Inspection
Stage 3: Conduct inspection - Additional Guidance
Written advice to dutyholders
General guidance:
Provide written advice:
- when it is not appropriate to rely on oral advice alone
- where it is necessary to record the fact that advice has been given
- where it is necessary to record the details of the advice itself
Before the end of the intervention:
- decide if written confirmation of the matters covered at the intervention
is required
- inform the dutyholder of the intended form the written advice will
take
- decide who else should receive the written confirmation and in the
light of this guidance, decide which form of written communication to
use
Ensure the written communication:
- confirms, and where necessary expands upon, the
oral advice already given at the visit
- explains what the issues are and how to deal with them, clearly differentiating
between measures to be taken to meet legal requirements (give any relevant
legal references) and other measures that reflect best practice
- includes the expected timescale for any revisit to check that the issues raised
have received attention
If you are a trainee inspector, or new to the industry, and written advice
is required, you should use a letter unless or until your line manager agrees
otherwise.
Use a letter:
- to cover serious or complicated matters, including matters which
require further research or advice from specialist or sector staff
- to confirm issues raised at a complex intervention, such as a health
and safety management inspection, an intervention with a multi-site
organisation or a poor performer
- to explain the findings and recommendations from an investigation,
including where a warning that legal action has or is being considered
is required
- in support of other enforcement action, such as an improvement notice
- where the dutyholder requests one and you agree it is necessary
Use a "reverse letter"
In which the duty holder provides written confirmation by letter, fax or
e-mail of the action taken following a visit where:
- no significant or complex matters raised at visit
- the company has a good history of compliance
- where the company has sufficiently well developed health and safety
knowledge and systems to be able to address and plan remedial actions
required
- oral agreement has been reached to prioritise remedial actions and for
confirmation of actions taken to be provided by dutyholder
- there is a clear and robust bring-forward system to ensure reply by
dates are met
In FOD, consider instead the use of an Instant Visit Report Form (Form IR):
- where the dutyholder is content to accept the form
- for more immediate transient activities, such as inspection blitzes,
fairgrounds
- when dealing with SMEs who may not have developed health and safety
knowledge and the issues are not significant
- to maintain the impact of the visit and expected timescale for
remedial action on issues raised
- to ensure absent managers receive recommendations following the visit
- to provide additional information following the issuing of a deferred
or immediate prohibition notice
If an instant visit report form is used, follow the detailed guidance on how to complete the form
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