Initial decisions about whether or not to prosecute are made by the HSE Field inspectors themselves. To read about the evidential and public interest tests they use to determine whether or not to prosecute, click here

The function of the approval officer is to assess whether the evidential and public interest tests have been fulfilled. HSE's Enforcement Guide sets out the functions of the approval officer.

-	Applying Evidential Test: In relation to the evidential test, the Guidelines state that: "In applying the evidential test the Approval Officer has to consider whether [the inspector has] obtained evidence in a form which can be used by the court. The Approval Officer must be satisfied that the evidence is admissible, i.e. that it meets the strict rules for putting information before a criminal court. The courts may not allow information to be heard even though it appears to be relevant to the case, if it does not comply with these legal rules, e.g. hearsay evidence and PACE etc. If it is likely that the court will exclude some evidence the Approval Officer will need to satisfy him/herself that there is enough other evidence to meet the evidential test. In order to assist the Approval Officer to conduct this test properly [the inspector] should also supply him or her with any information concerning the reliability of the evidence. The Approval Officer will need to know, for example: - if there is any evidence which might support or detract from the reliability of an admission; - what explanation the suspect has given; - is the character of any of the witnesses likely to weaken their evidence;* - does the witness have a motive that might influence his or her evidence; * - are there concerns over the accuracy or credibility of a witness? If so, what is the basis for your concerns. To read more about this function of the Approval Officer in applying evidential test click here
-	Applying Public Interest Test: In relation to the public interest test, the Guidelines state that: "The Approval Officer has to balance the factors for and against prosecution very carefully. The approval decision must be fair and free of any personal views about ethnic or national origin, sex, religious beliefs, political views, or sexual orientation. The decision must not be affected by improper or undue pressure from any source. .... The Approval Officer balances the factors for and against prosecution. However, it is not simply a matter of adding up the factors on each side as the Approval Officer will decide how important each factor is in the particular circumstances of each case." As part of this process the Approval Officer should consider the views of the Victim(s). In relation to this the Guidance states: The aim of HSE is to protect the health, safety and welfare of people at work, and to safeguard others, mainly members of the public, who may be exposed to risks from the way in which work is carried out. HSE prosecutes in the general interests of these groups rather than on behalf of any particular individual(s). However Approval Officers will take into account the consequences for the victim of the decision to prosecute or not to prosecute, and any views expressed by the victim or the bereaved. To read more about this function of the approval officer in applying public interest test, click here
-	Considering view of Defendant: The approval officer should also consider the views of the potential defendant or representative of the defendant if the defendant is a corporate body. These views or representations should have been obtained by the field inspector prior to passing the file to an approval officer; they will usually be contained in the transcript of the interview (made under caution) of the defendant. However the inspector may write to the defendant asking them to make representations about the decision to prosecute..
-	Consideration of Charges and court: The Enforcement Guidance states that in addition the approval officer should consider the proposed charges and whether: they • reflect the seriousness of the offending • give the court adequate sentencing powers; • enable the case to be presented in a clear and simple way The Guidance states that, "The Approval Officer will decide which charges are necessary. You should never attempt to go ahead with more charges that are necessary just to encourage a defendant to plead guilty to a few. In the same way, you should never go ahead with a more serious charge just to encourage a defendant to plead guilty to a less serious one." The Approval Officer should also consider the most appropriate court to hear the case by considering the aggravating and mitigating features given in the prosecution report. To read more about this function of the approval officer, click here
-	Strategic Factors: In deciding whether or not to prosecute, the Guidance also state that, the approval officer will "consider any relevant dutyholder or strategic factors". It is not clear what exactly these factors are.
-	Formal Cautions: The Approval Officer should also consider whether instead of prosecuting, the HSE issue a formal caution. The Guidance states that it "will be very rare for HSE to offer a Formal Caution". To read about formal cautions, click here.