The next step

To the HSE's guidance on notices

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Getting off on a technicality

Right first time

When an enforcement notice of any kind is issued there are basic rules which the health and safety inspector must follow. However, to use the term “basic” undervalues the time and effort required for inspectors to get this right. They have detailed procedures to adhere to and due to the complexity of the rule book it’s easy for them to slip up.

Chink in the armour

As our mole reports, a recent case fell apart before it came to court because of a simple mistake by the inspector. The case concerned the failure of a business to comply with an improvement notice. The owners had not managed to carry out additional staff training within the tight timeframe set out in the notice and because of this they faced prosecution. However, whilst preparing the defence, the client’s solicitor noticed something odd about the documentation.

What was it?

As HSE guidance for inspectors states, they must “serve notices on the correct legal entity. This could be a plc, limited company, partnership or individual” . In this case the name at the top of the notice was the one displayed at the business’ site entrance. But that name meant nothing in law; the notice should have been addressed to the owners. When this error was pointed out the HSE withdrew the prosecution just a few days before the planned hearing. Because the owners had by this time undertaken the applicable training, there were no grounds for the HSE to reissue it and restart its enforcement process.

Tip. You can check whether a health and safety inspector acted properly in the serving of a notice by reading the HSE’s own guidance (see The next step ).

Cautionary note

If you receive an improvement notice it will be prompted by an inspector believing that you have breached the law. You need to be careful about the way that you go about dismissing any such allegations. After all, if you go back quickly and refute it on a technicality you can be sure that a fresh copy with the correct details will be sent.

Tip 1. If you believe a notice has been served incorrectly, before responding consider whether the essential grounds for the notice are valid. You have 21 days to appeal, so quickly deal with any valid points raised such as a lack of training, guarding, general housekeeping, etc.

Tip 2. Submit your appeal on the basis that the notice has not been properly served, whilst simultaneously mentioning that you have addressed the concerns raised. Include concrete evidence of your actions such as photographs of your improvements or confirmation that training has been booked.

Tip 3. If you’re unsuccessful in having the notice withdrawn and you find that you can’t comply within the timescale, write to the inspector giving good reasons why you need a time extension.

For a link to the HSE’s guidance on notices, visit http://healthandsafety.indicator.co.uk/download (HS 14.15.03).