Health and Safety Executive/Local Authorities Enforcement Liaison Committee (HELA)

To: Health and Safety Enforcing Authorities.

For the attention of: Local Authority Health and Safety Enforcement Managers, Health and Safety Regulators and others

This circular gives advice to local authority enforcement officers

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Major incident response procedures

Introduction

1. This circular gives advice on recognising a major incident, communications between LAs and the Commission and Executive and HSE's Local Authority Unit (through which Ministers and the devolved administrations will be notified) and arrangements for accessing specialist support from HSE.

Background

2. HSE has agreed its policy and procedures for responding to major incidents. HSE's policy is to have an effective system for responding to major incidents which is proportionate to the circumstances and is cost effective. The underlying principles are that:

• an effective system is provided to enable employers, employees, the public or emergency services to contact HSE in the event of a major incident;
• the responsibility for the control or mitigation of the effects of the incident rests with the emergency services in association with persons in charge at the site of a major incident;
• an effective communication system is provided within HSE so as to provide an appropriate response and to begin investigation promptly;
• arrangements are made to ensure that major incidents are notified promptly to Ministers, including the Scottish and Welsh Executives if appropriate, the Commission and the Executive;
• arrangements are provided to inform and liaise with other government departments, devolved administrations, the police and other enforcing authorities as appropriate;
• HSE's divisions and directorates have written plans and procedures for responding to major incidents in accordance with this policy and these are tested and audited and reviewed periodically.

Implications for local authorities

3. LAs will have their own emergency procedures and arrangements for dealing with major incidents. There are two important areas where these plans and those of HSE should overlap. These are a necessity to keep the Health and Safety Commission, the Health and Safety Executive, Ministers and, if appropriate the Scottish or Welsh Executives informed, and arrangements for the provision of specialist support to LAs in a major incident situation.

Recognising a major incident

4. A major incident is a significant event which demands a response beyond the routine. Significance is determined by the severity of the incident, the degree of public concern and the nature and extent of previous involvement by the enforcing authorities.

5. Major incidents are likely to attract the attention of the media whether or not they result in a number of injuries, cases of ill health, deaths or damage to property. They may be the first story in the press or on television and subject to bulletins as details of the event emerge. The media may travel to the site and be pressing Government, including HSE, for information. MPs and others may be pressing for action. The significance of incidents can change leading to substantial public concern, perhaps best evidenced in public health issues such as legionella. Annex 1 gives further advice on recognising a major incident.

Communications with local authorities

6. HSE's policy is to have an effective system for responding to major incidents which is proportionate to the circumstances and is cost effective. It aims to have in place effective arrangements so that, in the event of a major incident:

• employers, employees, the public, and the emergency services can contact HSE to report such an incident;
• information on the incident and the initial action taken by the enforcing authorities is communicated promptly within HSE and to the Executive, Commission, Ministers and devolved administrations as appropriate.

7. LAs will have their own arrangements for ensuring that they can receive reports of incidents in LA enforced premises. In respect of some major incidents occurring in LA enforced premises, the initial notification may come to HSE. We would expect three normal points of entry into HSE: regional offices, the Local Authority Unit or, out of office hours, the duty officer system. Each of these points is aware that such a notification should be passed on promptly to the LA.

8. Communication to the Executive, the Commission, Ministers and devolved administrations is normally via LAU working directly with the LA or LAs involved or using the normal enforcement liaison officer network as an intermediary. Out of normal office hours, this route will still operate but will be activated by HSE's duty officer system. The duty officer will put the LA in touch with the Head of LAU or a deputy who will ensure that communications to and from HSE and LAs is effective.

9. LAs should notify LAU immediately of any major incident and make arrangements for communication and briefing throughout the course of the incident. LAU has a plan for responding in such circumstances. LAU's policy on dealing with major incidents is attached at Annex 2.

Contacting HSE

10. The contact numbers for each HSE office are listed in Annex 3 to this report. Office hours are normally 08:30 until 17:00 Monday to Friday.

11. Outside normal office hours, the contact numbers listed in Annex 3 are connected to an answering machine service. The recorded message(s) will advise that the HSE Duty Officer can be contacted on 0151 922 9235 (this is an out of hours number only and will not be answered during working hours). The number will automatically connect to the HSE Duty Officer who has a list of all the other on call officers in each of the HSE Divisions. If this number is unobtainable please ring the Press Office number on 0207 717 6700 or 0207 928 8382.

12. Callers should make it clear that a major incident in an LA enforced premises has occurred and that, as per these instructions, LAU should be informed. For ease of communication, LAs are invited to use the notification of a major incident form at Annex 4 so that the initial information collection is consistent. Attached to this circular is further advice on contacting HSE.

Enforcement Liaison Officer system

13. LAs' access to specialist HSE support is through their established links with the Enforcement Liaison Officer (ELO) in each region. This gateway remains appropriate during any emergencies or major incidents. In accordance with the general principles of HSE's agreed major incident response procedures, however, it is not expected that a requirement for specialist HSE support will be the primary consideration in a response to any major incident. The responsibility for the control or mitigation of the effects of the incident rests with the emergency services. In most circumstances, therefore, access to specialist support will be taken in the normal course of business.

14. When an emergency need does exist this should be routed as normal through the ELO or, out of hours, through the duty officer system.

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Annex 1

Major incident investigation criteria

Recognising a major incident

1. Major incidents are significant events which demand a response beyond the routine. They are likely to attract the attention of the media whether or not they result in a number of injuries, cases of ill health, deaths or damage to property. They may be the first story in the press or on television and subject to bulletins as details of the event emerge. The media may travel to the site and be pressing Government, including HSE, for information. MPs and others may be pressing for action.

2. Significance is generally determined by a combination of three factors:

• the severity of the incident, normally the number of actual injuries, cases of ill health, deaths or the extent of physical damage. The unrealised potential of the event will also be relevant;
• the degree of public concern. Public reaction is not necessarily linked to severity. It is often triggered by a media response which will be determined by other competing new items. It may also be triggered by the response of special interest groups. The degree of public concern is often linked to actual or perceived potential public injury or ill health;
• the nature and extent of the enforcing authorities' previous involvement with the duty holder(s).

3. The significance of incidents can change leading to substantial public concern, perhaps best evidenced in public health issues such as legionnella. Early recognition of such change by investigating officers could lead to the incident being redesignated as a major incident placing the enforcing authorities in a better position to manage the situation.

4. Examples of significant events which may trigger a major incident investigation are set out at the end of this annex.

Categories of major incident investigation

5. The response to a major incident needs to be appropriate. HSE uses the following types of major incident investigation classification. Much of this could be adopted by LAs as a working guide.

A level 1 major incident investigation

6. This is an investigation conducted by HSE with the aim of:

• examining the compliance of the duty holder(s) involved and preparing a report;
• examining HSE's prior role in dealing with the duty holders and preparing a report.

A level 2 major incident investigation

7. This is an investigation conducted with an input from an inspector independent of the Inspectorate within HSE normally involved or a person from outside HSE. The investigation is under the general supervision of an investigation board responsible to the Executive and made up of senior HSE personnel, and/or leading professionals or academics with the aim of:

• examining the compliance of the duty holder(s) involved and preparing a report;
• examining HSE's prior role in dealing with the duty holders and preparing a report.

8. In the case of level 1 and level 2, there is the option that these could be formal investigations established by the Commission under HSW 74 Section 14(2)(a).

Other types of major incident investigation

9. Other types include:

• an investigation carried out by any other person at the direction of the Commission under Section 14(2)a of HSW 74;
• a public inquiry under section 14(2)(b) of HSW 74, (where the Commission with the consent of the Secretary of State may direct an inquiry into an accident or occurrence. This would be subject to the Health and Safety Inquiries (Procedure) Regulations 1975);
• a fatal accident inquiry held under the Fatal Accidents and Sudden Deaths Inquiry (Scotland) Act 1976;
• a non statutory public inquiry, often chaired by a judge, established under the prerogative powers of a Minister.

Liaison with other government departments and regulatory bodies

10. HSE has arrangements in place as appropriate to inform and liaise with other government departments, devolved administrations, the police and other enforcing authorities in their investigations of a major incident.

11. In a major incident involving a fatality, liaison with the relevant police force (in England and Wales) is in line with the protocol "work-related deaths - a protocol for liaison", which has also been adopted by LAs.

Examples of significant events which may trigger a major incident investigation

12. The following examples give an indication of those significant events which may trigger a major incident investigation in LA enforced premises.

Routine Investigations 1

13. Most incidents investigated by LAs would not attract a Level 1 or Level 2 investigation. This includes most fatal accidents such as, for example, the overturning of a forklift truck, fall through a fragile roof, uncontrolled entry into a confined space or entrapment in machinery. Such incidents may attract considerable local media interest and generate public concern locally but not create alarm or widespread concern.

14. Several deaths, the death of someone from a vulnerable group, or injuries or damage outside the workplace warrant consideration of adopting a Level 1 investigation.

Level 1

15. A Level 1 investigation would normally result from an incident where:

• There had been several deaths with implications for the general public, such as to generate significant local concern with some national media interest e.g.
  1. the collapse of a structure such as a temporary stand in a pop concert or at a sports ground
  2. a gas explosion associated with a place of work
  3. a major fire at a place of public entertainment;
• topical concerns or issues where there has already been widespread public interest may warrant consideration of a Level 1 investigation where there was real potential for multiple fatalities, but none actually occurred;
• additionally events may be considered which have potential to generate substantial public concern due to widespread contamination from:
  1. release of asbestos,
  2. legionella, or
  3. other toxic substances (the evacuation of housing or hospitals would further strengthen the case).

Level 2

16. If the LA previously had close dealings with a firm involved or had given detailed and apparently relevant advice about the type of activity involved such that its competence or impartiality might become an issue, especially where legal action is likely, then a Level 2 investigation might be considered.

17. A Level 2 investigation would be appropriate after an incident arising from circumstances of great technical complexity, where an external challenge function throughout the investigation would provide HSE, HSC and Ministers with the reassurance that the right conclusions had been drawn.

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Annex 2

LAU policy for dealing with major incidents in LA enforced premises

Background

1. LAU aims to maintain effective channels of communication between LAs and HSC/E and support the standing committee HELA. This aim extends to effective communication during emergencies or in response to major incidents as defined by HSE's major incident response procedures.

Key responsibilities

2. LAU has two main responsibilities in respect of major incidents in LA enforced premises:

• to ensure that major incidents notified to LAU are promptly reported to the relevant LA or LAs;
• to ensure that HSC/HSE, Ministers and the devolved administrations remain adequately briefed and informed about major incidents and, in due course, to inform HELA.

Notification

3. When LAU receives notification of a major incident, it will contact the LA or LAs concerned within 1 hour of notification. Out-of-hours, contact with LAU will be via the duty officer system to the Head of LAU or a nominated deputy. Each will maintain an up-to-date list of LAs and their telephone numbers at both their home and office addresses. Telephone notifications will be followed up by fax and/or e-mail as soon as it is practical to do so.

4. Information on the occurrence of an incident and the initial response will be passed promptly to both HSE's Secretariat and Press Office. Out-of-hours, this communication will be telephoned to the relevant contact taken from HSE's Senior Officer lists. The Head of LAU and a nominated deputy will maintain an up to date list at both their home and office addresses.

Communication with LAs

5. The Head of LAU or a nominated deputy will establish and maintain effective communications with the LA or LAs throughout the time of the incident. LAU will ensure that the Commission, Executive, Ministers, other Government Departments, devolved administrations and other policy or operational divisions are informed and updated as appropriate.

Testing

6. LAU will ensure that the system is tested. LAU will produce an annual programme for testing and monitoring its major incident response arrangements. This programme will include at least six monthly data verification tests and a scenario test at least once every two years. LAU will ensure that LAs are notified promptly of any changes in these plans.

7. LAU will ensure that HSE's duty officer system is equipped to deal with notifications of major incidents in LA enforced premises by LAs and by members of the public or the emergency services.

8. These procedures will be tested within six months of the publication of this circular.

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Annex 3

List of HSE offices

The up-to-date list of HSE Area Offices

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Annex 4

NOTIFICATION OF A MAJOR INCIDENT
1 Name of Company	Equipment involved
Date of Incident	Time of incident
Source of information	Time and date information received
Overview of the incident
2 Nature of the incident
Is the incident likely to be of interest to other Government Departments		Yes/ no/ not known
Were members of the public affected		Yes/ no
If yes how were they affected
Is there likely to be an environmental affect		Yes/ no
Is the incident notifiable under statutory provisions		Yes/ no
Is the press likely to be interested		Yes/ no
Is the employer issuing a press notice		Yes/ no/ not known
3 Initial estimates of health and safety and where relevant environmental implications
What is the significance of the incident thought to be		Major/ Minor/ Not known
Are the implications likely to affect more than the reported site
If yes- how many sites?		Not known
Will the incident have major significance i) in the short term(please describe ii) in the long term(please descibe)Initial Action taken and any comments
Name:	Location: Tel No:	Date: LA:

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