Notice - Stage 5: Follow up notice

A follow up visit is required to check compliance with the notice, unless the circumstances described in step 5.2 apply

when a follow up visit is to be made:

• schedule the visit

Wherever practical, the follow up visit should be paid by the inspector who served the notice but if there are grounds to suspect that it will not have been complied with, the follow up visit should, where necessary, be paid with a colleague to provide evidence in any subsequent legal proceedings.

If an improvement notice or a deferred prohibition notice has been served:

• consider the need to contact the dutyholder beforehand and remind them to take the required action by the due date.

Performance standards

If an immediate prohibition notice was served and the dutyholder stopped the work activity but remedial control measures had not been implemented before the inspector left the site, a follow up visit should be paid:

• if the dutyholder is likely to resume the activity
• after a period determined by knowledge of the dutyholder and the original circumstances

For an improvement notice, a follow up visit should be paid:

• as soon after the expiry date as possible
• always within 10 working days of this date

For a deferred prohibition notice, a follow up visit should be paid:

• as soon after the expiry date as possible
• always within 10 working days of this date

A follow up visit to check compliance with an improvement notice may not be required where:

• the notice relates to a statutory provision for documentation to be held or provided, and
• verification may be achieved equally effectively by reviewing the documentation in the inspector's office

Note: the date of receipt of the relevant documentation should be recorded

Where it is not practicable to make a follow-up visit to check compliance with an immediate prohibition notice, alternative types of follow-up action may be appropriate in these circumstances:

• the risk of serious personal injury had been controlled by the dutyholder suspending the activity and the inspector was able to confirm that remedial measures had been taken before they left the site

or

• the risk of serious personal injury had been controlled by the dutyholder suspending the activity but remedial measures had not been implemented before the inspector left the site, and
• the inspector is confident the dutyholder will take the necessary measures before resuming activities, and
• sufficient correspondence/documents have been sent by the dutyholder by an agreed date which confirm action taken that will adequately control the risk, and
• final closure is agreed by the line manager

In all cases:

• record the reasons for not conducting a follow up visit, including the line manager's agreement, where appropriate

Where the notice has been complied with:

• confirm this outcome with the dutyholder
• inform any employee representatives
• record the findings of the check visit
• where required, retain an appropriate hard-copy report

In ND:

• all notices should be reviewed by the Inspection Coordination Group (ICG) within 12 months of closure for effectiveness against HSC's Enforcement Policy Statement and the outcome recorded on the standard form provided
• any lessons learned should be promulgated throughout ND and be forwarded to the Business Systems Manager to facilitate the improvement of procedures and guidance

In all cases where the notice has not been complied with:

• sufficient evidence should be collected to prove the related breach on the day of the visit and/or non-compliance with the notice, with a view to recommending prosecution
• record findings of follow up visit

For guidance on this, please see:

HSE's Enforcement Policy Statement, para 39

A dutyholder may request an extension of the notice period but must do so:

• during the period of compliance with an improvement notice;
• before the period of compliance with a deferred prohibition notice; or
• any time when an appeal is not pending (whether or not the period of compliance has expired)

If the request falls outside the compliance period:

• generally refuse the request unless there are compelling reasons (dutyholders who fail to comply with a notice within the compliance period and do not seek an extension should ordinarily be considered for prosecution)
• discuss with the line manager before refusing the request.

Where the dutyholder requests an extension within the compliance period:

• discuss with them their reasons for the request
• decide whether the need for an extension is genuine and justified

If minded to grant an extension:

• decide whether written confirmation of the request is required, or
• a properly minuted account of a verbal request is sufficient, and
• where necessary, discuss the request with the line manager, eg where the dutyholder has engaged a contractor to carry out the work but not promptly after the notice was served

If an extension is granted:

• send form LP4 by recorded delivery to the dutyholder within 5 working days of the request and, where relevant, before expiry of the compliance or notice period, unless
• the expiry date is imminent or has expired, then inform the dutyholder promptly of the decision and confirm a positive decision on form LP4 within 5 days of receipt of the request
• send copies of form LP4 to all the recipients of the original notice
• record the date the request was received, the action taken and reasons for the decision

If an extension is not granted:

• inform the dutyholder as soon as possible and, where relevant, before the expiry of compliance or notice period
• record the date the request was received, the action taken and reasons for the decision

Where a request to withdraw the notice is made by the dutyholder:

• only consider the request if the notice is within the compliance date or if it is under appeal (an improvement notice or a deferred prohibition notice cannot be withdrawn after the period of compliance has expired)
• if considering to withdraw an expired notice, the period for compliance must first be extended (see Step 5.4)
• assess the request in consultation with line manager
• only withdraw the notice where there is a genuine and justifiable need, including that it contains a significant error

If the notice is not to be withdrawn:

• inform the dutyholder of the decision within 5 working days of the request and, where possible, before the expiry of the compliance or notice period
• record date of request and reasons for action taken

If the notice is to be withdrawn:

• complete form LP5 and send it to the dutyholder within 5 working days of the circumstances coming to the inspector's attention and in any case before the expiry of the compliance or notice period, unless
• the expiry period is imminent, then inform the dutyholder promptly of the decision and confirm the withdrawal in writing within 5 working days
• copy the LP5 to all the recipients of the original notice; a covering letter of explanation may be required
• record date of request and reasons for action taken

Following withdrawal:

• consider the need to issue a new notice