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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