More and more directors in the dock for safety offences

The number of directors and senior managers prosecuted under section 37 of the Health and Safety at Work Act 1974 has increased by more than 400 per cent in the last five years, according to figures released by the HSE in response to a freedom of information request.  In October last year, solicitor Lee Hughes asked HSE a number of questions regarding prosecutions of individual directors over the last 12 years. While HSE warns that the figures may not be completely accurate, it estimated that 43 directors, senior managers or company secretaries were

prosecuted under section 37 in 2010/11. This is the most since 1999/2000 and represents a significant increase on the lowest number of prosecutions during the 12-year period, which was just ten in 2005/06. There were 36 prosecutions in both 2008/09 and 2009/10.  The total number of individuals convicted under section 37 in 2010/11 was 35. In 2005/06 only five convictions were secured.

Interestingly, of the senior managers and directors prosecuted in 2010/11, seven faced charges as a result of a fatal accident investigation. In the remaining 36 cases there was either a non-fatal incident or the investigation had not been prompted by an accident of any sort. Following conviction, three directors were disqualified for periods of between four and five years under the Company Directors Disqualification Act 1986.



CRS Opinion:

These provisional figures support our own impression that there has been an increased willingness by HSE in recent years to prosecute individual directors and senior managers.  Section 37 of the Health and Safety at Work Act 1974 allows for the prosecution of an individual director, manager or similar officer if a health and safety offence has been committed with their consent or connivance or can be attributed to their neglect. Recent case law has confirmed that directors cannot avoid a charge of neglect under section 37 by arranging their organisation’s business so as to leave them ignorant of circumstances which would trigger their obligation to address health and safety breaches.

People found guilty are liable for fines and, in some cases, imprisonment. In addition, the Company Directors Disqualification Act 1986 empowers the court to disqualify an individual convicted of an offence in connection with the management of a company. This includes health and safety offences. However, disqualification is not confined to section 37 breaches. Other reasons could include breaches of sections 3(2), 7, 8 and 36 of the 1974 Act, as well as contravention of Improvement or Prohibition Notices.  Individual directors are also potentially liable for other related offences, such as the common law offence of gross negligence manslaughter. Under common law, gross negligence manslaughter is proved when individual officers of a company (directors or business owners) by their own grossly negligent behaviour cause death. This offence is punishable by a maximum sentence of life imprisonment.