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Enforcement decision
Introduction

This procedure describes how HSE ensures all enforcement decisions arising from inspections & investigations are taken in accordance with HSC’s Enforcement Policy Statement.

Purpose

The purpose of this procedure is to specify the role of HSE's Enforcement Policy Statement (EPS) [PDF 89KB] in the making of enforcement decisions by HSE arising, in particular, from inspection & incident or complaint investigation.

The EPS sets out the principles to be applied when determining what enforcement action to take in response to breaches of health & safety legislation. Fundamental is the principle that enforcement should be proportional to health & safety risk and the seriousness of the breach. For further internal guidance on the EPS, please see:

Scope

The procedure applies to FOD, HID and ND

Policy

HSE will always apply the principles of the Enforcement Policy Statement when considering taking enforcement action and will do so through the appropriate application of HSE’s Enforcement Management Model (EMM).

HSE will apply the principles of the EMM to all relevant enforcement decision-making & will always apply the EMM formally in certain specified circumstances.

Formal application of the EMM means that a record is kept of the step-by-step process of applying the model.

Definition

In this procedure, enforcement means all dealings with dutyholders that result in the serving of notices; the withdrawing of approvals; the varying of licences, conditions or exemptions; the issuing of formal cautions; or prosecution; and the providing of information or advice, face to face or in writing.

Roles & responsibilities

Staff making enforcement decisions:

must be familiar with the Enforcement Policy Statement & the detailed application of the EMM within the context of all relevant supporting documents;

must apply the principles of the EMM whenever they make an enforcement decision for which they have the authority & formally record the outcome when required.

Line managers:

Procedure overview

An overview of the procedure is provided in the attached flowchart [26kb]

Monitoring

Line managers should ensure compliance with this procedure when reviewing the progress of investigations, prior to the approval of all prosecutions and, where appropriate, any other enforcement decisions within the scope of this procedure.

Updated 2012-09-19