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Introduction

Regulation 16 of the Health Protection (Coronavirus Restrictions) (No. 5) (Wales) Regulations 2020 (the “Coronavirus Regulations”) imposes requirements on people responsible for premises open to the public and people responsible for work undertaken at premises to take reasonable measures to minimise the risk of exposure to coronavirus on the premises, and to minimise the risk of spread of coronavirus by those who have been on the premises.  

Any person required to take reasonable measures under regulation 16 must have regard to guidance issued about those measures, under regulation 18 of the Coronavirus Regulations. Failure to do so is an offence in which enforcement action can be taken. This guidance is also relevant to enforcement officers.

The Coronavirus Regulations provide for four Alert Levels, setting out different restrictions and requirements which may be applied depending on the assessed level of risk in Wales, however the requirements imposed by regulation 16 apply irrespectively of which Alert Level is applicable at any time. This includes when no Alert Level is in force (referred to publicaly as “Alert Level Zero”). This guidance is intended to apply in principle at all times the Coronavirus Regulations are in place. This includes at any of the Alert Levels or when no Alert Level is in place (Alert Level Zero). Detail on the Alert Levels and their significance is provided in the Coronavirus Control Plan: alert levels for Wales.

This guidance (made under regulation 18 of the Coronavirus Regulations) on the practical application of this legal requirement has been reviewed and updated to coincide with amendments made to regulation 16 which took effect from 7 August 2021. Guidance has also been prepared for responsible persons to explain the changes and to describe what legal obligations are in place. This is available here.

This guidance now sets out how those required to take reasonable measures can determine what reasonable measures they should take, as well as a change in emphasis in what reasonable measures could be necessary. The Regulations are less prescriptive about exactly what measures must be put in place over all, enabling there to be more flexibility in what is done based on the risks identified.

From 11 October 2021, certain venues will be required to put in place measures connected with checking evidence of vaccine or testing status (this will be done by means of a COVID pass) as a mandatory reasonable measure. This guidance has been updated to provide further information to enforcement officers relating to this new requirement of a COVID-pass.

A specific coronavirus risk assessment is still required and should form the basis for what measures are reasonable to take to on any premises to minimise the risk of exposure to coronavirus and the risk of spread of coronavirus.

The appropriate use of powers to enforce these restrictions and requirements imposed by regulation 16 is important to:

  • promote and maintain sustained compliance as a preventative measure to help contain the coronavirus
  • ensure action is taken immediately to deal with situations in which there is a risk of coronavirus spreading
  • ensure that those who fail to comply are held to account

Minimising risk of exposure to coronavirus

Regulation 16 sets out overarching requirements on persons responsible for premises or for work, these are all for the purpose of minimising the risk of exposure to coronavirus on the premises.

There is an updated, 3-Step approach to what is required set out under regulation 16 Revised guidance covering this new approach has been issued. These Steps represent a logical sequence in which the actions would be considered, rather than implying relative importance of each step. For example, improving ventilation (including carrying out an activity outdoors) is one of the most important measures a premises can take, but is not described in the Coronavirus Regulations until Step 3.

A person responsible for premises that are open to the public or which are a workplace is required to undertake the following Steps, which are based on the general “hierarchy of controls” principles of risk management:

  1. Step 1: undertake a specific assessment of the risk of exposure to coronavirus at their premises (and to consult persons working on the premises or representatives of those persons in doing so);
  2. Step 2: provide information to those entering or working at the premises about how to minimise the risk of exposure to coronavirus. This includes, in particular, information to all those working on the premises about their risk of exposure to coronavirus identified in the risk assessment and the measures to be taken to minimise this risk
  3. Step 3: ensure that reasonable measures are taken to minimise risk of exposure to the virus on the premises, in particular by seeking to prevent people who may have coronavirus from being present, by ensuring people gather outdoors instead of indoors where this is practicable, by improving ventilation indoors, by limiting close face to face interaction and contact, and by improving hygiene;

Each of the 3 Steps is required to be taken.

Regulation 16 applies to the person or persons responsible for premises open to the public and on the person responsible for the work being undertaken in any workplace; that is the person responsible for management control (not, for example, the freehold owner of a leased factory space or office). In the case of organised activities and organised activities for children, the duty applies to both the person responsible for the premises where the activity is taking place and the person responsible for the activity.

It also applies to taxis and to public transport provision (including indoor areas of transport hubs such a bus stations, railway stations, airports and ferry ports). In addition, the operators of these services must have regard to specific guidance on the statutory requirement on passengers to wear a face covering and about providing information to passengers about this obligation.  Along with the supplementary detailed transport guidance produced within the context of public transport.

Under each of the Alert Levels, different premises are required to close. The Coronavirus Regulations provides a list of exempt businesses and premises that are allowed to remain open to the public, but even for those premises required to close there remain circumstances in which individuals may be on the premises, and therefore the requirement to take reasonable measures will continue to apply.

Meaning of the requirements to minimise risk of exposure to coronavirus

The requirements in regulation 16 have deliberately been drafted in broad terms. This is for two reasons. The first is that what measures are “reasonable” depends in large part on the physical context, in other words on the type of premises and the type of activities carried out on the premises. Like in the case of health and safety legislation, what is reasonable will also depend on the cost – and while clearly not the only factor, the economic impact on a business can be taken into account. The second is that those responsible for the premises are to be given some discretion about the particular measures they take where a choice is possible.

Taking reasonable measures is not an absolute rule that has to be applied all of the time in all circumstances – some things may not be required as it would not be reasonable to require them and different things may be required at different times and in different circumstances. In addition a particular measure that may not apply in the same way in all situations.

However, it is an objective test that is intended to be applied consistently – what is “reasonable” is to be assessed not by reference to what any one person thinks it is reasonable to do but by what a rational person faced by similar circumstances thinks is reasonable – and that we are facing a global pandemic is relevant in that context as the expectation of what measures are likely to be reasonable will be high as a result. In this context, the relevant Alert Level which applies is also relevant, as the higher the Alert Level the more likely it is that particular measures will be reasonable to take.

In addition the requirements can be categorised in a fairly straightforward way that can be applied regardless of the nature of the premises:

  • providing information to help people behave as they should
  • ensuring physical distancing
  • improving ventilation and maximising use of outdoor space instead of being inside
  • trying to prevent people who may be infectious from being on the premises (for example by using testing and requiring vaccination, and by seeking to ensure that people who have symptoms aren’t present)
  • improving hygiene
  • adopting other measures to minimise risk of exposure, primarily to avoid close face to face interaction: e.g. changing how people move around premises, improving ventilation, installing screens, using PPE

Although the requirements generally relate to how things are done on premises or in the workplace, there may be circumstances in which what is done may need to be considered. If an activity involves a high risk of exposure to coronavirus because of the need for people to be in close proximity, and that can’t be satisfactorily mitigated (generally with screens or PPE), it may be reasonable to expect measures to be taken to stop that activity or to close part of a premises. In the case of a workplace, whether that is truly reasonable will depend in part on the nature of the activity in question and how integral it is to the operation of the business.

The Welsh Government has issued the following guidance under regulation 18, which has to be taken into account by those to whom the duty applies. The Welsh Government has also issued guidance for employers and managers of premises on the wearing of face coverings:

In addition the Welsh Government has provided more general guidance that is also relevant:

Various sector and industry representative bodies have also produced more detailed guidance on specific types of premises which may be taken into consideration where it is consistent with the regulatory requirements and Welsh Government guidance.

COVID Pass

From Monday 11 October people attending large events and nightclubs (or similar premises) will have to prove they are either fully vaccinated or have had a negative lateral flow test (LFT) in the last 48 hours or have been tested positive by means of a PCT test no more than 180 days or less than 10 days beforehand.

These requirements which  should form part of the bespoke risk assessment and be one of the reasonable measures that is required to be put in place, apply in relation to certain specific premises and settings (see below). The specific provisions are set out in regulation 16A.

It is important to note that this new evidence checking requirement forms part of a range of reasonable measures which should generally be implemented dependent on the steps identified as part of the bespoke risk assessment. It does not remove the need to consider and implement other measures.

The bespoke risk assessment should also set out the rationale and justification of how each business and setting has chosen to operate this requirement, which will normally be by means of individuals wishing to attend or enter having to produce a COVID Pass. What is considered reasonable in terms of checking will vary at different times and for different venues depending on a range of circumstances, including the capacity and entry procedures.  There may be circumstances where checking everyone entering a particular premises might give rise to particularly large queues and bunching of people, but with other premises, they will already have procedures for checking by means of a queuing system, where it would be reasonable also to check whether each individual has a valid COVID Pass.  For example, it is normal for night clubs to control numbers by operating a queue outside of the premises, and the expectation is that they would check each person wishing to enter, but carrying out checks on every person entering at major football or rugby matches could exacerbate safety issues as it could lead to larger than normal queues forming outside.

We would anticipate that a nightclub, for example, would be able to check the COVD passes of everyone entering the venue.

Each venue will need to undertake a risk assessment to ensure that it can justify what it considers to be a  reasonable measure in the context of checking, taking account  of its other statutory duties for example health and safety of its customers, wider public order issues and potential terrorism risks.

Settings

The new requirements will mean people over the age of 18 in Wales will need to show that they are fully vaccinated or have had a negative lateral flow test 48 hours or have been tested positive by means of a PCT test no more than 180 days or less than 10 days beforehand before they are allowed entry to:

  • nightclubs and similar venues (see below)
  • indoor premises where an event is being held with more than 500 people in attendance where not everyone is normally seated
  • any outdoor premises where an event is being held with over 4,000 people in attendance, where not everyone is normally seated
  • any event, of any nature, which has more than 10,000 people in attendance

For multi-day events, multi venue events or events with separate shows during the day – it is the number of people attending on any day or any show, at any time. It does not include staff, contractors, performers, or volunteers involved in the delivery of the event.

In determining whether or not events are to be treated as outdoors, consideration should be given to any indoor facilities on site which may be occupied by people for most of the day (for example hospitality).  In such circumstances, this may mean that the event should be treated as an indoors one. However, a concourse that is provided solely for the provision of food or drink for take away consumption outdoors at the event and provision of toilets should not be considered to be an indoor event.

Nightclubs and similar venues captured

The requirement to check individuals’ COVID passes will be required in nightclubs and places where music is provided for dancing - but only if they are authorised to serve or supply alcohol and are open at any time between midnight and 5 am.

The requirement to have a COVID pass applies to nightclubs and other places where music is provided for dancing if they serve alcohol and are open at any time between midnight and 5am (and the requirement to have a COVID pass applies to such premises at any time, including times outside these hours, if they are open and are providing music for people to dance);

This means that a pub, for example, with a dancefloor that starts to play music from 3pm onwards and closes after midnight would be required to implement the COVID Pass for entry from at least 3pm (earlier if those who enter early will still be there when the music starts).

However a pub with a dancefloor which closes before midnight would not have to implement the COVID Pass requirements to enter (unless they are holding any type of unseated event for more than 500 people).

Likewise, a pub that does not have a dancefloor and are not providing music for the purpose of dancing will not be required to implement a COVID Pass requirement to enter (unless they are holding an unseated event for more than 500 people, then they would be captured by that particular provision and would be required to check individuals COVID passes)

Exemptions and exceptions

The requirements will only apply to checking the COVID passes of members of the public attending these venues and event – but not to staff, contractors, performers or volunteers involved in the delivery of the event. However, in order to protect themselves and others and to help us keep the sector open, venue owners and event organisers  should consider encouraging all those on site to take lateral flow tests twice a week as part of their risk assessments.     

The following are examples of the types of premises that are specifically exempted from the requirement. Premises used for or at which:

  • an outdoor event that does not require an entrance fee or ticket to attend is being held, and where  the event site has multiple points of entry (this would cover, for example, a free fireworks display in a public park, or a farmers market)
  • a protest or picket is being held
  • a mass participation sporting event is being held outdoors (such as a marathon, triathlon or cycle race)
  • the celebration of a marriage or civil partnership, or the life of a deceased person (but only for such times as they are being used for those purposes)

The following people will not need to provide evidence to enter a venue or event

  • under 18s
  • people working, volunteering or performing in the venues

Enforcement powers and principles of enforcement

The Coronavirus Regulations set out a specific and separate system for enforcing regulation 16. This provides that enforcement officers from local authorities can require measures to be taken in relation to premises, and they can if necessary close them. Closure can be required either because reasonable measures aren’t subsequently taken or because the breach of the requirements is sufficiently serious to justify closing a premises immediately or with only very limited notice.

The enforcement system is set out in Schedules 8 and 9 to the Coronavirus Regulations and is based on the issue of a “Premises Improvement Notice” or a “Premises Closure Notice” or both, depending on the circumstances.

COVID Pass enforcement

The compliance with the new requirements to check evidence of vaccine or testing status in certain venues will be enforced in the same way as compliance with the other requirements under regulation 16 (to undertake risk assessments and put in place reasonable measures) is enforced. This means businesses and events will need to ensure their proposed arrangements and are included in their bespoke risk assessments, including the justification for what it considers to be a reasonable measure.

Examples of considerations could be:

  • have they considered staggered entry times to the nightclub or event in order to be able to check individuals’ vaccine or testing status?
  • is there sufficient space for people to effectively physical distance in any queue to enter?

A wider offence linked to the provision of false or misleading evidence of vaccination or testing status where that evidence is required as part of the requirement for providing evidence for entry has also been introduced.

Where there are reports of individuals providing falsified or misleading information, a police officer or a police community support officer (PCSO) will be able to take action under the Regulations.

Premises Improvement Notice

Where non-compliance with the requirements under regulation 16 is identified at a premises, the enforcement officer should normally seek to remedy the non-compliance by a graduated and proportional approach to enforcement.   Where possible, education of responsible persons, giving advice and informal action should be attempted before any other enforcement action. However, when necessary, a Premises Improvement Notice should be issued.

This notice can be served if the enforcement officer considers that the measures specified in the notice are necessary and proportionate in order to ensure that the person complies with those obligations, in order to minimise the risk of exposure to coronavirus.  The notice must specify the measures that must be taken in order to ensure that the person complies with the obligations imposed by regulation 16. The notice must specify a time limit for compliance (not less than 48 hours) and set out the right of appeal.

An enforcement officer may terminate a Premises Improvement Notice if satisfied that the person to whom it has been issued has taken the measures specified in the notice or otherwise taken action necessary to ensure that regulation 16 can be complied with when the premises are allowed to be open.

Premises Closure Notice

An enforcement officer may issue a “Premises Closure Notice” to a person responsible for premises requiring the premises, or part of the premises, to be closed for up to 672 hours (28 days) at a time. This can be done if either one of two conditions are met: 

  1. Where a Premises Improvement Notice has been issued to the person and the enforcement officer considers:
    • that the person has failed to take the measures specified in notice within the specified time, and
    • that the closure of the premises or part of the premises is necessary and proportionate for the purpose of minimising the risk of exposure to coronavirus
  2. Where the enforcement officer considers:
    • that the person is not complying with the obligations imposed by regulation 16 and
    • the closure of the premises or part of the premises (without a Premises Improvement Notice having been issued) is necessary and proportionate for the purpose of minimising the risk of exposure to coronavirus

Where a Premises Improvement Notice has been issued, the Premises Closure Notice must set out the measures that the enforcement officer considers:

  • have not been taken, and
  • must be taken in order to ensure that the responsible person complies with the obligations imposed by regulation 16

Where a Premises Improvement Notice has not been issued, the Premises Closure Notice must set out the reasons why the enforcement officer considers that the responsible person is failing to comply with regulation 16.

In both cases, the Premises Closure Notice must also give the reasons why the enforcement officer considers that closure of the premises is necessary and proportionate for the purpose of minimising the risk of exposure to coronavirus. The notice must specify the period for which the notice has effect (not more than 28 days from when the notice is issued) and give details of the right of appeal.

An enforcement officer can also issue a Premises Closure Notice where they consider that the responsible person has failed to take the measures specified in a Premises Improvement Notice within the specified time limit and either:

  • a fixed penalty notice has been issued, or
  • proceedings have been brought for an offence A Premises Closure Notice has effect from the time at which it is issued or from a later time specified in the notice.

Limitations

A Premises Closure Notice may not be issued in relation to premises which form part of critical infrastructure (for example, premises used to generate electricity or supply water) or which are used to provide essential public services.

Termination

An enforcement officer may terminate a Premises Closure Notice if satisfied that the person to whom it has been issued has taken the measures or otherwise taken action necessary to ensure that regulation 16 can be complied with when the premises are allowed to be open.  This will mean that the requirement to close the premises no longer applies. 

Appeals

A person to whom a Premises Improvement Notice or Premises Closure Notice is issued may appeal, within 7 days, to a Magistrates’ Court against the notice. A Magistrates’ Court has discretion to suspend the effect of a Premises Improvement Notice or Premises Closure Notice pending the determination of an appeal but unless the Court does so, the notice under appeal continues to have effect and must be complied with. On an appeal against a Premises Improvement Notice or Premises Closure Notice, a Magistrates’ Court may:

  • confirm the decision to issue the notice
  • direct that the notice is to cease to have effect
  • modify the notice
  • make such other order as the court considers appropriate

If the Magistrates’ court directs that a notice is to cease to have effect or modifies a notice, it may order the local authority for the area in which the premises in question are situated to compensate the person responsible for the premises for loss suffered as the result of the issue of the notice.

An appeal by either party against the decision of a Magistrates’ Court on an appeal under this section may be brought to the Crown Court.

Issuing Premises Improvement and Closure Notices and terminations

A Premises Improvement Notice, Premises Closure Notice or a termination of either notice is issued to the person to whom it relates by giving a copy of it in writing to that person. But where that person is not on the premises to which the notice or termination relates, a copy should be given to a person on the premises who appears to be responsible for any business or service being carried out on the premises, or if there is no such person on the premises when the notice is to be issued, a copy of the notice can be placed in a prominent position on the premises.

Publicising Premises Improvement and Closure Notices

Where a Premises improvement Notice or a Premises Closure Notice has been served, as soon as reasonably practicable after issuing the notice, the enforcement officer must:

  • display a copy of the Notice and of a corresponding sign in the form set out below (prescribed in Schedule 9 to the Coronavirus Regulations), in a prominent place near every entrance to the premises and
  • arrange for the notice to be published on the website of the local authority for the area in which the premises are located

The notice and sign required to be displayed and published must continue to be displayed and published for as long as they have effect. The sign should be printed in colour in A4 size.

Premises improvement notice

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Enforecement notice: improvement needed

 

Premises closure notice

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Enforcement notice: premises closed

 

Fixed penalty notices

A fixed penalty notice may be issued for certain specified offences relating to businesses and services.  These are set out in regulation 42, and include failing to close a business or premises when required to, dependent on the Alert Level applicable and licensed premises selling or supplying alcohol outside permitted hours.  Importantly, in the context of enforcement of the requirements under regulation 16, offences also apply where a person commits an offence if without reasonable excuse they:

  1. do not ensure a premises issued with a closure notice is closed and no business is carried on or service is provided on or from the premises; or
  2. do not ensure that no person enters or is on any premises issued with a closure notice; or
  3. obscure or damage a notice or sign required to be displayed

Where a fixed penalty notice is issued in respect of an alleged business offence, the amount of fixed penalty is £1,000. But, if the person to whom a fixed penalty notice is issued in respect of an alleged business offence has already received a relevant fixed penalty notice, the amount increases to £2,000 in case of the second such fixed penalty notice, £4,000 for the third and £10,000 for the fourth and any subsequent fixed penalty notice received.

General principles and practical aid to assessment

The general principles for enforcing regulation 16 are set out in Annex 1 and a list of practical question to aid enforcement officers to assess whether a breach of regulation 16 has taken place can be found at Annex 2.

Annex 1: principles of enforcement

The following principles should be applied when exercising powers to enforce regulation 16: 

  • proportionality in application
  • targeting of enforcement action
  • consistency in approach
  • transparency about how enforcement officers operate and what can be expected, and
  • accountability for actions taken

These principles apply both to enforcement itself and to the management of enforcement activities as a whole. They are not applied in isolation but are informed by an understanding of the risk of exposure to coronavirus.

Proportionality 

Numerous things have to be weighed up when considering what action to take and whether it is proportionate – the seriousness of the breach, the cost of compliance, the effectiveness of the enforcement action, and the time given to comply. This should all be assessed in light of the serious and imminent threat to public health which is posed by the incidence and spread of severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2) in Wales and to the seriousness of any breach of the law.  

Applying the principle of proportionality means that enforcement officers should take account of how far responsible persons have fallen short of the requirements in regulation 16 and the extent of the risk of exposure to coronavirus, and therefore of the risk or spread of coronavirus, that has ensued. In considering proportionality the wider public health context and current Alert Level in force should be a key consideration. 

The Coronavirus Regulations are based on the notion of taking “reasonable measures” which should itself ensure a proportionate approach. The established concept of taking action “so far as it is reasonably practicable” is relevant.  The decision as to what is reasonably practicable to control the infection risk associated with coronavirus, involves the exercise of judgement in the light of current public health advice. 

Enforcement officers, when considering the adequacy of the protective measures taken, will balance the degree of risk against the cost, time or complexity of the measures needed to minimise that risk.  But unless it can be shown that the risk of exposure to coronavirus is insignificant in comparison to the cost, a responsible person must take measures (and incur costs) to minimise the risk.

Enforcement officers will also consider whether it is appropriate, taking into account the extent to which regulation 16 has not been complied with and the degree of risk of exposure of coronavirus that is caused by that non-compliance, to give an opportunity to remedy the situation before formal action is taken. This should, however, only be done where the breach is minor, and the opportunity to remedy the situation should be short in duration.

Targeted enforcement

A targeted approach should be applied when deciding which premises and activities to proactively monitor and inspect, taking into account factors such as size, type of activities, industry sector, the population at risk, the associated coronavirus infection risks and complaints of non-compliance received.  

Inspection and investigation resources should be focused primarily on those activities, industries and sectors that are giving rise to the most serious risk of exposure, where and when the coronavirus hazards are least well controlled, or where competence to manage the risk of exposure is in doubt. 

Low risk activities, for example activities taking place outdoors and in a controlled environment, will not, in general, be a priority.

Targeted enforcement will also depend on the Alert Level in place and the premises permitted to open or activities that are legally allowed. For example, at Alert Level 4, enforcement may be focused on essential retail. The enforcement priority may change in lower levels to businesses and services that were not permitted to open at higher alert levels. For example, at alert level two, entertainment venues and visitor attractions may require a greater focus.

Consistency

A consistent approach should be adopted to enforcement of the requirements under regulations 16 across different premises, settings and activities, recognising the importance of fair treatment to all.  However consistency of approach does not necessarily mean uniformity.  It means taking a similar approach in similar circumstances to achieve compliance with the law, while recognising that it may not be appropriate to insist on the same measures in every case.

Ensuring consistency can be difficult.  Every situation is different – by virtue of the type of business activity, the premises where that activity is undertaken, the industry, the characteristics of the population at risk and the risks presented by coronavirus. An element of discretion is afforded to persons responsible to decide what reasonable measures should be taken in each case.

Any enforcement decision therefore requires the appropriate exercise of individual discretion and professional judgement.

Transparency

Enforcement action should clearly outline to a responsible person not only what they have to do but, where relevant, what they don’t. Such information should also be shared with workforce representatives and with trade unions in workplaces where they are present. 

Where non-compliance has been identified, enforcement officers should clearly and promptly explain the decision taken, their reasons, the actions required to achieve compliance and explain what will happen if a person fails to comply.

Enforcement officers will differentiate between the actions required to comply with the law, and any advice given to achieve good practice. This will ensure that unnecessary economic burdens are not imposed on businesses.

Annex 2: practical assessment of the legal requirements

Assessing non-compliance

In deciding whether, or which particular, enforcement action to take, enforcement officers will need take into account a number of factors and exercise their judgement accordingly.  These may include:

  • the risk that the non-compliance poses to the spread of coronavirus
  • the extent to which it is reasonable to believe that a person responsible is unaware of the requirements and should be given an opportunity to comply
  • any evidence that suggests that there was pre-meditation or recklessness in the failure to comply or whether false information has been supplied wilfully, or there has been an intent to deceive
  • whether a warning has been given
  • whether the failure to comply is a one-off or has been repeated
  • aggravated circumstances such as obstruction of an officer or aggressive behaviour towards the public
  • how others in a similar position have been treated

In addition the following more specific questions should be considered when assessing whether all reasonable measures have been taken, and information provided, in accordance with regulation 16.

Duty to undertake a specific risk assessment of the risk of exposure to coronavirus

The principle of risk assessment is well established in Health and Safety Law. When assessing compliance of this requirement, reference should be made to Managing for health and safety (HSG65) (hse.gov.uk) and the HSE risk assessment guide.

Are people working at the site aware of the risk assessment, the content and any mitigating measures?

Are people adhering/implementing the mitigating measures outlined in the risk assessment?

What adjustments have been made as a result of the risk assessment?

Were employees or representatives consulted about the risk assessment?

Does the risk assessment take in to account the principle of the hierarchy of controls outlined by HSE?

Physical distancing

Have options to reduce the number of people physically present on the premises (or waiting to enter the premises) been considered and (if applicable) implemented? This may include:

  • enabling staff to work from home
  • arranging shift work so as to reduce the number of staff present on premises at any one time
  • providing delivery services or a click and collect service from a dedicated part of the premises
  • providing services or arranging meetings remotely
  • doing any other thing previously or normally done on the premises remotely

Is there a system in place for knowing how many people are on the premises?

Has a safe maximum number of people been calculated to enable physical distancing on the premises?

Is there a control mechanism in place to ensure that a safe maximum is not exceeded?

Is there a need to routinely limit the number of people on the premises?

If so how is that done? Is there a queuing system?

Is there a system for maintaining physical distancing among those queuing, either in outdoor areas of the premises or off the premises?

Can an appointment system be put in place?

Are entry and exit points controlled so as to avoid congestion or close interaction? Can two different points be used to enable entry in place and exit elsewhere?

Are passageways and stairways controlled so as to avoid congestion or close interaction? Should one way systems be adopted or furniture rearranged to facilitate this?

How is access to lifts controlled? Can access to lifts be limited?

Can the location in which people work (if fixed) be set further apart? Can zones be adopted to reduce or prevent interaction?

Can furniture or labels on furniture be used to demarcate where people should work?

Can unnecessary furniture or other fittings be removed to provide more space and to prevent people from using it inappropriately?

What steps can be taken to keep any employees who routinely have physical interaction with the public physically distanced from them?

Should entry to any part of the premises prone to congestion or close interaction be limited or stopped where physical distance cannot always be achieved/ensured?

Ventilation

Improving ventilation is a particularly important measure. Carrying out activities outdoors will provide natural ventilation. Natural ventilation indoors might be provided by opening doors and windows where this does not contravene fire safety requirements. Improvements in mechanical ventilation will also help minimise risks if done effectively.

It is also a legal requirement under regulation 6 of the Workplace (Health, Safety and Welfare) Regulations that “Effective and suitable provision shall be made to ensure that every enclosed workplace is ventilated by a sufficient quantity of fresh or purified air.” The Chartered Institute of Building Services Engineers has guidance available on what is “sufficient”, which is referenced in the HSE’s COVID guidance.

Ventilation can work in combination with other measures such as restricting or reducing duration of activities and enhanced use of face coverings in settings with higher risk of aerosol transmission.

It is important to identify and deal with areas that are not well ventilated. The more people occupying an area that is poorly ventilated, and the longer they remain in it, the greater the risk of spread of coronavirus.

So maximising the fresh air in a space can be done by:

  • natural ventilation
  • mechanical ventilation
  • a combination of natural and mechanical ventilation, for example where mechanical ventilation relies on natural ventilation to maximise fresh air

And risk assessments should consider the following:

  • effective fresh air ventilation, working alongside face coverings, distancing and enhanced hygiene regimes
  • restricting or reducing duration of activities indoors
  • room layout
  • using rooms with good ventilation and avoiding the use of those without;
  • the use of suitable air quality monitoring systems and air cleaning devices to enhance indoor air quality
  • making sure mechanical ventilation systems are maintained in line with manufacturers’ instructions
  • avoiding ventilation which only recycles air
  • if table or pedestal fans are unavoidable, ensuring that air is not blown from one person (or groups of people) to another person (or group of people) by regularly bringing in air from outside by opening windows or doors
  • using ceiling fans and fresh air to improve the circulation of air from outside and avoid pockets of stagnant air forming indoors  

Employers should provide employees with clear guidance on ventilation, why it is important, and instruction on how to achieve and maintain good natural ventilation or to operate systems if there are user controls which employees can access.

The Health and Safety Executive (HSE) has updated and expanded its advice to help employers provide adequate ventilation in their workplaces and premises during the pandemic.  It also provides guidance on other factors to consider when assessing the risk from aerosol transmission, and determining whether adequate ventilation is being provided to reduce this risk. Further advice from the HSE here

Further advice and guidance for employers, building managers and those who are responsible for workplaces, non-domestic public buildings can be found below:

Adopting other measures to minimise risk of exposure to coronavirus

Where close interaction between people is unavoidable:

  • can its duration be limited?
  • can close face to face interaction be stopped?
  • can the duration of close face to face interaction be limited?
  • can the closeness of the face to face interaction be reduced?
  • can screens be put in place?
  • would wearing PPE be feasible and effective?
  • can activities be done, or services provided, outdoors instead of indoors?

To what extent do any activities undertaken on the premises involve high levels of exertion (for example people being out of breath due to exercise)? Has this been taken into account? Is the area well ventilated? Is ventilation (or cooling devices such as fans) used appropriately?

Should certain activities on the premises be stopped if the risk of exposure to coronavirus due to close interaction can’t be mitigated?

What systems are in place to ensure that coronavirus restrictions, such as not gathering indoors with those not in a person’s household, are not breached on the premises?

Improving hygiene

Have additional hand washing facilities been put in place?

Is hand sanitiser available in convenient places, particularly at entrances and exits?

Is use of shared facilities such as toilets as kitchens controlled? Is hand sanitiser available to people prior to the use of shared facilities?

Can the number of people entering shared facilities be limited?

Are shared facilities frequently cleaned? (The appropriate frequency depending on the extent of use).

Are there systems in place to stop or limit people touching objects or surfaces, or sharing objects?

Can pre-payment or cashless payment be adopted (where relevant)?

Providing information to help people behave appropriately

Is there signage clearly visible reminding those on the premises to maintain physical distancing and good hygiene?

Is there signage or markers in place to help people to maintain physical distancing?

Is there signage clearly visible explaining systems put in place for:

  • entry and exit
  • navigating passageways and stairways (including one way systems)
  • using shared facilities
  • using lifts

If use of face coverings or other PPE is required is there signage in place reminding people of the need to do this?

Is furniture clearly labelled as being appropriate for use or not for use (if it can’t be removed)?

Are zones used for maintaining physical distancing clearly marked?

Are there signs in place pointing out handwashing facilities or hand sanitiser, and reminding people to wash their hands frequently?

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