Statistics about prosecution of directors

Lee Hughes made this Freedom of Information request to Health and Safety Executive

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Dear Health and Safety Executive,

I would be grateful if you could provide the following information:

How many company directors were prosecuted under the Health and Safety at Work etc Act 1974 (HSWA) in each of the following years: 2000, 2001, 2002, 2003, 2004, 2005, 2006, 2007, 2008, 2009 and 2010.

How many directors were investigated for offences in their individual capacity during these years?

How many directors were prosecuted under Section 37 HSWA during these years?

How many of those directors were convicted?

Of those that were convicted, how many pleaded guilty?

How many of those directors were prosecuted at the same time as the company of which they were director?

What percentage of prosecuted directors were the sole directors of the company?

Of the directors prosecuted, how many of them were prosecuted as a result of an investigation which followed a fatal accident?

How many of the directors prosecuted were prosecuted for offences that resulted from an investigation where there had not been 1) a fatal accident 2) an accident at all.

Can the HSE provide a breakdown of the penalties imposed on the directors once convicted?

What percentage / number of convicted directors received prison sentences? Can the HSE break these down into how long the prison sentences were?

If convicted following prosecution, how many of those directors were subject to an application under the Directors Disqualification Act 1985?

Of those directors that were subject to such an application, how many of those directors were actually disqualified? Can the HSE break down this information to show how long each of those directors were disqualified for?

Yours faithfully,

Lee Hughes
Solicitor

Sent request to Health and Safety Executive again, using a new contact address.

Health and Safety Executive

1 Attachment

Mr Hughes,

In response to your FoI request below please see the attached letter.

Regards

Gary Wilson

Health and Safety Executive
Operational Information & Intelligence Team
BSD
5S3.034 Redgrave Court
Bootle
Merseyside
L20 7SH
0151 951 4077
vpn 523 4077

show quoted sections

Health and Safety Executive

1 Attachment

   
  Field Operations Directorate

   

  Pam Jackson

   

  North West Division
Lee Hughes
  Room 2.3
Via email
  Redgrave Court

  Merton Road

 7^th December 2011   Bootle

  Merseyside

  L20 7HS
 
   

  Tel: 0151 951 5977
Our Ref: 2011110419
  Fax: 0151 951 4835
Your Ref:  
  [email address]
 
 

[1]http://www.hse.gov.uk/
 
 
 
Dear Mr Hughes  
 

  FREEDOM OF INFORMATION ACT 2000 – Ref: 2011110419

Thank you for your request for statistics regarding prosecutions of
Directors between the years  2000 to 2010.

 

1. I can confirm that the Health and Safety Executive holds the following
information requested by yourself:-

 

How many company directors were prosecuted under the Health and

     Safety at Work etc Act 1974 (HSWA) in each of the following
years:

     2000, 2001, 2002, 2003, 2004, 2005, 2006, 2007, 2008, 2009 and

     2010.

    

     How many directors were investigated for offences in their

     individual capacity during these years?

    

     How many directors were prosecuted under Section 37 HSWA during

     these years?

    

     How many of those directors were convicted?

    

     Of those that were convicted, how many pleaded guilty?

    

     How many of those directors were prosecuted at the same time as
the

     company of which they were director?

    

     What percentage of prosecuted directors were the sole directors
of

     the company?

    

     Of the directors prosecuted, how many of them were prosecuted as
a

     result of an investigation which followed a fatal accident?

    

     How many of the directors prosecuted were prosecuted for offences

     that resulted from an investigation where there had not been 1) a

     fatal accident 2) an accident at all.

    

     Can the HSE provide a breakdown of the penalties imposed on the

     directors once convicted?

    

     What percentage / number of convicted directors received prison

     sentences? Can the HSE break these down into how long the prison

     sentences were?

    

     If convicted following prosecution, how many of those directors

     were subject to an application under the Directors
Disqualification

     Act 1985?

    

     Of those directors that were subject to such an application, how

     many of those directors were actually disqualified? Can the HSE

     break down this information to show how long each of those

     directors were disqualified for? 

 

2. This information can be disclosed and the answers are attached to this
email in tabular form.

 

4. If you have any queries about this letter, please contact me. Please
remember to quote the reference number above in any future communications.

 

5. If you are unhappy with the decisions made by HSE you may ask for an
internal review within two calendar months of the date of this letter by
writing to me.

 

6. If you are not content with the outcome of the internal review you have
the right to apply directly to the Information Commissioner for a
decision. The Information Commissioner can be contacted at:

The Information Commissioner’s Office

   Wycliffe House

   Water Lane

   Wilmslow

   Cheshire

   SK9 5AF

   Tel: 01625 545700

Fax: 01625 524510

Email: [2][email address]

Website: [3]http://www.informationcommissioner.gov.uk

Yours faithfully

 

 

 

 

 

 

 

Yours faithfully

 

 

Pam Jackson
Disclosure Officer

Health and Safety at Work etc Act 1974: Section 37 Prosecutions Data for Years
1999/00 to 2010/11

 

+----------------------------------------------------------------------------------------------------------------------------+
|  |Question | Info |99/00| 00/01 |01/02 |02/03 |03/04 |04/05|05/06 | 06/07 | 07/08 | 08/09 | 09/10 |10/11 |
| | |Available| | | | | | | | | | | | |
|--+----------------+---------+-----+----------+------+------+------+-----+------+---------+-------+----------+-------+------|
|1 |How many company| | | | | | | | | | | | | |
| |directors were | | | | | | | | | | | | | |
| |prosecuted under| | | | | | | | | | | | | |
| |the Health and | | | | | | | | | | | | | |
| |Safety at Work | | | | | | | | | | | | | |
| |etc Act 1974 | |See 3| See 3 |See 3 |See 3 |See  |See 3|See 3 | See 3 | See 3 | See 3 | See 3 |See 3 |
| |(HSWA) in each | Y | | | | | 3 | | | | | | | |
| |of the following| |Below| Below |Below |Below | |Below|Below | Below | Below | Below | Below |Below |
| |years: 2000, | | | | | |Below | | | | | | | |
| |2001, 2002, | | | | | | | | | | | | | |
| |2003, 2004, | | | | | | | | | | | | | |
| |2005, 2006, | | | | | | | | | | | | | |
| |2007, 2008, 2009| | | | | | | | | | | | | |
| |and 2010. | | | | | | | | | | | | | |
|--+----------------+---------+-----+----------+------+------+------+-----+------+---------+-------+----------+-------+------|
|2 |How many | | | | | | | | | | | | | |
| |directors were | | | | | | | | | | | | | |
| |investigated for| | | | | | | | | | | | | |
| |offences in | N | x | x | x | x | x | x | x | x | x | x | x | x |
| |their individual| | | | | | | | | | | | | |
| |capacity during | | | | | | | | | | | | | |
| |these years? | | | | | | | | | | | | | |
|--+----------------+---------+-----+----------+------+------+------+-----+------+---------+-------+----------+-------+------|
|3 |How many | | | | | | | | | | | | | |
| |directors were | | | | | | | | | | | | | |
| |prosecuted under| Y | 28 | 24 | 20 | 20 | 17 | 12 | 10 | 23 | 13 | 36 | 36 | (43) |
| |Section 37 HSWA | | | | | | | | | | | | | |
| |during these | | | | | | | | | | | | | |
| |years? | | | | | | | | | | | | | |
|--+----------------+---------+-----+----------+------+------+------+-----+------+---------+-------+----------+-------+------|
|4 |How many of | | | | | | | | | | | | | |
| |those directors | Y | 20 | 22 | 14 | 9 | 13 | 6 | 5 | 14 | 9 | 13 | 27 | (35) |
| |were convicted? | | | | | | | | | | | | | |
|--+----------------+---------+-----+----------+------+------+------+-----+------+---------+-------+----------+-------+------|
|5 |Of those that | | | | | | | | | | | | | |
| |were convicted, | Y |(13) | (16) | (15) | (10) | (13) | (5) | (5) | (18) | (12) | (17) | (27) | (33) |
| |how many pleaded| | | | | | | | | | | | | |
| |guilty? | | | | | | | | | | | | | |
|--+----------------+---------+-----+----------+------+------+------+-----+------+---------+-------+----------+-------+------|
|6 |How many of | | | | | | | | | | | | | |
| |those directors | | | | | | | | | | | | | |
| |were prosecuted | | | | | | | | | | | | | |
| |at the same time| | | | | | | | | | | | | |
| |as the company | | | | | | | | | | | | | |
| |of which they | | | | | | | | | | | | | |
| |were directors? | N | x | x | x | x | x | x | x | x | x | x | x | x |
| | | | | | | | | | | | | | | |
| |  | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | |
| |  | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | |
| |  | | | | | | | | | | | | | |
|--+----------------+---------+-----+----------+------+------+------+-----+------+---------+-------+----------+-------+------|
|7 |What percentage | | | | | | | | | | | | | |
| |of prosecuted | | | | | | | | | | | | | |
| |directors were | N | x | x | x | x | x | x | x | x | x | x | x | x |
| |the sole | | | | | | | | | | | | | |
| |directors of the| | | | | | | | | | | | | |
| |company? | | | | | | | | | | | | | |
|--+----------------+---------+-----+----------+------+------+------+-----+------+---------+-------+----------+-------+------|
|8 |Of the directors| | | | | | | | | | | | | |
| |prosecuted, how | | | | | | | | | | | | | |
| |many of them | | | | | | | | | | | | | |
| |were prosecuted | Y | (4) | (3) | (7) | (7) | (6) | (1) | (3) | (7) | (8) | (10) | 13 | 7 |
| |as a result of | | | | | | | | | | | | | |
| |an investigation| | | | | | | | | | | | | |
| |which followed a| | | | | | | | | | | | | |
| |fatal accident? | | | | | | | | | | | | | |
|--+----------------+---------+-----+----------+------+------+------+-----+------+---------+-------+----------+-------+------|
|9a|How many of the | | | | | | | | | | | | | |
| |directors | | | | | | | | | | | | | |
| |prosecuted were | | | | | | | | | | | | | |
| |prosecuted for | | | | | | | | | | | | | |
| |offences that | Y | (6) | (1) | (4) | (6) | (3) | (0) | (4) | (2) | (2) | (10) | 12 | 15 |
| |resulted from an| | | | | | | | | | | | | |
| |investigation | | | | | | | | | | | | | |
| |where there had | | | | | | | | | | | | | |
| |not been 1) a | | | | | | | | | | | | | |
| |fatal accident | | | | | | | | | | | | | |
|--+----------------+---------+-----+----------+------+------+------+-----+------+---------+-------+----------+-------+------|
|9b|2) an accident | Y | (8) | (16) | (9) | (6) | (5) | (8) | (4) | (12) | (5) | (16) | 12 | 21 |
| |at all | | | | | | | | | | | | | |
|--+----------------+---------+-----+----------+------+------+------+-----+------+---------+-------+----------+-------+------|
|10|Can the HSE | Y |Range|Range |Range |Range |Range |Range|Range | Range |Range | Range | Range |Range |
| |provide a | | |£150-5000| |£1000|£1000|£200|£1500|£1000 – |£2500 | | | |
| |breakdown of the| |£750| |£750 |- 7000| – | - | – | 90,000 |– | £800 – |£2,000|£1500|
| |penalties | | - | |– | |10,000|7500 |99,900| |10,000 | 20,000 | – | – |
| |imposed on the | |7000 | |18,150| | | | | | | |10,000 |30,000|
| |directors once | | | | | | | | | | | | | |
| |convicted? | | | | | | | | | | | | | |
|--+----------------+---------+-----+----------+------+------+------+-----+------+---------+-------+----------+-------+------|
|11|What percentage | | | | | | | | | | |3 (MANS) &| | |
| |/ number of | | | | | | | | | | | s37 | | |
| |convicted | | | | | | | | | | 1 | | | |
| |directors | | | | | | | | | |(MANS) |4.5 months| | |
| |received prison | | | | | | | | | | & s37 | | | |
| |sentences? Can | | | | | | | | | | |12 months | | |
| |the HSE break | | | | | | | | | 1 |   | | | |
| |these down into | | | | | | | | | | |12 months | | |
| |how long the | | | | | | | | |(MANS) & |Prison | | | |
| |prison sentences| Y | 0 | 0 | 0 | 0 | 0 | 0 | 0 | s37 | 2.5 |   | 0 | 0 |
| |were? | | | | | | | | | | years | | | |
| | | | | | | | | | | 2 Year | | Plus 2 | | |
| | | | | | | | | | |Suspended|2 Years|Directors | | |
| | | | | | | | | | | |MANS + |imprisoned| | |
| | | | | | | | | | | | 6 | for | | |
| | | | | | | | | | | |months | perjury | | |
| | | | | | | | | | | |perjury| | | |
| | | | | | | | | | | | |15 months | | |
| | | | | | | | | | | | |– 3 years | | |
|--+----------------+---------+-----+----------+------+------+------+-----+------+---------+-------+----------+-------+------|
|12|If convicted | | | | | | | | | | | | | |
| |following | | | | | | | | | | | | | |
| |prosecution, how| | | | | | | | | | | | | |
| |many of those | Y | | | | | | | | | | | | |
| |directors were | | | | | | | | | | | | | |
| |subject to an | From | x | x | x | x | x | x | x | x | x | 3 | 0 | 3 |
| |application | Years | | | | | | | | | | | | |
| |under the | 2008/09 | | | | | | | | | | | | |
| |Directors | | | | | | | | | | | | | |
| |Disqualification| | | | | | | | | | | | | |
| |Act 1985? | | | | | | | | | | | | | |
|--+----------------+---------+-----+----------+------+------+------+-----+------+---------+-------+----------+-------+------|
|13|Of those | | | | | | | | | | | | | |
| |directors that | | | | | | | | | | | | | |
| |were subject to | | | | | | | | | | | | | |
| |such an | | | | | | | | | | | | | |
| |application, how| | | | | | | | | | | | | 4 |
| |many of those | | | | | | | | | | | | |Years |
| |directors were | | | | | | | | | | | 4 Years | | |
| |actually | | | | | | | | | | | | | 5 |
| |disqualified? | N | x | x | x | x | x | x | x | x | x | 3 Years | 0 |Years |
| |Can the HSE | | | | | | | | | | | | | |
| |break down this | | | | | | | | | | | 5 Years | | 5 |
| |information to | | | | | | | | | | | | |Years |
| |show how long | | | | | | | | | | | | | |
| |each of those | | | | | | | | | | | | | |
| |directors were | | | | | | | | | | | | | |
| |disqualified | | | | | | | | | | | | | |
| |for? | | | | | | | | | | | | | |
+----------------------------------------------------------------------------------------------------------------------------+

 

Figures are for Section 37 HSWA prosecutions are for England, Wales and
Scotland

It has not been possible to provide data to those questions where the box
has been marked with an ‘x’

The data provided has been produced from HSE’s data base and whilst every
effort has been made, HSE cannot guarantee the data is 100 % accurate (see
clarification below).

Questions 3, 4, 5, 8 , 9a and 9b; All data in red and /or bracketed has
not been validated and therefore may not be 100% accurate as the figures
may include duplications on the HSE database.

Question 11. Almost all prison sentences were in relation to associated
convictions for Manslaughter ranging from a 2 year suspended sentence, and
prison sentences ranging from 4 1/2 months to 2 years. One case resulted
in convictions for perjury, with 2 Directors receiving prison sentences of
15 months and 3 years. One individual was given a 6 months suspended
sentence in relation to Health and Safety offences

only. It has only been possible to provide this information due to the low
number of cases that have resulted in a Director being imprisoned.

Question 13: It has only been possible to provide data to the answer to
question 13 from 2008/09 due to changes in how Director Disqualification
has been recorded. It has been possible to give details of the length of
the Directors disqualification periods due to the low number of cases.

 

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Dear Health and Safety Executive,

Many thanks for compiling the response.

Upon considering the response I have some questions:

1) Does the HSE not retain records of Directors prosecuted for offences under Section 7 of the Health and Safety at Work Act?

2) If one compares the answers to questions 4 and 5, it would appear that in some years (for example 2001/02, 2002/03) more people pleaded guilty than were convicted. Could you please explain the difference in figures in this regard?

3) One might expect the answers to questions 8, 9a and 9b to add up to the total number of directors prosecuted (the answer to question 3) but this isn't the case. Can and will the HSE explain why?

4) In relation to question 10, can and will the HSE please provide an average financial penalty imposed on directors for each of the years?

5) In the bold text at the bottom of the tabulated response the HSE states that "figures...have also been affected by changes to how S 37 HSWA breaches have been recorded on HSE's database over the sample period". Can and will the HSE please confirm what the changes were?

6) The final paragraph of the response states that there have been "changes in how Director Disqualification has been recorded". Can and will the HSE please confirm what the changes were?

Yours faithfully,

Lee Hughes

Lee Hughes left an annotation ()

Apologies, some further questions which I still pose in respect of each of the years (i.e. 1999/2000, 2000/2001 etc) highlighted in my first request for information:

How many people in their individual capacity (i.e. not as representatives of companies) were invited by the HSE to interviews under caution in each of those years?

How many interviews under caution did the HSE conduct in each of those years?

In each of those years, in how many of the interviews under caution did a suspect respond by:
a) attending and answering questions
b) attending and not answering questions
c) attending and submitting a prepared statement
d) not attending and submitting a prepared statement
e) not attending and not submitting a prepared statement

In each of those years how many individuals were arrested by the police at the behest of the HSE or arrested by the police in relation to health and safety offences?

Thanks,

Dear Health and Safety Executive,

I still await a response to my further questions.

Kind regards,

Lee Hughes

Health and Safety Executive

1 Attachment

Please see attached response to your further questions.

Regards

Pam Jackson
Disclosure Officer
0151 951 5977
[email address]
2.3
Redgrave Court
Merton Road
Bootle
Merseyside
L20 7HS

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Dear Pam,

Many thanks for your continued efforts to answer these queries.

I note that I have still not received a response for the annotation dated 9 December 2011.

Kind regards,

Lee Hughes

Health and Safety Executive

Dear Lee

Could you please clarify what the annotation dated 9th December 2011
was. I have an email from you dated the 8th December to which I have
responded, but nothing else.

Regards

Pam

show quoted sections

Hi Pam, it was the following:

Apologies, some further questions which I still pose in respect of each of the years (i.e. 1999/2000, 2000/2001 etc) highlighted in my first request for information:

How many people in their individual capacity (i.e. not as representatives of companies) were invited by the HSE to interviews under caution in each of those years?

How many interviews under caution did the HSE conduct in each of those years?

In each of those years, in how many of the interviews under caution did a suspect respond by:
a) attending and answering questions
b) attending and not answering questions
c) attending and submitting a prepared statement
d) not attending and submitting a prepared statement
e) not attending and not submitting a prepared statement

In each of those years how many individuals were arrested by the police at the behest of the HSE?

How many individuals were arrested by the police in relation to health and safety offences?

Thanks,

From: Lee Hughes

16 January 2012
Hi Pam, it was the following:

Apologies, some further questions which I still pose in respect of
each of the years (i.e. 1999/2000, 2000/2001 etc) highlighted in my
first request for information:

How many people in their individual capacity (i.e. not as
representatives of companies) were invited by the HSE to interviews
under caution in each of those years?

How many interviews under caution did the HSE conduct in each of
those years?

In each of those years, in how many of the interviews under caution
did a suspect respond by:
a) attending and answering questions
b) attending and not answering questions
c) attending and submitting a prepared statement
d) not attending and submitting a prepared statement
e) not attending and not submitting a prepared statement

In each of those years how many individuals were arrested by the
police at the behest of the HSE?

How many individuals were arrested by the police in relation to
health and safety offences?

Thanks,

Health and Safety Executive

1 Attachment

Hi Lee
 
Please see the attached response to your request of 16 January 2012.
 
Regards
 
Pam
 
 
Pam Jackson
Disclosure Officer
[1][email address]
2.3
Redgrave Court
Merton Road
Bootle
Merseyside
L20 7HS
 

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Communications via the GSi may be automatically logged, monitored and/or
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References

Visible links
1. mailto:[email address]

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