Prosecution of individuals

Offences under HSWA that concern individuals other than employers are found in sections 7, 8, 36 and 37. Some regulations also place specific duties on individuals - such as Regulation 14 of the Management of Health and Safety at Work Regulations 1999.

HSC's Enforcement Policy Statement Paragraph 41 states:

'Subject to the above, enforcing authorities should identify and prosecute or recommend prosecution of individuals if they consider that a prosecution is warranted. In particular, they should consider the management chain and the role played by individual directors and managers, and should take action against them where the inspection or investigation reveals that the offence was committed with their consent or connivance or to have been attributable to neglect on their part and where it would be appropriate to do so in accordance with this policy. Where appropriate, enforcing authorities should seek disqualification of directors under the Company Directors Disqualification Act 1986.

Any decision to recommend prosecution must nonetheless meet the criteria set out in the Enforcement Policy Statement generally, and the evidential sufficiency and public interest criteria. You should also see Prosecuting individuals[52] for information on the prosecution of individuals.

Link URLs in this page

  1. Enforcement homehttps://www.hse.gov.uk/enforce/index.htm
  2. Enforcement guide (Scotland) homehttps://www.hse.gov.uk/enforce/enforcementguidesc/index.htm
  3. Role of CO & PF Servicehttps://www.hse.gov.uk/enforce/enforcementguidesc/rolecopf.htm
  4. Overview - Collecting witness evidencehttps://www.hse.gov.uk/enforce/enforcementguidesc/collectingwitness/index.htm
  5. Collecting witness evidence - Introductionhttps://www.hse.gov.uk/enforce/enforcementguidesc/collectingwitness/intro.htm
  6. Order of collecting evidencehttps://www.hse.gov.uk/enforce/enforcementguidesc/collectingwitness/order.htm
  7. Witness statementshttps://www.hse.gov.uk/enforce/enforcementguidesc/collectingwitness/statements.htm
  8. Overview - Collecting physical evidencehttps://www.hse.gov.uk/enforce/enforcementguidesc/collectingphysical/index.htm
  9. Collecting physical evidence - Introductionhttps://www.hse.gov.uk/enforce/enforcementguidesc/collectingphysical/intro.htm
  10. Evidence which may assist your investigationhttps://www.hse.gov.uk/enforce/enforcementguidesc/collectingphysical/evidence.htm
  11. Evidence using s20 powershttps://www.hse.gov.uk/enforce/enforcementguidesc/collectingphysical/obtaining.htm
  12. Preparing evidence for use in courthttps://www.hse.gov.uk/enforce/enforcementguidesc/collectingphysical/preparing.htm
  13. Overview - Expert evidencehttps://www.hse.gov.uk/enforce/enforcementguidesc/expert/index.htm
  14. The experthttps://www.hse.gov.uk/enforce/enforcementguidesc/expert/expert.htm
  15. Site visitshttps://www.hse.gov.uk/enforce/enforcementguidesc/expert/visits.htm
  16. The reporthttps://www.hse.gov.uk/enforce/enforcementguidesc/expert/report.htm
  17. Expert evidence - At courthttps://www.hse.gov.uk/enforce/enforcementguidesc/expert/atcourt.htm
  18. Status of workershttps://www.hse.gov.uk/enforce/enforcementguidesc/status.htm
  19. Overview - Identifying the accusedhttps://www.hse.gov.uk/enforce/enforcementguidesc/identifying/index.htm
  20. Identifying the accused - Introductionhttps://www.hse.gov.uk/enforce/enforcementguidesc/identifying/intro.htm
  21. Companieshttps://www.hse.gov.uk/enforce/enforcementguidesc/identifying/companies.htm
  22. Partnershipshttps://www.hse.gov.uk/enforce/enforcementguidesc/identifying/partnerships.htm
  23. Other offendershttps://www.hse.gov.uk/enforce/enforcementguidesc/identifying/offenders.htm
  24. Foreign offendershttps://www.hse.gov.uk/enforce/enforcementguidesc/identifying/foreign.htm
  25. Insolvencyhttps://www.hse.gov.uk/enforce/enforcementguidesc/identifying/insolvency.htm
  26. Prosecution of individualshttps://www.hse.gov.uk/enforce/enforcementguidesc/identifying/individuals.htm
  27. Proceeding against employeeshttps://www.hse.gov.uk/enforce/enforcementguidesc/identifying/employees.htm
  28. Proceeding against Crown employeeshttps://www.hse.gov.uk/enforce/enforcementguidesc/identifying/crown.htm
  29. Proceeding against directors, etchttps://www.hse.gov.uk/enforce/enforcementguidesc/identifying/directors.htm
  30. Overview - Reporting to the Procurator Fiscalhttps://www.hse.gov.uk/enforce/enforcementguidesc/report/index.htm
  31. Reporting processhttps://www.hse.gov.uk/enforce/enforcementguidesc/report/process.htm
  32. Form of report to Procurator Fiscal https://www.hse.gov.uk/enforce/enforcementguidesc/report/form.htm
  33. Drafting complaintshttps://www.hse.gov.uk/enforce/enforcementguidesc/report/complaints.htm
  34. Disclosure in criminal proceedingshttps://www.hse.gov.uk/enforce/enforcementguidesc/disclosure-in-criminal-proceedings.htm
  35. Criminal courtshttps://www.hse.gov.uk/enforce/enforcementguidesc/criminal.htm
  36. At courthttps://www.hse.gov.uk/enforce/enforcementguidesc/atcourt.htm
  37. Penaltieshttps://www.hse.gov.uk/enforce/enforcementguidesc/penalties.htm
  38. Appealshttps://www.hse.gov.uk/enforce/enforcementguidesc/appeals.htm
  39. Fatal accident inquiries (FAIs)https://www.hse.gov.uk/enforce/enforcementguidesc/fatal.htm
  40. Publicityhttps://www.hse.gov.uk/enforce/enforcementguidesc/publicity.htm
  41. Overview - Civil proceedingshttps://www.hse.gov.uk/enforce/enforcementguidesc/civil/index.htm
  42. Generalhttps://www.hse.gov.uk/enforce/enforcementguidesc/civil/general.htm
  43. Backgroundhttps://www.hse.gov.uk/enforce/enforcementguidesc/civil/background.htm
  44. Factual statementshttps://www.hse.gov.uk/enforce/enforcementguidesc/civil/statements.htm
  45. Disclosure of documents and productionshttps://www.hse.gov.uk/enforce/enforcementguidesc/civil/disclosure.htm
  46. Precognitionshttps://www.hse.gov.uk/enforce/enforcementguidesc/civil/precognitions.htm
  47. Inspectors as witnesseshttps://www.hse.gov.uk/enforce/enforcementguidesc/civil/witnesses.htm
  48. Improvement and prohibition noticeshttps://www.hse.gov.uk/enforce/enforcementguidesc/notices.htm
  49. Employment tribunalshttps://www.hse.gov.uk/enforce/enforcementguidesc/tribunals.htm
  50. Food and Environment Protection Act 1985 (FEPA)https://www.hse.gov.uk/enforce/enforcementguidesc/fepa.htm
  51. Sitemaphttps://www.hse.gov.uk/enforce/enforcementguidesc/sitemap.htm
  52. Prosecuting individualshttps://www.hse.gov.uk/foi/internalops/ocs/100-199/130_8.htm

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Updated 2009-08-05