1. Leading transport safety
28 September • Durham

2. Es Shepherd
Head of Member Advice FTA

3. Changes to sentencing guidelines
New guidelines came into force 1 February 2016
Step by step approach for organisations and individuals for health and safety offences and also corporate manslaughter
To “bring home the message” to stakeholders and directors
Directing courts to assess culpability, assessment of seriousness or likelihood harm, determine starting point for financial penalty from turnover

4. Guidelines for both organisations and individuals Penalty ranges
In practice
Guidelines for both organisations and individuals
Penalty ranges
Organisation
Individual
Corporate manslaughter
Maximum
When tried on indictment: unlimited fine
When tried summarily: unlimited fine
When tried on indictment: unlimited fine and/or 2 years’ custody
When tried summarily: unlimited fine and/or 6 months’ custody
Triable only on indictment: unlimited fine
Offence range
£50 fine - £10 million fine
Conditional discharge – 2 years’ custody
£180,000 - £20 million fine

5. Step by step procedure Step 1. Determining offence category*
Step 2. Starting point and category range
Step 3. Review financial element of sentence
Step 4. Consider other factors
Step 5. Reduction for guilty pleas
Step 6. Compensation and ancillary orders
Step 7. Totality principle
Step 8. Reasons
Step 9. Consideration for time spent on bail*
* - slightly different for Corporate Manslaughter

6. Step 1 – Determining offence/seriousness of offence
Organisation
Individual
Corporate Manslaughter
Deliberate breach or flagrant disregard of the law
How foreseeable was serious injury?
Falling short of standards:
Failing to have measures for industry standards
Ignoring concerns raised by employees
Failure to address risks to health and safety
Risk of offending but risk taken nevertheless
How far short of standards did the offender fall?
Systems in place not always adhered to
Offence committed through act of not exercising reasonable care
How common is this kind of breach in the organisation?
Minor failings
Offence committed with little fault
Was there more than one death etc.?

7. Step 2 – Starting point and category range
Company size based on turnover
H&S offence - organisation
Corporate Manslaughter
Starting point
Category range
Large - £50 million and over
£10,000 to £4M
£3,000 to £10M
£5M to £7.5M
£3M to £20M
Medium - between £10 and £50 million
£3,000 to £1.6M
£1,000 to £4M
£2M to £3M
£1.2M to £7.5M
Small – between £2 and £10 million
£700 to £450,000
£100 to £1.6M
£350,000 to £540,000
£350,000 to £2.8M
Micro – not more then £2 million
£200 to £250,000
£50 to £450,000
£300,000 to £450,000
£180,000 to £800,.000

8. Percentage of respondents holding delegated authority to act on behalf of a director for operator licensing administration

9. Used delegated authority to complete an application

10. Key actions for transport leadersDo
Check
Plan
Act

11. Plan
Leadership sets the direction for effective management by way of a policy that is an integral part of the organisation’s culture
FTA’s Operator licensing policy and procedure documentation guidance
Lists the key operator licence responsibilities
Provides an action plan on establishing a policy
Sample policy

12. Director level engagement
Our company has a policy, defined by the board, which demonstrates how the responsibilities of operator licensing are discharged in the company
A director on my company's board would know what the undertakings on the operator licence are if asked
A director on my company's board would know that there are undertakings on the operator licence but would have to refer to them to understand the content
A director on my company's board would be aware that they have legal responsibilities under operator licensing
No director on my company's board would be aware what operator licensing is

13. Our company has a policy, defined by the board, which demonstrates how the responsibilities of operator licensing are discharged in the company
A director on my company's board would know what the undertakings on the operator licence are if asked
A director on my company's board would know that there are undertakings on the operator licence but would have to refer to them to understand the content
A director on my company's board would be aware that they have legal responsibilities under operator licensing
No director on my company's board would be aware what operator licensing is

14. Do
Effective management systems are in place that are adequately resourced by competent people.
Appropriate assessments are carried out and suitable procedures are in place.
TM has continuous and effective management
Chain of command clearly identified
From board director(s) to all relevant job functions

15. Check
Performance of the system must be monitored and reported, including preventative information as well as incident data.
Key Performance Indicators (KPI) reported at least quarterly
OCRS
Maintenance systems
Drivers hours and working time
Notifiable incidents

16. Does your company report KPIs to the board?

17. Which KPIs are reported to the board?

18. Act
The policy and performance of the system should be reviewed regularly and action taken to address weaknesses.
Leadership action should be swift, visible and monitored for effectiveness.
Ensure TC is informed of changes to:
legal entity of the organisation
financial standing of the organisation
fhe named executive directors
establishment of the organisation
any notifiable incidents
the type and number of operator licences required

19. Has the board acted on KPIs?

20. Conclusions
Check Do
Plan
Act

21. Conclusions Actions for the Board Map the tasks against job functions
Write a policy
Ensure clear instructions are given and processes are documented.
Actions for Transport Manager
Submit Leading Transport Safety to Board for endorsement