Greenstreet Berman Ltd Inspection Investigation Enforcement Sara Marsden

Greenstreet Berman Ltd Inspection, Investigation & Enforcement Sara Marsden Greenstreet Berman Ltd sara. marsden@greenstreet. co. uk www. greenstreet. co. uk CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd 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 CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd HSE/LA roles • • • Protection of workers & public H&S advice & prevention Visible enforcement - criminal law Justice for victims Complaints investigations & handling CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd Inspection allocation • HSE - Local Authority divide • HSE planning – Field HQ discussion • Targets - national/local – Inspections according to risk rating – % incidents – % complaints – numbers enforcement actions CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd 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 CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd Selection for inspection • Planned preventive inspection – based on rating system – inspector rates at visit • Project work – priority industries – priority issues CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd Announcing the visit • Motivation of possibility of an unannounced visit • Stakeholder interests (workforce, public) • Some announced visits are useful/necessary Charging & inspection plans? Guidelines? CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd Workplace community Amongst other things • Achieving aims depends on – Group dynamics, power relations – Organisational characteristics • Employer/Employee relationship – needn’t be a problem! – affects communications Inspector Awareness? CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd 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 CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd Effective consultation • Worker voice – TU safety reps – employee representatives • Empowered reps – training – security – time for health and safety CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd Inspecting consultation - 1 Assessing consultation • • Standards for consultation? Safety rep rights History of complaints/UINs Competence of managers Tools include • Contact with safety reps CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd Inspecting consultation - 2 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 CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd Inspecting consultation - 3 Inspector awareness/training • acceptable consultation standards • understanding and influencing organisations • role & structure of trade unions • industrial relations CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd Selection for investigation Accidents/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 CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd Reps and investigation • • • Questions of custom and practice Previous workforce complaints Identifying witnesses View on consultation Reassurance of witnesses Communication with workforce CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd Possible outcomes • advice, letter • enforcement notice – e. g. improvement notice, prohibition notice • formal evidence collection • proposed prosecution report • prosecution Resources? CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd Investigating/inspecting directors • Section 37 – part of theoretical training – little guidance – patchy understanding/proactive work • Increasingly meet MDs & CEOs – during inspection – PACE act interviews CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd 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? CCA/TUC Conference 21 st November 2001

Greenstreet Berman Ltd In summary. . . • Workplace as community • matters to health and safety management • influence performance • Consultation • recognised standards & enforcement • inspector training? • Other issues • announcing visits; s 37 guidance; INs: protecting h&s -v- evidence of crime CCA/TUC Conference 21 st November 2001