responsibilities are detailed below:

Act as the appointed persons, providing comprehensive consultancy, monitoring and review

  • Provide Health and Safety related policies, procedures, information and training to the management team and employees in order that individuals are aware of what they need to do to protect themselves, colleagues and comply with local legislation
  • Monitor and workplace & work activities and take appropriate action to reduce risks
  • Review Health and Safety policies for compliance in line with significant changes in legislation or Group practices
  • Carry out the more complex and corporate risk assessments, such as fire, first aid, emergency procedures, etc.
  • Identify, recommend and arrange Health and Safety training
  • Provide a rolling programme of internal Health and Safety audit and review of Business units and individual department safety performance/practice.