Non-compliance report

If staff are caught breaking your health and safety rules you should consider making a record of what’s happened. Use our non-compliance report for this purpose.

Why do you need it?

Staff who flout health and safety procedures not only place themselves or others at risk of harm, they also potentially leave the organisation or its managers open to prosecution. Evidence that you responded well should help your case if a similar non-compliance problem occurs in future. Alongside other documentation such as training records, risk assessments, policies and procedures it should demonstrate that the organisation is not to blame.

How should it be used?

The intention is not that the Non-Compliance Report should be used for every small digression, but it should be used in the case of serious concerns which need to be recorded. It should be used alongside your disciplinary procedures.

The report is designed as a simple record of essential factual information. The manager completing it should avoid hearsay or opinion and stick to the known facts. Use it to record the details of the employee themselves and the manager completing the report, along with information about the non-compliance and issue any follow up action. We recommend that you attach copies of any other evidence which may be relevant in a future investigatory hearing or court case, e.g. witness statements, photographs and e-mails.