Health and Safety Law in England and Wales
The Health and Safety Executive (HSE) is the national regulator responsible for enforcing health and safety law in England, Wales, and Scotland. Employers carry a non-delegable legal responsibility to protect workers and non-workers from risks arising from work activities. Investigations are commonly triggered by RIDDOR-reportable incidents, complaints, or routine inspections.
The Primary Legislation — Health and Safety at Work etc. Act 1974
The Health and Safety at Work etc. Act 1974 (HSWA) places a general duty on employers to ensure, so far as is reasonably practicable, the health, safety, and welfare of their employees and of any other persons who may be affected by their undertaking. The Act also imposes duties on employees to take reasonable care for their own safety and that of others, and to cooperate with their employer on health and safety matters.
The standard of reasonable practicability requires a proportionate assessment: the level of risk on one side of the balance, and the cost — in time, money, and effort — of eliminating or mitigating that risk on the other. The higher the risk, the less the cost is permitted to outweigh it.
Key Duties for Employers
Risk Management
Under the Management of Health and Safety at Work Regulations 1999, employers must identify hazards in the workplace, assess the level of risk they present, and implement appropriate controls. The preferred hierarchy of control is to eliminate the hazard; where that is not possible, to reduce the risk to the lowest reasonably practicable level.
Appointing a Competent Person
Every employer must appoint one or more competent persons to assist in meeting their health and safety obligations. Competence requires sufficient training, experience, and knowledge to carry out the relevant functions. While external consultants may be appointed, the ultimate legal responsibility remains with the employer.
RIDDOR Reporting
The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 (RIDDOR) require employers to report certain categories of workplace incident to the HSE. Reportable events include fatalities, specified injuries (including fractures, amputations, and loss of sight), over-seven-day incapacitation injuries, occupational diseases, and dangerous occurrences.
The HSE Investigation Process
An HSE investigation serves a dual purpose: it seeks to establish the cause of an incident to prevent recurrence, and it gathers evidence for a potential criminal prosecution. Investigations can be lengthy, often involving expert evidence, the examination of documentary records, and formal interviews under caution conducted in accordance with PACE.
The Fee for Intervention scheme applies where an inspector identifies a material breach serious enough to require a formal Notice of Contravention. The business is charged for the time spent by the HSE in identifying the breach and supporting the business in returning to compliance.
Consequences of Prosecution
A conviction for a health and safety offence can have serious and lasting consequences. Courts assess fines by reference to the Sentencing Council guidelines, which take into account the culpability of the offending organisation, the level of harm caused or risked, and the size and financial resources of the defendant. Fines in the Crown Court can run into hundreds of thousands of pounds or more for larger organisations. For individual directors and managers, serious breaches can result in a custodial sentence.
Additional consequences include reputational damage, difficulty in tendering for public contracts, increased insurance premiums, and the risk of civil claims from those who have suffered injury.
HSE Enforcement Notices
The HSE can issue Improvement Notices, requiring specified changes to be made within a defined period, or Prohibition Notices, which prohibit the continuation of an activity immediately where there is a risk of serious personal injury. Breach of either type of notice is itself a criminal offence.
What to Do if You Are Under Investigation
If the HSE has attended your premises following an incident, served a notice, or indicated that a formal investigation is underway, seek specialist legal advice immediately. The period between the start of an investigation and any charging decision is the most important stage for making representations to the HSE and the CPS. Do not attend any interview under caution without a solicitor present.