This website uses non-intrusive cookies to improve your user experience. You can visit our cookie privacy page for more information.

Data tables


Table 1 - Prosecution cases following HSE Field Operation Directorate investigation, Great Britain, 1997/98-2003/04p

  Number of cases (a) Number of duty holders convicted Total penalties (£) Average penalty per duty holder convicted (£)
1997/98 876 800 4,904,350 6,130 (b)
1998/99 981 901 6,126,102 6,799 (c)
1999/00 1,042 908 7,529,402 8,292 (d)
2000/01 968 883 7,697,682 8,718 (e)
2001/02 986 899 10,015,346 11,141 (f)
2002/03 860 801 7,085,922 8846  (g)
2003/04p 911 818 11,408,437 13,947 (h)

p = provisional

Notes:

(a)  This figure may include certain employers or other duty-holders who have been prosecuted on more than one occasion.  Each prosecution may concern more than one offence.

(b) Includes one fine of £300,000; two fines of £150,000 and two fines of £100,000.  If these convictions are excluded the average for 1997/98 was £5,163.

(c) Includes one fine of £1,200,000; one fine of £500,000 and one fine of £100,000.  If these convictions are excluded the average for 1998/99 was £4,817.

(d) Includes one fine of £249,999; two fines of £200,000; one fine of £175,000; two fines of £110,000; and two fines of £100,000.  If these convictions are excluded the average for 1999/2000 was £6,983.

(e) Includes one fine of £400,000; one fine of £350,000; two fines of £125,000 and two fines of £100,000.  If these convictions are excluded the average for 2000/01 was £7,409.

(f) Includes two fines of £350,000; one fine of £340,000; one fine of £300,000; one fine of £250,000; five fines of £200,000 and two fines of £100,000. If these convictions are excluded the average fine for 2001/02 was £8,146.

(g) Includes one fine of £200,000; one fine of  £150,000; one fine of £125,000 and two fines of £100,000.  If these convictions are excluded the average for 2002/03 was £8,054.

(h) Includes one fine of £700,000; one fine of £300,000; two fines of £250,000; one fine of £220,000; two fines of £200,000; one fine of £175,000; eight fines of £150,000 and four fines of £100,000.  If these convictions are excluded the average for 2003/04p was £9,415.

[back to top]


Table 2 - Offences prosecuted following investigation by HSE, convictions and average penalties per conviction, Great Britain, 1990/91 - 2003/04p

Prosecutions Total offences prosecuted (a) Of which, offences leading to conviction Average penalty per conviction (b) £
1990/91 2,312 1,991 903  (c)
1991/92 2,424 2,126 1,181 (d)
1992/93 2,157 1,865 1,390
1993/94 1,793 1,507 3,103 (e)
1994/95 1,803 1,499 2,873 (f)
1995/96 1,767 1,451 2,572
1996/97 1,490 1,195 5,274 (g)
1997/98 1,627 1,284 4,694 (h)
1998/99 1,759 1,512 4,861 (i)
1999/00 2,115 1,616 6,820 (j)
2000/01 1,973 1,490 6,226 (k)
2001/02 1,986 1,522 8,234 (l)
2002/03 1659 1273 6,251 (m)
2003/04p 1756 1305 9,858 (n)

p = provisional

Notes:

(a) Each offence prosecuted represents one information laid or, in Scotland, charge preferred.

(b) Figures for average penalty are actuals.

(c) Includes two separate fines of £250,000 and £100,000 (reduced from £250,000 on appeal in November 1990).  If these convictions are excluded the average fine for 1990/91 was £728.

(d) Includes three separate fines of £250,000 and £100,000 against individual corporations.  If these convictions are excluded the average fine for 1991/92 was £970.

(e) Includes three individual fines of £250,000 and single fines of £150,000 and £100,000.  The average fine for 1993/94 without these convictions was £2447.

(f) Includes two individual fines of £200,000 and £100,000.  If these convictions are excluded the average fine for 1994/95 was £2677.

(g) Includes four separate fines of £750,000, £500,000, £250,000 and £125,000, fines totaling £400,000 against one company and six individual fines of £100,000.  If these convictions are excluded the average fine for 1996/97 was £3113.

(h) Includes one fine of  £175,000, four separate fines for £150,000 and four of  £100,000. If these convictions are excluded the average fine for 1997/98 was £3805

(i) Includes one fine of £1,200,000, two for £500,000 and two of £100,000.  If these convictions are excluded the average fine for 1998/99 was £3349.

(j) Includes one fine of £1,500,000, two fines of £300,000, one fine of £250,000, two fines of £200,000, one fine of £175,000, two fines of £110,000, two fines of £100,000. If these convictions are excluded the average fine for 1999/00 was £4651.

(k) This includes one fine of £400,000, one fine of £300,000, three fines of £200,000, one fine of £175,000, one fine of £150,000, two fines of £125,000 and two fines of £100,000. If these convictions are excluded the average fine for 2000/01 was £4869.

(l) Includes one fine of £750,000; one fine of £350,000; one fine of £250,000; one fine of £225,000; six fines of £200,000; one fine of £175,000; three fines of £150,000; two fines of £140,000; two fines of £125,000; four fines of £100,000.  If these convictions are excluded the average for 2001/02 would be £5,468.

(m) Includes one fine of £200,000; two fines of £150,000; 1 fine of £125,000; and three fines of £100,000.  If these convictions are excluded the average for 2002/03 would be £5,555.                                                                    

(n) Includes one fine of £700,000; one fine of £300,000; two fines of £250,000; one fine of £220,000; three fines of £200,000; one fine of £175,000; ten fines of £150,000 and five fines of £100,000.  If these convictions are excluded the average for 2003/04p would be £6,534.

[back to top]


Table 3 - Number of enforcement notices issued by type, Great Britain, 1990/91 – 2003/04p

Notices issued by type Improvement Deferred Prohibition Immediate Prohibition Total Notices
1990/91 8,489 227 4,022 12,738
1991/92 8,395 222 3,802 12,419
1992/93 7,462 201 4,251 11,914
1993/94 6,484 144 3,961 10,589
1994/95 6,512 124 4,172 10,808
1995/96 5,219 82 3,385 8,686
1996/97 3,770 165 3,509 7,444
1997/98 4,411 181 4,319 8,911
1998/99 6,353 199 4,348 10,900
1999/00 6,972 196 4,172 11,340
2000/01 6,671 147 4,238 11,056
2001/02 6,712 116 4,254 11,082
2002/03 8,140 113 5,071 13,324
2003/04p 6,776 81 4,438 11,295

p - provisional

The types of enforcement action referred to in the tables are defined below:

Improvement notices require employers to take remedial action on specific breaches of the law, within a specified time limit;

Prohibition notices are issued in cases where the inspector believes that a work activity involves or will involve a risk of serious personal injury.  Prohibition notices can take two forms:

[back to top]


Table 4 - HSE enforcement action against Crown Bodies: Crown notices and censures, 1998/99 - 2003/03p

  Improvement Notices Prohibition Notices Total Notices Censures
1998/99 13 1 14 4
1999/00 21 5 26 3
2000/01 11 0 11 2
2002/03 14 2 16 2
2003/04p 14 2 16 1

p = provisional

Crown bodies are bound by the requirements of health and safety legislation, but are not subject to statutory enforcement notices or prosecution (Crown immunity). Non-statutory procedures are in place for the issue of Crown improvement and prohibition notices, and for the censure of Crown bodies in circumstances in which a prosecution would otherwise have been brought.

Crown improvement notices and Crown prohibition notices require the same action from Crown employers as do improvement and prohibition notices issued to other employers.

A Crown censure is the formal recording of a decision by HSE that, but for Crown immunity, the evidence of a Crown body’s failure to comply with health and safety law would have been sufficient to provide a realistic prospect of conviction in the courts, and prosecution would have been in the public interest. This is in line with the HSC Enforcement Policy Statement and the Code for Crown Prosecutors.

[back to top]


Table 5 - Prosecutions brought by HSE, England, 1996/7 – 2003/04p

  Cases prosecuted (a) Number of duty-holders convicted
(b)
Total offences prosecuted Of which, offences leading to conviction Average penalty per conviction
£
1996/97 - - 1,230   997 5,211
1997/98 - - 1,319 1,044 4,362
1998/99 844 - 1,440 1,256 5,158
1999/00 873 - 1,683 1,267 5,380
2000/01 825 - 1,632 1,239 6,526
2001/02 819 754 1,505 1,207 7,756
2002/03 721 689 1,302 1,062 5,779
2003/04p 818 741 1,391 1,124 9,599

p = provisional

Notes:

(a) Figures for cases prosecuted for years 1996/7 and 1997/8 are not available.

(b) Figures for the number of duty holders convicted before 2001/02 are not available.

Offshore prosecutions are included in Table 2. They also appear in Tables 5 and 7, depending on where the prosecution was conducted. If the offence occurs in Scottish waters (as defined), the case goes to a Scottish court, and if in English waters, to an English court.

[back to top]


Table 6 - Prosecutions brought by HSE– Wales, 1996/7 – 2003/04p

  Cases prosecuted (a) Number of duty-holders convicted (b) Total offences prosecuted Of which, offences leading to conviction Average penalty per conviction(£)
1996/97 - - 86 76 8,011
1997/98 - - 149 134 4,591
1998/99 97 - 170 153 3,559
1999/00 134 - 215 195 7,747
2000/01 94 - 160 140 4,135
2001/02 98 90 219 162 8,147
2002/03 72 68 124 99 11,898
2003/04p 41 38 77 62 12,518

p = provisional

Notes:

(a) Figures for cases prosecuted for years 1996/97 and 1997/8 are not available.

(b) Figures for the number of duty-holders convicted before 2001/02 are not available.

[back to top]


Table 7 - Prosecutions brought by The Procurator Fiscal service following invesitgation by HSE, Scotland, 1996/7 – 2003/04p

  Complaints prosecuted (a) Number of duty-holders convicted (b) Total offences prosecuted Of which, offences leading to conviction(c) Average penalty per conviction£
1996/97 - - 174 122 4,083
1997/98 - - 159 106 8,096
1998/99 105 - 149 103 3,183
1999/00 118 - 217 154 4,262
2000/01 106 - 181 111 5,510
2001/02 142 114 262 153 12,098
2002/03 115 90 233 112 5,740
2003/04p 123 96 288 119 10,918

p = provisional

Notes:

(a) Figures for complaints prosecuted for years 1996/7 and 1997/8 are not available.

(b) Figures for the number of duty-holders convicted before 2001/02 are not available.

(c) In Scotland not all charges in court are pursued by the Procurator Fiscal, some may “not be taken” or may be “plea bargained”.

Offshore prosecutions are included in the Table 2. They also appear in Tables 5 and 7, depending on where the prosecution was conducted. If the offence occurs in Scottish waters (as defined), the case goes to a Scottish court, and if in English waters, to an English court.

[back to top]


Table 8 - Offences prosecuted following HSE investigation by result and by industrial sector 1996/97 – 2003/04p

p = provisional

Standard Industrial Classification (SIC92) Year Agriculture, hunting, forestry & fishing Extractive & utility supply industries Manufacturing industries Construction Service industries All industries
Offences prosecuted 96/97 103 48 563 508 268 1,490
97/98 80 32 518 719 278 1,627
98/99 117 49 601 681 311 1,759
99/00 141 97 714 782(a) 381 2,115
00/01 176 38 690 696 373 1,973
01/02 162 55 740 606 423 1,986
02/03 82 50 619 597 311 1,659
  03/04p 98 58 586 635 379 1,756
Convictions 96/97 87 37 477 385 209 1,195
97/98 69 26 438 544 207 1,284
98/99 102 34 551 565 260 1,512
99/00 107 65 606 542 296 1,616
00/01 71 23 572 530 294 1,490
01/02 115 36 615 442 314 1,522
02/03 68 28 522 434 221 1,273
  03/04p 79 35 498 415 278 1,305
Average penalty per conviction (£) 96/97 1,101 1,780 7,372(b) 3,934(c) 5,305(d) 5,274(e)
97/98 1,316 19,192(f) 5,760(g) 3,123 5,872(h) 4,694(i)
98/99 1,391 8,916 4,077(j) 5,516(k) 5,932(i) 4,861(m)
99/00 3,751 10,644(n) 7,373(o) 4,296(p) 10,579(q) 6,820(r)
00/01 2,090 14,589 6,158(s) 4,692(t) 9,468(u) 6,226(v)
01/02 1,997 26,444(w) 8,611(x) 7,450(y) 8,795(z) 8,234(aa)
02/03 2,606 13,721 5,020(ab) 5,745 10,330(ac) 6,251(ad)
  03/04p 2,899 32,851(ae) 8,634 (af) 9,601 (ag) 11,516(ah) 9,858(ai)

Notes:

(a) Includes 77 informations adjourned sine die (ie indefinitely) during prosecutions following a single incident involving multiple breaches of asbestos regulations.

(b) Includes one fine of £750,000, one fine of £500,000, one fine of £250,00 and five fines of £100,000.  The average fine without these convictions would be £3234.

(c) Includes one fine of £125,000 and one fine of £100,000.  The average fine without these convictions would be £3367.

(d) Includes four fines of £100,000.  The average fine without these convictions would be £3457.

(e) Includes one fine of £750,000, one fine of £500,000, one fine of £250,00, one fine of £200,000, one fine of £125,000 and eight fines of £100,000. The average fine without these convictions would be £3113.

(f) Includes one fine of £175,000 and two fines of £100,000.  The average fine without these convictions would be £5391.

(g) Includes two fines of £150,000 and one fine of £100,000.  The average fine without these convictions would be £4880.

(h) Includes two fines of £150,000 and one fine of £100,000.  The average fine without these convictions would be £3610.

(i) Includes one fine of £170,000, three fines of £150,000 and four fines of £100,000. The average fine without these convictions would be £3805.

(j) Includes one fine of £100,000.  The average fine without this conviction would be £3903.

(k) Includes one fine of £1,200,000 and two fines of £500,000.  The average fine without these convictions would be £2516.

(l) Includes two fines of £500,000. The average fine without these convictions would be £4024.

(m) Includes one fine of £1,200,000, two fines of £500,000 and one fine of £100,000.  The average fine without these convictions would be £3349.

(n) Includes one fine of £300,000.  The average fine without this conviction would be £6123.

(o) Includes one fine of £300,000, one fine of £249,999, one fine of £200,000, one fine of £175,000, one fine of £110,000 and one fine of £100,000.  The average fine without these convictions would be £5555.

(p) Includes one fine of £200,000, one fine of £110,000 and one fine of £100,000.  The average fine without these convictions would be £3556.

(q) Includes one fine of £1,500,000, and one fine of £250,000.  The average fine without these convictions would be £4698.

(r) Includes one fine of £1,500,000, two fines of £300,000, one fine of £250,000, one fine of £249,999, two fines of £200,000, one fine of £175,000, two fines of £110,000 and two fines of £100,000. The average fine without these convictions would be £4630.

(s) This includes two fines of £200,000 one fine of £150,000 and two fines of £125,000.  The total fine without these convictions would be £5145.

(t) This includes a fine of £100,000.  The average fine without these convictions would be £4511.

(u) Includes a fine of £400,000, one fine of £300,000 two fines of £200,000, one fine of £175,000 and one fine of £100,000.   The average fine without these convictions would be £4891.

(v) This includes one fine of £400,000, one fine of £300,000, three fines of £200,000, one fine of £175,000, one fine of £150,000, two fines of £125,000 and two fines of £100,000. The average fine without these convictions would be £4869.

(w) This includes one fine of £250,000; one fine of £140,000.  The average fine without these convictions would be £16,529.

(x) This includes one fine of £750,000;  two fines of £200,000; two fines of £150,000; two fines of £125,000; three fines of £100,000.  The average fine without these convictions would be £5,448.

(y) This includes one fine of £350,000; two fines of £200,000; one fine of £175,000; one fine of £100,000.  The average fine without these convictions would be £5,190.

(z) This includes one fine of £225,000; two fines of £200,000; one fine of £150,000; one fine of £140,000.  The average fine without these convictions would be £5,976.

(aa) This includes one fine of £750,000; one fine of £350,000; one fine of £250,000; one fine of £225,000; six fines of £200,000; one fine of £175,000; three fines of £150,000; two fines of £140,000; two fines of £125,000; four fines of £100,000.  The average fine without these convictions would be £5,468.

(ab) This includes one fine of £125,000.  The average fine without these convictions would be £4,789.

(ac) This includes one fine of £200,000; two fines of £150,000 and three fines of £100,000.  The average fine without these convictions would be £6,897.

(ad) This includes one fine of £200,000; two fines of £150,000; one fine of £125,000; three fines of £100,000.  The average fine without these convictions would be £5,555.

(ae) This includes four fines of £150,000 and one fine of £100,000.  Average fine without these convictions would be £14,993.

(af) This includes one fine of £300,000; one fine of £250,000; one fine of £220,000; one fine of £200,000; one fine of £150,000 and three fines of £100,000.  Average fine without these convictions would be £5,877.

(ag) This includes one fine of £700,000; one fine of £175,000 and four fines of £150,000.  Average fine without these convictions would be £6,136.

(ah) This includes one fine of £250,000; two fines of £200,000; one fine of £150,000 and one fine of £100,000.  Average fine without these convictions would be £8,430.

(ai) This includes one fine of £700,000; one fine of £300,000; two fines of £250,000; one fine of £220,000; three fines of £200,000; one fine of £175,000; ten fines of £150,000 and five fines of £100,000.  Average fine without these convictions would be £6,534.

[back to top]


Table 9 - Enforcement notices issued by HSE by industrial sector and type of notice 1996/97 – 2003/04p

Standard Industrial classification (SIC92) Type of Notice Year Agriculture, hunting, forestry & fishing Extractive & utility supply industries Manufacturing industries Construction Service industries All industries
Improvement 96/97 (a) 600 41 2,111 179 839 3,770
97/98 (b) 810 49 2,435 153 964 4,411
98/99 933 156 3,087 582 1,595 6,353
99/00 976 148 3,493 681 1,674 6,972
00/01 694 195 3,851 539 1,392 6,671
01/02 429 127 3,953 588 1,615 6,712
02/03 1,508 159 4,104 778 1,591 8,140
  03/04p 1,474 133 3,033 798 1,338 6,776
Deferred prohibition 96/97 19 3 55 50 38 165
97/98 35 0 61 47 38 181
98/99 33 0 67 55 44 199
99/00 21 5 30 112 28 196
00/01 21 1 46 55 24 147
01/02 16 1 49 28 22 116
02/03 23 1 35 32 22 113
  03/04 11 1 15 33 21 81
Immediate prohibition 96/97 419 139 861 1747 343 3509
97/98 974 120 1030 1828 367 4319
98/99 799 117 1055 2017 360 4348
99/00 644 85 1090 1975 378 4172
00/01 590 55 1203 2036 354 4238
01/02 254 89 1 308 2 191 412 4 254
02/03 583 56 1,211 2,772 449 5,071
  03/04p 541 59 854 2,647 337 4,438
Total notices 96/97 (a) 1 038 183 3 027 1 976 1 220 7444
97/98 (b) 1 819 169 3 526 2 028 1 369 8911
98/99 1 765 273 4 209 2 654 1 999 10 900
99/00 1 641 238 4 613 2 768 2 080 11 340
00/01 1 305 251 5 100 2 630 1 770 11 056
01/02 699 217 5 310 2 807 2 049 11 082
02/03 2,114 216 5,350 3,582 2,062 13,324
  03/04p 2,026 193 3,902 3,478 1,696 11,295

p = provisional

Notes:

(a) In the absence of the then Notice of Intent procedure 1996/97 enforcement notices numbers would have been about 540 higher. In 1996/97, approximately 540 Notices of Intent led to work being completed within two weeks. Therefore, Improvement Notices were not issued.

(b) In the absence of the then Notice of Intent procedure, 1997/98 enforcement notice numbers would have been about 630 higher. In 1997/98, approximately 630 Notices of Intent led to work being completed within two weeks. Therefore, Improvement Notices were not issued. The Notice of Intent procedure was withdrawn at the end of 1997/98.

[back to top]

Updated 2009-11-18