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Links to wider better regulation initiatives

In addition to the work on reducing administrative burdens, HSE is also committed to the wider better regulation agenda, for example, implementing the recommendations of the Hampton report. Working to the Hampton agenda impacts positively on HSE’s relationship with those it regulates ¹and helps HSE to achieve its regulatory outcomes in a way that minimises burdens on businesses.

Hampton Implementation Review (HIR)

In 2007, HSE was reviewed on its implementation of the recommendations in the Hampton report. HSE’s Hampton Implementation Review (HIR) was carried out by officials from BRE, the National Audit Office, the Office of Fair Trading and LG Regulation (formerly LACORS). HSE’s HIR report, published in March 2008, commented positively on many aspects of HSE’s performance as a regulator, recognising that HSE is transparent and accountable and that it aims to minimise the burden of regulation on business whilst maintaining health and safety standards.

The report also identified a few key issues for HSE to address, including:

• improving the use of intelligence;
• improving the focus on businesses less likely to comply with health and safety regulations;
• understanding and improving the ‘reach’ and influence of advice and guidance; and
• improving guidance to fully address the needs of the audience.

HSE’s current approach to improving the influence of advice and guidance is set out in the new HSE Strategy, and is integral to the SME strategy goal to adapt and customise approaches to help the increasing numbers of SMEs in different sectors comply with their health and safety obligations.

Ongoing Hampton initiatives

In addition to addressing the key issues for improvement, HSE has continued to work on initiatives that support the recommendations of the Hampton report. HSE’s work in these areas is outlined below.

Design of regulations

HSE has continued to use a range of internal and external tools to embed better regulation principles when developing policies and legislation. These include:

• HSE’s Challenge Panel, made up of senior HSE managers responsible for policy delivery and a member of the HSE Executive Board to represent the interest of small firms. The Challenge Panel examines policy proposals, considers the best approach, i.e. regulatory or non-regulatory, to an intervention, and comments on Impact Assessments.
• Engaging with HSE’s Small Business Trade Association Forum (SBTAF) on the development of new policies and tools. The SBTAF now has members from 51 trade associations, and provides a small business perspective on HSE’s interventions; and
• Running internal “Better Policy Making” seminars to guide officials to consider the impact of their proposals at an early stage, and to embed central government Impact Assessment guidance throughout the organisation.

Advice and guidance

HSE’s HIR noted that HSE puts a lot of emphasis on providing advice and guidance through a variety of methods. HSE remains committed to the Government’s “Think Small First” policy, which aims to ensure that all guidance is written with small businesses in mind.

Inspections

Alongside local authorities, HSE is responsible for enforcing health and safety legislation in Great Britain. HSE continues to work to the regulatory principles set out in its Enforcement Policy Statement (EPS), which states that enforcement decisions must be targeted, transparent, proportionate, consistent and accountable, and the Regulators’ Compliance Code. The Code applies when regulators determine their general policies or principles about how they exercise their regulatory functions, and when they set standards or give general guidance. HSE was already following best practice principles which were subsequently mirrored in the Code.

HSE has published a statement on its website outlining how it complies with the Code. See http://www.hse.gov.uk/regulation/compliancecode/index.htm

HSE has continued to develop its joint working with other regulators, especially local authorities, as part of its commitment to being a modern regulator. Working with other regulators can be highly beneficial for businesses, through saving time from duplication of efforts for inspections and experiencing a consistent, joined-up approach. Recent examples include:

• Workwell Dorset – a project in which all LAs in Dorset are working with Field Operations Directorate (FOD) to develop a joint model for the delivery of health and safety regulation across the whole county throughout 2009/10 and beyond. The model includes joint approaches to accident investigation and separate strategies for interventions with both large and small businesses; and
• Estates Excellence - in response to the challenges set by HSE's new strategy our Field Operations Directorate ran a stakeholder conference in February 2009 to engage large stakeholders from across the South East.  Arising from that conference was the idea of a project, 'Estates Excellence'. based on the simple idea of visiting all premises on an industrial estate in a specific area and providing a range of support and guidance delivered by a team of partners working together to offer a service. All companies on the estate will receive a “benchmarking” visit that will identify where they are in relation to recognised standards of health, and safety, and a range of other business critical issues like security, and fire. This will be followed by the provision of risk based knowledge, guidance and support and the development of a health and safety network on site. The pilot starts in November 2009 in Medway, where a week of visits will be carried out by LA Environmental Health Officers and Technical Officers, HSE’s Inspectors and Health and Safety Awareness Officers, and partners such as County Councils H&S Advisors and Fire Authority Officers. Then from April 2010 five other local authorities will be involved in the trial.  An evaluation will then consider further use of the approach.

Examples of joint initiatives with the Local Better Regulation Office (LBRO) and in partnership with local authorities include:

• Ensuring Local Regulatory Services are delivered effectively and consistently - LBRO are developing an Excellence Framework for local regulation. This aims to ensure that all regulatory services are subject to effective and consistent strategic direction and management. HSE has worked with LBRO to ensure that our Section 18 Standard supports this framework and ensures effective and consistent operational delivery of health and safety regulation. HSE will continue to work with LBRO to fine tune these systems in the light of experience.
• Competence of inspectors to ensure inspectors (HSE and LA) are competent to deliver consistent regulation targeted at risk. HSE has developed, as part of its Section 18 standard, a competence framework and tool to allow inspectors and managers to identify their development needs. HSE is working with LBRO to apply the principles of the tool to all areas of regulation covered by LBRO's Excellence Framework. This will contribute to more consistent and competent approaches to all areas of regulation.
• Converting Local Authority Partnership Schemes (LAPS) to Primary Authority (PA) arrangements - to assist the coordinated and consistent regulation of businesses that operate across a number of local authority areas HSE supported a series of LAPS in which one LA took the lead in coordinating approaches to the partnership business on health and safety issues. In April 2009, LBRO introduced PA arrangements; these are based on many of the LAPS principles, but can be applied to any of the fields of LBRO regulation. They have a statutory footing under the Regulatory Enforcement and Sanctions Act. To assist consistency and eliminate potential confusion for duty holders HSE and LBRO are working together to approach all LAPS partners inviting them to convert their LAPS to a PA arrangement.

Data requests

HSE is committed to reducing and simplifying the data it requires from business. This includes work such as HSE’s forms project, which has already removed 54% of forms with work being taken forward to remove a further 9 forms.

HSE’s Business On-line project also aims to make HSE’s external forms electronic and interactive, savings businesses time in completing and submitting these forms.

Sanctions

HSE’s HIR report noted that HSE has developed tools and policies that encourage a consistent approach to enforcement, as outlined above on the Enforcement Policy Statement. The report noted, however, that in terms of an effective sanctioning regime for health and safety, levels of fines for offences are low.

However, the Health and Safety (Offences) Act 2008², which came into force on 16 January 2009, should lead to an increase in levels of fines in the courts. The new Act raises the maximum penalties for health and safety offences in the lower courts and broadens the range of offences for which an individual can be imprisoned in both the lower and higher courts. This should lead to a more effective sanctioning regime for health and safety, with tougher, more commensurate punishment of health and safety offences; more effective deterrents against regulatory non-compliance; and greater efficiency in the dispensation of justice contributing to the wider Government criminal justice agenda.

The Macrory review³ examined ways to improve compliance among businesses. HSE and local authorities are continuing to explore the potential for using alternative penalties to deal with health and safety offences. Businesses who are already complying with health and safety regulation continue to be concerned about those ‘rogue’ businesses that appear to avoid proportionate sanctions from regulators.

Working with others, including other government departments

As well as working to the Hampton agenda, HSE is also working with other government departments to simplify requirements and produce a joined-up approach. Work in this area is outlined below:

• HSE is working with the Department for Communities and Local Government (CLG) on identifying opportunities to minimise any detrimental impact of risk assessment on SMEs in relation to health and safety issues, including fire. HSE and CLG have worked together to investigate the scope of further supporting SMEs in complying with the relevant legislation and to streamline and, wherever possible, integrate the risk assessment process;
• HSE is also working with CLG on a long term aim of examining possibilities for better integration between the Construction (Design and Management) (CDM) regime and the Planning and Building Control regime. The intention is to reduce burdens on businesses, in particular SMEs or one-off / occasional construction clients, through a joined-up approach. This has included establishing links between the Building Control pages on the Portal and the HSE website;
• HSE is also supporting and encouraging work in developing a standard process for assessing health and safety competence in the construction industry. The Safety Schemes in Procurement – Competence Forum (SSIP-C Forum), formed of a group of businesses involved in third party accreditation and supported by HSE, has established a "Forum Management Group".

This Group is progressing work on establishing the “Safety in Procurement Ltd” company, to provide the means for formally managing the aim of the Forum to "facilitate mutual recognition between health and safety prequalification schemes wherever it is practicable to do so". A staged launch took place in April 2009. The overall aim is to simplify the pre-qualification process for SMEs through reducing paperwork and duplication of efforts.

Risk assessment and older workers

HSE is working with DWP Extending Working Life Division and a number of stakeholders to produce good practice guidance on risk assessment and ageing. The objective is to help employers and employees understand what simple reasonable adjustments can be made to enable older workers to continue working, thereby improving health and safety standards at work. Following publication of the guidance in early 2010, the guidance will be jointly promoted by HSE and DWP at a number of events in addition to via the internet. A variety of formats will be published including hard copy guidance, desk cards and web pages. HSE will monitor to establish if businesses are aware of the guidance and have taken reasonable steps to implement reasonable adjustments.

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