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# I've Received an HSE Prohibition or Improvement Notice, What Now?
You've had a notice from HSE, it feels like the end of the world, but it's mainly a big, expensive warning shot. Your job now is to fix it, document it, and avoid turning it into a criminal or insurance nightmare.
1. Improvement vs prohibition: what it actually means
Improvement notice (s.21, Health and Safety at Work etc. Act 1974) · HSE says you're breaching (or likely to keep breaching) health and safety law and orders you to put it right by a deadline. The deadline cannot be less than 21 days from the date of the notice. You can usually keep working while you fix it.
Prohibition notice (s.22, HSWA 1974) · HSE believes there is a risk of serious personal injury from an activity. The notice stops that activity immediately · or, if it includes a direction, from the time specified. That work is dead until the problem is fixed to HSE's satisfaction.
A prohibition notice can take effect immediately (if the risk is imminent) or be deferred, the notice will state which.
Both are formal legal notices under the Health and Safety at Work etc. Act 1974. Failing to comply with either is a criminal offence under s.33(1)(g), punishable by an unlimited fine and up to two years' imprisonment on indictment.
2. On the day: don't kick off, get the paperwork
On site, arguing just makes things worse. The inspector has already made the decision.
- Take the notice calmly
- Ask the inspector to walk you through exactly what they believe is wrong and which regulation they say you're breaching
- Get your own copy · paper or emailed · and read the schedule (the part that describes the contravention and what you must do)
Don't try to talk them out of it on the spot. The time to challenge is through the formal appeal process, not at the back of a van.
If it's a prohibition notice, stop the activity immediately. Shut down the plant, cordon off the area, brief your team. No exceptions, no "just let me finish this bit."
Then:
- Send a photo or scan of the full notice to whoever handles H&S for you · consultant, competent person, or head office
- Start a simple action log: what the notice says, what you've done so far, and when. Date and time everything
- Don't post about it on social media or discuss it in writing with anyone except your adviser until you've taken proper advice
3. Compliance and deadlines
Improvement notices give you a window to sort it out.
The notice will specify:
- The legal provision you're breaching (e.g., Regulation 6 of the Work at Height Regulations 2005)
- What you must do to comply
- The deadline for compliance (the compliance period · at least 21 days)
If you fix it on time and can demonstrate compliance, photos, revised risk assessments, updated RAMS, training records, equipment inspection certificates, that is usually the end of the matter. HSE won't pursue it further if you've genuinely put it right.
If you don't comply by the deadline, you are committing a separate criminal offence on top of the original breach. HSE can and will prosecute.
For a prohibition notice, "compliance" means the risk of serious personal injury is genuinely removed, not taped over, not fudged, not "near enough." You must be able to demonstrate that the specific risk identified in the notice no longer exists before you restart that activity.
4. Appeals: 21 days and how it works
You can challenge a notice, but the clock starts on the day it's served.
You have 21 days from the date of the notice to appeal to an Employment Tribunal under s.24 HSWA 1974.
Improvement notice appeal: lodging the appeal suspends the notice until the tribunal decides. You don't have to comply in the meantime (but you'd be wise to fix the problem anyway).
Prohibition notice appeal: the notice stays in force while you appeal. You still cannot carry out the banned activity unless the tribunal specifically orders otherwise. This is a critical difference.
Costs:
- There are no tribunal filing fees · they were scrapped following R (Unison) v Lord Chancellor [2017] UKSC 51
- But you'll almost certainly need a solicitor or specialist H&S consultant to draft the appeal and represent you · budget roughly £2,000-5,000 depending on complexity
- If the notice is confirmed by the tribunal, you may also be ordered to pay HSE's costs in some circumstances
The Employment Tribunal Customer Contact Centre (0300 123 1024) can explain the process for lodging an appeal, but they cannot advise you on whether to appeal.
Appeals can and do succeed, particularly where an inspector has overreached, drafted the notice too broadly, cited the wrong regulation, or where the factual basis for the notice is disputed. But you need a strong technical and legal argument, not just disagreement.
5. HSE Fee for Intervention: the bill is coming
If HSE finds a material breach of health and safety law, they charge you for their time. This is on top of any fine.
Since 2012, HSE has operated Fee for Intervention (FFI) · you pay an hourly rate for every hour HSE spends dealing with your breach, from inspection through to follow-up visits and correspondence.
The current FFI rate is £174 per hour (from April 2024). It was £163 in 2022/23 and £166 in 2023/24, it's uprated periodically.
You'll receive an itemised invoice showing the hours and work done. This can add up fast: a notice that takes an inspector 4 hours of site time plus 3 hours of follow-up is over £1,200 before you've done anything to fix the problem.
You can dispute the FFI invoice: challenge the hours, the classification of "material breach", or whether FFI should apply at all. But the system works on a pay-first-dispute-later basis: you must pay the invoice and then use the formal dispute process to get a refund if your challenge succeeds.
Budget for the notice itself plus FFI as a real cost of getting it wrong. This is not a slap on the wrist.
6. Tell your insurer, seriously
Insurers hate surprises more than they hate claims.
Most employers' liability (EL) and public liability (PL) policies include a condition requiring you to notify your insurer of any HSE enforcement action, including improvement and prohibition notices, within a specified timeframe (often 14 or 30 days, check your policy wording).
Failure to disclose can give your insurer grounds to:
- Refuse to cover a related claim
- Argue the policy is voidable for non-disclosure or breach of condition
- Increase your premium at renewal with no warning
When you notify them, send:
- A copy of the notice
- Your action plan for compliance
- Evidence of what you're doing to fix it · photos, updated RAMS, training records
This shows you're taking it seriously and managing the risk, not ignoring it.
If you have a retained H&S consultant through your insurance (some trade policies include this), loop them in early. They're often funded by the policy and can help you get compliant faster.
7. Public register and reputational damage
This doesn't stay secret.
HSE publishes enforcement notices on its public register (resources.hse.gov.uk/notices/) approximately 5 weeks after the notice is served. The entry stays on the register for 5 years.
Anyone can search by company name, location, or industry sector. That includes:
- Potential clients doing due diligence
- Tier 1 and Tier 2 contractors checking your compliance history
- Pre-qualification bodies (Constructionline, CHAS, SMAS, SafeContractor)
- Competitors (unfortunately)
- Journalists, if the breach is serious enough
When HSE is satisfied the notice has been complied with, a compliance note is added to the entry, but the notice itself remains visible for the full 5 years.
That's why it's worth doing more than the bare minimum. You want to be able to say: "We had a notice, we fixed the underlying problem properly, and here's the evidence that it's not how we operate."
8. PQQs, tenders and what you tell clients
Most pre-qualification questionnaires will ask something like: "Have you received any HSE enforcement notices in the last 5 years?"
A notice does not automatically disqualify you. Lying about it is far more damaging than having one, especially since the questioner can check the HSE public register and catch you out.
The smart approach:
- Answer honestly
- Attach a short written explanation: what the issue was, what you changed (training, equipment, procedures, supervision), and confirmation it was complied with on time
- If you have evidence of the improvement · updated RAMS, new training certificates, equipment inspection records · include it
Some Tier 1 clients will check the HSE register to see if your account matches reality. Honesty plus evidence of improvement is always stronger than denial.
You're showing it was a wake-up call that you acted on, not how you run your business as standard.
9. Making sure it doesn't happen again
The notice is essentially a free consultancy report on what you got wrong.
It spells out the specific legal breach, which regulation, which duty, which risk. Use that wording directly to:
- Update your risk assessments for that activity, and similar activities across all your sites
- Revise your method statements (RAMS) to address the specific failure
- Retrain your team · run a toolbox talk specifically on the issue identified. Record attendance, date, and content
- Improve supervision and inspection · if the problem was that nobody was checking, build in a checking routine
Document everything:
- Toolbox talk records with attendees and signatures
- New or revised inspection records and checklists
- Maintenance logs for any equipment involved
- Photos of fixed guardrails, edge protection, access, plant modifications
- Revised procedures signed off by the relevant people
If HSE inspects you again, and they may well revisit, being able to show "we learned, we changed, and here's the proof" goes a long way. Inspectors note businesses that respond well. They also note the ones that don't.
Your insurers will also want to see this evidence at renewal.
What to do next
- Read the notice carefully · understand exactly what regulation you're said to have breached and what you must do
- If it's a prohibition notice, stop the activity immediately (section 2)
- Notify your insurer within the timeframe your policy requires (section 6)
- Start your action log and compliance evidence from today (section 9)
- If you're considering an appeal, get specialist advice within the first week · the 21-day deadline is firm
- Fix the problem properly, not just for the notice but across your business
Sources
- Health and Safety at Work etc. Act 1974, s.21 (improvement notices), s.22 (prohibition notices), s.24 (appeals), s.33 (offences) · legislation.gov.uk/ukpga/1974/37
- Health and Safety (Fees) Regulations 2012 (Fee for Intervention) · legislation.gov.uk/uksi/2012/1652
- HSE Fee for Intervention guidance · hse.gov.uk/fee-for-intervention
- HSE Enforcement Policy Statement · hse.gov.uk/enforce/enforcepolicy.htm
- HSE Public Register of Enforcement Notices · resources.hse.gov.uk/notices/
- R (Unison) v Lord Chancellor [2017] UKSC 51 (tribunal fees)
- Employment Tribunals Act 1996, s.40 (appeals against notices) · legislation.gov.uk/ukpga/1996/17
Frequently asked questions
What does HSE look for on a construction site?
HSE inspectors focus on the biggest killers: work at height, structural collapse, being struck by moving vehicles or plant, and exposure to harmful substances like silica dust and asbestos. They'll check your risk assessments, method statements, welfare facilities, scaffold inspections, edge protection, and whether workers have the right training and CSCS cards.
They also look at management -- who's in charge, is the CDM principal contractor doing their job, are there proper inductions. An inspector can spot a dodgy site in about 30 seconds, so if your housekeeping is poor and your edge protection is missing, expect them to start writing.
Can HSE shut down a building site?
Yes. HSE inspectors can serve a Prohibition Notice under Section 22 of the Health and Safety at Work etc. Act 1974, which stops a specific activity immediately if they believe there is a risk of serious personal injury. They can also serve an Improvement Notice under Section 21, giving you a deadline to fix a problem.
A Prohibition Notice takes effect immediately -- you cannot carry on that activity until the issue is fixed. Ignoring it is a criminal offence. In extreme cases, HSE can prosecute the company and individuals, with unlimited fines and up to two years in prison for the most serious breaches.
Do I have to let HSE on my site?
Yes. Under Section 20 of the Health and Safety at Work etc. Act 1974, HSE inspectors have the power to enter any workplace at any reasonable time without giving notice. Obstructing an inspector is a criminal offence under Section 33, punishable by a fine or imprisonment.
In practice, most inspectors will introduce themselves and explain why they're there. Be polite, cooperate, and walk them round. Trying to block access, hide things or send workers home before they arrive will make everything ten times worse.
What happens after an HSE inspection?
After an inspection, HSE will either take no formal action (if things are fine), issue an Improvement Notice (fix this by a set date), issue a Prohibition Notice (stop this immediately), or in serious cases begin a prosecution. You'll get a written record of their visit and any notices served.
If you get an Improvement Notice, you have 21 days to appeal to an employment tribunal. If you get a Prohibition Notice, it applies straight away even if you appeal. HSE also publish enforcement notices online -- so your company name, the breach and the notice are publicly searchable on the HSE website.
Can I be fined personally by HSE?
Yes. Under the Health and Safety at Work etc. Act 1974, individuals -- including company directors, site managers and self-employed workers -- can be prosecuted personally. Fines are unlimited in the Crown Court, and custodial sentences of up to two years are possible under Sections 33 and 37.
Since the Sentencing Council guidelines came in (2016), fines have gone up massively. Large organisations have been hit with seven-figure fines, and individuals regularly receive five-figure fines and suspended prison sentences. If someone dies and gross negligence is proved, you're looking at a manslaughter charge with a maximum of life imprisonment under the Corporate Manslaughter and Corporate Homicide Act 2007 (for the company) or common law gross negligence manslaughter (for individuals).
Frequently asked questions
What does HSE look for on a construction site?
HSE inspectors focus on the biggest killers: work at height, structural collapse, being struck by moving vehicles or plant, and exposure to harmful substances like silica dust and asbestos. They'll check your risk assessments, method statements, welfare facilities, scaffold inspections, edge protection, and whether workers have the right training and CSCS cards.
They also look at management -- who's in charge, is the CDM principal contractor doing their job, are there proper inductions. An inspector can spot a dodgy site in about 30 seconds, so if your housekeeping is poor and your edge protection is missing, expect them to start writing.
Can HSE shut down a building site?
Yes. HSE inspectors can serve a Prohibition Notice under Section 22 of the Health and Safety at Work etc. Act 1974, which stops a specific activity immediately if they believe there is a risk of serious personal injury. They can also serve an Improvement Notice under Section 21, giving you a deadline to fix a problem.
A Prohibition Notice takes effect immediately -- you cannot carry on that activity until the issue is fixed. Ignoring it is a criminal offence. In extreme cases, HSE can prosecute the company and individuals, with unlimited fines and up to two years in prison for the most serious breaches.
Do I have to let HSE on my site?
Yes. Under Section 20 of the Health and Safety at Work etc. Act 1974, HSE inspectors have the power to enter any workplace at any reasonable time without giving notice. Obstructing an inspector is a criminal offence under Section 33, punishable by a fine or imprisonment.
In practice, most inspectors will introduce themselves and explain why they're there. Be polite, cooperate, and walk them round. Trying to block access, hide things or send workers home before they arrive will make everything ten times worse.
What happens after an HSE inspection?
After an inspection, HSE will either take no formal action (if things are fine), issue an Improvement Notice (fix this by a set date), issue a Prohibition Notice (stop this immediately), or in serious cases begin a prosecution. You'll get a written record of their visit and any notices served.
If you get an Improvement Notice, you have 21 days to appeal to an employment tribunal. If you get a Prohibition Notice, it applies straight away even if you appeal. HSE also publish enforcement notices online -- so your company name, the breach and the notice are publicly searchable on the HSE website.
Can I be fined personally by HSE?
Yes. Under the Health and Safety at Work etc. Act 1974, individuals -- including company directors, site managers and self-employed workers -- can be prosecuted personally. Fines are unlimited in the Crown Court, and custodial sentences of up to two years are possible under Sections 33 and 37.
Since the Sentencing Council guidelines came in (2016), fines have gone up massively. Large organisations have been hit with seven-figure fines, and individuals regularly receive five-figure fines and suspended prison sentences. If someone dies and gross negligence is proved, you're looking at a manslaughter charge with a maximum of life imprisonment under the Corporate Manslaughter and Corporate Homicide Act 2007 (for the company) or common law gross negligence manslaughter (for individuals).
Common questions
Can HSE shut down a building site?
Yes. An HSE inspector can issue a Prohibition Notice on the spot that stops the work creating the risk. It's a legal order and ignoring it is a criminal offence. They can also issue an Improvement Notice giving you a deadline to comply. Both stay on the public HSE register.
What does HSE look for on a construction site?
HSE checks the high-risk basics first: working at height, asbestos, scaffold inspections, welfare, dust, and CDM roles. They'll ask to see your risk assessments, method statements, F10 notification (if required), and accident book. Anything missing or out of date gets flagged.
HSE Visit Quickcheck reference card.
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