A Guide to Enforcement Authorities, What Enforcement Notices Mean and an Essential Health and Safety Management Checklist

Contents:
1.1 The Enforcing Authorities 1.2 Local Authority Enforcement Responsibilities 1.3 HSE Enforcement Responsibilities 2.1 Methods of Enforcement 2.2 Prohibition Notices 2.3 Improvement Notices 2.4 Appeals Against Notices 3.1 Checklist Health and Safety Documents, Procedures and Items You Must Have in Place before an Inspection

Copyright 2012 Agora Business Publications LLP. This material may only be used in the furtherance of the subscriber's business and may not be sold, hired, copied or used for any other commercial purpose etc. without the prior written consent of Agora Business Publications LLP. Every effort has been made by Agora Business Publications LLP to ensure that the information given is accurate and not misleading, but Agora Business Publications LLP cannot accept responsibility for any loss or liability perceived to have arisen from the use of any such information.

1.1 The Enforcing Authorities

Whether your local Health and Safety Executive (HSE) or the Local Authority is the enforcing authority for your business depends on your companies activities. The division of enforcement is determined by the Health and Safety (Enforcing Authority) Regulations 1998.
Below are listed the main categories of work activity designated either to the HSE or the Local Authority.

1. 2 Local Authorities are responsible for enforcing health and safety in the following premises: The sale of goods, or the storage of goods for retail or wholesale distribution, except:
Dock, railway and airport depots. Distribution of any substance or preparation dangerous for supply. Sale or storage of water, sewage by-products. Sale of natural or town gas. Sale and fitting of motor car tyres, exhausts, windscreens or sunroofs the main activity shall be deemed to be the sale of goods. Exhibitions. Offices. Catering services. Permanent or temporary residential accommodation. Sites for caravans or campers. Consumer services provided in a shop, except: o Dry cleaning or radio and television repairs (whether for profit or not). Launderettes and similar premises. Beauty salons and therapeutic treatments, except: o Where they are carried out under the supervision or control of a registered medical practitioner, a dentist, a physiotherapist, an osteopath or a chiropractor. Arts centres. Entertainment centres. Sports, games, entertainment or other cultural or recreational activities, except: o Where the main activity is the exhibition of a cave to the public. Pleasure craft for use on inland waterways. Animal care and similar centres, except: o Horse breeding or horse training at a stable, or is an agricultural activity or veterinary surgery. Undertakers, except: o Where main activity is embalming or coffin making Religious centres. Airport car parks. Child care, playgroups and nurseries. o o o o o

1. 3 The Health and Safety Executive are responsible for enforcing health and safety in the following premises:
Mines and quarries. Fairgrounds.

Copyright 2012 Agora Business Publications LLP. This material may only be used in the furtherance of the subscriber's business and may not be sold, hired, copied or used for any other commercial purpose etc. without the prior written consent of Agora Business Publications LLP. Every effort has been made by Agora Business Publications LLP to ensure that the information given is accurate and not misleading, but Agora Business Publications LLP cannot accept responsibility for any loss or liability perceived to have arisen from the use of any such information.

Film-making and broadcasting centres. The following activities carried on at any premises by persons who do not normally work in the premises: o Construction work if: (i) Notifiable under CDM. (ii) Contracted work on the external fabric of a building or structure. (iii) Areas of a building segregated from normal use for construction work to be undertaken, except: Maintenance of insulation on pipes, boilers or other parts of heating or water systems or its removal from them. o o o The installation of gas systems. The installation of electricity systems. Work with ionising radiations, except: Work in one or more of the categories set out in Schedule 3 to the Ionising Radiations Regulations 1985.

The use of ionising radiations for medical purposes. Any activity in premises with radiography and ionising radiations. Agricultural activities. Sea-going ships. Ski slopes and associated lifts. Fish, maggot and game breeding, except o In a zoo. Pipeline activity (Pipelines Safety Regulations 1996). Railways.

2.1 - Methods of Enforcement

Inspectors are charged with enforcement of the Law where they believe an offence has been committed, or may be committed. A number of options are open to the inspector and they may use any one, or a combination of enforcement powers, against you or the company.

Options available to enforcement authorities under the Health and Safety at Work etc Act 1974:

Prosecution: one of the stronger enforcement tactics. Generally occurs where there is serious, persistent or continuous failure on behalf of the employer / employee. Improvement notice: issued where in the opinion of the inspector there is a breach of statutory duty. Usually issued where the inspector feels the breach will continue. Prohibition notice: issued where, in the opinion of the inspector, there is a serious risk to life or limb. Note that there does not have to be a clear breach of law. Prohibition notices usually stop activities and may be deferred if necessary to make the workplace safe before the notice takes effect. Written reports: these may be issued to ensure clarity and record specific requirements. The documents can be produced in court at a later date if necessary.

Copyright 2012 Agora Business Publications LLP. This material may only be used in the furtherance of the subscriber's business and may not be sold, hired, copied or used for any other commercial purpose etc. without the prior written consent of Agora Business Publications LLP. Every effort has been made by Agora Business Publications LLP to ensure that the information given is accurate and not misleading, but Agora Business Publications LLP cannot accept responsibility for any loss or liability perceived to have arisen from the use of any such information.

Oral advice: probably, the most common form of informal enforcement. Oral advice is given for simple or minor breaches that are rectified.

NB: failure to comply with a notice is a serious offence and is likely to lead directly to prosecution.

2.2 Prohibition Notices

These notices prohibit the carrying on of specified activities where, in the opinion of the inspector, there is a serious risk of personal injury. The notice will:

Specify the circumstances the inspector believes will give rise to personal injury. Outline the breach, if a breach of legislation has occurred. Prohibit the activity.

Prohibition notices are usually issued for serious failings such as unsafe systems of work, for example, work where there is an unprotected risk of a fall from height or unguarded machinery. The circumstances in which these notices are issued vary widely. However, the common theme is the opinion of the inspector that the circumstances give rise to risk of serious personal injury. Prohibition notices are generally effective immediately in order to control the risk. However, they may be deferred if, in the particular circumstances, stopping the process would give rise to or exacerbate the risk. For example, a notice served on a fairground Ferris wheel is likely to be deferred to allow riders to dismount. The inspector will attach a schedule to the notice specifying the works to be completed before the operation resumes. Failure to comply will lead to prosecution. As notices are often served to specific individuals imprisonment for up to 2 years and / or unlimited fines can be awarded.

2.3 Improvement Notices

For an improvement notice to be issued the inspector must believe that an offence has been committed. These notices set out the improvements that must be made and determine the timescale for such works. The notice will include:

Detail of the activity that needs to be addressed. Specification of the breach that has occurred there may be more than one. Details of the dates that the work must be completed by.

Improvement notices must allow at least 21 days for the work to be completed and may include a schedule of those works. Failure to comply carries a similar penalty to prohibition notices. Improvement notices may be extended at the discretion of the inspector when requested to do so by the employer.

Copyright 2012 Agora Business Publications LLP. This material may only be used in the furtherance of the subscriber's business and may not be sold, hired, copied or used for any other commercial purpose etc. without the prior written consent of Agora Business Publications LLP. Every effort has been made by Agora Business Publications LLP to ensure that the information given is accurate and not misleading, but Agora Business Publications LLP cannot accept responsibility for any loss or liability perceived to have arisen from the use of any such information.

2. 4 Appeals Against Notices

As notices have formal standing in law there is an appeals procedure. This procedure is set out in law and an appeal can be made where the employer feels that the notice has been issued wrongly or is in some way invalid. This is rarely the case. An appeal must be made within 21 days of the notice and is heard in the employment tribunal. An employer can appeal where:

The inspectors interpretation of the law is wrong. The inspector acted outside their legal powers. There is a breach of law, but the measures required are not reasonably practicable.

For improvement notices, the notice is suspended once an appeal is lodged. This is not the case for prohibition notices which remain in force until the appeal is heard. The tribunal may amend, add to, affirm or cancel the notice dependent on the particular circumstances.

3.1 Checklist Health and Safety Documents, Procedures and Items You Must Have in Place before an Inspection
Below is a checklist of documents, processes and items you should have in place in your business. All of which are things a health and safety inspector is likely to look for when visiting your premises.

What You Need to Have in Place Before a Health & Safety Inspection

In Place / Comments

Health and Safety Policy Health and Safety policy is up-to-date, signed and there is evidence of regular reviews. Your policy should be drafted by a competent person and include: 1. The General Statement stating management aims, objectives for the creation of a safe working environment. 2. Your organisation for health and safety how everyone in your business is made aware of health and safety issues, allocation of core accountability and responsibility, company structure and responsibilities for health and safety within it, employee responsibility. 3. Your arrangements for health and safety how the identified employees and management will operate, detailing elements such as; a. Risk assessments, findings, results and safety measures in place / proposed. b. Inspection. c. Maintenance & control. d. Operating procedures. e. Training. Note Specific arrangements should be bespoke to the operation for which you refer to in your policy. Review and revision it is the duty of every employer to review and revise their written health and safety policy as often as may be appropriate. Whenever this is updated the changes should be communicated with all employees.

Copyright 2012 Agora Business Publications LLP. This material may only be used in the furtherance of the subscriber's business and may not be sold, hired, copied or used for any other commercial purpose etc. without the prior written consent of Agora Business Publications LLP. Every effort has been made by Agora Business Publications LLP to ensure that the information given is accurate and not misleading, but Agora Business Publications LLP cannot accept responsibility for any loss or liability perceived to have arisen from the use of any such information.

What You Need to Have in Place Before a Health & Safety Inspection

In Place / Comments

Display Legally Required Information Legally required information is available or displayed, including: Current employer's liability certificate must be available. Signed general safety policy. Fire risk assessments completed and available. Accident log book.

Health and Safety Law Poster Poster "Health and Safety law - what you should know" is displayed or employees have been given the official leaflet containing the same information. The name and address of the enforcing authority and the address of the Employment Medical Advisory Service must be entered in the spaces provided in the poster.

First Aid Kit If your risk assessment deems it necessary you must have a First Aid Kit with adequate contents (include a list of contents in the kit): Appoint a first aider. Model Policy Arrangement. First aider details should be provided ; o Name. o Location. o Contact details. o Training of first aiders documented.

Risk Assessments Risk assessments are carried out in accordance with the Approved Code of Practice. The findings of the assessments should be used to shape your policy. The assessments can include; 1) General risk assessments 2) Specific risk assessments such as: Hazardous substances. Electrical safety. Noise. Display screen equipment. Manual handling. Work equipment. Personal protective equipment.

Copyright 2012 Agora Business Publications LLP. This material may only be used in the furtherance of the subscriber's business and may not be sold, hired, copied or used for any other commercial purpose etc. without the prior written consent of Agora Business Publications LLP. Every effort has been made by Agora Business Publications LLP to ensure that the information given is accurate and not misleading, but Agora Business Publications LLP cannot accept responsibility for any loss or liability perceived to have arisen from the use of any such information.

What You Need to Have in Place Before a Health & Safety Inspection

In Place / Comments

Records Records available that prove safety inspections carried out in respect of: All pressure systems. All lifting and access equipment. All storage and racking. Gas supplies. Electricity supplies. PAT testing.

Training Training carried out for operation of equipment including cranes, forklift trucks etc: Training records should be recorded, logged and updated whenever new training is provided

Appoint a Competent Adviser Competent staff / advisers are appointed: Detailed in the safety policy with areas of responsibility. Fire Safety Fire safety: Provide all necessary fire fighting equipment. E.g. fire extinguisher. These should be; sufficient to your requirements, regularly inspected and staff should be trained in safe usage. Document all training for emergency procedure. Document fire wardens training etc. Signs and signals clearly displayed. Emergency routes and exits clear at all times. Fire alarm testing procedures. Fire alarm testing log book.

Injury Reporting & Accident Log Book Injury reporting / accident log book: Updated and maintained. Accidents reported under RIDDOR where applicable. Model procedure for reporting of accidents. Accident investigation log. Accident investigation policy

Copyright 2012 Agora Business Publications LLP. This material may only be used in the furtherance of the subscriber's business and may not be sold, hired, copied or used for any other commercial purpose etc. without the prior written consent of Agora Business Publications LLP. Every effort has been made by Agora Business Publications LLP to ensure that the information given is accurate and not misleading, but Agora Business Publications LLP cannot accept responsibility for any loss or liability perceived to have arisen from the use of any such information.

What You Need to Have in Place Before a Health & Safety Inspection

In Place / Comments

Personal Protective Equipment Provision of work equipment protective equipment: Personal Protective Equipment. Noise prevention. Model policy arrangement.

Policies for High Risk Groups High risk groups Model policy: These should include procedures, training and records for; o Agency workers. o Young workers. o Disabled staff. o Pregnant staff. o Visitors. o Contractors.

Display Screen Equipment Display Screen equipment (DSE): Work station & DSE assessments complete and actions taken and recorded accordingly.

Hazardous Substances If you use Hazardous substances: Model Policy Arrangement. Risk Assessment. Materials clearly identified with recognized symbols on all containers. Management controls documented. Safe storage, safe handling and safe usage. Emergency procedures documented and training given. MSDS data sheets available.

Food Hygiene Food Hygiene: Food hygiene certificates displayed or available for all food handlers. Risk assessment for food operations.

Copyright 2012 Agora Business Publications LLP. This material may only be used in the furtherance of the subscriber's business and may not be sold, hired, copied or used for any other commercial purpose etc. without the prior written consent of Agora Business Publications LLP. Every effort has been made by Agora Business Publications LLP to ensure that the information given is accurate and not misleading, but Agora Business Publications LLP cannot accept responsibility for any loss or liability perceived to have arisen from the use of any such information.

What You Need to Have in Place Before a Health & Safety Inspection

In Place / Comments

Manual Handling
Manual Handling Model policy arrangement Training documentation Risk assessment completed and training delivered accordingly

Employee Welfare Employee W elfare Model Policy Arrangement Records of any staff medicals stored and available

Copyright 2012 Agora Business Publications LLP. This material may only be used in the furtherance of the subscriber's business and may not be sold, hired, copied or used for any other commercial purpose etc. without the prior written consent of Agora Business Publications LLP. Every effort has been made by Agora Business Publications LLP to ensure that the information given is accurate and not misleading, but Agora Business Publications LLP cannot accept responsibility for any loss or liability perceived to have arisen from the use of any such information.