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England and Wales Court of Appeal (Civil Division) Decisions |
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You are here: BAILII >> Databases >> England and Wales Court of Appeal (Civil Division) Decisions >> Hague (Inspector of Health And Safety) v Rotary Yorkshire Ltd [2015] EWCA Civ 696 (11 June 2015) URL: http://www.bailii.org/ew/cases/EWCA/Civ/2015/696.html Cite as: [2015] EWCA Civ 696 |
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ON APPEAL FROM THE HIGH COURT OF JUSTICE
QUEEN'S BENCH DIVISION
Strand London WC2A 2LL |
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B e f o r e :
LORD JUSTICE TOMLINSON
LORD JUSTICE KITCHIN
____________________
SARAH JANE HAGUE (ONE OF HER MAJESTY'S INSPECTORS OF HEALTH AND SAFETY) | Appellant | |
v | ||
ROTARY YORKSHIRE LIMITED | Respondent |
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WordWave International Limited
A Merrill Communications Company
165 Fleet Street London EC4A 2DY
Tel No: 020 7404 1400 Fax No: 020 7404 1424
(Official Shorthand Writers to the Court)
Mr James Maxwell-Scott (instructed by DAC Beachcroft Claims Limited) appeared on behalf of the Respondent
____________________
Crown Copyright ©
"... represented a watershed in the history of the regulation and enforcement of health and safety in the United Kingdom. HSE statistics apparently show that since the Act came into force there has been an 87 per cent reduction in the number of fatal injuries to employees at work and a 77 per cent reduction in reported non-fatal injuries. The details are available at www.HSE.gov.uk/statistics/history."
"The provisions of this Part shall have effect with a view to-
(a) securing the health, safety and welfare of persons at work;
(b) protecting persons other than person at work against risks to health or safety arising out of or in connection with the activities of persons at work."
"(1) Subject to the provisions of section 19 and this section, an inspector may, for the purpose of carrying into effect any of the relevant statutory provisions within the field of responsibility of the enforcing authority which appointed him, exercise the powers set out in subsection (2) below.
(2) The powers of an inspector referred to in the preceding subsection are the following, namely, ... (d) to make such examination and investigation as may in any circumstances be necessary for the purpose mentioned in subsection (1) above;
(e) as regards any premises which he has power to enter, to direct that those premises or any part of them, or anything therein, shall be left undisturbed (whether generally or this particular respects) for as long as is reasonably necessary for the purpose of any examination or investigation under paragraph (d) above."
"(22) If as regards any activities to which this section applies an inspector is of the opinion that, as carried on or as likely to be carried on by or under the control of the person in question, the activities involve, or, as the case may be, will involve, a risk of serious personal injury, the inspector may serve on that person a notice (in this Part referred to as a 'prohibition notice')
(3) A prohibition notice shall -
(a) state that the inspector is of the said opinion; (b) specify the matters which in his opinion give or, as the case may be, will give, rise to the said risk;
(c) where in his opinion any of those matters involves or, as the case may be, will involve, a contravention of any of the relevant statutory provisions, state that he is of that opinion specify the provision or provisions as to which he is of that opinion, and give particulars of the reasons why he is of that opinion; and.
(d) direct that the activities to which the notice relates shall not be carried on by or under the control of the person on whom the notice is served unless the matters specified in the notice in pursuance of paragraph (b) above and any associated contraventions of provisions so specified in pursuance of paragraph (c) above have been remedied.
(4) A direction contained in a prohibition notice in pursuance of subsection (3)(d) above shall take effect -
(a) at the end of the period specified in the notice; or.
(b) if the notice should declares, immediately."
"(2) A person on whom a notice is served may within such period from the date of its service as may be prescribed appeal to an employment tribunal; and on such an appeal the tribunal may either cancel or affirm the notice and, if it affirms it, may do so either in its original form or with such modifications as the tribunal may in the circumstances think fit.
(4) One or more assessors may be appointed for the purposes of any proceedings brought before the employment tribunal under this section."
"Subject to subsection (2), if any party to proceedings before any tribunal specified in paragraph ... 16 ... of Schedule 1 is dissatisfied in point of law with a decision of the Tribunal he may, according as rules of court may provide, either appeal from the tribunal to the High Court or require the tribunal to state and sign a case for the opinion of the High Court."
"(15) In the High Voltage room there were four transformers. Two, identified as A and B, were being commissioned and the switches which served them were dead. The jointed cables that were exposed were at the rear of the structure containing three switches. Two in the middle and left were shown by the absence of a light at the front of the structure as dead, that on the right was shown to be live. The exposed conductors were at the rear of transformers A and B, both of which would be dead if the left-hand switch shown as dead was in truth dead. If it was not in fact dead, the danger of serious injury by contact with any exposed conductor is all too obvious.
(16) On entering the room the inspectors (there were three in all) found all the settings and the two locks on the left-hand switch to be in positions consistent with the exposed conductors being dead. Each padlock had its own key which was kept in a safe, the key to which was kept in another safe protected by a coded lock. Only three persons employed by the appellant had access to the keys and there was an elaborate process required to energise the left-hand switch so as to avoid any accidental energisation. Accidental or any improper energisation was a risk which the tribunal regarded as negligible.
(17) While it was the inspectors' belief that the conductors were dead, they could not be sure that they were and the appellant was unable to prove that they were. There should be have been a system in place overseen by a Senior Authorised Person whereby there was proof provided in the form of documentation that when the switch was in the off position the conductors were in fact dead. the tribunal accepted the evidence given by the appellant's Project Manager that the approach must be to assume live unless proved dead."
" ... of the opinion that the following activities, namely any access to the high voltage (HV) AB income room other than to make the electrical systems safe which are being carried on by you at Leeds Arena construction site, Clay Pit Lane, Leeds LS2, involve a risk of serious personal injury and that the matters which give rise to the said risks are persons are liable to injury from an electric shock and that the said matters involve contravention of the following statutory provision, the Health and Safety at Work etc Act 1974, sections 2 and 3, Electricity at Work Regulations 1989, regulation 4.3, because you have not prevented access to conducting parts of the electrical system that can be energised and made live. The electrical system is high voltage and I hereby direct that the said activities shall not be carried on by you or under your control immediately unless the said contraventions and matters have been remedied."
"Our task and that of the inspector is and was to decide on the state of knowledge available on the day whether to issue the PN. Available knowledge includes that which can be acquired pursuant to a reasonable investigation. It does not, however, include knowledge that would be obtained as a result of the remedial action required by the PN. Otherwise there would be no point in issuing a PN which is conceived to make an otherwise unsafe situation safe. The Appellant has, in our judgment, confused that knowledge with that arising from an investigation pursuant to the powers in section 20. Those powers are given to inspectors to determine whether or not to issue a notice. They are not there as an alternative sanction available to mitigate risk."
"(43) The inspector did not know whether the exposed conductors were live or dead. She did know that people had been working and were expected to work in the vicinity of the exposed conductors. All the visual indicators were that the power to those conductors was off. She believed that they were dead but, in the absence of any evidence of testing, she could not know that. If exceptionally, she was wrong in her belief that the conductors were dead, contact with them would involve mortal risk. Accordingly, the only proper way to deal with the problem was to withdraw everyone from the high voltage AB incoming room and issue the notice in the terms she did denying access to the room other than to make the electrical system safe.
(44) ... the risk was the possibility, in the absence of evidence to the contrary, that the exposed conductors might be live, however remote. That risk was present, having regard to the flow of high voltage electricity in the two other parts of the switchgear and the connection of the switchgear to the two transformers A and B, as well as the removed covers that exposed the conductors to the possibility of contact with those working in the HV room."
"... so as truly to reflect the reason for the inspector's belief that [RYL] had breached the cited provisions of the [HSWA] and the 1989 Regulations.
"(27) Since the view was that proof that the parts were dead would mean that no notice would be issued despite the lack of a system to prove that it was dead, it would have been possible to extend the investigation to await testing the following day. The existence of a prohibition notice on the register against a company can produce a disadvantage, thus it is reasonable only to issue such a notice if it is clearly needed. In this case lesser action was regarded as sufficient protection if the parts were indeed dead.
(28) Mr Wright [counsel for the Inspector] suggested that action under section 20(2)(e) could not be effectively policed. Breach of a direction is a criminal offence, as is breach of a prohibition notice, and the ability or lack of ability to police is the same for both. In the case of a respectable business undertaking, advice may be all that is in a given case needed and the issue of a notice may properly be regarded as unnecessary.
(29) In the circumstances, in my view the Tribunal was wrong to decide that the only means of dealing with the situation was the issue of the notice. This was not properly to take account of the expertise of the inspectors in the light of the reasons given in the notice for its issue and the evidence that if the parts were in fact dead no notice would have been issued. I have put it that way because it is apparent that if an authorised person had been available on 13 December, proof that they were dead would have been established and no notice would have been issued."
"Those powers are given to inspectors to determine whether or not to issue a notice. They are not there as an alternative sanction available to mitigate risk."
"(10) Returning to the section, that is section 24 and the powers that it confers on the Employment tribunal, to my mind it emphasises that the focus of attention on the appeal is to the situation on the ground when the notice is actually served. I take that from the point that it can either cancel or affirm the notice, and it is only if it decides to affirm that it can then affirm it with modifications. That seems to me to focus the analysis to the time when the notice was actually served.
(11) Turning to section 22 and the focus of the notice itself, that too, necessarily to my mind, focuses the decision-making process to the moment at which the notice is served. In broad terms, the section is concerned with the identification, prevention, and thus management of risk. The risk being a risk of serious personal injury by reference to an activity then being carried on, or likely to be carried on by the relevant person or under the control of that person. So, the focus is as to risk flowing from an activity then being carried on or likely to be carried on as at time X, namely, the time when the notice is served."
"... it seems to me that they were not focussing, as in my judgment they should, on the point at which the notice was served and determining whether they, if they had been in the position of the Inspector, would have served that notice. Rather, they were looking at the position with the benefit of hindsight, as that expression is commonly used, namely, he may well have been right, he may well have been wrong but with the benefit of hindsight we can reach a different decision. That was not the process which, in my judgment, they were charged with; their task was to decide what they would have done at that point in time."
"The Act of 1974 [that is, of course, the HSWA] itself provides remedies against errors or excesses on the part of inspectors and enforcing authorities. I would decline to add the possibility of an action in negligence to the statutory remedies."
"The Enforcement and Safety Information Act 1988 requires the HSE to maintain a database. Improvement notices or prohibition notices which impose requirements or prohibitions solely for the protection of persons at work (such as the PN in this case) are not required by that Act to be registered. See section 2(3). However, it is HSE policy to enter all notices on the databases, including those issued solely for the protection of persons at work."