Policy Scope:

This policy affects all Police Officers and Police Staff involved in the investigation or management of a work related death. Please see also Work Related Deaths – A Protocol for Liaison, produced by the Association of Chief Police Officers (ACPO), the British Transport Police (BTP), the Crown Prosecution Service (CPS), the Health and Safety Executive (HSE) and the Local Government Association (LGA).

For the purposes of this policy, a work related death is a fatality resulting from an incident arising out of, or in connection with, work. The principles set out in this policy also apply to cases where the victim suffers injuries in such an incident that are so serious that there is a clear indication, according to medical opinion, of a b likelihood of death.

This policy applies to South Yorkshire Police as both an employer of staff and also in its capacity as an investigative organisation.

Policy Aims and Objectives:

This Statement of Agreed Policy is based on the above protocol, which has been adopted by South Yorkshire Police. The contents of this protocol have been adhered to since 1998, although a corporate Statement of Agreed Policy was not issued until March 2005.

The protocol sets out the principles for effective liaison between the HSE, police forces and the CPS in relation to work related deaths in England and Wales, where the HSE is the enforcing authority for health and safety legislation. For further information about the principles of effective liaison between relevant organisations, please see the Memorandum of Understanding Agreed Between the Rail Accident Investigation Branch, the British Transport Police, Association of Chief Police Officers and the Health and Safety Executive for the Investigation of Rail Accidents and Incidents in England and Wales, produced following the establishment of the Rail Accident Investigation Branch (RAIB) in October 2005.

In particular, this Statement of Agreed Policy deals with incidents where evidence indicates that the crime of manslaughter or corporate manslaughter may have been committed.

The HSE, police and CPS have different roles and responsibilities in relation to a work related death.

The HSE is a statutory body responsible under Section 18 of the Health and Safety at Work etc Act (HSWA) 1974 for making adequate arrangements for the enforcement of health and safety legislation with a view to securing the health, safety and welfare of workers and protecting others, principally the public.

The HSE cannot investigate or prosecute for general criminal offences such as manslaughter.

Police forces have the responsibility to investigate crimes in general and in line with the Statutory pre-charge advice scheme, refer charging decisions, in all but minor and straight forward cases, to the CPS.

The police will also have an interest in establishing the circumstances surrounding a work-related death in order to assist the coroner’s inquest.

The CPS will review the evidence and decide if there is a realistic prospect of conviction and if so, whether a prosecution is justified in the public interest.

UNDERLYING PRINCIPLES OF THE PROTOCOL

An appropriate decision concerning prosecution will be made based on a sound investigation of the circumstances surrounding work-related deaths.

The police will conduct an investigation where there is an indication of manslaughter (or another serious general criminal offence).

HSE will also investigate under the HSWA 1974 and pass information suggesting manslaughter on to the police or, where appropriate, the CPS.

The decision to prosecute will be made by the CPS and the HSE without undue delay and will take full account of the criteria set down in The Code for Crown Prosecutors. This code is available on the e-library.

The HSE will also have regard to the principles of the Health and Safety Commission’s Enforcement Policy Statement. This is also available on the e-library.

The prosecution decision will be co-ordinated.

Bereaved families and witnesses will be kept suitably informed, in line with our obligations under ‘The code of practice for victims of crime’. These are detailed later in the document.

The HSE, Police and CPS will establish mechanisms for liaison.

1 INITIAL PROCEDURE

A police detective of supervisory rank should attend the scene of a work-related death, or where there is a b likelihood of death resulting from an incident arising out of or in connection with work, and should:-

Make an initial assessment about whether the circumstances might justify a charge of manslaughter, or other serious general criminal offence, in which case the police will commence their investigation (see paragraph 2.1)

Where the Health and Safety Executive (HSE) is the enforcing authority (see Annex A below) confirm whether the employer, or other responsible person (eg the person in control of the premises at which, or in connection with the work at which, the incident occurred) has notified the death or injury to the HSE by the quickest practicable means and;

Liaise with the HSE inspector, or HSE / duty officer if out of office hours (office hours are normally 8.30am – 5.00pm, Monday to Friday) and either:-

Inform the HSE of the police decision to investigate; or

Where the initial assessment indicates that there will be no police investigation, discuss arrangements for preserving the scene and the nature of the assistance that the police are able to provide to the HSE investigation.

2 INVESTIGATION

Police Investigation

2.1 As a general rule, the police will investigate where there is evidence or a suspicion of deliberate intent, gross negligence or recklessness on the part of the individual or company rather than human error or carelessness.

2.2 The HSE will provide any agreed technical support to the police, and continue to investigate matters relating to the possible offences under the Health and Safety at Work etc Act (HSWA) 1974. The HSE will not lay any information until the police and Crown Prosecution Service (CPS) have reached a prosecution decision.

2.3 The police and HSE will liaise and agree arrangements for keeping relatives informed, deal with media inquiries and making public announcements. In accordance with the obligations of the police under ‘The code of practice for victims of crime’, the relatives are to be kept informed of the progress of the investigation. The obligations that apply at this point are listed below.

In keeping with obligation 5.10, where an investigation into a serious crime is concluded with no person having been charged with the offence, the family must be advised of this fact and the reasons for it. At this time, the fact that the case will be subject to periodic review must be discussed with the victim or family representative and they must be given the opportunity to decide whether they wish to be advised of any review procedures which take place. The decision must be recorded by the Senior Investigating Officer at the time of the discussion.

In line with obligation 5.11, if the family representative expresses a wish to be advised of any review procedures, the police must ensure that information about the review is passed on to the victim or family representative within 1 working day of the review procedure commencing. This is the responsibility of the SIO and any action taken to meet this requirement must be recorded on CMS.

To fulfil obligation 5.12, the family must also be given the opportunity to say whether they wish to be advised of the reopening of the investigation due to new evidence or changes in forensic procedures. This decision must be recorded by the Senior Investigation Officer at the time of the discussion. If an enquiry is reopened, the expressed wishes of the family must be considered before making contact with them and the reasons for any decisions made in this respect must be recorded.

To meet obligation 5.13, where a victim has died as a result of criminal conduct or suspected criminal conduct, a Family Liaison Officer must be assigned to any close relatives that the police consider appropriate and make a record of the assignment. Additionally, close relatives of the victim must also be provided with the Home Office packs ‘Advice for bereaved families and friends following murder or manslaughter’ or ‘Advice for bereaved families or friends death on the road’ or equivalent packs.

HSE Investigation

2.4 Where the police decide that a charge of manslaughter, or any other serious offence, cannot be justified, the HSE will continue with its own investigation.

2.5 Where there is an HSE investigation the police will, upon request, provide agreed local support.

2.6 Where, during the HSE investigation, evidence indicates an offence of manslaughter may have been committed, HSE will refer the matter to the police without delay. Where matters cannot be resolved after referral to the police, HSE Solicitors Office may refer the matter to the CPS.

2.7 Where there was an initial investigation by the police and the police indicate that they wish to retain an interest, the HSE shall notify police of the outcome of the inquiry and the nature of the charges preferred.

3 RETENTION AND DISCLOSURE OF MATERIAL OBTAINED DURING THE COURSE OF AN INVESTIGATION

3.1 Where there is a police investigation, material obtained during the course of the inquiry should be shared subject to any statutory restriction placed on HSE by the HSWA 1974. Agreement should also be reached as to which organisation will assume responsibility for the retention of exhibits.

3.2 The retention and disclosure of material in relation to manslaughter, health and safety or other prosecutions brought by the CPS shall be in accordance with guidelines produced by the CPS.

4 SPECIAL INQUIRIES

4.1 In the case of some serious incidents, particularly those involving multiple fatalities, it may be appropriate for the investigations to be jointly managed. The Health and Safety Commission may also direct the HSE to investigate and produce a special report. Alternatively, the Commission may, with the consent of the Secretary of State, direct that a public inquiry be held.

4.2 In accordance with this protocol, the police will, upon request, provide the necessary support to the investigation. The police will also provide any material evidence requested by the person appointed by the Commission to conduct the public inquiry, subject to the provisions of the Health and Safety Inquiries (Procedure) Regulations 1975.

4.3 Reports relating to public inquiries and other major HSE investigations cannot generally be published until the conclusion of any criminal proceedings.

4.4 In order that observations or recommendations about health and safety, that are in the public interest, can be disclosed and acted upon as soon as practicable, there should be no undue delay in taking the decision to prosecute and expediting proceedings thereafter.

5 ADVICE PRIOR TO CHARGE

5.1 Under obligation 5.14 of ‘The code of practice for victims of crime’, if a suspect is arrested on suspicion of an offence, the victim’s family spokesperson must be advised of this within 1 working day.

5.2 If the suspect is then released with no further action being taken, in accordance with obligation 5.15, the victim’s family spokesperson must be notified of this event and the relevant reasons for no further action being taken within 1 working day.

5.3 If the suspect is released on police bail to return to the police station, the victim’s family spokesperson must be advised of this event, the reasons for bail and any relevant bail conditions within 1 working day. This is in accordance with obligation 5.16.

5.4 In accordance with obligation 5.17, if police bail is altered by a change of bail conditions, date of return on bail or bail is cancelled, the victim’s family spokesperson must be notified of these events and the reasons within 1 working day. All the above notification requirements are the responsibility of the SIO and any action taken to fulfil these requirements must be recorded on CMS. For advice on how or where to input this information on CMS, please see the e-library document ‘CMS: revised chaser document’, available under SYP guidance and advice.

5.5 The police must seek the advice of the CPS prior to charge where consideration is given to charging:

1. An individual with manslaughter in a situation envisaged under the protocol; and,

2. Must consult CPS when consideration is being given to charging a company with corporate manslaughter.

6 DECISION TO PROSECUTE

6.1 In line with obligation 5.18, if a suspect is interviewed and/or reported for offences in relation to relevant criminal conduct, the victim’s family spokesperson must be advised of this fact and the fact that a file will be submitted for a decision on prosecution to be made or summons to be issued. This notification must be within 3 working days of the suspect being interviewed and/or reported. When a summons is issued by the court, the victim’s family spokesperson must be notified of this fact and the date of the first hearing within 5 working days of the police being notified of the summons being issued. It is the responsibility of the SIO to fulfil the notification requirement and any action taken to meet this requirement must be recorded on CMS.

6.2 Any decision to prosecute, following a work-related death, should be co-ordinated and follow liaison between the police, the HSE and the CPS. There should be no undue delay in reaching the decision. Once a decision is reached the police should be advised.

6.3 Where the police do not propose to prefer charges, or the CPS decline to prosecute, the HSE should be advised of the decision as soon as possible in order that they may expedite proceedings for any related HSWA 1974 offence(s); subject to paragraph 8.2 below.

6.4 The prosecution decision should be made known to the accused and bereaved families, prior to any public announcement through the arrangements agreed in paragraph 2.3 above. In accordance with obligation 5.19, the prosecution decision must be communicated to the victim’s family spokesperson within 1 working day of the person being charged. It is the responsibility of the SIO to fulfil this notification requirement and any action taken to meet this requirement must be recorded on CMS.

6.5 The announcement of any decision by the CPS and / or HSE to the media should be co-ordinated.

6.6 Where a decision by the CPS is not to prosecute for manslaughter and paragraph 8.2 applies, the announcement shall make it clear that the decision by HSE will follow the inquest.

7 CPS PROSECUTION

7.1 Where the CPS prosecute, but HSE indicate that they wish to retain an interest, the CPS undertake to keep HSE advised as to the progress of the case and notify HSE of the result of any court proceedings.

7.2 Where the allegation concerns a work-related death, the HSE will disclose to CPS a copy of any report or document(s) submitted to the coroner. The report may not be disclosed to any party without the consent of HSE.

7.3 The police or CPS will advise the coroner when a charge of manslaughter is preferred. The coroner may thereafter adjourn the inquest until the conclusion of the criminal prosecution. The Director of Public Prosecutions (CPS) may also request that a coroner adjourn the inquest where there are proceedings before the Magistrates’ Court for offences that are related to a death (Section 16 Coroners Act 1988).

8 HSE PROSECUTION

8.1 Where the HSE prosecutes exclusively, following the decision to prosecute (see paragraph 6.1 above), there will in general be no need to advise CPS of the progress of the case, unless CPS has requested that they be so advised.

8.2 Where the police decide not to prefer charges or CPS have reviewed the papers and declined to prosecute for manslaughter:-

1. In order not to prejudice any post inquest review of the decision to prosecute for manslaughter, the HSE will await the result of the coroners inquest before preferring charges under the HSWA 1974 unless delay would prejudice the HSE case; and,

2. Where the verdict of the coroner’s court causes the CPS to review their initial decision not to prosecute, the HSE will seek to ensure that their case is not heard until a further review has been completed by CPS.

9 JOINT PROSECUTION

9.1 Where CPS and HSE seek to proceed for offences arising from the same incident, a conference should be convened to discuss the management of the case with a view to initiating joint proceedings. In particular, the following issues should be discussed and agreed:

1. Who will take lead responsibility for the proceedings

2. The wording and nature of the charges

3. Arrangements for the retention and disclosure of material

4. The timings of proceedings

5. Arrangements for keeping bereaved families and witnesses informed

6. The announcement of the decision

7. Arrangements for maintaining contact during the life of the prosecution and agree a mechanism for consultation, should an issue arise which results in the prosecution being withdrawn or no further evidence offered and

8. Any other case management issue.

10 NATIONAL LIAISON

10.1 The police, CPS and the HSE shall form a national liaison committee which should meet at least once a year to review the operation of the protocol and consider the need for changes in arrangements.

11 LOCAL LIAISON

11.1 The police, CPS and HSE shall nominate identified local liaison officers. Those persons should meet on a regular basis to discuss implementation of this protocol at a local level and other issues of mutual interest and concern.

11.2 The liaison officers’ responsibilities will also include:

1. Ensuring that there is an identified and accountable local line of effective communication between the three organisations.

2. Monitoring the effectiveness of the protocol and

3. Communicating any issues that may have implications for the protocol or issues of concern to the national liaison committee.

ANNEX A (CLAUSE 1.1 (B))

A GENERAL GUIDE TO THE ENFORCEMENT OF THE HEALTH AND SAFETY AT WORK ETC ACT (HSWA) 1974 AND OTHER RELATED LEGISLATION

HEALTH AND SAFETY EXECUTIVE

Enforcement of the HSWA 1974 and related legislation is shared with local authorities who cover certain types of work activities. As a general rule, the Health and Safety Executive (HSE) is normally the enforcing authority for work activities and premises including:-

• Factories and other manufacturing, including motor vehicle repair

• Chemical plants and refineries

• Construction

• Railways, tram and underground systems

• Mines, quarries and landfill sites

• Farms, agriculture and forestry

• Hospitals, including nursing homes

• Local government, including their offices and facilities run by them

• Schools, colleges and universities

• Domestic gas installation, maintenance or repair.

• Utilities, including power generation, water and waste

• Fairgrounds (travelling or fixed)

• Airports (except terminal buildings, car parks and office buildings from April 1998)

• Police and fire authorities; Crown including Ministry of Defence;

• Docks;

• Nuclear installations

• Offshore gas and oil installations and associated activities including pipe-lay barges, and diving support vessels.

• Onshore major hazards, including pipelines, gas transmission and distribution

• Transport of dangerous substances by road or rail

• Manufacture, transport, handling and security of explosives.

CONTACTING HSE OUTSIDE HOURS

The HSE is not an emergency service. It has produced guidance for police and other emergency service control/communication rooms describing how to contact HSE inspectors out of hours.

LOCAL AUTHORITIES

In England and Wales, district, borough or city councils enforce the HSWA 1974 in respect of certain non – domestic premises, including:-

• Shops and retailing, including market stalls, coin-operated laundrettes, and (from April 1998) mobile vendors

• Most offices

• Some wholesale and retail warehouses

• Hotels and catering, including guest houses, hostels, caravan and camping sites, restaurants, pubs, cafes and wine bars.

• Leisure and entertainment, including night clubs, social clubs, circuses, sports facilities, health clubs, gyms, riding schools, racecourses, pleasure boat hire, motor racing circuits, museums, theatres and art galleries.

• Places of worship and undertakers.

• Animal care including zoos, livery stables and kennels

• Therapeutic and beauty services including massage, saunas, solariums, tattooing, skin and body piercing and hairdressing.

Arrangements for liaison in circumstances where local authorities are the enforcing authority will be developed. In the meantime, existing local liaison arrangements should continue.

Associated Procedural Instructions:

This policy is supported by the following procedural instructions:

Deaths of Person Having Convictions – Phoenix Bureau Notification - D50505

Deaths of a Suspicious, Traumatic or Unnatural Nature - D50495

Death by Apparent Natural Causes D50500

Civil Prosecutions and the Disclosure of Police Service Information D50415

Removal of Bodies – D50498

See also:

Coroners Act 1988 – S371

Dying Declarations – D5097

Please also see ‘The code of practice for victims of crime’

Equality Act 2010:

In principle, this document has been assessed for discrimination, which cannot be justified, among other diverse groups.

Human Rights/Discretion:

The purpose of providing policy is to give an indication to staff of the expected course of action. However it is not possible to cater for every possible combination of factors that would justify a departure from stated policy. The Human Rights Act 1998 requires the proper use of discretion at all times and nothing within this policy and associated procedural instructions prohibits the proper use of discretion in appropriate circumstances.

Where action is taken that has the potential to interfere with an individual’s Human Rights, the reasons behind the making of the decision to act in that way should be recorded on the appropriate forms, or where this is not practicable, in pocket books or policy logs.

Freedom of Information Act 2000

Exemptions do not apply to this statement of agreed policy under the Freedom of Information Act 2000.

Management of Police Information (MoPI)

This policy falls within MoPI: Yes

When implementing this policy/procedural instruction all SYP staff must comply with MoPI requirements:-

1. Record all information obtained in the implementation of this policy/procedural instruction on to the relevant system as soon as practicable in accordance with the requirements of the relevant business area and the Government Protective Marking Scheme (GPMS)

2. To avoid unnecessary duplication, before creating a new record, check that the information is not already recorded within that system AND ensure any record created identifies the source (where possible), recorder, recording date and purpose.

3. Where potential intelligence is identified as a result of processing information, submit this via a National Intelligence Record (NIR, CID 122).

4. Where possible, encourage information sharing within the service and with partners, see D50745 Information Sharing Agreements and D50746 Information Sharing Agreements – Instructions.

5. Ensure that all your actions in implementing this policy/procedural instruction comply with D50361 Data Quality, Data Protection Act 1998, Human Rights Act 1998, Freedom of Information Act 2000.

For more details about MoPI, see D50744 Management of Police Information and Guidance on The Management of Police Information (2006) issued by ACPO/Centrex.

Audit Review Arrangements:

This policy together with its Equality Analysis will be reviewed every 3 years

Rights of redress for members of the public:

Anyone who feels that a member of staff has behaved incorrectly or unfairly, or who is dissatisfied with organisational matters, service delivery or other operational policing issues, has the right to make a complaint.

Initial action should be taken in one of the following ways:

• Complain in writing or in person to the Senior Officer at the appropriate police station or to the Chief Constable of the force concerned.

• Visit a local Citizens' Advice Bureau

• Contact a Solicitor

Rights of redress for South Yorkshire Police personnel:

South Yorkshire Police personnel who feel they have grounds for concern in relation to the implementation of policies may, as appropriate:

• Pursue concerns through their line manager.

• Contact a First Contact Advisor.

• Pursue a grievance formally through the South Yorkshire Police Fairness at Work Procedure.

• Seek advice from their staff association or trades union.

• Use procedural instruction D50241 Management of Complaints, in the section entitled Handling Complaints relating to Direction and Control. 

Start Date:

21 March 2005 (Amended June 2006)