Health and Safety
Executive / Commission
Enforcement
| Number of cases(a) | Number of duty holders convicted | Total penalties (£) | Average penalty per duty holder convicted (£) | |
|---|---|---|---|---|
| 1997/98 | 876 | 800 | 4,904,350 | 6,130 (b) |
| 1998/99 | 981 | 901 | 6,126,102 | 6,799 (c) |
| 1999/00 | 1,042 | 908 | 7,529,402 | 8,292 (d) |
| 2000/01 | 968 | 883 | 7,697,682 | 8,718 (e) |
| 2001/02 | 986 | 899 | 10,015,346 | 11,141 (f) |
| 2002/03 | 860 | 801 | 7,085,922 | 8846 (g) |
| 2003/04p | 911 | 818 | 11,408,437 | 13,947 (h) |
p = provisional
(a) This figure may include certain employers or other duty-holders who have been prosecuted on more than one occasion. Each prosecution may concern more than one offence.
(b) Includes one fine of £300,000; two fines of £150,000 and two fines of £100,000. If these convictions are excluded the average for 1997/98 was £5,163.
(c) Includes one fine of £1,200,000; one fine of £500,000 and one fine of £100,000. If these convictions are excluded the average for 1998/99 was £4,817.
(d) Includes one fine of £249,999; two fines of £200,000; one fine of £175,000; two fines of £110,000; and two fines of £100,000. If these convictions are excluded the average for 1999/2000 was £6,983.
(e) Includes one fine of £400,000; one fine of £350,000; two fines of £125,000 and two fines of £100,000. If these convictions are excluded the average for 2000/01 was £7,409.
(f) Includes two fines of £350,000; one fine of £340,000; one fine of £300,000; one fine of £250,000; five fines of £200,000 and two fines of £100,000. If these convictions are excluded the average fine for 2001/02 was £8,146.
(g) Includes one fine of £200,000; one fine of £150,000; one fine of £125,000 and two fines of £100,000. If these convictions are excluded the average for 2002/03 was £8,054.
(h) Includes one fine of £700,000; one fine of £300,000; two fines of £250,000; one fine of £220,000; two fines of £200,000; one fine of £175,000; eight fines of £150,000 and four fines of £100,000. If these convictions are excluded the average for 2003/04p was £9,415.
| Prosecutions | Total offences prosecuted (a) | Of which, offences leading to conviction | Average penalty per conviction (b) £ |
|---|---|---|---|
| 1990/91 | 2,312 | 1,991 | 903 (c) |
| 1991/92 | 2,424 | 2,126 | 1,181 (d) |
| 1992/93 | 2,157 | 1,865 | 1,390 |
| 1993/94 | 1,793 | 1,507 | 3,103 (e) |
| 1994/95 | 1,803 | 1,499 | 2,873 (f) |
| 1995/96 | 1,767 | 1,451 | 2,572 |
| 1996/97 | 1,490 | 1,195 | 5,274 (g) |
| 1997/98 | 1,627 | 1,284 | 4,694 (h) |
| 1998/99 | 1,759 | 1,512 | 4,861 (i) |
| 1999/00 | 2,115 | 1,616 | 6,820 (j) |
| 2000/01 | 1,973 | 1,490 | 6,226 (k) |
| 2001/02 | 1,986 | 1,522 | 8,234 (l) |
| 2002/03 | 1659 | 1273 | 6,251 (m) |
| 2003/04p | 1756 | 1305 | 9,858 (n) |
p = provisional
(a) Each offence prosecuted represents one information laid or, in Scotland, charge preferred.
(b) Figures for average penalty are actuals.
(c) Includes two separate fines of £250,000 and £100,000 (reduced from £250,000 on appeal in November 1990). If these convictions are excluded the average fine for 1990/91 was £728.
(d) Includes three separate fines of £250,000 and £100,000 against individual corporations. If these convictions are excluded the average fine for 1991/92 was £970.
(e) Includes three individual fines of £250,000 and single fines of £150,000 and £100,000. The average fine for 1993/94 without these convictions was £2447.
(f) Includes two individual fines of £200,000 and £100,000. If these convictions are excluded the average fine for 1994/95 was £2677.
(g) Includes four separate fines of £750,000, £500,000, £250,000 and £125,000, fines totaling £400,000 against one company and six individual fines of £100,000. If these convictions are excluded the average fine for 1996/97 was £3113.
(h) Includes one fine of £175,000, four separate fines for £150,000 and four of £100,000. If these convictions are excluded the average fine for 1997/98 was £3805
(i) Includes one fine of £1,200,000, two for £500,000 and two of £100,000. If these convictions are excluded the average fine for 1998/99 was £3349.
(j) Includes one fine of £1,500,000, two fines of £300,000, one fine of £250,000, two fines of £200,000, one fine of £175,000, two fines of £110,000, two fines of £100,000. If these convictions are excluded the average fine for 1999/00 was £4651.
(k) This includes one fine of £400,000, one fine of £300,000, three fines of £200,000, one fine of £175,000, one fine of £150,000, two fines of £125,000 and two fines of £100,000. If these convictions are excluded the average fine for 2000/01 was £4869.
(l) Includes one fine of £750,000; one fine of £350,000; one fine of £250,000; one fine of £225,000; six fines of £200,000; one fine of £175,000; three fines of £150,000; two fines of £140,000; two fines of £125,000; four fines of £100,000. If these convictions are excluded the average for 2001/02 would be £5,468.
(m) Includes one fine of £200,000; two fines of £150,000; 1 fine of £125,000; and three fines of £100,000. If these convictions are excluded the average for 2002/03 would be £5,555.
(n) Includes one fine of £700,000; one fine of £300,000; two fines of £250,000; one fine of £220,000; three fines of £200,000; one fine of £175,000; ten fines of £150,000 and five fines of £100,000. If these convictions are excluded the average for 2003/04p would be £6,534.
| Notices issued by type | Improvement | Deferred Prohibition | Immediate Prohibition | Total Notices |
|---|---|---|---|---|
| 1990/91 | 8,489 | 227 | 4,022 | 12,738 |
| 1991/92 | 8,395 | 222 | 3,802 | 12,419 |
| 1992/93 | 7,462 | 201 | 4,251 | 11,914 |
| 1993/94 | 6,484 | 144 | 3,961 | 10,589 |
| 1994/95 | 6,512 | 124 | 4,172 | 10,808 |
| 1995/96 | 5,219 | 82 | 3,385 | 8,686 |
| 1996/97 | 3,770 | 165 | 3,509 | 7,444 |
| 1997/98 | 4,411 | 181 | 4,319 | 8,911 |
| 1998/99 | 6,353 | 199 | 4,348 | 10,900 |
| 1999/00 | 6,972 | 196 | 4,172 | 11,340 |
| 2000/01 | 6,671 | 147 | 4,238 | 11,056 |
| 2001/02 | 6,712 | 116 | 4,254 | 11,082 |
| 2002/03 | 8,140 | 113 | 5,071 | 13,324 |
| 2003/04p | 6,776 | 81 | 4,438 | 11,295 |
p - provisional
The types of enforcement action referred to in the tables are defined below:
Improvement notices require employers to take remedial action on specific breaches of the law, within a specified time limit;
Prohibition notices are issued in cases where the inspector believes that a work activity involves or will involve a risk of serious personal injury. Prohibition notices can take two forms:
| Improvement Notices | Prohibition Notices | Total Notices | Censures | |
|---|---|---|---|---|
| 1998/99 | 13 | 1 | 14 | 4 |
| 1999/00 | 21 | 5 | 26 | 3 |
| 2000/01 | 11 | 0 | 11 | 2 |
| 2002/03 | 14 | 2 | 16 | 2 |
| 2003/04p | 14 | 2 | 16 | 1 |
p = provisional
Crown bodies are bound by the requirements of health and safety legislation, but are not subject to statutory enforcement notices or prosecution (Crown immunity). Non-statutory procedures are in place for the issue of Crown improvement and prohibition notices, and for the censure of Crown bodies in circumstances in which a prosecution would otherwise have been brought.
Crown improvement notices and Crown prohibition notices require the same action from Crown employers as do improvement and prohibition notices issued to other employers.
A Crown censure is the formal recording of a decision by HSE that, but for Crown immunity, the evidence of a Crown body’s failure to comply with health and safety law would have been sufficient to provide a realistic prospect of conviction in the courts, and prosecution would have been in the public interest. This is in line with the HSC Enforcement Policy Statement and the Code for Crown Prosecutors.
| Cases prosecuted (a) | Number of duty-holders convicted (b) |
Total offences prosecuted | Of which, offences leading to conviction | Average penalty per conviction £ |
|
|---|---|---|---|---|---|
| 1996/97 | - | - | 1,230 | 997 | 5,211 |
| 1997/98 | - | - | 1,319 | 1,044 | 4,362 |
| 1998/99 | 844 | - | 1,440 | 1,256 | 5,158 |
| 1999/00 | 873 | - | 1,683 | 1,267 | 5,380 |
| 2000/01 | 825 | - | 1,632 | 1,239 | 6,526 |
| 2001/02 | 819 | 754 | 1,505 | 1,207 | 7,756 |
| 2002/03 | 721 | 689 | 1,302 | 1,062 | 5,779 |
| 2003/04p | 818 | 741 | 1,391 | 1,124 | 9,599 |
P = provisional
(a) Figures for cases prosecuted for years 1996/7 and 1997/8 are not available.
(b) Figures for the number of duty holders convicted before 2001/02 are not available.
Offshore prosecutions are included in Table 2. They also appear in Tables 5 and 7, depending on where the prosecution was conducted. If the offence occurs in Scottish waters (as defined), the case goes to a Scottish court, and if in English waters, to an English court.
| Cases prosecuted (a) | Number of duty-holders convicted (b) | Total offences prosecuted | Of which, offences leading to conviction | Average penalty per conviction(£) | |
|---|---|---|---|---|---|
| 1996/97 | - | - | 86 | 76 | 8,011 |
| 1997/98 | - | - | 149 | 134 | 4,591 |
| 1998/99 | 97 | - | 170 | 153 | 3,559 |
| 1999/00 | 134 | - | 215 | 195 | 7,747 |
| 2000/01 | 94 | - | 160 | 140 | 4,135 |
| 2001/02 | 98 | 90 | 219 | 162 | 8,147 |
| 2002/03 | 72 | 68 | 124 | 99 | 11,898 |
| 2003/04p | 41 | 38 | 77 | 62 | 12,518 |
p = provisional
(a) Figures for cases prosecuted for years 1996/97 and 1997/8 are not available.
(b) Figures for the number of duty-holders convicted before 2001/02 are not available.
| Complaints prosecuted (a) | Number of duty-holders convicted (b) | Total offences prosecuted | Of which, offences leading to conviction(c) | Average penalty per conviction£ | |
|---|---|---|---|---|---|
| 1996/97 | - | - | 174 | 122 | 4,083 |
| 1997/98 | - | - | 159 | 106 | 8,096 |
| 1998/99 | 105 | - | 149 | 103 | 3,183 |
| 1999/00 | 118 | - | 217 | 154 | 4,262 |
| 2000/01 | 106 | - | 181 | 111 | 5,510 |
| 2001/02 | 142 | 114 | 262 | 153 | 12,098 |
| 2002/03 | 115 | 90 | 233 | 112 | 5,740 |
| 2003/04p | 123 | 96 | 288 | 119 | 10,918 |
p = provisional
(a) Figures for complaints prosecuted for years 1996/7 and 1997/8 are not available.
(b) Figures for the number of duty-holders convicted before 2001/02 are not available.
(c) In Scotland not all charges in court are pursued by the Procurator Fiscal, some may “not be taken” or may be “plea bargained”.
Offshore prosecutions are included in the Table 2. They also appear in Tables 5 and 7, depending on where the prosecution was conducted. If the offence occurs in Scottish waters (as defined), the case goes to a Scottish court, and if in English waters, to an English court.
p = provisional
| Standard Industrial Classification (SIC92) | Year | Agriculture, hunting, forestry & fishing | Extractive & utility supply industries | Manufacturing industries | Construction | Service industries | All industries |
|---|---|---|---|---|---|---|---|
| Offences prosecuted | 96/97 | 103 | 48 | 563 | 508 | 268 | 1,490 |
| 97/98 | 80 | 32 | 518 | 719 | 278 | 1,627 | |
| 98/99 | 117 | 49 | 601 | 681 | 311 | 1,759 | |
| 99/00 | 141 | 97 | 714 | 782(a) | 381 | 2,115 | |
| 00/01 | 176 | 38 | 690 | 696 | 373 | 1,973 | |
| 01/02 | 162 | 55 | 740 | 606 | 423 | 1,986 | |
| 02/03 | 82 | 50 | 619 | 597 | 311 | 1,659 | |
| 03/04p | 98 | 58 | 586 | 635 | 379 | 1,756 | |
| Convictions | 96/97 | 87 | 37 | 477 | 385 | 209 | 1,195 |
| 97/98 | 69 | 26 | 438 | 544 | 207 | 1,284 | |
| 98/99 | 102 | 34 | 551 | 565 | 260 | 1,512 | |
| 99/00 | 107 | 65 | 606 | 542 | 296 | 1,616 | |
| 00/01 | 71 | 23 | 572 | 530 | 294 | 1,490 | |
| 01/02 | 115 | 36 | 615 | 442 | 314 | 1,522 | |
| 02/03 | 68 | 28 | 522 | 434 | 221 | 1,273 | |
| 03/04p | 79 | 35 | 498 | 415 | 278 | 1,305 | |
| Average penalty per conviction (£) | 96/97 | 1,101 | 1,780 | 7,372(b) | 3,934(c) | 5,305(d) | 5,274(e) |
| 97/98 | 1,316 | 19,192(f) | 5,760(g) | 3,123 | 5,872(h) | 4,694(i) | |
| 98/99 | 1,391 | 8,916 | 4,077(j) | 5,516(k) | 5,932(i) | 4,861(m) | |
| 99/00 | 3,751 | 10,644(n) | 7,373(o) | 4,296(p) | 10,579(q) | 6,820(r) | |
| 00/01 | 2,090 | 14,589 | 6,158(s) | 4,692(t) | 9,468(u) | 6,226(v) | |
| 01/02 | 1,997 | 26,444(w) | 8,611(x) | 7,450(y) | 8,795(z) | 8,234(aa) | |
| 02/03 | 2,606 | 13,721 | 5,020(ab) | 5,745 | 10,330(ac) | 6,251(ad) | |
| 03/04p | 2,899 | 32,851(ae) | 8,634 (af) | 9,601 (ag) | 11,516(ah) | 9,858(ai) |
(a) Includes 77 informations adjourned sine die (ie indefinitely) during prosecutions following a single incident involving multiple breaches of asbestos regulations.
(b) Includes one fine of £750,000, one fine of £500,000, one fine of £250,00 and five fines of £100,000. The average fine without these convictions would be £3234.
(c) Includes one fine of £125,000 and one fine of £100,000. The average fine without these convictions would be £3367.
(d) Includes four fines of £100,000. The average fine without these convictions would be £3457.
(e ) Includes one fine of £750,000, one fine of £500,000, one fine of £250,00, one fine of £200,000, one fine of £125,000 and eight fines of £100,000. The average fine without these convictions would be £3113.
(f) Includes one fine of £175,000 and two fines of £100,000. The average fine without these convictions would be £5391.
(g) Includes two fines of £150,000 and one fine of £100,000. The average fine without these convictions would be £4880.
(h) Includes two fines of £150,000 and one fine of £100,000. The average fine without these convictions would be £3610.
(i) Includes one fine of £170,000, three fines of £150,000 and four fines of £100,000. The average fine without these convictions would be £3805.
(j) Includes one fine of £100,000. The average fine without this conviction would be £3903.
(k ) Includes one fine of £1,200,000 and two fines of £500,000. The average fine without these convictions would be £2516.
(l) Includes two fines of £500,000. The average fine without these convictions would be £4024.
(m) Includes one fine of £1,200,000, two fines of £500,000 and one fine of £100,000. The average fine without these convictions would be £3349.
(n ) Includes one fine of £300,000. The average fine without this conviction would be £6123.
(o ) Includes one fine of £300,000, one fine of £249,999, one fine of £200,000, one fine of £175,000, one fine of £110,000 and one fine of £100,000. The average fine without these convictions would be £5555.
(p) Includes one fine of £200,000, one fine of £110,000 and one fine of £100,000. The average fine without these convictions would be £3556.
(q) Includes one fine of £1,500,000, and one fine of £250,000. The average fine without these convictions would be £4698.
(r) Includes one fine of £1,500,000, two fines of £300,000, one fine of £250,000, one fine of £249,999, two fines of £200,000, one fine of £175,000, two fines of £110,000 and two fines of £100,000. The average fine without these convictions would be £4630.
(s) This includes two fines of £200,000 one fine of £150,000 and two fines of £125,000. The total fine without these convictions would be £5145.
(t) This includes a fine of £100,000. The average fine without these convictions would be £4511.
(u) Includes a fine of £400,000, one fine of £300,000 two fines of £200,000, one fine of £175,000 and one fine of £100,000. The average fine without these convictions would be £4891.
(v) This includes one fine of £400,000, one fine of £300,000, three fines of £200,000, one fine of £175,000, one fine of £150,000, two fines of £125,000 and two fines of £100,000. The average fine without these convictions would be £4869.
(w) This includes one fine of £250,000; one fine of £140,000. The average fine without these convictions would be £16,529.
(x) This includes one fine of £750,000; two fines of £200,000; two fines of £150,000; two fines of £125,000; three fines of £100,000. The average fine without these convictions would be £5,448.
(y) This includes one fine of £350,000; two fines of £200,000; one fine of £175,000; one fine of £100,000. The average fine without these convictions would be £5,190.
(z) This includes one fine of £225,000; two fines of £200,000; one fine of £150,000; one fine of £140,000. The average fine without these convictions would be £5,976.
(aa) This includes one fine of £750,000; one fine of £350,000; one fine of £250,000; one fine of £225,000; six fines of £200,000; one fine of £175,000; three fines of £150,000; two fines of £140,000; two fines of £125,000; four fines of £100,000. The average fine without these convictions would be £5,468.
(ab) This includes one fine of £125,000. The average fine without these convictions would be £4,789.
(ac) This includes one fine of £200,000; two fines of £150,000 and three fines of £100,000. The average fine without these convictions would be £6,897.
(ad) This includes one fine of £200,000; two fines of £150,000; one fine of £125,000; three fines of £100,000. The average fine without these convictions would be £5,555.
(ae) This includes four fines of £150,000 and one fine of £100,000. Average fine without these convictions would be £14,993.
(af) This includes one fine of £300,000; one fine of £250,000; one fine of £220,000; one fine of £200,000; one fine of £150,000 and three fines of £100,000. Average fine without these convictions would be £5,877.
(ag) This includes one fine of £700,000; one fine of £175,000 and four fines of £150,000. Average fine without these convictions would be £6,136.
(ah) This includes one fine of £250,000; two fines of £200,000; one fine of £150,000 and one fine of £100,000. Average fine without these convictions would be £8,430.
(ai) This includes one fine of £700,000; one fine of £300,000; two fines of £250,000; one fine of £220,000; three fines of £200,000; one fine of £175,000; ten fines of £150,000 and five fines of £100,000. Average fine without these convictions would be £6,534.
| STANDARD INDUSTRIAL CLASSIFICATION (SIC92)TYPE OF NOTICE | Year | Agriculture, hunting, forestry & fishing | Extractive & utility supply industries | Manufacturing industries | Construction | Service industries | All industries |
|---|---|---|---|---|---|---|---|
| Improvement | 96/97 (a) | 600 | 41 | 2,111 | 179 | 839 | 3,770 |
| 97/98 (b) | 810 | 49 | 2,435 | 153 | 964 | 4,411 | |
| 98/99 | 933 | 156 | 3,087 | 582 | 1,595 | 6,353 | |
| 99/00 | 976 | 148 | 3,493 | 681 | 1,674 | 6,972 | |
| 00/01 | 694 | 195 | 3,851 | 539 | 1,392 | 6,671 | |
| 01/02 | 429 | 127 | 3,953 | 588 | 1,615 | 6,712 | |
| 02/03 | 1,508 | 159 | 4,104 | 778 | 1,591 | 8,140 | |
| 03/04p | 1,474 | 133 | 3,033 | 798 | 1,338 | 6,776 | |
| Deferred prohibition | 96/97 | 19 | 3 | 55 | 50 | 38 | 165 |
| 97/98 | 35 | 0 | 61 | 47 | 38 | 181 | |
| 98/99 | 33 | 0 | 67 | 55 | 44 | 199 | |
| 99/00 | 21 | 5 | 30 | 112 | 28 | 196 | |
| 00/01 | 21 | 1 | 46 | 55 | 24 | 147 | |
| 01/02 | 16 | 1 | 49 | 28 | 22 | 116 | |
| 02/03 | 23 | 1 | 35 | 32 | 22 | 113 | |
| 03/04 | 11 | 1 | 15 | 33 | 21 | 81 | |
| Immediate prohibition | 96/97 | 419 | 139 | 861 | 1747 | 343 | 3509 |
| 97/98 | 974 | 120 | 1030 | 1828 | 367 | 4319 | |
| 98/99 | 799 | 117 | 1055 | 2017 | 360 | 4348 | |
| 99/00 | 644 | 85 | 1090 | 1975 | 378 | 4172 | |
| 00/01 | 590 | 55 | 1203 | 2036 | 354 | 4238 | |
| 01/02 | 254 | 89 | 1 308 | 2 191 | 412 | 4 254 | |
| 02/03 | 583 | 56 | 1,211 | 2,772 | 449 | 5,071 | |
| 03/04p | 541 | 59 | 854 | 2,647 | 337 | 4,438 | |
| Total notices | 96/97 (a) | 1 038 | 183 | 3 027 | 1 976 | 1 220 | 7444 |
| 97/98 (b) | 1 819 | 169 | 3 526 | 2 028 | 1 369 | 8911 | |
| 98/99 | 1 765 | 273 | 4 209 | 2 654 | 1 999 | 10 900 | |
| 99/00 | 1 641 | 238 | 4 613 | 2 768 | 2 080 | 11 340 | |
| 00/01 | 1 305 | 251 | 5 100 | 2 630 | 1 770 | 11 056 | |
| 01/02 | 699 | 217 | 5 310 | 2 807 | 2 049 | 11 082 | |
| 02/03 | 2,114 | 216 | 5,350 | 3,582 | 2,062 | 13,324 | |
| 03/04p | 2,026 | 193 | 3,902 | 3,478 | 1,696 | 11,295 |
p = provisional
(a) In the absence of the then Notice of Intent procedure 1996/97 enforcement notices numbers would have been about 540 higher. In 1996/97, approximately 540 Notices of Intent led to work being completed within two weeks. Therefore, Improvement Notices were not issued.
(b) In the absence of the then Notice of Intent procedure, 1997/98 enforcement notice numbers would have been about 630 higher. In 1997/98, approximately 630 Notices of Intent led to work being completed within two weeks. Therefore, Improvement Notices were not issued. The Notice of Intent procedure was withdrawn at the end of 1997/98.