Responding to an MHSWR improvement notice

Read the notice carefully. It will state:

• Which regulation has been breached - the specific MHSWR regulation cited
• What the inspector found - the matters constituting the contravention
• The compliance deadline - by when you must remedy the breach (typically 21 days minimum)
• What you need to do - the measures required to comply

Regulation 3 breach: Risk assessment

This is the most frequently cited regulation. Common failures include:

• No assessment at all: Conduct a suitable and sufficient risk assessment immediately. Use HSE templates if needed. Focus on significant hazards.
• Assessment not suitable or sufficient: Review and expand your assessment. Ensure it identifies all significant hazards, considers who might be harmed, and specifies adequate control measures.
• Not recorded in writing: If you have 5 or more employees, document your significant findings and any groups especially at risk.
• Not reviewed: Update your assessment to reflect current work activities, equipment, and workforce. Record the review date.

Regulation 7 breach: Competent person

• No competent person: Appoint one immediately. For low-risk workplaces, complete HSE guidance yourself. For higher risks, engage a qualified consultant while developing internal competence.
• Inadequate competence: Arrange appropriate training (IOSH Managing Safely for medium-risk, NEBOSH for higher-risk workplaces).

When the inspector returns or you notify them of compliance, you need to demonstrate that the breach has been remedied. Prepare:

• Documentary evidence: Updated risk assessments, written policies, training records, competent person appointment letter
• Physical evidence: Control measures implemented, safety equipment in place, signage installed
• Ongoing arrangements: Show how you will maintain compliance going forward - review schedules, monitoring plans, training calendars

Where HSE identifies a material breach of health and safety law, they will charge you for the time spent dealing with it under Fee for Intervention (FFI). The current rate is 183 pounds per hour. This covers the inspector's time for:

• The investigation that identified the breach
• Writing and serving the notice
• Any follow-up inspection to check compliance

You will receive an invoice after the work is completed. Payment is legally required.

If you believe the notice is wrong, you can appeal to an Employment Tribunal within 21 days of the notice being served.

• Grounds for appeal: The inspector was wrong that a contravention exists, or the measures required are unreasonable
• Effect of appeal: An appeal against an improvement notice suspends the notice until the appeal is heard
• Timeframe: You must appeal within 21 days of the notice being served
• Legal advice: Consider seeking specialist health and safety legal advice before appealing

Important: Even if you appeal, it is prudent to begin addressing the identified issues. If the appeal fails, you will need to comply by the original or revised deadline.