Health and Safety
Executive / Commission
Freedom of Information
SIM 01/2008/04
Author unit / section: Agriculture & Food Sector
Target audience: Operational Inspectors B3/B4
This SIM introduces supplementary guidance on enforcement interventions to assist in improving the industry’s poor accident and ill health record.
1 This SIM provides guidance on enforcement issues in agriculture, horticulture, forestry and related industries (eg arboriculture, amenity and landscaping). The industry has the worst fatal injury rate of any major employment sector. Although it represents only 1.7% of the GB workforce, it accounts for 19% of the reported fatal injuries. Gross under-reporting obscures the picture in terms of non-fatal injuries. It is also an industry with a poor record of occupational health.
2 The advice in this SIM is based on the principles of good regulation set out in HSC’s Enforcement Policy[1].
3 Enforcement or the fear of enforcement is an important motivator for some employers. Enforcement action is an effective means of securing compliance and promoting self-compliance. In this guidance, enforcement means all dealings with dutyholders that result in the serving of notices; the issuing of formal cautions; or prosecution; and the provision of information or advice, face-to-face or in writing.
4 Recent experience suggests increasing lack of knowledge and understanding amongst inspectors about standards of compliance in agriculture. The process of making enforcement decisions is complex. Each duty holder is unique, and inspectors need a thorough understanding of the hazards, risks and control measures. It is also vital that inspectors exercise professional judgment, so that appropriate enforcement action can be taken.
5 This SIM is not a procedure in its own right nor does it exist in isolation. It aims to provide guidance to empower inspectors to exercise discretion when making enforcement decisions. It does not direct enforcement in any particular case but rather, is intended to:
6 It summarises benchmarks against known risks in agriculture. Benchmarks describe the level of residual risk remaining once the actions required of the duty holder by the relevant standards, enforceable by law, are met. This level may be nil or negligible when legislation requires risks to be eliminated or tightly controlled, or may be higher where some residual risk is allowed.
7 For the purpose of this SIM a benchmark is the permitted level of risk, determined by relevant legal requirements and where necessary, interpreted by Sector guidance, industry standards etc. The standards referred to in this document are examples of the performance needed to meet a general or qualified duty.
8 Inspectors will continue to investigate accidents and complaints in the industry and should continue to rigorously enforce against those businesses that wilfully break the law and put people at risk. They should not hesitate to use their powers of enforcement (including prosecution where appropriate and necessary) to achieve the necessary improvements to safeguard people’s health, safety and welfare.
9 Inspectors should always deal first with matters which give rise to risk of serious personal injury. Inspectors have the power to prohibit work activities and to seize and make safe articles or substances, which are creating the risk. Sometimes they will do both. When considering the immediacy of risk, inspectors should use the principles of ‘risk gap analysis’. They should have an understanding of ‘actual risk’, and take account of any relevant benchmark standards when considering what can be done within the law to reduce the risk of serious personal injury. Local factors can both reduce or increase the national enforcement expectation. Prosecution, letters or verbal advice are always options.
10 Inspectors are also expected to take enforcement action where inadequate training of operators, supervisors or managers results in increased risks to their health, safety and welfare.
11 Inspectors should raise awareness of the issues identified in this SIM during investigations and visits. Guidance on Risk Gaps and National Enforcement Expectations are provided in respect of FIT3 Topics and migrant working in the relevant Topic Inspection Packs - see Annex A. Annex B provides links to other guidance on matters of evident concern i.e. significant hazards common to many farms such as the safe use of pesticides. Annex C lists other topics for which guidance is being or may be developed in future e.g. veterinary medicines including organophosphorus (OP) sheep dips and child safety . The need for further guidance will be kept under review. Annex D lists topics for which no enforcement benchmarks or agricultural specific guidance exist or are proposed.
12 It is essential that staff deal appropriately with MEC. These are hazards that create a risk of serious personal injury. They may be self-evident or may be drawn to an inspector's attention, e.g. by a safety representative, and will normally result in immediate formal enforcement action being taken or in referral to another enforcing authority. Examples of MEC include: using unguarded machinery, e.g. power take-off shafts, cabs or roll bars or other suitable device fitted to all tractors; provision of suitable PPE for chainsaws; using substances hazardous to health without appropriate precautions (pesticides, OPs etc); unfenced slurry lagoons etc.
13 Issues raised by employees (including management) may be MEC, in which case they should be treated as such. In other cases, however, they may not be MEC but may illustrate a lack of awareness of how to properly manage health and safety. In these cases the issue should be dealt with in discussions about assessment, benchmarking and advice on managing health and safety using the Fit3 topics as illustrative examples.
14 The hazards referred to in this SIM are not exhaustive. Some are specific to particular sectors, situations or processes. These guidelines supplement more general guidance on the application of health & safety legislation.
15 Operational inspectors should report detailed information on interventions using the notes facility on COIN. Further guidance on COIN recording is contained in OM 2006/08.[2]
16 The Enforcement Guide[3] on investigations is available on HSE’s Intranet. Further advice can also be found at Revised incident selection criteria 2005 [PDF 38KB][4], which provides guidance on the investigation process as a whole, from collecting evidence to writing a Prosecution Report and Approving a Prosecution (both in the Approving Prosecutions Section). FOD’s revised Incident Selection Criteria provides detailed guidance on the selection of reported incidents for investigation.
17 HSE’s Intranet Enforcement Management Model[5] (EMM) can also be found on HSE’s website at Enforcement Management Model [PDF 132KB]
[6]. The EMM provides a framework, which helps inspectors make enforcement decisions in line with HSC’s Enforcement Policy Statement (EPS). The EPS sets out the principles inspectors should apply when determining what enforcement action to take in response to breaches of health and safety legislation. Fundamental to this is the principle that enforcement should be proportional to the health and safety risks and the severity of the breach.
18 HSE’s Enforcement Guide[7] can be found on HSE’s website at HSE Enforcement Guide (England & Wales)[8]. The guide provides guidance to HSE staff in respect of their enforcement powers and duties. The information and advice it provides assists HSE staff in exercising discretion when making enforcement. It sets out the law and legal practice relevant to the criminal enforcement of health and safety duties.
19 Operational procedures. Guidance on taking enforcement decision can also be found at ‘Enforcement Decision[9]’ and describes how HSE ensures enforcement decisions arising from inspections & investigations are taken in accordance with HSC’s Enforcement Policy.
The Legal and enforcement homepage on the intranet [10] brings HSE's internal legal & enforcement guidance and instructions together in one place.
| Code | Section hazard | Topic enforcement guidance and interventions |
|---|---|---|
| S1 | Safety | Workplace transport [11] (including ATV’s, Child Safety etc) |
| S2 | Falls from height[12] | |
| S3 | Slips and trips[13] | |
| H1 | Health | Musculoskeletal disorders (MSD)[14] |
| M1 | Management | Migrant working[15] |
Further information also available in the Band 4 topic training packs[16]
| Code | Section hazard | Topic enforcement guidance and interventions | Guidance |
|---|---|---|---|
| S4 | Safety | Machinery | SIM 01/2006/03[17] |
| S5 | Chainsaw Training and Assessment | SIM 01/2004/02[18] | |
| S6 | Management of the risk from falling trees | SIM 01/2007/05[19] | |
| S7 | European Standard BS EN 708/A1 - agricultural machinery - soil working machines with powered tools - safety | SIM 01/2001/03[20] | |
| S8 | HSE position for enforcement within machinery rings | SIM 01/2001/02[21] | |
| H2 | Health | Biological agents: in particular E.coli 0157 | SIM 01/2002/05[22] |
| H3 | Application to risks from pesticides and the storage and use of pesticides | SIM 01/2007/03 [23] & FOD inspector training pack [24] | |
| H4 | Requirements for users of sheep dip to hold a certificate of competence | SIM 01/2006/05 [25] | |
| H5 | Asthmagens | FOD inspection pack [26] | |
| M2 | Management | Storage of ammonium nitrate | SIM 01/2006/04[27] and OC 279/3[28] |
| M3 | Temporary and migrant working | SIM 01/2007/04[29] | |
| Code | Section hazard | Topic enforcement guidance and interventions |
|---|---|---|
| S9 | Safety | Over head power lines |
| S10 | Cattle handling | |
| S11 | Arboricultural | |
| S12 | Forestry | |
| S13 | Horticulture | |
| S14 | In-shore fish farming | |
| S15 | Child safety | |
| H6 | Health | Respiratory diseases |
| H7 | Sheep dipping with organophosphorus compounds | |
| H8 | Veterinary medicines | |
| Code | Section hazard | Topic enforcement guidance and interventions | Guidance |
|---|---|---|---|
| S | Safety | ||
| S | |||
| H8 | Health | Noise[30] further info also in Band 4 topic pack[31] | Generic guidance (not ag specific) available |
| H9 | Asbestos[32] | Generic guidance (not ag specific) available. | |
| M4 | Management | Stress[33] | FOD inspection pack. NB Generic guidance (not ag specific). |
| M5 | Worker involvement[34] | FOD inspection topic pack. NB Generic guidance (not ag specific). | |
NB: Local factors can both reduce or increase the national enforcement expectation. Prosecution, letters or verbal advice are always options.