Draft - hse.gov.uk

1 Fee for Intervention (FFI) is effective from 1 October 2012, under regulations 23 to 25 of the Health and Safety (Fees) Regulations 2012. These Regulations put a duty on HSE to recover its costs for carrying out its regulatory functions from those found to be in material breach of health and safety law. This will shift some of the cost of health and safety regulation from the public purse to businesses and organisations that break health and safety laws. This guidance will help businesses and organisations to understand what FFI means for them and how it fits with HSE s existing approach to enforcement.

2 It sets out the general principles and approach of the FFI scheme. This guidance includes examples of material breaches but does not cover every scenario where FFI might apply. Inspectors will apply this guidance and their enforcement decisions will be made in accordance with the principles of HSE s existing enforcement decision-making frameworks the Enforcement Management Model (EMM) and the Enforcement Policy Statement (EPS). It also explains the process for handling queries and disputed invoices. This guidance was first published in June 2012 in line with the Department for Business Innovation and Skills Code of Practice on guidance on Regulation 2009 ( ) which states that guidance on regulation should be published at least 12 weeks in advance of the Regulations coming into effect.

3 The present version, published in September 2012, is a corrected version of the 1st edition approved by the Executive on 11 June 2012. The corrections are not substantial but have been made to help businesses better understand FFI and to more accurately describe the actual timing of HSE invoicing periods. The corrections made in the guidance are, for ease of reference, also set out below: Paragraphs 24, 63, 70, 159, and 170 172 the addition of the words notification of contravention , to make clear that where HSE s existing EMM refers to a letter that includes a notification of contravention.

4 Paragraph 38 changes to the list of the months in which HSE will issue two-monthly invoices. Paragraph 46 a link to HSE s Procedure for queries and disputes for FFI on the HSE website. Paragraph 54 the addition of telephone and email contact details for HSE s FFI Team. In November 2013, paragraph 48 was amended to reflect changes to the employment tribunals appeals March 2014, paragraph 46 was amended to reflect changes to the dispute procedure, namely the removal of the level 1 dispute process so all disputes will instead be reviewed by the disputes and Safety ExecutiveGuidance on the application of Fee for Intervention (FFI)HSE BooksHealth and Safety ExecutiveGuidance on the application of Fee for Intervention (FFI)

5 Page 2 of 37 Crown copyright 2012 First published 2012 Corrected September 2012 Amended November 2013, March 2014 You may reuse this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view the licence visit , write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email images and illustrations may not be owned by the Crown so cannot be reproduced without permission of the copyright owner. Enquiries should be sent to and Safety ExecutiveGuidance on the application of Fee for Intervention (FFI)Page 3 of 37 ContentsPreface 5 What is FFI?

6 6 Does FFI apply to you? 6 Exemptions and disapplications to FFI 7 How does FFI work? 8 What is a material breach? 8 How much is the fee? 9 What does the fee cover? 9 Health and Safety Laboratory and third-party involvement 10 Material breaches involving multiple dutyholders 10 Administrative and financial arrangements 11 Procedure for handling queries and disputed invoices 12 Repayments 13 Contacts for advice and guidance 13 How does FFI fit with HSE s existing approach to enforcement?

7 14 Enforcement decision making 14 Enforcement Policy Statement (EPS) 14 Enforcement Management Model (EMM) 14 How does EMM apply to FFI? 18 Examples of FFI in practice 18 Health risks 19 Asbestos 19 Asthma 19 Confined spaces 19 Hand-arm vibration 20 Hazardous substances 20 Legionellosis, including legionnaires disease 20 Musculoskeletal disorders (MSDs) 21 Noise 21 Safety risks 21 Falls from height 21 Gas work 22 Flammable liquids 22 Lifting equipment 22 Health and Safety ExecutiveGuidance on the application of Fee for Intervention (FFI)Page 4 of 37 Liquefied petroleum gas (LPG)

8 22 Machinery guarding 23 Pressure systems 23 Safe maintenance 23 Workplace transport 24 Construction 24 Welfare breaches 24 Management of health and safety risks 25 Examples of EMM application 26 Example 1: Prosecution 26 Health risk: Exposure to metalworking fluid mist 26 Example 2: Prohibition and improvement notices 27 Safety risk: Work at height on an unsafe working platform 27 Example 3: Improvement notice 28 Safety risk: Machinery guarding 28 Example 4: Letter (notification of contravention) 29 Health risk: Asbestos training 29 Example 5: Verbal warning 31 Non-risk based compliance: Scaffold register 31 Appendix 1: Health and safety law enforced by HSE for which costs cannot be recovered under FFI 33 Appendix 2.

9 Methodology used for calculating amounts payable 36 FFI hourly rate 36 Further information 37 Health and Safety ExecutiveGuidance on the application of Fee for Intervention (FFI)Page 5 of 37 PrefaceFee for Intervention (FFI) is effective from 1 October 2012, under regulations 23 to 25 of the Health and Safety (Fees) Regulations 2012. These Regulations put a duty on HSE to recover its costs for carrying out its regulatory functions from those found to be in material breach of health and safety guidance is issued by the Health and Safety Executive.

10 It will help businesses and organisations understand what FFI means for them and how it fits with HSE s existing approach to enforcement. It sets out the general principles and approach of the FFI guide includes examples of material breaches but does not cover every scenario where FFI might apply. Inspectors will apply this guidance and their enforcement decisions will be made in accordance with the principles of HSE s existing enforcement decision-making frameworks the Enforcement Management Model (EMM) and the Enforcement Policy Statement (EPS).