iosh east midlands
TRANSCRIPT
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IOSH East Midlands
Branch Chair
Colin Jenkinson
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Begins on the evening of 4 August 2005 …
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A Loved One’s Death
• Sudden
• Unexpected
• Untimely
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Michael’s Electrocution
• All hands on deck
• “NOT IN USE”
• “Mikey, you’re leaning on that wire”
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Lack of Safe Isolation
• Cables L2/14 and L3/3
• Plans changed, but were not documented
• “When working on electrical equipment, it should be isolated and secured by means of a padlock, and tested by a voltage meter before work commences.”
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Proving Dead
• Testing equipment
• An alternative means of testing
• “There was a lot to provide a shock path.”
• He couldn’t let go
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Supervision
• Ineffective supervision and management
• “I don’t regard it as part of my job to ensure safe working practices were adhered to at all times…
• …The procedures in the Contract Safety Plan were not enforced by me”
• “…not his most heinous mistake…”
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Paperwork
• Inductions, method statement, toolbox talks
• Risk assessment described by company as a “living document”
• Risks increased dramatically but risk assessment not revisited
• Described by HSE as “completely inadequate”
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The Trial Outcome
• “Michael Adamson’s death could have been prevented had his employer ensured that safe working practices were being carried out in accordance with the company's own written procedures. ..
• …Managers and supervisors must take active steps to ensure that their electricians work safely.”
• Invisible man fined £300,000
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The Ripple Effect of Michael’s Death?
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Health and Safety Executive
Health and Safety Executive
HSE’s approach to
investigation
David Butter
HM Principal Inspector of
Health & Safety
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About me
• Joined HSE in Sept. 1990 - HM
Agricultural Inspectorate in Lincoln.
– Sector role – negotiating CEN and ISO
machinery standards, writing guidance
etc.
– Policy role – Hampton Implementation
Team – merging the GLA into HSE.
• Lead inspection team that covers
Lincolnshire and North Nottinghamshire.
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How does HSE get informed?
Emergency services:
Police control room – 2nd hand
Fire and rescue control room – 2nd hand
Note: the duty holders still needs to report
via the RIDDOR system.
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What does HSE investigate?
• The mandatory investigation criteria is
published on the website:
– All work related fatalities
– Serious multiple fractures
– All amputations below the first joint
– Permanent blinding
– Crush injuries (internal organ damage)
– Any burn covering more than 10%
– Scalping requiring hospital treatment
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What does HSE investigate?
• Loss of consciousness.
• Confined space injury (hypothermia or
heat induced or resuscitation needed or
hospital for 24 hours or more).
• Plus occupation disease notifications:
– Carpel tunnel syndrome, cramp (hand
or forearm), occ. dermatitis, HAVS,
occ. asthama, tendonitis.
• Plus cancers & disease (occ. exposure).
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What does HSE investigate?
• Incidents which indicate a likelihood of a
serious reach of the law.
• Precursor events to major hazards.
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Why does HSE investigate?
• To identify what went wrong and what has
been done to make sure it will not happen
again.
• To learn lessons and get information
about how we should target our
preventative work.
• To find out whether the law has been
broken and decide what further action we
need to take.
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Need to remember that:
• HSE is not an emergency service.
• HSE has a different role to the emergency
services.
• All work related death investigations will
be led by the local police force until
primacy handed to HSE (but will retain an
interest e.g. Coroner’s officers etc.)
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What action can HSE take?
• On the day (in liaison with others):
– Service notice to leave undisturbed.
– Take original documents.
– Take plant/substances away for further
examination.
– Serve Prohibition and/or Improvement
Notices.
– Take photographs etc.
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What action can HSE take?
• In the following days:
– Bring in specialist colleagues.
– Take statements from witnesses
(police will generally take them on the
day).
– Carry out an inspection of the premises
(often by another inspector).
– Seek the views of the duty holder
(either by PACE interview or written
submissions).
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What action does HSE take?
– Provide a factual report for the
Coroner.
– Give evidence at the inquest.
– Support Coroner in respect of potential
for PFD report (preventing further
deaths).
– Commence proceedings in the Courts
(based on evidential and public interest
tests).
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Any Questions?
Further information sources:
• HSE Website - www.hse.gov.uk
• HSE Website RIDDOR pages -
http://www.hse.gov.uk/riddor/report.htm
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www.howespercival.com
The Impact of it going wrong – the legal stuffPresentation to IoSH East Midlands
Alan Millband (Partner)Howes Percival Regulatory and Health & Safety Team
16th February 2017
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INTRODUCTION
• The focus of the presentation:
– Preparing for the HSE (or other safety authority) investigation and enforcement (and other) action
– Common mistakes and good practices
– NB: if this wasn’t what you were expecting, blame Jenkinson
The legal stuff
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ACKNOWLEDGEMENT
• Following a significant health and safety incident there is an inevitable tension:-
• Putting everything right versus protecting your interests
• May involve a very delicate balance
The legal stuff
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POWERS OF H&S INSPECTORS
• Health & Safety at Work etc Act 1974 section 20
• Include –
– Entry to premises
– Investigate as necessary
– Require information to be provided
– Inspect and obtain copies of documents (unless legally privileged)
The legal stuff
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EXPECTING THE INSPECTOR’S CALL
• Fatalities and serious incidents
• HSE initiatives
• Persons on the radar
• Whistle-blowers and agitators
• Luck of the draw
The legal stuff
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PLANNING AHEAD
• “A committee is a group of people who individually can do nothing, but who, as a group, can meet and decide that nothing can be done” (Fred Allen, US comedian)
• Don’t try and manage the HSE investigation by committee
• Appoint a key contact (and possibly a deputy)
• Decide on a reporting ”loop” (as small as practicable)
The legal stuff
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PREPARING FOR THE VISIT
• At any (reasonable) time– i.e. no notice
• Notifying the key contact (or deputy)
• Providing facilities
• Anticipation –– What will he/she wish to see?
– Who will he/she wish to talk to?
– Getting people and paperwork ready
The legal stuff
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PREPARING FOR THE VISIT cont’d
• Briefing and de-briefing witnesses
• Legal representation?
• Obstruction
• Conflicts of interest
The legal stuff
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INTERNAL INVESTIGATION
• Mandatory?
• Purpose
– Establishing facts
– Gathering evidence
– Determining root cause
– Identifying remedial etc actions
– Preventing recurrence
The legal stuff
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INVESTIGATION REPORT
• Disclosable (unless privileged)
• Securing privilege
• Advantages and disadvantages of privilege
• Desirability of provisional conclusions
• Identifying and managing remedial actions
The legal stuff
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INFORMATION CONTROL
• Key contact to keep log of Inspector’s visits, calls etc
• Follow-up discussions by email, if beneficial
• Communicating:– Rumours fill information vacuums
– Internal communications – staff briefings
– External communications – customer/supplier relations
– PR/media management
– Contact with victim/family
The legal stuff
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ENFORCEMENT ACTION – TYPES
• Verbal warnings
• Written warnings
• Notifications of Contravention (Fees for Intervention)
• Improvement notices – section 21 HSWA
• Prohibition notices – section 22 HSWA
• Prosecution
The legal stuff
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ENFORCEMENT ACTION – DEALING WITH IT
• All types are predicated on breach of statutory provisions
• Available challenges
• Significance of failure to challenge
• Markers
• Protective appeals
• Managing the opponent’s reaction
The legal stuff
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PACE PROCEDURES
• PACE?
• At this point, you’re a suspect
• Interviews under caution
• HSE’s approach has shifted
• Options
• Legal and strategic advice
The legal stuff
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PROSECUTION – POTENTIAL CONSEQUENCES
• Sentencing – the Definitive Sentencing Guideline– Culpability and harm risked
– Turnover driven
– Ranges and starting points
– Aggravating/mitigating features
– Fines
• Costs – obvious and less obvious
• Other consequences
The legal stuff
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Guideline extract
The legal stuff
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AGGRAVATION
aggravate
[ag-ruh-veyt] /ˈæg rəˌveɪt/
verb (used with object), aggravated, aggravating. 1.
to make worse or more severe; intensify, as anything evil, disorderly, or troublesome:
The legal stuff
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AGGRAVATING FACTORS
The legal stuff
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INDIVIDUALS – POTENTIAL CONSEQUENCES
• Duties of employees – section 7 HSWA
• Liability of others – section 36
• Directors and senior officers – section 37
• Disqualification
• Custodial sentences
The legal stuff
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INQUESTS
• What is an Inquest?
• What is its purpose?
• Why is it significant?
• Protective considerations
The legal stuff
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CIVIL CLAIMS
• In general
• Significance
• “An ingenious modern game of chance in which the player is permitted to enjoy the comfortable conviction that he is beating the man who keeps the table”.
• Costs
• Interaction with criminal proceedings
The legal stuff
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BRINGING IN THE LAWYERS
• Must you?
• Why?
• When?
• How?
• 99% of lawyers give the rest of them a bad name
The legal stuff
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QUESTION TIME
The legal stuff
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SEMINAR SPEAKER
Alan Millband, Partner, Regulatory & Business defence TeamThe impact of it going wrong – the legal stuff
“Alan is a Partner in the law firm Howes Percival where he heads the
Regulatory and Health & Safety Team. He has specialised in health and
safety law for over 25 years. As well as presenting on the subject on a
variety of speaking platforms, including the recent QNJAC conferences,
he lectures on the minerals management honours degree course at the
University of Derby; has been appointed editor of the Institute of
Quarrying’s textbook, ‘Health and Safety Law in Quarries’; and is
retained to advise numerous health and safety consultancies on law
and compliance”.
01162473521 (Tel)07920799703 (Mob)
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AGILE ENERGETIC ENTREPRENEURIAL COMMERCIAL INNOVATIVE EXPERIENCED
Thank you for attending today and we hope you found this presentation interesting. If you need further advice or assistance, please speak to a member of the team.
©2016 Howes Percival LLP. All rights reserved.
Howes Percival LLP is a limited liability partnership registered in England and Wales with registered number
OC 322781 and is authorised and regulated by the Solicitors Regulation Authority. A list of members’ names
is open to inspection at our registered office: Oxford House, Cliftonville, Northampton NN1 5PN.
Howes Percival LLP is a regional law firm operating across theheartland of England with offices in Cambridge, Leicester,Manchester, Milton Keynes, Northampton and Norwich.
Howes Percival has expertise and resources usually associated withmuch larger national and city firms and provides top quality legalservices to businesses and individuals. The firm prides itself notonly on the expertise of its lawyers, but on their energetic, agileand commercial approach.
The information about legal matters is provided as ageneral guide only and should not be relied upon orconstrued as constituting legal advice and HowesPercival LLP disclaims liability in relation to its use.You should seek appropriate legal advice beforetaking or refraining from taking any action.
CAMBRIDGE LEICESTER MANCHESTER MILTON KEYNES NORTHAMPTON NORWICH
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Panel Questions
Louise Taggart
David Butter
Alan Millband