Health and Safety
Executive

Asbestos licence assessment,
amendment and revocation guide(ALAARG)
Contents
Introduction   3
Permissioning regimes   3
The Control of Asbestos Regulations 2012 (CAR)   3
Licensing   4
Licensing: General requirements   5
The Asbestos Licensing Unit (ALU)   6
Applications   6
Monitoring performance   6
Priority visit contractor (PVC)   7
Applying for a licence to undertake work with asbestos   7
Licensing: Formal meetings   8Form ASB4   9Completing the ASB4 form   9
HSE’s database (COIN)   9
Performance history   10Little or no work during period of licence   10Health and safety management assessment   11Asbestos-specific matters   12Inspector’s final comments and recommendation   13Granting or refusing licences to work with asbestos   13ALU action   14ALPI action   14Recommendation and decision   14Licence duration   15Licence refusal   15Licence revocation   17ALU action   17ALPI action   17Record of meeting   18Recommendation and decision   18Page 1 of 25

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Amendment procedure   19ALU action   19ALPI action   19Recommendation and decision   19Appeals procedure   21LRB review   21Section 44 appeal   21References and further reading   24Further information   25Asbestos licence assessment, amendment and revocation guide (ALAARG)

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Introduction
1 This document provides guidance on the asbestos licensing system. It should
be read together with the other documents referred to.
2 This guide is primarily for regulators, but will be of interest to others involved
with licensed asbestos work, including licence holders, applicants and clients. The
Health and Safety Executive (HSE) website provides comprehensive information
about all matters concerning asbestos www.hse.gov.uk/asbestos/index.htm.

Permissioning regimes
3 Permissioning is used where the normal forms of regulation are not sufficientand where the extra demands imposed by the regime are justified by the benefits itbrings.
4 Asbestos is a highly dangerous material and presents substantial risks to thehealth of those who work with it and those who may be affected by it. Asbestos isa category 1 carcinogen, responsible for over 4000 deaths in the UK every year. It
is the single greatest cause of work-related deaths in the UK. Consequently, workwith asbestos is strictly controlled and is subject to a permissioning regime. Given
the risks associated with working with asbestos, it is imperative that licensed
contractors carry out their work with great professionalism and care.
5 Asbestos licensing is one of only a few permissioning regimes operating in the
UK. The Health and Safety Commission’s (now the Board of the Health and Safety
Executive) Policy Statement: Our approach to permissioning regimes1 should be
consulted. Asbestos licensing is an addition to the general framework of health andsafety law and is resource intensive. It will have a greater degree of regulatoryintervention compared to non-licensed industries.
6 Permissioning regimes build on the fact that the legal duty to manage risks lies
with the organisations that create them. Consequently, exemplary management
standards and arrangements are expected of licence holders, in addition to thespecific knowledge required to carry out work with asbestos.

The Control of Asbestos
Regulations 2012 (CAR)
7 Full information on the legislation can be found in the Approved Code ofPractice (ACOP) Work with materials containing asbestos L143,2 available fromwww.hse.gov.uk/pubns/books/l143.htm.
8 All work with asbestos has to be carried out in accordance with CAR. Most
work with asbestos is also subject to licensing. Regulation 8 requires that work withasbestos can only be carried out by an employer, or self-employed person, who
has been granted a licence to work with asbestos by HSE. The only work withAsbestos licence assessment, amendment and revocation guide (ALAARG)

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Health and Safety
Executiveasbestos that can be carried out without a licence is specified under regulation 3(2)and is detailed in the accompanying ACOP.

Licensing
9 It is the employer (ie the limited company, partnership etc employing workers
undertaking work with asbestos) who is required to hold the licence. Licences towork with asbestos are granted for any period up to a maximum of three years,
and are subject to conditions. Decisions taken by HSE regarding licensing are
subject to the civil standard of legal proof, ie that on the balance of probabilities theappropriate decision has been taken.
Licence types
10 ‘Full’ licences enable the licence holder to undertake all work with asbestos.
Licensed asbestos work also includes:■■ Supervisory work (only for direct supervision of licensable work).
■■ Ancillary work, including scaffolding where asbestos is liable to be disturbed

and which provides access for licensable work.
■■ Work with asbestos in your own premises with your own employees.
■■ Supply of labour (not management or supervision) to other licence holders toundertake licensable work.
See the appropriate ALG memo. ALG memos are available online atwww.hse.gov.uk/aboutus/meetings/committees/alg/memos_issued.htm. For fulldetails of licensable work with asbestos see paragraphs 87 to 90 of the ACOP.
Licence conditions
11 All licences have three ‘standard’ conditions:
1 This licence or a copy thereof, should be made available by the licensee forinspection at the request of any person to whom the licensee submits a tender or
quotation for work with asbestos and shall be available for inspection at all worksites. A copy of the licence shall accompany each notification required by
Condition 2.
2 The licensee shall give notice in writing of the work to the appropriate HSEor local authority office at least 14 days before the work is commenced, or suchother period as the authority will allow. The notice shall specify the type of work to
be carried out, the likely duration of the work, the address of the premises at which
the work is to be carried out and the date of commencement of the work activity.
The enforcing authority must be informed in writing as soon as possible if thisinformation changes. This condition will not apply for any work carried out withasbestos, which is subject to the exemptions specified in regulation 3(2) of theControl of Asbestos Regulations 2012, or when the licensee hires out employees(at operative level) to other licensees.
3(a) Prior to submitting the notice of work required by Condition 2 thefollowing documents shall be prepared by the licence holder:(i) a suitable and sufficient written statement of the plan of work to be
used.

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Health and Safety
Executive(ii) a suitable and sufficient written specification for the equipment forthe protection and decontamination of those engaged in asbestos
work and also for the protection of other persons, as appropriate
to the work.
(b) The licensee shall, on request by HSE and/or the local authority
provide copies of the documents referred to in 3(a) and/or allow inspectionof those documents as required.
(c) Work carried out under the notice of work required by Condition 2 shallbe carried out in accordance with the suitable and sufficient plan of workand the equipment, as specified in (a)(i) and (ii).
The plan of work and written specification must be provided on request and beavailable at the time of notification.
12 Note that:■■ In addition to condition 2, regulation 9 also requires licensed work to be

notified.
■■ In addition to condition 3, regulation 7 requires a suitable written plan of workand for the employer to ensure that the work is carried out in accordancewith it.
13 Additional conditions may be added requiring the licence holder to achieve
specific objectives by the detailed actions in the condition.

Licensing: General requirements
14 HSE expects licence holders to meet exemplary standards and to demonstratethat they have a sound overall health and safety record, which shows wider healthand safety compliance beyond asbestos legislation alone.
15 The high levels of professionalism and integrity expected of licence holders
extend to their behaviour generally – inappropriate behaviour may bring into doubt
an applicant’s fitness to hold a licence. Where there is evidence of inappropriate
behaviour towards enforcing authorities (eg HSE, local authorities, police forces,
HM Revenue and Customs etc) or other behaviour that calls into doubt anapplicant’s suitability to hold a licence, a licence application may be refused (or an
existing licence revoked).
16 As working with asbestos is such a high-risk activity, licence holders are
expected to continually develop and maintain their experience and expertise incarrying out licensed asbestos work. HSE would therefore expect working withasbestos to be a core part of a licence holder’s business.
17 A licence holder has to be able to demonstrate that senior management is
actively responsible for health and safety. Effective management systems must be
in place and operational. As a licensed industry, exemplary standards ofmanagement are expected. Ineffective management and poor standards are notacceptable.
18 Further guidance can be found in Successful health and safety management
HSG65 at www.hse.gov.uk/pubns/books/hsg65.htm.3
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19 A licence holder has to be able to demonstrate excellent knowledge,
competencies and skills involved with asbestos work, including:■■ risk assessments, plans of work and work methods;■■ training for employees, supervisors and managers;■■ personal protective equipment (PPE) and respiratory protective equipment (RPE);■■ enclosures for asbestos work;■■ controlled techniques for asbestos work; and■■ decontamination and clearance.
20 Further guidance can be found in the ACOP1 and in Asbestos: The licensed
contractors’ guide HSG247 (www.hse.gov.uk/pubns/books/hsg247.htm).4
21 Only those organisations that believe they possess all the required attributes ofa licence holder should apply for a licence to work with asbestos.

The Asbestos Licensing Unit (ALU)
22 ALU has delegated authority from HSE to grant, amend or revoke licences
under CAR. The responsibility to carry out this function lies with the Head of ALU.

Applications
23 ALU processes applications for licences to work with asbestos and liaises withthe asbestos licensing principal inspector (ALPI) responsible for the assessment.
Once a licence has been granted ALU liaises with operational inspectors carryingout inspections of the licence holder.

Monitoring performance
24 The greater degree of regulatory intervention required of a permissioning regimemeans that licence holders will receive more inspections than they would if they
were not licensed. All licensed jobs are notifiable and are liable to be inspected by
the relevant enforcing authority (HSE or local authorities). ALU will monitor the
performance of licence holders using information from these inspections and othersources.
25 Following inspections of their work, inspectors’ reports are received andconsidered by ALU. Any action will be made in liaison with the relevant ALPI and
inspectors. Where appropriate, the licence holder will be contacted. This will
normally be because ALU has concerns about the licence holder’s performance.
ALU’s actions include:■■ sending warning letters;■■ amending licences; and■■ revoking licences.
26 Sending warning letters will highlight concerns. Licence holders are expected toact on these letters as failure to deal with concerns can lead to licence action.
27 Licence action includes amendments to and revocation of a licence. Where
appropriate licence action can be taken with no prior warning letter.
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Priority visit contractor (PVC)
28 If, when monitoring performance, ALU becomes concerned about a particularlicence holder that licence holder may be allocated ‘PVC’ status. PVC status meansthat they will receive proportionately more inspections than other licence holders toclosely monitor their performance.
29 Being a PVC does not allocate any legal status on the licence holder. It issimply an internal procedure for HSE to allocate and target inspections. The licenceholder will be informed in writing with an explanation of the reasons why they are
now a PVC.
30 The inspections provide HSE with information from more work sites. This
enables the licence holder to demonstrate that they can work to the standard
expected of a licence holder (ie ensuring risks are adequately controlled). Once they
are able to demonstrate this consistently ALU will remove the PVC status.
31 If a licence holder is unable to consistently demonstrate that they can achieve
the required standard, ALU may consider that is indicative of a pattern of poor
performance, which could instigate revocation proceedings.

Applying for a licence toundertake work with asbestos
32 Requests for applications should be sent to ALU, which will supply the application
form ASB1 (see www.hse.gov.uk/asbestos/licensing/index.htm). Applying for a licenceshould not be undertaken lightly. As stated previously, exemplary standards of healthand safety management and performance are expected of licence holders. Paragraph
99 of the ACOP lists those factors where HSE may refuse to issue a licence.
33 If, after considering all factors, the applicant feels that they are capable of holding alicence, the required application details need to be completed and sent to ALU. Thereis a non-refundable application fee that needs to be paid before any assessment.
34 The ASB1 application form confirms the identity of the applicant (and the detailsof relevant directors, senior managers etc). It is also a declaration with regard toprevious licences and any relevant enforcement or convictions. It incorporates a‘self-assessment’ of the applicant’s arrangements. This should describe a readinessto work with asbestos within HSE’s permissioning regime.
35 ALU will carry out an initial assessment, checking the ASB1 for accuracy,
checking company and directors’ previous records and also whether there has been
any enforcement action. If no concerns are identified at this initial assessment, ALU
will request the local ALPI to arrange a formal meeting with the directors and senior
management to continue the assessment. The aim of the formal meeting is to
examine, in detail, the fitness of the applicant to hold a licence to work with asbestos.
36 Licences will only be granted to employers who actually require the licence
under regulation 8 of CAR. Applicants who do not need a licence under the
regulation, but apply for licences for ‘commercial’ purposes, such as to get on an
approved tender list, will not be granted a licence. Therefore, if no licence isrequired to carry out asbestos work it is not worthwhile carrying out all the required
work and effort or paying the application fee to try and acquire a licence.
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Licensing: Formal meetings
37 Operational inspectors, who may be accompanied by ALU inspectors, will holdformal meetings with applicants and licence holders for the following purposes:■■ to assess an applicant’s fitness to be granted a licence to work with asbestos;■■ to assess whether a revocation of a licence to work with asbestos isappropriate; and■■ to assess whether other licence action, such as a licence amendment, isappropriate.

38 Formal meetings will be held at the request of the ALPI, in conjunction with
ALU, at a suitable time and venue. An ALU inspector may also be present. The
meeting will assess the ability of the licence holder or applicant to manage healthand safety and work with asbestos in the appropriate manner.
39 The applicant/licence holder can, if they wish, have their legal representative
present. The presence of any other third party, such as a consultant, will be at thediscretion of the ALPI. The assessment is of the applicant/licence holder and not
any third party present. Therefore, any contribution made by that third party may
not be directly relevant and may even be counter-productive. See the approriate
ALG memo.
40 Notes will be taken by the assessing inspector(s) during the meeting to record
the matters discussed. These will include a detailed assessment of:■■ health and safety management (using Managing for health and safety: Guidance
for regulatory staff on the practice of assessing health and safety
management9);■■ asbestos knowledge and expertise (using the ACOP and Asbestos: The
licensed contractors’ guide); and■■ if appropriate, discussing past performance as a licence holder.

These notes will then be used by the inspector(s) to complete the form ASB4,
which goes into HSE’s database (COIN).

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Form ASB4
41 This form is used by the operational inspector to record findings from the formal
meeting. It is divided into six sections:
1

Assessing inspector’s details

2

Licence holder or applicant’s details

3

Record of discussion about previous performance4

Health and safety management evaluation and assessment

5

Report on asbestos-specific matters

6

Inspector’s final comments and recommendations

All relevant details must be completed in sections 1 and 2.

Completing the ASB4 form
42 Form ASB4 is important to ensure the efficiency of the licensing system. It
enables the assessing inspector and/or ALPI to provide ALU with codified
information to enable the Head of ALU to make a decision.
43 The assessment is a safety management system audit so sufficient time has tobe allocated to the formal meeting and to enable the findings of the assessment tobe recorded on form ASB4.
44 Guidance on the HSE website should be followed during the assessment andused to record findings on the ASB4, eg:■■ Management Assessment Tool for SMEs (MAST) www.hse.gov.uk/foi/internalops/fod/inspect/mast/index.htm.
■■ Managing for health and safety: Guidance for regulatory staff on the practice ofassessing health and safety management.5(Also see ‘Health and safety management assessment’ in this section for further
guidance on management).
45 Information on asbestos-specific issues also needs to be also recorded on the
ASB4.
46 This will enable the ASB4 to be completed consistently and with sufficient detailfor a decision to be made.

HSE’s database (COIN)
47 The inspector should attach the completed ASB4 to the service order on themaster case for the licence holder/applicant. The service order can then be
assigned to ALU for the decision to be made.

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Performance history
48 This will be an issue for existing licence holders at renewal, revocation oramendment meetings. However, it may also be an issue with a new applicant with
relevant previous work with another company.
49 Paragraphs 99(b) and 108(b) of the ACOP are identical and specify that HSE
may refuse to issue a licence or consider revocation of a licence:‘where a pattern of poor performance has emerged over several site visits,
demonstrating evidence of poor working conditions and control. This may haveresulted in enforcement action (eg conviction(s) for asbestos-related offences,
enforcement notices for asbestos-related deficiencies, warning letters etc).’
50 It is vital that licence holders maintain expertise and competence bydemonstrating good performance with the work they carry out. Conditions foundduring site inspections by the enforcing authorities provide the assessing inspector
with evidence to judge whether it is appropriate for an applicant to be granted alicence or if a licence holder is to remain a licence holder. Although inspection may
result in enforcement action, poor performance with no formal action will also betaken into account.
51 As licensing is an additional process to the general framework of health andsafety law the intervention of the regulator should not be required to achievecompliance. The formal meeting is to enable the applicant (or licence holder) to
provide the assessing inspector with sufficient information, by way of evidence, thatthey will not require the intervention of the regulator (or any other third party) toachieve compliance.
52 The assessing inspector will use the record of inspections from the HSE
database (COIN) and from ALU reports during the formal meeting. These will be
discussed in detail so the applicant/licence holder should be prepared to answer
questions related to previous work carried out. Formal records of this work (jobsheets/specifications/contracts etc) may need to be produced.

Little or no work during period of licence
53 Where a licence holder has done little or no work it will be difficult for them toprovide evidence that they are able to work competently and possess the required
expertise. HSE accepts that there may be circumstances where no work has beenobtained, but the applicant must be able to show that they have actively been
trying to obtain licensed asbestos work. Where appropriate, licences may be
granted for a limited period to applicants with limited experience; licensed work
must be a core part of the applicant’s business to continually develop and maintaintheir experience and expertise in carrying out licensed asbestos work. If no licensed
work has been carried out during in the time period provided for by a licence
without an adequate explanation it is unlikely that a further licence will be granted.
54 This applies equally to ancillary licence holders in addition to full licence holders.
55 If the applicant does not intend to carry out licensed asbestos work a licence
will not be granted.

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Health and safety management assessment
56 Paragraphs 99(d) and 108(d) of the ACOP are identical and specify that HSE
may refuse to issue a licence or consider revocation of a licence:‘if you cannot demonstrate that you have adequate knowledge or arrangements inplace to protect the health of your employees and others during work with ACMs’
57 A licence holder must have excellent health and safety management. Even if anapplicant or licence holder has sufficient knowledge of working with asbestos
licences, a licence will not be granted if management systems are unable to ensurethat knowledge is put into practice at site.
58 Guidance on health and safety management can be found on the HSE website
at www.hse.gov.uk/managing/index.htm. Successful health and safety
management HSG65 also provides useful guidance.
59 A key element of effective health and safety management is leadership.
Guidance on leadership can also be found on the HSE website at www.hse.gov.uk/
leadership/index.htm.
60 The assessment should test and validate the applicant’s stated management
arrangements. Any of the references/evidence referred to by the applicant on the
ASB1 form may be asked for and reviewed before the formal meeting. The
management arrangements should be an accurate reflection of the way that theorganisation operates (all applicants have signed a declaration to that effect). The
applicant should be able to demonstrate how the arrangements described will help
in achieving satisfactory standards on site.
61 In assessing health and safety, the inspector will make use of the publishedguidance for regulators on assessing health and safety management (see general
requirements section). The inspector will consider the following topics:■■ core principles of managing for health and safety;■■ leadership and management;■■ competence;■■ worker involvement; and■■ legal compliance.
62 All licence holders must be able to demonstrate at the formal meeting that they
have effective health and safety management systems. These systems must be
functional and operational and not simply an aspiration to be achieved.
63 Effective health and safety management is not a bureaucratic paper-driven
process. Large organisations may require documentation detailing management
procedures, but smaller organisations may not need it. Instead, the focus forsmaller organisations will be on the behaviours and attributes of perhaps one
person – the business owner – or a very small group. For most micro and small
dutyholders, discussion of leadership and management processes may not be themost appropriate approach, but the owner has to set an example and provide alead on health and safety to staff. Managers may rely on minimal health and safety
paperwork (eg a simple health and safety policy, risk assessments for the mostsignificant risks, and statutory documents) provided that the systems are effective.
The lack of a formal documented system does not necessarily mean that there isno system at all. Medium-sized enterprises may have a mix of formal and informal
health and safety arrangements. See Managing for health and safety: Guidance forregulatory staff on the practice of assessing health and safety management.
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64 The relationship between the employer and employees is very important. To
protect employees when working with asbestos there are a number of key issues
that require long-term commitments:■■ training;■■ health records and medical surveillance; and■■ provision and maintenance of RPE.
65 Training is an ongoing process, not simply attending a training course. Do they
analyse training to assess their employees’ competence and to help decide what toinclude in annual refresher training?
66 Provision of RPE, the last line in protection, requires face fitting to the individual
employee and ongoing examination.
67 Medical surveillance requires health records to be kept for at least 40 years.
68 It is therefore preferable for the employee to be permanent and directly
employed. Where this is not the case, the applicant or licence holder must be able
to demonstrate that their policies are as robust as they would be for permanent
directly employed workers. Inevitably, this will involve a greater resource
commitment. The use of ‘self-employed’ people is not permissible, as a selfemployed person would require a licence in their own right, and would be directly incontrol of their work.
69 Leadership will be examined in detail. Managing directors are expected to playa key role in controlling work. For larger organisations there may be a separate
individual director appointed to manage the licensed asbestos work. In all cases the‘controlling mind’ of the business must be able to demonstrate their leadership witha commitment to ensuring the health and safety of employees. Effective health andsafety performance comes from the top and should then filter down to reach every
level. A managing director must exercise a high degree of control over theircompany.

Asbestos-specific matters
70 Applicants and licence holders must be able to demonstrate that they possess
excellent knowledge of asbestos and how to work with it competently.
71 Full knowledge of all applicable law is required, with particular emphasis on
CAR. The requirements as detailed in the ACOP should be fully understood andcomplied with.
72 Asbestos: The licensed contractors’ guide HSG247 provides comprehensive
guidance on licensed asbestos work. This was published in 2006 and predates
CAR but its guidance remains valid. It provides the following guidance:■■ An introduction to working with asbestos-containing materials (ACMs).
■■ Licences for work with ACMs.
■■ Risk assessments, plans of work and notifications for work with ACMs.
■■ Training for employees, supervisors, and others working with ACMs.
■■ PPE for work with ACMs.
■■ Enclosures for work with ACMs.
■■ Controlled techniques for the removal and repair of ACMs, including waste removal.
■■ Decontamination.
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73 Licensed work with asbestos will always require RPE. This should be selectedin accordance with chapter 5 of HSG247. Face fit testing should be carried out by
a competent person (eg through accreditation under the ‘Fit2Fit RPE Fit Test
Providers Accreditation Scheme’ and in accordance with guidance Fit testing of
respiratory protective equipment facepieces.6
74 Applicants and licence holders should understand the guidance contained in
HSG247. The industry also produces guidance via the Asbestos Liaison Group (ALG),
which is published on the ALG section of the HSE website as ALG memos – see
References and further reading. Applicants and licence holders should refer to the
ALG web pages regularly so that they are aware of current developments and up-todate guidance.

Inspector’s final comments and recommendation
75 At the end of the formal meeting the assessing inspector is required to make a
recommendation to ALU. This could be to:■■ grant a licence to work with asbestos (for any period up to a maximum of three
years);■■ refuse an application (either conditionally or outright);■■ revoke an existing licence;■■ amend an existing licence; or■■ no change to an existing licence.

76 The inspector should provide information on how this recommendation has
been made using the final comments section.

Granting or refusing licences
to work with asbestos
77 Applications for licences to work with asbestos are made to ALU. Applicants will be
provided with full information and references. The onus is on the applicant to ensure thatthey have the required attributes of a licence holder. Each application needs to include:■■ a completed application form (ASB1), with correct and accurate details and acompleted management self assessment; and■■ payment for the application (the asbestos licensing process is part of HSE’s
charging regime and as such is audited and reviewed regularly in line withpublic sector accountability). The fee is based on the cost to HSE of providing
the activity and is reviewed annually. It includes the overhead and administrative
elements together with the staff time spent on the process. The fee which is set
by means of the Health and Safety Fees Regulations is not refundable if alicence is not granted after the assessment is carried out. See www.hse.gov.
uk/asbestos/licensing/index.htm for the current fees.
78 The application process is the same for new applicants and renewal applicantswith an existing licence due to expire. However, with existing licence holders orapplicants with previous licensed asbestos work experience, past health and safety
performance will be taken into account.

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ALU action
79 On receipt of the application ALU will carry out a preliminary assessment. This
will include:■■ a check on the accuracy of detail included in your application form;■■ making use of relevant databases to check corporate details, including

directorships;■■ checking HSE databases for enforcement information;■■ confirmation that the application form has been completed appropriately; and■■ any other relevant action required to ensure that it is appropriate to proceedwith the application.
80 If it is appropriate to do so the application will be forwarded to the local ALPI for
action. ALU will also supply the ALPI with all relevant information to enable anassessment to be carried out.

ALPI action
81 On receipt of the ASB1 and other application documentation from ALU the
ALPI will contact the applicant and make an appointment to carry out theassessment by way of a formal meeting.
82 The assessment will follow the formal meeting procedure.

Recommendation and decision
83 The Head of ALU will receive the recommendation from the ALPI via COIN.
Where there is agreement a licence will be granted or refused in accordance withthe recommendation. If there is no agreement the Head of ALU will discuss with the
ALPI and reach a decision.
84 The decision is subject to the civil standard of legal proof, ie on the balance of
probabilities.
85 If the decision is to refuse ALU will write to the applicant and explain thereasons for refusal. If additional conditions are included on the licence, an
explanation will also be given.

Licence duration
86 Regulation 8 of CAR states that a licence ‘shall be valid for any period up to a
maximum of three years’. There is no ‘standard’ period for a licence and the period
granted will depend on a range of factors considered by the ALPI and the Head of
ALU. These factors will include:■■ the experience of the applicant in carrying out licensed asbestos work (newapplicants and renewal applicants with little or no work are unlikely to be
granted a licence for more than one year);■■ the stage of development of the applicant (eg with action plans);■■ prospective future management plans;■■ issues concerning poor performance; and■■ any other relevant factors as judged by the ALPI and Head of ALU.

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Licence refusal
87 If you are unsuccessful at your assessment, we will write to you explaining why
you are not being granted a licence.
88 If the identified failings are relatively minor, you will be conditionally refused andyou will be given four months to rectify the matters outstanding and be reassessed(if appropriate). There is a charge for reassessments.
89 If the identified failings indicate you fall well short of the standards required, youwill be outright refused. If you wish to pursue another application in the future, it will
incur the full licence fee and the entire process will commence again.

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Figure 1 Application process
ALU receives ASB1
application, check information
on form (validation +verification checking)

ALU gathers further information
on significant matters highlighted
during the checking procedure

ALU assesses the information
gatheredYes
Significant concerns

ALU raises concerns withlicence holder / applicant

No

Provide comprehensive
information to ALPI/COIN
assessment report

Yes
ProceedNo

Formal meeting: ALPI conducts
assessment. Completes COIN,
ASB4 and submits to ALU

ALU considers information.
All parties agreed
Yes

Grant licence

No

Yes

ALU to decide term, conditionsetc

ALU writes to applicant
confirming licence granted

ALU writes to applicant confirming
refusal of licence & appeals process

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Licence revocation
90 As explained previously, licensing enables HSE to ensure that only those
employers who are competent to carry out work with asbestos are permitted to do
so. Regulation 8(5) of CAR enables HSE to revoke a licence if it considers it
appropriate. If it becomes evident that it is appropriate to consider revocation,
those proceedings will take precedence over any other pending action. Asbestos
work should only be carried out by employers who are competent to do so, andthose who are not should be prevented from doing so.
91 A decision to revoke a licence to work with asbestos may be made where thecriteria specified in paragraph 108 of the ACOP have been identified. These could
be made by an operational inspector, an ALPI or ALU.
92 It is HSE policy to proceed with revocation action as speedily as possible once
we identify it is appropriate, even if there are outstanding criminal or notice appeal
proceedings against the company concerned.

ALU action
93 Where HSE is considering whether to revoke, ALU will prepare a revocation file:■■ This will provide detail of all inspections, including all correspondence and COIN
information.
■■ Each inspection will be analysed by ALU. Details of the analysis and resulting
conclusion must be included with each inspection.
■■ Where the information is insufficient or inconclusive contact with the relevant
inspector(s) must be made to clarify issues.
■■ Each inspection must be clearly identified in the report so it can be referenced
in a matrix of ‘revocation evidence’.
■■ ALU will produce a summary of the analysis detailing why it is consideredappropriate to revoke the licence.
■■ The revocation file should be fully understood by the ALPI as it will form thebasis of the discussion at the formal revocation meeting. This will require goodliaison between the ALPI and ALU.
94 All appropriate evidence should be used to support the revocation.
95 ALU will write to the licence holder and explain the reason(s) for the proposed
action. A copy of the revocation file will be provided. The licence holder will be asked
for a written response which will be considered by ALU. This reply must be received by
ALU no later than the date specified in the letter and will be added to the revocation file.
96 The Head of ALU will consider any response carefully and if necessary willconsult with the ALPI. If ALU considers it is appropriate to continue with therevocation process, ALU will write and inform the licence holder.
97 This letter will also state that they will be contacted by an ALPI to arrange a formal
meeting. The formal meeting is not about investigating the alleged breaches of asbestos-related legislation; to assess the licence holder’s ability to work safely in the future, it isnecessary to address the alleged facts, as detailed in the revocation file, which gave riseto the revocation proceedings. The same issues covered at the initial licenceassessment will be re-explored to gauge whether the licence should be retained. The
object of the interview is to give the licence holder the opportunity to demonstrate:
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Executive■■ that they have robust and reliable management arrangements and proceduresin place to comply with the terms and conditions of their licence;■■ that they have robust and reliable management arrangements and proceduresin place to comply with current asbestos legislation; and■■ that no one will be put at risk as a result of their work with asbestos.
98 There may be cases where issues of prejudice are raised by the licence holder
because of outstanding criminal or notice appeal proceedings against the company
concerned. The potential prejudice may relate to the outstanding proceedings or,more rarely, to the revocation itself. In such cases the inspector should seek advice
from HSE’s Legal Adviser’s Office in the very early stages of the case to check how
to proceed.

ALPI action
99 The ALPI will contact the licence holder to arrange the formal meeting. This will
be at a mutually convenient time. The ALPI may be accompanied by an inspector
from ALU. The licence holder will be given time to prepare their case, but as they
will already be aware of the proposal to revoke the licence, the meeting will bearranged promptly. This will normally be within two weeks of the ALPI contacting
the licence holder.
100 In cases where the licence holder refuses to attend the meeting, the ALPI
should write again to the licence holder, inviting them to make written comments
within 14 days of receipt of the letter. The letter should explain that if the licenceholder does not respond, then the revocation process will continue regardless, but
without the benefit of HSE being able to consider any comments/information thelicence holder might have provided.
101 As with other formal meetings, the licence holder may bring their legal
representative to the meeting.

Record of meeting
102 A record of the meeting must be made:■■ As with any other licence assessment an ASB4 must be completed detailing
■■
■■
■■

the findings at the meeting.
In addition to the ASB4 a revocation report will be produced.
The ALPI must make a recommendation on the ASB4, supported by evidence
contained within it and the revocation report.
All documents prepared by HSE or provided by the licence holder must be
added to the revocation file.

Recommendation and decision
103 The Head of ALU will consider the recommendation, discuss as is appropriate
with the ALPI and reach a decision.
104 The final decision is made by the head of ALU. This will be done byconsidering all the evidence justifying revocation against any written representation
made by the licence holder. The decision must be made in writing with a signed
and dated explanation.

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105 The Head of ALU will write to the licence holder and inform them of thedecision. This will specify the date of the revocation. It will be illegal to carry out
licensable work after that date and the licence must be returned to ALU.

Amendment procedure
106 HSE may also vary the terms of a licence by adding further conditions or
reducing the period for which the licence is valid. This may be for a variety ofreasons, but will normally follow a warning letter(s) from ALU.

ALU action
107 Where HSE is considering amending the licence ALU will write to the licenceholder and explain the reason(s) for the proposed action. The licence holder will be
asked for a written response which will be considered by ALU. This reply must be
received by ALU no later than the date specified in the letter. The Head of ALU willconsider any response carefully and if necessary consult with the ALPI. If ALU
considers it is appropriate to pursue the possibility of amending the licence, ALU
will write and inform the licence holder.
108 This letter will also state that they will be contacted by an ALPI to arrange aformal meeting.

ALPI action
109 The ALPI will contact the licence holder to arrange the formal meeting. This will
be at a mutually convenient time. The licence holder will be given time to prepare
their case, but as they will already be aware of the consideration to amend it isexpected that the meeting will be arranged promptly. This will normally be within
two weeks of the ALPI contacting the licence holder.
110 As with other formal meetings, if the licence holder wishes, their legal
representative may be present at the meeting.
111 The ALPI will make their report to ALU on HSE’s database (COIN) with therecommendation.

Recommendation and decision
112 The Head of ALU will consider the recommendation. Where there isagreement, the licence will be amended, or not amended, in accordance with therecommendation. If there is no agreement the Head of ALU will discuss with the
ALPI and reach a decision.
113 The Head of ALU will write to the licence holder and inform them of thedecision. The licence must be returned to ALU. There is a payment for theamendment.

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Figure 2 Revocation procedure
ALU receives information on
licence holder

Discussion whether
circumstances warrant
consideration for revocation

No

ProceedDiscussions recorded on
COIN by ALPI

ALU writes informing licenceholder that revocation is being
considered. Licence holder
given six weeks to reply

Letter from licence holder

No

Decide not to proceed

Yes

Decide to proceed

ALU writes inviting licence holder
to formal interview

Attendance confirmed

No

ALPI writes to licence holder
requesting comments

Yes

Conduct formal interview &audit. Report produced by ALPI

Yes

Response

No

Discussion with ALU & ALPI.
Review information. All parties
agree

Proceed

ALU writes to licence holder
informing them of the decision to
revoke and appeals processNo

ALU to consider appropriate
alternative actions

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Appeals procedure
114 Before any decision is made by ALU all of the evidence will be considered
carefully to ensure the action taken is fully justified. Decisions are made in light of
the fact that they must withstand scrutiny to the civil standard of proof, ie that thedecision is appropriate on the balance of probabilities. The licence holder/applicant
will be informed of the reasons for any decision to ensure they fully understand why
the decision has been made.
115 The decision made by ALU will remain in place until the outcome of any
appeals process. If after considering the reasons provided to explain the decision,
the applicant or licence holder has valid reasons which suggest that the wrong
decision has been made, there are three options available to the licence holder:■■ Have an informal (verbal) discussion with the Head of ALU to discuss the
■■
■■
■■

decision and the explanation of the reasons for it.
A request to HSE to review the decision made by ALU. This will be by way of alicence review board (LRB) with members who were not involved with thedecision made by ALU.
A formal appeal against the decision made under section 44 of the Health and
Safety at Work etc Act 1974 to the Secretary of State for Work and Pensions
against the decision.
It is important to note that a section 44 appeal can be made at any stage withor without an internal HSE review of the decision.

LRB review
116 The LRB will consist of the following members:■■ a member of the Senior Civil Service (SCS) with overall responsibility for ALU;■■ an independent ALPI not involved with the decision being reviewed; and■■ a principal inspector who is not involved with licensed asbestos work.
117 The members of the LRB are chosen to ensure that they have not been
involved in the decision made by ALU.
118 Any request for an LRB review should be made to ALU who will arrange for it
to be processed. Full details should be supplied with the request to explain why thelicence holder considers an LRB is justified. The SCS member of the LRB will
inform the applicant of the date of the LRB and the date for any further submissions
to be considered.
119 The applicant will be informed of the LRB’s decision immediately following themeeting.

Section 44 appeal
120 Under section 44 of the Health and Safety at Work etc Act 1974, the appeals
against the decision should be addressed to the Secretary of State for Work andPensions, Department for Work and Pensions (DWP), 79 Whitehall, London,
SW1A 2NS.

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121 The appeal must include the following:■■ appellant’s name and address;■■ the specific decision against which the appeal is made; and■■ the grounds for the appeal.
122 The right to appeal to the Secretary of State will be explained with allcorrespondence from ALU concerning decisions to refuse, amend or revoke
licences to work with asbestos.
123 The applicant will be contacted by DWP once the appeal has been made.

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Figure 3 Appeals procedure
ALU receives information fromlicence holder requesting
review with full details

ALU writes to licence holder
informing them that a licence
review board (LRB) will be
convened and inviting any extra
written submissions

Written submissions
from licence holderNo

ALU contacts licence holder
to confirm LRB to proceedwithout submissions

No

ALU to consider appropriate
alternative actions

Yes

Conduct licence review board.
All parties agreed withproposed action
Yes

ProceedYes

ALU writes to licence holder.
Informed of decision to
revoke/not renew licence

ALU writes to licence holder.
Informed of decision not to
revoke/to renew licence

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References and further reading
1 Health and Safety Commission Policy Statement: Our approach topermissioning regimes HSE 2003 www.hse.gov.uk/enforce/how.htm
2 Work with materials containing asbestos. Control of Asbestos Regulations
2006. Approved Code of Practice and guidance L143 HSE Books 2006
ISBN 978 0 7176 6206 7 www.hse.gov.uk/pubns/books/L143.htm (This is still
applicable to 2012 Regulations).
3 Successful health and safety management HSG65 (Second edition) HSE Books
1997 ISBN 978 0 7176 1276 5 www.hse.gov.uk/pubns/books/HSG65.htm
4 Asbestos: The licensed contractors’ guide HSG247 HSE Books 2006
ISBN 978 0 7176 2874 2 www.hse.gov.uk/pubns/books/HSG247.htm
5 Managing for health and safety: Guidance for regulatory staff on the practice ofassessing health and safety management HSE 2010 www.hse.gov.uk/managing/regulators/regulators.pdf
6 Fit testing of respiratory protective equipment facepieces Operational Circular
OC 282/28 HSE 2011 www.hse.gov.uk
HSE’s asbestos web pages: www.hse.gov.uk/asbestos/index.htm
Asbestos Liaison Group (ALG): www.hse.gov.uk/aboutus/meetings/committees/alg/
index.htm
ALG guidance is published on the HSE website as ALG memos at www.hse.gov.uk/
aboutus/meetings/committees/alg/memos_issued.htm.

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Further information
For information about health and safety, or to report inconsistencies or inaccuracies
in this guidance, visit www.hse.gov.uk/. You can view HSE guidance online andorder priced publications from the website. HSE priced publications are alsoavailable from bookshops.
This document is available at www.hse.gov.uk/pubns/hse50.pdf.
© Crown copyright If you wish to reuse this information visit www.hse.gov.uk/
copyright.htm for details. First published 04/12.

Published by the Health and Safety Executive

HSE50

04/12

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