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FORCE
PROCEDURES
Cautioning of Adult Offenders
(Simple Caution)
Procedure Reference Number:
2008.37
Procedure Author:
David Briscoe, Department of
Criminal Justice & Custody
Procedure Review Date:
March 2015
At the time of ratifying this procedure, the author is satisfied that this document
complied with relevant legislation and Force requirements.
Sign and date
……………………………………
(Author(s))
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Procedure Index
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1.
Procedure Aim ........................................................................................................ 3
2.
Responsibilities ...................................................................................................... 4
3.
Decision making and process to follow................................................................... 5
Instructions ............................................................................................................. 5
Victims .................................................................................................................... 7
Forensic Procedures .............................................................................................. 8
Criteria for Simple Caution ..................................................................................... 8
Appropriate Use of a Simple Caution ..................................................................... 9
Other Considerations............................................................................................ 11
Does the Suspect have any other Cautions for Similar Offences? ....................... 11
Ethnicity ................................................................................................................ 12
Simple Cautioning Procedure ............................................................................... 12
Consequences of Cautioning ............................................................................... 14
Recording the Caution .......................................................................................... 14
When to Refer Decisions to the CPS.................................................................... 15
Conditional Cautions ............................................................................................ 16
4.
Appeals ................................................................................................................ 17
5.
Review.................................................................................................................. 18
6.
Appendices...............................................................................................................
Appendix A - Adult Offender Caution Record – Form 200091 ..................................
Appendix B - The Threshold Test .............................................................................
Appendix C - Adult Cautioning Process....................................................................
Appendix D - Gravity Factor Scoring
Appendix E - Authorising officer for Adult Simple Caution .......................................
Appendix F - List of Notifiable Offences (Extract from Home Office Circular 06/06, .
Appendices 1 and 2).................................................................................................
Appendix G - ACPO Retention Guidelines 2006 ......................................................
Appendix H - MG3 Form...........................................................................................
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Recent amendments (March 2014) in red:
1.
Procedure Aim
1.1
Cheshire Constabulary is committed to responding efficiently and effectively to all
reports of crime and to the provision of a fair and equal service to all. In support
of this we will maintain a system for the administration of simple cautions to adults
in appropriate cases.
1.2
This document aims to introduce clear directives and guidance to ensure that
simple cautions are administered efficiently and effectively in order to:
•
Deal quickly and simply with less serious offences;
•
Divert unnecessary appearances in the criminal courts;
•
Reduce the chances of re-offending;
•
Make a positive contribution towards the effectiveness of the criminal justice
system, by freeing up resources and thereby reduce the fear of crime and
disorder; and
•
Optimise the number of offences brought to justice.
1.3
The cautioning procedure is important and must not be treated lightly, otherwise
the whole process could be brought into disrepute.
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2.
Responsibilities
2.1
That the guidance and procedures relating to the roles and responsibilities of
police officers and police staff contained within Section 2 of this document, are
Constabulary Policy.
2.2
If there is a victim to the offence then a statement (MG11) is required from them. If
the victim declines to make a statement then a signed Pocket Note Book entry
must be obtained with as much evidence disclosed as possible.
2.3
The cautioning officer should be a Sergeant or above for most summary or
either-way offences. This process will be recorded in the Sergeant’s Pocket Note
Book, unless this is recorded on the Niche custody record. See below and also
3.5.2 and 3.10.
2.4
If a first time offender is cautioned it will be normal for them to be charged with
subsequent offences. Subsequent simple cautions may be considered in the
following circumstances:
•
A person may only receive a second caution for a ‘similar offence’ within two
years, only in ‘exceptional circumstances’ and if authorised and administered
by an Inspector (or above). Note – the Inspector must authorise and record
why the second caution is appropriate BEFORE the caution is delivered by
an officer of Sergeant rank or above. See also 3.1.15
2.5
Members of vulnerable groups will be treated in accordance with Code of Practice
C of the Police and Criminal Evidence Act 1984.
2.6
There must be a clear distinction between the investigation of the offence, the care
and treatment of persons in custody and the quasi-judicial function of a caution.
Therefore, a caution must not be given by an Officer involved in the investigation
of the offence.
2.7
The cautioning officer will be responsible for the completing of form 200091 (Adult
Offender Caution Record, see Appendix A) and it will be signed by both the
offender and the officer.
2.8
The victim must always be kept informed of the final outcome of the case.
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3.
Decision making and process to follow
3.1
Instructions
3.1.1
This procedure is applicable to persons who have attained the age of eighteen
years. Persons who are aged between ten and seventeen inclusive are subject to
the Youth Cautions or Youth Conditional Cautions procedure.
3.1.2
Diverting less serious offences away from the criminal justice system, allows for
the individual to take into consideration their actions and responsibilities and can
help to reduce the chances of re-offending.
3.1.3
The concept of the caution is to formally warn and advise the person regarding
their present and future conduct. Simple Cautions are a non-statutory disposal
and the opportunity exists for police to exercise discretion in deciding to use them.
Therefore, it is not possible to set out definitive rules on the circumstances in
which Simple Cautions are appropriate (for example, that first time offenders
should always be cautioned or particular offences should always result in a
Simple Caution only). The questions to consider in each case are :
•
Whether a Simple Caution is appropriate to the offence and the offender;
•
Whether a Simple Caution is likely to be effective in the circumstances.
3.1.4
In considering the administration of a Simple Caution, officers must observe the
General Duties of the Race Relations (Amendment) Act 2000, the Sex
Discrimination Act 1975 as amended by the Equality Act 2006 and the Disability
Discrimination Act 1995 amended by the Disability Discrimination Act 2005.
•
Eliminate unlawful discrimination
•
Eliminate unlawful harassment
•
Promote equality of opportunity
3.1.5
A caution is a formal recordable and citable disposal that can be used in the event
of any future offending. A Simple Caution (known previously as a Formal Caution,
now re-named to distinguish it from a Conditional Caution) is a non-statutory
disposal for adult offenders. It may be used for cases involving first time, low level
offences where the public interest can be met by a Simple Caution. It is highly
unlikely that a Simple Caution would ever be deemed appropriate for an
indictable only offence. See 3.4.4 and 3.10
3.1.6
The administration of a Simple Caution for a notifiable offence is treated as a
sanction detection and an offence brought to justice. The accurate recording of
cautions contributes to improved public confidence in the criminal justice system
and also contributes towards reducing the likelihood of re-offending.
3.1.7
Cautions must be made in accordance with the Director of Public Prosecution’s
guidance on charging (The Director’s Guidance). Early advice from the Crown
Prosecution Service (CPS) can also be sought, at any point in an investigation, on
whether a Simple Caution is appropriate.
3.1.8
A Simple Caution may only be administered if there is enough evidence of the
required standard, i.e. such that a jury or magistrates directed by the law would be
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more likely than not to convict the alleged offender. Therefore, the police must
apply the Full Code Test.
3.1.9
Similarly, if a person is in custody for a relatively low level offence and the person
has previously been convicted of unrelated offences, then a Simple Caution may
be considered as a suitable disposal, providing the criteria for a Simple Caution
has been met and there is no recent offending / conviction history. This is a police
operational decision. The considerations are:
•
whether a Simple Caution is appropriate to the offence and the offender
•
whether a Simple Caution is likely to be effective in the circumstances
•
the seriousness of the offence (gravity score low – no aggravating factors)
•
the views of the victim
3.1.10 In order to safeguard the defendant’s interests, the following conditions must be
met before a Simple Caution can be administered:
•
There must be evidence of the offender’s guilt, sufficient to give a realistic
prospect of conviction. (Apply Full Code Test)
•
There must be clear and reliable evidence of a voluntary admission that
relates to all elements of the alleged offence(s): the offender must admit the
offence.
•
The offender must understand the significance of a caution and give
informed consent to being cautioned.
3.1.11 Simple cautions do form part of an offender’s criminal record and may be used in
future proceedings and in certain circumstances, may be made available to an
employer as part of a criminal record check. Offenders must be made aware of
this before agreeing to accept a simple caution.
3.1.12 There is no right of appeal against the administration of a simple caution once it
has been accepted by the offender and administered by the police. However, it
may be challenged by way of a formal complaint to the police force that
administered it and by a judicial review.
3.1.13 Legislation which came into effect in December 2008, brought simple cautions
within the ambit of the Rehabilitation of Offenders Act 1974 (ROA). Therefore,
simple cautions become spent immediately they are administered.
3.1.14 This means that an individual does not need to disclose a simple caution when
asked unless they are seeking work in an occupation that is listed in the
Exceptions Order to the ROA such as working with children and vulnerable adults
or for other excepted purposes such as seeking to obtain certain licences.
Cautions will also be disclosed under Disclosure and Barring Service (DBS)
standard and enhanced checks. Further information can be obtained from the
DBS.
3.1.15 If a first time offender is cautioned it will be normal for them to be charged with
subsequent offences. Subsequent simple cautions may be considered in the
following circumstances: see also 2.4
•
A person may only receive a second caution for a ‘similar offence’ within two
years, only in ‘exceptional circumstances’ and if authorised and administered
by an Inspector (or above).
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3.1.16 In assessing whether ‘exceptional circumstances’ exist in a case, the following
non exhaustive list of factors must be taken into account: (Inspector or above to
authorise the caution)
•
The extent of culpability and/or harm caused;
•
The degree of intention or the forseeability of any resultant harm;
•
Any significant aggravating factors;
•
Any significant mitigating factors;
•
The lack of any recent similar previous convictions or cautions;
•
Any other factors relating to the offender or commission of the offence likely
to have a significant impact on sentence;
•
The overall justice of the case and whether the circumstances require it to be
dealt with in open court;
•
The range of sentences appropriate to the circumstances of the case.
3.1.17 Any lines of defence that are available to the accused should be taken into
consideration as well as an assessment of the evidence which should consider its
reliability and admissibility.
3.2
Victims
3.2.1
In December 2005, the Victims Code of Practice came into force which brings a
statutory requirement for victims to be kept well informed; and that vulnerable and
intimidated witnesses should be identified at the time of the offence, as they are
eligible for an enhanced service. (For further details, refer directly to the Code,
available on the Intranet or from the Force Information Centre).
3.2.2
If there is a victim to the offence then a statement (MG11) is required from them. If
the victim declines to make a statement, then a signed Pocket Note Book entry
must be obtained with as much evidence disclosed as possible.
3.2.3
Officers must ensure that all offences committed are endorsed on the Adult
Offender Caution Record (Form 200091) (see Appendix A); for example: if two
offences of theft are admitted, both should be recorded. This will ensure that
cautions accurately reflect the full extent of offences.
3.2.4
Before a Simple Caution can be administered the victim should normally be
contacted to establish :
•
Their view about the offence;
•
The nature and extent of any harm or loss, and their significance relative to
the victim’s circumstances;
•
Whether the offender has made any form of reparation or paid compensation.
3.2.5
If a Simple Caution is being, or is likely to be considered, its significance should
be explained to the victim. In some cases where cautioning might otherwise be
appropriate, prosecution may be required in order to protect the victim from further
attention from the offender. The fact that a victim declines to support a
prosecution (National Crime Recording Standards Rule D4) should not preclude
the consideration of a Simple Caution.
3.2.6
Where there is a decision not to proceed with a prosecution but the case is still
suitable for a Simple Caution, the victim may be asked if they will affirm their
support for a Simple Caution as a suitable method of disposal. In these cases, the
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victim could be asked to give a statement confirming the facts of the offence and
stating in their own words that they are not prepared to support a prosecution
through the Courts, but would be satisfied if the matter was dealt with by way of a
Simple Caution.
3.2.7
It is important that the officer dealing with the victim presents the option of a
Simple Caution disposal clearly in these cases, and gives due regard to the
interests of justice and the due processes involved.
3.2.8
In all circumstances where the views of victims are sought, care should be taken
to ensure they are aware that although their views will be taken into account, they
will not necessarily be conclusive to the outcome, as the final decision is at the
discretion of the police and/or the CPS.
3.2.9
The victim must always be kept informed of the final outcome of the case.
3.3
Forensic Procedures
3.3.1
Having due regard to the provision of Sections 61 – 63 of the Police and Criminal
Evidence Act and the circumstances of the individual case: photographs,
fingerprints, footprints and DNA analysis should be taken of all persons who are
reported for a recordable offence before a Simple Caution is administered, and
before the person is released from custody.
3.3.2
ACPO and force guidelines on how samples should be taken and in relation to
which recordable offences will vary over time and should be consulted.
3.4
Criteria for Simple Caution
3.4.1
A Simple Caution is a serious matter. It is recorded and will influence any future
decision whether or not to institute proceedings should the person offend again;
and it may be cited in any future Court proceedings. In order to safeguard the
defendant’s interests, the following conditions must be met before a Simple
Caution can be administered:
•
There must be evidence of the offender’s guilt, sufficient to give a realistic
prospect of conviction.
•
The offender must fully admit the offence.
•
The offender must understand the significance of a caution and give informed
consent to being cautioned.
3.4.2
A previous caution for a drug related offence would not preclude the issuing of a
Simple Caution for a non-drug-related offence where all other criteria for the issue
of a caution are met.
3.4.3
If the current offence is for possession of drugs for personal use, then the
accused may be cautioned notwithstanding the fact that they have previous
convictions or cautions, provided that the offences were not drug related.
3.4.4
The following criteria for issuing a Simple Caution should be considered:
•
Is there sufficient evidence of the suspect’s guilt to meet the Full Code Test.
•
Is the offence indictable only? (and the available evidence meets at least
the Threshold Test)? If the answer is ‘Yes’, this disposal option must be
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•
•
•
•
referred to a Superintendent in the first instance and (if supported by the
Superintendent) a Crown Prosecutor. HO Circular 16/2008 makes it clear
that indictable-only offences must be referred to the CPS. The circular also
now states that simple cautions administered for indictable-only offences
without referral to the CPS may be deemed not to have been properly
administered.
Has the suspect made a clear and reliable admission of the offence, either
verbally or in writing? An admission of the offence, corroborated by some
other material and significant evidential fact will be sufficient evidence to
provide a realistic prospect of conviction. This corroboration could be
obtained from information in the crime report or obtained during the course of
the investigation. A Simple Caution will not be appropriate where a
person has not made a clear and reliable admission of the offence (for
example if intent is denied or there are doubts about their mental health
or intellectual capacity, or where a statutory defence is offered).
Cautions data recording – HO Circular 16/2008 has strengthened the
guidance on the correct recording of simple cautions and made it clear that
when an offender is cautioned for a lesser offence than the one originally
reported to the police or for which the offender was arrested, the caution
must be recorded against the lesser offence.
Is it in the public interest to use a Simple Caution as the appropriate means
of disposal? The public interest principles set out in the Code for Crown
Prosecutors (a public document available on the CPS website) should be
taken into account.
Is the suspect 18 years or over? Where a suspect is under 18, a Youth
Caution or Youth Conditional Caution would be the equivalent disposal.
3.4.5
If all the requirements are met, the officer must consider whether the seriousness
of the offence makes it appropriate for disposal by a Simple Caution.
3.4.6
A flowchart illustrates this process (see Appendix C).
3.5
Appropriate Use of a Simple Caution
3.5.1
A Simple Caution is to be used for minor offences and summary offences.
3.5.2
Cautions should NOT be given in serious cases. These include:
•
Most sexual offences – cautioning for sexual offences is a complex matter,
being linked to the requirements of Multi Agency Public Protection
Arrangements for cross-referencing, checking prior offence history, and
eligibility for entry of the offence onto the Sexual Offenders Register. The
legal requirements, as laid out in the Sexual Offences Act 2003 and the
threshold requirements of Part 2 of the Sexual Offences Act, need specialist
interpretation. Before a decision on whether to caution for a sexual offence
is made, it should be referred to the Detective Inspector of the relevant
Area Public Protection Unit; or to the Strategic Public Protection Unit
based at Force HQ.
•
Hate crimes
•
The unlawful possession of a knife, bladed article, offensive weapon or
firearm in a public place or threatening with a bladed article or offensive
weapon in a public place or a school is not suitable for caution.
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•
•
•
•
•
•
•
Offences of child prostitution and pornography, cruelty to a child, indecent
photographs of children and supplying Class A drugs are specific offences
that are not generally suitable for a caution, but if in exceptional
circumstances, they must be authorised by an officer of Superintendent or
above, who will make the decision over the appropriateness of cautioning.
For these cases, in the first instance refer the case to the Superintendent in
charge of Criminal Justice and Custody. If unavailable, the BCU
Superintendent. In an emergency, refer the case to the locum
Superintendent. Only after being authorised by the Superintendent, may the
caution be delivered to the offender by an officer of Sergeant rank or above.
Where the offender is in a position of trust
There is serious financial loss to the victim
Domestic Violence - Unless there is some evidence that it is a first domestic
abuse offence AND there have been no other reports or intelligence of
previous abuse to the victim, previous partners or family members. The
Police Decision Maker (see 2.3) must be satisfied that the full code test of
evidential standard and public interest factors are adequately met by the
administration of a caution.
The victim falls within the Vulnerable Victim category
The victim sustained serious physical or psychological injury. Serious
physical injury means sufficient to justify a charge contrary to Section 47
Offences Against the Person Act 1861 under the CPS / ACPO Charging
Standards
In cases which are likely to draw press comment, such as politically sensitive
issues. Such cases, even when they are minor matters, should be dealt with
by way of an “Advice File” submitted to the CPS.
3.5.3
A Gravity Factors Scoring Matrix has been provided to assist officers in the
decision making process – attached at Appendix D. This matrix is clearly distinct
from the Youth Justice Board Gravity Scoring Criterion, and should not be
confused with it. The questions to be asked in determining the seriousness of the
offence are:
•
Are there any aggravating factors involved?
•
Are there any mitigating factors involved?
3.5.4
If the answer to either question is yes, then the seriousness of the case will either
increase or decrease by one level. The seriousness of an offence is initially
determined on a scale between 1 and 4 (with 1 being the least serious). This can
increase or decrease by one level, regardless of the number of aggravating /
mitigating factors. This is because the highest severity available is level 4, so
additional factors cannot be added on indiscriminately. If there is one of each
(aggravating and mitigating), they simply cancel each other out.
3.5.5
Simple Cautions will only be used in appropriate cases and any decision must be
based purely on the circumstances of the offence.
3.5.6
Where an individual is found to be in unlawful possession of a small user amount
of controlled drugs, excluding cannabis, and there is evidence that would justify a
charge, they may qualify for Simple Caution provided that :
•
The small amount is for personal use only
•
There is an unequivocal admission of guilt by the offender in a formal
interview (taped or written)
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•
There is no evidence that the possession is connected with the supply or
distribution of that drug
3.5.7
A Simple Caution may be administered providing all the above criteria are met
and that the person is agreeable to the caution.
3.5.8
Where an individual is found to be in unlawful possession of a small user amount
of cannabis for immediate personal use, a Cannabis Warning may be more
appropriate than a Simple Caution. Refer to the Cannabis Enforcement Guidance
on the Force Intranet for information.
3.5.9
Other than in ‘exceptional cases’, no person will qualify for a Simple Caution
where they have been arrested for an offence connected with the supply or
production of controlled drugs.
3.5.10 Exceptions may be:
•
The production of cannabis (growing cannabis plants from seed) for personal
use,
OR
•
The cultivation of cannabis plants once produced from seed for personal use,
AND
•
Where such production and/or cultivation is in a domestic situation, the
product is for the personal use of the individual concerned and without
commercial interest. Under such circumstances, production and cultivation
of cannabis will be considered for cautioning using the same criteria as those
identified in 3.5.6.
3.5.11 Where an offender is arrested for non-drug offences, such as burglary or
shoplifting, and are also found in the possession of drugs, it is important that the
primary offence stands alone when making the decision to charge or caution.
3.5.12 The decision to caution for drug offences shall not be affected by the decision on
the primary offence or vice-versa.
3.5.13 Where there is evidence to show the primary offence is in some way connected to
the drug use, then the courts should be made aware by endorsing form MG05
(Police Report).
3.5.14 Where no link can be established between the primary offence and the drugs
possession, the caution should be drawn to the attention of the CPS by means of
the form MG06 (Confidential Information).
3.6
Other Considerations
Does the Suspect have any other Cautions for Similar Offences?
3.6.1
Both national and any locally held records must be checked before a Simple
Caution is given, to ensure that the suspect's criminal record is known and up-todate and to avoid the inappropriate use of a Simple Caution. If the suspect has
previously received a caution, then a further Simple Caution should not normally
be considered.
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3.6.2
However, if there has been a sufficient lapse of time to suggest that a previous
caution has had a significant deterrent effect (two years or more) then a Simple
Caution can be administered. A Simple Caution can also still be administered if
the subsequent offence is trivial or unrelated, or as part of a mixed disposal. If the
suspect has previously received a Reprimand or Final Warning (obsolete since
April 2013) or a Youth Caution or Youth Conditional Caution, a period of two years
should also be allowed to elapse before administering a Simple Caution.
3.6.3
Once the approving officer is satisfied that the requirements for administering a
Simple Caution have been met, they should give further consideration to whether:
•
a Simple Caution is appropriate to the offence and the offender; and
•
it is in the public interest to deal with the offence in this way.
3.6.4
Officers should take into account the public interest principles set out in the Code
for Crown Prosecutors. Officers should not opt to take no further action (NFA) in
circumstances in which the requirements of a Simple Caution are met.
3.6.5
When the approving officer has reached a decision in favour of issuing a Simple
Caution, they should sign the custody record, or other suitable documentation, to
say that they have approved this as the appropriate method of disposal. The
history of the disposal decision must be fully documented on Niche recording the
reason for this type of disposal (see Appendix E).
3.6.6
In cases that are being considered by the police for charging by the Prosecution
Team, ‘gatekeepers’ (those responsible for overseeing, e.g. Custody Sergeant)
must ensure that cases are fully considered for alternative disposals i.e. a Simple
Caution where a case is clearly suitable.
Ethnicity
3.6.7
National statistics imply that there is disproportionality in the numbers of Black
Minority Ethnic (BME) persons cautioned, compared with white persons. Officers
must ensure that there is a consistent application of the requirements for
administering a Simple Caution and that the General Duties of the Race Relations
(Amendment) Act 2000 are observed - see section 3.1.4.
3.7
Simple Cautioning Procedure and Legal Advice
3.7.1
Before administering the simple caution the police officer should ensure that the offender
has had the opportunity to receive free and independent legal advice in relation to the
criminal offence. The offender’s right to legal advice is set out under PACE and must be
adhered to. The police officer must inform the offender of the evidence against them and
the decision to offer a simple caution. Offenders and their legal representatives are
entitled to seek and have disclosure of the evidence before the offender agrees to accept
a simple caution.
3.7.2
In order for there to be an adequate record of an independent admission of the
offence, the details of the admission could be recorded by any of the following
methods (which must be Police and Criminal Evidence Act compliant):
•
a tape recorded interview;
•
a record of the admission in the officer's Pocket Note Book and signed by the
suspect as an accurate record. This could cover any statement made by the
suspect on arrest, after being cautioned;
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•
•
a statement made by the suspect whilst in police detention (after being
reminded they are still under caution) could be recorded in the custody
record and signed by the suspect as an accurate record;
a contemporaneous interview under caution could be conducted in the
absence of the suspect making a voluntary statement of admission, or for
clarification where the statement does not meet the required evidential
standard. The notes should be fully documented.
3.7.3
A Sergeant (or above) may authorise and administer most Simple Cautions. The
officer may, or may not, be a Custody Officer; however, a caution must not be
given by an Officer involved in the investigation of the offence – see also 2.3, 2.4,
3.4.4 and 3.5
3.7.4
A caution should take place at a police station unless there are exceptional
circumstances, i.e. where the person to be cautioned is elderly, infirm or otherwise
vulnerable. When cautioned at a police station, the room to be used will be tidy
and for obvious reasons, there will be no confidential material on the walls or
within the sight of the person or their appropriate adult if applicable.
3.7.5
In the case of the accused being elderly, infirm or otherwise vulnerable, then the
caution may be administered less formally. It could be administered at their home
and in the presence of an appropriate adult.
3.7.6
The caution should commence with the cautioning officer introducing themselves.
It will then be explained that the cautioning procedure is also a ‘suitability
interview’ and is not a procedure that has to be completed at all costs.
3.7.7
The significance of the caution must be explained: that is, that a record will be
kept of the caution, that the fact of a previous caution may influence the decision
whether or not to prosecute if the person should offend again. Under no
circumstances should suspects be pressed or induced in any way to admit
offences in order to receive a Simple Caution as an alternative to being charged.
3.7.8
The suspect must give informed consent to being cautioned. He or she must
agree to accept it. If the suspect does not consent, then police may choose to
continue with a prosecution. Officers must avoid any suggestion that accepting a
Simple Caution is an "easy option". Similarly, every effort must be made to avoid
any suggestion of the suspect being coerced into accepting a Simple Caution.
The suspect should be allowed to consider the matter and if need be, take
independent legal advice.
3.7.9
This will ensure that all parties will know that the matter is being viewed seriously
by the police. It will give the cautioning officer the opportunity not to continue with
the Simple Caution if they feel it is inappropriate in view of the attitude or the
response of the offender.
3.7.10 A Simple Caution should never be viewed as an appropriate method of disposing
of offences by serving prisoners.
3.7.11 Where the offence is listed in Schedule 3 to the Sexual Offences Act 2003,
accepting a Simple Caution in relation to such an offence will result in the offender
becoming a "relevant offender" for the purposes of the notification and registration
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requirements of Part 2 of the Act. In common terms, the offender will be put on
the 'Sex Offenders Register'. It is especially important that an offender is
informed of the consequences of accepting a Simple Caution before
accepting such a disposal for a sexual offence that makes them subject to
these requirements; and that all conditions for issuing a caution have been
met – see 2.1.10. If the offender is not informed of this, they may, at a later date,
have a case for having the Simple Caution removed.
3.7.12 Notifiable occupations are currently set out in Annex A of Home Office Circular
06/2006 – attached as Appendix F. Where a Simple Caution is issued to
someone employed in a notifiable occupation, this should be disclosed by the
police to their employer or professional body in accordance with the guidelines set
out in that circular. Notifications will be carried out by the Disclosures and Vetting
Unit of Administration of Justice. Officers should ensure that offender occupations
are accurately recorded, including whether the offender is a foster parent or
involved with children in such organisations as Scouts, Guides or as sports
coaches. A list of notifiable occupations should be made available in the station.
3.7.13 Once the Simple Caution has been administered, the offender should sign Form
200091 accepting the terms of the caution; and should be given a copy of the
form to take away. The pro-forma should include the offender's personal details
(including occupation) and should outline the details of the offence. It should also
include information on the consequences of accepting a caution. The offender
should be invited to self-classify their ethnicity, using 18+1, and record it on the
form. The form must explain that the offender's details can be passed to the
victim, should they wish to pursue civil proceedings. The offender should
sign to say that the terms of the Simple Caution are agreed and the person
administering the Simple Caution should also sign.
3.8
Consequences of Cautioning
3.8.1
A Simple Caution forms part of an offender's criminal record and may influence
how they are dealt with, should they come to the notice of the police again. Simple
Cautions given for recordable offences are entered on the Police National
Computer, where they are held in line with ACPO Retention Guidelines
(Appendix G). The fact of the Simple Caution may also be cited in court in any
subsequent court proceedings and can be quoted on a Standard or Enhanced
Disclosure issued by the Criminal Records Bureau and thus can be made known
to a prospective employer. Fingerprints and other identification data can also be
held on databases to which the Police National Computer has links. Therefore
the significance of the admission of guilt in agreeing to accept a Simple Caution
must be fully and clearly explained to the offender.
3.9
Recording the Caution
3.9.1
The accurate recording of all Simple Cautions is essential in order to avoid
multiple cautioning and to ensure consistency. Simple Cautions must be recorded
on the local custody system and an electronic version of the form 200091 is used
to record the caution on the Niche custody system. This allows offences to be
marked off against caution. The custody record is held under an occurrence,
which links the custody record to the crime; however, for the time being the
disposal is also recorded on the Niche system. It is the Officer in the Case’s
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responsibility to ensure that this is done and a sanction detection recorded.
Simple Cautions must also be recorded on the Police National Computer.
3.9.2
Simple Cautions must be entered onto the Police National Computer if they have
been given for a notifiable offence. The current ACPO Retention Guidelines
2006, are based on a format restricting access to Police National Computer data,
rather than the deletion of the data. The restriction of access is achieved by
setting strict time periods after which the relevant event histories will ‘step down’
and only be open to inspection by the police. Following the ‘step down’, other
users of the Police National Computer will be unaware of the existence of such
records, save for those occasions where the individual is the subject of an
Enhanced Check under the Criminal Records Bureau vetting process. In those
cases, the data should be dealt with as intelligence and only disclosed, where the
relevance test has been applied, on the authority of the Chief Officer. The ‘step
down’ time periods are based on the following criteria, as set out in detail in the
chart at Appendix 1 of the ACPO Retention Guidelines (see Appendix G):
1) The age of the subject:
2) The final outcome:
3) The sentence imposed:
4) The offence category (There are 3 offence categories, A, B and C, with A
containing the most serious offences – listed in Appendix 3 of the Retention
Guidelines).
3.9.4
In the case of a caution, the entry will ‘step down’ either after 5 or 10 years,
depending on the offence category, provided there are no other cautions or
convictions on the record. The record will be retained on the Police National
Computer, either as live or ‘step down’ information, until the subject is deemed to
have attained the age of 100 years.
3.10
When to Refer Decisions to the CPS
3.10.1 The CPS will need to make the decision on whether an offence is suitable to be
dealt with by way of a Simple Caution in the following circumstances:
•
when reviewing a case in which the police have charged the suspect during
the roll-out of the statutory charging scheme; or
•
when examining indictable only cases referred to them by the police
Superintendent. (Superintendent in charge of Criminal Justice and Custody).
3.10.2 Because of their inherent seriousness, indictable only cases which have met the
Threshold Test are highly unlikely to be suitable for a Simple Caution. However,
in ‘exceptional cases’ and where it is not in the public interest to proceed with a
prosecution, a Superintendent may refer the case to a Crown Prosecutor, who will
consider whether the case is suitable for a Simple Caution disposal before
deciding to take no further action against the offender.
3.10.3 The Director's Guidance provides that where the decision of the CPS is that a
person should be cautioned (whether Simple or Conditional Caution) this is
mandatory and binding upon the police. If however it subsequently proves not to
be possible to give the caution (for example, because the offender fails to attend
or withdraws consent), the matter will be referred back the Crown Prosecutor, to
determine whether the person is instead to be charged with the offence.
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3.10.4 The decision whether to charge, caution (Simple or Conditional), No Further
Action or otherwise should be recorded on the rear of the MG03 form (attached as
Appendix H).
3.11 Conditional Cautions
3.11.2 A Conditional Caution is an alternative disposal and is available for the use by the
Police and CPS. They are designed for adult offenders who are willing to admit
their guilt and who have committed relatively low level offences.
3.11.3 The scheme is aimed at cases where the public interest would be met more
effectively by offenders carrying out specified conditions attached to a caution
rather than being prosecuted.
3.11.4 A Conditional Caution is: ‘a caution which is given in respect of an offence admitted
by the offender and which has conditions attached to it with which the offender
must comply or else face the prospect of being charged or summonsed with the
original offence.’
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4.
Appeals
4.1
Persons affected by the exercise of powers, directives or actions under this policy
have the right to make representations and/or challenges and/or appeals to the
decision involved, via the judicial processes (e.g. Civil Law) and/or non-judicial
processes (e.g. grievance and complaints procedure), and may wish to consult
with their legal advisor when considering such processes and procedures.
4.2
Members of the public may make complaints verbally or in writing via the police
complaints procedures. Members of staff can do this internally via the
Constabulary Grievance Procedure
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5.
Review
5.1
This procedure will be formally reviewed in 12 months to consider:
•
Its effectiveness in the business area concerned
•
Any changes to legislation
•
Challenges to the procedure
•
Any identified inefficiencies in relation to implementation
•
Impact on diversity and equality (Medium on the Race Diversity Impact
Assessment Template)
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Version
2.2
2.3
Date
23/07/10
10/09/10
Status
Minor amends para 2.3.2 and 2.8.1
Updated information para 2.3.2
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Authorised
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