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Work
Instruction 5:
Interviewing
This Work Instruction is concerned with how inspectors
should conduct interviews.
It
states that:
"whenever
possible and if enforcement action is likely, formalise
interviews by taking statements at the same visit."
There are six key activities concerned to assist in
the conducting of interviews:
Key activity 1
PREPARATION FOR INTERVIEWS
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Interviews
fall into 3 categories:
| (1)
|
initial
interviews, in which inspectors sound out
the potential relevance to the investigation
of the knowledge and experience of any individual,
in order to identify potential witnesses; |
| (2) |
further
interviews, in which inspectors explore
the knowledge and experience of any potential
witness in detail, and which may lead immediately,
or subsequently, to the taking of an HSW
Act s.20 statement; |
| (3)
|
key
interviews, for example, interviewing
of
| (a) |
senior
management, where it appears that
a company has a case to answer, |
| (b) |
individuals
who may have personal liability, |
| (c) |
key
witnesses in a complex investigation,
and |
| (d) |
reinterviewing
of witnesses. |
|
|
| 4 |
Inspectors should make appropriate preparations
before conducting any interview. See Enforcement
Handbook - England & Wales Chapter 2 or Enforcement
Handbook - Scotland Chapter 2, as appropriate,
for guidance on taking witness statements and
voluntary statements. |
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Key activity 2
WHO
TO INTERVIEW AND IN WHAT ORDER
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After
initial discussions, inspectors should not interview
senior or other managers in depth (unless they
are direct witnesses to the accident) until factual
matters relating to the accident have been established. |
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Inspectors
should plan the order in which they interview
witnesses to ensure that the findings and outcome
of the investigation are not compromised. They
should interview the following first (not necessarily
in the order given), so far as is relevant and
appropriate
| (1) |
any
injured people; |
| (2) |
workers
with knowledge of the particular incident
being investigated; |
| (3) |
other workers who have knowledge of the
same or similar work (on the same day, or
before or after the incident), and who can
confirm, or contradict, any shortcomings
which apparently led to the incident; |
| (4) |
any
trade union and safety representatives with
relevant knowledge; and |
| (5) |
other
witnesses to the incident, eg members of
the public |
|
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Next, inspectors should interview supervisors
and similar lower-level management, who have background
knowledge and may also be able to describe systems
of work and other steps taken to ensure safety.
Question them concerning any instructions they
had been given about the job and the instructions
they had given to those carrying out the work
activity. The interview should try to determine
whether they were aware of actual as opposed to
correct practices. Depending on what information
such interviewees provide, reinterviewing of workers
etc may be necessary. |
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Inspectors
should then assess information obtained from employees,
if necessary with the assistance of specialist
or other expert help. This will clarify the information
they can gain from further questioning, before
they interview managers. |
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Finally,
inspectors should interview senior managers, directors
and individual dutyholders who can make admissions
either in relation to their own or a companyâs
liability. |
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Inspectors
may not decide, until a late stage in an investigation,
to collect evidence with a view to legal proceedings.
Observing the hierarchy of interviewing described
above will help to ensure that the outcome of
any investigation is not unwittingly prejudiced
before they reach such a decision. |
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Key activity 3
THE
GENERAL CONDUCT AND STRUCTURE OF INTERVIEWS
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Inspectors should ensure they conduct interviews
efficiently, and with the aim of eliciting all
relevant information within the knowledge of the
interviewee. They should pay due regard to the
rights, dignity and individual circumstances of
the interviewee. |
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For
guidance over the structure of an interview see
the appendix to this WI. In England and Wales,
see also Enforcement Handbook - England and Wales
on when the interview may need to be carried out
in accordance with PACE. When interviewing young
persons, see Enforcement Handbook - England and
Wales Chapter 2 or Enforcement Handbook - Scotland
Chapter 2 as appropriate. |
| 13 |
Inspectors
should use their discretion not to conduct or
continue a detailed interview if this would
be an inefficient or ineffective use of resources
(for example, because there is no evidence of
a breach of relevant legislation), or if continuation
of the investigation would be of no benefit
to FOD or HSE. Such a decision must be appropriate
and justifiable in the circumstances.
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Key activity 4
NOTE-TAKING AND RECORDING OF INTERVIEWS
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Inspectors should take accurate, contemporaneous
notes of interviews, with sufficient detail to
facilitate report-writing and, where relevant,
statement-taking. The notes should briefly but
accurately record all Îrelevant detailsâ
and Îkey findingsâ. |
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Relevant details include the name and position
of the interviewee. |
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Key findings are the essential facts central to
the witnessâs evidence, including those
supporting and those contradicting any reasonable
line of enquiry. It is extremely important that
inspectors are not selective in their findings
and remain impartial. They should base decisions
as to causation and responsibility only on facts
that can be established beyond reasonable doubt. |
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Key activity 5
USE OF POLICE INTERVIEWS
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In
the case of work-related death(s) the police will
make an initial assessment of whether the circumstances
might justify a charge of manslaughter or culpable
homicide at which point they will begin their
investigation. Once an HSE fatal accident investigation
has commenced, evidence may come to light to indicate
an offence of manslaughter or culpable homicide
has been committed. |
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In
such circumstances, inspectors should make early
contact at an appropriate level to establish lines
of communication so that both parties are kept
informed of events and subsequent enforcement
decisions are not compromised. |
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Inspectors
should be aware that under both scenarios interviews/statements
obtained by the police may be provided to HSE
inspectors to facilitate their enquiry and vice
versa. For further guidance including matters
relating to disclosure see OC 165/8 Work-related
Deaths: Liaison with the Police and Crown Prosecution
Service. |
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In
cases of horseplay, wilful damage to equipment
or violence to employees, the police could have
an enforcement interest and could become involved.
Once again their interview/statements could be
used in any HSE investigation should we later
decide to pursue HSW Act breaches. Choice of offence
to pursue may depend on seriousness of breach
and available penalty. See FIC LP 237 for guidance. |
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Another
possible occasion when police interviews may be
used is when road traffic accidents occur in places
such as bus depots or air side of airports or
other workplaces where the public have access.
Interviews obtained by the police for their purposes
may be of use to HSE if HSW Act issues are pursued. |
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Inspectors should be aware that an organisation
cannot be prosecuted for the same offence by 2
enforcing authorities. However, often with RTA
issues, the police prosecute the individual driver
while HSE could pursue the organisation if appropriate.
Also, if the police/CPS decide to drop a charge,
eg manslaughter, then HSE can proceed. In Scotland,
the Procurator Fiscal makes the decisions. |
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Key
activity 6
ARRANGEMENTS FOR JOINT INTERVIEWS WITH OTHER ENFORCING
AUTHORITIES
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In England and Wales, when police or other enforcing
authorities are to conduct PACE interviews or
witness interviews which may be of interest to
HSE, inspectors should make contact prior to the
interview. Inspectors will then have the opportunity
to be involved in the planning stage so that questions
relating to health and safety issues can be included.
(Often HSE inspectors will not be allowed to attend
for fear of oppression in terms of numbers present.)
Be aware that such PACE interviews are often conducted
at an early stage of an investigation by the police
so be prompt in getting involved. |
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Depending
on the circumstances, joint interviews of witnesses
may be of benefit when questions involving technical
detail need to be put to an interviewee. Often,
however, it is not possible to attend all interviews
if the investigation is very large. The police
will have more resource to carry out interviews
in such circumstances. |
APPENDIX
INTERVIEW STRUCTURE
| 1 |
Initial
introductions, explain your powers etc, wish anyone
to be present? Consider indicating that you may
later wish to take a statement. Confirm status
of individual before commencing interview. Identify
reporting arrangements. |
| 2 |
Briefly
enquire about general issues relating to the
incident before moving on to address specific
details. Plan and adapt in the light of information
obtained from the interviewee.
| (1) |
Age,
if the interviewee is a young person; date
of leaving school; date of birth. Presence
of adult. |
| (2) |
Length,
nature and status of employment by whom.
Role and title. Pay arrangements, particularly
if employment status in doubt. |
| (3) |
Experience,
qualifications and general training. |
| (4) |
Instructions
given to the interviewee (if any), any arrangements
to supervise them. |
| (5) |
Their
knowledge of the circumstances of the
incident, or conditions/events before
or after the incident. Use of a sketch
may help. Ask them to concentrate on a
specific issue for example:
| (a) |
where
they were in relation to the scene
of the incident |
| (b) |
what they saw, heard, smelt or even
felt; |
| (c) |
environmental conditions at the time
(noise, lighting, temperature, wind)
and whether these affected their ability
to see or hear what happened, or were
relevant to the circumstances of the
incident; |
| (d) |
what
they know of the condition of any:
| (i) |
plant, machinery or equipment
involved, or guarding provided;
|
| (ii) |
existing damage; |
| (iii) |
controls/gauges; |
| (iv) |
electrical
or other supplies etc; |
|
| (e) |
their knowledge of
| (i) |
the
way things are done normally; |
| (ii) |
safe systems of work/permits; |
| (iii) |
the
arrangements for the storage,
transport and handling of substances
and articles involved; |
| (iv) |
arrangements
for training and supervision,
specific instructions before
the incident; |
| (v) |
the
awareness of management of events
leading up to the incident |
|
| (f) |
their
knowledge of documents, eg safety
policies/method statements, safety
plans/the significant findings of
risk, COSHH, manual handling or other
relevant assessments; |
| (g) |
schedules/schemes of inspection or
examination, arrangements regarding
competent persons, H&S advice
and preventive maintenance of plant
and machinery. |
|
| (6) |
Knowledge of any relevant issues prior to
the occurrence of the incident. Had they
done similar or the same work? Did they
know of, or had they reported any problems
prior to the incident, ie previous similar
near miss incidents? How long had problems
existed? Is there evidence that others were
at risk in addition to the IP before, during
or after the incident? |
| (7) |
TU
or employees complaints/involvement. |
| (8) |
What
responsibilities do they have specifically
related to health and safety? Is their performance
on health and safety measured in any way.
How else does the dutyholder measure health
and safety performance (site inspections
etc)? |
| (9) |
Is
there a health and safety committee? How
often does it meet? Aware of what was said? |
| (10) |
Action
taken after the incident, eg any changes
to systems of work. |
| (11) |
Summary
and conclusion: offered the opportunity
to add anything they think is relevant that
has not been discussed. |
| (12) |
Decide
to take statement? Consider which breach
to prove. Any defences to overcome, and
what exhibits and how to introduce them. |
| (13) |
At
the end of the interview, thank the interviewee,
and tell them in general terms what further
action we will take to complete the investigation.
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