CCA/TUC Conference21 st November 2001 Greenstreet Berman Ltd Inspection, Investigation & Enforcement...
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Transcript of CCA/TUC Conference21 st November 2001 Greenstreet Berman Ltd Inspection, Investigation & Enforcement...
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
Greenstreet Berman Ltd
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
Greenstreet Berman Ltd
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
Greenstreet Berman Ltd
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
Greenstreet Berman Ltd
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
Greenstreet Berman Ltd
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
Greenstreet Berman Ltd
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
Greenstreet Berman Ltd
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
Greenstreet Berman Ltd
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
Greenstreet Berman Ltd
CCA/TUC Conference
Effective consultation
• Worker voice – TU safety reps– employee representatives
• Empowered reps– training– security– time for health and safety
21st November 2001
Greenstreet Berman Ltd
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
Greenstreet Berman Ltd
CCA/TUC Conference
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
21st November 2001
Greenstreet Berman Ltd
CCA/TUC Conference
Inspecting consultation - 3
Inspector awareness/training
• acceptable consultation standards
• understanding and influencing organisations
• role & structure of trade unions
• industrial relations
21st November 2001
Greenstreet Berman Ltd
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
Greenstreet Berman Ltd
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
Greenstreet Berman Ltd
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
Greenstreet Berman Ltd
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
Greenstreet Berman Ltd
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
Greenstreet Berman Ltd
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