This document sets out the enforcement policy to be applied by
Bath & North East Somerset Council when enforcing the
provisions of the Health and Safety at Work etc. Act 1974. It
complements the Councils’ Environmental and Consumer Services
Enforcement and Prosecution Policy and must be read in conjunction
with that policy (attached).
The Health and Safety Enforcement Policy is formulated in
accordance with the Enforcement Concordat produced by the
Governments Better Regulation Task Force and published in April
1999.
This policy takes account of specific guidance issued under
section 18 of the Health and Safety at Work etc. Act 1974.
When considering prosecutions or using other enforcement powers
Council Enforcement Officers must refer to the guidance in the
Health and Safety Commission's Statement on Enforcement
Policy as well as the other supplementary guidance on enforcement
procedures issued by the Health and Safety Executive / Local
Authorities Enforcement Liaison Committee.
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It is the policy of Bath & North East Somerset Council to
protect the health safety and welfare of people at work and to
safeguard members of the public, who may be exposed to risks when
visiting workplaces or from the way work is carried out. This
will be achieved by:
i. Inspection of service industry workplaces under the
Health and Safety at Work etc. Act 1974, including reference to
regulations and associated guidance
ii. The investigation of accidents to both workers
and members of the public in accordance with adopted, clearly
stated criteria to ensure the appropriate focus
iii. The investigation of dangerous occurrences and
cases of occupational ill health
iv. The investigation of complaints from employers,
employees and members of the public
v. The appropriate use of enforcement powers in
accordance with the enforcement policy, to secure compliance with
the law and to ensure that those who have duties under it are held
to account
The above aims and objectives are complemented by:
i. The provision of advice to businesses, to help the
promotion of good health and safety practice generally or in
specific work areas by means of special initiatives
ii. To secure better working environments rather that
just compliance with the law
iii. Liaison with other Local Authorities and other
agencies such as the Health and Safety Executive, Fire Brigade and
Police.
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Enforcement will be firm but fair. This must have regard
to the principles of proportionality in applying the law and
securing compliance, consistency of approach, targeting of
enforcement action and transparency about how we operate. These
principles will be applied to both individual cases and the
management of the enforcement function generally.
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Council Enforcement Officers will ensure that enforcement action
taken to achieve compliance is proportionate to any risk to health
and safety and the seriousness of the breach. In making this
judgement Council Enforcement Officers will take into account the
cost as well as the degree of risk.
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The resources of Bath & North East Somerset Council will be
targeted primarily on those whose activities give rise to the most
serious risks or where the hazards are least well controlled.
Regard will be had to the Health and Safety Commission's Strategic
Plan as reflected in the Health and Safety Executive / Local
Authorities Enforcement Liaison Committee Strategy for the
selection of premises to be included in an inspection programme and
the selection of accidents for investigation.
Any enforcement action will be directed against the duty holder
responsible for any breach. This may be the owner of the
premises, supplier of the equipment, the employer or the
employee.
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Consistency of approach does not mean uniformity. It means
there will be a similar approach to enforcement action in similar
circumstances to achieve similar ends. Council Enforcement Officers
will act in a fair and professional manner and must exercise
discretion. Procedure notes, team briefings/meetings, liasing
with other local authorities/Health and Safety Executive, peer
review, and inter-authority auditing are acknowledged as
appropriate means of providing consistency in the exercise of
discretion.
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Transparency will help businesses to understand what is expected
of them and what they can expect from Bath & North East
Somerset Council. It also means that Council Enforcement
Officers will make clear to businesses what they have to do to
comply with the law and what is desirable but not compulsory.
Opportunity will be provided to discuss what is required to comply
with the law before formal enforcement action is taken, unless
urgent action is required.
Information and rights of appeal against formal action will be
given in writing, where appropriate, at the time the action is
taken.
Bath & North East Somerset Council is committed to working
with businesses and helping them to achieve compliance with the
law. A health and safety handbook has been produced, and is
available to every business visited, free of charge. In
addition all Council Enforcement Officers will issue the Health and
Safety Commission's leaflet What to expect when an inspector calls
to those who they visit.
Depending on circumstances Council Enforcement Officers may use
a variety of means to ensure that employers meet their
responsibilities including education, advice, guidance, warning
letters, improvement and prohibition notices and prosecution.
Before taking formal enforcement action Council Enforcement
Officers will take into account the employers general attitude to
health and safety. In the case of a getting a normally well
conducted business to take action on one or two isolated matters
advice should suffice.
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Bath & North East Somerset Council is accountable to the
public for its actions. This means in practice that the above
principles have been adopted against which the Councils Health and
Safety Service may be judged and there is an effective and easily
accessible mechanism for dealing with complaints about enforcement
practice.
Complainants are in the first instance directed to the relevant
Council Enforcement Officers line manager. If the matter
cannot be satisfactorily resolved the complainant is directed to
this authorities formal complaints procedure. The complainant
is informed that they can also approach the HSE's Local Authority
Unit.
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The HSC's Strategic Plan recognises that it is neither possible
nor necessary for the purposes of the Act to investigate all issues
of non-compliance with the law which are discovered in the course
of preventive inspection or in the investigation of reported
events. Incidents are investigated to highlight appropriate
practice, to prevent recurrence and to put gross breaches of legal
duty before the courts.
Cases will be selected for investigation in accordance with the
criteria for investigation of accidents, ill health and dangerous
occurrences adopted by Environmental and Consumer Services. A
copy of this policy will be provided on request to the Head of
Environmental and Consumer Services.
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Council Enforcement Officers will use discretion in deciding
whether to initiate a prosecution. They will consider whether
circumstances warrant an approach other than formal action which
may promote health and safety more effectively.
Prosecution will be considered where one or more of the
following circumstances apply:
- death was result of the breach of legislation
- the gravity of an alleged offence, taken with the seriousness
of any actual or potential harm or the general record of the
offender warrants it
- there has been a reckless disregard of health and safety
requirements
- there have been repeated breaches which give rise to
significant risk, or persistent and significant poor
compliance
- work has been carried out without or in serious non-compliance
with an appropriate licence
- a duty holder’s standard of managing health and safety is found
to be far below what is required by health and safety law and to be
giving rise to significant risk
- when there are flagrant breaches of health and safety
legislation, and/or previous warnings have been given
- there has been a failure to comply with an improvement or
prohibition notice
- false information has been supplied wilfully, or there has been
an intent to deceive, in relation to a matter which gives rise to a
significant risk
- Council Enforcement Officers have been intentionally obstructed
in the lawful course of their duties.
The decision to prosecute will also take into account the Code
for Crown Prosecutors, which sets out the evidential and public
interest tests. The Service will always seek to recover the
costs of investigation and court proceedings.
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Where there has been a breach of the law leading to a work
related death, officers will consider whether the
circumstances of the case might justify a charge of Manslaughter. A
protocol exists for liasing with Avon & Somerset Constabulary
and HM Coroner for Avon if evidence is found suggesting
Manslaughter.
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HELA's Lead Authority Partnership Scheme promotes consistency of
local authority health and safety enforcement among organisations
with multiple premises in different areas. Each new Lead
Authority uses its professional judgement to decide the steps
necessary to familiarise themselves adequately with its
partner organisation. Thereafter the Lead Authority acts as a focal
point for liaison on health and safety issues affecting the partner
organisation.
Council Enforcement Officers will contact and, if necessary
liase, with the relevant Lead Authority under the following
circumstances:
- before taking formal enforcement action, i.e. issuing
Improvement Notices or considering a prosecution against a
participating organisation, except in the case of immediate
danger,
- after serving a Prohibition Notice as soon as possible,
- when shortcomings are identified having significance at a
national level,
- following any site investigation of any death, major injury,
case of work related ill health or dangerous occurrence reportable
under the Reporting of Injuries, Diseases and Dangerous Occurrences
Regulations1995.
