Legal implications due to breach of H&S Rules & Regulations

Legal actions are essential because some money minded people, organizations, or businesses do not follow the rule of law and want chaos and maximum profit on others lives.

The legal reasons concerning the employer’s duty of care in Criminal and Civil law.
Legal enforcement indicate the legal consequences resulting from breaches in H&S law.
Responsibilities of the employer to implement Rules & Regulations at the workplace for ensuring the safety at workplace.

Corporate manslaughter is a criminal offense in English law, being an act of homicide committed by a company or organization.

Why an Organization is complying the Legal requirement?

(What are the legal reasons to manage the H&S at workplace?)

To avoid the Enforcement action against them
To avoid the Improvement notice, Prohibition notice against them
To prevent legal authority to Withdrawing approvals
To protect from Varying licenses, conditions or exemptions
To avoid Fines (money that you pay to the enforcement authority)
To avoid Punishment ,
To avoid Penalty from the enforcement agencies.
To avoid Prosecution in Criminal Court
To avoid criminal court actions like imprisonment for individual or Organization or both.
To avoid Legal action against the employee or employer (banned from the job / business)
To avoid legal prosecution and
To avoid the compensation (money that you pay to the injured persons)
To avoid reputation damage and publicity damages
To avoid civil court actions & orders
To avoid the closure of business

Following are the legal responsibilities as per the Management of Health and Safety at Work Regulations (MHSWR) 1999:

(Ref: https://www.legislation.gov.uk)

R3.Risk assessment
R4.Principles of prevention to be applied
R5.Health and safety arrangements
R6.Health surveillance
R7.Health and safety assistance
R8.Procedures for serious and imminent danger and for danger areas
R9.Contacts with external services
R10.Information for employees
R11.Co-operation and co-ordination
R12.Persons working in host employers' or self-employed persons' undertakings
R13.Capabilities and training
R14.Employees' duties
R15.Temporary workers
R16.Risk assessment in respect of new or expectant mothers
R17.Certificate from registered medical practitioner in respect of new or expectant mothers
R18.Notification by new or expectant mothers
R19.Protection of young persons

The MHSWR 1999 regulation was introduced to reinforce the Health and Safety at Work etc. Act 1974.

The MHSWR places duties on employers and employees, including those who are clients, designers, principal contractors, or other contractors.

The following legal instruments provide more information, mainly:

HSWA 1974 ( Health and Safety at Work Act 1974), Uk
MHSWR 1999 (Management of Health and Safety at Work Regulations), UK
RIDDOR 2013 (The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations), UK

What are the roles of the enforcement agencies?

(What are the function of Labour Inspector as per ILO Convention C81?)

(What are the consequences that could be faced by the employer when they breach health and safety legislation? )

(What actions an enforcement agency may take following an accident at work? )

(What action that an enforcement agency may take if a workplace is unsafe? )

Enforcement Agencies take enforcement action against the duty holders If they fail to achieve H&S laws, rules, and regulations.
It may lead to enforcement action by the authorities, including prosecution, penalties , punishment, punitive, imprisonment etc.
As a regulating/enforcement/competent Authority, they have aim to prevent workplace death, injury or ill health.

To achieve this, regulating/enforcement authorities use various methods to influence change and help people to manage risks at work, including:

The enforcement agencies are responsible for enforcing H&S laws, legislation / regulation
The enforcement agencies enforce the H&S law associated with working conditions.
The enforcement agencies ensure the protection of the workers while at work.
The Enforcement agencies provide advice and technical information to workers and Employers.
The Enforcement agencies ensure the legal compliances/requirements are fulfilled as per H&S rules.
The Enforcement agencies provide H&S policy assistance and its implementation to prevent the accident.
The Enforcement agencies provide information, advise & guidance to workers and employers on H&S.
The Enforcement agencies provide warning to workers and employers in case of breach of H&S regulations and
advice on stopping dangerous work activities.
The Enforcement agencies submit reports to the Labour Inspectorate .
The Enforcement agencies make alteration orders/ Formal orders/ executory orders to make modifications for High Risk site.
The Enforcement agencies take legal proceedings and actions in case of violations of local or national laws.
The Enforcement agencies raise awareness in workplaces by influencing and engaging the Duty holders.
The Enforcement agencies provide operating permission and licensing activities in major hazard industries .
The Enforcement agencies investigate (when accidents have happened or a complaint is made) whether people are at risk, to find out if something has gone wrong.
The Enforcement agencies take appropriate enforcement action in relation to any non-compliance, ranging from advice on stopping dangerous work activities to potentially taking prosecutions where people are put at serious risk.
The Enforcement agency's inspectors and local authority officers priorities the highest risks and those businesses which fail to manage H&S properly.
The Enforcement agencies consider the appropriate enforcement and issue the improvement /prohibition notices .

How does the Enforcement Agency's inspector do the inspection at workplace?

Here are a few points provided, as follows:

where HSE inspectors have information and intelligence that H&S is a significant concern, such as:

They speak to relevant people, for example managers, supervisors, workers and employee representatives.
They observe a sample of workplace activities, conditions and practices, check whether risk controls are effective or not.
They inspect previous H&S performance of the organisation and do the analysis and compare from existing performance and past performance.
They cross verify the concerns(complaints) raised by workers, the public or others.
They inspect incident investigations. (previous reports, current status )
They inspect reports of injuries, diseases and dangerous occurrences. (e.g. Accident Book/ Register , Accident/incident Form )
They inspect workplace for H&S implementation. (e.g. Unsafe act & conditions)
They verify the legal compliances implementation. ( e.g. Legal register)

Enforcement action (Refer www.hse.gov.uk)

HSE's emphasis is on prevention, but, where appropriate, we will enforce the law where we find it is being deliberately flouted.

Enforcement Agency take enforcement action to ensure dutyholders:

deal immediately with serious risks (so they prevent harm)
comply with the law
are held to account if they fail in their responsibilities

Their enforcement action is proportionate, targeted, consistent, transparent and accountable. It is in line with our Enforcement Policy Statement and Enforcement Management Model (PDF) .

When making these decisions, enforcement agencies take into account economic growth and the impact their actions are likely to have on businesses.

Types of enforcement

Enforcement options include:

providing information and advice face-to-face or in writing
serving notices on duty holders
withdrawing approvals
varying licences, conditions or exemptions
issuing simple cautions
prosecution

Enforcement agencies make clear to duty holders which matters are subject to enforcement, and the measures they must take to achieve compliance (including timescales).

Types of notice issued by the Enforcement agencies:

What are the enforcement notices ?

Enforcement notices are tools that are used by the HSE when dealing with health and safety violations.

For Example : Improvement Notices and Prohibition Notices

Improvement Notice

Enforcement agencies may serve an improvement notice (if they believe you're(employer) breaking H&S law) for specify the period for compliance and in that period the recipient of the improvement notice may lodge an appeal with the employment tribunal.

It is a formal warning notice.
It is issued in case of inadequate systems and procedures at workplace.

What should be on the Improvement Notice?

The law or regulation concerned
Details of the reason ( H&S breach) for serving this improvement notice
Possible remedy to improve the workplace conditions
An employer will have 3–4 weeks to improve the working conditions or deficiencies.
In the case of any reasonable extension of time, this is also granted.

Download the improvement notice for learning purposes.

Prohibition Notice

Enforcement agencies may serve a Prohibition notice on an employer / organization if the activity in question has been carried out but has been temporarily suspended as a result of an accident.

Prohibition Notice means that Organisation must stop its activities immediate or to be deferred.

The "Deferred" notice can be withdrawn after improvements in H&S conditions.

The "immediate stop activities" order can not be withdrawn and must be recorded in the Health and Safety Register of the organisation.

E.g. Issuing a legal notice to stop dangerous activities.

If an HSE inspector sees a need to prevent or stop unsafe practices, dangerous activities and serious breaches of H&S in your organization, Inspector can issue a Prohibition Notice.
Prohibition Notices usually refers to a breach of H&S legislation and rules.

Quiz:

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Quiz on Legal Reason for managing Health and Safety

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