Regulatory Update: Key Lessons in Planning, Communication and Compliance
Welcome to our monthly regulatory update, where we share important developments in health & safety, environmental, and trading standards/consumer law, with practical takeaways from a selection of recent cases.
Key Themes This Month
- Plan work properly.
- Communicate appropriate information to those that need to know it.
- Act quickly when an issue arises.
Health and Safety
Guidance from the Health and Safety Executive (HSE)
Infections and Biological Hazards
Updated practical advice on risk assessment and compliance – Infections and biological hazards at work – HSE
What do you need to do? Review workplace controls where exposure risks exist.
Engineered Stone and Silica Exposure
Working engineered stone: Control silica risk – HSE plus increased HSE scrutiny with site visits planned over the next 12 months.
What do you need to do? Ensure dust controls and training are in place and are being complied with.
Prosecutions
What Recent Cases Tell Us
- Ensure risk assessments are suitable, sufficient, and regularly reviewed.
- Establish safe systems of work.
- Provide adequate training and supervision.
- Use machinery in accordance with manufacturer’s health and safety instructions.
- Maintain clear segregation of vehicles and pedestrians.
- Keep health & safety documentation up to date.
Fall Through Loft Hatch – £20,000 Fine and £5,607 Costs
What happened? A roofer fell 11 feet to the floor through an unguarded loft hatch. He suffered a fractured back and hip and was unable to return to work.
Failings:
- No suitable planning for work at height.
- No adequate fall prevention measures in place.
- Lack of competent supervision and training.
Key point: Work at height risks must be identified and controlled before work begins. See HSE guidance – Work at height – HSE.
Leg Trapped in Moving Machinery – £92,450 Fine and £6,781 Costs
What happened? A worker caught his leg in a mobile road milling machine. His leg was amputated at the scene, and he was unable to work for over a year. He continues to suffer long term symptoms.
Failings:
- No effective measures to prevent access to rotating machinery in place.
- Manufacturer’s protective safety guard had not been fitted.
Key point: Ensure effective measures are taken to prevent access to dangerous parts of machinery and that mobile work equipment is used in accordance with manufacturer’s instructions. See HSE guidance – Mobile work equipment – HSE.
Hand Trapped in Moving Machinery – £60,000 Fine and £5,107 Costs
What happened? A worker trapped his hand in a machine roller whilst trying to unblock the machine sustaining serious crushing injuries.
Failings:
- No safe system of work for unblocking the machine in place.
- Out of date risk assessment.
- Controls identified as needed not put in place.
- Lack of instructions and training.
Key point: Ensure safe isolation and lock-off procedures are in place and being followed before carrying out maintenance/unblocking work on machinery. See HSE guidance – Safe use of work equipment – HSE.
Tree Surgeon Suffers Electric Shock – £60,000 Fine and £6,237 Costs
What happened? A tree surgeon was pushing a mobile lighting tower that made contact with an 11,000 volt overhead power line. He sustained life threatening electric shock injuries and spent five weeks in hospital.
Failings:
- No adequate planning for/suitable risk assessment of dangers from overhead power lines in place.
- Lack of suitable control measures, instructions or training.
Key point: When working near overhead power lines, identify and assess risks, properly plan work and provide suitable information, instruction and training. See HSE guidance – Overhead power lines – HSE.
Hand Trapped During Lifting Operation – £170,000 Fine and £7,999 Costs
What happened? A worker trapped his hand under a three-tonne machine during a lifting operation involving a forklift. Two of his fingers were subsequently amputated.
Failings:
- Lifting operation not properly planned or carried out in safe manner.
Key point: Establish safe systems of work to minimise risks if it is not reasonably practicable to avoid working under suspended loads. See HSE guidance – Planning and organising lifting operations – HSE.
Risk of Serious Injury/Death from Unsafe Vehicle Movements – £167,000 Fine and £16,195 Costs
What happened? Pedestrians on a waste site were exposed to the risk of serious injury/death from moving tipper lorries and loading shovels and unstable stockpiled skips.
Failings:
- Failure to segregate vehicles and pedestrians.
- Out of date documentation.
- Skips stacked unsafely and at risk of collapse.
- Previous prohibition notices, so company aware of issues.
Key point: Ensure workers are kept safe from moving vehicles and stored work equipment. See HSE guidance Workplace transport – HSE.
Environmental
Convicted Fly-Tippers: New Penalty Points Risk
Courts can now impose 3–9 penalty points on a driver’s licence if the vehicle they were driving was used to commit a fly-tipping offence.
Why does this matter? There are now increased personal consequences for drivers which could lead to a driving ban in certain circumstances.
Environment Agency Introduces New Fee for Intervention Charge for Waste Operators
Non-compliant waste operators may now be charged for the EA’s time in identifying and addressing suspected breaches of waste and waste permitting legislation.
Why does this matter? This increases operators’ costs exposure for non-compliance.
Prosecutions
Spilled Digestate Pollutes River – £215 Fine and £3,550 Costs for Farmer
What happened? Digestate spilled onto a road and entered a nearby river when a hose between a storage tank and tanker broke. The incident was made worse when the spilled digestate was washed into the watercourse. Approximately 1,610 fish were killed as a result. The EA was not notified so mitigation/containment action could not be taken.
Key point: In the event of a pollution incident, take swift action to mitigate/contain and prevent further harm.
Illegal Waste Site Deposit – £13,653 Fine and £2,821 Costs
What happened? A waste carrier deposited 3,490 tonnes of excavation spoil at an illegal waste site over eight months in 2021.
Key point: Registered waste carriers have a duty of care to ensure that their waste is being handled by legal waste sites.
Consumer/Trading Standards
The Competition and Markets Authority Uses New Consumer Rights Enforcement Powers
The CMA has fined Euro Car Parks £473,000 for failing to respond to a notice legally requiring the provision of information and AA/BSM Driving Schools £4.2m for ‘drip pricing’. It also secured a settlement with Emma Sleep backed up by court enforceable commitments by Emma to stop using misleading countdown timers and messages/claims designed to create false pressure on consumers to buy products.
Why does this matter? Businesses selling to consumers need to be upfront, open and fair about pricing.
Prosecutions
Eight Month Suspended Sentence for Fraudulent Online Trader
What happened? Customers paid over £16,000 for goods that were never delivered.
Failings:
- False information given about delivery and refunds.
- Repeated delays.
- Despite this, trading continued.
- Use of customer money for another business and personal expenditure.
Key point: Businesses must be transparent, deliver what they promise, and handle customer payments responsibly or risk criminal consequences.
Need Advice?
If you would like support reviewing your compliance or advice about a regulatory investigation or prosecution, please get in touch with our Regulatory team.
