Guidance for staff when preparing statements and attending court hearings
Version number 2
Effective date / September 2016
Category / Adults – General
Summary / This document outlines the Adult Services policy in respect of court appearances and report and statement writing for staff required to attend court and/or provide statements or other documentation
Keywords / Inquests, court hearings, claims, coroners
Approved by / Care Governance Board
Date Approved / 22/03/2016
Procedures cancelled or amended / Guidelines for staff writing witness statements or giving evidence in court 30/09
Author / Jo Lappin, Head of Safeguarding and Governance, Adult Services
Sponsor / Graham Allen, Interim Director of Adult Services
Contact / Jo Lappin, Head of Safeguarding and Governance
Signed
Designation
Date
Purpose
The purpose of this procedure is to offer general guidance to all Hampshire County Council Adult Services staff who may be approached to provide statements and/or reports and give evidence in court.
This is in addition to information available via the County Council’s Legal Services.
Scope
This procedure covers all permanent, temporary and agency staff employed by Hampshire Adult Services.
References to legal, central government and other external documents, including research
Coroners and Justice Act 2009
Coroners (Inquest) Regulations 2013
Data Protection Act 1998
Care Act 2014
Court of Protection Rules 2007
Civil Procedure Rules
Hampshire County Council and Adult Services Department references
Serious Incident Policy 10/15
Duty of Candour Policy 07/15
Subject Access Request Procedure
Relevant Human Resources Policies
Information from Hampshire County Council Chief Executive’s Office Legal Services department:
http://intranet.hants.gov.uk/legalservices/legal-selfservice/chiefexecs-legal-witness-guidelines.htm
Authority to vary the procedure
Care Governance Board
Contents
Section / Subject / PageIntroduction / 4
1 / General guidance / 6
Writing witness statements / 6
Appearances in court / 7
Disclosing information in respect of court proceedings / 8
Support to staff / 9
Media interest / 10
2 / Specific courts and hearings / 11
Inquests / 11
Criminal investigations / 14
Civil claims / 16
Employment tribunals / 17
Professional conduct hearings / 18
Court of Protection hearings / 19
Mental Health Tribunals / 21
Appendix 1- Report Template for Inquests / 22
Appendix 2 – Court of Protection documentation / 23
Appendix 3 – Mental Health Tribunal documentation / 24
Appendix 4 – Template for criminal statements / 25
Appendix 5 - Template for civil statements / 26
Introduction
Staff may be approached to provide statements and/or reports or be asked to appear in court to give evidence as a witness in a professional capacity. This document aims to provide information and guide staff and managers in relation to the process. The document is divided into two sections. The first covers guidance relevant to all courts and hearings. The second provides information specific to particular courts or hearings.
Staff may be asked informally or required by a court order to provide information, produce documents or attend any of the following courts, tribunals or hearings. Where a member of staff receives an informal request they should discuss the request with their line manager.
Some of the reasons you might be asked:
· Coroners court in respect of an inquest in relation to a deceased service user
· Magistrates or Crown Court in respect of criminal hearings and trials
· County Court or High Court in respect of civil claims. The County Council could be bringing a claim or it may be in respect of a claim brought against the County Council or the County Council could simply be the organisation with the relevant information for example as to what care services it would provide
· County court in respect of an application under Mental Health Act to displace a nearest relative
· Employment tribunals in respect of claims against the County Council as the employer
· Professional conduct hearings
· Court of Protection in respect of hearings in relation to people who lack capacity to make the relevant decision
· To attend Mental Health Act tribunals as report authors
While the member of staff will generally be attending court or a hearing as a witness in any of the situations above the role of the County Council in the proceedings varies. If the County Council is a party to the proceedings (such as where a claim is brought against the County Council or where the County Council is making the application) Hampshire Legal Services (HLS) are likely to be involved in preparing documents and the County Council represented in court by one of the County Council’s lawyers or Counsel.
Where the County Council is not a party to the proceedings such as a coroners inquest or a criminal trial where a service user is a victim or has been charged with an offence the County Council and therefore HLS are not directly involved. Managers with experience of attending court may be able to provide support and the Witness Service covering magistrates and Crown Courts in Hampshire can provide information in relation to the process for witnesses in criminal trials.
Where the case is complex or legal proceedings are anticipated consideration should be given as to whether to refer the matter to HLS.
HLS will be able to provide staff with some support in terms of process and requirements in cases where the Council is a party to the proceedings.
Section One – General Guidance
1. Writing witness statements
1.1 This section does not cover statements given to the Police in respect of a criminal investigation.
1.2 Witness statements are the main way that people give information to the court. Providing a witness statement may lead to attending court to give evidence in person. Where the County Council is a party to the proceedings HLS will be asking staff to write witness statements. A request to write a witness statement could also come from, for example, the coroner or a firm of solicitors acting for a service user, who is bringing proceedings against another party such as in a personal injury claim.
1.3 Statements must be given priority and prepared in a timely fashion and in accordance with court deadlines.
1.4 All statements must be shared in draft with the line manager.
1.5 Statements should usually include:
· Full name, work address and current job title
· Professional background and qualifications
· Outline of the basis for providing the statement
· Matters relevant to the case set out in a logical order
· The events set out in chronological order
· All statements should be in typed format.
1.6 Tips about statements and report writing:
· Make sure all dates reconcile
· Ensure the correct spelling throughout
· Include clear facts within direct knowledge
· Where matters of opinion are required as in Court of Protection proceedings they must be supported by relevant and up to date evidence and professionals should only provide opinion that is within their expertise
· All abbreviations explained e.g. Hampshire County Council (HCC)
· Free from jargon and terminology explained
· Assume the reader has no background knowledge
· Write in the first person
· Sign and date and keep a copy
2. Appearances in court
2.1 Staff who have provided a witness statement may (or may not) later be asked to appear in court and give further evidence about the content of their statement.
It is helpful to have the written statement available as this may be referred to in evidence giving.
2.2 Tips when giving evidence:
· Speak clearly and slowly
· Do not say more than is necessary and do not be tempted to talk to fill pauses
· Ensure familiarity with your statement and the records
· If you do not understand a question, say so
· ‘I do not know’ and ‘I cannot remember’ are appropriate responses where that is the reality of the situation
· Do not go beyond your area of expertise
2.3 Court etiquette
· Address the Coroner as ‘Sir’ or ‘Ma’am’
· Check in advance how to address the judge. This may be ‘Your Honour’ ‘Judge’ or ‘Sir/Madam’ depending on level of judge or magistrate
· All stand when the judge or coroner enters/leaves the room
· Witnesses are called when it is their turn to give evidence and are asked to swear on oath or affirm before giving evidence
· Press and public can be present throughout in some courts
· Dress should be smart and reflective of the formality of the occasion
· It should be remembered and respected that family members are likely to be distressed as difficult events are revisited particularly in a coroner’s court.
3. Disclosing information in respect of court proceedings
3.1 Requests for information intended to be used in court proceedings or other hearings are received in a number of ways and from different groups of people. The requests for information may relate to information held on a service user’s records or it may relate to information as to the County Council’s or Department’s processes. For example, what the County Council will fund or how a person’s contributions towards care costs are calculated. Disclosure of information from a service user’s records will need to take into account the purpose for which the information is held and whether the request relates to a different purpose. This may be particularly important where information is held for safeguarding purposes. Please see safeguarding section in this document.
3.2 On receipt of a court order requiring production of documents or provision of information a copy of the order must immediately be forwarded to HLS and to the Subject Access Request (SAR) team. Timescales in a court order must be complied with.
3.3 All other requests for information from a service user’s records must be referred to the SAR team.
3.4 The request will be considered by the SAR Team and copies of any service user records will only be released in line with the Data Protection Act and Subject Access Request Policy. The SAR Team will seek advice from HLS where required.
3.5 Requests for Information
3.6 Requests from the Police for information from a service user’s record must be made on form DP2. The Police must clearly identify the information they require. The Police should also identify whether it is appropriate for them to have sought the consent of the service user. The form needs to detail what information is being requested over which timeframe. The DP2 must be signed by an officer and a person or officer of a higher rank. The Adult Services SAR team will consider if the request is valid and appropriate and will seek advice from HLS if required.
3.7 Where a death or serious incident has been subject to internal investigation by Adult Services the coroner may request a copy of the Critical Incident Review. Critical Incident Reviews are managed by the Safeguarding and Governance team, under the direction of the Head of Safeguarding and Governance. Any requests to disclose investigation reports should therefore be agreed by the Head of Safeguarding and Governance.
4. Support to staff
4.1 It is appreciated that being involved in a serious incident and any subsequent investigation or inquest or attending court or tribunal for any reason can be difficult for staff. The manager of the staff member should agree what support is needed. This may involve support before the hearing, arranging for staff to be briefed on the process, and/or having legal representation available where appropriate or sitting in on another inquest or court hearing. Support in respect of writing statements should be sought from legal services as appropriate.
4.2 As a minimum, the member of staff should be accompanied to court by a colleague, their manager or area/locality/service manager. The line manager is responsible for giving support to staff directly involved in legal proceedings and for ensuring staff are appropriately supported in court. It may be appropriate to provide additional support or training as part of the preparations.
4.3 Where staff require additional support, Adult Services Workforce Development team will organise support to individuals to promote their own wellbeing and resilience at this time. This will be on an individual basisas the timing of the support is crucial to the individual and will draw on the expertise and experience within Hampshire County Council Adult Services and wider corporate departments.
4.4 Further advice can be found at:Legal system - Citizens Advice
4.5 Generic court skills training will be offered to those staff who are most likely due to their role to appear or provide evidence to varying court proceeding. This will be part of the core Adult Services Workforce Development departmental training pathway.
4.6 Where attendance in court is work related, travel expenses will be paid. Where the County Council is party to the proceedings advice on legal matters is provided to staff by HLS. Magistrates and Crown Courts in Hampshire offer a witness service in respect of criminal cases and can advise on process and practical matters.
4.7 The HR team are available for support and advice for employment tribunals and professional conduct hearings.
4.8 Hampshire County Council’s staff counselling service is provided by Health Assured and they can be contacted on 0800 030 5182 or 0161 836 9498.
5. Media interest
5.1 Court cases often attract the attention of the media, both print and broadcast. Staff should not talk directly to either or provide information. This should be co-ordinated by the Communications Team.
5.2 Any approach by the media should be referred to
Section 2 – Specific courts and hearings
1. Inquests
1.1 Not all deaths are reported to or investigated by a coroner. In many cases a GP or hospital doctor can certify the medical cause of death. However, if a doctor cannot give a satisfactory cause of death; if the death occurred during or shortly after an operation; if the death was due to industrial disease; if the death occurs in custody (a death while subject to an authorisation for deprivation of liberty is included in this category) or if the death was unnatural or due to violence or in other suspicious circumstances the coroner will be notified.