1. How to Handle Regulators?
17 June 2014
Kevin Bridges
Partner and
Vice-President of IOSH

2. WHAT REGULATORS?

3. Wide and varied
• Police (CPS)
• Health and Safety Executive (HSE)
• Local Authorities (EHOs and Trading Standards)
• Environment Agency (EA)
• Fire Authorities
• Office of Rail Regulation (ORR)
• Maritime & Coastguard Agency (MCA)
• Driver and Vehicle Standards Agency (DVSA)
• Etc ....

4. Inspectors – all different

5. INTERACTION WITH
REGULATORS

6. Wide and varied
• Warm and fuzzy:
– “In partnership with” for advice or improving standards
• Inspections:
• announced or unannounced – to check compliance
• FFI
• Enforcement:
– Dawn raids
– Investigations following an incident or a complaint

7. STATUTORY POWERS OF
REGULATORS

8. Wide and varied
• Know what powers they have?
– scope and limits
• e.g. section 20 HSWA
• “any other power which is necessary...”
• Know what legal duties you have?
– to co-operate – provide documents and information
– not to obstruct
– not to make false statements
– not to falsify records / documents or use a document
with intent to deceive*
* section 33 HSWA

9. PITFALLS

10. Wide and varied
• Confusing inspections v. potential enforcement action
• Withholding and fabricating evidence
– temptation to do so
– thought it was “the right thing to do”
• Admissions of liability in documents and interviews
– Internal accident investigations / witness interviews /
PACE interviews under caution / emails

11. HOW TO MANAGE?

12. Your rights?
• Understand the nature of the visit / interaction – adapt
your approach accordingly:
– Before
• Be prepared (core team with lead contact; intelligence
gathering; brief those likely to be interviewed; find
documents; practice / stress test)
– During
• Check authority / scope and shadow them (take copies of
documents; notes of meetings; give only what is asked)
– After
• De-brief (internally / with Regulator?) and follow up on
unanswered questions or missing documents

13. Your rights?
• Investigative / Enforcement – obj. AVOID
PROSECUTION
– Co-operation BUT NOT capitulation – avoid making
admissions of liability
– Incident Response Protocol – “take control”
• Documents – disclosure (provenance and privilege esp.
internal investigations and reports / emails)
• Interviews – are they voluntary / compulsory / under
PACE? brief interviewees on the Do’s and Don’ts / own
lawyer or Nominated Representative?
– Remediation of the breach / non-compliance

14. WHAT TO DO?

15. Be prepared
• Have in place an Incident Response Protocol for
responding to incidents and investigations by enforcing
authorities
• Brief / train staff on procedures
• Stress test dealing with inspections and investigations
• Practice managing Dawn Raids

16. Questions
Kevin Bridges (Partner)
Mobile: 07768 993666
kevin.bridges@pinsentmasons.com
Kevin Bridges, Pinsent Masons

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