1. ICAEW Health and Safety for Insolvency Practitioners - how to stay out of jail Simon Joyston-Bechal 24 October 2012 42309191.1

2. Speaker details Simon Joyston-Bechal Pinsent Masons LLP simon.joyston-bechal@pinsentmasons.com Mobile: 07880 684 781

3. Overview Areas of vulnerability for IPs New risks in Health & Safety Management tips to reduce exposure to liability

4. Areas of vulnerability for IPs Who should be prosecuted? Company (in administration)? Directors? Managing agents? Administrators/LPA Receivers? IPs’ firm or its staff?

5. Areas of vulnerability for IPs (2) Insolvent company prosecution decision Decision to prosecute administrators and/or their firm (as employer of the administration team) Decision to prosecute company (in administration)

6. Areas of vulnerability for IPs (3) Criminal Liability The companyIndividuals HSWA H&S Regulations Corporate Manslaughter ActGross negligence manslaughter Disqualification of Directors/IPs

7. Areas of vulnerability for IPs (4) Criminal Liabilities for Individuals Gross Negligence Manslaughter (individuals) –Breach of duty of care so grossly negligent it deserves criminal sanctions General Duties of employees (s7 HSWA) –Take reasonable care for H&S of yourself and others affected by your “acts or omissions at work”

8. Areas of vulnerability for IPs (5) Directors’ Duties 37(1) HSWA “Where an offence … is proved to have been committed with the consent or connivance of, or … attributable to any neglect on the part of, any director, manager, secretary or other similar officer … or a person … purporting to act in that capacity, he as well as the body corporate shall be guilty of that offence”

9. Areas of vulnerability for IPs (6) Fire safety Asbestos “Competent person” requirement Sale of 2 nd hand work equipment

10. New risks in H&S Imprisonment for mainstream H&S offences Corporate Manslaughter and Corporate Homicide Act 2007 Sentencing guidelines for fatalities Recession

11. Management tips to reduce exposure to liability Training for IPs and staff H&S legal review of documents and procedures Audits for H&S and fire safety – Broker support Internal H&S legal review

12. Management tips to reduce exposure to liability (2) Training for IPs and staff to understand: IP vulnerability Essentials of criminal H&S law H&S duties for directors and IPs Preventive steps for IPs

13. Management tips to reduce exposure to liability (3) H&S legal review to amend: Checklists Template/precedent letters

14. Management tips to reduce exposure to liability (4) Audits for H&S and fire safety Which appointments/premises? Time periods Broker terms and payment mechanisms Prioritisation and actioning results Follow up advice

15. Management tips to reduce exposure to liability (5) Internal H&S legal review H&S policy statement Roles and responsibilities Incident response and privilege protection Support for regulator interviews

16. Conclusions Awareness of vulnerability Solutions –Training –Documents and procedures –Audits –Internal H&S support

17. Questions?

18. ` Health and Safety for IPs – how to stay out of jail Simon Joyston-Bechal 11 October 2012