Chapter 4: Enforcement of the Modern Slavery Act
128.Part 1 of the Modern Slavery Act defines offences of modern slavery. Sections 1–3 consolidate and simplify pre-existing offences. Sections 5 and 6 set out the applicable punishments, including life sentences for the commission slavery, forced labour or human trafficking offences.154
129.The prosecution rate is low at around 1.81%. This figure represents the number of defendants being prosecuted compared with referrals of victims through the NRM process, including those who do not consent to enter it. Calculating the rate in this way follows Home Office counting rules but means that because cases often have a much higher number of victims than perpetrators, if they do not come to prosecution the rate will be adversely affected. Other hidden crimes such as domestic abuse and sexual offences have similar prosecution rates of 1% to 3%. All crime has a 7% prosecution rate.155
130.Modern slavery investigations are complex. This is mainly because of the hidden nature of the crime, which means that victims may be isolated and coerced out of sight of law enforcement. It can be difficult to maintain engagement with the large number of foreign national victims who return to the country they came from. Modern slavery is associated with organised crime, which is complicated and difficult to dismantle. It has a degree of “polycriminality,” (where there is involvement in multiple crimes simultaneously) sometimes resulting in more straightforward crimes being prosecuted rather than the modern slavery offences committed alongside them.156
Orders
131.Sections 14–22 of the Act provide for Slavery and Trafficking Prevention Orders (STPOs) and sections 23–29 for Slavery and Trafficking Risk Orders (STROs). Prevention Orders can be imposed on a person convicted of a slavery or trafficking offence where there is a risk they may commit further similar offences. Risk Orders may be imposed where there is a risk that a person may commit a slavery or trafficking offence. In both cases the aim is to protect potential victims from physical or psychological harm. Further detail is in Box 3.
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STPOs can be issued against individuals who have been convicted of a slavery or trafficking offence and last at least five years. STROs are for those who are assessed to be at risk of committing a slavery or trafficking offence and last at least two years. The following are examples of restrictions which may be imposed:
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Source: Home Office, Guidance on Slavery and Trafficking Prevention Orders and Slavery and Trafficking Risk Orders under Part 2 of the Modern Slavery Act 2015 (April 2017): https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/610015/110417_-_statutory_guidance_part_2_-_GLAA_updates-_Final.pdf [accessed 11 June 2024]
132.Sections 8–10 of the Act include provisions to compel reparations to be made by a person convicted of slavery or trafficking offences to the victim. They can only be made where a confiscation order has been made against the offender under section 6 of the Proceeds of Crime Act 2002.
133.There is evidence that STROs and STPOs have been underused. As of 2022, STPOs were granted to less than one third of all perpetrators convicted for modern slavery offences and the number of STROs was even lower.157 Dr Paul Andell, Associate Professor of Criminology at the University of Sussex, wrote that protective Orders “are underutilized due to factors like lack of awareness and limited resources for monitoring. Further guidance and training are needed.”158 The Rights Lab at the University of Nottingham highlighted “a lack of awareness, understanding, training, and guidance, as well as insufficient mechanisms for coordination, data collection, information sharing, and monitoring.”159 This apparent lack of use in some cases is despite the fact that Sentencing Council guidelines say that a court must consider whether to apply orders in all cases.160
134.There has been some government activity to promote applications for Orders. Home Office guidance facilitates implementation by police forces, although there was a period of two years following the passage of the Act when this did not exist. Laura Farris MP said in the context of encouraging usage:
“It is part of a wider piece of work that we are doing in the Home Office on protective Orders at the moment, and I do not know but I hope I will be able to say a bit more on that in future. I do think that if we cannot get the case sent to court for trial, we should be looking at the police’s powers to make protective Orders.”161
135.We heard that there is a lack of data relating to protective Orders. Assistant Chief Constable (“ACC”) Jim Pearce said that “anecdotally, there are stories that show that they are effective, but we have no real, solid evidence base at this moment.”162 The Rights Lab wrote that scarce data complicates accurate evaluation of effectiveness and “contributes to a lack of effective and cohesive implementation.”163 The Modern Slavery and Human Rights Policy and Evidence Centre suggested that there should be regular publication of the numbers of Orders, noting that these were included in the 2020 UK Annual Report on Modern Slavery but have not been since.164
136.We received suggestions for legislative improvements to strengthen Orders. Temporary Chief Superintendent Tamasine Matthews told us that some of these had been considered for the Modern Slavery Bill announced in 2022 which was not brought forward:
“We recommended allowing courts to issue orders on acquittal of slavery offences to manage any residual risk of offending and protect victims. We also recommended that courts up their monitoring conditions on individuals … Currently, forces can apply for orders only for individuals who live or are in their area … it would be really helpful if that could be extended to allow forces to remove that restriction.”165
She added that it would be useful to have notification requirements to police forces so that they know Orders are in place.166 Lynette Woodrow, Modern Slavery Lead at the Crown Prosecution Service, also said that prevention Orders being made available on acquittal would be helpful and that this would be similar practice to restraining orders.167
137.Slavery and Trafficking Risk Orders and Slavery and Trafficking Prevention Orders are potentially powerful tools in tackling modern slavery which have been underused. There is sometimes insufficient awareness, understanding, training, and guidance relating to them. There is a lack of data, both publicly and operationally, which hinders evaluation of effectiveness and proper implementation of legislation. The effectiveness of Orders would be improved if they could be applied in more circumstances and if there was more thorough monitoring of Orders which are already in place. Such improvements were referenced in the 2022 Queen’s Speech but have not been implemented in legislation. Government activity in this area is welcome but is at an early stage.
138.The Government should introduce legislation which facilitates wider use of Slavery and Trafficking Risk Orders and Slavery and Trafficking Prevention Orders, particularly enabling issue of STROs on acquittal, applications for Orders across the boundaries of different police forces, and electronic monitoring of the conditions and notification requirements.
139.The Government should encourage more applications for Slavery and Trafficking Risk Orders and Slavery and Trafficking Prevention Orders, including by working with the Sentencing Council to ensure that they are considered in all cases. It should resume publication of the number of Orders which have been issued.
Non-punishment principle
140.Section 45 of the Modern Slavery Act provides a statutory defence, also known as the non-punishment principle, for victims of modern slavery who were compelled to carry out criminal offences as a result of their exploitation. The test in applying it is that the compulsion has to be attributable to slavery or exploitation and a reasonable person in the same situation would have no realistic alternative to doing what the person actually did. The defence does not apply to the most serious crimes, such as sexual offences, modern slavery offences, and offences involving serious violence, which are listed at Schedule 4 to the Act.
141.There is debate about the usefulness of section 45. Warwickshire Police called for its removal on the basis that “it could be argued is an extension of the existing defence of duress.”168 The Association of Police and Crime Commissioners wrote that it was unnecessary and had been abused by organised crime groups.169 However, the Gangmasters and Labour Abuse Authority said that although it can be subject to abuse, it is a valuable defence,170 and the National Crime Agency said that it was essential.171
142.The defence is not always pleaded in circumstances when it could be. ACC Jim Pearce told us that it may not be raised until late in court proceedings and that there are complications arising from delays in NRM decision-making.172 Julian Bild highlighted a lack of awareness by legal professionals resulting in the defence not even being raised.173 Lynette Woodrow discussed how this was being addressed in new guidance and a CPS assurance exercise:
“Every month, we look at a concluded case where section 45 was raised … We look at whether anything could have been done differently, whether there is a range of views, whether we can identify what lessons should be learned, and whether there are any training needs identified … I am pleased to say that since that has been introduced there is a real consistency of approach.”174
143.Several people have highlighted the need for more data concerning section 45.175 The Modern Slavery and Human Rights Policy and Evidence Centre suggested publication of the characteristics of defendants, their offences, and outcomes of the cases.176 Temporary Chief Superintendent Tamasine Matthews said that there is development of “an annual data return from forces so that we can get some specific information to see exactly where the challenges are and, indeed, how we can improve that.”177 Lynette Woodrow raised concerns about the practicalities of gathering data, saying that the CPS case management system does not collect details on section 45 and that even if it did this would not equate to conclusions about outcomes of cases, for which there may be numerous explanations.178
144.There was widespread comment that Schedule 4 should be amended because the range of offences to which the section 45 defence does not apply is too broad.179 ACC Jim Pearce told us that the police “have mentioned modern slavery [itself] sitting within the schedule and whether there might be some value in relooking at that position.”180 Dr Marija Jovanovich stated that the 2021 report of the Group of Experts on Action against Trafficking in Human Beings (GRETA) said “any offence should be capable of leading to non-punishment if a person is compelled and has no criminal intention.”181 However, Lynette Woodrow explained that prosecutors may overcome some difficulties with the statute by applying the public interest test and presenting “the different roles that different individuals are given within a criminal enterprise and … the pressure or influence between different defendants.”182
145.Concerns were raised about the application of section 45 to children. Barnardo’s told us that roughly a third of children do not want to invoke the defence, sometimes due to fear of being labelled as a “grass” or “snitch,” and that solicitors follow the children’s instructions.183 Every Child Protected Against Trafficking UK wrote that:
“The defence is based on the notion that a person is ‘compelled’ to commit the act and a ‘reasonable person’ would have no realistic alternative in the situation. A child who has been trafficked and enslaved would never ‘reasonably’ be able to consent to committing a crime and therefore cannot consent to being exploited, as explained in international law.”184
146.Caroline Haughey KC, our Specialist Adviser, told us that no quantitative data is collected on the use of section 45 anywhere in the UK. In her words, ‘it is challenging to assess the effectiveness of the legislation if we are unable to identify how many prosecutions and convictions are being made’. She suggested that the following may be considered as data collection points for use of the section 45 defence:
(1)If it is raised in interview to the police;
(2)If it is raised in either the defence case statement or written submissions to the Crown and subsequently whether the Crown chose to prosecute or not;
(3)If it is put before the jury or magistrates as a defence; and
(4)If it led to acquittal or conviction.
147.The non-punishment principle is an important protection for victims of modern slavery which is not invoked enough in practice. The defence is substantially limited by Schedule 4 of the Act, which disapplies it for offences which victims are often compelled to commit during their exploitation. Children are currently disadvantaged compared to other groups by section 45.
148.The Government should collect and publish data on the usage of section 45 of the Modern Slavery Act, particularly the characteristics of defendants raising the defence (such as age, nationality and gender), the type of offence the statutory defence is raised for and the outcomes of the cases where the statutory defence is raised.
149.The Government should review and consider removing the offences in Schedule 4 to extend the protection applied by the non-punishment principle, including to those who have committed modern slavery offences.
150.The Government should review the tests for section 45 made by criminal justice practitioners to improve the consistency of the application of section 45 for children.
Evidence gathering
151.Gathering evidence for modern slavery cases can be challenging. Given the hidden nature of the crime, it often relies on evidence from victims, who may have difficulty providing this if they are overseas or suffering from trauma. It is possible to run evidence-led prosecutions which do not necessarily rely on victims by using focused resources and liaison officers relating to finance, environment, and location.185
152.We heard about the victim navigator programme. This establishes trained professionals to act as a link for victims between the support and criminal justice system. They were established by Justice and Care and designed in partnership with the police and the National Crime Agency.186 Tatiana Gren-Jardan said that as a result of the programme as of March 2024:
“Nine in 10 [victims] participate in the criminal justice process. We have already secured more than 43 convictions, with 374 years in sentencing, for modern slavery and other related offences. This is from just a very small team that is doing this fantastic job, with 128 victims freed from exploitation, 553 survivors supported and 81% of them showing improved overall outcomes.”187
By July 2024 the programme had secured a further nine convictions, despite the challenges posed by the complexity of modern slavery cases. It is currently operating in London, the Eastern region, Manchester, the East Midlands, Scotland, and nationally within the Gangmasters and Labour Abuse Authority and Organised Immigration Crime.
153.There was widespread endorsement of victim navigators. Alison Logier said “in every case I have worked on where there has been a victim navigator, that information link has always been there and people have been kept informed.”188 Elysia McCaffrey, Chief Executive of the Gangmasters and Labour Abuse Authority, said “they work very closely with the victim, support them through difficult situations, and have even helped us where victims have returned to their country of origin to stay engaged.”189 ACC Jim Pearce said the police “dearly hope [they] will be rolled out across the country”190 and Lynette Woodrow mentioned a possible code for conduct for navigators as part of this process.191 However, Laura Farris MP had not heard of victim navigators.192
154.The police told us that financial investigations can be important parts of prosecution. Temporary Chief Superintendent Tamasine Matthews said this uncovers the best evidence and that the police have provided comprehensive guidance on getting financial investigation at the start of an inquiry, that they work with partners in regional organised crime units, and that they have recruited a specialist financial investigator who has delivered training to police forces. She noted that investigators are a finite resource and it is difficult to retain them because they are so specialised, and ACC Jim Pearce added that getting police priority for them meant ensuring that modern slavery is “highlighted within the tasking process and that the threat, risk and harm that sits behind it is recognised.”193
155.Others have also emphasised the importance of financial investigation. The Organisation for Security and Co-operation in Europe has commented that “increasing the use of (proactive) financial investigations and enhancing the focus on the online marketplace for trafficking can reduce the burden on victims and potentially boost victimless prosecutions.”194 Professor Dame Sara Thornton has identified issues with how financial investigations are incorporated early enough in the process, as well as how to combine with work on money laundering and emerging trends such as cryptocurrencies.195 Caroline Haughey KC has said that she would like to see more financial investigation officers as they are currently very scarce.196
156.International co-operation is often relevant to modern slavery investigations. Temporary Chief Superintendent Tamasine Matthews told us about Joint Investigations Teams comprised of judges, prosecutors, and law enforcement from multiple countries which are set up by the Joint International Crime Centre.197 Lynette Woodrow spoke of CPS prosecutors based overseas and mutual legal assistance, whereby a prosecutor can write a letter of request to a prosecutor in another jurisdiction. She mentioned the importance of tools to combat exploitation via digital platforms and in particular the Crime (Overseas Production Orders) Act 2019. Production orders can be made if bilateral agreements exist, but currently there is only one with the US.198
157.We heard about bilateral government agreements. Laura Farris MP mentioned agreements with Albania, Vietnam, and Romania as an important means of targeting organised crime gangs.199 Professor Dame Sara Thornton has previously welcomed the UK-Albania Joint Communique’s support of Albanian structures and the commitment to independent monitoring reports, although she suggested that “the balance is too heavily in favour of … law enforcement and border control rather than on economic growth, skill development and education.”200 The effectiveness of the agreement is supported by its commitment to independent evaluation on the implementation of measures from the Group of Experts on Action Against Trafficking in Human Beings (‘GRETA’).201
158.Gathering the evidence required for successful prosecution of modern slavery offences is known to be challenging but there are established methods of doing it. The victim navigator pilot has been very successful and it is disappointing that the previous government was seemingly not engaged with it given Minister Farris’ lack of awareness of the scheme. Financial investigations have yielded excellent results but require resource to be effective.
159.Victim navigators should be rolled out nationally. The objective must be that they are available in all cases.
160.The Government should provide additional resourcing for financial investigations and ensure that priority is placed on them in law enforcement agencies.
161.The Government should seek to improve its bilateral agreements with Vietnam and Albania, building on its successful arrangements with Romania. It should also seek to negotiate bilateral agreements with additional countries.
162.The Government should amend the recent immigration legislation so that the ability to gather evidence is not limited (see Chapter 2).
Strategy and co-ordination
163.Due to the complexity of modern slavery cases, there is a need for a coordinated response across law enforcement and other agencies. There have been better results and more successful prosecutions with dedicated teams of experts working on investigations and with police forces devoting attention to modern slavery in their force control strategies.202
164.There was discussion of regional priorities within policing. Eleanor Lyons mentioned the variable modern slavery practice in different areas, saying that she has visited specialised teams with a focus on modern slavery and called for more of these, with better training and awareness for officers.203 ACC Jim Pearce has previously explained this in terms of competing demands, noting that not all police forces have modern slavery within their force control strategy.204 He told us that:
“If there is strategic leadership that sits within a geographic and force area, we know that focus falls out of that—that is good governance. A strategic assessment sits within most of those force areas, as do police and crime plans. If exploitation and, more specifically, modern slavery and human trafficking are part of those, we see operational delivery.”205
165.The importance of co-ordination on data was mentioned. ACC Jim Pearce noted that victims and suspects can be identified through data and information sharing, emphasising a need for co-operation with the health service, where issues often get disclosed without the police being promptly informed.206
166.Laura Farris MP said that there were not good data links between the Home Office and the Ministry of Justice which was “a real weakness” that they were trying to change.207 The Rights Lab suggested the “establishment of a modern slavery and trafficking data warehouse” which would act as “one single repository governed by strict adherence to data protection standards.”208
167.There was widespread comment on the need for strategic change. Hestia said that the Home Secretary should impress the need for increased prosecution on law enforcement agencies209 and Christian Action Research and Education called for prosecution to be reflected in an updated modern slavery strategy.210 Several witnesses suggested broader thinking on prevention; Eleanor Lyons told us:
“Prevention is a very big part of my work. It is a key aspect. We are not only trying to help people once they have been exploited, but trying to do as much as we can to raise awareness and stop people becoming exploited or vulnerable.”211
The National Crime Agency wrote that more could be done to strengthen powers against indirect enablers of modern slavery to improve investigative and disruption opportunities.212 Wilson Solicitors said that the authorities “fail to tackle the root of the problem - the criminal gangs in control.”213
168.The Government has not updated its modern slavery strategy since 2014 and there have been calls for a new version to be published. The Modern Slavery and Human Rights Policy and Evidence Centre suggested that the Act should require the government to publish, report against, review, and update a modern slavery strategy.214 Laura Farris MP said that the Government would do a progress report to review the successes and failures and set the springboard for future legislation. She added that the full strategy would come after the general election and that “it is probably beyond time, because it is such a rapidly changing area of the law and the ways in which exploitation evolves need to be identified and reviewed periodically.”215
169.Good practice and strategic priority towards modern slavery exist in parts of the UK but not in others. Information is not always provided to the organisations which most need them, including across government departments. It is important to balance necessary data sharing with safeguards for data protection. There has been a lack of strategic emphasis on prosecution and prevention from the previous government, partly due to fact that the modern slavery strategy has not been updated since 2014.
170.The Government should improve information and data sharing mechanisms across multiple agencies, including between the police and the NHS, through establishment of a modern slavery data warehouse. In doing so it should consider safeguards and the circumstances where data sharing is appropriate.
171.The Government should prioritise prosecution in its modern slavery strategy with a focus on treating victims as exploited individuals, not immigration offenders. The modern slavery strategy should also give greater attention to prevention, such as through strengthening powers against indirect enablers of modern slavery and targeting organised criminal gangs.
154 Home Office, ‘Modern Slavery Act 2015’ (30 July 2018): https://www.gov.uk/government/collections/modern-slavery-bill [accessed 11 June 2024]
157 Sara Thornton, The Use of Modern Slavery Risk and Prevention Orders (March 2022), pp 10–11: https://www.antislaverycommissioner.co.uk/media/1764/iasc-review_risk-and-prevention-orders-report_march-2022.pdf [accessed 11 June 2024]
158 Written evidence from Dr Paul Andell, Associate Professor of Criminology British Academy Innovation Fellow (MSA0013)
160 Sentencing Council, ‘Slavery, servitude and forced or compulsory labour/ Human trafficking’ (1 October 2021): https://www.sentencingcouncil.org.uk/offences/magistrates-court/item/slavery-servitude-and-forced-or-compulsory-labour-human-trafficking/ [accessed 8 July 2024]
175 Written evidence from The Policy Unit, Justice and Care and the Centre for Social Justice (MSA0037), Anti-Trafficking Monitoring Group (ATMG) (MSA0039), The International Organization for Migration (MSA0087) and Dr Julia Muraszkiewicz, Prof Ryszard Piotrowicz and Prof Natalia Szablewska (MSA0033)
179 Written evidence from Dr Julia Muraszkiewicz, Prof Ryszard Piotrowicz and Prof Natalia Szablewska (MSA0033), the Anti-Trafficking Monitoring Group (ATMG) (MSA0039),the Modern Slavery and Human Rights Policy and Evidence Centre (MSA0055), Professor David Gadd and Professor Rosemary Broad,-The University of Manchester (MSA0008), Messrs Southwell and Partners (MSA0065) and Dr Insa Koch, University of St Gallen (MSA0079)
186 Ibid.
188 Ibid.
194 Organization for Security and Co-operation in Europe, Report by the OSCE Special Representative and Co-ordinator for Combating Trafficking in Human Beings Valiant Richey following the country visit to the United Kingdom, p.3: https://www.osce.org/files/f/documents/9/6/548887_1.pdf [accessed 8 July 2024]
195 Richard Marsh, Financial Investigation of Modern Slavery (March 2021): https://www.antislaverycommissioner.co.uk/media/jk0ohl1i/financial-investigation-of-modern-slavery-march-2021.pdf [accessed 8 July 2024]
196 Oral evidence before the Home Affairs Committee, inquiry on Human Trafficking, 5 July 2023 (Session 2022–23) Q 510
200 Written evidence submitted by Professor Dame Sara Thornton to the Home Affairs Committee inquiry on Migration and Asylum, Session 2022–23 (ASY004)
201 Prime Minister’s Office, ‘UK-Albania Joint Communique: Enhancing bilateral Cooperation in areas of common interest’ (13 December 2022): https://www.gov.uk/government/publications/uk-albania-joint-communique-enhancing-bilateral-cooperation-in-areas-of-common-interest/uk-albania-joint-communique-enhancing-bilateral-cooperation-in-areas-of-common-interest [accessed 18 July 2024]
202 Oral evidence before the Home Affairs Committee, inquiry on Human Trafficking, 5 July 2023 (Session 2022–23) QQ 454, 464 (ACC Jim Pearce)
204 Oral evidence before the Home Affairs Committee, inquiry on Human Trafficking, 5 July 2023 (Session 2022–23) Q 464
206 Ibid.