Prosecution - Stage 5: Appear in court

On attending court:

• discuss with the defence any outstanding issues, etc, before the hearing starts

If the defendant does not appear:

• be able to prove service of the summons if required.

If the summons was served by post:

• an adjournment may need to be requested in order to serve the summons in person

If your right to conduct proceedings is challenged:

• produce your warrant card and explain that HSWA s 39 (1) authorises inspectors to conduct proceedings

If the possibility of bias is identified:

• raise at start of the prosecution address any objections to a particular magistrate adjudicating the case, if good reasons exist

Where the defendant pleads guilty and the Magistrates Court proceeds to hear the case but HSE considers the case is suitable for indictment:

• when opening the case, emphasise any aggravating features or particularly serious aspects of the case in support of committing matter to the Crown Court

If, following a not guilty plea, a mode of trial hearing (an either way case) takes place:

• be prepared to indicate to the court whether summary trial or trial on indictment is considered more suitable

Where the defendant pleads guilty and the Magistrates Court decides to hear the case:

• outline the facts of the case
• highlight any aggravating features, as set out in Friskies schedule
• cover any other relevant factors and legal precedents
• be prepared to give the court a statement of the defendant's record
• record the final outcome, including any costs

Where the defendant pleads not guilty at a Magistrates Court hearing and the proceedings are adjourned:

• appoint a solicitor agent, brief them on the case and agree their role in the subsequent procedures
• record the solicitor agent's details and the plea

As appropriate, take the following action on witnesses and statements:

• a seek agreement with the defence on evidence which can be admitted via S9 statements
• notify those witnesses that are required at court
• seek their agreement to attend
• where agreement is not achieved, apply for a witness summons
• consider requests from witnesses to be provided with a copy of their statement
• a send an injured person's statement to the defence only if it is served for the purposes of S9 CJA 1967 or is included in a committal bundle
• a notify the defendant, or other witnesses, via recorded delivery of any requirement for them to produce in court any relevant documents
• obtain any record of conviction for health & safety offences by the defendant from the clerk of the convicting court
• inform the defendant in writing if any previous advice or other enforcement action will be referred to
• undertake prosecution witness checks on the Police National Computer for previous relevant convictions and disclose to the defence as part of prosecution disclosure
• follow step 4.6-7 with respect to the disclosure of unused material
• provide the defence and the court with copies of the documentary evidence for the prosecution case
• agree any formal admissions
• conduct the case according to existing instructions
• record developments and final outcome, including any costs, when reached

If the case is adjourned for sentencing in the Magistrate's Court, at the subsequent hearing:

• outline the facts of the case
• highlight any aggravating features, as set out in Friskies schedule
• cover any other relevant factors and legal precedents
• be prepared to give the court a statement of the defendants record
• record the final outcome, including any costs

If the case is committed for sentence in the Crown Court:

• inform all interested parties of the date when the case is to be heard, including any bereaved family or injured persons and Press Office.
• in cases where a solicitor agent has not been instructed, refer case to LAO as soon as possible, and at least within 7 days of the committal decision
•  ensure Counsel is instructed to present the case
• prepare details of the costs for the case for Counsel
• attend the sentencing hearing
• record final outcome on COIN, including any costs

For guidance on this, please see:

• Enforcement Guide - Court stage - Crown court - Committal for sentence
• Guidance on the instruction of Solicitor Agents by inspectors in England and Wales
• Legal adviser's office litigation and corporate advisory division – Referral of cases to legal adviser's office

If case adjourned for committal proceedings and defendant does not wish to challenge the evidence during committal:

• seek defence agreement to a "paper" committal

Following an adjournment for committal:

• appoint a Solicitor Agent to deal with the arrangements for committal to Crown Court and seek a Counsel nomination from Legal Adviser's Office
• remind the Solicitor Agent that if the conviction is successful, costs applications should include the investigation costs
• following the advice from Counsel, prepare and serve the committal bundle containing the statements and documentary exhibits
• attend committal hearing with original signed statements (or copies) and liaise with prosecuting advocate
• undertake prosecution witness checks on the Police National Computer for previous relevant convictions and disclose to the defence as part of prosecution disclosure
• follow step 4.7 with respect to the disclosure of unused material
• record developments, including any costs

In co-operation with the solicitor agent, prepare for attendance at Crown court hearing as follows:

• copy the certificate of committal from the magistrate's court to the solicitor immediately on receipt
• subsequently check the accuracy of the indictment, drafted by Counsel, before sending it to the Crown Court within 28 days of the committal
• obtain witness availability for the following 6 months and take to the Plea and Directions hearing
• inform the witnesses of the date of the trial and confirm their intention to attend; instruct the solicitor agent to obtain a witness summons if any decline to attend
• inform press office and any bereaved relatives of the date of the trial
• forward the notice of fixture from the Crown court to the solicitor immediately it is received
• prepare copies of the bundle of evidence for the jury as stipulated by Counsel and take to court on the first day of the trial together with any non-documentary exhibits
• ascertain the witnesses' expenses and details of HSE's costs, and supply to the solicitor pre-hearing
• attend court hearing with bundles and non-documentary exhibits
• record developments and final outcome, including any costs

If contacted by the media following the verdict/sentencing:

• ensure any interview is conducted outside the precincts of the court, and
• that no criticism of the verdict or penalty is made

Let Press Office deal with the media;

• where the case has attracted significant media attention, or
• if an HSE decision has been criticised