cca/tuc conference21 st november 2001 greenstreet berman ltd inspection, investigation &...

21st November 2001

Greenstreet Berman Ltd

CCA/TUC Conference

Inspection, Investigation & Enforcement

Sara Marsden

Greenstreet Berman [email protected]

www.greenstreet.co.uk

21st November 2001


CCA/TUC Conference

Outline of talk

• Organising inspectors’ work

• Workplace as a community

• Consultation

• Role of the worker representative

• Possible outcomes of visits

• Some other issues/points of contention

21st November 2001


CCA/TUC Conference

HSE/LA roles

• Protection of workers & public

• H&S advice & prevention

• Visible enforcement - criminal law

• Justice for victims

• Complaints investigations & handling

21st November 2001


CCA/TUC Conference

Inspection allocation

• HSE - Local Authority divide

• HSE planning– Field HQ discussion

• Targets - national/local– Inspections according to risk rating– % incidents– % complaints– numbers enforcement actions

21st November 2001


CCA/TUC Conference

Organising inspection

• HSE field organisation– regional sectors– sector groups, HID

• Principal Inspector roles– manage sector/HID inspectors– input into planning– delivery of group targets– selection of incidents

21st November 2001


CCA/TUC Conference

Selection for inspection

• Planned preventive inspection– based on rating system – inspector rates at visit

• Project work– priority industries– priority issues

21st November 2001


CCA/TUC Conference

Announcing the visit

• Motivation of possibility of an unannounced visit

• Stakeholder interests (workforce, public)

• Some announced visits are useful/necessary

Charging & inspection plans?

Guidelines?

21st November 2001


CCA/TUC Conference

Workplace communityAmongst other things

• Achieving aims depends on - – Group dynamics, power relations– Organisational characteristics

• Employer/Employee relationship– needn’t be a problem!– affects communications

Inspector Awareness?

21st November 2001


CCA/TUC Conference

Why should it matter to HSE?• Effective health and safety management

depends on - – how the organisation ticks– active participation of the workforce– effective consultation

• Consultation is a legal requirement

• Effect of visit

21st November 2001


CCA/TUC Conference

Effective consultation

• Worker voice – TU safety reps– employee representatives

• Empowered reps– training– security– time for health and safety

21st November 2001


CCA/TUC Conference

Inspecting consultation - 1

Assessing consultation

• Standards for consultation?

• Safety rep rights

• History of complaints/UINs

• Competence of managers

Tools include -

• Contact with safety reps

21st November 2001


CCA/TUC Conference


Influencing consultation

• Visible meetings with worker reps– individual/H&S committee meetings– informal phone advice– can have long term effect

• Employer advice & enforcement– too hands off?– care needed

21st November 2001


CCA/TUC Conference


Inspector awareness/training

• acceptable consultation standards

• understanding and influencing organisations

• role & structure of trade unions

• industrial relations

21st November 2001


CCA/TUC Conference

Selection for investigationAccidents/incidents priorities incl:

• fatalities

• serious injury, ill health, DOs

• potentially serious events

• public concern, vulnerable groups etc

• serious breaches of law

risk, justice and fairness

21st November 2001


CCA/TUC Conference

Reps and investigation

• Questions of custom and practice

• Previous workforce complaints

• Identifying witnesses

• View on consultation

• Reassurance of witnesses

• Communication with workforce

21st November 2001


CCA/TUC Conference

Possible outcomes

• advice, letter

• enforcement notice – e.g. improvement notice, prohibition notice

• formal evidence collection

• proposed prosecution report

• prosecution

Resources?

21st November 2001


CCA/TUC Conference

Investigating/inspecting directors

• Section 37 – part of theoretical training– little guidance– patchy understanding/proactive work

• Increasingly meet MDs & CEOs– during inspection– PACE act interviews

21st November 2001


CCA/TUC Conference

Conservatism in enforcement?

Improvement Notice

• Strive for perfection!

• Evidence almost as good as a prosecution

• Burden of tribunal administration

• Where does this leave those at risk?

21st November 2001


CCA/TUC Conference

In summary...• Workplace as community

• matters to health and safety management• influence performance

• Consultation• recognised standards & enforcement• inspector training?

• Other issues• announcing visits; s37 guidance;

INs: protecting h&s -v- evidence of crime

cca/tuc conference21 st november 2001 greenstreet berman ltd inspection, investigation &...

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