risk | Ashbrooke Management Consultants

8 August 20228 August 2022

Steel company fined for safety breaches

A northeast steel company has been fined for safety breaches after inspectors visited a site in Bishop Auckland, County Durham.

Acting on concerns raised, the Health and Safety Executive (HSE) visited the steel supplies site in 2019, finding wholly inadequate management of health and safety. It also came to light that; two workers had been injured on separate occasions whilst operating machinery at the premises. In June 2019, an employee was struck and injured by a work piece and suffered an injury to his right hand. In July 2019, an agency worker suffered a finger amputation whilst manually removing a piece of metal near the unguarded blade of another machine.

An investigation by HSE found the company had failed to prevent access to the dangerous moving parts on both machines. These machines were metal rebar forming machines and had been used at the site for a number of years. In addition to the guarding faults, the HSE also found the emergency stop and safety devices wired out on one of the machines.

Furthermore, the machinery risk assessments were substandard, and staff were trained to operate the machines in an unsafe manner. The company also had a forklift truck in daily use, despite it having defective brakes.

Midland Steel Reinforcement Supplies (UK) Limited, of Motherwell pleaded guilty to breaching Sections 2(1) of the Health & Safety at Work etc Act 1974, Regulations 5(1) and 11(1) of the Provision and Use of Work Equipment Regulations 1998 and Regulation 9(3) of the Lifting Operations and Lifting Equipment Regulations 1998. At Durham Crown Court, the company was fined £450,000 and ordered to pay £41,23.51 costs.

“Companies have a duty of care to those they employee and HSE will not hesitate to take appropriate enforcement action.”
HSE inspector Clare Maltby

safety breaches — Work equipment must be suitable for the task and maintained (stock image)

Work 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
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 LOLER, pressure equipment must meet the Pressure Systems Safety Regulations and personal protective equipment must meet the PPE Regulations.

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 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 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). 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

Risk Assessments

Employers are required by law to protect your employees, and others, from harm. Under the Management of Health and Safety at Work Regulations 1999, the minimum an employer must do is:

identify what could cause injury or illness in your business (hazards)
decide how likely it is that someone could be harmed and how seriously (the risk)
take action to eliminate the hazard, or if this isn’t possible, control the risk

Assessing risk is just one part of the overall process used to control risks in the workplace. For most small, low-risk businesses the steps that employers need to take are straightforward. Risk management is a step-by-step process for controlling health and safety risks caused by hazards in the workplace. An employer can undertake the risk assessment themselves or appoint a competent person to help. The five steps of a risk assessment are:

Identify hazards
Assess the risks
Control the risks
Record your findings
Review the controls

Identify Hazards

Look around your workplace and think about what may cause harm (these are called hazards). Think about:

how people work and how plant and equipment are used
what chemicals and substances are used
what safe or unsafe work practices exist
the general state of your premises

Look back at previous accident and ill health records as these can help you identify less obvious hazards. Take account of non-routine operations, such as maintenance, cleaning or changes in production cycles. Think about hazards to health, such as manual handling, use of chemicals and causes of work-related stress. For each hazard, think about how employees, contractors, visitors or members of the public might be harmed.

Some workers have particular requirements, for example young workers, migrant workers, new or expectant mothers and people with disabilities. Ensure that you involve your employees as they will usually have good ideas.

Assess the risks

Once you have identified the hazards, decide how likely it is that someone could be harmed and how serious it could be – this is assessing the level of risk. In assessing the level of risk, decide:

Who might be harmed and how
What you’re already doing to control the risks
What further action you need to take to control the risks
Who needs to carry out the action
When the action is needed by

Control the risks

Look at what you are already doing, and the controls you already have in place to ensure the safety of workers and others. Consider:

Can I get rid of the hazard altogether?
If not, how can I control the risks so that harm is unlikely?

If you need further controls, consider:

redesigning the job
replacing the materials, machinery or process
organising your work to reduce exposure to the materials, machinery or process
identifying and implementing practical measures needed to work safely
providing personal protective equipment and making sure workers wear it

Put the controls you have identified in place. It is important to remember that you are not expected to eliminate all risks but you need to do everything ‘reasonably practicable’ to protect people from harm. This means balancing the level of risk against the measures needed to control the real risk in terms of money, time or trouble.

Record your findings

If you employ 5 or more people, you must record your significant findings, including:

the hazards (things that may cause harm)
who might be harmed and how
what you are doing to control the risks

The HSE has a number of example risk assessments on its website as a guide for employers. Employers should not rely purely on paperwork, as the main priority should be to control the risks in practice.

Review the controls

You must review the controls you have put in place to make sure they are working. You should also review them if:

they may no longer be effective
there are changes in the workplace that could lead to new risks such as changes to:
staff
a process
the substances or equipment used

Also consider a review if your workers have spotted any problems or there have been any accidents or near misses. You should then update your risk assessment record with any changes you make.

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

5 August 20225 August 2022

Failure to manage asbestos risk leads to prosecution

Two engineering companies and their director have been sentenced for failing to manage asbestos risk to employees within the workplace.

A large quantity of asbestos containing materials, including asbestos insulating board, were identified during a HSE inspection at factory premises in Kidderminster owned by Kespar Engineering Limited in February 2019. The premises were occupied by SDF Automotive Limited (who went into administration in November 2019). Employees of both companies worked in the premises and the sole director for both companies was Peter Gerard Parkes.

An investigation by the Health and Safety Executive (HSE) identified the failure of all defendants to manage the risks from asbestos within the premises. This included the failure to ensure the suitable and sufficient assessment of the risks to the health of employees working there was carried out. The defendants were aware that asbestos was present within the premises and had previously prepared asbestos management plans however these were not reviewed or updated. The location and condition of the asbestos on site was not actively monitored and the risk of any exposure to asbestos containing materials was not adequately considered or controlled by the defendants.

Kespar Engineering Ltd of Kidderminster, pleaded guilty to breaching Regulations 4 (10), 6 (1) and 11 (1) of the Control of Asbestos Regulations 2012. The company was fined £51,000 and ordered to pay costs of £30,000.

SDF Automotive Limited (in administration) formerly of Kidderminster, pleaded guilty to breaching Regulations 4 (10), 6 (1) and 11 (1) of the Control of Asbestos Regulations 2012. The company was conditionally discharged for two years.

Peter Gerard Parkes of Bridgnorth, pleaded guilty to several counts under Section 37 of the Health and Safety at Work etc Act 1974. These related to his individual failing as a Director of Kespar Engineering Ltd, SDF Automotive Ltd, and Smethwick Drop Forge Ltd in respect of the offences committed by the Companies under his control. Mr Parkes was given a 12-month suspended prison sentence, fined £9,000 and ordered to pay costs of £14,000. The case was heard at Kidderminster Magistrates’ Court.

asbestos risk — Asbestos risks must be managed and controlled (stock image)

Speaking after the hearing, HSE inspector Sarah Reilly, said:

“It is important that all dutyholders including company directors recognise the importance of actively managing asbestos containing materials in non-domestic premises and ensure that the potential risk to health posed by the materials is controlled. Health and safety law places duties on organisations and employers – directors can be personally liable and held to account when these duties are breached.”

Asbestos still kills around 5,000 workers each year, this is more than the number of people killed on the road – around 20 trades people die each week as a result of past exposure. However, asbestos is not just a problem of the past. It can be present today in any building built or refurbished before the year 2000.

When materials that contain asbestos are disturbed or damaged, fibres are released into the air. When these fibres are inhaled, they can cause serious diseases. These diseases will not affect people immediately; they often take a long time to develop, but once diagnosed, it is often too late to do anything. This is why it is important that employers and anyone in control of a building have duties to protect employees and others from asbestos risks.

Before undertaking any work in a building that may contain asbestos (e.g. built or refurbished before the year 2000), you need to do the following:

Identify whether asbestos is present and determine its type and condition

People responsible for maintenance of non-domestic premises, have a ‘duty to manage’ the asbestos in them, and should provide contractors and others with information on where any asbestos is in the building and what condition it is in.
If no information is available or it is limited and its is suspect asbestos may be present then you should have the area surveyed and representative samples of the material you are going to work on analysed.
Alternatively, you can assume that any material you need to disturb does contain asbestos and take the appropriate precautions for the highest risk situation.

Carry out an asbestos risk assessment

Decide if it is possible to carry out the building or maintenance work avoiding the risk of asbestos exposure all together.
If that’s not possible, identify who might be at risk and the level of possible asbestos exposure from any work.
On this basis, decide what work methods are necessary to provide effective control of the risks.

Decide if the work needs to be carried out by a licensed contractor

Most asbestos removal work will require a contractor holding a licence from HSE.
All work with sprayed asbestos coatings and asbestos lagging and most work with asbestos insulation and asbestos insulating board (AIB) requires a licence.
Identify if your work needs a licensed contractor.
Find a licensed contractor or find out how to apply for a licence.

If the work is not licensable, decide if the work needs to be notified

If it does not need a licence, you can do maintenance work on or around ACMs with the appropriate controls in place.
Some non-licensed work also has additional requirements, i.e. notification of work, medical surveillance and record keeping – this work is known as notifiable non-licensed work (NNLW).

Ensure those carrying out the work are suitably trained.

Any worker who is liable to disturb asbestos during their day-to-day work needs to receive appropriate training to enable them to protect themselves and others.

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

4 August 20221 July 2024

Prosecution after worker loses part of hand

The Health and Safety Executive (HSE) has undertaken a prosecution after a worker loses part of hand. Laxtons Limited, a West Yorkshire manufacturing company, has been fined for safety breaches after a worker lost part of their hand in a textile machine.

On 24 March 2021, an employee of Laxtons was running a number of textile machines. When he opened a guard to check on a build-up of fibres, he reached in to remove material, losing part of his hand.

HSE investigation

An investigation by the Health and Safety Executive (HSE) found that one of the machines had a defective interlock device. This allowed the machine to continue running when the guard, which was located over a pair of in-running rollers and gears, was opened.

Laxtons Ltd of Shipley, West Yorkshire pleaded guilty to breaching Regulation 11 (1) of the Provision and Use of Work Equipment Regulations 1998. The company was fined £15,750 and ordered to pay £759 in costs at Leeds Magistrates’ Court.

worker loses part of hand — Work equipment must be safe to use (stock image)

HSE inspector Julian Franklin said:

“Machine guarding should be in line with the appropriate standard, and regularly checked. This incident could so easily have been avoided by simply training staff in the safe and correct way of operating machinery, and regularly checking that safety devices are functioning.”

Work equipment

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. 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 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

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.

3 August 20221 July 2024

Roofer jailed following fall injuries

Roofer jailed for four months after a worker was seriously injured falling through a fragile roof on to a concrete floor.

The man and another labourer, who were working for Geoff Whitehouse, trading as Midland Roofing, were working on a fragile roof on 11 August 2021 to remove old skylights at premises in Henley Road, Warwick.

The injured worker fell approximately three metres through the roof and suffered serious multiple fractures including a fractured skull.

HSE investigation

An investigation by the Health and Safety Executive (HSE) found that the majority of the work could have been done from underneath the roof. The inside of the roof could have been fitted with nets prior to anyone going on to the fragile surface so that someone falling would have been saved by the nets. The work at height was not adequately planned, managed nor supervised.

Additionally, Mr Whitehouse did not have employers’ liability insurance in place. Employers’ liability insurance ensures employers to have at least the minimum level of insurance to cover against claims brought by employees that are injured at work or become ill as a result of work.

Geoff Whitehouse, trading as Midland Roofing, of Worcester pleaded guilty to breaches under Section 1(1) of the Employers Liability (Compulsory Insurance) Act 1969 and Regulation 4(1) of the Work at Height Regulations 2005 (as amended) at Coventry Magistrates’ Court. He was sentenced to four months in prison at Redditch Magistrates’ Court.

roofer jailed — Working at height requires careful planning (stock image)

Speaking after the hearing, HSE inspector Michael Griffiths, said:

“Fragile roofs can and do kill. It does not matter how careful you are standing, sitting or walking on a fragile roof, the roof can collapse as it did in this case, causing potentially life-changing injuries. This case also highlights the need for ELCI insurance in this sort of work where self-employed labourers under the control of a sole trader are ‘employees’ under Health and Safety Law.”

Employers’ liability insurance

Most employers are required by the law to insure against liability for injury or disease to their employees arising out of their employment. The Employers’ Liability (Compulsory Insurance) Act 1969 requires employers to have at least a minimum level of insurance against any such claims. Employers’ liability insurance will cover relevant work injuries or illness whether these are caused on or off site. However, any injuries or illness relating to motor accidents which occur while employees are at work may be covered separately by the employer’s motor insurance.

Public liability insurance is different. It covers employers for claims made against them by members of the public or other businesses, but not for claims by employees. While public liability insurance is generally voluntary, employers’ liability insurance is compulsory. Employers can be fined if they do not hold a current employers’ liability insurance policy which complies with the law. Employers must display a copy of this certificate where employees have reasonable access to it. If they do not, they can be fined. Since 1 October 2008, employers have been allowed to satisfy this requirement by displaying the certificate electronically for example on the company’s intranet or website. If your employer chooses this method, they must ensure that you know how and where to find the certificate and you have reasonable access to it.

Falls from height are the most common cause of workplace fatalities accounting for 29 deaths in 2021/22. An operation at height requires careful planning and the use of suitable equipment. A risk assessment should be undertaken as part of the planning and detail the controls required to ensure workers’ safety including any fall arrest systems to be used. Any worker involved in an activity at height must be competent to carry out the task and be proficient in using the equipment provided.

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

2 August 202022 August 2022

Keeping it Legal

In this article, Keeping it legal, we consider the expanding burdens on business from legislation. The legal burden on business continues to increase each year with the introduction of new rules, European legislation and domestic laws. Legal compliance is seen as a significant risk by many business leaders such that a recent MORI poll identified the worst aspect of being a business leader was keeping up to date with legislation. Legislation governs all of our lives and the business world is no different.

2 August 20201 July 2024

Investing in corporate governance adds value to the bottom line and improves resilience in uncertain times.

We often say that the best companies to invest in are those that have good corporate governance principles but such measures need to be more than superficial gloss and need to be embedded in the organisation if they are to influence the bottom line. Listed companies are subject to detailed rules on corporate governance which requires significant resources to maintain. However, private companies which are not subject to these rules are increasingly embracing the governance principles as a means of demonstrating good practice to investors, customers and other stakeholders.

2 August 202021 August 2022

Can too much corporate governance stifle SMEs?

Corporate governance has been a major topic in recent years following the economic crisis and various financial scandals. For companies it is important to have corporate governance in place to ensure that the management team operates the company in the best interests of shareholders and other stakeholders – for listed companies there are detailed rules to follow.

2 August 202021 August 2022