Health and Safety
Executive / Commission
Enforcement Guide (Scotland)
Whilst a site visit may be helpful, it is not always essential because the description of the scene given by the investigating inspector or other witnesses will usually be supported by photographs which can be used in court. The expert can base his/her report on this evidence.
A site visit by an expert may be appropriate in order to examine the scene of an incident (where the condition of the site, or something at the site, is in issue), remove samples, take photographs or assess whether any further tests need to be undertaken. This should be agreed with the person managing the investigation. The expert should bear in mind that if s/he carries out a site inspection, s/he may be called upon at trial to give evidence of fact as well as his/her expert opinion. This might affect the procedure in court.
A list of matters to be dealt with on the site visit should be made in advance, all necessary equipment obtained and any required procedures agreed. At the workplace, all relevant matters should be noted, such as weather conditions, position of plant and equipment, measurements etc.
Where a complex, technical investigation on site could recover evidence that would provide the basis of an expert’s report (in the event that one is required), a specialist could form part of the investigation team. However, whether s/he should then give evidence as the expert in any subsequent prosecution would need is for the procurator fiscal to decide. Experts should generally maintain a professional distance from the investigation so as to preserve (and be able to demonstrate) their objectivity, but the ultimate decision as to the role of those attending site remains with the person managing the investigation.
Similar considerations will apply to the examination of a machine or other product on site for the purpose of a section 6 HSWA investigation. In gathering evidence from a supplier, it is permissible for an expert to visit the supplier on site, look at the machinery, see it in operation and ask questions about its operation and the guidance that is given. Having obtained that information, it is desirable that someone else gathers any further information and takes any statements, so as to avoid the expert becoming involved too closely in the ongoing investigation.
Section 20(2)(i) HSWA empowers an inspector to take possession of any article or substance found in any premises which appears to have caused, or to be likely to cause, danger to health or safety. Section 20(2)(g) enables an inspector to take samples of articles or substances and to take atmospheric samples.
Specialist equipment should, where necessary, have a certificate of calibration. Each item must be uniquely identified by a label and recorded. Suitable containers, packing, labels and seals should be used. The labels should state the premises of origin, a description of the sample, a number if there is more than one sample, the date, and your name and title.
When the sample has been taken, the suspect should, where practicable, be given part of the sample or otherwise informed that a prosecution may follow and invited to take their own sample. NB this is legally incorrect, the sample should be given to a responsible person on site who may not be the suspect, or connected to them – s.20 (6) HSWA.
If an item has to be irreversibly altered to obtain a sample or to allow a test to be made, both the person in charge of the investigation and the person who took possession of the article should be informed before the sampling or testing is undertaken.
If prosecution is a possibility, the investigating inspector should contact any potential defendants before the item is tested or irreversibly altered to give them an opportunity to be present at such tests. This ensures fairness in this element of the investigation and will also assist in preserving the continuity of evidence (see The chain of evidence below). Furthermore, persons who have any responsibility in relation to premises being investigated also have the right - at their request - to be present when any relevant article or substance is being examined, tested or analysed.
However, where an item is to be tested, the investigating inspector should, in each case, balance the need for fairness and continuity of evidence with the need to ensure that the presence of observers will not impede or inhibit the test. It may be appropriate, for example, to:
So far as possible, enough of the item should be retained to allow further independent tests if necessary. If this is not possible, all practicable steps should be taken to ensure that the results can be proved in court; for example, by videoing or photographing the test and retaining all notes and records of results. These matters should be noted in the expert/specialist’s notebook and included in his/her statement and/or report.
It is vital in all cases that real evidence (i.e. material objects) is preserved and the defence allowed to inspect it. If a test may destroy the evidence, the defence should be given an opportunity to attend the test (see above).
There should be an unbroken chain of evidence accounting for the safe-keeping and treatment of each piece of real evidence (including samples) from the moment it is collected or created, through all inspections and tests, to trial. A laboratory statement should indicate the labelling on samples as received, which must be sufficiently detailed to identify the sample uniquely. The statement from the laboratory can then tie in with a corresponding statement from the person who packed, labelled and dispatched the sample.
Whether any real evidence should be produced in court should be agreed with the procurator fiscal prior to trial . It may will still be possible to give evidence if it is not, provided there is admissible evidence to show that it has been properly attended to. The defence may seek production of the evidence at court by issuing a witness summons to require a person to attend and produce it. The defence may also apply to the court for an order permitting tests to be carried out. See also the section Preparing evidence for court for guidance on the continuity of evidence.
In general, where tests are carried out in a laboratory (e.g. HSL) or by other scientific means, an expert may give evidence of such work carried out by persons under his/her control or supervision. It is always open to the courts to be dissatisfied as to the arrangements in any particular case.
If an expert attends court, s/he should be able to understand and carry out those parts of the analysis that were performed by every person under his/her supervision. S/he should be in a position to vouch for the propriety of the procedure and to support the results which follow from it. If s/he is not in a position to do so, any person who actually carried out a test or analysis should also be called to give evidence. The expert may not tell the court what that second person told him/her simply because they are both experts (if, indeed, that second person is an expert rather than only a witness of fact).
Evidence of results which are dictated to an expert may usually only be given by him/her if s/he observed the result. S/he should therefore see the note of results and sign it in order to refresh his/her memory from it in court if necessary.
A defendant may request in writing a copy of, or an opportunity to inspect, the record of any "observation, test, calculation or other procedure" on which an expert’s finding or opinion is based.
In Scotland evidence does not have to be corroborated to be admissible. However, in criminal cases the essential, or crucial, facts that constitute the alleged offence require "full" or "legal" proof from two separate sources. Therefore evidence of sampling and analysis does not need to be corroborated to be admissible but, if the result of the sampling/analysis process is the only evidence of an essential fact, then the entire process of taking and analysing the sample must be corroborated by two witnesses.
Similarly expert opinion does not need to be corroborated to be admissible but if that opinion is relates to an essential fact then a corroborating expert witness may be required. The procurator fiscal will give guidance on this issue and indeed may retain an independent expert directly.
