Health

and Safety

Executive

A guide to the Health and Safety at Work etc Act 1974

0 Crown copytight 1990 Fourth Edition 1990

General enquiries regarding this publication should be addressed to the Health and Safety Executive at any of the following HSE Information Centres. Library and Information Services Broad Lane SHEFFIELD S3 7HQ Telephone: (0742) 752539 Telex: 54556 Library and Information Services St Hughs House Stanley Precinct Trinity Road BOOTLE Merseyside L20 3QY Telephone: 051-9514381 Telex: 628235 Library and Information Services Baynards House 1 Chepstow Place Westbourne Grove LONDON W2 4TF Telephone: 071-2210870 Telex: 25683

ISBN O 118855557

Contents

Foreword 1 Introduction Structure of the Act Objectives of the Act How the objectives are to be achieved Geographical scope of the Act and of Regulations 2 The Health and Safety Commission Executive The Commission The Executive Notices requiring information Inquiries and investigations and the Health and Safety

3 Duties under the Act General SO far as is practicable ,so far as is reasonably practicableand best practicable means Duties of employers to their employees Employers safety policies Safety representatives and safety committees Duties of employers and the self-employed to people who are not their employees Duty of self-employed for own safety Duties of people in control of premises for health and safety of nonemployees Duties of people in control of premises with regard to emissions into the atmosphere Duties of designers, manufacturers, importers, suppliers and installers Duties of employees Further information Duties of all people Duty of employer not to charge employees 4 Enforcing authorities and agencies, and inspectors The HSE Local authorities Agency authorities Inspectors and their powers Disclosure of information Disclosure of information for civil proceedings 5 Improvement and prohibition notices Improvement notices Deferred and immediate prohibition notices Service of notices Crown immunity and Crown notices Withdrawal of notices Extension of time limits Appeals against improvement and prohibition notices 6 Offences, penalties and prosecutions Offences under the HSW Act Offences under other health and safety legislation Imprisonment Who can be prosecuted? Court orders Civil liability (iii)

7 Regulations and Approved Codes of Practice Regulations Approved Codes of Practice 8 Licensing and appeals against decisions on licensing Some key words and phrases Appendices 1 Main amendments made to the HSW Act 2 Existing enactments which are relevant statutory provisions 3 Regulations made under the Act 4 Selection of further guidance on the legislation published by the Health and Safety Executive 5 HSE and local authority offices 6 Specimen improvement notice 7 Specimen prohibition notice

(iv)

Foreword

This guide to the Health and Safety at Work etc. Act 1974 (HSW Act) is intended to help people at work understand what the Act does and how it affects them. It is a simple explanation of the main provisions of the Act to assist employers, safety representatives, members of safety committees, supervisors and managers, the self-employed and members of the public. The main amendments that have been made to the Act are listed in Appendix 1. For the precise wording the reader should refer to the appropriate provision of the Act andlor Regulations as indicated in italics after relevant headings or paragraphs. There are references in the text and a list in Appendix 4 of further guidance which has been published by the HSE. More detailed advice can be obtained from the local health and safety inspector (see Appendix 5) or from the HSES General Information and Enquiry Point.

(v)

1 Introduction

Structure of the Act 1 The Health and Safety at Work etc. Act 1974, referred to hereafter as the Act or the HSW Act is in four parts. Part I contains the most important provisions for the general reader and for people at work and is therefore the part with which this guide is mostly concerned. Part II contains provisions concerned with the Employment Medical Advisory Service (EMAS), which is discussed briefly in Chapter 2. Part 111has been repealed. Part IV (Miscellaneous and General) is not dealt within detail here, except for the provisions concerned with the geographical scope of the Act (see para 9 below). 2 Parts I, II and IV of the Act were brought into operation on the following dates. (a) 1 October 1974; the provisions which relate to the establishment and functions of the Health and Safety Commission (HSC) and to certain regulation making powers. (b) 1 ~arttmy 1975; the provisions which relate to the establishment and fimctions of the Health and Safety Executive (HSE) and to enforcement and Part II of the Act which relates to the Employment Medical Advisory Set-vice. (c) 1 April 1975; the remaining provisions including those which relate to the general duties of employers and others.

Objectives of the Act Section 1 3 The objectives of Part I of the Act are the following general purposes; (a) securing the health, safety and welfare of people at work; (b) protecting people other than those at work against risks to their health and safety arising out of work activities; (c) controlling the keeping and use of explosive or highly flammable or otherwise dangerous substances, and generally preventing people from unlawfully having and using substances; (d) controlling the release into the atmosphere of noxious or offensive substances from premises to be prescribed by regulations. How the objectives are to be achieved 4 The Act established two bodies, the Health and Safety Commission and the Health and Safety Executive, to promote the objectives of the Act and to ensure its provisions are implemented. The work of these two bodies is discussed in more detail in Chapter 2. Sections 10 to 14 5 The Act places general duties on all people at work, that is, employers, employees and the self-employed; manufacturers, suppliers, designers and importers of materials used at work; and people in control of premises. These duties are discussed in detail in Chapter 3. The general duties imposed by the Act apply to many people (such as those working in schools, hospitals and universities and the self employed) who were not covered by earlier health and safety legislation. Sections 2 to9

6 The HSWActis superimposed onearlier related Acts (see Appendk 2) such as the Factories-Act 1961, Mines and Quarries Act 1954, and Ofllces, Shops and Railway Premises Act 1963, some provisions of which are still in force, and the employers, employees etc. concerned must comply with the duties they impose. Thusj for example, an employer in a factory must comply both with the general duties contained in the HSW Act, and the more specific duties laid down in the Factories Act and any relevant Regulations. The HSW Act uses the expression relevant statutory provisions to include Part I of that Act, health and safety regulations made under it, the earlier acts listed in Appendix 2 and the Regulations etc. made under them. Section 53 and Schedule 1 7 The provisions for enforcement of the earlier Acts have been replaced by the enforcement provisions in the HSW Act. These provisions include powers to issue improvement and prohibition notices and to prosecute. (see Chapters 4,5 and 6) 8 Although many of the legal requirements of earlier Acts and Regulations remain in force, an objective of the HSW Act is to gradually replace those requirements by Regulations and Approved Codes of Practice under the Act, which revise and update the earlier requirements (see also Chapter 7). For example, the specific provisions of the Factories Act and the OffIces, Shops and Railway Premises Act relating to first-aid and to the notification of accidents have been replaced by general regulations made on these subjects under the HSW Act and, in the case of fwst-aid, an Approved Code of Practice. The system of Regulations and Codes of Practice operating in combination with the Act must be designed to maintain or improve existing standards. Section 1(2) Geographical scope of the Act and of Regulations 9 The Act applies throughout Great Britain (ie England, Scotland and Wales). Apart from minor provisions, one of which enables Regulations on the importing of substances to apply throughout the United Kingdom, the Act does not apply to Northern Ireland, which has its own health and safety legislation. Neither does it apply to the Isle of Man or the Channel Isles. The application of the Act has been extended outside Great Britain to people (including divers) working on or in connection with offshore installations or pipeline works within territorial waters or the United Kingdom sector of the continental shelf. The provisions of the Act have also been extended to certain other activities eg diving, construction, when earned on within territorial waters. Section 84(1) The Health and Safety at Work etc. Act 1974 (Application Outside Great Britain) Order 1989 S1 1989 No. 840 10 Certain Regulations may apply to offshore activities. If so, this is specified in the Regulations. However, the position is very complex, and anyone wanting to find out whether particular Regulations apply in relation to offshore installations and pipelines should seek the advice of the Health and Safety Executive or its agent the Petroleum Engineering Division of the Department of Energy, at the following addresses: Health and Safety Executive, Branch SGP C2, Baynards House, 1 Chepstow Place, London W2 4TF. Tel: 071-2436000 The Department of Energy, Petroleum Engineering Division, 1 Palace Street, London SWIH 5HE. Tel: 01-2383000

2 The Health and Safety Commission and the Health and Safety Executive

11 The Act established two bodies, the Health and Safety Commission and the Health and Safety Executive. The Commission 12 The Commission consists of a full-time Chairman, and between six and nine part-time members, all of whom are appointed by the Secretary of State for Employment. The Commission currently comprises three members from employer organisations, three from union organisations, two from local authority associations and one representing the public interest. 13 The Commissions duties include promoting the objectives of the Act, carrying out and encouraging research and training, providing an information and advisory service, and putting forward to Ministers proposals for Regulations under the Act. Section 22 The Executive 14 The Executive consists of three full-time members, who are appointed by the Health and Safety Commission with the approval of the Secretary of State. 15 The Executives duties include making arrangements for enforcement of the legislation and carrying out any of the Commissions functions which the Commission asks the Executive to take on. In practice, the Executive and its staff act for the Commission in carrying out the day-today work necessary to enable the Commission to perform its functions. Sections 11(4) and 18 16 The major part of the Executives staff are in the Inspectorates (Factories, Agricultural, Quarries, Mines, Nuclear Installations and Railways), most of whom are based in the field. These are supported by technical specialists and by a Research Division. The Executive also has a number of policy divisions and supporting staff. 17 The Executives field staff also includes the Employment Medical Advisory Service (EMAS). EMAS is responsible for advising the Secretary of State, the HSC, the Training Agency and other interested persons on the safeguarding and improvement of the health of people at work and of those seeking work or training for work. EMAS is also responsible for advising such individuals on matters related to their health. Further information about EMAS can be found in Leaflet HSE 5, obtainable free from ofllces of the Health and Safety Executive or from the public enquiry point, St Hughs House, Bootle, Seclions 55-60 18 Certain areas of the work of the Commission and the Executive are described elsewhere in this guide. The Commissions power to approve Codes of Practice, and its duty to make proposals for Regulations are discussed in Chapter 7. Enforcement is discussed in Chapter 4. Two other areas are dealt with briefly below: Inquiries and investigations 19 The Commission can initiate inquiries and investigations into accidents and also any matter related to the objectives or when there is a question of making regulations under the Act. Inquiries are more formal than investigations and can be setup only with the consent of the Secretary of State and in accordance with Regulations. They are normally held in public and the person appointed to conduct the inquiry has 3

powers to take evidence on oath, to require the attendance of witnesses and the production of documents and to carry out site inspections of any premises to which the inquiry relates. Investigations are normally carried out by officials of the HSE and without a public hearing. The purpose of any inquiry or investigation would usually be to establish the facts about a serious accident, a dangerous incident, or a situation posing serious longterm risks to health and safety, and to point the way to action that might be taken to improve matters or prevent further similar accidents. Reports are normally published. Section 14; Health and Safety Inquiries (l+ocedure) Regs 1975 S1 1975 No. 335; The Heahh and Safety Inquitis (13-ocedure] (Amendment) Regulations 1976 SI 1976 No. 1246 Notices requiring information 20 The Commission can, with the Secretary of States consent, serve a notice on any persons requiring them to provide the Commission with information necessary for the carrying out of its functions. The Commission can, again with the Secretary of States consent, also serve a notice requiring a person to supply to an enforcing authority (ie the local authority, the Health and Safety Executive or its agencies - see Chapter 4) information necessary for the carrying out of that authoritys functions. The notice must be complied with within the time Iimit specified in the notice. In order to safeguard matters which may be confidential, there are restrictions covering the disclosure of the information requested by the Commission or enforcing authority to other people, and on the purposes for which the information may be used. Secrions 27 and 28

3 Duties under the Act

General 21 The Act imposes duties on everyone concerned with activities, ranging from employers, self-employed and employees, to manufacturers, designers, suppliers and importers of materials for use at work, people in control of premises, and even extending to members of the public. The duties are imposed both on individual people and on corporations, companies, partnerships, local authorities, nationalised industries etc. The duties are expressed in general terms, so that they apply to all types of work activity and situations. The principles of safety responsibility and safe working are expressed in the general duties sections. They are comprehensive and designed to encourage employers and employees to take a wide ranging view of their roles and responsibilities. In some areas the general duties are supplemented by specific requirements laid down in Regulations made under the Act (see Chapter 7). Specific legal requirements are also laid. down in earlier health and safety legislation which is still in force (see Chapter 1 and Appendix 2). Failure to comply with either the general requirements of the Act, or the specific requirements found elsewhere may result in legal proceedings (see Chapters 5 and 6). Secrions 2 to 9 SO far as is practicable, so far as is reasonably practicable and best practicable means: 22 Some of the duties imposed by the Act and related legislation are absolute and must be complied with, but many are qualified by the words so far as is reasonably practicable or so far as is practicable. Other duties require people concerned to use best practicable means. The latter expression is used in the context of controlling sources of environmental pollution, such as emissions into the atmosphere.

23 Although none of the expressions are defined in the Act, they have acquired meanings through many interpretations by the courts. To carry out a duty so far as is reasonably practicable means that the degree of risk in a particular activity or environment can be balanced against the time, trouble, cost and physical difficulty of taking measures to avoid the risk. If these are so disproportionate to the risk that it would be quite unreasonable for the persons concerned to have to incur them to prevent it, they are not obliged to do so. The greater the risk, the more likely it is that it is reasonable to go to very substantial expense, trouble and invention to reduce it. But if the consequences and the extent of a risk are small, insistence on great expense would not be considered reasonable. It is important to remember that the size or financial position of the employer are not taken into account. 24 So far as is practicable, without the word reasonably implies a stricter standard. This term generally embraces whatever is technically possible in the light of current knowledge which the person concerned had or ought to have had at the time. The cost, time and trouble involved are not to be taken into account. 25 The meaning of best practicable means can vary depending on its context and ultimately it is for the courts to give a definitive ruling. Where the law prescribes that best practicable means should be employed, it is usual for the regulating authority to indicate its view of what is practicable in notes or even agreements with particular firms or indusrnes. Both these notes or agreements and the views likely to be taken by a court will be influenced by considerations of cost and technical practicability. But the view generally adopted by Inspectors is that an element of reasonableness is involved in considering whether the best practicable means had been used in a particular situation. 26 If someone is prosecuted for failing to comply with a duty so far as is reasonably practicable , so far as is practicable, or by the best practicable means, they have to prove that it was not reasonably practicable or practicable to meet the requirement or that there was no better practicable means of meeting the requirement. This offers defendants a potential defence if they can show, on the balance of probabilities, that in the circumstances they had done everything practicable or reasonably practicable or used the best practicable means to prevent a breach of the law. .Section 40. Duties of employers to their employees 27 The general duty imposed on all employers is to ensure, so far as is reasonably practicable, the health, safety and welfare at work of all their employees. It applies to all employers, both those who already have certain duties under earlier legislation, such as the Factories Act and Offices, Shops and Railway Premises Act, and those who have never before been covered by health and safety legislation. The duty of employers extends to all their employees, with the exception only of domestic servants employed in a private household. It should also be noted that the duty on employers applies to employers whose employees may be working on another persons premises, for example, contractors on a construction site. Section 2(l); Section 51 28 The Act specifies five areas which in particular are covered by the employers general duty. The fact that these five areas are specified does not mean they are the only areas with which the employer must be concerned. They are however the most important. Section 2(2) 5

29 Employers must, so farasis reasonably practicable, provide machinery, equipment and other plant that is safe and without risks to health and must maintain them in that condition. They must also ensure that, so far as is reasonably practicable, the systems of work are safe and without risks to health. Systems of work means the way in which the work is organised and includes, for example, the layout of the workplace, the order in which jobs are carried out, or special precautions that have to be taken before carrying out certain hazardous tasks. This duty therefore means that, for example, a machine itself, and the way it is operated, must both be safe. Section 2(2)(a) 30 The use of particular articles and substances at work, for example, machinery and chemicals, may give rise to risks to employees health and safety. There is a chain of responsibility involving various people with duties to ensure that those risks are reduced as far as possible. The duties of manufacturers and suppliers of materials for use at work are discussed in detail in paras 57 to 65 below. In brief, manufacturers etc must ensure that, so far as is reasonably practicable, the materials are safe and without risks to health when used at work, and users must be ~ven sufficient information about use and about any hazards. Once the materials have reached the place of work, there is also a duty on the employer to ensure that, so far as is reasonably practicable, employees health and safety are not put at risk by contact with the materials. Employers are required to ensure that the ways in which the materials are used, handled, stored and transported are safe and without risks to health. They should ensure that attention is paid to any information given by the manufacturer or supplier about safe handling and storage (see also para 61 below). Their duty extends to the end products as well as the materials used during the work process. They must ensure that the ways in which end products are transported and stored before leaving the workplace are safe and without risks to the health of their employees. They may also have duties as a supplier in turn. Secnon2(2) (b> and Section 6 31 Employers must provide for all their employees the information, instruction, training and supervision necessary to ensure, so far as is reasonably practicable, their health and safety at work. The information to be supplied must include information about hazards at the workplace and methods of avoiding them. It might also include statutory information, eg copies of Acts, Regulations, Codes of Practice; official HSE publications, eg guidance notes, technical data notes; and nonofficial publications, eg codes of practice produced by industry associations where these provide useful additional information. In particular the employer should ensure that employees are given information made available by manufacturers and suppliers of materials used at work about risks attached to the materials, and about safe ways of handling them (see also paras 30 and 61). Health and safety training might include such things as instruction in safety and emergency procedures such as routine checking of equipment, fire drills and first-aid; special training for work involving a high degree of risk; and retraining when the work changes or new safety methods are introduced. Employers must ensure that all their employees are competent to carry out their jobs in a safe manner, that is, with the minimum of risk to themselves or others. Employers must ensure that managers understand their responsibilities and have the necessary knowledge and skills to carry them out. Training is necessary not only for operatives but also for supervisors and managers at all levels. Good supervision is vital in health and safety terms for spotting potential hazards and ensuring that safety rules are complied with. Section 2(2) (c)

32 Employers must ensure tiatsofar asisreasonably practicable, any place under their control and where their employees work, is kept in a safe condition and does not pose a risk to health. The requirement covers not only buildings, but also for example, open air sites, boats and aircraft, tents and temporary structures such as scaffolding. They must also ensure that so far as is reasonably practicable, ways into and out of work places are safe and without risks to health. The duty is wide-ranging and includes ensuring that the basic structure of the workplace is safe for employees, for example, that walls and floors are not going to collapse; that lifis are properly maintained; that staircases are well lit; and that passages and roadways are kept free from obstacles. Section 2(2) (d) 33 Employers must ensure so far as is reasonably practicable, the health and safety of their employees working environment, which covers, for example, heating, lighting, ventilation and noise. They must also provide adequate arrangements for the welfare at work of their employees. The term welfare at work may cover facilities such as seating, washing arrangements etc, but the Act is not definitive and the employer will need to consider welfare arrangements in the light of all relevant circumstances. Section 2(2) (e> Employers safety policies

34 The Act requires every employer (except those exempted by Regulations) to prepare a written statement of their safety policy. An employer who carries on an undertaking in which less than five persons are employed is not required to prepare a written safety policy for that undertaking. However, it should be noted that undertaking does not mean the same as establishment. An employer may operate a number of small establishments, such as retail shops, each employing less than five employees. If all the establishments form part of one undertaking, and if the total number of employees is five or more, the employer must prepare a policy statement. Section 2{3); The Employers Health and Safety Policy Statements (Exception) Regulations 1975 S1 1975 No. 1584 35 The purpose of the safety policy requirement is to ensure that employers think carefully about the nature of the hazards at the workplace, and about what should be done to reduce those hazards and to make the workplace safe and healthy for their employees. The written policy statement must set out the employers aims and objectives for improving health and safety at work. It must also set out the organisation and arrangements currently in force for achieving those objectives. Organisation can be taken to mean people and their responsibilities, and arrangements to mean systems and procedures. 36 Another purpose of the written statement is to increase employees awareness of the employers policy and arrangements for safety. For this reason, employers are required to bring the statement to the notice of all their employees. The Act does not specifj how this should be done. In some cases the best and easiest arrangement might be to give a copy to every employee, and ensure that new employees are given copies during induction training. In other cases, it may be appropriate to post copies on notice boards where they can easily be seen and read. 37 In most organisations, working conditions are continually changing. New hazards arise, control measures alter. Employers are therefore required to keep their policy up to date. Revisions will be necessary, if for example, the written statement sets out the procedures for fire drills, and those procedures are changed, or if the statement names particular 7

individuals as being responsible for certain aspects ofhealth and safety and there are subsequent changes in personnel. All revisions in the statement must also be brought to the notice of employees. 38 Further guidance on safety policies can be found in a leaflet issued by the HSC (see Appendix 4). Safety representatives and safety committees 39 Recognised trade unions have the right to appoint safety representatives to represent the employees in consultations with their employer about health and safety matters. If requested in writing by at least two safety representatives, employers must also set up safety committees to keep under review measures to ensure health and safety at the workplace. Fu1l details are contained in a booklet published by HMSO (see Appendix 4) which contains Regulations, Approved Codes of Practice and guidance notes. Approved Codes of Practice (see paras 123 to 125) give practical guidance on the fi.mctions of safety representatives, the information to be provided to them by employers and the time off with pay to be allowed for training approved by the TUC or by individual unions. Sections 2(4), 2C6) and 2(7); The Safew Representatives and Safety Committees Regulations 1977 S1 1977 No. 500 40 Section 2(5) of the Act, which allowed for Regulations giving all employees the right to elect safety representatives, was repealed. The regulations referred to in para 39 apply only to workplaces where trade unions are recognised. The Health and Safety Commission has issued guidance on how employers and employees in workplaces where no unions are recognised can develop their own arrangements for joint participation in health and safety matters (see Appendix 4). The Regulations do not apply to coal mines. Duties of employers and the self-employed their employees to people who are not

41 Under the Act employers have duties not only to their own workpeople but also to outside contractors, workers employed by them and to members of the public whether within or outside the workplace who may be affected by work activities. Both employers and the selfemployed are required to carry out their undertaking in such a way as to ensure, so far as is reasonably practicable, that they do not expose people who are not their employees to risks to their health and safety. The duty extends to, for example, risks to the public outside the workplace from fire or explosion, from falls of unsafely erected scaffolding or from the release of harmful substances into the atmosphere. The duty of employers and the self-employed also applies to people who may be inside the workplace, such as visitors, outside contractors and their employees working on the premises on a permanent basis (for example, maintenance workers) or another employers workers temporarily visiting the premises. It should also be noted that outside contractors, whether employers or self-employed, will themselves have responsibilities under this duty for the health and safety of workers and others on the premises they enter to carry out the contract work. Sections 3(1) and 3(2) 42 In general, the standard of protection required for visitors and others within a workplace will be similar to that given to employees. For example, if machinery and substances are used in such a way as to ensure the safety of employees, that will usually also be sufficient to ensure the safety of non-employees. There may however be a need to apply different 8

criteria to achieve these standards inviewofthe fact that certain people, such as the very young or disabled, may be more vulnerable than others and that people visiting a workplace may have less knowledge of the potential hazards and of how to avoid them. 43 The responsibilities of employers and the self-employed to nonemployees will in certain circumstances extend to people entering workplaces without permission. This is apart horn any liability under common law towards trespassers. The duty under the Act to conduct the business in such a way as not to expose people to risks to health and safety implies taking certain precautions to deter people from unlawfully entering the workplace, for example by the provision of fences, barriers and notices warning of the danger. 44 The duty of employers and the self-employed to such unauthorised people is of course qualified by the phrase so far as is reasonably practicable. In most cases the normal precautions which should be adopted for security purposes, for example locking store cupboards and locking or guarding main doors and gates, would also be sufficient for safety purposes. However, there are special problems with construction sites and other open-air workplaces, and particular dangers as far as children are concerned, and the Health and Safety Executive has issued more detailed guidance on avoiding accidents to children on construction sites (see Appendix 4). 45 The duties of employers and the self-employed to non-employees overlap with some of the other general duties under the Act. (See para 42 and paras 48 to 52). Where one duty lays down more stringent requirements than another, the more stringent requirements must be complied with. 46 Regulations maybe made under the Act requiring employers and the self-employed to publish information, in prescribed cases, as to how their work activities might affect the health and safety of the public. No regulations have yet been made. However, Regulation 12 of the CIMAH Regulations requires specified information to be given to members of the public who may be affected by a major accident at certain hazardous industrial activities. This information is on the nature of the hazard, safety measures and correct behaviour to adopt in the event of an accident. Section 3(3); The Control of Industrial Major Accia2nt Hazards Regulations 1984 S1 1984 No. 1902 (Note: The general duties under Section 3(1) and 3(2) may in themselves involve providing information to non-employees where information is necessary for health and safety). Duty of seJf-employed for own safety 47 As well as having responsibilities towards other people, the selfemployed have a duty to carry on their businesses in such a way as to ensure, so far as is reasonably practicable, that they do not risk their own health and safety. Sectiun 3{2) Duty of people in control of premises for health and safety of nonemployees 48 The Act places duties on anyone who has control to any extent of non-domestic premises used by people who are not their employees. These duties overlap to some extent with the duties of employers and the 9

self-employed Section 4

to people who are not their employees (see paras 41 to 46).

49 ~eduties apply when people enter toworktiere, for example outside contractors who go into the premises to install or repair machinery. The duties also apply to premises where machinery or equipment or substances are provided for the use of others, for example, coin-operated launderettes used by members of the public, or university laboratories used by research students. 50 Every person in control of premises has a duty to take such steps as are reasonable in their position to ensure, so far as is reasonably practicable, that there are no risks to health and safety. The duty extends to the premises themselves, any connected premises such as corridors, staircases or storage spaces, the ways into and out of the premises, and any machinery or materials in the premises. Sections 4(1) and 4(2) 51 The aim is to place duties on whoever has the power to remedy particular sources of hazard. The duty is not imposed on any employees, even though at any particular time an employer may have put an employee in control, for example as a caretaker of a building, or as a supervisor in charge of certain machinery or substances. However, such employees must still fulfil their general duties under the Act (see paras 66 to 68). The duty applies to persons such as owners and occupiers of premises, or persons who by virtue of a contract or tenancy agreement have specific obligations in respect of the repair or maintenance of premises or to ensure that machinery or substances are safe and without risks health. to Sections 4(4) and 4(3) 52 It should be noted that a person in control of premises may have, under other legislation, duties connected with health or safety, for example to provide adequate fire precautions including escape routes. (The Fire Precautions Act 1971 was amended by the HSW Act so that general fire precautions at most places of work are dealt with under the 1971 Act by the fire authorities. In certain premises with special risks, the Executive are responsible for enforcement of all fire precautions. In all premises for which they are the enforcing authority, the Executive are responsible for control over process risks, that is, risks of outbreaks of fire associated with particular processes or particular substances.) Fire Cert@ates (Special Premises>Regs. 1976 (SI 1976 No. 2003) Duties of people in control of premises with regard to emissions into the atmosphere* 53 The Act provides for the control of emissions into the atmosphere of noxious and offensive substances. In this respect, the Act goes beyond matters which are harmful to health, since by referring to offensive substances it covers also those substances which cause nuisance, for example by their smell. Sections 5 and 1(1)(d) 54 Regulations have been made under the Act prescribing certain premises to which this provision of the Act applies. The Act places a general duty on people in control of prescribed premises to use the best

* The provisions of the Act and subsidiary regulations dealing with the control of emissions into the atmosphere are the responsibility of the Department of the Environment.

10

practicable means to prevent the emission to the atmosphere of noxious or offensive substances, or to render harmless and inoffensive any such substances which are emitted. The Health and Safety (Emissions into the Atmosphere) Regulations 1983 (SI 1983 No. 943) 55 The duty applies only to someone carrying on a business or undertaking and who has control of the premises concerned in connection with their business or other undertaking, and extends only to matters within their control. It does not, therefore, place responsibilities on employees, although employees must still comply with the general duties imposed on them by the Act (see paras 66 to 68). Section 5(4) 56 This provision of the Act has replaced certain provisions in the Alkali & c Works Regulation Act 1906, parts of which [eg requiring the registration of certain premises) remain in force. Duties of designers, manufacturers, installers importers, suppliers and

57 Section 6 of the Act places specific duties on those who can ensure thatarticles and substances are as safe and without risks to health as it is reasonably practicable to make them before they are used, and that articles are properly erected and installed. The Section was amended with effect from 1 March 1988 by the Consumer Protection Act 1987 and the fill text, incorporating the changes, is reproduced in Appendix 1. The Section covers: (a) new and second hand articles designed for use at work, whether for sale or hire, and their component parts; @) items which though capable of domestic use are designed to be used also at work; (c) new and second hand items of fairground equipment; (d) all substances, including micro-organisms, which are supplied to workplaces or to certain other non domestic premises. The safety of goods originally intended for domestic use is subject to other legislation, particularly the Consumer Protection Act 1987 and Regulations relating to consumer goods. 58 The requirement is to do what is reasonably practicable to make the articles and substances safe and without risks to health, in respect of risks which are reasonably foreseeable. In seeking to ensure safety, since operator error or inattention are reasonably foreseeable they should be taken into account, but use for wholly inappropriate purposes need not. In criminal proceedings, courts will pay attention to any relevant advice provided to users, for example, precautions to be taken or actions to avoid, in deciding whether the duties have been complied with. Section 6(1 O) 59 Adequate information must be provided to persons supplied with the articles and substances. The information should be sufficient to enable the article or substance to be used with safety, and should cover reasonably foreseeable risks including risks that may arise from disposal or dismantling, or from the inherent properties of substances. When a particular item is regularly supplied such information need not necessary accompany each delivery, if the information first provided is still up to 11

date. Should any new serious risks come to light, reasonably practicable steps must be taken to advise past customers. Sectwn 6(1)(c) and (d) and Section 6(4) (c) and (d) 60 Duties are placed on manufacturers, importers and suppliers of articles or substances; and on designers, installers and erectors of articles for use at work, including fairground equipment. The duties apply to corporate bodies, partnerships and individuals when they are acting in the course of a trade, business or other undertaking (whether for profit or not), but only in respect of matters within their control. Section 6(7) The requirements do not apply to ostensible suppliers who only finance purchase of the articles or substances. Section 6(9) In the case of articles, certain obligations can be transferred to someone further down the supply chain, including customers. The two parties must, however, have a written undertaking stating the matters involved, and the related steps to be taken for safety. The undertaking will be acceptable only if it is reasonable, eg if an article has been ordered to a customers own specification or is to be a component in another article. Section 6(8j The duties in detail Articles 61 Designers and manufacturers of articles for use at work or articles of fairground equipment must: (a) Ensure, so far as is reasonably practicable, that the articles are designed and constructed to be safe and without risks to health when being set, used, cleaned or maintained by a person at work, @) carry out or arrange for the testing and examination necessary to ensure safe design and construction for these operations; (c) ensure that persons supplied with the articles are provided with adequate information about the use for which the articles have been designed and tested; and any conditions needed to ensure that when set, used, cleaned, maintained or dismantled or disposed of, the articles will be safe and without risks to health; (d) ensure so far as is reasonably practicable, that information about any new and serious risks which come to light is provided to persons originally supplied; Section 6(1) and (e) carryout, or arrange for any research needed to discover and, so far as is reasonably practicable, remove or reduce any risks to health and safety horn the articles or their design. Section 6(2) 62 Erectors and installers of any articles for use at work or articles of fairground equipment must ensure so far as is reasonably practicable that their work does not make the articles unsafe or a risk to health. Sectin 6(3) In the case of fairground equipment, all the above duties relate not only to the safety of persons at work, but also to the safety of members of the public who use the equipment. Section 6(1,) (a) Substances 63 Manufacturers of substances must: (a) Ensure, so far as is reasonably practicable, that substances whether 12 t

ornotintended for use at work will be safe and without risks to health when used, handled, processed, stored or transported by a person at work or in premises to which Section 4 of the Act applies;

(b) carry out or arrange for the testing and examination necessary to
ensure that the substances will be safe and without risks to health during these operations; (c) ensure that persons supplied with the substances are provided with adequate information about any risks to which their inherent properties may give rise; the results of any relevant tests that have been carried out; and any conditions needed to ensure that when they are used, handled, processed, stored, transported or disposed of, they will be safe and without risks to health; (d) ensure, so far as is reasonably practicable, that information about new and serious risks which come to light is provided to persons originally supplied; Section 6(4) (e) carry out, or arrange for any research needed to discover and, so far as is reasonably practicable, remove or reduce any risks to health and safety to which the substances may give rise when used, handled, processed, stored or transported. Sectwn 6{5) j ? 64 Importers and suppliers of articles and substances have the same duties as the respective manufacturers, except that they do not have to carry out the research referred to at (e] above unless they are also the manufacturer (or, in the case of articles, the designer). In relation to the tests and examinations described at (b) above, they will in practice normally be able to rely on the original checks carried out by the manufacturer (or designer). In some cases, for instance, where substances are further processed or repackaged, or where plant is assembled or hired out, importers or suppliers will have to carry out their own safety checks. Importers would have to provide the same standard of safety and information as British suppliers. Further information 65 Some other health and safety legislation imposes more specific duties on manufacturers ancl/or suppliers. Examples are contained in the Agriculture (Field Machinery) Regulations 1962, the Classification, Packaging and Labelling of Dangerous Substances Regulations 1984, and the Ionising Radiations Regulations 1985. For a number of specific articles and substances, further advice is available in HSE Guidance Notes and Approved Codes of Practice, industry-based codes of practice and other advisory material; and by reference to British and International Standards. Specific advice on Section 6 can be found in a free HSE leaflet IND(G) 1(L). More detailed advice on the application of Section 6 to substances can be found in HSE booklet HS(G)27 (Rev), Substances@ use at work: the provision of information, which has also been revised to take into account the effect of the Consumer Protection Act 1987 on Section 6 (see Appendix 4) Duties of employees 66 All employees must take reasonable care for the health and safety of themselves and of other persons who maybe affected by what they do, or fail to do, at work. This duty implies not only avoiding obviously silly or reckless behaviour, but dso taking positive steps to understand the 13

hazards in the workplace, to comply with safety rules and procedures, and to ensure that nothing they do or fail to do puts themselves or others at risk. Section 7(a) 67 Where duties or requirements are imposed on employers or any other persons under the Act and relevant statutory provisions, employees must co-operate with the employer or other person so far as is necessary to enable the duty or requirement to be carried out. As an example, there is a duty on the employer to ensure that articles and substances are handled and transported safely (see para 30). To comply with this duty, the employer might introduce appropriate safe handling procedures for certain hazardous substances. Providing those procedures are indeed appropriate, the duty on the employee is to co-operate by following them. Section 7(b) 68 Employees who fail to comply with either of the duties described above make themselves liable to be prosecuted in the courts. (See para 109 for penalties for such offences.) Duties of all people 69 The Act imposes one duty on all$eople, both people at work and members of the public, including children. This is not intentionally to interfere with or misuse anything that has been provided in the interests of health, safety or welfare, whether it has been provided for the protection of employees or other persons. The purpose of the provision is clearly to protect things intended to ensure peoples safety, and the things covered by the provision include fire escapes and fire extinguishers, perimeter fencing, warning notices for particular hazards, protective clothing, guards on machinery and special containers for dangerous substances. (See para 109 for penalties for contravention). Section 8 Duty of employer not to levy a charge on employees 70 Many relevant statutory provisions (see para 6) require employers to do or provide certain specified things, for example to provide protective clothing (such as goggles or shields, to comply with the Protection of Eyes Regulations), or to provide a certain standard of washing facilities. The Act lays down that employers must not charge their employees for anything done or provided to comply with such specific legal requirements. Section 9 71 The foregoing does not extend to anything which an employer may choose to do or provide, although not specifically required to do so, to raise standards of health, safety and welfare beyond the legal requirements.

4 Enforcing authorities and agencies, and inspectors

72 The requirements of the Act and of the related legislation described in Chapters 1 and 7 are enforced by the HSE, certain local authorities and other authorities including agents acting on behalf of HSE (except for emissions into the atmosphere (see paras 53 to 56)). The methods of enforcement available to the authorities include prohibition and improvement notices and prosecution (see Chapters 5 and 6). As the enforcing authorities give advice and information, as well as taking enforcement action when necessary, it is important for everyone affected by the Act to know the appropriate authority (or authorities) for the work activities they are concerned with. Employers must inform their employees of the enforcing authority for their premises. Health and Safety 14

Information for Employees Regulations 1989 (2V 1989 No 682) The HSE 73 The Health and Safety Executive has the duty to enforce the le@slation in all circumstances where no other authority has been given the responsibility. Section 18 Local Authorities 74 Local authorities at the District level (including the London Boroughs and the Scottish Island Councils) are responsible for the enforcement of the Act and related legislation at premises in which defined classes of work activity are carried on. These include retail sale, storage for retail or wholesale distribution, office activities, catering services, entertainment, provision of residential accommodation and certain consumer services in shop premises. Where in individual premises more than one activity is carried on, it is the main activity which determines the appropriate enforcing authority. An exception to this general rule is that the HSE enforces in respect of all premises occupied or controlled by local authorities themselves, by police or fire authorities, or by the Crown, whereas local authorities enforce in premises occupied or controlled by HSE. The Health and Safety (Enforcing Authority) Regulations 1989 (SI 1989 No. 1903) Agency authorities 75 The Health and Safety Commission has made agency agreements under the Act for a number of other organisations to enforce and/or advise on certain aspects of health and safety legislation on behalf of the Commission or Executive. The bodies concerned are:

Organisation Pipelines Inspectorate of Department of Energy

Area of activity Enforcement of those sections of the Pipelines Act 1962 which are relevant statutozy provisions (see Appendix 2) dealing with design and safety of certain on-shore pipelines. Off-shore oil and gas installations and certain works on vessels in connection with such installations. Provision of information and advice on radiation hazards.

Petroleum Engineering Division of the Department of Energy National Radiological Protection Board (NRPB)

In the case of the first two, the agencies concerned are the statutory enforcing authority. This does not apply to the NRPB as the agreement does not give them any enforcement responsibilities. Section 18(7) Inspectors and their powers 76 The enforcing authorities, including the agencies (but not theNRPB), have appointed inspectors with wide-ranging powers. Every inspector is

15

issued with a warrant of appointment which specifies, usually by reference to the appropriate sections of the Act, what powers they have been given. Whenever inspectors use or seek to use any of their powers, they must, if asked, produce their warrant. Sections 19 and 19(4) 77 The most important of the powers which inspectors maybe normally given is the right to enter any premises which they think it necessary to enter for the purposes of enforcing the Act and related legislation. They do not have to seek permission from the owner, occupier or anyone else in control of the premises, nor do they need to give any advance warning of their visit. They may, however, do so only at a reasonable time unless there is a situation which they think is or maybe dangerous, when they may enter at any time. Section 20(2> (a) 78 When entering any premises, inspectors can take a police constable with them if they have reasonable cause for thinking they might be seriously obstructed. They can also take any other person authorised by their enforcing authority, such as a specialist, and any equipment needed. Sectwns 20(2)(b) and 20(2)(c) 79 When carrying out their investigations inspectors can order that areas be left undisturbed; take measurements, photographs and samples, carry out tests on, and/or confiscate articles and substances; and inspect and take copies of relevant documents. Sections 20(2.)(e), @, (~, (A) and (k) 80 Inspectors can also interview and take written statements from anyone they think might give them information relevant to their examination or investigation and can require that person to sign a declaration that the answers they give are true. Interviewees can if they wish nominate a third person to be present. No-one else may be present unless expressly allowed by the inspector. Inspectors may want to obtain information in this way in order to establish the facts about, for example, an accident or for use as evidence in legal proceedings. However, such a statement cannot be used in any legal proceedings against the person who gave it or that persons spouse. Sections 20(2)@ and 20(7) 81 When inspectors come across an article or substance which they have reasonable cause to believe presents an immediate danger of serious personal injury in the circumstances in which they find it, they may seize it and have it made harmless, by destruction if necessary. This power would be used, for example, where merely to stop an activity, perhaps by issue of an immediate prohibition notice (see paras 89 and 90), was not enough, since the article or substance had become too dangerous. It is clearly a last resort power and would be used only when other powers were inadequate to deal with the situation. There are conditions on the use of this power which provide safeguards for the person whose goods may be seized and give them information which they may use if they wish to challenge by legal means the validity of the inspector,s actions. Sections 25(2) and (3) Disclosure of information 82 Inspectors must disclose certain information when it is necessary to do so for the purpose of assisting in keeping persons (or the representatives of persons, eg safety representatives) employed at any premises adequately informed about matters affecting their health, safety and welfare. The information to be disclosed is factual information (eg information derived ffom the analysis of samples) obtained by them and which relates to premises where the employees work. In such a situation 16

inspectors must not only tell the employees the results, but also about any steps they will be taking to ensure the employer reduces the hazard. The information must also relate to any action they have taken or propose to take in comection with the workplace such as giving advice to the employer, issuing an improvement or, prohibition notice, or taking legal proceedings. Any information given to employees must also be given to the employer. Such information will not include any medical information relating to particular individuals except with their consent. Section 28(8) 83 Inspectors would not normally disclose any information given to them voluntarily, unless such information leads to action or investigation at the workplace and subsequent information emerges that needs disclosing to employees in the interests of health, safety or welfare. 84 Apart from the obligation to disclose information to employees, inspectors are generally restricted from disclosing information obtained under their powers, except in the following circumstances: (a) for the purposes of their functions; (b) for the purpose of any legal proceedings or any investigations or inquiry held by virtue of section 14(2) or for the purposes of a report of any such proceedings or inquiry or of a special report made by virtue of section 14(2) (see para 20); (c) with the relevant consent, ie of a person required to give information relevant to an inspectors examination or investigation, or a person having responsibilities in relation to the premises where the information was obtained. Sectwn 28(7) Disclosure of information by inspectors for civil proceedings 85 There is one further exception to the general rules restricting the disclosure of information. The exception applies when it seems likely that a person, whether an employer, employee, someone in control of premises or anyone else, maybe party to civil proceedings arising out of, for example, an accident, or other incident. In such circumstances, an inspector may give to the person concerned a written statement of relevant factual information obtained by them in the exercise of their powers. The statement must be confined to facts observed by the inspector and cannot include personal views, nor references to any information obtained indirectly, for example, by hearsay. Section 28(9] HSWAct, as amended by Employment Protection Act 1975 (see Appendix 1)

5 Improvement and prohibition notices

86 The Act provides for the use of notices to require people to take action to improve standards or to prevent accidents. Such notices are backed by law and people can be prosecuted for failure to comply (see para 107(C)). 87 There are two types of notice for use in different circumstances: prohibition (which may be either immediate or deferred) and improvement. Improvement notices

88 Inspectors can issue an improvement notice when they consider that health and safety legislation is being contravened. A notice can be issued 17

whether the legal requirements being broken are part of the Act or part of any relevant statutory provision (see paras 6 and 7). Section 21 89 A specimen improvement notice is shown in Appendix 6. Inspectors must specify the legal requirements which they think are being broken and give reasons. The period allowed to put matters right must also be stated, and may not be less than 21 days, as this is the time limit for taking an appeal to an industrial tribunal (see paras 97 to 106 below). Beyond that, the period allowed is left to the inspectors discretion and will depend on such factors as the seriousness of the matters involved, and the ease with which the person concerned can take the action necessary to comply with the notice. Inspectors may state in the notice what action they think may be necessary to put matters right, and may in doing so refer to, for example, an Approved Code of Practice or other published guidance such as British Standards. Section 23(2) Deferred and immediate prohibition notices 90 A prohibition notice maybe issued when an inspector considers that there is a risk of seriouspersonal injury. The notice prohibits the carrying on of the work activity giving rise to the risk of injury, If an inspector considers that the risk of injury is imminent, the notice must take immediate effect and stop the work activity at once. If not, the prohibition notice must be deferred, stating that the work activity must be stopped within a certain specified time. Apart from this difference of timing, immediate and deferred prohibition notices are identical. Both kinds of notice can be issued for work activities which are about to begin, as well as those already started. Section 22 91 The prohibition notice can be issued for any activities to which the relevant statutory provisions apply. There does not have to be an actual breach of legal requirements although if it is thought that the law is being broken, it must say so in the notice (see specimen prohibition notice, Appendix 7). The notice must also state the matters which in the inspectors view give rise to the risk of serious personal injury, and may, but does not have to, include directions on what steps should be taken to put matters right. Service of notices 92 An improvement notice is served on the person responsible for the breach of legal requirements. For example, if the legal requirement being broken imposes duties on employers, the improvement notice is served on the employer, even if employees or other people have been involved in the events which led to the issue of a notice. 93 A prohibition notice is served on the person carrying on or in control of the activities concerned, whether or not that person would also be responsible for any breach of legal requirements. A prohibition notice might therefore be served on a site manager, even if the legal duties for the activities concerned are laid not on the manager but on the managers employer, However, in such a case, the inspector would immediately send a copy of the notice to the employer. 94 Notices are usually given personally and on the spot by the inspector to the person concerned, especially in the case of an immediate prohibition notice, where the aim is to stop the work at once. Notices can, however, also be served by post, by being sent to the appropriate address. In the case of a corporate body (such as a limited company, 18

nationalised industry or local authority) orofa partnership, the proper address is the principal ofilce or registered office. However} if it is more convenient, the person on whom a notice is being served can specie another address where they will agree to receive the notice. If a notice is being served on an owner or occupier of premises, and the inspector has not been able after reasonable inquiry to establish the correct name and address, the notice may simply be addressed to the owner or the occupier of the premises. It may then be left with a responsible person on the premises, or, if there is no such person, attached to some conspicuous part of the premises. Section 46 Crown immunity and Crown notices 95 The general duties and other provisions of Part 1 of the Act are binding on Crown bodies although rhey cannot be prosecuted, nor can they be issued with prohibition or improvement notices. The Executive has introduced a formal non-statutory notice procedure for Crown bodies based as closely as possible on those served on other employers, including informing the workers concerned. Failure to comply will lead to approaches by the Executive to higher authorities in the Crown body concerned. Sectwn 48 Withdrawal of notices 96 Once any remedial action necessary to comply with a notice has been taken, the notice ceases to have effect and there is no need for it to be withdrawn. However, in certain circumstances, the issuing inspector may decide to withdraw an improvement or deferred prohibition notice, for example if the situation giving rise to the notice changes. An inspector can however only withdraw a notice before the end of the time limit specified in the notice. Section 23(5) (a) Extension of time limits 97 Inspectors can extend the time limit specified in an improvement or deferred prohibition notice, as long as there is no appeal pending (see paras 97 to 106). Section 23(5,) (b) Appeals against improvement and prohibition notices

98 A person on whom a notice is served may appeal to an industrial tribunal. The appeal may challenge the inspectors views about whether the law has been broken or about the risk of serious personal injury, the time limit in the notice, or the measures (if any) specified for remedying the matters. Section 24 99 Industrial tibunals sit in different parts of the country as required and have jurisdiction over many other employment matters. They are more informal than a normal court of law. Each ti-ibunal has a legally qualified chairman, and two lay members chosen for their knowledge of industry and commerce. The tribunal can also appoint one or more assessors where specialist technical knowledge is needed. 100 An appeal against an improvement or prohibition notice must be made to the tribunal within 21 days of the notice being issued, although the tribunal may extend the time limit where it is satisfied that it was not reasonably practicable to appeal within the period. lle Indusmal Tribunals (Improvement and Prohibition Notices Appeals) Regulations 1974 (SI 1974 No. 1925) and the Industrial TnbunaLs (Improvement and 19

Prohibition Notices Appeals) (Scotland) Regulations 1974 (S11974 No. 1926) 101 An appeal is made by writing (either in a letter or using the official form IT 19) to the appropriate Secretary of the Tribunals at one of the following addresses: The Secretary Central Office of the Industrial Tribunals (England and Wales) 93 Ebury Bridge Road, London SWIW 8RE The Secretary Central Office of the Industrial Tribunals (Scotland) Saint Andrew House, 141 West Nile Street, Glasgow G1 2RU 102 The following information must be included in the appeal. (a) Name and address of the person making the appeal; (b) Date of the improvement or prohibition notice appealed against and address of the premises concerned; (c) Name and address of the inspector issuing the notice; (d) Which aspect of the notice is being challenged; (e) Grounds for the appeal. 103 An appeal automatically suspends the operation of an improvement notice until the outcome of the tribunal hearing. However, suspension does not mean the time specified in the notice is extended. Thus, if the tribunal affkms the notice and does not itself extend the time limit the person concerned must still take the required action within the period originally specified. Section 24(3) (a) 104 A prohibition notice is not automatically suspended on appeal. However, the appellant can apply to the tribunal for suspension, and if the tribunal agrees, the notice is suspended from the time that the tribunal so directs. Section 24(3)(b) 105 After hearing the case the tribunal can cancel the notice, or affirm it as it stands, or affirm it with such amendments as it sees fit. Section 24(2) 106 Further guidance on making appeals can be found in an explanatory leaflet (see Appendix 4).

6 Offences, penalties and prosecutions

Offences under the HSW Act 107 The Act creates a number of offences for which people can be prosecuted in the courts. The offences include: (a) failing to comply with the general duties imposed on employers, employees, the self-employed, people in control of premises, manufacturers etc. (see Chapter 3) or failing to comply with any requirement imposed by Regulations made under the Act. Section 33 (b) obstructing or failing to comply with any requirements imposed by inspectors in the exercise of their powers (see paras 77 to 80). Sections 33(1) (e), @ and (h) 20

(c) failing to comply with an improvement or prohibition notice (see Chapter 5). Section 33(1) (gj (d) failing to supply information as required by a notice issued by the Health and Safety Commission (see para 19). Section 33(1) @ (e) failing to comply with a court order to remedy the cause of an offence (see para 116). Section 33cfj (o,) 108 The offence of obstructing an inspector, and certain other minor offences can be rned only summarily, that is, in the lower courts (magistrates courts in England and Wales). People convicted of such offences are liable to a fine of up to ~2000. 109 All the remaining offences in England and Wales can either be prosecuted in the magistrates courts or tried by jury in the Crown Court ie on indictment. In the case of particularly blatant offences, or a persistent offender, the inspector may decide to apply for the magistrates to commit the defendant for trial on indictment. The defendant must also be given the opportunity in the magistrates court to elect for trial on indictment. The magistrates will decide whether to hear the case themselves, or to commit the defendant, after hearing the representations of both the inspector and the defendant. If the magistrates hear the case, they may impose a fine of up to ~2000. In the Crown Court, there is no limit on the fine which maybe imposed (see para 11 1). In Scotland, all cases are heard in the Sheriff Court either under summary procedure (without a jury) or solemn procedure (with a jury). Section 33(3) 110 If someone is found guilty of failing to comply with an improvement or prohibition notice or a court order, and if after being found guilty they still fail to comply, they may be liable to a further fine of ~ 100 for each day that they fail to comply. (Criminal Law Act 1977 S. 15(1) and Schedule (1).). Sec~ion 33(5) Offences under other health and safety legislation 111 As explained in Chapter 1, many provisions of earlier health and safety legislation, such as the Factories Act and Offices, Shops and Railway Premises Act, still impose legal requirements which must be complied with. People who fail to comply with those requirements are liable to prosecution. Following the HSW Act, many offences under earlier health and safety legislation can now be prosecuted either in the lower courts or before a jury. The HSW Act provides that where the earlier legislation does not lay down a specific penalty then the penalties that can be imposed are the same as those set out in para 108, that is ~2000 in the lower courts and an unlimited fine in the higher courts. Imprisonment 112 For some of the most serious offences under both the Act and earlier health and safety legislation, a penalty of imprisonment for up to two years can be imposed by the Crown Court in addition to, or instead of, an unlimited fine. The offences are: (a) carrying on an undertaking without a licence issued by the Health and Safety Executive, when such a licence is a legal requirement; or contravening the terms or conditions of a licence issued by the Executive; (see Chapter 8)

21

acquiring, possessing orusing explosivesin breach of any requirements of health and safety legislation; (c) failing to comply with a prohibition notice; (d) wrongful disclosure of information obtained under either the Act or the Statistics of Trade Act. Sections 33(3)(b)(z) and 33(4) Who can be prosecuted? 113 Offences under the Act maybe committed either by individual people or by corporate bodies such as limited companies, nationalised industries or local authorities. If an offence committed by a corporate body was committed with the consent or connivance of or because of the negligence of a director, manager, secretary or other officer, the director, manager, secretary etc is also guilty of the offence, and may be prosecuted as well as the corporate body. Section 37 114 If someone (person A) commits an offence because of an act or default of another person (person B), then person B will also be guilty of the offence, and can be prosecuted, whether or not proceedings are taken against person A. Section 36(1) 115 The Act places the same duty on the Crown (for example, Government departments, military establishments etc) as on other employers, but the Crown cannot be prosecuted. However, employees of the Crown (for example, civil servants) and other Crown servants, can be prosecuted for any offences they themselves commit, but not, in practice, for those committed by their employer. Further, if a breach of legal requirements by the Crown is shown to be due to the act or default of another person (whether or not an employee), that other person, may be prosecuted as in para 114, even though proceedings could not be taken against the Crown itself. Section 48; Section 36(2,) Court orders 116 When someone has been convicted of an offence under the Act or related legislation, the Court may order the person to take within a stated time limit specified action to put matters right. Such an order may be made instead of or in addition to other penalties. Failure to comply within the time limit would constitute a further offence (see paras 107(c) and 109 above). During the period before the time limit runs out, the person cannot be prosecuted for any matters to which the order relates. The Court may agree to extend the limit if the person concerned applies before the limit expires, and if there are genuine reasons why they cannot carry out the required action within the time limit. Section 42 117 When someone has been convicted of an offence related to the acquisition, possession or use of explosives (see para 112(b)), the Court may order the explosives to be forfeited and destroyed or otherwise dealt with. Before making such an order, the Court must allow the owner, or any other person with an interest in the explosives (for example, the previous owner if they had not been paid for by the new owner), an opportunity to show why the order should not be made. Civil liability 118 The Act provides that there is no right of civil action arising from failure to comply with Sections 2 to 8 of the Act. However, this does not 22

affectny rights of civil action which exist a apart from the Act, including rights under earlier health and safety legislation. Breaches of any duties imposed by health and safety Regulations (that is, Regulations made under Section 15 of the Act) are actionable unless the Regulations themselves state otherwise. Section 47(I)

7 Regulations and Approved Codes of Practice

119 Chapter 1 describes the relationship between the HSW Act and earlier Acts dealing with health and safety. Those earlier acts which are still in force are listed in Appendix 2. Most of the provisions still in force lay down specific standards of health, safety and welfare for particular circumstances. One of the most important aspects of the Act is that it contains powers to modify, replace and repeal the earlier legislation. The eventual aim is to bring all health and safety requirements into a single system of Regulations and Approved Codes of Practice under the Act (see para 8). The Regulations supplement the general duties imposed by the Act by laying down more specific requirements while Approved Codes of Practice give practical guidance about how compliance with the general duties or Regulations might be achieved. Requirements can be amended and up-dated as hazards change and technology advances and to take account of international obligations. The overall objective is always to try to improve standards of health and safety. The most important Regulations made so far are listed in Appendix 3. Regulations 120 Regulations under the Act are made by the appropriate Government Minister depending on the subject of the Regulations. The Heahh and Safety Commission submits to the appropriate Minister proposals for Regulations as it thinks necessary. Before submitting proposals the Commission must consult such government departments and local authorities and other bodies as they consider appropriate, and proposals normally are published in the form of a consultative document. If Ministers take the initiative in preparing proposals for Regulations, they must follow an equivalent consultation procedure which would include the Commission. Consultation normally includes the CBI, TUC and local authority associations, and other bodies likely to have an interest in the proposals such as individual employer associations, trade unions and bodies representing professional or expert opinion. The Commission is not bound to consult individuals, but may consider any comments received. Secrwns 15 and 50 121 Regulations made under the Act may deal with any area which comes within the general purposes of Part I of the Act (see para 3). The Act itself specifically mentions some areas which might be covered by Regulations, such as rules for handling and storing particular substances, requirements for monitoring various aspects of the working environment, requirements relating to welfare facilities, standards for noise and other environmental problems, arrangements for enforcement of the legislation etc. But these are only examples from the whole range of subjects that may be dealt with. Regulations may apply generally perhaps with some exceptions or modifications for certain groups, or may relate only to specific industries, operations, substances, materials or premises. Section 15, Schedule 3 122 Any breach of requirements imposed by Regulations made under the Act is an offence, and may lead to prosecution (see Chapter 6). Section 33(1) (%)

23

Approved Codes ofPractice 123 The Health and Safety Commission hasthepower to approve and issue after consuhation and with the consent of the Secretary of State, Codes of Practice which provide practical guidance about how to comply with the legal requirements of the Act and related legislation, including Regulations. These Approved Codes of Practice should not be confhsed with codes of practice issued by other bodies. However, the Commission may also formally approve other bodies codes of practice, giving them the status of Approved Codes of Practice. Sectwn 16 124 Approved Codes of Practice do not themselves lay down legal requirements, that is, no-one can be prosecuted for failing to follow the guidance contained therein. However, every Approved Code has a special legal status similar to the status of the Highway Code under road traffic laws. If someone is being prosecuted for breach of any requirement of the Act or related legislation, and an Approved Code of Practice is relevant to the alleged breach, the Code is admissible in evidence. If the guidance of the Approved Code has not been followed, it is up to the defendants to show that they have satisfactorily complied with the requirement in some other way. Section 17 125 Anyone who chooses not to follow the guidance in a particular Approved Code of Practice must therefore realise that, if legal proceedings are taken against them for breach of a legal requirement on which the Code is based, they must be able to prove to the Court that they have nevertheless satisfactorily fulfilled those requirements by some other means. Such proof will often be very difficult. The Control of Lead at Work Regulations 1980 and the Associated Code of Practice provide an example of the role and purpose of Approved Codes. The Regulations require employers, so far as is reasonably practicable, to provide control measures so as to adequately control the exposure of their employees to lead. The Regulations themselves do not contain a detailed description of appropriate control measures but the Approved Code lists, on the basis of good occupational hygiene practice, measures which can be used to control exposure to lead. The Code sets out standards by which the adequacy of the measures adopted should be judged.

8 Licensing and appeals against decisions on licensing

126 There are provisions under earlier health and safety legislation for the control of a number of activities by means of licensing systems, for example the operation of nuclear installations under the Nuclear Installations Act 1965 and the manufacture etc of conventional explosives under the Explosives Acts. The HSW Act contains powers to establish new licensing systems by means of Regulations under the Act (eg the Asbestos (Licensing) Regulations 1983). Regulations may forbid the carrying on of any activity or the doing of anything specified in the regulations except under the authority of and in accordance with the terms and conditions of a licence. Regulations may give any authority the power to grant licences, and also to renew, modifJ and revoke such Iicences. Schedule 3, pat-a 4 127 There is a right of appeal to the appropriate Secretary of State against any decision of a licensing authority (except relating to nuclear site licences) whether the authority is operating under health and safety regulations or under other relevant statutory provisions. Appeals may relate to the terms and conditions of the licencej or any decisions relating to the issue, renewal, variation, transferor revocation of the licence. The Secretary of State must give both the person appealing and the enforcing 24

authority anopportuni~ toappear and make representations. There are regulations laying down the procedures for appeals. Section 44(l); The Health @ Safety Licensing Appeals (Hearings Procedure) Rules 1974 (SI 1974 No. 2040); The Health & Safery Licensing Appeals (Heat%zgs F?ocedure) (Scotland) Rules 1974 (SI 1974 No. 2068)

Some key words and phrases

Employee (Section 53)

someone who works under a contract of employment or contract of apprenticeship. The contract may be express or implied, and if express may be oral or in writing. someone who has employees. Employers include not only individual people, but also corporate bodies, such as limited companies, nationalised industries, local authorities etc. people who work for themselves; a self-employed person could also be an employer. work means work as an employee or as a selfemployed person. Employees are at work throughout the time when they are doing something which is part of their employment. This may include, for example, traveling between different sites or buildings. Self-employed persons are at work throughout the time they devote to work as a self-employed person. The definitions of work and at work may be extended by Regulations under the Act, eg under the Genetic Manipulation Regulations 1989, research students are at work when engaged in genetic manipulation (they are then treated as self-employed persons). any place, including buildings, open-air sites, vehicles, vessels, aircraft, hovercraft, tents, movable structures and installations on land or offshore or anywhere else and whether floating or fixed.

Employer

Se&employed person

Work and at work (Section 52)

l+emises (Section 53)

The detinirion of work has been extended to include training provided under Government and other schemes, and the definitions of at work, employer and employee should be extended accordingly. Health and Safety (Training for Employment) Regulations 1988 No 1222 as amended by the Health and Safety (Training for Employment) (Amendment) Regulations 1989 No 1039.

Appendix 1

Main amendments made to the Health and Safety at Work etc. Act 1974 since it came into force
Amendments made by the Employment (Section 116, Schedule 15) Protection Act 1975

1 Deletion of special provisions relating to agriculture (see para 16). 2 Repeal of section 2(5) (see para 40).

25

3 New subsection(8) added to section 10dealing with civil proceedings against the Commission and the Executive. 4 New subsection (9) added to section 28 (see para 85). Amendments made by the Employment (Consolidation) Act 1978 Protection

5 New subsection (2)(a) added to Section 80, applying the repeal/modification powers of Section 80 to certain provisions of the Employment Protection (Consolidation) Act 1978. Amendments Order 1984 made by the Criminal Penalties etc (Increase)

6 Increase of fines for summary offences and the maximum fine which can be imposed for summary conviction of indictable offences (see paras 107 to 110). Amendment Act 1985 made by the Companies (Consequential Provisions)

7 Section 79 repealed (similar provisions are now contained in the Companies Act 1985). Amendments made by the Consumer Protection Act 1987

8 Section 6 now reads (see paras 57 to 65):6 (1) It shall be the duty of any person who designs, manufactures, imports or supplies any article for use at work or any article of fairground equipment (a) to ensure, so far as is reasonably practicable, that the article is so designed and constructed that it will be safe and without risks to health at all times when it is being set, used, cleaned or maintained by a person at work; (b) to carry out or arrange for the carrying out of such testing and examination as may be necessary for the performance of the duty imposed on him by the preceding paragraph; (c) to take such steps as are necessary to secure that persons supplied by that person with the article are provided with adequate information about the use for which the article is designed or has been tested and about any conditions necessary to ensure that it will be safe and without risks to health at all such times as are mentioned in paragraph (a) above and when it is being dismantled or disposed of; and (d) to take such steps as are necessary to secure, so far as is reasonably practicable, that persons so supplied are provided with all such revisions of information provided to them by virtue of the preceding paragraph as are necessary by reason of its becoming known that anything gives rise to a serious risk to health or safety. (1A) It shall be the duty of any person who designs, manufactures, imports or supplies any article of fairground equipment -

26

(a) to ensure, so far as is reasonably practicable, that the article is so designed and constructed that it will be safe and without risks to health at all times when it is being used for or in connection with the entertainment of members of the public; (b) to carry out or arrange for the carrying out of such testing and examination as maybe necessary for the performance of the duty imposed on him by the preceding paragraph; (c) to takesuch steps as are necessary to secure that persons supplied by that person with the article are provided with adequate information about the use for which the article is designed or has been tested and about any conditions necessary to ensure that it will be safe and without risks to health at all times when it is being used for or in connection with the entertainment of members of the public; and (d) to take such steps as are necessary to secure, so far as is reasonably practicable, that persons so supplied are provided with all such revisions of information provided to them and by virtue of the preceding paragraph as are necessary by reason of its becoming known that anything gives rise to a serious risk to health or safety. (2) It shall be the duty of any person who undertakes the design or manufacture of any article-for use at work or of any article of fairground equipment to carry out or arrange for the carrying out of any necessary research with a view to the discovery and, so far as is reasonably practicable, the elimination or minimisation of any risks to health or safety to which the design or articie may give rise. (3) It shall be the duty of any person who erects or installs any article for use at work in any premises where that article is to be used by persons at work or who erects or installs any article of fairground equipment to ensure, so far as is reasonably practicable, that nothing about the way in which the article is erected or installed makes it unsafe or a risk to health at any such time as is mentioned in paragraph (a) of subsection (1) or, as the case may be, in paragraph (a) of subsection (1) or (1A) above. (4) It shall be the duty of any person who manufactures, imports or supplies any substance to ensure, so far as is reasonably practicable, that the substance will be safe and without risks to health at all times when it is being used, handled, processed, stored, or transported by a person at work or in premises to which section 4* above applies; to carry out or arrange for the carrying out of such testing and examination as maybe necessary for the performance of the duty imposed on him by the preceding paragraph;

* l%trskes covered ty S. 4 HS WAct

These classes of premises are described in section 4 as follows:

4.-(1 ) This section has effeet for imposing on persons duties in relation to those who (a) (b) are not their employees; but use non-domestic premises made available to them as a place of work or as a place where they may use plant or substances provided for their use there, premises used in

and applies to premises so made available and other non-domestic connection with them.

27

(c) to take such steps as are necessary to secure that persons supplied by that person with the substance are provided with adequate information about any risks to health or safety to which the inherent properties of the substance may give rise, about the results of any relevant tests which have been carried out on or in connection with the substance and about any conditions necessary to ensure that the substance will be safe and without risks to health at all such times as are mentioned in paragraph (a) above and when the substance is being disposed of; and (d) to take such steps as are necessary to secure, so far as is reasonably practicable, that persons so supplied are provided with all such revisions of information provided to them by virtue of the preceding paragraph as are necessary by reason of its becoming known that anything gives rise to a serious risk to health or safety. (5) It shall be the duty of any person who undertakes the manufacture of any substance to carry out or arrange for the carrying out of any necessary research with a view to the discovery and, so far as is reasonably practicable, the elimination or minimisation of any risks to health or safety to which the substance may give rise at all such times as are mentioned in paragraph (a) of subsection (4) above. (6) Nothing in the preceding provisions of this section shall be taken to require a person to repeat any testing, examination or research which has been carried out otherwise than by him or at his instance, in so far as it is reasonable for him to rely on the results thereof for the purposes of those provisions.

(7) Any duty imposed on any person by any of the preceding provisions of this section shall extend only to things done in the course of a trade, business or other undertaking carried on by him (whether for profit or not) and to matters within his control. (8) Where a person designs, manufactures, imports or supplies an article for use at work or an article of fairground equipment and does so for or to another on the basis of a written undertaking by that other to take specified steps sufficient to ensure, so far as is reasonably practicable, that the article will be safe and without risks to health at all such times as are mentioned in paragraph (a) of subsection ( 1) or, as the case may be, in paragraph (a) of subsection (1) or (1A) above, the undertaking shall have the effect of relieving the first-mentioned person from the duty imposed by virtue of that paragraph to such extent as is reasonable having regard to the terms of the undertaking. (8A) Nothing in subsection (7) or (8) above shall relieve any person who imports any article or substance from any duty in respect of anything which (a) in the case of an article designed outside the United Kingdom, was done by and in the course of any trade, profession or other undertaking carried on by, or was within the control of, the person who designed the article; or (b) in the case of an article or substance manufactured outside the United Kingdom, was done by and in the course of any trade, profession or other undertaking carried on by, or was within the control of, the person who manufactured the article or substance. 28

(9) Where a person (the ostensible supplier) supplies any article or substance to another (the customer) under a hire-purchase agreement, conditional sale agreement or credit-sale agreement, and the ostensible supplier (a) carries on the business of financing the acquisition of goods by others by means of such agreements; and (b) in the course of that business acquired his interest in the article or substance supplied to the customer as a means of financing its acquisition by the customer from a third person (the effective supplier), the effective supplier and not the ostensible supplier shall be treated for the purposes of this section as supplying the article or substance to the customer, and any duty imposed by the preceding provisions of this section on suppliers shall accordingly fall on the effective supplier and not on the ostensible supplier. (10) For the purposes of rhis section an absence of safety or a risk to health shall be disregarded in so far as the case in or in relation to which it would arise is shown to be one the occurrence of which could not reasonably be foreseen; and in determining whether any duty imposed by virtue of paragraph (a) of subsection (1), (1A) or (4) above has been performed regard shall be had to any relevant information or advice which has been provided to any person by the person by whom the article has been designed, manufactured, imported or supplied or, as the case may be, by the person by whom the substance has been manufactured, imported or supplied.

Appendix 2

Other Acts concerning health and safety at work

The following Acts are listed in Schedule 1 to the Health& Safety at Work Act as containing relevant statutory provisions, ie provisions associated with the HSW Act (Column 3 indicates the provisions involved). Since the HSW Act came into force many parts of the listed Acts have been repealed, eg to be replaced by new Regulations, and this process will continue. (See Chapter 7). Acts which have been repealed in their entirety or which no longer contain relevant statutory provisions are not listed.
Provisions which are reletmu Chapter 1875 c.17 Short title The Explosives Act 1875 stawtoy provisions

The whole Act except sections 30 to 32, 80 and l16to 121 The whole Act

1906 c.14

The Alkali, &c. Works Regulations Act 1906 The Employment of Women, Young Persons and Children Act 1920 The Celluloid and Cinematography Film Act 1922

1920 c.65

The whole Act

1922 c.35

The whole Act

29

1923 c.17 1928 c.32

The Explosives Act 1923 ThePetroleum Act 1928 (Consolidation)

The whole Act

The whole Act

1936 c.22

TfteHours ofEmployment (Conventions)Actl 936 ThePetroleum( Transfer Licences) Act 1936 The Fireworks Act 1951 The Agriculture (Poisonous Substances) Act 1952 The Emergency Laws (Miscellaneous Provisions) Act 1953 The Mines and Quarries Act 1954 The Agriculture (Safety, Health and Welfare Provisions) Act 1956 The Factories Act 1961 The Public Health Act 1961 The Pipe-lines Act 1962 The Offices, Shops and Railway Premises Act 1963 The Nuclear Installations Act 1965 The Mines and Quarries Tips) Act 1969 The Mines Management Act 1971 The Employment Medical Advisory SetVice Act 1972 of

The whole Act except section 5

1936 c.27

The whole Act

1951 c.58 1952 c.60

Sections 4 and 7 The whole Act

1953 C.47

Section 3

1954 C.70 1956 c.49

The whole Act except section 151 The whole Act

1961 c.34 1961 c.64 1962 c.58 1963 c.41

The whole Act except section 135 Section 73 Sections 20 to 23, 25 to 26 and 42 The whole Act

1965 c.57 1969 c.1O

Sections 1,3 to 6, 22 and 24, Schedule 2 Sections 1 to 10

1971 C.20 1972 c.28

The whole Act The whole Act except sections 1 and 6 and Schedule 1

Appendix 3

Regulations made under the Act

A selection of the most important Regulations which have been made under the Act is given below. All are available from HMSO. Some are also included in Health and Safety Commission publications (also available from HMSO) which are mentioned later in this booklet. The Coal Mines (Respirable Dust) Regulations 1975 No 1433 and 1978 No 807 The Fire Certificates (Special Premises) Regulations 1976 No 2003 The Safety Representatives and Safety Committees Regulations 1977 No 500

The Control of Lead at Work Regulations 1980 No 1248 The Safety Signs Regulations 1980 No 1471 The Diving Operations at Work Regulations 1981 No 399

30

The Health and Safety (First-Aid) Regulations 1981 No 917 The Health and Safety (Dangerous Pathogens) Regulations 1981 No 1011 The Dangerous Substances (Conveyance Containers) Regulations 1981 No 1059 by Road in Road Tankers and Tank

The Petroleum - Spirit (Plastic Containers ) Regulations 1982 No 630 The Notification 1982 No 1357 The Notification of Installations Handling Hazardous Substances Regulations

of New Substances Regulations 1982 No 1496 Regulations 1983 No 943

Health and Safety (Emissions into the Atmosphere)

The Classification and Labelling of Explosives Regulations 1983 No 1140 The Asbestos (Licensing) Regulations 1983 No 1649 The Classification, Packaging and Labelling of Dangerous Substances Regulations 1984 No 1244 The Freight Containers (Safety Convention) Regulations 1984 No 1890

The Control of Industrial Major Accident Hazards Regulations 1984 No 1902 The Asbestos (Prohibitions) Regulations 1985 No910

The Ionising Radiations Regulations 1985 No 1333 The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1985 No 2023 The Road Trafilc (Carriage of Dangerous Substances in Packages etc) Regulations 1986 No 1951 The Dangerous Substances in Harbcmr Areas Regulations 1987 No 52 The Control of Asbestos at Work Regulations 1987No2115 The Health and Safety (Training for Employment) The Docks Regulations 1988 No 1655 The Control of Substances Hazardous to Health Regulations 1988 No 1657 The Road Traflic (Carriage of Explosives) Regulations 1989 No 615 The Electricity at Work Regulations 1989 No 635 The Health and Safety Information for Employees Regulations 1989 No 682 The Noise at Work Regulations 1989 No 1790 The Genetic Manipulation Regulations 1989 No 1810 The Health and Safety (Enforcing Authority) Regulations 1989 No 1903 Regulations 1988 No 1222

31

Appendix 4

Selection of further guidance by the Health and Safety Commission and the Health and Safety Executive
Tide of publication Guidance notes on employers policy statements for health and safety at work @ISC 6]* Obtainable ji-om Local oftices of HSE or Enquiry Point (see below) HMSO and other bookshops Local offices of HSE or Enquiry Point (see below) HMSO and other bookshops

Safety representatives and safety committees

Safety Committees: guidance to employers whose employees are not members of recognised independent trade unions @LSC 8]* Accidenrs 10 children on construction (Guidance Note GS7) sites

Substances for use at work: the provision of inforrnatzon (G) 27 Rev HS Articles and substances for use at work: guidance for designers, manufacturers, importers, suppliers, erectors and installers (Gwdance Note GS 8) Obligations on importers of machinery, plant and substances in Great Britain (IND(G) 1(L)) Rev* Determination of Questions by Industrial Tribunals: Health and Safety at Work etc. Act 1974: An explanatory leaflet for appellants and respondents (ITL 19)* An introduction to the Employment Advisory Service (HSE 5)* Medical

HMSO and other bookshops

HMSO

and other bookshops

Local offices of HSE or (see below)

Local offices HSE or of Employment Department

Local offices HSE or of Enquiry Point (see below) HMSO and other bookshops

A guide to agricultural legislation HS(R)2

The Law Relating to Safety and Health in HMSO and other bookshops Mines and Quarries Part 1: Acts (including M & Q Act1954, M & Q (Tips) Act 1969, Mines Management Act 197 1). Part 2: Mines of Coal, Stratified Ironstone, Shale and Fireclay. Part 3: Miscellaneous Mines. Part 4: Quarries, Consolidated edition (incorporating Supplement 1) 1976. A guide to the OSRP Act 1963 (HS(R)4) Guide to the Explosives Act 1875 The Factories Act 1961. A short Guide Essentials of Health and Safety at Work HMSO HMSO HMSO HMSO and other bookshops and other bookshops and other bookshops and other bookshops

*Theseublications are available bee of charge p

32

Catalogue of HSEpublications Broader guidance about standards and methods of dealing with hazards is listed in the current Publications catalogue, available from HSE enquiry points. This is an index of the relevant statutory provisions and of guidance and advisory material produced by the HSC and the HSE. The guidance material includes the following. Agriculture Safety Leaflets; AS leaflets Guidance Notes (five series); Chemical; Environmental Health; General; Medical; Plant and Machinery Health and Safety Commission Leaflets; HSC leaflets Health and Safety Executive Leaflets; HSE leaflets Health and Safety (Guidance) Booklets; HS(G) Series Health and Safety (Regulations) Booklets; HS(R) Series Joint Advisory Committee Reports Joint Standing Committee Reports Methods for the Detection of Hazardous Substances Employment Medical Advisory Service Leaflets (Series A and B) Industry Leaflets, General and Specialised: IND(G)(S) Industry Advisory Committee (IAC) publications Certain categories of HSE publications such as consultative documents, discussion documents, and pilot studies are not included.

Appendix 5

HSE Area Offices

No 1 Area South West Address Inter City House, Mitchell Lane, Victoria Street, Bristol BS1 6AN (Tel: 0272 290681) Priestly House, Priestly Road, Basingstoke, RG249NW (Tel: 0256 473181) 3 East Grinstead House, London Road, East Grinstead, West Sussex RH19 lRR (Tel: 0342 326922) Maritime House, 1 Linton Road, Barking, Essex IG11 8HF (Tel: 081-594 5522)

south

South East

London North (Area Offices 4 and 5 have now merged) London South

1 Long Lane, London SE1 4PG (Tel: 071-407891 1) 39 Baddow Road, Chelmsford, Essex CM2 OHL (Tel: 0245 284661) 14 Cardiff Road, Luton, Beds LU1 lPP (Tel: 0582 34121) 5th Floor, Belgrave House, 1 Greyfriars, Northampton NNl 2BS (Tel: 0604 21233) McLaren Building, 2 Masshouse Circus, Queensway, BirminghamB47NP (Tel: 021-200 2299)

East Anglia

Northern Home Counties East Midlands

10

West Midlands

33

11

Wales

Brunei House, 2 Fitzalan Road, Cardiff CF2 lSH (Tel: 0222 473777) The Marches House, Midway, Ncwcastleunder-Lyme, Staffs ST5 1DT (Tel: 0782 717181) Birkbeck House, Trinity Square, Nottingham NG1 5AU (Tel: 0602 470712) Sovereign House, 40 Silver Street, Sheffield S1 2ES (Tel: 0742 739081) 8 St Pauls Street, Leeds IS 1 2LE (Tel: 053244619 1) Quay House, Quay Street, Manchester M3 3JB (Tel: 061-831 7111) The Triad, Stanley Road, Bootle, Merseyside L20 3PG (Tel 051-922 7211) Victoria House, Ormskirk Road, Preston PR1 lHH (Tel: 0772 59321) Arden House, Regent Centre, Gosforth, Newcastle-upon-Tyne NE3 3JN (Tel: 091-284 8448) Belford House, 59 Belford Road, Edinburgh EH4 3UE (Tel: 031-225 1313) 314 St Vincent Street, Glasgow G3 8XG (Tel: 041-204 2646)

12

Marches

13

North Midlands

14

South Yorkshire and Humberside West and North Yorkshire Greater Manchester

15

16

17

Merseyside

18

North West

19

North East

20

Scotland East

21

Scotland West

Addresses of local authority enforcement offices can be obtained from district council offices, the telephone book or in cases of difficulty from the local authority liaison officer in the appropriate HSE area office. HSE Information Centres Health and Safety Executive, St Hughs House, Stanley Precinct Bootle,MerseysideL203QY Tel: 051-9514381. Health and Safety Executive, Baynards House, 1 Chepstow Place, Westboume Grove, London W2 4TF Tel: 071-2210870 Health and Safety Executive, Broad Lane Sheffield S3 7HQ Tel: 0742752539

Printed in the UK for HMSO

C200

10/90

34

. Appendix 6
Healthand SafetyExecutive
Health and Safetvat Work etc Act
1974, Sections 21,23 anrJ24 I serial number

Improvement

notice
Name Address

HAti ILTON AililONES J

COVENTRY ROAD, BLANKSHIRE
as

RUCTION) (CONS
()~N

LTO

!4Eti

Trad[ng

Inspector $ full name Inspector > of f,ckal ales,gnat, on

1,

ANTHONY NORi4AN OTHEFl

Inspectors appointed of

one of Her Majestyrs Be!ngan Inspector andenrl~led

FACTORIES
(nwfl[!ng made oursuan! tosectlon 190f Inesa,d ACI

byan!nstrumen[

to Issue thlsnotlce

Clff+c!al address

of

HEALTH

AND SAFETY EXECUTIVE SCOTLAND HOUSE, GRANVILLE ROAD

Telephone number

NEi4TOidN

2fs881

hereby Locatoon of prem(ses or place of aCtPJItV

g!veyounot]ce

that

Iamof

theop!nion

that

a[

THE NEW SilELTERED HOUSING LIVERPOOL ROAD, NEWTOJN

SITE

The reasons for my said opinion

FENCED

THAT THE SITE IS NOT EFFECTIVELY SO AS TO PREVENT PERSONS NOT Iii YOUR

are:

Ei4PLOYMENT NAMELY CHILDREN FROM ENTEi?INGTHE SITE AND THEREBY BEING EXPOSED TO RISKS TO THEIR SAFETY

and I hereby occasioning Schedule

require them by

you to remedy

the said contraventions

or,as

the case may be, the matters in the

14 MAY

1989

(and I direct that the measures specified shall be taken to remedy the said contravention

which

forms part of this Notice

or matters)

Signature Anlmprovement of

8-NW
Notice isalsobeing servedon /

Date 12 April 1989

related

to the matters

contained

in this notice

Environment and Safety Information Act 1988

This isarelevant

notice

forthepurposes

of the Environment

and Safety

information

Actl9=

YES/WQ

This page only will form Signature

the register entry*. Date

Mm

12 April

1983

LPf(rev12/88)

See notes

overleaf

- delete as mpropnale

I Failure to comply with an improvement Nollce IS an olfence as provided by Sectton 33 of this Act and renders the offender hable to a hne not exceeding S2,000 on summary conwctlon or 10 an unlmted fine on conviction on ind!c!ment and a further fine of not exceeding 1100 per day if the of fence is con[[nued. 2 An Inspector has power 10 withdraw an improvement Nollce or to extend the period specihed [n fhe notrce before fhe end of me period spec!fled (n it. If you wrsh !hls 10 be considered jou should aoPIY to the lrlsPector who Issued the nol[ce. hut You must so se before the-end of the period gwen In it Such an application IS not an appeal agamsl this notice 3 The issue of this nohce does not reheve You of any legal I!ablhty for falling to comply the notice, or 10 ~erform any other Stai UtOW or common law duty resllng on YOU 4 Your a[ten!(on IS drawn to the prowson for appeal against lh{s notice to an Induslrlal w!th any statutory provls,on referred !0 :n

Trrbunal

Details

of the method

of ma~.~g GIce

3P

a~oeal are o!ven below. see also Sect Ion 24 of this Act. The appeal should be sent to The Secretary of the Tribunals, Cenlral # of [he Industrial Tribunals. 93 Ebury 8ndge Road. London SW1 9RE !for England and Wales) or the Secrefary of the Tribunals. Off Ice of the lndustrat The appeal (a) (b) Tribunals. Sa!nt Andrew @ send!ng House. m wrltlng 141 West Nile Street, Glasgow G1 2RlJ (for Scolland a not!ce containing only) the following

CeFI:a.

must be commenced

10 the Secretary

of the Tr:bunals

partlc.a:s.

Ihe name of the appellant the date of the notice. the name and address. oartlculars the grounds #hlch

and hls address appealed

for the serwce agamsl

of documents, of the premises or Place concerned: I

or notices. as shown

and the address

(c)
(d) (e)

on this notice,

of the respondent: against, and:

of the requirements of fhe appeal

or duectlons

appealed

A form

may be used for appeal

IS attached. !

Time timit for appeal A notlceof appeal must besenl tothe Secretary of Tnbunafsw ithin 21 days from ihe date of serwceon fheappeltanlof thenc:ce. or not!ces, appealed against, or within such further period as the tribunal considers reasonable !n a :ase where it IS satisfied tha: ! was not reasonably practicable for the notice of aPDeal !0 be presented wtthln ihe ?erlod of 21 days If posted the apPeal shou!a Ee sent by recorded The entering delwe~. suspends by which the Improvement Nctlce until !n the appeal nas been determined, but does not awcrratlcally S:S:

of an appeal

the date given in th!s notice

the ma fters contained

it MUS!

be remeded (Impmvement (improvement and Prohib{tlon and Prohibltmn Not Ices Appeaisj Not Ices Appeals] Reg~a:c-s KScc::i-c:

The rules for the hearing of an appeat are gwen [n The Indusinal 1974 (S1 1974 No 1925) for England and Wales and The Industrial Regulations 1974 (S1 1974 No 1926) for Scctland.

Tnt?unais Tnbunak

ENVIRONMENT

AN D SAFETY INFORMATION

ACT 1988 will be included as an entry ?n a public regrsler whjch .\Iil w does not impose requirements or proh!blt!ons solely fOr :Pe

1 A notice wh!ch keDt by the Health protection

is relevant for the purposes of this Act (see overleaf) and Safety Execuhve. A relevant notice is one which at work.

of persons

2 The register being disposed

entry shalf be made within 14 days of either the right of appeal against of. Where a notice rs-cancetled on appeat no entry shalf be made

the notice

explnng.

or of SUCh an aPOeai

3 When an inspector is satisfied a relevant notice has been complied not!ce is withdrawn or amended [he entry shall be deleted or amended 4 Entries shalf be kept in the register fora period of at feast 3 years. on theregkter to the Health

with an entry shall be made in the reg(ster to show this. !f a These alterahons of the register shall be made within 7 Cays

5 If you think that Iheenfiy for this notice process you should give wnllen notification then draft an entry which m IIS opmlon

will disclose ir?formahonabou! a trade secret or secret manufacturing and Safety Executive within 14 days. The Health and Safety Executwe and serve th!s on you.

WIII

WIII not reveal the secret.

6 If you arb not satisfied with th=. draft entv you mayaPPeatwithln 14daysto the Secretary of State whomayelther decide the entry should be made as drafted, or, if it IS considered it does not afford reasonable protection to the secret, the Secretary State may specify the form the entry should take.

thal of

7 If you makea written notification the Health and Safety Executwe will not make an entry in relation to the nolice other than one which only specifies your name and address, Identlf{es any ptace revolved and specifies the relevant Iegaf provisions. A fulfer entry will only be made when a) you give your written consent to the draft, or b) where no consent is given the time allowed for appeaf to the Secretary of State hasexpired, orc)on appeal the Secretary of State has directed that an entry shall be made.

HEALTHANDSAFE~ EXECUTIVE Hoakh and Safmtyat Work ate Act 1974,

Sactlons 21,22.23, and 24

Schedule

Serial No. I/l?

SHELTERED

HOUSING

LIVERPOOL

ROAD,

NEWTOWN

1.

A 2 metre the actual

high

fence

to be erected operations.

to enclose access

the site of to the site shall be

building a gate These

Where

is required provided.

or gates

of the same height secured when not

to be properly

in use.

or

2.

Other prevent

equally access

effective by children

measures onto

shall

be

taken

to

the site.

LP 3

Appendix 7

Healthand SafetyExecutive
Health and Safety at Work erc Act 1974, Secrions 22, 23 and 24

Serial

Number

p 1- JE 1004891

Prohibition notice
Name Address

J Doe and Sons Ltd

Downshire

Rooks Farm, Stapleup,

%MMJ)m

Inspectors

full name

!, John
Be, ngan

Everyman
Inspectors appointed of

Inspeccors of fic!al deslgna:lon

one of Her Majestys Inspector

Health

and Safety
!n writing mace pursuant to section 19 of :he said Act

by an Instrument

and entitled Official address of Health

to issue this notice dncj

Safety

Executive,

Government

Buildings,

South

Road,

Linden,
hereby

Upshire,

L36 2XY
that I am of theopinion that

elePhonenum&r
the following activities

06-567-4289
namely:

give you notice

use of the Smith 3-point linkage mounted ditch digger model D1OO reg. no. ABC serial no. 123456 attached to the Jones 420 tractor

123

which Location of prem!ses or place of actlvily

are being

carried

on by you/XiXM~XW&J4%I)?MlXXM&X

$LM.)7under your

control

at

Rooks

Farm,

Stapleup,

Downshire

lnvoive,xx

x+i~jmm)vx,

a risk of serious tothesaid

personal

iniury. andthat the matters which

there is

giverise~~iti~X~R*

risk{s)are:

insufficient clearance

unit (including its control levers) and the tractor cab when the diqqer is raised to its fullest extent on the tractor hydraulic;and that statutory the said matters provisions: {nvolve/Wti)(i~X@X# contravention of the following

between the digger control

The Health
because

and Safety

at Work

etc.

Act

1974,

Section

1)
the control

the operator is tit risk of being crushed unit and the rear of the tractor safety cab

between

and I hereby immediately

direct ldt.u~

that thesaid

activities

shall not recarried

on by youorunder

your control

unless the said contravention(x)

andmatters have
noti=shall&takeF

been remedied. 1 funherdireti to remedy that themeasures s~cified intheschedule whi~forms pa~ofthi$

the said contravention(x)

or matters.*

Signature

J Everyman

Oate 10 April 1989

xdxtwdxaxkxmstwx xmwkdkxlhbmfkc
Environment Information and Safety Act 1988 This isarelevant notice forthepurposes of the Environment and Safety information Actl988 XW/NC

xMxP**wMktimxhKmkmxnM%*.
Signature

J Everynan
See

Date

10 April

1989

LP2 (rev 12/88)

notes

overleof

ddere as amwopr,a:

1 Failure 10 comply w!th a Prohmdlon Notice IS an Offence as provided by section 33 of the Health and Safety at Work etc Act 1974 and renders the offender hable to a fine not exceeding 22,000 on summary Convfctlon or 10 an unllrn!ted fine or to \mpr!sonment or a term not exceeding cont!nuea. IWO years or both on conwctlon on Indictment and a further fme of not exceediog E1OO per day If Ihe of fence IS

2 Except for an Immed[ate Prohlblhon No!lce. an inspector has power to wlthdra.w notice. before the end of iht? period specified In !t If you ,wtsh this to be considered notice. but you mu51 do so before the end of the period

a nohce or to e~!end !he period s;ecf+ed n !he you should apci, !0 Ihe Inspector }~ho Ssued :-e IS not an arxeal wllh aga!nst this ol\ce. eferred to n

given +n It. Such an appllcal!on

3 The Issue of this notice does not relieve you of any legal Itabjllty tor falling to comply the nof!ce. or to perform any other stalutow or common law duly rest!ncj on you.

any s!a[ulory

~ro,visjc~

4 Your a!tentlon IS drawn to the prowslon for appeal agalnsl this notice to an lnduslnal Tribunal. OZ!a,Is of the me:rcd Ct ma~!ng an ;f the Trlburais, Certral 01 c= dPPeal are 91ven belo~. see also SectIon 24 Of this Act The apceal should be sent 10 The Secretao of the Industrial Tribunals. 93 Ebury f+cfge Road. London SW I t3RE (for England and Wales) or the Secretary of !he Tflcunals. Ce~~:~I Otfice of the Industral Tribunals. Sa!nt Andre,v House, 141 West Nile Street. Glasgow G1 2RU (for Scc[land onlyj The appeal (a) (b) (c) (d) (e) must be commenced by sending m writing to the Secretary of the Tnbunais a notice Ccrtaln)ng the follo.%lfiq Dartlculsrs

the name of the appellant the date of the nohce. the name and address, particulars the grounds

and hls address appealed

for the serwce against

of documents. of the prem(ses or place concerned,

or notices. as shown

and the address

on this notice,

of the respondent; against, and:

of the requirements of the appeal.

or directions

appealed

A form which

may be used for appeal

IS attached

Time limit for appeal A notice of appeaf must be sent to the Secretary of Trlbunats vwth!n 21 days from the date of serwce on the appellart of [he norc?

or notices, appealed against. or within such further period as :he tribunal considers reasonable m a case where It m satlsf!ed that t was not reasonably practicable for the notice of appeal to be presented w!thln the period of 21 days. If posted the appeal should se sent by recorded delivery of Ihls

The entering of an appeal does not have the effect of suspending this notice. Appllcat!on can be made for the suspension notice to the Secreta~ of Tribunafs, but the notice continues in force unt!l a Tribunal otherwfse directs An application (a) (b) for suspension of the notice must be in wrtting or particulars and mUSl set Out: to }dentify it. and:

the case number the grounds

of the appeal,

if known.

sufficient

on which

the application

is made. (ft may accompany

the appeal.) (Improvement (Improvement and Prohlblticn and Prohibition NotIces Notices Appeals) Appeals) Regulations {Scotland)

The rules for the hearing of an appeal are gwen m The Industrial 1974 (S1 1974 No 1925) for England and Wales and The industrial Regulahons 1974 (S1 1974 No 1926) for Scotland.

Tribunals Tribunafs

ENVIRONMENT

ANO SAFETY

INFORMATION

ACT 1988 will be included as an entry In a publlc register which w!ll te does not impose requirements or prohib!ttoos solely for :i=e

1 A notice which IS relevant for the purposes of th!s Act (see overleaf) kept by the Health and Safety Executive. A relevant notice is one which protection of persons at work. 2 The register being disposed

entry shall be made within 14 days of either the right of appeaf against of. Where a notice is cancelled on appeal no entry shall be made.

the notice

expiring.

or of such an appeal

3 When an inspector is satisfied a relevant notice has been compfied notice is withdrawn or amended the entry shall be deleted or amended. 4 Entries shall be kept In the register for a period of at least 3 years.

with an entry shalt be made in the register to show this. if a These alterations of the regcster shall be Mdde wlth!n 7 days.

5 If you think that the entry for this notice process you should gwe written notification then draft an entry which In Its optmon

on the register wilf disclose information about a trade secret or secret manufacturing to the Health and Safety Executtve within 14 days, The Health and Safety Executwe and serve this on you.

WIII

wllf not reveal the secret,

6 If you are not satisfied with this draft entry you may appeal within 14 days to the Secretary of State who may either decide that the entry shoufd be made as drafted, or, If It IS considered It does not afford reasonable protechon to the secret, the Secretary of State may specify the form the entry should take. 7 If you make a written notification the Health and Safety Executive will not make an entry in relation to the not!ce other than one wh!ch only specifies your name and address, identifies any place involved and specifies the relevant Iegat provisions. A fuller enlry WIII only be made when a) you give your written consent to the draft, or b) where no consent IS g(ven the time allowed for appeal to the Secretary of State has expired, or c) on appeal the Secretary of State has directed that an entry shall be made.

HEALTHANDSAFE~

EXECUTIVE
etc. Act 1974, Saotions 21,22,23, and 24

Health and Safety at Work

Schedule

serial No. I/P

JE 1004891

SMITH DITCH DIGGER MODEL DIOO/JONES 420 TRACTOR

)

There must be a minimum clearance of 460mm (18) available between the control unit (including the control levers) and any part of the cab when the digger is raised to its fullest extent on the tractor hydraulics. The minimum clearance may be obtained by fitting the manufacturers kit, or any other method recommended by the manufacturer. extension

The operator should not be in a position where he or she could be trapped the tractor and the digger when the minimum clearance is checked.

between

LP 3