HSE Inspection
The Health and Safety inspector of the HSE or the Local Authority has powers in relation to the enforcement of health and safety legislation as well as advisory and awareness as functions.
Health and Safety inspectors may visit without notice. In the case of routine inspections, they will usually give notice to ensure that the relevant staff are available.
The main function of the inspector is to secure compliance and to help employers meet legal duties. Action will only be taken as a last resort. The Health and Safety executive would generally be pleased to answer any questions and co-operate with employers to improve compliance.
The Inspector will generally want to check the following; the workplace, activities, management of health and safety, adequate welfare facilities for eating, resting, sanitation and specific compliance issues that might arise.
It would be desirable to have the following available; the written Health and Safety policy; the written risk assessments undertaken; records of inspections of equipment required by law e.g. lifting equipment, pressured systems, ventilation, any written safe working methods; any records of health and safety training; valid employer’s liability insurance certificate.
In the case of accidents, Inspectors will investigate the cause and advise on what action needs to be taken to prevent a recurrence. They will determine if there has been a breach of health and safety law.
The health and safety Inspector is entitled to carry out examinations and inspections, take measurements and photographs. They can take possession of articles and arrange for them to be tested. They can seize any article that could cause serious personal injury. They can request information and statements from people they think that could help. They can inspect and copy documents.
If the Inspector believes an employer is breaching health and safety law and the activities give rise to a serious risk they can give an informal warning verbal or written. Alternatively they can issue an improvement or prohibition notice or prosecute.
Health and Safety awareness officers are specially trained to support the Health and Safety Regulatory compliance. The main purpose is to give advice, information and guidance. An awareness officer needs consent to visit but they do have powers to enforce certain aspects of legislation.
Inspectors will typically confirm their recommendations in a brief report which issues after inspection. The advice may relate to matters of legal requirements and best practice. Insofar as best practice is concerned it may not be obligatory to follow the advice. However, if it is ignored it is likely to lead to tougher action such as an improvement notice which obliges compliance.
If a breach of Health and Safety law has taken place which causes an accident, compliance with the Inspector’s recommendations may be taken into account in a prosecution.
Inspectors will generally wish to check that arrangements are in place to discharge the legal duty to consult and inform employees or their representatives e.g. fire safety officers, health and safety officers. It is likely the Inspectors will wish to interview these people privately during inspections.
An Inspector may issue an improvement notice if they believe an employer is breaching health and safety law. This would usually only take place where the breach is serious and poses a risk.
The improvement notice is legally binding. It specifies what needs to be done and why and gives a period in which to comply. The Inspector will generally discuss an improvement notice before serving it and attempt to resolve disagreement informally. Failure to comply with an improvement notice can lead to prosecution.
Where there is a risk of serious personal injury, the Health and Safety Officer may issue a prohibition notice. This requires certain prohibited activity to be stopped immediately. It must not be resumed until action has been taken to remove or control the risk identified.
It may state whether a law has been breached and specify what is needed to be done to reduce or control the risk. Failure to comply with a prohibition notice is a criminal offence.
Enforcement notices, which can either be an improvement notices or prohibition notices are published on line in a register of enforcement notices in which will appear for a five year period.
It is possible to appeal an improvement notice or a prohibition notice to the Employment Tribunal. If an improvement notice is appealed it will generally be suspended.
However, a prohibition notice will stay in force until after the appeal unless an application is made to the Tribunal to have it lifted pending the appeal. The Tribunal can uphold the notice unconditionally or on various terms or quash the notice. The Tribunal must ensure that the relevant risk or activity is dealt with.
There are numerous offences under Health and Safety legislation. Prosecution is more likely in serious cases where e.g.
- someone has been killed due to breach of Health and Safety law if the breach is serious;
- the breach is repeated;
- activities are being carried out without a licence where one is needed;
- work is being carried out without a safety case where one is needed;
- the standard of safety falls below that expected and causes a significant risk; there is failure to comply with an improvement notice;
- there has been intent to deceive or if Inspectors have been intentionally obstructed in their duties.