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Work-related deaths:

Handover Document Templates

(England and Wales)

Signatories

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Commander Dean HaydenMetropolitan Police ServiceNational Police Chiefs’ Council

Paul CrowtherChief ConstableBritish Transport Police

Paul HancockPresidentChief Fire Officers Association

Alison SaundersDirector of Public ProsecutionsCrown Prosecution Service

David BehanChief ExecutiveThe Care Quality Commission

Imelda RichardsonChief ExecutiveCare and Social Services Inspectorate Wales

Richard JudgeChief ExecutiveHealth and Safety Executive

Kate ChamberlainChief ExecutiveHealthcare Inspectorate Wales

Nick WorthRegulatory Services ChampionThe Local Government Association

Alan MasseyChief ExecutiveMaritime and Coastguard Agency

John WilkinsonDirectorMHRA Medical Devices Division

Richard SavageChief InspectorOffice for Nuclear Regulation

Richard PriceChief ExecutiveOffice of Rail and Road

Neil MooreSpokesperson for Regeneration, Economic Development & Regulatory ServicesThe Welsh Local Government Association

Work-related Death Protocol Primacy Handover Documents

Foreword

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This formal handover procedure has been agreed by the Work-related Deaths National Liaison Committee (NLC) to ensure the efficacy of the process and that those assuming primacy can:-

(i) complete their investigations thoroughly and efficiently ; and,(ii) comply with their legal duties under the Criminal Procedure and Investigation Act 1996 and the

Attorney General’s Guidelines on Disclosure.

However it is important to stress that the issue of primacy and any associated investigation handover process should not result in delay of an investigation by any Enforcing Authority. By jointly conducting and managing investigations in accordance with the Work-related Deaths Protocol and associated Practical Guide, suitable arrangements should be in place to ensure that relevant material is shared as it is gathered, rather than waiting for completion any ‘formal’ handover process.

The template documents have been produced to support an efficient and effective handover process when primacy for an investigation is passed from one authority to another. Reference to the handover of investigations is made in section 4 of the Practical Guide.

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The source NLC documents are hosted on the HSE website.

Suggestions for Use

The formal handover process should include the transfer of relevant investigation material (statements, photographs, physical items, documents etc.) not already passed to the authority assuming primacy. Material retained due to Public Interest Immunity or some other reason agreed between the specific authorities should be listed in schedules 3 and 4 of the Handover Documents.

Two template documents for handover are provided (delete unused template as appropriate):-

Handover Document 1: for use when an authority has commenced an investigation into a work-related death and wishes to pass primacy to another authority;

Handover Document 2: for use when an authority has conducted initial enquiries only, and wishes to pass relevant material to an authority who is assuming primacy for the investigation.

The completed Handover Document should be agreed either by use of a ‘wet’ or electronic signature.

Digital / Electronic Handover

Appended to the Handover Documents are sample schedules to facilitate the efficient handover of relevant material. Signatories may wish to use their own electronic material management systems to generate similar schedules and append these to minimise duplication of effort.

When electronic processes are used for the handover of relevant material it will help those assuming primacy to be provided with the following information:-

Witness Information Material InformationName DescriptionWitness or Suspect Exhibit No. (Where Applicable)Interviewee Status (Individual or Company Rep.) Other Bag / Tag (Where Applicable)Date of Birth Date Obtained Address Place ObtainedPhone Obtained byCompany Exhibited byRole (e.g. Job, Member of Public) Obtained from

How ObtainedCurrent Location

It is helpful to provide an electronic copy of the material in addition to the original hardcopy.

Work Related Deaths ProtocolHandover Document 1: Handover of Investigation

(Use when an Investigation has commenced)

This document relates to the investigation into the death of [name of deceased] ............ on the [date] ............at [location] ............

Up until this point, [insert name of authority passing primacy] ............ has had primacy for the jointly conducted investigation and has been supported by [insert name(s) of other Authority(s) who have been involved in joint investigation] ............

The Crown Prosecution Service (CPS) / Police [delete as appropriate] has determined that, at this stage, there is insufficient evidence to support prosecution of an individual or an entity for Manslaughter. [Note – optional - The inquest has been held and a ............ verdict returned, or the inquest has not yet been held]. [Amend / Delete accordingly].

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The investigation will now be led by the [insert name of Authority assuming primacy] ............ and will continue to be supported by [insert names of Authorities who will continue involvement in joint investigation] ............[Note – Insert here any specific arrangements agreed, in particular for the issues listed in paragraph 3.3. of the WRDP e.g. ………… “Police will retain responsibility for family liaison”].

In accordance with the Practical Guide, material relevant to the investigation (witness statements, documents and other items) listed in schedules 1 and 2 has been handed to [insert name of Authority assuming primacy] ............, who will retain it and be responsible for its secure storage. Material listed in schedule 3 has been retained by [insert name of Authority passing primacy] ............ for the reasons specified however full access to the material can be obtained by communicating with the contact provided.

Schedule 4 lists material which is considered sensitive and may be subject to public interest immunity and has therefore been retained by the [insert name of relevant Authority] ............ In the event of any criminal proceedings being brought, the [insert name of Authority assuming primacy] ............ will be responsible for disclosure and will liaise with the Authority retaining the material to discuss disclosure.

Material that is handed over is done for the sole purpose of enabling the [insert name of Authority assuming primacy] ............ to perform its statutory duties and for no other purpose. The [insert name of Authority assuming primacy] ............ undertakes to respond to any notices from the Information Commissioner that impose requirements to cease or change the way in which personal data is processed, and deal with subject access requests in compliance with the relevant legislation.

The [insert name of Authority assuming primacy] ............ will, in accordance with section 4: Changes of Primacy and Investigation Handover of the Practical Guide, pass any relevant new information to [insert name of relevant Police Authority] .........,.. who will then consider whether to assume/resume [delete accordingly] primacy for the investigation.

Signed by       Date:      

Position      

Name of Authority passing primacy      

Signed by       Date:      

Position      

Name of Authority assuming primacy      

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Work Related Deaths ProtocolHandover Document 2: Handover of Material following Initial Enquiries

(Use when Initial Enquiries only have been carried out by Lead Authority)

This document, relates to the initial enquiries carried out by [insert name of relevant Authority] ............ into the death of [insert name of deceased] ............ on the [insert date] ............ at [insert location] ............

Initial enquiries only have been carried out by [insert name of relevant Authority] ............

[Insert name of Authority assuming primacy] ............ has now / is now assuming primacy for the investigation and will continue to be supported by [insert names of Authorities who will be involved in any joint investigation] ............

[Note – Insert here any specific arrangements agreed, in particular for the issues listed in paragraph 3.3. of the WRDP] e.g. ………… Police will retain responsibility for family liaison.

Material relevant to the investigation (witness statements, documents and other items) listed in schedules 1 and 2 has been handed to [insert name of Authority Assuming primacy] .......,…. who will retain it and be responsible for its secure storage. Material listed in schedule 3 has been retained by [insert name of Authority who carried out initial inquiries] ............ for the reasons specified however full access to the material can be obtained by communicating with the contact provided.

Material which is considered sensitive and may be subject to public interest immunity as listed in schedule 4 has been retained by the [insert name of Authority who carried out initial inquiries]

The [insert name of Authority assuming primacy] ............ will be responsible for disclosure in the event of any criminal proceedings being brought. Where material has been retained by an Authority because it may be subject to public interest immunity, the [insert name of Authority assuming primacy] ............ will liaise with that Authority to discuss how to deal with disclosure of that material.

Material that is handed over is done for the sole purpose of enabling the [insert name of Authority assuming primacy] ............ to perform its statutory duties and for no other purpose. The [insert name of Authority assuming primacy] ............ undertakes to respond to any notices from the Information Commissioner that impose requirements to cease or change the way in which personal data is processed, and deal with subject access requests in compliance with the relevant legislation.

The [insert name of Authority assuming primacy] ............ will, in accordance with the Practical Guide, pass any relevant new information to [insert name of relevant Police Authority] ............ who will then consider whether to assume primacy for the investigation.

Signed by       Date:      

Position      

Name of Authority passing primacy      

Signed by       Date:      

Position      

Name of Authority assuming primacy      

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Schedules:-

Schedule 1: Witness Statements handed to [insert name of Authority assuming primacy] ............

Schedule 2: Other Relevant Material handed to [insert name of Authority assuming primacy] ............ Schedule 3: Material retained by [insert name of Authority passing primacy] ............ for reason other than

Public Interest Immunity

Schedule 4: Material retained by the Police for Public Interest Immunity (PII) ............

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Investigation into the death of [INSERT NAME OF DECEASED] ............

Schedule 1: Witness Statements

List all Witness Statements and state whether original statements, copies or tape

ItemNo.

Name Date Original / Copy (O/C)

Written /Typed (W/T)

Tape / CD Already passed to other

Authority (Y/N)

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Investigation into the death of [INSERT NAME OF DECEASED] ............

Schedule 2: Other Relevant Material

List Material.

ItemNo.

Description Exhibit No.(where applicable)

Produced by Already passed to other Authority

(Y/N)

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Investigation into the death of [INSERT NAME OF DECEASED] ............

Schedule 3: Schedule of Relevant Material retained by [INSERT NAME OF AUTHORITY PASSING PRIMACY] ............ for reason other than Public Interest Immunity

List and given reason for retention (e.g. secure storage)ItemNo.

Description Reason for retention(e.g. secure storage)

Place of retention

Contact Details for Material Access

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Investigation into the death of [INSERT NAME OF DECEASED] ............

Schedule 4: Material retained by the Police for Public Interest Immunity (PII)

List and give reason for retention.

Description Reason for retention Place of retention

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