Summary

This OM makes explicit HSE's policy on how and when HSE inspectors should make contact with bereaved families.  This OM should be read in conjunction with:

i)  HSE’s policy on Working with victims,
ii)  OM 2003/106, which gives guidance on taking account of the views of victims,
iii)  OC 130/12, which gives guidance on how and when to take victim personal statements,
iv)  Supporting staff who may be or have been exposed to traumatic events.

HSE's Policy on Contact with Bereaved Families

1  HSE’s policy on Working with victims is encapsulated in HSE’s Victim Policy Statement.  It is HSE’s policy to inform, advise and support bereaved families and to be sensitive to the family’s personal circumstances and requirements.  Inspectors will provide the family with timely information and advice about the conduct of the investigation and, in England and Wales, any subsequent legal proceedings. In Scotland the Procurator Fiscal is responsible for maintaining contact with the bereaved family once they have received the investigators report(s).

2  The information pack Advice and Information for Bereaved Families provides the family with details of how the HSE investigation will proceed, the support services that they may find helpful and the legal processes that are likely to follow. The information pack should be provided to the family at the earliest opportunity. A separate pack is available for Scotland.

3  So the bereaved family are engaged properly, it is essential that inspectors proactively contact the family and wherever possible, offer to visit them, when the family are ready. This initial visit should be as soon as practicable after the beginning of the investigation. In all cases, whether there is a face-to-face meeting with the family or not, it is essential that inspectors explain our role and responsibilities and issue the bereaved families pack to them. In addition, as the investigation progresses, the inspector should proactively keep the relatives informed of the progress and outcome of the investigation.

4  HSE is committed to being as open as possible in providing families with details about the progress of an investigation whilst complying with the statutory bounds of disclosure and without prejudicing any subsequent legal proceedings.

Roles and responsibilities

5  Inspectors should be familiar with HSE’s safety policy and any relevant safety policy supplements prior to planning any visits to home addresses.

6  The responsibilities of the Principal Inspector (PI) are listed in paras 7 & 8 below. The PI may delegate these responsibilities to another HSE inspector, such as a Head of Operations, another PI or if appropriate, an experienced Band 3. However, the PI must satisfy themselves that the person they delegate to understands the nature and extent of the responsibilities they are being delegated.

7  The Principal Inspector of the operational team who will investigate the fatal accident is responsible for:

1. Ensuring early contact is made with the family and an offer to visit is made, wherever possible.
2. Identifying if the police have appointed a family liaison officer (FLO) and if so reaching agreement over who has what responsibilities for communicating with the family.
3. Visiting the family as soon as the family feel they are ready (wherever possible), to:
   • explain our role and responsibilities;
   • issue the information pack  and explain its contents to them
   • provide our contact details;
   • seek to agree with the family the lead contact person (or exceptionally, persons) we should communicate with and establish their preferred contact route;
   • discuss and ideally agree how future communication arrangements will operate and the anticipated frequency; 
   • ask the family if they have any information that may be relevant to the investigation; and
   • although not essential, it is good practice and likely to be helpful to the family to confirm in writing what has been discussed and agreed.
4. Where a visit is not practical, or the family decline, send a personalised letter and enclose the information pack.
5. Ensuring the follow up communication occurs, including updating the family and communicating the outcome of the investigation.
6. In Scotland, the family should be told at the initial visit the constraints that limit the information we can provide at the conclusion of our investigation. It is quite likely they will conclude there is no value in meeting us again when they understand we will be able to tell them no more; that our investigation is complete; and we have sent a report to the Procurator Fiscal.

8  Generally, the Principal Inspector will make the initial visit to meet the bereaved relatives, together with the lead investigating inspector. The initial visit, whether at the family home, in the office, or at another mutually acceptable location should not be undertaken alone, the normal expectation is that there should be 2 HSE staff present (or a suitable substitute such as the FLO). 

9  The objectives of sending 2 people are both personal and operational. In addition to corroboration, there is an opportunity to provide mutual support in difficult and demanding circumstances and it may be easier to discuss feelings and emotions with a colleague who has shared the same experience.  It is important to be mindful that you are stepping into an emotionally difficult situation where you may not be in control of the environment or the number of relatives who attend.  Supporting staff who may be or have been exposed to traumatic events contains advice on support arrangements for staff.

10  If subsequent visits are necessary, it is the Principal Inspector’s decision whether they or the investigating inspector lead.  It may be appropriate for the visit to be undertaken alone, subject to the lone working safety policy and following a risk assessment made by the visiting officer in conjunction with their line manager.  However, where there is to be no prosecution, the PI should generally lead the visit to inform the family of the outcome of the HSE investigation, accompanied by the investigating inspector.

The Family

11  The inspector should appreciate the potential diversity of the family. The term should include partners (including same sex partners), siblings, children, guardians and others who have a direct and close relationship with the deceased. This may include situations where the family has become extended or split in some way. Inspectors need to be sensitive to this and seek the advice of others such as the coroner’s officer, or the police FLO.

12  More than one initial contact may be needed on some occasions, for example if the family has become extended. However, inspectors should try to arrange for a single point of contact whenever possible.  Inspectors are not expected to pursue beyond next of kin unless other direct relationships become known (e.g. a child from a previous relationship where there was regular contact) or are requested. This point of contact may change or the approach may need to be adapted as the investigation progresses.

13  If a number of families are involved, following a multiple fatality, consider with great care meeting all the families together. The families may even themselves suggest that this is the best solution (for example where families are located at some distance from the investigation). However, experience suggests that certain less-confident families or family members can lose out and do not find the experience helpful.

14  Cultural diversity issues may be relevant. Don’t make assumptions. An example quoted from another enforcing authority illustrates the importance of this, the officer assumed that the person spoke Urdu when in fact they spoke Hindu, this would have caused great offence had he proceeded under this misconception.

15  If the family need a translation service then this should be arranged through the Information Management Unit Translating and Interpreting Services.  It is very important that accurate information is obtained of the needs and services required.  For example, if translation is required it is important to be clear which language is needed for written and verbal communication; it is not uncommon for them to be different. 

16  If any of the family is involved as a potential defendant then inspectors should plan their contact carefully in discussion with their line manager.  If required, contact the Solicitor's Office for advice on legal issues which may arise from contact in such circumstances.  In these circumstances the lead investigating inspector should not be the primary contact point for the bereaved family, the PI should appoint another inspector to this role.

Family contact when the Police are involved

17  The protocol for liaison on work-related deaths, agreed between HSE, ACPO, BTP, LGA and CPS, indicates that the police are likely to take the initial lead on an investigation, although HSE may be involved in a joint, or parallel, investigation at this stage. The working arrangements will be agreed with the police in each individual case.

18  Coroners Officers, the Procurator Fiscal or where appointed by the police, a FLO are also likely to have an early involvement with the family.  Even if the police take the lead in a joint investigation, inspectors should still offer to meet the family (to advise them that it is a joint investigation and provide them with the letter and pack).  The police should be advised of this intention and ideally a joint visit arranged with the FLO.  Where it is not possible for the inspector to visit the family the FLO should be provided with a written brief.

19  It is important that we discuss our policy with the police and particularly with the FLO, if one has been appointed.  Responsibilities for communicating with the family should be agreed, so that all concerned are clear about who will provide information and what that information will be.  The letter to the family should be prepared accordingly to reflect our role within the investigation.  We should advise the family of any changes, for instance if the police withdraw from the investigation.

Meeting the family

20  The initial contact with the family may either be by phone or letter. The inspector should seek advice on how to contact the family from the police (FLO or coroner’s officer) or even the dutyholder involved (if appropriate). Wherever possible, an offer to meet the family should be made as part of the initial contact.

21  The practicality of meeting relatives in person will depend on the distances and difficulties involved. If these are considerable (e.g. they live abroad, or an overnight stay is required) then the inspector should still offer to meet them if the relatives intend to visit the area.  The offer to visit should indicate that this would be done as soon as the family feel that they are ready. If this offer is declined or the logistical difficulties of visiting the next of kin are significant then inspectors should ensure that a letter and a copy of the Information Pack (see para 32) is sent and an offer is made to keep them informed of progress by phone.

22  Experience has shown longer-term advantages in meeting the family early. It demonstrates our commitment to them, it provides the family and relatives with a contact name and face, and a better understanding of our role, responsibilities, and the purpose and the scope of our investigations.

23  Good practice on face-to-face contacts with the family and the conduct of this (or any subsequent) meeting is contained in Appendix 1. If possible, inspectors should try to ensure that there is another relative or friend nominated by the relative present as experience has shown that this is often of great benefit to the bereaved person. 

24  The family may ask inspectors if they can arrange for a visit to the location of the accident. Inspectors should contact the dutyholders involved, and explain to the family that we will pass on their request. If the police are still leading the investigation the request should be passed to them and the reason explained to the family.

25  HSE staff should keep records of all meetings in their notebooks, as it helps continuity if the lead inspector moves on.  Such notes have proved very useful when investigating any subsequent complaints.

Keeping the family informed

26  In England and Wales, the key points during the investigation when contact should always be made with the family are:

• the initial visit;
• before the inquest, to ensure the family know the date and are briefed on what is likely to happen at the inquest;
• soon after the inquest to tell the family of the investigation outcome and HSE enforcement recommendation: generally, where the contact is in person, it will be the PI who leads, accompanied by the lead investigating inspector;
• when summonses have been served to inform the family who has been charged and of what offences;
• before legal proceedings - to inform the family of the hearing date and invite the family to make a Victim Personal Statement; and
• at the final court hearing or in writing soon afterwards.

In addition, it may be necessary to contact the family to update or explain delays during the investigation. The frequency and method of communication should be discussed and agreed with the family at the initial visit.

27  In Scotland it is recognised that the situation is very different and most of the stages above will not apply. Once the HSE report is submitted to the Procurator Fiscal, HSE will not be involved in the prosecution decision, or process, except as witnesses or assisting the Fiscal with further enquiries. Accordingly, further contact with the family will not be appropriate once we have sent our report to the Fiscal until any case is completed. The Fiscal, directly or using Victim Information & Advice (VIA) which is part of the Fiscal Service, is responsible for liaising with the family once they have received the investigation reports. This should be explained to the family.

28  A flow chart at Appendix 2 illustrates the contacts during one investigation.

Relevant legal & enforcement issues

29  It may be appropriate to explain the reasons why HSE does not provide witness statements (for further information on the legal reasons for this see Appendix 3).  If the family or their representative contact us and makes such a request during our investigation, then this correspondence should be passed to the principal inspector or the investigating inspector so they can decide how this should be dealt with.

30  Where prosecution is being considered, the family should be advised that a potential prosecution would have to meet both the evidential and public interest tests in the CPS code, or their Scottish equivalents the COPFS Prosecution Code.  When considering the public interest test, the consequences for the family, of the decision whether or not to prosecute, and any views expressed by the family should be taken into account (see OM 2003/106 Taking Account of the Views of Victims). These factors should be noted and included in the investigation report.

31  Where prosecution (or a Report to the Fiscal) is being considered, inspectors should ensure that the defendant is informed of that decision before the bereaved family. In England and Wales, if there is to be a prosecution, the family should be informed of the date and place of the prosecution.  Inspectors should be considerate to the needs of the family if legal proceedings are involved, examples of typical issues are contained within Appendix 1

HSE Information pack

32  The HSE Information Pack Advice and information for Bereaved Families contains the following material produced either by HSE or other Government departments.

• HSE booklet - Advice and Information for bereaved families
• HSE/CPS/ACPO/LGA/BTP booklet  - Work-related deaths - a protocol for liaison
• HSC leaflet - Enforcement policy statement
• Home Office leaflet - Coping with grief when someone close has been killed
• Home Office leaflet - When sudden death occurs, or in Scotland, the Crown Office and Procurator Fiscal Service leaflet - Advice for bereaved relatives: the role of the Procurator Fiscal in inquiries into sudden death
• DWP booklet - What to do after a death in England and Wales (or Scotland version)

33  If the information pack is being provided by post, the Principal Inspector should send a personalised letter with it. It is not appropriate to provide a standard letter but the letter should be easily understood and if appropriate translated (see para 15), it should contain:

• an offer to meet when they wish;
• the Information Pack, specifically drawing attention to the HSE Advice and Information booklet which outlines what they can expect from our investigation and provides a list of sources of help and information; and
• an indication of our willingness to listen to the family’s concerns over any aspects of our investigation. 

34  The HSE leaflet Advice and Information for bereaved families has the following reference numbers:

• MISC199 for England and Wales;
• MISC199(W) is the Welsh language version; and
• MISC200 for Scotland.

35  Information packs and can be obtained from your Divisional admin team.

Training for Staff

36  See  HSE'S Policy on supporting and training staff who may be or have been exposed to traumatic events,

37  As part of their Early Years Training, all inspectors receive training on communication, influencing and dealing with people.  In addition, there are 2 courses that cover aspects of dealing with bereaved families in more detail:

• Working with Others: designed for Band 3 inspectors who will investigate fatal accidents.
• Dealing with Bereaved Families: designed primarily for Band 2 inspectors who have responsibility for and will take the lead during visits to the bereaved family but appropriate for experienced Band 3 inspectors who will be delegated this role.

38  All comments on the approach set out in this OM should be sent to Ann Peatfield, FOD Operational Strategy.

Cancellation of instructions

39  OM 2002/105 and OM 2003/105 – cancel and destroy

Appendix 1 - Practical guidance when contacting the family

Making contact

The introduction is vital. The family may not have had any previous knowledge or involvement with HSE.  In addition, they may well have met many other ‘officials’ in the early days after the bereavement, and they may be confused as to who does what.  The introduction should therefore include a clear purpose, plainly and clearly explained.

When speaking to a bereaved family refer to the victim by their proper name (e.g. Mr, Mrs, your husband, son, daughter etc) and not by the word ‘deceased’ as this may cause unnecessary upset. The family should be told that our primary purpose is to establish why the incident happened etc. They should not be given any unrealistic expectations of our investigation.  Encourage them to have a friend or another relative present at the meeting.

Helpful statements will often begin with ‘What I am able to offer you is ....’ (a point of contact).  This could be extended with statements such as ‘What I can provide you with is up-to-date information’.

It is important that the family appreciate that our time is not limitless, and it is both professional and courteous to say how long you consider you will stay on each visit when arranging the meeting.

Refer to the pack of information, as studies show that people only retain 10% of verbal information, particularly when they are upset. Reference to the useful contacts may assist prior to departure.

It is also useful to recognise that the information bereaved people want may change over time. For example, someone who is unable to face any communication with HSE investigators in the immediate aftermath may wish to know the details at a period of time afterwards and some flexibility in timing may be required.

It is not unusual for families to wish to know the very specific details of how a person died, where the person was found, who found them, what the exact sequence of events was, the actual cause of death. Inspectors should be able to deal with this sensitively and give as much information as the family is able to cope with, if this is what they request.  This also saves the family from finding out for the first time in a public forum exactly how their relative died. 

Where the family request or where the inspector believes it would help the family to see photographs, particular care is needed. The photographs should be carefully selected so the family is not unnecessarily distressed or overwhelmed with volume. The family should be told in advance that photographs are available to view if they wish. Where the family indicate they are interested in seeing them, they should be told what each photographs shows so they can decide whether they actually wish to look at them.  The inspector may wish to offer to step outside the room so the family has some privacy to look at the photographs alone.

Where the investigation is subject to long delays, it is very important that these are explained as fully as possible as otherwise families can be left with the impression that nothing is happening and that no-one is interested in the circumstances of their relative’s death.

Inspectors should not promise the family there will be prosecutions, even informally or ‘off the record’ until the formal decision is made.  If expectations are raised, it can be devastating if the promised event does not materialise or happens differently to their expectation.

The whole experience of court can be very difficult for the family. If necessary, inspectors may advise the family on court procedures, where the family may sit etc and where possible the inspector or any other appropriate HSE representative should make personal contact at the court or inquest. Experience has also shown that both counsel and the family may benefit from meeting at or before the hearing.

One aspect that bereaved families often find very distressing is a late adjournment, and it may be helpful to explain in advance that this is a real possibility. Also, where charges against the dutyholder are dropped, the family may want to know why.

Exit strategies

When the investigation is complete and or personal direct contact with the family is over, (other than any legal proceedings, which will be communicated primarily by phone) it is important that inspectors plan how they will effectively conclude their ‘relationship’ with the family. This may be by meeting them and if so, this meeting should be properly planned taking into account the following:

• think about the people you are dealing with and how they have reacted so far;
• refer back to the first meeting;
• summarise what has been done;
• allow them the opportunity to ask questions;
• have sources for referrals/other organisations who can help;
• do not go on beyond the time frame previously  set - unless it is absolutely unavoidable;
• ensure that once this has been completed you LEAVE.

Appendix 2 – Flowchart of the contacts during one investigation

This flow chart reflects over time the number and range of contacts made with the family after the death. This will vary significantly.

Appendix 3 - Disclosure of information

As a general principle, inspectors, when faced with requests for information from the bereaved family, should be as open as possible in providing information to them. However, while it is perfectly proper to give details about the progress of an investigation, they must take care not to disclose investigation material, for example witness statements or records of interview. 

It is appropriate to provide, if requested, copies of any documents in the public domain such as copies of any guidance notes.  Inspectors should also be aware of the requirements of the Data Protection Act (see GAP 37). Inspectors should contact Solicitors Office, for further information on disclosure, on a case-by-case basis, if they require further advice beyond this OM. Apart from the restrictions on disclosure imposed by HSW Act s.28, there are general principles of law which apply governing the disclosure of such material to third parties.

First, it is not usual to disclose material until any criminal proceedings have been completed. The leading case in this area is Conway v Rimmer [1968] 1 AER 874, in which Lord Reid said (at page 889):

There are a number of subsequent cases which support this principle.

More recently, the Human Rights Act 1998 has had an impact on the common law. HSE as a public authority has a duty to act in accordance with Convention Rights. Individuals have rights, under Article 6, to a fair trial, and the presumption of innocence and, under Article 8, to respect for their family life and correspondence etc. ‘Suspects’ are entitled to have their guilt or innocence established in a criminal trial, and those who are not prosecuted or acquitted are entitled to the presumption of innocence. This would be undermined if HSE released evidence that allowed people to determine why the person was suspected in the first place or cast doubt on their innocence.

It is also recognised that there is a public interest in ensuring that witnesses feel free to come forward to give statements to investigators without fear that such statements will be used for other purposes (see, for example, Taylor v SFO [1997] EWCA Civ 2163). To do otherwise may put off witnesses from coming forward which would be detrimental to the criminal justice system as a whole. For this reason it is not usual to disclose witness statements to third parties even after proceedings have been completed, except with the consent of the witness or following a court order.

Lastly there is a possibility of prejudice which may occur from pre-trial disclosure to third parties. Any pre-trial meetings at which witnesses are present could generate potentially prejudicial material. HSE has to comply with its duty in relation to the disclosure of unused material in accordance with the Criminal Procedure and Investigations Act and the Attorney General’s Guidelines on Disclosure. Any meetings at which witnesses are present creates material which must be recorded and retained, and which is potentially disclosable to the defence in any subsequent prosecution.