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Prosecution
Stage 6: Close prosecution process


For: England and Wales only, and not independent legal oversight cases

Step 6.1

For: Inspector and line manager

Is contacting the dutyholder now appropriate?


Unless the particular circumstances render it unnecessary, draw up an action plan and visit by appointment with a view to:

  • ensuring the duty holder understands the reason(s) why prosecution was undertaken and if possible, accepts them
  • rebuilding a working relationship with the dutyholder and ensuring health and safety management has been improved

Where a multi site dutyholder is involved:

  • take advice from the account holder

If there are any outstanding non-compliance issues:

  • review these and the dutyholder’s capacity/intention to address them
  • decide on the action to take and schedule it accordingly

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Step 6.2

For: Inspector/administrator

Is there any evidence to be disposed of?


Retain all relevant material:

  • for at least 6 months following a conviction, or
  • until any appeal is determined, if that is longer

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Step 6.3

For: NSD

Is a formal review now required?


In NSD, all prosecutions should be reviewed by the Inspection Coordination Group (ICG) within 12 months of the conclusion of the case, with the outcome recorded on the standard form provided, in order to:

  • review its effectiveness against the HSC Enforcement Policy Statement
  • promulgate any lessons learned throughout NSD
  • facilitate via the Business Systems Manager the improvement of procedures and guidance as appropriate
Updated 2009-02-24