Tag: Health and Safety

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Health & Safety Legal Register vs Compliance Audit: What is the Difference?

If you have been told you need a “legal register” and separately advised to commission a “compliance audit,” you could be forgiven for wondering whether these are two names for the same thing. They are not — and understanding the difference matters, because most organisations that fall foul of a health and safety enforcement notice have one of these two documents in place but not the other.

This article explains what each one actually does, how they work together, and which one your organisation needs first.

The short answer

A health and safety legal register identifies which legal requirements apply to your organisation. A compliance audit (or compliance evaluation) tells you whether you are actually meeting them.

One is a map. The other is a health check against that map. You need both, but they answer different questions, and confusing them is one of the most common gaps we find when we review a client’s health and safety management system.

Health and safety consultant reviewing legal register documentation

What is a legal register?

A legal register is a structured record of the health and safety legislation, regulations, approved codes of practice, and other legal requirements that apply to your organisation’s specific activities, sites, and operations.

A good legal register will typically:

  • List each applicable piece of legislation (for example, the Management of Health and Safety at Work Regulations, COSHH, the Work at Height Regulations, or sector-specific rules)
  • Summarise what that legislation requires of your organisation
  • Identify which parts of your business or which activities the requirement applies to
  • Identify the controls in place to meet the legal requirements
  • Be reviewed and updated as legislation changes or your operations evolve

Crucially, a legal register is a document of applicability. It answers the question: “What law applies to us, and what does it say we must do?” It does not, by itself, tell you whether you are doing it.

What is a compliance audit or evaluation?

A compliance audit takes the requirements identified in the legal register (or an equivalent framework) and tests them against reality. It asks: “Are we actually meeting this requirement, in practice, today?”

A compliance audit typically involves:

  • Site visits and observation of actual working practices
  • Review of documentation, records, and evidence (permits, training records, inspection logs, risk assessments)
  • Interviews with staff, supervisors, and duty holders
  • Gap analysis against each legal requirement
  • A findings report ranking non-conformities by risk and urgency
  • Recommendations and an action plan to close the gaps

Where the legal register is a snapshot of obligations, the compliance audit is a live assessment of performance. It is the difference between having a checklist and actually checking the boxes — and finding out, in evidence-based detail, which ones you cannot honestly tick yet.

Legal Register

  • Records applicable legislation for the organisation

  • Sets the bench mark for compliance

  • Must be regularly reviewed & updated

  • Identifies controls in place

  • Bespoke to the organisation

  • Can be one jurisdiction or more

Compliance Audit

  • Identifies if you actually meet the legal requirements

  • Assesses at a specific point in time

  • Site visits, observations & staff interviews

  • Review of documentation, records, etc.

  • Gap analysis

  • Recommendations & action plan

Why the difference matters

We regularly see organisations that have invested in one of these tools and assumed it covers the other. Both mistakes carry real risk.

Legal register without an audit: You know what the law requires, but nobody has verified whether it’s happening on the ground. This is common where a legal register was purchased as a subscription product or generated once and filed away. It creates a false sense of security — the document exists, so the box feels ticked, but there is no evidence of actual conformance if an inspector, insurer, or regulator asks for it.

Audit without a legal register: You get a snapshot of current practice, but without a clear, maintained baseline of what should apply, the audit scope is often built from generic checklists or the auditor’s working knowledge rather than your organisation’s specific legal exposure. Gaps in obligations you did not know applied to you can be missed entirely.

Used together, the legal register defines the scope of what to check, and the audit provides the evidence of whether you are meeting it. This combination is also what regulators, insurers, and courts expect to see when assessing whether an organisation exercised due diligence — a legal register with no corroborating evidence of compliance checking is a weak defence in an enforcement case or civil claim.

How they fit into a health and safety management system

Think of it as a three-stage cycle:

  1. Identify — the legal register captures every applicable requirement
  2. Evaluate — the compliance audit tests current practice against each requirement
  3. Act — a corrective action plan closes the gaps the audit identifies, and the cycle repeats on a review schedule

This mirrors the “Plan-Do-Check-Act” approach that underpins recognised health and safety management standards such as ISO 45001 and HSG65. A legal register alone only covers “Plan.” Without the “Check” stage — the audit — you have no mechanism to confirm the plan is working.

Which do you need first?

If your organisation does not currently have a legal register, that is the logical starting point — you cannot meaningfully audit compliance against requirements you have not formally identified.

If you already have a legal register but it has not been tested against actual site practice in the last 12 months, a compliance audit should be your next step. An out-of-date or unverified register can quietly become a liability rather than an asset.

Get a clear picture of your legal exposure and compliance status

Many organisations discover during an audit that gaps have existed for months or years without anyone noticing — often because the legal register and the audit process were never properly connected.

If you are not sure whether your current legal register is complete, whether your last audit was thorough enough, or where to start with either, we can help. We carry out legal register development, gap analysis, and full compliance audits tailored to your sector and operations, with a clear, prioritised action plan at the end of it — not just a list of problems. We have experience in a variety of sectors to meet your needs.

Get in touch to arrange a no-obligation discussion about your current legal register or compliance status, and we will tell you honestly where your priorities should be.

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How to Identify Which Health & Safety Legislation Applies to Your Business

UK health and safety law is not a single rule book that every business follows in the same way. Instead, it’s a layered system: the Health and Safety at Work etc. Act 1974 (HSWA) sets out broad duties that apply to almost every employer, while dozens of more specific regulations — made under that Act — only apply depending on what your business actually does. Many owners and managers assume that because they have done a general risk assessment, they are covered. In practice, working out your full legal obligations means looking closely at your activities, equipment, premises and workforce, not just your industry label.

This article walks through the main factors that determine which UK regulations apply to your business, so you can build an accurate picture of your legal duties rather than relying on guesswork.

Start with the general duties under HSWA 1974

The Health and Safety at Work etc. Act 1974 is the foundation of UK health and safety law. It places a general duty on employers to ensure, so far as is reasonably practicable, the health, safety and welfare of their employees, and to protect others — such as contractors, visitors and the public — who may be affected by their work. The Act also places duties on the self-employed and on those in control of premises.

HSWA rarely tells you exactly what to do in a given situation. Instead, it is supported by a wide range of secondary legislation — mostly Statutory Instruments enforced by the Health and Safety Executive (HSE) or your local authority — that add specific, practical requirements. Identifying which of these regulations apply to you depends on several interacting factors.

Houses of Parliament, London

Factor 1: The nature of your work activities

The single biggest driver of applicability is what your business actually does day to day. UK regulations are often built around specific hazards or types of work, meaning two businesses in the same broad sector can have quite different legal obligations depending on the tasks involved. Common examples include:

Each of these activities brings its own dedicated regulations into scope, separate from the general HSWA duties.

Factor 2: The substances and materials you work with

If your business handles chemicals, dust, fumes, biological agents or other hazardous substances, the Control of Substances Hazardous to Health Regulations 2002 (COSHH) is likely to apply — regardless of your sector. This is not limited to obviously “industrial” settings; hairdressers, cleaners, print shops, laboratories and even offices using certain equipment can fall within scope. Applicability depends on the substance itself, how it is used and stored, and the level of exposure risk — not on your business type. Where lead or asbestos are involved specifically, separate dedicated regulations apply on top of COSHH.

Factor 3: Equipment and machinery in use

The Provision and Use of Work Equipment Regulations 1998 (PUWER) generally applies wherever machinery, tools or equipment are used for work — from industrial plant to a simple stepladder or a piece of office equipment. Where lifting equipment is involved (hoists, forklifts, lifts), the Lifting Operations and Lifting Equipment Regulations 1998 (LOLER) also applies, and pressure systems bring in the Pressure Systems Safety Regulations 2000. The trigger here is the presence and use of the equipment itself, not the sector you operate in.

Factor 4: Your premises and how they are used

The type of premises you occupy, and how they are used, brings separate legislation into play:

A business operating from a warehouse, a shop, a construction site or a shared office block may each face different obligations relating to the physical environment, even where their core work activity is otherwise similar.

Factor 5: The size and structure of your business

Some duties scale with headcount. Under the Management of Health and Safety at Work Regulations 1999, employers with five or more employees must record significant findings of their risk assessments in writing and have a written health and safety policy. Businesses below that threshold still carry the same underlying legal duty to manage risk — they simply have lighter documentary requirements. Separately, if you employ anyone, you are generally required to hold Employers’ Liability Insurance under the Employers’ Liability (Compulsory Insurance) Act 1969, with limited exemptions.

Factor 6: Who is affected by your work

UK legislation does not only protect your direct employees. HSWA and related regulations also require you to consider contractors, visitors, and members of the public affected by your activities. This is particularly relevant if you:

  • Invite the public onto your premises (retail, hospitality, leisure)
  • Send staff to work on other organisations’ sites
  • Manage shared workspaces where multiple employers’ activities interact

The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 (RIDDOR) also applies broadly here — requiring certain injuries, diseases and dangerous occurrences to be reported to the HSE, regardless of whether the person affected was an employee.

Factor 7: Your sector-specific regulatory regime

Certain industries carry their own dedicated regulatory frameworks layered on top of general health and safety law, including:

  • Construction — CDM Regulations 2015
  • Agriculture — regulations covering machinery guarding, livestock handling and pesticides
  • Food businesses — food hygiene regulations sit alongside (not instead of) health and safety law
  • Healthcare — additional infection control and clinical waste regulations
  • Transport and logistics — drivers’ hours rules and vehicle-specific regulations

These sector-specific rules typically sit alongside general legislation like HSWA and the Management Regulations, rather than replacing them.

Factor 8: Enforcement authority and regional variation

In Great Britain, enforcement is split between the HSE (typically for higher-risk sectors like construction, manufacturing and agriculture) and local authorities (typically for offices, retail and hospitality) — it is worth knowing which applies to your business, as this affects who you report incidents to and who may inspect your premises. Note also that Northern Ireland has its own health and safety legislative framework, enforced by the Health and Safety Executive for Northern Ireland (HSENI), which mirrors but is legally separate from GB law. Businesses operating across the UK should check they are not assuming GB regulations automatically extend to Northern Ireland.

Putting it together: a practical approach

Rather than trying to memorise every regulation that might apply, it is more effective to map your business against these factors systematically:

  1. List your work activities — every task carried out by staff, not just the “main” job.
  2. List the substances, equipment and materials involved in each activity.
  3. Map your premises types and how each is used, including shared or third-party sites.
  4. Check your headcount against the five-employee threshold for written documentation.
  5. Identify who else is affected — contractors, visitors, the public.
  6. Check for sector-specific regimes relevant to your industry.
  7. Confirm your enforcing authority (HSE or local authority) and whether Northern Ireland rules apply.

Working through this list will usually surface a shortlist of applicable regulations that goes well beyond HSWA’s general duties alone. Because legislation is periodically updated, it is worth revisiting this exercise whenever your activities, premises or workforce change significantly — and consulting a qualified health and safety adviser or solicitor if you are uncertain how a specific regulation applies to your circumstances.

Getting this right is not just about compliance for its own sake. Understanding exactly which legislation applies to your business is the foundation for building risk assessments, policies and training that address the hazards your people actually face — rather than a generic checklist that misses what matters most.

Determining which legislation is applicable in your business can be complicated and time consuming, although the Health and Safety Executive acknowledges that businesses need to identify the laws relevant to their particular industry and activities.

We identify the health & safety legislation relevant to your specific activities and produce a bespoke legislation register.  We can also provide a regular update service so that you can focus on running your business.  If you would like a quotation or more information about the services we offer, please contact us.

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Managing Home Workers’ Health & Safety: An Employer’s Guide

As an employer, you hold the exact same legal health and safety responsibilities for remote staff working at home as you do for on-site office workers. According to the Health and Safety Executive (HSE) guidelines, these duties extend to all long-term home workers, hybrid staff splitting time with the office, and temporary home workers managing short-term restrictions. While risks are typically low, proactive management protects your business and your people.

Female worker at home using laptop
Are your employees safe working at home?

Identifying Key Areas of Remote Work Risk

What are the primary hazards when staff work from home? While remote environments are generally low risk, the HSE outlines three specific categories employers must address:

  • Mental well being: Stress, isolation, and poor mental health.
  • Ergonomics: Improper use of display screen equipment (DSE).
  • Physical Space: Hazards within the immediate working environment.

Conducting a Remote Worker Risk Assessment

Do employers need to visit staff homes?

In most cases, employers do not need to physically visit a home to complete a risk assessment, provided they can ensure a healthy setup remotely. However, a physical visit may be required under certain circumstances:

  • To accommodate a worker with a disability or specific medical requirement.
  • If the work activity introduces severe hazards, such as specialised machinery, tools, or chemicals.

Practical steps for remote risk discovery

To effectively assess your work-from-home team without entering their properties, utilise these direct strategies:

  • Distribute digital self-assessment questionnaires and home configuration checklists.
  • Schedule mandatory phone or video consultations to talk through setups individually.
  • Outline clear parameters regarding the type of work being performed and the duration of the tasks.

Note: If your risk assessment highlights a need for corrective action or specialised equipment, your workers cannot be financially charged for these.

What if a home is unsafe for remote work?

If an employer determines that a home is not a suitable work environment and reasonably practicable protective measures cannot be implemented, alternative arrangements must be mutually agreed upon. This includes providing dedicated workspace inside the office or arranging another safe, local work location.

Managing Employee Stress and Mental Health at Home

Remote working can place unique psychological demands on your staff. Deprived of day-to-day social contact, remote employees are highly vulnerable to isolation, which can trigger severe pressure or aggravate pre-existing mental health conditions.

Practical ways to combat remote isolation

Because it is harder to recognise behavioural symptoms of stress without face-to-face interaction, employers should integrate structured checkpoints:

  • Open Dialogue: Talk openly with employees about stress, and actively involve them in building your corporate stress risk assessments.
  • Frequent Contact: Build in regular keep-in-touch meetings via one-to-one phone check-ins and accessible team video calls.
  • Occupational Support: Frequently remind remote staff of available mental health resources, corporate counselling, or employee assistance programs.

Promoting a Healthy Work-Life Balance

Remote staff frequently work longer hours, leading to severe burnout. employers should regularly audit workloads and training needs to ensure timelines remain realistic. Actively encourage your remote workforce to take structured screen breaks, use their allocated annual leave, and log off completely without feeling an obligation to monitor emails outside of normal working hours.

Complying with DSE Regulations at Home

Employers must protect remote workers from the physical strains associated with laptops and desktop computers under the Display Screen Equipment (DSE) regulations.

Streamlining the DSE assessment

If the regulations apply to your staff, a dedicated DSE assessment must be executed for both their home setup and office workstation. Employees can complete these as self-assessments once they are given proper training.

Your primary objectives are to ensure:

  • Workers can easily achieve a comfortable, sustainable, and ergonomically sound posture.
  • All hardware, peripherals, and equipment provided are fully functional and safe.

Employees do not necessarily require specialised office-grade furniture if their personal setups are ergonomically sound. However, if an individual’s personal furniture is inadequate, the employer must bridge the gap. Risks must be reduced so far as “reasonably practicable”—meaning you must balance the level of real risk against the cost, time, and trouble of the control measures.

Ensuring a Safe Physical Working Environment

Employers must take reasonable steps to verify that the home working environment itself is physically safe.

Electrical equipment and cable safety

While you are only legally liable for the specific electrical assets your company provides, you must ensure they are operated safely. Instruct workers to perform routine visual checks on sockets, plugs, and leads for signs of damage. Additionally, provide explicit guidance on the fire hazards associated with overloaded extension cables.

Mitigating slips, trips, and falls

Provide your team with practical advice on how to keep their immediate workspace clear of hazards. Remote workspaces should remain clear of floor obstructions, un-mopped spillages, and trailing equipment wires.

Emergency procedures and lone working

Ensure your remote team knows precisely what to do during an emergency. Supply them with a protocol document outlining emergency contact numbers, and maintain an updated emergency contact registry for every remote employee in case they become uncontactable. For staff operating with zero direct supervision, review the specialised lone-working safety tools hosted directly by the HSE.

How to report a home-based accident under RIDDOR

Not every home accident is a workplace incident. An injury or illness is only reportable under the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) if it directly stems from:

  1. The specific work activity being carried out.
  2. The specialised equipment provided by the employer to complete that work.

Detailed reference criteria to evaluate home injuries can be found via the official health and safety portals.

Need Help Implementing This?

If you require expert assistance executing compliant risk assessments, DSE audits, or updated remote worker policies for your business, please reach out to the Ashbrooke advisory team today.

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Explosion prosecution

An explosion prosecution by the Health and Safety Executive (HSE) has highlighted the risks associated with handling solvents and the DSEAR rules. A solvents manufacturer has been fined following an explosion at its factory in the Scottish Borders.

The blast at Rathburn Chemicals in Walkerburn on 10 January 2020 resulted in a laboratory, which was part of the factory, being demolished.

It was likely caused by excessive pentane vapour, generated by the company’s distillation process, overheating and being ignited by the site’s extraction system causing an explosion.  Fortunately, no one was injured by the explosion.

A HSE investigation found Rathburn Chemicals had an inadequate system in place which failed to control the amount of steam and heat being generated during its distillation process. The company also failed to adequately detect any signs of overheating which could lead to flammable vapour being ignited.

The HSE has published guidance on how to eliminate or reduce the risk of explosion in such circumstances which is available free on their website – The Dangerous Substances and Explosive Atmospheres Regulations 2002 – Fire and explosion.

Rathburn Chemicals (Manufacturing) Limited, of Caberston Road, Walkerburn, Peeblesshire, pleaded guilty to breaching Section 2(1) and Section 33(1)(a) of the Health and Safety at Work etc. Act 1974. The company was fined £40,000 and ordered to pay a victim surcharge of £3,000 at Lothian and Borders Sheriff Court on 20 September 2024.

HSE inspector Isabelle Martin said:

“This was a serious incident and it is fortunate that no one was injured by the blast. The explosion could have been avoided had Rathburn Chemicals simply carried out the correct control measures and safe working practices.

“This case also highlights the risks from distilling flammable substances, the need for reliable control measures and adequate training of employees. Companies looking for further advice on this issue can find readily available guidance on the HSE website.”

Explosion prosecution DSEAR

What is DSEAR and how to prevent an explosion?

DSEAR stands for the Dangerous Substances and Explosive Atmospheres Regulations 2002.

Dangerous substances can put peoples’ safety at risk from fire, explosion and corrosion of metal. DSEAR puts duties on employers and the self-employed to protect people from these risks to their safety in the workplace, and to members of the public who may be put at risk by work activity.

What are dangerous substances?

Dangerous substances are any substances used or present at work that could, if not properly controlled, cause harm to people as a result of a fire or explosion or corrosion of metal. They can be found in nearly all workplaces and include such things as solvents, paints, varnishes, flammable gases, such as liquid petroleum gas (LPG), dusts from machining and sanding operations, dusts from foodstuffs, pressurised gases and substances corrosive to metal.

What does DSEAR require?

All employers must:

  • find out what dangerous substances are in their workplace and what the risks are associated with them
  • put control measures in place to either remove those risks or, where this is not possible, control them
  • put controls in place to reduce the effects of any incidents involving dangerous substances
  • prepare plans and procedures to deal with accidents, incidents and emergencies involving dangerous substances
  • make sure employees are properly informed about and trained to control or deal with the risks from the dangerous substances
  • identify and classify areas of the workplace where explosive atmospheres may occur and avoid ignition sources (from unprotected equipment, for example) in those areas.

If you require health and safety advice for your business, please contact one of the Ashbrooke team.

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Dangerous machinery leads to fine

A North London food manufacturer has been fined £150,000 for failing to prevent access to dangerous machinery.

The failings came to light following a routine inspection by Britain’s workplace regulator – the Health and Safety Executive (HSE) in October 2023.

During the visit to Wembley-based Oriental Delight (UK) Limited, the HSE inspector identified multiple failings related to the guarding of machinery. Three machines were deemed unsafe due to interlocking safety devices being defeated and guards being completely removed.

Dangerous machinery

However, it was not the first time the food company had come onto HSE’s radar, with prohibition notices being issued in both 2016 and 2019.

Identical dangerous machinery failings were again found at the inspection in October 2023, demonstrating that the company had not only failed to sustain improvements, but had effectively ignored the HSE’s previous enforcement action by continuing to use these machines in an unsafe manner.

On 4 September 2024, at Westminster Magistrates’ Court, Oriental Delight (UK) Limited pleaded guilty to three breaches of Regulation 11(1) of The Provision and Use of Work Equipment Regulations 1998 and was fined £150,000 and ordered to pay costs of £3,020.

Following the hearing, HSE Inspector Marcus Pope said:

“This case sends out a clear message to the food manufacturing industry that HSE will not hesitate to prosecute when inspectors find serious health and safety failings, particularly when previous enforcement and advice has been provided. Once again, we see how critical it is that all employers make sure they properly assess and apply effective control measures to minimise the risk from dangerous parts of machinery.”

Dangerous machinery regulation

The Provision and Use of Work Equipment Regulations 1998, often abbreviated to PUWER, place duties on people and companies who own, operate or have control over work equipment aimed at preventing dangerous machinery. PUWER also places responsibilities on businesses and organisations whose employees use work equipment, whether owned by them or not.  PUWER requires that equipment provided for use at work is:

  • suitable for the intended use
  • safe for use, maintained in a safe condition and inspected to ensure it is correctly installed and does not subsequently deteriorate
  • used only by people who have received adequate information, instruction and training
  • accompanied by suitable health and safety measures, such as protective devices and controls. These will normally include guarding, emergency stop devices, adequate means of isolation from sources of energy, clearly visible markings and warning devices
  • used in accordance with specific requirements, for mobile work equipment and power presses

Some work equipment is subject to other health and safety legislation in addition to PUWER. For example, lifting equipment must also meet the requirements of the Lifting Operations and Lifting Equipment Regulations 1998 (LOLER), pressure equipment must meet the Pressure Systems Safety Regulations 2000 and personal protective equipment must meet the Personal Protective Equipment at Work Regulations 1992 (PPE).

If your business or organisation uses work equipment or is involved in providing work equipment for others to use (e.g. for hire), you must manage the risks from that equipment and ensure no dangerous machinery is used. This means you must:

  • ensure the equipment is constructed or adapted to be suitable for the purpose it is used or provided for
  • take account of the working conditions and health and safety risks in the workplace when selecting work equipment
  • ensure work equipment is only used for suitable purposes
  • ensure work equipment is maintained in an efficient state, in efficient working order and in good repair
  • where a machine has a maintenance log, keep this up to date
  • where the safety of work equipment depends on the manner of installation, it must be inspected after installation and before being put into use
  • where work equipment is exposed to deteriorating conditions liable to result in dangerous situations, it must be inspected to ensure faults are detected in good time so the risk to health and safety is managed
  • ensure that all people using, supervising or managing the use of work equipment are provided with adequate, clear health and safety information. This will include, where necessary, written instructions on its use and suitable equipment markings and warnings
  • ensure that all people who use, supervise or manage the use of work equipment have received adequate training, which should include the correct use of the equipment, the risks that may arise from its use and the precautions to take
  • where the use of work equipment is likely to involve a specific risk to health and safety (eg woodworking machinery), ensure that the use of the equipment is restricted to those people trained and appointed to use it
  • take effective measures to prevent access to dangerous parts of machinery. This will normally be by fixed guarding but where routine access is needed, interlocked guards (sometimes with guard locking) may be needed to stop the movement of dangerous machinery before a person can reach the danger zone. Where this is not possible, such as with the blade of a circular saw, it must be protected as far as possible and a safe system of work used. These protective measures should follow the hierarchy laid down in PUWER regulation 11(2) and the PUWER Approved Code of Practice and guidance or, for woodworking machinery, the Safe use of woodworking machinery: Approved Code of Practice and guidance
  • take measures to prevent or control the risks to people from parts and substances falling or being ejected from work equipment, or the rupture or disintegration of work equipment
  • ensure that the risks from very hot or cold temperatures from the work equipment or the material being processed or used are managed to prevent injury
  • ensure that work equipment is provided with appropriately identified controls for starting, stopping and controlling it, and that these control systems are safe
  • where appropriate, provide suitable means of isolating work equipment from all power sources (including electric, hydraulic, pneumatic and gravitational energy)
  • ensure work equipment is stabilised by clamping or otherwise to avoid injury
  • take appropriate measures to ensure maintenance operations on work equipment can be carried out safely while the equipment is shut down, without exposing people undertaking maintenance operations to risks to their health and safety

When providing new work equipment for use at work, you must ensure it conforms with the essential requirements of any relevant product supply law (for new machinery this means the Supply of Machinery (Safety) Regulations 2008). You must check it:

  • has appropriate conformity marking and is labelled with the manufacturer’s details 
  • comes with a Declaration of Conformity
  • is provided with instructions in English
  • is free from obvious defects – and that it remains so during its working life

If you require advice on health and safety in your workplace, please contact one of the Ashbrooke team.

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Landlord ignored gas safety duties

A landlord ignored gas safety duties and was given a suspended sentence of 26 weeks and electronically tagged for 4 months after putting the lives of her tenants at risk by not maintaining gas appliances at a property in Kent.

Dawn Holliday, 62, refused to undertake gas safety checks even after the Health and Safety Executive (HSE) took enforcement action against her.

Ms Holiday claimed to have no money for undertaking maintenance to the property, leaving the tenants with a very temperamental boiler that banged and often left the occupiers with no heating or hot water, as well as a condemned cooker for several years. However, an HSE investigation found that Ms Holliday was receiving full rent from the tenant for the property on First Avenue in Eastchurch, when the enforcement action was taken.

Despite the Improvement Notice served on Ms Holliday to undertake gas safety checks, she ignored this and further requests from HSE.  She also claimed the tenants had moved out and had not been paying rent, the investigation found this claim to be completely untrue.

gas safety duties

On the 2nd September 2024 at Sevenoaks Magistrates Court, Dawn Holliday, of Golden Leas Holiday Park, Plough Road, Minster on Sea, pleaded guilty to three charges under Health and Safety at Work etc Act 1974 Section 21 and Gas Safety (Installation & Use) 1998 36(2) and 36(3) and was sentenced to imprisonment of 26 weeks, suspended for a period of 12 months, District Judge Leake also imposed an electronically monitored curfew on Ms Holliday at her address for a period of 4 months with the curfew hours of 20:00-06:00 and awarded HSE £750 in costs.  Additionally, the Judge made a remediation order pursuant to section 42 of the 1974 Act, for Ms Holliday to undertake the gas safety inspection required of her by the 6th December 2024 thereby complying with her gas safety duties.

Speaking after the hearing, HSE Inspector Joanne Williams said:

“We are dedicated to ensuring that landlords operate within the law and provide safe accommodation for tenants.  We do not tolerate disregard for health and safety and consider the non-compliance of HSE enforcement notices as a serious offence.  In this case Ms Holliday chose to flagrantly ignore the support, guidance and warnings from HSE to assist her in compliance with the law and continued placing her tenants at serious risk of injury or even death.  Wherever possible we will continue to work with landlords to improve health and safety.  However, we will not hesitate to take enforcement action where necessary and prosecute individuals who ignore warnings and the law.”

The Gas Safety (Installation and Use) Regulations 1998 imposes gas safety duties on dutyholders to ensure that gas installations and appliances are installed safely and are maintained and inspected.  Dutyholders can include employers as well as landlords or others in control of premises.

If you require health and safety advice for your business, please contact one of the Ashbrooke team.

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Farms are not playgrounds

A recent prosecution case highlights the dangers for children in agricultural environments and that farms are not playgrounds.  In the case, video footage taken by a neighbour captured the moment a farmer allowed one of his grandchildren to illegally ride in his tractor and ultimately led to his conviction.

Howard Walters, 78, was given a 12-month community order after he was spotted with the child in the tractor cab as he fed cattle on his farm in South Wales.

Walters had already been issued with a prohibition notice by the Health and Safety Executive (HSE) in November 2020 after admitting to inspectors he allowed his pre-teen grandchildren to ride in his tractor. However, just two months later, he was filmed by his neighbour flagrantly breaching the terms of that notice.

A HSE inspector who investigated Mr Walters says the law is “very clear”. Children under 13 are specifically prohibited from driving or riding on or in any agricultural machine, including the tractor cab.

At the time of committing the offence, Walters, of Tirmynydd Farm in Birchgrove, Swansea, was already the subject of a suspended prison sentence for unrelated environmental offences. In a case that was heard on 27 August 2024 at Swansea Crown Court, he was fined £500 for breaching the terms of that sentence. As part of his community order, Walters must attend 25 days of rehabilitation.

Agriculture remains one of the most dangerous industries in Britain, with on average around 29 people killed each year. Being killed by vehicles remains the most significant cause of work related fatality over the last five years.

Unfortunately, children are among those deaths with it often being the case that they are family members, with many killed by farm vehicles.  Guidance is available for farmers on how to prevent accidents to children on farms.

Howard Walters, of  Tirmynydd Farm in Birchgrove, Swansea, pleaded guilty to breaching section 33(1)(g) Health and Safety at Work etc Act 1974. He was given a 12 month community order and ordered to pay £3,000 in costs.

HSE inspector Simon Breen said:

“The law around children being allowed in the cabs of any agricultural vehicle is very clear. For any child to ride on agricultural machinery like a tractor is unsafe and illegal.  The fact this farmer chose to ignore a prohibition notice for putting his grandchildren at risk is all the more staggering. We will take action against those who break the law. The solution is very simple – young children should never ride in agricultural vehicles.”

Farms children

The HSE has published detailed guidance about child safety on farms and in agriculture which is available on its website.

How farmers can keep children safe on farms

Children must not be allowed in the farm workplace (young children should enjoy outdoor space in a secure fenced area).

Any access to the farm workplace by children under 16, for example for education, or knowledge / experience, must be planned and fully supervised by an adult not engaged in any work activity.

Children under the age of 13 years are specifically prohibited from driving or riding on any agricultural machine. It is illegal.

Properly trained, instructed, and supervised older children may, in tightly controlled circumstances, be able to help with some straightforward low risk tasks.

If you require health and safety advice for your business, please contact one of the Ashbrooke team.

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Employee looses legs in accident

A company has been fined £160,000 after an employee looses legs in accident whilst working at its site near Warrington.

On 20 June 2022, Andrew McAuley, from Runcorn, an employee of William Stobart & Son Limited was picking orders at the firm’s warehouse in Appleton Thorn.

The 64-year-old was working in close proximity to a forklift truck (FLT) which was being used to load pallets of slate tiles onto a waiting truck. The FLT was carrying two pallets, one on top of the other. The top pallet was not secured to the one below, and when the driver turned the vehicle, both pallets became detached from the forks, with the upper pallet striking Mr McAuley, crushing his legs.

Mr McAuley had to have both legs amputated below the knee. He has been left dependent upon a wheelchair and unable to drive or climb stairs, leading to the need for extensive adaptations to the family home.

An investigation by the Health and Safety Executive (HSE) found that William Stobart & Son Limited failed to ensure this area of the warehouse was organised so that vehicles and pedestrians were segregated and circulated in a safe manner and loads were secured so far as was reasonably practicable.

William Stobart & Son Limited, of Ashville Way Industrial Estate, Sutton Weaver, Runcorn, Cheshire pleaded guilty to breaching regulation 2(1) of the Health and Safety at Work etc Act 1974. The company was fined £160,000 and ordered to pay £4,478 costs at a hearing at Warrington Magistrates Court on 30 July 2024.

Employee looses legs in accident

Accident preventable

After the hearing HSE Inspector Lorna Sherlock said:

“Mr McAuley has been left with devastating and life changing injuries. The company failed to implement a safe system of work for loading and unloading activities, thereby exposing employees, and others, to the risk of being struck by loads or workplace vehicles. This case illustrates the consequences of failing to segregate vehicles and pedestrians, and to properly secure loads.  This injury could easily have been prevented. Employers should make sure they assess work activities sufficiently and apply effective control measures to minimise the risk from workplace transport.”

Employee transport safety

Employers who operate depots must ensure that a suitable and sufficient risk assessment is undertaken covering the transport risks.  When considering the risks from vehicle manoeuvring, employers must ensure that vehicles have large enough windscreens (with wipers where necessary) and external mirrors to provide an all-round field of vision.  It is often worthwhile adding extra mirrors to reduce blind spots for drivers. Side mirrors can allow drivers of larger vehicles to see cyclists and pedestrians alongside their vehicles and can be effective in improving visibility around the vehicle from the driving position. These mirrors are fitted to larger road-going vehicles as standard.

Drivers should not place items in the windscreen area or in the way of mirrors or monitors, where they might impede visibility from the driving position. The area of the windscreen that is kept clear by the wipers should not be obscured, and nor should the side windows. Windows and mirrors will also normally need to be kept clean and in good repair. Dirt or cracks can make windows or mirrors less effective.

Some types of vehicles (such as straddle carriers, large shovel loaders and some large quarry vehicles) often have poor visibility from the cab. Visibility can be poor to the side or front of a vehicle as well as behind and loads on vehicles can severely limit the visibility from the driving position.

Lift trucks and compact dumper vehicles in particular can have difficulty with forward visibility when they are transporting bulky loads. Employers should recognise these risks in their risk assessment and think about ways to minimise them.

Closed-circuit television (CCTV) may help drivers to see clearly behind or around the vehicle. CCTV can cover most blind spots and the cost of fitting CCTV systems has fallen since the technology was first developed. Companies who have fitted CCTV have found that it can reduce the number of reversing accidents, so the systems usually pay for themselves in a few years.

Colour systems can provide a clearer image where there is little contrast (for example, outside on an overcast day). However, black-and-white systems normally provide a better image in lower light or darkness, and usually come with infra-red, which can be more effective than standard cameras at night.

Monitors should have adjustable contrast, brightness and resolution controls to make them useful in the different light conditions in which they will be used. Drivers may need to use a hood to shield any monitor from glare.

If possible, fit the camera for a CCTV system high up in the middle of the vehicle’s rear (one camera), or in the upper corners (two cameras). This will provide a greater field of vision and a better angle for the driver to judge distance and provide. It also keeps the camera clear of dust and spray, and out of the reach of thieves or vandals.

However, CCTV systems do have some limitations which employers should consider:

  • If the vehicle leaves a darker area to a more strongly lit area (for example, driving out of a building) the system may need time to adjust to the brightness.
  • A dirty lens will make a camera much less effective.
  • Drivers may find it difficult to judge heights and distances.

Drivers should not be complacent about safety even with CCTV systems installed. They should be trained in proper use of the equipment and employers have a duty to provide such training and instruction.

Reversing alarms may be drowned out by other noise or may be so common on a busy site that pedestrians do not take any notice. It can also be hard to know exactly where an alarm is coming from, and people who are less able to hear are also at greater risk. Alarms can also disturb nearby residents.  However, reversing alarms may be appropriate (based on the risk assessment) but might be most effectively used with other measures, such as warning lights.

Additional advice on transport safety can be found in the HSE Guide to workplace transport safety (HSG 136, 2014) which is available free on the website.

If you require health and safety advice or support for your business, please contact one of the Ashbrooke team.

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Recycling company fined £3 million

Recycling company fined £3 million after a man died and another was seriously injured while decommissioning a North Sea gas rig.

Stephen Picken, 62, and Mark Kumar were working for Veolia ES (UK) Limited at an onshore facility in Great Yarmouth.

Both men were working as demolition operatives also known as “Top Men”, undertaking the decommissioning and dismantlement of offshore structures.

Recycling Activity

On 17 October 2019, the two workers were removing an overhanging piece of metal pipework (known as a skirt pile), weighing in excess of 27 tonnes, from a jacket (a structure placed in the sea, designed to support oil and gas rig platforms), when it gave way. The pile struck the mobile elevating work platform (MEWP) containing the men, throwing them to the ground about 12 metres below.

Stephen Picken died at the scene and Mark Kumar suffered serious life-changing injuries.

Investigation

An investigation by the Health and Safety Executive (HSE) identified serious failings with the planning and the risk assessment which did not adequately cover the planned works. Shortcomings in supervision of the incident were also identified. The company did not risk assess the skirt pile being removed as it was considered low risk. As a result, there was no cutting plan or safe system of work for the skirt pile.

Demolition, dismantling and structural alteration work must be carefully planned and carried out – HSE has guidance on this which is available free here.

Recycling company fined £3 million

Recycling company fined £3 million

Veolia ES (UK) Limited of Pentonville Road, London, pleaded guilty to breaching Section 2(1) of the Health and Safety at Work etc. Act 1974. At a sentencing hearing at Ipswich Crown Court, on 22 July 2024, the company was fined £3,000,000 and ordered to pay £60,000 in costs.

After the hearing, HSE inspector David King said:

This incident, in an emerging industry, highlights the level of controls required to safely demolish what are large, dangerous structures. Veolia did not meet these standards and tragically one life was lost, and another forever changed.  The Health and Safety Executive’s mission is to protect people and places. Organisations that endanger their employees by failing to meet the required standards, should be aware that we will not hesitate to take appropriate enforcement action.

If your business requires health and safety advice, please contact one of the Ashbrooke team.

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School technician lost a finger

A local authority has been sentenced after a school technician lost a finger while operating a machine.

A school technician at The Forest School in Horsham, lost his right index finger when it was sliced off by a circular bench saw on 13 June 2022.

The 29-year-old, who worked in the design and technology (DT) department, had been operating the saw to cut pieces of wood that were set to be used for a DT lesson. The school technician lost a finger in the accident.

School technician lost a finger

While pushing one of the sheets of wood through the saw, the technician who was 27 at the time, felt a pain in his right index finger and immediately turned off the machine.  As he looked down, he saw his finger lying on the bench.

A Health and Safety Executive (HSE) investigation found West Sussex County Council, the local authority in charge of the school, failed to ensure that the technician was trained to use the bench circular saw, as a result the school technician lost a finger. Whilst the technician had used the saw many times previously, he had not been trained on how to use it safely.

West Sussex County Council pleaded guilty to breaching Regulation 9 of the Provision and Use of Work Equipment Regulations 1998. The local authority was fined £16,000, ordered to pay £4,294.60 in costs and a victim surcharge of £190 at Brighton Magistrates’ Court on 3 July 2024.

HSE inspector Russell Beckett said:

Workers must be trained properly when using high risk woodworking such as bench circular saws. This incident could have been prevented had West Sussex County Council provided [the technician] with proper training.

The Provision and Use of Work Equipment Regulations 1998

The above incident where a school technician lost a finger highlights the importance of training and other issues for workers using equipment. The Provision and Use of Work Equipment Regulations 1998, often abbreviated to PUWER, place duties on people and companies who own, operate or have control over work equipment. PUWER also places responsibilities on businesses and organisations whose employees use work equipment, whether owned by them or not.  PUWER requires that equipment provided for use at work is:

  • suitable for the intended use
  • safe for use, maintained in a safe condition and inspected to ensure it is correctly installed and does not subsequently deteriorate
  • used only by people who have received adequate information, instruction and training – in the current case, the school technician lost a finger having not received any training in the safe use of the circular saw.
  • accompanied by suitable health and safety measures, such as protective devices and controls. These will normally include guarding, emergency stop devices, adequate means of isolation from sources of energy, clearly visible markings and warning devices
  • used in accordance with specific requirements, for mobile work equipment and power presses

Some work equipment is subject to other health and safety legislation in addition to PUWER. For example, lifting equipment must also meet the requirements of the Lifting Operations and Lifting Equipment Regulations 1998 (LOLER), pressure equipment must meet the Pressure Systems Safety Regulations 2000 and personal protective equipment must meet the Personal Protective Equipment at Work Regulations 1992 (PPE).

If your business or organisation uses work equipment or is involved in providing work equipment for others to use (e.g. for hire), you must manage the risks from that equipment. This means you must:

  • ensure the equipment is constructed or adapted to be suitable for the purpose it is used or provided for
  • take account of the working conditions and health and safety risks in the workplace when selecting work equipment
  • ensure work equipment is only used for suitable purposes
  • ensure work equipment is maintained in an efficient state, in efficient working order and in good repair
  • where a machine has a maintenance log, keep this up to date
  • where the safety of work equipment depends on the manner of installation, it must be inspected after installation and before being put into use
  • where work equipment is exposed to deteriorating conditions liable to result in dangerous situations, it must be inspected to ensure faults are detected in good time so the risk to health and safety is managed
  • ensure that all people using, supervising or managing the use of work equipment are provided with adequate, clear health and safety information. This will include, where necessary, written instructions on its use and suitable equipment markings and warnings
  • ensure that all people who use, supervise or manage the use of work equipment have received adequate training, which should include the correct use of the equipment, the risks that may arise from its use and the precautions to take
  • where the use of work equipment is likely to involve a specific risk to health and safety (eg circular saw machine), ensure that the use of the equipment is restricted to those people trained and appointed to use it – in the current case where the school technician lost a finger, the local authority should have restricted access to those workers who had received training.
  • take effective measures to prevent access to dangerous parts of machinery. This will normally be by fixed guarding but where routine access is needed, interlocked guards (sometimes with guard locking) may be needed to stop the movement of dangerous parts before a person can reach the danger zone. Where this is not possible, such as with the blade of a circular saw, it must be protected as far as possible and a safe system of work used. These protective measures should follow the hierarchy laid down in PUWER regulation 11(2) and the PUWER Approved Code of Practice and guidance or, for woodworking machinery, the Safe use of woodworking machinery: Approved Code of Practice and guidance
  • take measures to prevent or control the risks to people from parts and substances falling or being ejected from work equipment, or the rupture or disintegration of work equipment
  • ensure that the risks from very hot or cold temperatures from the work equipment or the material being processed or used are managed to prevent injury
  • ensure that work equipment is provided with appropriately identified controls for starting, stopping and controlling it, and that these control systems are safe
  • where appropriate, provide suitable means of isolating work equipment from all power sources (including electric, hydraulic, pneumatic and gravitational energy)
  • ensure work equipment is stabilised by clamping or otherwise to avoid injury
  • take appropriate measures to ensure maintenance operations on work equipment can be carried out safely while the equipment is shut down, without exposing people undertaking maintenance operations to risks to their health and safety

When providing new work equipment for use at work, you must ensure it conforms with the essential requirements of any relevant product supply law (for new machinery this means the Supply of Machinery (Safety) Regulations 2008). You must check it:

  • has appropriate conformity marking and is labelled with the manufacturer’s details 
  • comes with a Declaration of Conformity
  • is provided with instructions in English
  • is free from obvious defects – and that it remains so during its working life

If you require advice on health and safety in your workplace, please contact one of the Ashbrooke team.