Memorandum by the Local Government Association
(HSE 30)
1. VARIATION
IN ENFORCEMENT
PRACTICE BETWEEN
LOCAL AUTHORITIES
IN DIFFERENT
PARTS OF
THE COUNTRY
Although it is often claimed that there is significant
regional variation in local authority enforcement practices, any
evidence of this trend is largely anecdotal. It has to be recognised
that there are over 400 local authorities responsible for health
and safety enforcement. Each local authority has its own way of
working, its individual practices and its own approaches to health
and safety enforcement. It is also fair to say that each local
authority determines its own level of resources for health and
safety enforcement. All these factors can contribute to any variation
in enforcement practice that might occur. HSE is trying to address
this issue by developing an inter-authority audit for the management
of health and safety enforcement (please see section 4 for further
details).
Local authority membership of the Health and
Safety Executive/Local Authority Enforcement Liaison Committee
(HELA), which was set up in 1975 to provide an effective means
of liaison between HSE and local authorities at national and local
level, and schemes such as the Lead Authority Partnership Scheme
(see section 6) help to improve consistency of local authority
enforcement.
2. VARIATIONS
IN THE
PRACTICES OF
HSE AND LOCAL
AUTHORITY ENFORCEMENT
OFFICERS
Variations in enforcement practices between
HSE and local authorities can be attributed to the differing levels
in their respective investigation of accidents. It is well recognised
that local authorities investigate far more reported accidents
than HSE. Many local authorities aim to investigate all reported
accidents, whereas HSE only investigates selected reported accidents.
Similarly, local authorities are responsible
for health and safety enforcement in over one milion premises
around the country. Many of these premises (offices, shops, hotels,
restaurants, public houses etc), categorised as lower risk, but
frequented by a high concentration of people, are inspected on
a regular basis by local authorities. HSE, on the other hand,
with responsibility for higher risk premises, tends to carry out
far fewer inspections.
Again, there is the issue of their differing
approaches to health and safety enforcement. In order to achieve
consistency of enforcement between HSE and local authorities,
there would need to be significant alignment between the two enforcers
in relation to approach, methods of investigation, assessment
of risks, and methods of dealing with accidents. This would require
sufficient devotion of time—and resources.
It is perhaps more important (at the present
time) to concentrate on achieving or maintaining consistency of
enforcement between local authorities.
In its drive to ensure consistency of enforcement
between HSE and local authorities, HSC issues mandatory guidance
to local authorities on enforcement policy and management of enforcement.
HELA publishes an annual Strategy based on the HSC Strategic Plan,
which sets a common agenda for local authorities, consistent with
that of HSC and HSE. This Strategy is supported by detailed guidance
on common HSE/LA initiatives where both inspect the same or similar
activities.
3. ISSUES OR
RECENT DEVELOPMENTS
FACING HSE LAU/HELA
Strategic Appraisal of Health and Safety—an
announcement on this review is expected in late January-early
February 2000.
The Synergy Programme—a programme of projects
with four main areas of study:
— the underlying policy rationale for
enforcement allocation;
— strategic approaches to local authority
enforcement;
— operational arrangements and practices;
— the management of enforcement by
local authorities.
There will be local authority involvement in
the projects. LAU is currently seeking local authority secondees
to work on the projects. The Synergy programme will look at developing
new ways of working between HSE and local authorities on enforcement
issues, and strengthening existing partnership working arrangements.
HELA has a training strategy to help local authorities
ensure that their officers maintain the required levels of competence
and training. The strategy aims to establish a framework for liaison
to assist local authorities in enforcing the Health and Safety
at Work Act (HSWA) and complying with guidance issued by HSC.
Local authorities are divided on the usefulness of the strategy.
In addition to HELA's national role, there exists
a local liaison system whereby senior inspectors in each of HSE's
main offices, act as operational liaison officers for local authorities.
They advise on enforcement matters and act as a linkage to HSE
specialist support mechanisms. This system appears to work well.
The development of joint initiatives involving
HSE and local authorities could help to improve the level of communication
between the two enforcing organisations. LAU also sends out, on
a regular basis, local authority circulars (LACs) giving advice
and information on health and safety enforcement issues.
4. BEST VALUE
Local authorities are now required to review
their services on a five-year rolling programme to ensure that
they are delivering Best Value. There has been much published
guidance on implementing Best Value and good performance management
in enforcement services by local authorities. The LGA has issued
advice notes/guidance to its member authorities on delivering
Best Value in local authority services.
Over 40 local authorities, police and fire authorities
have been designated as Best Value pilots. Some are piloting Best
Value in specific services within the authority, whilst others
are striving to introduce Best Value principles across all service
areas.
Local authorities will need to set performance
targets as part of regular service reviews and reporting achievement
publicly against set targets, will be instrumental in showing
whether Best Value is being delivered.
HELA is also developing a protocol for inter-authority
audits of the management of health and safety enforcement by local
authorities. It is primarily intended that the protocol should
be used by local authorities as a basis for inter-authority auditing.
It will enable local authorities to assess whether they are:
— demonstrating good practice in health
and safety enforcement;
— complying with the Enforcement Concordat;
— complying with the Commission's Section
18 guidance (Section 18(4) of the HSWA places a duty on local
authorities to make adequate arrangements for the enforcement
of health and safety legislation. It also requires them to carry
out this duty in accordance with guidance from the Commission).
A draft audit protocol is currently being tested
in five local authorities around the country (Westminster, Havering,
West Oxfordshire, Pembrokeshire and Inverclyde). The outcome of
these pilots will enable the local authorities concerned to gauge
how effectively they are carrying out their health and safety
enforcement functions. It is intended to launch the audit package
in Spring 2000.
5. EFFECTIVENESS
OF HSE OR
COMPOSITION OF
THE COMMISSION
Over the years, HSE and the Commission working
together (with local authorities) has shown positive benefits
for the health and safety field. The separation of the Commission
from government and from the Executive ensures a proper level
of independence within the system. Local authorities have local
knowledge and strong involvement with their local communities
which enables them to liaise effectively with small businesses
and local organisations. HSE, as a large, centrally organised
body, is better placed to enforce health and safety in a smaller
number of high-risk, high-hazard premises.
The existence of HELA ensures there is effective
liaison between local authorities and HSE at national and local
level. The membership of HELA, with its diverse mix of local authorities
from England and Wales and Scotland and senior HSE officials,
helps to maintain the partnership links between the two enforcing
organisations. The effectiveness of HSE, although not dependent
on joint working with local authorities, is considerably strengthened
by its partnership based on a mutual goal of ensuring consistency
in health and safety enforcement.
Local government and the Commission have been
very well served during the last two years by the appointment
of Councillor Joyce Edmond Smith (Brighton and Hove) as a Local
Government Commissioner. However, with the Commission's current
mix of representatives from industry, business, trades unions,
etc, there is scope for an additional representative from local
government. The LGA would welcome such an appointment and would
consider it to be a further strengthening of the partnership between
HSC, HSE and local authorities.
6. LOCAL AUTHORITIES'
INVOLVEMENT IN
THE HEALTH
AND SAFETY
SYSTEM
Local authorities have a key role in the enforcement
of health and safety law, with responsibility for 1.3 million
premises, comprising offices, shops, restaurants, hotels, leisure
facilities etc. These are predominantly small, lower-risk premises.
Local authorities' enforcement of health and safety is guided
by guidance from the Commission on enforcement policy and management
of enforcement, as well as guidance from HELA.
HELA provides an effective and welcome mechanism
for liaison between HSE and local authorities. Similarly, the
Lead Authority Partnership Scheme was developed to promote the
consistency of health and safety enforcement across local authorities.
The Scheme involves the formation of partnerships between local
authorities and businesses, followed by a safety management review
of the company. The Lead Authority then acts as a contact point
for liaison with other authorities on issues affecting the company.
With regard to funding, local authorities receive
a specific allocation of money through the Revenue Support Grant
mechanism for spending on health and safety enforcement. They
make a decision on the level of resources they can allocate to
enforcement, based on demands on their resources for other local
authority services.
December 1999
| 
