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Managing investigation - Lancashire Branch

[fa icon="calendar"] Nov 9, 2016 10:15:00 AM / by IQ News Update

IQ News Update


The Lancashire branch welcomed Dave Collins, 8th November 2016 to provide an evening of information on managing investigations and what companies, Directors, Senior Managers and individuals need to do.

The evening covered why it is vital to:

  • Manage our various duties
  • Manage the investigation if we don’t comply
  • Identify common themes in the prosecutions
  • Identify potential areas of weakness within the organisation
  • To review the various elements of the investigation
  • To consider the legal consequences of failures for both the business and the individual
  • To identify a way forward

Legal reasons to manage duties include:

  • Prosecution
    • Sections include 2,3,7,32 and 37 HASAWA
    • Corporate manslaughter
    • Sentence
    • Reputation

Economic reason to manage duties include:

  • Look at the cost of workplace illness
  • Look at the cost of workplace injury, including fatalities
  • Look at days that were lost due to work-related ill health and workplace injuries

Moral reason to manage duties

  • UK fatalities
  • UK major injuries
  • UK all injuries

Slides depicting an accident underlined why vigilance is vitally important, this was further driven home on seeing quotes from family members who had lost loved ones in the workplace. The evening also covered common themes in breaches of duty, along with comments from the trial Judge from a recent prosecution of a major company.

Other key items discussed included:

Where companies fail:

  • We’ve always done it that way
  • What happens if things go wrong
  • Immediate challenges
  • What to do if an incident occurs 

When an investigation begins (Non-Fatal):

  • S.E. Inspectors have extensive power
  • Who will they want to speak to
  • What documents might they want to see

Fatality accident

  • Interview under caution
  • Internal investigation
  • Privilege
  • A look at prosecutions from 2014/2015

H.S.E. guidance

  • Prosecuting individuals
  • Section 7 HASAWA
  • Section 7 circular guidance
  • Section 37 HASAWA
  • Disciplinary

Company prosecution

  • HASAWA (Health and Safety at Work Act 1974, section 2 and section 3 and if prosecuted

Sentencing Guidelines

  • Health and Safety offences
  • Corporate manslaughter
  • Food safety and hygiene offences guidelines
  • Determine offence category based on culpability and risk of harm. Culpability has four ranges, from very high to low.  Harm is based on seriousness and likelihood.  We looked at steps 1 to 9 and the fine reflecting the seriousness of the offence.  We also looked at other consequences, e.g publicity and remedial orders.

Questions we need to ask ourselves

  • We all know about competence and how that can be measured, but are we confident in how effective we are at monitoring that competence. Don’t be afraid to improve ,enforce and challenge procedures

On behalf of the members of the Lancashire Branch Mark Broadley led the vote of thanks to Dave Collins for his excellent presentation.


Topics: Technical Evenings, Lancashire Branch, IQ

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