INC/Specific/TBT-INC-013

Enforcement Notice Response

Incident Management & Investigation › Specific › Enforcement Notice Response

Presenter		Project
Location		Date

The HSE and local authorities can issue enforcement notices when they find breaches of health and safety law.
An Improvement Notice requires specific actions to be completed within a stated timescale.
A Prohibition Notice requires an activity to stop immediately because of the risk of serious personal injury.
Failure to comply with either type of notice is a criminal offence carrying unlimited fines and imprisonment.
Prohibition Notices take effect immediately — the activity must stop and not restart until the notice is complied with.
Improvement Notices specify the actions required and give a reasonable time period for compliance.
Both notices can be appealed to an employment tribunal within 21 days of issue.
The person receiving the notice should read it carefully and seek legal advice promptly.
All site personnel should be informed of the notice and the actions required to comply.
The response to an enforcement notice should be documented and evidence of compliance retained.

Legal obligation	Non-compliance with an enforcement notice is a separate criminal offence with severe penalties including imprisonment.
Worker safety	Notices are issued because an inspector has identified a genuine risk — prompt action protects workers from harm.
Organisational reputation	Enforcement notices are public record and failure to respond damages the company's safety reputation and tender prospects.

Don't

Read the enforcement notice carefully and understand exactly what is required
Stop the prohibited activity immediately if a Prohibition Notice is served
Seek legal advice promptly to understand your obligations and appeal rights
Communicate the notice requirements to all relevant site personnel and management
Develop an action plan to comply within the timescale stated on the notice
Document all actions taken to comply and retain evidence of completion
Cooperate with the inspector and provide updates on your compliance progress
Brief the workforce on any changes to working practices required by the notice
Review the underlying risk assessment to prevent the same issue recurring
File the notice and compliance evidence in the site health and safety records

DON'T ignore an enforcement notice — non-compliance is a criminal offence
DON'T resume a prohibited activity until the Prohibition Notice conditions are met
DON'T miss the deadline on an Improvement Notice without seeking an extension
DON'T argue with the inspector at the time of issue — use the formal appeal process
DON'T destroy or conceal the notice — it must be displayed where workers can see it
DON'T assume the notice only applies to one person — it binds the organisation
DON'T delay informing senior management and legal advisors about the notice
DON'T treat compliance as a one-off fix — address the root cause to prevent recurrence
DON'T forget the 21-day appeal window if you intend to challenge the notice
DON'T allow retaliation against anyone who provided information to the inspector

See also: HSE Inspector Visit Procedures | Accident and Incident Reporting (RIDDOR)

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