Simple Cautions for
Adult Offenders
This guidance is effective from 13 April 2015
Contents
Contents ......................................................................................................... 2
SECTION ONE: INTRODUCTION .................................................................. 3
Aims of the simple caution scheme ................................................. 3
Overview of the simple caution scheme .......................................... 4
SECTION TWO: THE DECISION TO OFFER A SIMPLE CAUTION ............... 5
Admission of guilt ............................................................................ 6
The offence ..................................................................................... 7
The offender’s antecedents ........................................................... 10
The victim ...................................................................................... 13
Approving and recording the decision to offer a simple caution .... 14
SECTION THREE: ADMINISTERING A SIMPLE CAUTION ......................... 14
Overview ....................................................................................... 14
Explaining the implications of accepting a simple caution ............. 14
Consent to receiving a simple caution........................................... 16
Administering the simple caution .................................................. 16
SECTION FOUR: AFTER ADMINISTRATION .............................................. 19
Best practice ................................................................................. 20
Enquiries about this guidance ....................................................... 21
Annex A – Overview of decision-making factors ............................................ 21
Annex B – Specified either-way offences ...................................................... 23
Simple Cautions for Adult Offenders
3
SECTION ONE: INTRODUCTION
1. This document provides guidance to police officers and Crown
Prosecutors
1
in England and Wales (and information to the public) on
the use of simple cautions for adult offenders (“simple cautions”).
2. This guidance replaces all previous guidance on simple cautions
issued by the Ministry of Justice. It must be applied to all
decisions relating to simple cautions from the date it comes into
effect, regardless of when the offence was committed.
3. This guidance must be read in conjunction with the Director’s Guidance
on Charging issued by the Director of Public Prosecutions under section
37A of the Police and Criminal Evidence Act 1984
2
.
4. There is a range of formal out-of-court disposals available to the police
and the Crown Prosecution Service (“CPS”) for dealing with adult
offenders. A decision to administer a simple caution needs to be taken
in the context of all such disposals. Police officers and Crown
Prosecutors should refer to the national framework on out-of-court
disposals for assistance. This can be found at www.justice.gov.uk/out-
of-courtdisposals.
Aims of the simple caution scheme
5. The aims of the simple caution scheme are:
• To offer a proportionate response to low-level offending where the
offender has admitted the offence;
• To deliver swift, simple and effective justice that carries a deterrent
effect;
• To record an individual’s criminal conduct for possible reference in
future criminal proceedings or in criminal record or other similar
checks;
• To reduce the likelihood of re-offending;
• To increase the amount of time police officers spend dealing with
more serious crime and reduce the amount of time officers spend
completing paperwork and attending court, whilst simultaneously
reducing the burden on the courts.
1
This guidance does not apply to other bodies that have separate caution schemes, local
authorities for example, although they may follow it if they wish
2
The Director’s Guidance is available on the Crown Prosecution Service website at
http://www.cps.gov.uk/publications/directors_guidance/index.html
Simple Cautions for Adult Offenders
4
Overview of the simple caution scheme
6. A simple caution (once known as a formal or police caution) is a formal
warning that may be given by the police to persons aged 18 or over
who admit to committing an offence (“offenders”). The simple caution
scheme is designed to provide a means of dealing with low-level,
mainly first-time, offending without a prosecution. A simple caution may
only be given where specified criteria are met.
7. A simple caution should not be confused with a conditional caution (a
caution with conditions attached). Conditional cautions were introduced
by the Criminal Justice Act 2003. Guidance on the conditional caution
scheme is contained in the Code of Practice for Adult Conditional
Cautions and the Director’s Guidance on Adult Conditional Cautions.
8. Whether an offender is suitable for a simple caution is an operational
decision for the police and/or the CPS, based on the specific
circumstances of the individual case. Annex A provides an overview of
factors to consider when deciding whether a simple caution may be
appropriate.
9. A simple caution must not be offered to a person who has not admitted
to committing the offence, and must not be given to an offender who
does not agree to accept the simple caution. Offenders retain the right
to decline the offer of a simple caution – even where guilt has been
admitted and their refusal may result in prosecution.
10. In addition, a simple caution may only be given if the decision-maker is
satisfied that there is sufficient evidence to provide a realistic prospect
of conviction if the offender were to be prosecuted.
11. Furthermore, a simple caution must not be given if the decision-maker
considers that it is in the public interest for the offender to be
prosecuted. See paragraphs 27-29 for further guidance on applying the
Code for Crown Prosecutors when deciding whether to offer a simple
caution.
12. Even if the above criteria are met, section 17 of the Criminal
Justice and Courts Act 2015 prohibits certain offenders from
being given a simple caution in the absence of exceptional
circumstances (see paragraphs 35-39).
13. Simple cautions form part of an offender’s criminal record and may be
referred to in future legal proceedings and, in certain circumstances,
may be revealed as part of a criminal record check. Offenders must be
made aware of this before agreeing to accept a simple caution.
14. There is no formal right of appeal against the administration of a simple
caution once it has been accepted by the offender and administered by
the police. However, it may be challenged by way of a complaint
Simple Cautions for Adult Offenders
5
against the police force that administered it and by way of a claim for
judicial review.
SECTION TWO: THE DECISION TO OFFER A
SIMPLE CAUTION
Decision-making powers
Summary and either-way offences
15. The police may make the decision to offer a simple caution in relation
to any summary or either-way offence without reference to the CPS,
unless the Director’s Guidance on Charging requires the case to be
referred to the CPS for a charging decision. Where a case is referred to
the CPS for a charging decision, whether or not the police were
required to refer the case, the decision made by the CPS is binding on
the police. Where however the CPS decide that a simple caution
should be given but it proves not to be possible to do so for whatever
reason, including in particular where any requirement imposed under
section 17 of the Criminal Justice and Courts Act 2015 is not met, or
the offender refuses or fails to attend to be cautioned, they must
instead be charged with the offence.
16. Furthermore, as set out in the Director’s Guidance on Charging, the
police may in any case seek the advice of the CPS as to whether a
simple caution is appropriate. This can be done at any stage of the
investigation. The police are particularly encouraged to do so in
serious, sensitive and/or complex cases.
17. Where the police have charged a summary or either-way offence
without reference to the CPS, the Director’s Guidance on Charging
provides that if the CPS on reviewing the case decide that a simple
caution is more appropriate, the police must ensure that the offender is
given a simple caution.
Indictable-only offences
18. Section 17(2) of the Criminal Justice and Courts Act 2015
prohibits the police from giving a simple caution to an offender for
an indictable-only offence unless the CPS agree that a caution
should be given.
19. Furthermore, the Director’s Guidance on Charging requires the police
to refer all indictable-only offences to the CPS for a charging decision.
Any such decision will be binding on the police. If however the CPS
decide that a simple caution should be given but it proves not to be
possible to do so for whatever reason, including in particular where any
requirement imposed under section 17(2) of the Criminal Justice and
Simple Cautions for Adult Offenders
6
Courts Act 2015 is not met, or the offender refuses or fails to attend to
be cautioned, they must instead be charged with the offence.
Admission of guilt
20. A simple caution must not be offered to a person who has not
made a clear and reliable admission to committing the offence.
This is
particularly important where there is any doubt at all about the mental
state or capacity of the person. In these circumstances a decision-maker
should be particularly careful about accepting an admission of guilt.
Decisionmakers should refer to the Police and Criminal Evidence Act
1984 (“PACE”) and the Codes issued under that Act for assistance in
identifying and dealing with such persons.
21. A simple caution must not be offered in order to secure an
admission of guilt that could then provide sufficient evidence to
meet the evidential stage of the Full Code test.
22. If a person admits guilt but also raises a defence, a simple caution
cannot be offered. This includes where the person denies an essential
element of the offence or where they assert a substantive defence;
examples include where the offender claims they acted in self defence,
or where the offender claims they had a good reason or lawful authority
for having a bladed article in a public place.
23. The admission of guilt does not need to be made within a formal
interview under PACE. However, the method for obtaining and
recording the admission must be PACE-compliant. PACE provides the
following options:
o An admission made in response to questions asked in a formal
interview which is conducted and recorded in accordance with the
relevant provisions of the PACE Codes
3
whether within the police
station or elsewhere.
o An unsolicited admission made without inducement or invitation to
comment at any time outside the context of an interview
4
. A written
record must be made and the offender invited to sign the record to
confirm its accuracy in accordance with the PACE Codes
5
.
Depending on whether the offender has been arrested, the record
must be made in the officer’s notebook or by the custody officer or
review officer in the offender’s custody record. If a formal interview
takes place after an unsolicited admission, the admission must be
3
For the conduct and recording of interviews, see PACE Code C sections 11 and 12, Code E
and Code F
4
See PACE Code C paragraph 11.13
5
See PACE Code C paragraphs 11.13 and 11.14
Simple Cautions for Adult Offenders
7
put to the suspect at the start of the interview and the suspect asked
to confirm or deny what they said
6
.
o A formal written statement under caution made and recorded in
accordance with the PACE Codes
7
.
The Full Code Test
24. In deciding whether a simple caution is appropriate a decision-maker
must apply the Full Code Test, as set out in the Code for Crown
Prosecutors. This can be found at:
http://www.cps.gov.uk/publications/code_for_crown_prosecutors/
Evidential Stage
25. A decision-maker may only decide that a simple caution is appropriate if
satisfied that there is sufficient evidence to provide a realistic prospect of
conviction in respect of the offence if the offender were to be prosecuted.
In doing so, the decision-maker may take any clear and reliable verbal or
written admission by the offender to committing the offence into account.
However, a simple caution must not be offered in order to secure
an admission that could then provide sufficient evidence to meet
the evidential limb of the Full Code test.
Public Interest Stage
26. Before deciding that a simple caution is appropriate, a decision-maker
must be satisfied that it is in the public interest to offer a simple caution
in respect of the offence rather than to prosecute. Relevant factors are
set out below.
The offence
27. Simple cautions are available for any offence, although decision-makers
should bear in mind that they are primarily intended for low-level, mainly
first-time, offending. There are also statutory restrictions on the use
of simple cautions in relation to some offences (see paragraphs
35-39).
28. An assessment of the seriousness of the offence is the starting point for
considering whether a simple caution may be appropriate. The more
serious the offence, the less likely it is that a simple caution will be
appropriate.
29. Any aggravating circumstances of the offence (for example, any breach
of trust or advantage taken of the vulnerable or young) may increase its
seriousness to the point where the case should proceed to court. Police
6
See PACE Code C paragraph 11.14
7
See PACE Code C Annex D
Simple Cautions for Adult Offenders
8
officers should use the National Decision Model and the College of
Policing Gravity Factors Matrix in deciding whether this is the case.
30. In assessing the seriousness of the offence, the sentence likely to be
imposed in the event of a conviction must be carefully considered,
taking into account the Magistrates’ Court Sentencing Guidelines.
Offences which are likely to result in a custodial sentence (whether
immediate or suspended) or a high-level community order should
generally be prosecuted. If the offence is also a sexual offence or
involves violence against the person especial care should be exercised
before offering a simple caution.
31. Any charging guidance issued by the Association of Chief Police
Officers (“ACPO”) for particular offence types should generally be
followed.
Indictable-only offences
32. Section 17(2) of the Criminal Justice and Courts Act 2015 restricts
the use of simple cautions for indictable-only offences (offences
which, if committed by an adult, are triable only on indictment). An
offender must not be given a simple caution for such an offence
unless a police officer of at least the rank of Superintendent
determines that there are exceptional circumstances relating to
the offender or the offence, and the CPS agree that a caution
should be given. Section 17(6) of the Act requires a decision on
whether there are exceptional circumstances to be made in
accordance with the guidance in paragraphs 40-41.
Specified either-way offences
33. Section 17(3) of the Criminal Justice and Courts Act 2015 restricts
the use of simple cautions for certain either-way offences
(offences which, if committed by an adult, are triable either on
indictment or summarily). An offender must not be given a simple
caution for an either-way offence that has been specified by the
Secretary of State unless a police officer of at least the rank of
Inspector determines that there are exceptional circumstances
relating to the offender or the offence. Section 17(6) of the Act
requires a decision on whether there are exceptional
circumstances to be made in accordance with the guidance in
paragraphs 40-41.
34. The either-way offences that have been specified by the Secretary
of State are set out in Annex B. They are summarised as follows:
a. Offensive weapon and bladed article offences;
b. Carrying a firearm in a public place;
Simple Cautions for Adult Offenders
9
c. Child cruelty;
d. Sexual offences against children (including those
relating to child prostitution and pornography);
e. Sex trafficking offences;
f. Indecent and pornographic images of children;
g. Importing, exporting, producing, supplying and
possessing with intent to supply to another Class A
drugs.
Repeat offending
35. Section 17(4) of the Criminal Justice and Courts Act 2015 restricts
the use of simple cautions for repeat offending. An offender must
not be given a simple caution for a summary offence (an offence
which, if committed by an adult, is triable only summarily) or an
either-way offence that has not been specified by the Secretary of
State if in the two years before the offence was committed the
offender has been convicted of, or cautioned for, a similar offence,
unless a police officer of at least the rank of Inspector determines
that there are exceptional circumstances relating to the offender,
the present offence or the previous offence. A police officer of at
least the rank of Inspector must also determine whether a
previous offence was similar. Section 17(6) of the Act requires a
decision on whether there are exceptional circumstances to be
made in accordance with the guidance in paragraphs 40-41 and a
decision on whether a previous offence was similar to be made in
accordance with the guidance in paragraph 42.
36. An offender is to be treated as having been cautioned for a
previous offence if they were given a simple caution, a conditional
caution, a youth caution or a youth conditional caution.
Exceptional circumstances
37. A decision-maker is only permitted to conclude that there are
exceptional circumstances justifying a simple caution if satisfied
that, were the offender to be convicted of the offence, the
sentencing court would be unlikely to impose a custodial
sentence (whether immediate or suspended) or a high-level
community order.
Simple Cautions for Adult Offenders
10
38. Furthermore, in determining whether there are exceptional
circumstances, a decision-maker must take the following
nonexhaustive list of factors into account:
a. The level of culpability of the offender in committing the
offence;
b. Any harm which the offence caused, was intended to
cause or might foreseeably have caused;
The offender’s antecedents;
• Any aggravating factors;
• Any mitigating factors;
• The overall justice of the case and whether the circumstances
require it to be dealt with by way of prosecution (e.g. for the
protection of the public);
• The range of sentences appropriate to the facts of the case.
Determining similarity
39. A decision-maker must treat a previous offence as being similar to
the present offence if it was of the same description or of a similar
nature, e.g. they were both of a sexual nature, they both involved
violence against the person, they both involved dishonesty by the
offender, etc. Two offences are of the same description as each
other if the statement of the offence in a written charge or
indictment would, in each case, be in the same terms. The decision-
maker must take into account all of the facts of the offences.
Specific offence types
Domestic violence and abuse
40. Positive action is recommended in cases of domestic violence and
abuse to ensure the safety and protection of victims and children while
allowing the criminal justice system to hold the offender to account.
Domestic violence and abuse cases often involve a number of incidents
prior to reporting to the police. A positive action approach considers the
incident in its entirety and should focus investigative efforts on
gathering sufficient evidence to be able to build a prosecution case that
does not rely entirely on the complainant’s statement. Police and
prosecutors should refer to the ACPO/CPS Charging checklist
8
to help
secure evidence-based prosecutions which are not solely reliant on the
complainant.
8
http://www.cps.gov.uk/legal/assets/uploads/files/joint_cps_acpo_evidence_checklist_for_dom
es tic_violence_cases.doc
Simple Cautions for Adult Offenders
11
41. If the evidential stage of the Full Code test is satisfied, it will rarely be
appropriate to deal with the case by way of a simple caution in cases of
domestic violence and abuse. However, where a positive action policy
has been adhered to but the victim does not support a prosecution, and
the available evidence (including any additional evidence adduced)
would only support charging a very minor offence, a simple caution
may be preferable to a decision to take no further action.
Stalking and harassment (racial or otherwise)
42. In cases of stalking or harassment decision-makers should bear two
additional considerations in mind:
a) Administering a simple caution may render all conduct on which the
caution is based inadmissible as evidence of a course of conduct
should this continue subsequently;
b) Since a restraining order can only be issued by a court, the only way
in which a victim would otherwise be protected against future
misconduct would be by seeking an anti-harassment injunction from
a civil court (which is similar in effect to a restraining order and
permits a victim to apply to the court for a warrant of arrest in the
event of a breach). In cases of stalking or aggravated harassment a
prosecution should be pursued wherever possible to ensure an
application for an order can be made.
43. For these reasons, the views of the victim should be fully considered
and a simple caution only administered where the police are confident
that the stalking or harassment will not continue subsequently and a
harassment warning has not been previously issued.
Multiple offences and mixed disposals
44. Where multiple related offences have been committed, police and
prosecutors should consider the totality of the offending in determining
whether it is appropriate to deal with the case by way of caution.
45. It is possible to use different disposals where an offender has
committed multiple but unrelated offences as part of the same incident.
Depending on the nature of the offence, disposal options other than a
simple caution may be available, such as a cannabis warning, a
Penalty Notice for Disorder (“PND”), a conditional caution or a charge.
For example, if a person is arrested for being drunk and disorderly and
when searched in custody is found to be carrying a selection of car
keys and admits that their intention was to steal from cars, they may be
given a simple caution for going equipped to steal and issued with a
PND for the drunk and disorderly offence.
Simple Cautions for Adult Offenders
12
46. The Director’s Guidance on Charging
9
should be considered when
deciding whether to combine a simple caution with any other disposal.
Group offences
47. Where a number of offenders are involved in committing an offence the
extent of their involvement and the circumstances of each offender can
vary greatly. While consistency of treatment is an important
consideration in such a case, it is important that the case of each
offender should be considered separately and consequently different
disposals may be justified.
Offences committed by offenders subject to bail and/or court orders
48. It is generally not appropriate to use a simple caution if the offender was
on police or court bail or subject to a court order at the time of the
commission of the offence. In general it would be more appropriate to
prosecute in these cases, or for such offences to be taken into
consideration in relation to any ongoing prosecution of that offender. The
CPS guidance on Offences to be Taken into Consideration should be
followed.
Offences committed by serving prisoners and offenders on licence
49. A simple caution will only rarely be an appropriate method of disposing
of offences committed by serving prisoners or those subject to prison
recall. This will include:
a. New offences committed by a prisoner whilst in custody; o
New offences committed upon release from custody whilst
subject to prison recall;
b. Offences committed prior to an offender beginning a custodial
sentence, including where the commission of the offence, or
the offender’s guilt, only becomes known whilst the offender
is serving a custodial sentence.
The offender’s antecedents
50. Section 17(4) of the Criminal Justice and Courts Act 2015
restricts the use of simple cautions for repeat offending (see
paragraphs 38-
39).
51. A simple caution will generally not be appropriate where the offence
forms part of a pattern of offending. For example, an offender with a
previous caution for an offence involving violence against the person
should not normally be cautioned again for other offences involving
violence against the person. In such circumstances, the decision-maker
9
This is available on the CPS website at
http://www.cps.gov.uk/publications/directors_guidance/index.html
Simple Cautions for Adult Offenders
13
may consider that a different form of resolution, such as a prosecution,
would be a more appropriate way of dealing with the offence.
52. A simple caution may be appropriate where:
a. There has been a sufficient lapse of time (at least two years)
following a previous conviction or out-of-court disposal
(including a simple caution) for the same or similar type of
offence, to demonstrate that it had a deterrent effect;
AND
b. The current offence is low level;
OR
c. The offender has previously complied with another form of
out-of-court disposal;
OR
d. Giving a simple caution is likely to be the best outcome for
the victim and the offender.
53. In considering whether a simple caution is appropriate both national
and locally-held criminal records must be checked.
The victim
54. In deciding whether to offer a simple caution, it is important to establish,
where appropriate and possible, and to take into account:
o The views of any victim about the offence and the proposed method
of disposal;
o The nature of any harm or loss caused by the offence and its
significance to the victim.
55. Where there has been financial loss or loss of private property to an
individual, although simple cautions are available, the decision-maker
should consider whether a conditional caution with a condition to repair
damage or to pay compensation is more suitable.
56. The views of the victim are important but are not conclusive. The
decision to offer a simple caution lies with the police and/or the CPS
who should take account of the views of the victim alongside wider
public interest factors. Care must be taken not to raise the expectations
of a victim whilst seeking their views.
57. If a victim declines to support a simple caution because they do not
want any action to be taken, this should not automatically result in no
further action being taken. Officers will need to consider wider
evidential and public interest factors before dealing with the offence in
this manner.
Simple Cautions for Adult Offenders
14
Approving and recording the decision to offer a simple caution
58. Where a police officer considers that a simple caution should be
offered, the decision should, subject to section 17 of the Criminal
Justice and Courts Act 2015 (see paragraphs 35-39) requiring the
decision to be made by a higher-ranking officer, be referred to an
officer of at least the rank of Sergeant who is not involved in the
investigation of the offence, for approval.
59. They should apply the criteria set out in this guidance to determine if a
simple caution is appropriate. Where the officer reaches a decision in
favour of offering a simple caution, they should sign the custody record,
or other suitable documentation, to say that they have approved this as
the appropriate method of disposal. The rationale for the decision to
offer a simple caution must be fully documented as well as the gravity
factors matrix score to ensure the record can be retrieved if required
during subsequent proceedings or as part of an audit.
60. If the case has been referred to the CPS, the Crown Prosecutor should
record their decision to charge, to offer a simple caution or another out-
ofcourt disposal, or to take no further action, and their reasons why.
Where the decision is to offer a simple caution for an indictable-only
offence the full reasons for that decision must be recorded.
SECTION THREE: ADMINISTERING A SIMPLE
CAUTION
Overview
61. Before a simple caution is administered, the police officer seeking to do so
must ensure the offender understands the implications of accepting a
simple caution and consents to receiving a simple caution.
Explaining the implications of accepting a simple caution
62. Accepting a simple caution has potentially significant implications for an
offender all of which must be explained to the offender before he or she
is invited to accept it and the simple caution is administered. These are
set out below.
A) Significance of the admission of guilt
63. A simple caution is an admission of guilt to committing an offence and
forms part of an offender’s criminal record.
B) Criminal record: retention and disclosure of the simple caution
64. The simple caution forms part of an offender’s criminal record and a
record will be retained by the police for future use. It may also be referred
to in future legal proceedings.
Simple Cautions for Adult Offenders
15
65. A simple caution may be revealed as part of a criminal record check.
Separate guidance governs the disclosure of criminal record information.
66. All information relating to simple cautions (as well as convictions) for a
recordable offence is retained on the Police National Computer
(“PNC”). ACPO guidelines set out how long this information will be
retained for. The information is kept for police operational reasons and
in the interest of prevention and detection of crime.
67. Legislation which came into effect in December 2008 brought simple
cautions within the ambit of the Rehabilitation of Offenders Act 1974
(“ROA”). This means that simple cautions become spent immediately
they are administered
10
. This means that an individual does not need to
disclose a simple caution when asked unless they are seeking work in
an occupation that is listed in the Exceptions Order to the ROA such as
working with children and vulnerable adults or for other excepted
purposes such as seeking to obtain certain licences. Cautions will also
be disclosed under Disclosure and Barring Service (“DBS”) standard
and enhanced checks. Further information can be obtained from the
DBS
11
.
68. As well as the retention of the record of the simple caution, the
offender’s DNA profile and fingerprints, if taken, whether before or after
the simple caution has been administered, may be retained by the
police.
C) Sexual Offences Act 2003 implications
69. Accepting a simple caution for an offence in Schedule 3 to the Sexual
Offences Act 2003 will result in the offender becoming a “relevant
offender” for the purposes of the notification and registration
requirements of Part 2 of that Act. This means that the offender will be
put on the “sex offenders register” for two years from the date of the
simple caution.
D) Working with children and vulnerable adults
70. The DBS maintains the lists of those barred from working with children
and vulnerable groups, including adults. A simple caution may be taken
into account by the DBS when reaching a decision about the suitability of
persons to work with children and adults. Accepting a simple caution for
certain offences may lead to the offender’s inclusion on such a list which
will prevent them from working in a regulated post with children and
vulnerable groups. Further information should be obtained from the DBS.
10
The provisions in the ROA apply retrospectively to a simple caution that was administered
prior to 19 December 2008 and therefore such a caution will also considered to be spent in
the same way as one administered after that date
11
http://www.homeoffice.gov.uk/agencies-public-bodies/dbs/
Simple Cautions for Adult Offenders
16
E) The potential for prosecution or civil action
74. If after the simple caution has been administered, new evidence comes
to light suggesting that the offence(s) committed are more serious, a
prosecution may still be brought. Additionally, if the offence(s) involve(s)
a victim or victims they might still take civil action or bring a private
prosecution against the offender. The police may provide the offender’s
name and address to the victim or victims if this is necessary for legal
action to take place. Further details are at paragraphs 90 of this
guidance.
75. It is very rare that these situations will occur, however, the possibility
should still be explained to the offender.
F) Travel and immigration
76. Countries requiring foreign nationals to obtain entry visas may require
applicants to declare simple cautions on their application forms or at
interview. Other country’s immigration rules may mean that a person
who has received a simple caution is refused entry as though they have
a criminal conviction. The ROA only applies within the UK which means
simple cautions, even if spent, may still need to be disclosed to some
countries in some circumstances. This will vary from country to country
and may apply to people who want to emigrate permanently or those
who simply want to visit for short term purposes, such as on business,
for a holiday or to study. For specific information on what an individual
may be required to disclose, the relevant embassy of the country of
travel should be contacted.
Consent to receiving a simple caution
77. A simple caution can only be given when the offender agrees to accept
it. They should not be induced to accept a simple caution in any way and
must not be pressed to make an instant decision on whether to accept a
simple caution. They should be allowed to consider the matter and, if
need be, take independent legal advice.
Legal advice
78. Before administering a simple caution the police officer should ensure
that the offender has had the opportunity of receiving free and
independent legal advice in relation to the offence. The offender’s right to
legal advice is set out under PACE and must be adhered to. The police
officer must inform the offender of the evidence against them and the
decision to offer a simple caution. Offenders and their legal
representatives are entitled to seek and have disclosure of the evidence
before the offender agrees to accept a simple caution.
Administering the simple caution
79. A simple caution should be administered by a Custody officer or other
suitability trained person to whom this responsibility has been
Simple Cautions for Adult Offenders
17
delegated. A simple caution may be administered in a police station,
court building, the offices of any prosecutor or any other suitable
location consistent with achieving the appropriate impact on the
offender. It will not generally be appropriate to administer a simple
caution in public (for example on the street) or in the offender’s home.
However, in exceptional circumstances, for example where the offender
is elderly or vulnerable, the simple caution may be administered in the
offender’s home or similar place, providing the correct procedure for
administering the simple caution is adhered to.
80. At the point the simple caution is administered the police officer must:
o Ensure that the offender understands that they do not have to make
an immediate decision on whether to accept the simple caution but
can consider the matter and, if need be, take independent legal
advice;
o Ensure the offender understands that they have the right to legal
advice at any time during the process;
o Ensure that the offender understands the effect of the simple caution
and the implications of accepting it as set out in paragraphs 65-76
above;
o Ensure that the offender has made a clear and reliable admission of
guilt in respect of the offence or offences for which the simple caution
is being administered;
o Confirm that the offender consents to receiving a simple caution; o
Ask the offender to sign a form setting out the implications of the
simple caution (“the simple caution form”);
o Sign the simple caution form themselves and provide the offender
with a copy to take away.
81. When administering a simple caution, police officers must have regard to
the provisions of PACE Code C concerning mentally disordered or
mentally vulnerable offenders and the use of an appropriate adult. Police
officers must also ensure that all matters that need to be explained are
explained in a language that the offender can understand.
82. A simple caution is only deemed to be administered when the offender
has signed the simple caution form which sets out that they have made
an admission of guilt in respect of the offence or offences, their consent
to receiving the simple caution and makes clear the implications for
accepting the simple caution as set out at paragraphs 65-76. The
offender should be given a copy of the simple caution form to take away.
The simple caution form should also include the offender’s personal
details including occupation and should provide full and clear details of
the offence. This document must also be signed by the officer
administering the simple caution.
Simple Cautions for Adult Offenders
18
Simple Cautions for Adult Offenders
19
SECTION FOUR: AFTER ADMINISTRATION
83. Once the simple caution has been administered and the simple cautions
form completed in accordance with paragraph 80 of this guidance, police
officers must update the PNC to record that a simple caution has been
given; the offence that was ultimately the subject of the simple caution
must be recorded on the PNC. For example, if the offence was originally
reported as assault occasioning actual bodily harm, but upon considering
the evidence the offence was reclassified as common assault, the PNC
must be updated to record that the simple caution was administered for
common assault.
84. The police must keep records in relation to simple cautions in accordance
with relevant guidance
12
.Other relevant prosecutors and authorised
persons may issue similar guidance to ensure that records are kept in
accordance with any relevant legal responsibilities.
85. After the simple caution has been administered, the police must also
comply with any relevant requirements to notify other agencies of the
simple caution; for example where the simple caution is administered for a
sexual offence under Schedule 3 to the Sexual Offences Act 2003, the
appropriate notification requirements must be carried out.
Challenging a simple caution
86. There is no formal right of appeal against a simple caution once it has
been administered. However, this does not prevent a person (for example
an offender or a victim) who claims that it was not administered in
accordance with this guidance from challenging the simple caution by way
of a complaint against the police force or in court by way of a claim for
judicial review.
87. To make a complaint against the police force a person can:
o Make a complaint in writing to the Chief Constable of the police force
that administered the simple caution or by visiting a police station;
o Make a complaint to the Independent Police Complaints Commission
to pass to the police force;
o Authorise a third person (such as a solicitor or Citizens Advice Bureau)
to submit the complaint on their behalf.
88. If the simple caution is set aside for any reason, whether following a
challenge or for any other reason then the case should be reviewed again
12
For example, see the ACPO Retention Guidelines for Nominal Records on the Police National
Computer
Simple Cautions for Adult Offenders
20
within the provisions of this guidance to consider whether a simple caution
or other outcome is appropriate.
Civil proceedings
89. If a simple caution has been given and the victim requests the offender’s
name and address in order to institute civil proceedings (for example, to
claim compensation or seek an injunction) the information may be
disclosed. Under the Data Protection Act 1998, personal data are exempt
from the non-disclosure provisions where the disclosure is necessary for
the purpose of, or in connection with, any legal proceedings or future legal
proceedings. This includes circumstances where the data are required in
order to obtain legal advice.
Subsequent prosecutions (including private prosecution)
90. Usually, a person will only be prosecuted for an offence they have already
been simple cautioned for if there is a substantial change in the material
circumstances, or new evidence comes to light which suggests that the
original offence is more serious than previously thought or if the decision
to administer a simple caution was wrong. Even where a simple caution
has been administered this may not preclude a private prosecution
13
. In
addition, the decision to administer a simple caution may be judicially
reviewed as unlawful, e.g. because the proper procedures and relevant
guidance have not been followed or because it is claimed that the decision
is irrational or unreasonable on Wednesbury principles
14
. This may result
in the decision to authorise and administer a caution being set aside. If
this happens the slate is in effect wiped clean and the case must be
reviewed again to decide the appropriate disposal. If the subsequent
decision is to prosecute it does not follow that a prosecution for the
alleged offence would inevitably amount to an abuse of process. This will
be made on a case by case basis. It is unlikely that such action would
occur, however in order to minimise the risk of an abuse of process
argument, local arrangements should be put in place to ensure that when
a simple caution is administered, the person being cautioned is informed
in writing that the simple caution may not preclude a subsequent
prosecution and that it will not preclude a civil action by an aggrieved
party
15
.
Best practice
91. Supervisory quality checks should be undertaken to ensure that simple
cautions are used appropriately and in accordance with this guidance.
13
Hayter v L [1998] 1 WLR 854
14
Associated Provincial Picture Houses Ltd V Wednesbury Corporation [1948] 1 KB 223
15
Jones v Whalley [2006] UKHL 41; [2007] 1 AC 63; Hayter v L [1998] 1 WLR 854; R (Guest) v
Director of Public Prosecutions [2009] EWHC 594; [2009] 2 Cr App R 26
Simple Cautions for Adult Offenders
21
Enquiries about this guidance
92. Enquiries about this guidance should be addressed to the Ministry of Justice.
Annex A – Overview of decision-making factors
Overview of factors for considering whether a simple caution is
appropriate
Simple caution
may be
appropriate
For low-level offending.
For first time offenders.
Simple caution
may not be
appropriate
Where the offence is very minor. In these cases
consideration should be given to a community resolution or
other action short of a formal sanction.
Where the offence is serious, in particular where, if
convicted, the offender is likely to receive a custodial
sentence (whether immediate or suspended) or a high-level
community order.
Where the offender was on police or court bail or subject to
a court order at the time of the commission of the offence.
For offences involving domestic violence or abuse, stalking
or harassment.
Where the offender has a previous criminal history.
Where a conditional caution may be more appropriate; for
example where has been financial loss or loss of private
property to an individual or where rehabilitation may be
appropriate.
Where the offender is a foreign offender with no permission
to be in the UK. For such cases police officers should
consider whether a conditional caution with foreign offender
conditions ought to be offered.
Where the offence is committed by a serving prisoner or
someone subject to prison recall.
Simple Cautions for Adult Offenders
22
Simple caution
must not be
given
Where the person does not admit to committing the offence.
Where there is insufficient evidence to provide a realistic
prospect of conviction.
Where the public interest requires a prosecution.
For an indictable-only offence, where a police officer of at
least the rank of Superintendent has not determined that
there are exceptional circumstances relating to the offender
or the offence and/or where the CPS have not agreed that a
caution should be given.
For an either-way offence specified by the Secretary of
State, where a police officer of at least the rank of Inspector
has not determined that there are exceptional
Simple Cautions for Adult Offenders
23
Annex B – Specified either-way offences
The following either-way offences have been specified by the Secretary
of State for the purposes of section 17(3) of the Criminal Justice and
Courts Act 2015 (see paragraphs 36-37):
Offensive weapon and bladed article offences
Having an offensive weapon in a public place, contrary to section 1(1) of the
Prevention of Crime Act 1953
Threatening another person with an offensive weapon in a public place,
contrary to section 1A(1) of the Prevention of Crime Act 1953
Having a bladed or pointed article in a public place, contrary to section 139(1)
of the Criminal Justice Act 1988
Having a bladed or pointed article on school premises, contrary to section
139A(1) of the Criminal Justice Act 1988
Having an offensive weapon on school premises, contrary to section 139A(2)
of the Criminal Justice Act 1988
Threatening another person with a bladed or pointed article in a public place
or on school premises, or threatening another person with an offensive
weapon on school premises, contrary to section 139AA(1) of the Criminal
Justice Act 1988
Carrying a firearm in a public place
Having a firearm in a public place, contrary to section 19 of the Firearms Act
1968, where the offence was committed in relation to a firearm within the
meaning of section 57(1) of that Act and is triable either way (see Schedule 6
to the Firearms Act 1968)
Child cruelty
Child cruelty, contrary to section 1(1) of the Children and Young Persons Act
1933
Sexual offences against children (including those relating to child prostitution
and pornography)
Sexual assault, contrary to section 3(1) of the Sexual Offences Act 2003,
where the victim of the offence was under 16 at the time of the offence
Causing a person to engage in sexual activity without consent, contrary to
section 4(1) and (5) of the Sexual Offences Act 2003 (i.e. not involving the
Simple Cautions for Adult Offenders
24
penetrative activities specified in section 4(4) of that Act), where the victim of
the offence was under 16 at the time of the offence
Sexual assault of a child under 13, contrary to section 7(1) of the Sexual
Offences Act 2003
Causing or inciting a child under 13 to engage in sexual activity, contrary to
section 8(1) and (3) of the Sexual Offences Act 2003 (i.e. not involving the
penetrative activities specified in section 8(2) of that Act)
Sexual activity with a child, contrary to section 9(1) and (3) of the Sexual
Offences Act 2003 (i.e. not involving the penetrative activities specified in
section 9(2) of that Act)
Causing or inciting a child to engage in sexual activity, contrary to section
10(1) and (3) of the Sexual Offences Act 2003 (i.e. not involving the
penetrative activities specified in section 10(2) of that Act)
Engaging in sexual activity in the presence of a child, contrary to section 11(1)
of the Sexual Offences Act 2003
Causing a child to watch a sexual act, contrary to section 12(1) of the Sexual
Offences Act 2003
Arranging or facilitating the commission of a child sex offence, contrary to
section 14(1) of the Sexual Offences Act 2003
Meeting a child following sexual grooming, contrary to section 15(1) of the
Sexual Offences Act 2003
Sexual activity with a child in abuse of a position of trust, contrary to section
16(1) of the Sexual Offences Act 2003
Causing or inciting a child to engage in sexual activity in abuse of a position of
trust, contrary to section 17(1) of the Sexual Offences Act 2003
Engaging in sexual activity in the presence of a child in abuse of a position of
trust, contrary to section 18(1) of the Sexual Offences Act 2003
Causing a child to watch a sexual act in abuse of a position of trust, contrary
to section 19(1) of the Sexual Offences Act 2003
Sexual activity with a child family member committed by a person who was
aged 18 or over at the time of the offence, contrary to section 25(1) and (4)(b)
of the Sexual Offences Act 2003 (i.e. not involving the penetrative activities
specified in section 25(6) of that Act)
Simple Cautions for Adult Offenders
25
Sexual activity with a child family member committed by a person who was
under 18 at the time of the offence, contrary to section 25(1) and (5) of the
Sexual Offences Act 2003
Inciting a child family member to engage in sexual activity committed by a
person who was aged 18 or over at the time of the offence, contrary to section
26(1) and (4)(b) of the Sexual Offences Act 2003 (i.e. not involving the
penetrative activities specified in section 26(6) of that Act)
Inciting a child family member to engage in sexual activity committed by a
person who was under 18 at the time of the offence, contrary to section 26(1)
and (5) of the Sexual Offences Act 2003
Paying for the sexual services of a child where the victim of the offence was
under 16 at the time of the offence, contrary to section 47(1) and (4)(b) of the
Sexual Offences Act 2003 (i.e. not involving a victim who was under 13 at the
time of the offence or the penetrative activities specified in section 47(6) of
that Act)
Paying for the sexual services of a child where the victim was 16 or over at
the time of the offence, contrary to section 47(1) and (5) of the Sexual
Offences Act 2003
Causing or inciting child prostitution or pornography, contrary to section 48(1)
of the Sexual Offences Act 2003
Controlling a child prostitute or a child involved in pornography, contrary to
section 49(1) of the Sexual Offences Act 2003
Arranging or facilitating child prostitution or pornography, contrary to section
50(1) of the Sexual Offences Act 2003
Indecent assault on a woman, contrary to section 14(1) of the Sexual
Offences Act 1956, where the victim of the offence was under 16 at the time
of the offence
Indecent assault on a man, contrary to section 15(1) of the Sexual Offences
Act 1956, where the victim of the offence was under 16 at the time of the
offence
Indecent conduct with or towards a child, contrary to section 1(1) of the
Indecency with Children Act 1960
Sexual activity with a child in abuse of a position of trust, contrary to section
3(1) of the Sexual Offences (Amendment) Act 2000
Simple Cautions for Adult Offenders
26
Sex trafficking offences
Trafficking another person into the UK for sexual exploitation, contrary to
section 57(1) of the Sexual Offences Act 2003
Trafficking another person within the UK for sexual exploitation, contrary to
section 58(1) of the Sexual Offences Act 2003
Trafficking another person out of the UK for sexual exploitation, contrary to
section 59(1) of the Sexual Offences Act 2003
Trafficking another person for sexual exploitation, contrary to section 59A(1)
of the Sexual Offences Act 2003
Trafficking an individual into the UK for prostitution, contrary to section 145(1)
of the Nationality, Immigration and Asylum Act 2002
Trafficking an individual within the UK for prostitution, contrary to 145(2) of the
Nationality, Immigration and Asylum Act 2002
Trafficking an individual out of the UK for prostitution, contrary to 145(3) of the
Nationality, Immigration and Asylum Act 2002
Indecent and pornographic images of children
Making etc indecent photographs of children, contrary to section 1(1) of the
Protection of Children Act 1978
Possessing indecent photographs of children, contrary to section 160(1) of the
Criminal Justice Act 1988
Possessing prohibited images of children, contrary to section 62(1) of the
Coroners and Justice Act 2009
Class A drug offences
Producing etc a controlled drug, contrary to section 4(2) of the Misuse of
Drugs Act 1971, where the offence was committed in relation to a Class A
drug and is triable either way (i.e. not a third drug trafficking offence within the
meaning of section 110 of the Powers of Criminal Courts (Sentencing) Act
2000)
Supplying etc a controlled drug, contrary to section 4(3) of the Misuse of
Drugs Act 1971, where the offence was committed in relation to a Class A
drug and is triable either way, (i.e. not a third drug trafficking offence within
the meaning of section 110 of the Powers of Criminal Courts (Sentencing) Act
2000)
Simple Cautions for Adult Offenders
27
Possessing a controlled drug with intent to supply it to another, contrary to
section 5(3) of the Misuse of Drugs Act 1971, where the offence was
committed in relation to a Class A drug (as defined in section 2(1)(b) of the
Misuse of Drugs Act 1971) and is triable either way (i.e. not a third drug
trafficking offence within the meaning of section 110 of the Powers of Criminal
Courts (Sentencing) Act 2000)
Importing a controlled drug, contrary to section 50(2) of the Customs and
Excise Management Act 1979 and in connection with a prohibition having
effect by virtue of section 3(1) of the Misuse of Drugs Act 1971, where the
offence was committed in relation to a Class A drug (as defined in section
2(1)(b) of the Misuse of Drugs Act 1971) and is triable either way (i.e. not a
third drug trafficking offence within the meaning of section 110 of the Powers
of Criminal Courts (Sentencing) Act 2000)
Importing a controlled drug, contrary to section 50(3) of the Customs and
Excise Management Act 1979 and in connection with a prohibition having
effect by virtue of section 3(1) of the Misuse of Drugs Act 1971, where the
offence was committed in relation to a Class A drug (as defined in section
2(1)(b) of the Misuse of Drugs Act 1971) and is triable either way (i.e. not a
third drug trafficking offence within the meaning of section 110 of the Powers
of Criminal Courts (Sentencing) Act 2000)
Exporting a controlled drug, contrary to section 68(2) of the Customs and
Excise Management Act 1979 and in connection with a prohibition having
effect by virtue of section 3(1) of the Misuse of Drugs Act 1971, where the
offence was committed in relation to a Class A drug (as defined in section
2(1)(b) of the Misuse of Drugs Act 1971) and is triable either way (i.e. not a
third drug trafficking offence within the meaning of section 110 of the Powers
of Criminal Courts (Sentencing) Act 2000)
Importing or exporting a controlled drug, contrary to section 170(1) of the
Customs and Excise Management Act 1979 and in connection with a
prohibition having effect by virtue of section 3(1) of the Misuse of Drugs Act
1971, where the offence was committed in relation to a Class A drug (as
defined in section 2(1)(b) of the Misuse of Drugs Act 1971) and is triable
either way (i.e. not a third drug trafficking offence within the meaning of
section 110 of the Powers of Criminal Courts (Sentencing) Act 2000)
Importing or exporting a controlled drug, contrary to section 170(2) of the
Customs and Excise Management Act 1979 and in connection with a
prohibition having effect by virtue of section 3(1) of the Misuse of Drugs Act
1971, where the offence was committed in relation to a Class A drug (as
defined in section 2(1)(b) of the Misuse of Drugs Act 1971) and is triable
either way (i.e. not a third drug trafficking offence within the meaning of
section 110 of the Powers of Criminal Courts (Sentencing) Act 2000)
Simple Cautions for Adult Offenders
28
© Crown copyright 2015
Produced by the Ministry of Justice
You may re-use this information (excluding logos) free of charge in any
format or medium, under the terms of the Open Government Licence.
To view this licence, visit
http://www.nationalarchives.gov.uk/doc/opengovernment-licence/ or
email: [email protected]ov.uk
Where we have identified any third party copyright material you will
need to obtain permission from the copyright holders concerned.
Alternative format versions of this report
are available on request from
[email protected] or 020
3334 3555