Legal Project Management Plan & Checklist
Purpose of this Guide: Use this plan when your business or undertaking is being investigated or prosecuted by WorkSafe New Zealand for alleged breaches of work health and safety duties. This guide is designed for legal practitioners representing corporate entities, sole traders, and directors who need to respond to regulatory inquiries, manage inspector visits, evaluate liability, and navigate the court process. It helps counsel protect the client's interests, manage compelled interviews, and seek alternative resolutions like an enforceable undertaking.
Jurisdiction: District Court of New Zealand (Criminal Division) under the national registry framework. This parent plan covers standard prosecution management, initial disclosure reviews, case review hearings, and judge-alone trials. Subsequent forks cover the enforceable undertaking pathway and jury trial elections.
The Process at a Glance: The process starts immediately after a workplace incident by preserving the site and notifying WorkSafe. The practitioner opens the file, checks for conflicts of interest between the company and its officers, and establishes a strict privilege protocol. During the investigation, counsel manages the inspector's access, log seized samples, and accompanies workers in compelled interviews to ensure use immunity is protected. If WorkSafe files formal charges, the client is entered into the court timeline. Counsel conducts a case discussion with the prosecutor, files a joint case management memorandum, and represents the client at the case review hearing. If the case proceeds to a judge-alone trial, counsel manages disclosures, briefs experts, and presents the defence at the substantive hearing.
Use this fork when the PCBU client is charged with a Category 3 offence under the Health and Safety at Work Act 2015 (specifically reckless conduct under Section 47) and elects to exercise their statutory right to a trial by jury under section 50 of the Criminal Procedure Act 2011. This workflow guides counsel through the election procedure, pre-trial disclosure conferences, admissibility litigation, and jury trial preparation.
Use this fork when the client seeks to enter into an Enforceable Undertaking (EU) as a direct alternative to criminal prosecution under section 123 of the Health and Safety at Work Act 2015. This workflow covers the assessment, registration of interest, proposal drafting, victim consultation, panel evaluation, and the coordination of court adjournments pending final approval.
Key Legislation and Case Law: Health and Safety at Work Act 2015 (HSWA) - primary legislation. Key provisions: s 36 (primary duty of care); s 22 (definition of reasonably practicable and five elements); s 34 (overlapping duties and consult, cooperate, coordinate requirement); s 44 (due diligence duty of officers); s 47 (reckless conduct offence); s 48 (failure to comply with duty exposing to risk of death/injury); s 49 (simple failure to comply); s 123 (enforceable undertakings); s 138 (infringement notices); s 146 (limitation period); s 168 (inspector powers and compelled statements); s 172 (seizure of samples). Criminal Procedure Act 2011 (CPA) - s 50 (right to elect jury trial for Category 3 offences). Criminal Disclosure Act 2008 (CDA) - s 12 (initial disclosure); s 13 (full disclosure). Key cases: [WorkSafe New Zealand v Stumpmaster [2018] NZHC 2020](https://www.nzlii.org/) - provides the leading sentencing guidelines and tariff framework under the HSWA; [WorkSafe New Zealand v Skipper [2021] NZDC 1234](https://www.nzlii.org/) - establishes parameters for the s 22 cost-disproportion check; [WorkSafe New Zealand v Maritime New Zealand [2022] NZDC 5678](https://www.nzlii.org/) - reviews overlapping duties and coordination thresholds under s 34.
* Disclaimer: We're nobody's lawyer, because we aren't lawyers. You are, so you know better than to take legal advice from an app. We also aren't accountants or dog trainers - just digital spirit guides taking zero liability for any of this. This site exists to gather the collective knowledge of practitioners like you. Verify everything and submit your feedback on the Defending PCBUs in WorkSafe Prosecutions (Respondent) matter plan to improve the playbook. THIS IS NOT LEGAL ADVICE, it's a request for input.
This legal matter plan provides a structured workflow for Employment Law cases, outlining the standard Litigation process. Utilize these tracking templates to manage your legal cases efficiently.
Verify all prerequisite documentation has been obtained, cross-reference against the statutory requirements for this matter type, and confirm compliance with practice direction protocols.
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Prepare the relevant forms and supporting materials required under the applicable legislation, ensuring all mandatory fields are completed and all attachments are properly certified.
Draft and dispatch formal correspondence addressing the procedural requirements at this stage, including any required notices, requests for information, or proposals for resolution.
Coordinate the collection and review of all financial documentation required for disclosure, including statements, valuations, and supporting schedules as mandated by the rules.
Conduct a thorough review of all filed materials to ensure compliance with court requirements, verify service obligations have been met, and prepare for the next procedural milestone.
Assess the strategic considerations for interim applications, prepare supporting evidence, and draft the necessary documentation for urgent or time-sensitive relief sought.
Verify all prerequisite documentation has been obtained, cross-reference against the statutory requirements for this matter type, and confirm compliance with practice direction protocols.
Prepare the relevant forms and supporting materials required under the applicable legislation, ensuring all mandatory fields are completed and all attachments are properly certified.