Operational partnerships - Adult Simple cautions SOP (O32a)

O32a Adult Simple Caution
Governing Policy
O32 Non Court Disposals

1. Summary of Changes

1.1 This Standard Operating Procedure (SOP) has been reviewed in December 2023 and has been revised in accordance with changes to the use of Out of Court Resolutions. The SOP details the exceptional use of a caution only. 

2. What this Procedure is About

2.1 This Standard Operating Procedure (SOP) is to give direction to staff as to the interpretation and application of the use of the Simple Caution and their restrictions. This SOP refers to adults only.

2.2. The Simple Caution should only be used by exception and a Conditional Caution must be used as the preferred outcome.

2.3. A Simple Caution is a statutory disposal for adult offenders. It may be used for cases involving first time, low level Domestic Abuse and Hate Crime offences where the public interest can be met by a Simple Caution.

2.4. The aims of the Simple Caution are:
• To deal quickly and effectively less serious offences where the public interest is met;
• To divert offenders where appropriate from appearing in the Criminal Courts;
• To reduce the likelihood of reoffending.

2.5. Decisions to issue Simple Cautions must be made in accordance with the Director of Public Prosecutions’ (DPPs) Guidance on Charging.

2.6. Police retain the authority to issue a Simple Caution in all cases other than indictable only offences, where a CPS decision is required along with Superintendent agreement. Where police decide to issue a caution authority must be obtained from an Inspector within Athena.

Compliance with this SOP and any governing policy is mandatory.

3. Detail the Procedure
3.1 To determine if a Simple Caution is appropriate, the following must be considered:
• A Conditional Caution cannot be used for the offence
• The Simple Caution is appropriate to the offence
• The Simple Caution is likely to be effective in the circumstances?
• Do I need CPS approval to offer a Simple Caution?

3.2 At the decision making stage officers must consider the following:
3.2.1. Offence
Based on the circumstances of the offence it must be in the public interest to offer a Simple Caution. A caution should be considered for low level and first time offences where it is not appropriate to use a Conditional Caution and is likely to be effective in the circumstances.

• Domestic abuse
  A Conditional Caution cannot be used for any Domestic Abuse related offence. ACPO guidance emphasises that there should be an effective and proactive investigation completed in all cases where a domestic abuse incident is reported. There should be a proactive approach to the prosecution of cases of domestic abuse, considering the evidential and public interest tests, even if the victim does not want to support the prosecution. Where a charge or summons cannot be secured a Caution should be considered preferable to no further action as this can assist the victim in any future civil proceedings.
• Hate Crime
  A Conditional Caution cannot be used for any Hate Crime related offence. All reports of Hate Crime must be proactively investigated and a Caution should only be considered preferable to prosecution if there is no harm caused to the victim and the offence is low level.
• Harassment
  If a Caution is administered for harassment officers should be aware that it renders all evidence from the course of conduct as inadmissible for future investigations or proceedings. As a restraining order can only be ordered by a Court the victim would need to seek any protection orders from a civil court.
• Multiple offences
  Each offender should be considered individually and differing disposals may be appropriate. Where multiple related offences are considered, the decision to issue a Simple Caution or prosecute should be based on the most serious offence. It is possible to use mixed disposals when an offender has committed multiple but unrelated offences as part of the same incident.

3.2.2. Evidential standard
There must be sufficient evidence for a realistic prospect of conviction and to meet the Full Code Test as outlined in the DPPs guidance.

3.2.3. Public Interest
It must be in the public interest to offer a Simple Caution rather than prosecute, in accordance with the principles set out in the Code for Crown Prosecutors.

3.2.4. Offender
Must be 18 years or over, willing to accept a Simple Caution, having not raised a defence to the offence and any previous offending history assessed.

3.2.5. Admission
The offender must admit to committing the offence. The admission must be recorded in a PACE compliant manner, including:
• Record of interview;
• Record of admission in ePNB;
• Statement made by suspect whilst in police detention (under caution) and signed by the suspect (this could be recorded in the custody record);
• Contemporaneous interview under caution.

3.2.6. Consent
The offender must explicitly consent to accepting the Simple Caution prior to administration.

3.2.7. Offending history
Thorough checks should be made to avoid inappropriate use of a Caution. If the suspect has previously received a Caution, then a further Caution should not normally be considered. However, if there has been a sufficient time lapse (normally two years or more), the current offence is low level or unrelated and the disposal is considered a significant deterrent a Caution may be appropriate.

3.2.8. Victim
If a Caution is considered as the appropriate disposal, reasons should be explained to the victim and their views sought. The victim cannot insist the matter is disposed of in particular way and if the victim declines to support a prosecution it should not preclude the consideration of a Simple Caution.
Officers should be mindful that a Simple Caution removes the possibility of a criminal court awarding a Compensation Order in favour of the victim.

3.2.9. Implications
Simple Cautions form part of an offender’s criminal record and may be disclosed in future proceedings or to an employer. If the Simple Caution is administered for certain sexual offences this will result in the offender becoming a ‘relevant’ offender for the purposes of notification and registration under the Sexual Offences Act, and the offender should be made aware of this fact.

3.2.10. The Gravity Matrix
The gravity matrix is a decision-making tool to assist in deciding whether an adult offender can be dealt with by way of an out of court disposal. The matrix is based on the offence and taking into consideration any aggravating or mitigating factors, as well as the harm the offender may have presented based on their offending history. The victim’s views should also be taken into account, when considering the appropriate disposal.
The matrix provides a score-based approach that indicates the appropriate outcome (4=charge to 1=Community Resolution). The matrix also identifies mitigating and aggravating factors to be considered and links direct to offence types.
The gravity matrix should always be referred too when considering the most appropriate outcome and this should be recorded on the investigation log as to how the gravity matrix score has been arrived at.

3.3 Administering a Simple Caution

3.3.1. The officer must complete the Caution on Athena, a case will be needed to administer the Caution. The authority for the Caution by an Inspector must be recorded (full guidance is available on the Athena Gateway). Please note if it is an indictable offence the decision maker must be the rank of Superintendent and then referred to the CPS for advice, via pre-charge advice.

3.3.2. Inspectors must follow the Athena guidance on authorising cautions.

3.3.3. The Caution must be administered by someone who has the relevant Athena custody access, at a police site and is the rank of sergeant or above.

3.3.4. The administering officer must check that the Caution has been agreed. When the Simple Caution is being administered the offender should sign a form accepting the terms and conditions of the Caution, and should be given a copy of the Caution pro-forma to take away.

3.3.5. The officer should then ensure the following:
• Signed Caution paperwork is uploaded to Athena Document Management;
• Arrest summons report is completed;
• Investigation is linked/submission completed;
• Outstanding bail cancelled;
• Complete a case task to CVJU Finalisations.

3.3.6. The CVJU team will then finalise the case on Athena, checking:
• The investigation has been updated;
• The A/S has been complete and the sanction is showing on PNC.

4. Equality Impact Assessment
4.1. An Equality Impact Assessment has been carried out and shows the proposals in this procedure would have no potential or actual differentiate impact on grounds or race, ethnicity, nationality, gender, transgender, disability, age, religion or belief or sexual orientation.

5. Risk Assessment
5.1. This SOP has been assessed as medium risk.

6. Consultation
o Investigation Management Unit
o Finance
o Human Resources
o IT Security
o Estates
o Equality and Diversity Co-ordinator
o Health and Safety
o Legal
o Freedom of Information

7. Monitoring and Review

7.1. Monitoring and review of SOP will be completed by Strategic Criminal Justice Department, Central Investigations. Regular reviews will be completed, considering recommendations from the force out of court disposals Scrutiny Panel (held quarterly) and as required in response to changes to legislation and/or national guidance.

7.2. This SOP will be reviewed every two years with the next review scheduled for December 2025.

8. Other Source Documents
o Adult Gravity Matrix
o Director of Public Prosecutions Guidance on Charging
o The Code for Crown Prosecutors
o Simple Cautions for Adult Offenders (Ministry of Justice Guidance)

9. Security
9.1. Kent Police have measures in place to protect the security of your data in accordance with our Information Management Policy (Policy W1000 – Information Management).

10. Retention and Disposal of Records
10.1. Kent Police will hold data in accordance with our Records Review, Retention and Disposal Policy (Policy W1012 – Records Review, Retention and Disposal).