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LAC 67/2 (rev4.1) - Targeting local authority interventions

Annex D - Intervention plan summary table

What are your priorities?
Decide your intervention priorities1
Why intervene?
Evaluate your evidence2.
Where to intervene?
Consider the sectors and activities to be targeted3.
How to intervene?
Consider the range of interventions4 available.
When to intervene?
Time your interventions5.
Who should intervene?
Determine resources6.
Intervention Title:


Motivating Senior Managers

Supply Chain

Design and Supply

Sector wide Initiatives


Working with Those At Risk

Working with Other Regulators etc

Education and Awareness

Encouraging Compliance

Recognising Compliance


Incident and Ill Health


Dealing with Issues of Concern and Complaints

Other interventions

Signed off by Senior Manager:     

The Intervention Planning Summary Table above and guidance below is to help LAs consider the whole range of interventions available when planning and recording their intervention plans. The Table helps LAs provide a consistent approach and may prove useful in defending the use of any particular intervention type if challenged.

1 Decide your priorities – What are your priorities for intervention?

Your priorities should be based on the principles contained within the National Local Authority Enforcement Code - targeting your resources on your highest risks or where there is evidence to show poor performance; tackling national and local priorities; dealing with matters of evident concern; using the range of interventions available; encouraging business growth e.g. offering advice and support to new business start-ups.  

2 Evaluate your evidence - Why intervene?

Evaluate the evidence you have to intervene such as: National Priorities- see Annex A; local priorities – derived from known local issues see Annex BCan you justify intervening? Have you got sufficient evidence to show there is an issue that requires an intervention? Are you able to identify poor performance?

3 Consider the sectors and activities to be targeted - Where to intervene?

Have you got information on the potential sectors/activities and risks you should target? Are you able to identify those sectors and high risk activities where proactive inspection would be appropriate? Do you know the key stakeholders you may wish to influence or work in partnership with? Are there potential intermediaries or supply chains you could target to help manage risk more effectively? Can you work with other regulators for greater impact? Are your outcomes measurable?

4 Consider the range of interventions available - How to intervene?

What interventions have you considered? What was the rationale for using a particular intervention? Does the intervention fit in with previous actions to address an issue? Does your intervention complement/support other interventions? If your intervention is a proactive inspection at a premise - would you be able to justify this to the business, Peer Review Group or the Independent Regulatory Challenge Panel on the basis of risk or poor performance? If a business carries out an activity on the high risk list published by HSE, LAs have the discretion as to whether or not proactive inspection is the right intervention for the business. Also, consider how to evaluate the outcomes of your interventions.

5 Time your interventions - When to intervene?

Why is it appropriate to address this issue at this time? Does the intervention ‘chime in’ with other national or local priority interventions?

6 Determine resource - Who should intervene?

Consider if others are better placed to intervene e.g. use of other training providers, industry best practice forums, other more appropriate regulators or regulation, larger businesses acting as local mentors, etc.

Updated 2015-06-11