Stage 2: Prosecution
Stage 2.1: Prepare report
Where Stage 1 concludes that a prosecution should be considered, the inspector should prepare a prosecution report by completing:
- IMPACT Part B: Factual Report and Part C: Analysis of Compliance together with the relevant Appendices; or,
- the combined Investigation and Prosecution Report template.
In Energy Division – Offshore prepare report in accordance with the Offshore Intervention Guide.
- complete all relevant sections of IMPACT or the combined Investigation and Prosecution Report ensuring that it contains the information and analysis listed in the Enforcement Guide (E&W): Approving prosecutions – The prosecution report; or the Enforcement Guide (Scotland): Reporting to the Procurator Fiscal - Prosecution Report;
- review evidence, identify any weaknesses and carry out any necessary further investigation work as soon as possible;
- identify evidence to be used as part of the prosecution case and material which will be unused (Preparing the schedules). In particular, identify any unused material which may assist the defence or undermine the prosecution case;
- ensure a completed EMM form is included with the prosecution report;
- ensure the views of victims are included referring to victim personal statements (if applicable and available);
- identify any aggravating or mitigating circumstances to be included in the Friskies schedule;
- demonstrate and record compliance with the Criminal Procedure and Investigations Act 1996, the Human Rights Act 1998 and the Attorney General's Guidelines on disclosure by:-
- Including the names of persons responsible for carrying out the roles of senior investigation manager, investigator, officer in charge of investigation, disclosure officer and prosecutor;
- identifying all unused material to the Approval Officer; and,
- identifying to the Approval Officer any unused material that may undermine the prosecution case or assist the defence.
If the prosecution is likely to attract wide public interest or it concerns sensitive issues:
ensure line management and press office (where applicable) receive regular updates. Guidance on when to notify a senior line manager about a case is provided in Appendix 2 of Stage 3 of this procedure.
If whilst working to complete the prosecution report (and seeking approval), it is preferable to carry out work which is related to the prosecution case (if approved) and which is not recoverable via FFI eg early drafting of the initial details, taking a victim personal statement (VPS); then a prosecution case should be opened early to allow the time associated with this work to be recorded.
Where a case meets, or is likely to meet the criteria for Independent Legal Oversight (ILO):
the approval officer or the investigating officer should contact the Head of Litigation in Legal Adviser's Office in the first instance by email, so that discussions can take place on referral for ILO.
If requested by the Investigating Inspector, raise a prosecution case on COIN to allow prosecution related time to be recorded in advance of approval and the laying of informations or prior to submitting the case to the Crown Office Procurator Fiscal Service (COPFS) in Scotland.
- In every case, complete the prosecution report and submit for approval without delay In cases not related to a fatal accident, investigations and prosecution reports should be completed and an approval decision recorded within 12 months of date of the incident.
- In cases related to a fatal accident, investigations and prosecution reports should be completed and an approval decision recorded within 12 months of HSE assuming primacy.
- In cases related to a serious criminal offence, eg where manslaughter (individual and/or corporate) is being considered by the police/CPS, Inspectors should aim to provide a recommendation to the CPS within 12 months.
Stage 2.2: Report Complete
Sign, date and submit IMPACT / combined Investigation / Prosecution Report to the Approval Officer for consideration.
Now go to Stage 3 Approve prosecution.