Health and safety at work - regulation and inspection

Securing compliance - How we enforce the law

Information about regulation and inspection of health and safety at work.

Securing compliance - How we enforce the law

Whether we are conducting a routine health and safety inspection, investigating an accident or a complaint, the same courses of action are available to us to ensure you are complying with health and safety legislation.

Education

Throughout the year, the Service is involved in various initiatives, press releases and postal surveys, relating to common themes or problem areas. We will also endeavour to include regular updates to this internet site.

Informal Action/Advice

This is the normal course of action we take following an investigation or inspection, where any breaches of the law are relatively minor. You will still be told what you should do to comply and why, and this will be confirmed to you in writing.

Enforcement Notices

These are normally served for the more serious issues, or where there are repeated contraventions. The decision to serve a notice is underpinned by the enforcement management model which is an inspectors decision making tool to ensure consistency.

Improvement Notices

An Improvement Notice gives you a minimum time period of 21 days with which to comply (this also allows you time to appeal to an Industrial Tribunal if you think this is appropriate). The Notice will explain what needs to be done, why and when it should be done by.

Further action can be taken by us if the Notice is not complied with within the specified time limit.

Prohibition Notices

Where an activity involves (or will involve) a risk of serious personal injury, we can serve a Prohibition Notice. This prohibits the activity immediately and does not allow it to be resumed until remedial action has been taken. The Notice will explain what action is necessary.

Appeals

If you are served with an Improvement or Prohibition Notice, you will be told in writing about your rights of appeal to an Industrial Tribunal. If you appeal against an improvement notice then its requirements are suspended until the tribunals decision. If you appeal against a Prohibition Notice however its requirements remain in place until the outcome of the tribunal.

Prosecution

Each case is considered on its own individual merits, having regard to:

• Formal guidance (eg the code for Crown Prosecutors);
• The evidence - there must be sufficient admissible evidence to provide a realistic prospect of conviction;
• The gravity of the offence;
• The general record and approach of the offender;
• Implications of the offence for the public;
• Attitude of the offender;
• Intent of the offender;
• The public interest factor, including the deterrent effects of prosecution.

A prosecution is normally instigated for more serious offences, and in particular:

• In the Authorities opinion, there is a blatant disregard for the law;
• When there appears to have been a reckless disregard for the health and safety at work of people;
• Where there have been repeated breaches of legal requirements and it appears that the management is neither willing nor structured to deal adequately with this;
• Acceptance by the business of grossly inadequate conditions;
• Obstruction of officers;
• Where as a result of a substantial legal contravention, there has been potentially serious accidents or cases of ill-health;
• Any cases involving pre-meditated or calculated disregard for requirements;
• Where there are persistent poor standards for control of health hazards;
• Whether previous warnings or advice have been given.

Enforcement action against the employees or directors of the company will be considered where previous warnings have been issued or where the offence was blatant.

Formal Cautions

In appropriate circumstances, we will consider offering a 'Home Office Formal Caution' as an alternative to prosecution. In line with the terms of the Home Office Circular:

• There must be evidence of the offenders guilt sufficient to give a realistic prospect of conviction
• The offender must admit the offence(s)
• The offender must understand the significance and agree to accept the caution
• The caution should be in the public interest