Enforcement decision - Stage 1 : Make enforcement decision - Additional guidance

When a formal record is to be kept on EMM1

Inspectors should decide whether a 'management review' is necessary, eg where the action that the Inspector is proposing doesn't address fully one or more of the strategic factors, such as meeting the principles and expectations of the Enforcement Policy Statement (EPS) – or where the Inspector is proposing action that differs from that indicated by the EMM.  In such cases the Enforcement Assessment Record form (EMM1) should be completed, and the proposed action reviewed with the line manager.

In addition, the EMM1 form should be completed, to facilitate management monitoring, in the following circumstances:

Situations requiring MANDATORY recording of enforcement decisions on the Enforcement Assessment Record Form (EMM1) by all relevant job bands
Fatal accidents All -
Major incidents All -
Prosecutions All -
Investigations All See note 1
Specific situations ND only See note 2
Other As required by line manager See note 3


  1. includes all incident investigations (not complaints) recorded on COIN as an investigation (ie the case is closed as "closed inv complete").
  2. ND only – in all cases in ND where the application of the EMM process results in an Initial Enforcement Expectation of the issue of an Improvement Notice, or Direction, or Specification.
  3. Line managers may, within their discretion, require an EMM1 form to be completed in other circumstances, e.g:
    • when Improvement Notices are proposed to be served by Band 4 Inspectors;
    • when Improvement Notices are proposed to be served by Band 3 Inspectors who are newly promoted or are new to an industry group or sector and require line management approval before service of an IN;
    • as a sample of an Inspector's work as part of performance assessment;
    • as required for the purpose of training and competence assessment;
    • in other cases at the discretion of operational line managers etc

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Updated 2020-08-04