Enforcement of H&S Law Flashcards
Which section of HSWA covers the identification of the organisations responsible for the enforcement of H&S legislation?
Section 18 of HSWA
Generally, who are the two authorities responsible for enforcement?
HSE - Industrial Premises
Local Authority - Commercial Premises
Name the Regulation which is responsible for the arrangements for the division of enforcement responsibilities
The Health and Safety (Enforcing Authority) Regulations 1998
List four areas enforced by the HSE
Any activity in a fairground
Agricultural Activities
Construction Work
Any activity in a mine or quarry
List four areas enforced by Local Authorities
Office Activities
Catering Services
Playgroup Facilities
Places of Worship
List 8 general powers of an Inspector and the section that sets out these powers
At any reasonable time where he is of the opinion that a dangerous state exists, enter any premises which he has reason to believe it is necessary for him to enter, in order to exercise his powers
Make any necessary examinations and investigations
Take photographs and such measurements as he thinks is necessary
Retain any article or substance for such time as is necessary for examination
Require the production of, inspect and take copies of any books or documents which are required to be kept by the Regulations
Take a police officer with him if he has reasonable cause to believe he may meet with serious obstruction in the execution of his duties.
He may direct that those premises or part of them shall be left undisturbed for so long as is reasonably necessary for the purpose of investigation or examination
Require any person whom he has reasonable grounds for believing may be able to give information relevant to any examination or investigation he is concerned with, to answer such questions as the inspector thinks fit to ask and to sign a declaration of the truth of his answers.
How are criminal offences under HSWA classified under Law
Triable summarily or Triable either way
The majority of offences are dealt with under the ‘Either Way’ procedure.
Upon summary conviction list the maximum penalties
Magistrates Court
A Fine
Up to Six Months Imprisonment
Both
Upon conviction on indictment list the maximum penalties
Crown Court
Unlimited Fine and/or up to 2 years imprisonment
List the penalties for non-compliance with an Improvement or Prohibition Notice
£200 for every day that non-compliance continues
Explain the purpose and aim of the Deregulation Act 2015
This Act limits the scope of Section 3, HSWA to self-employed persons who conduct an ‘undertaking of a prescribed description’ - This means work in high risk areas such as agriculture, asbestos and gas.
The aim is to reduce the regulatory burden on the self-employed unless they are involved in activities that expose themselves and others to significant risk. This means that Section 3 no longer applies to all self-employed persons and only to those carrying out specific types of higher risk work.
List the principles detailed in the Enforcement Policy Statement
Proportionality of Enforcement Consistency of Approach Transparency Targeting Accountability
Describe what is meant by ‘proportionality of Enforcement’ under the EPS.
Enforcement should be in proportion to any risks to Health & Safety, or to the seriousness of any breach of law. Enforcing authorities should take into consideration how far the duty holder has fallen short of what the law requires and the extent of the risks to people arising from the breach.
Describe what is meant by ‘Consistency of Approach’ under the EPS.
Duty holders managing similar risks expect a consistent approach regarding advice given, the use of enforcement notices, decisions on whether to prosecute and the response to incidents. The HSE recognises it is not that simple and considers a number of factors including: The degree of risk, attitude and competence of management, history of incidents and previous enforcement action.
Describe what is meant by ‘transparency’ under the EPS.
Duty holders need to understand what is expected of them and what they should expect from the enforcing authorities. They should also be clear about what they do and do not have to do. This means clarity on what the statutory requirements are and what is simply guidance that is desirable but not compulsory. Transparency also involves making sure that employees and their representatives are kept informed about any decisions made and actions taken.
Describe what is meant by ‘targeting’ under the EPS.
This ensures that resources are directed to those whose activities give rise to the most serious risks or where the hazards are least well controlled. Action needs to be focused on the duty holders who are responsible for the risk and who are best placed to control it. Enforcing authorities should have systems to prioritise inspections, investigations or other regulatory contacts based on risk.
Describe what is meant by ‘accountability’ under the EPS.
Enforcing authorities should have policies and standards in place against which they can be judged, and an effective and accessible procedure for dealing with comments and complaints. The leaflet ‘What to expect when a Health & Safety Inspector calls’ sets out HSE’s procedures for dealing with comments and handling complaints. There is also the right of appeal to an Employment Tribunal in the case of statutory notices. Local authorities have their own complaints procedures but details depend on the individual authority.
Explain the purpose of the HSE’s Enforcement Management Model
The HSE’s Enforcement Management Model is a system that helps inspectors to make enforcement decisions in line with the HSE’s Enforcement Policy Statement. The EPS sets out the principles inspectors should apply when deciding what enforcement action to take in response to breaches of H&S legislation. The key principle is that enforcement action should be proportional to the H&S risks and the seriousness of the breach.