Complaints by Young People

A person under the age of 16 years can make a complaint in their own right, provided they fully understand what is involved. It is however preferable for a parent, guardian or other third party to make the complaint on their behalf.

Recording of Complaints

If a complaint is made, the presumption from the outset is that it is valid and will be recorded, indeed there is a duty under the Police Reform Act 2002 to record all complaints about the conduct of a serving officer.

Where a report is made, it will be recorded on the police complaints system within 10 working days.

There are exceptions to the need to record, including where the matter is already subject of a complaint and is being dealt with by criminal or misconduct proceedings, or where it has previously been made and withdrawn. In such cases dispensation form the requirement to investigate will be sought from the IPCC.

Initial Assessment of Recorded Complaints

All complaint matters are initially forwarded to the Professional Standards Department at Police Headquarters for assessment. Factors such as the nature of the complaint, the seriousness of the allegation and the expectations of the complainant will be taken into account before a decision is made on how it will be dealt with.

There are two ways any complaint can be progressed, by Local Resolution or by Formal Investigation.

Local Resolution

Local Resolution is not a disciplinary process and does not apportion blame. Resolution means solving, explaining, clearing up or settling the matter and it should be relatively quick and straightforward. We aim to resolve such complaints within 28 days.

It seeks to identify learning points for the individuals involved and/or the organisation. In the vast majority of cases this is an efficient and effective method to resolve public dissatisfaction without the requirement for formal investigation.

It also allows the use of innovation appropriate for that individual or circumstance. Recent good practice within the Constabulary includes: An apology on behalf of the service, apologies from police staff subject to complaint (you cannot require staff to support this it must be voluntary) and meetings between police staff and the complainant.

Local resolution cannot be undertaken without the informed consent of a complainant. In making the decision to locally resolve a complaint must appreciate the following:

• The purpose of Local Resolution.
• The reason why the complaint is suitable for Local resolution.
• That consent for Local Resolution cannot be withdrawn once the process starts.
• That an appeal can be made to the IPCC if the agreed course of action for resolution is not completed.
• That no disciplinary action will be taken against the person subject of the complaint
• That any documents created during the process cannot be used in any subsequent disciplinary process.
• The outcome of a Local Resolution cannot be the subject of an appeal.

The Local resolution process requires a statutory form to be served on the member of staff concerned, which provides details of the complaint and gives an opportunity for an early response to be made.

Formal Investigation

If a complaint is sufficiently serious or the process of Local Resolution has not been accepted, then a formal investigation will be conducted by the Professional Standards Department.

This involves the appointment of an Investigating Officer, gathering of all available and relevant evidence, whether this be documentary or physical in nature, and the taking of statements from witnesses. The officer subject of the complaint will, depending on the level of seriousness of the case, either be asked to supply a written response to the allegation or will be formally interviewed. All interviews are tape recorded and, where the allegation is one of a criminal nature, conducted in accordance with the Police and Criminal Evidence Act 1984.

At the outset of any investigation there is a statutory obligation to serve a notice on the member of staff informing them, of the details of the allegations and advising them of their various rights. One such right is the entitlement to have a friend with them during interview. The friend is usually a staff association or union representative.

Both the complainant and the employee subject of the allegation have a right to be updated with developments in the investigation. This should be at least every 28 days or when there is a significant development.

At the end of the investigation process, a report will be prepared by the Investigating Officer giving a clear account of the investigative process, the evidence obtained and clear reasoning drawing out conclusions from that evidence. The report will clearly indicate whether the allegations are upheld or not, and contain recommendations as to sanction where appropriate. This can range from management intervention, which in fact is not a sanction rather a means of evidencing learning from the incident, to appearance before a disciplinary panel where the ultimate sanction can be dismissal.

The Professional Standards Department are towards disclosure of all Final Reports to the complainant and the member of staff subject of the complaint. Any decision to do so will be subject of a “harm test”. This is a means of ensuring that disclosure does not cause more harm than good, in which case disclosure would be restricted.

A complainant can appeal against the outcome of a formal investigation. This should be done within 28 days of the notification of the outcome itself.

Crown Prosecution Service

Where the allegations are criminal in nature, and are considered sufficiently serious, the advice of the Crown Prosecution Service is sought to establish whether criminal charges should be laid. Consideration of criminal charges takes precedence over internal discipline in the vast majority of cases, so formal criminal charges need to be resolved through the courts before any disciplinary action can be taken.

Sub Judice and Suspended Investigations

Where a complainant is charged with criminal matters and their complaints arise from the circumstances surrounding their arrest, then the matter is considered to be sub judice, which means “before the court”. In these circumstances, the disciplinary investigation is usually suspended until the criminal proceedings are finalised. This is to avoid any prejudice to the complainant and the proceedings.

Referrals to the IPCC

The IPCC must be notified of the more serious complaints, a system known as referral. There is a statutory duty to refer incidents where someone has been killed or seriously injured following direct or indirect contact with the Police and there is reason to believe the contact may have caused or contributed to the death or serious injury.

It is mandatory that the police refer complaints and conduct matters that include:

• Serious assault by a member of staff
• Serious sexual assault by a member of staff
• Serious corruption
• A criminal offence or behaviour aggravated by discriminatory behaviour
• Serious arrestable offences (Serious criminality)

Any other matters can be referred to the IPCC on a voluntary basis. These would include cases of particular sensitivity that nay attract a high level of publicity.

The IPCC may then decide to deal with these cases as follows:

• Return them for local investigation
• Supervise the investigation, which is undertaken by the police, but the IPCC must approve the investigating officer and the terms of reference.
• Manage the investigation, which is conducted by the police, but the IPCC oversee the investigation and approve the Investigating Officer.
• Independently investigate, using IPCC resources.
  

Time Limits

All investigations should be concluded as soon as possible, and there is a threshold of 120 days beyond which every effort must be made to finalise at the earliest opportunity.

Appeals to the IPCC

Appeals can be made in the following circumstances:

• Non – recording of a complaint by the police.
• Against the process of dealing with a complaint subject of a Local Resolution.
• Against the outcome of a formal investigation.

The latter could be made in circumstances where the complainant has not been kept adequately informed of progress or the proposed action, where they disagree with the findings of the investigation, or where they disagree with the action, or no action, that the police propose to take.

Appeals are usually restricted to 28 days after the decision or notification of the outcome.

Complainants will be told of their right of appeal at the time any relevant decisions are notified to them by the police.

Direction and Control

If a complaint does not concern the conduct of an officer or member of staff, it may be about the organisation or procedures of the Force. These complaints are Direction and Control issues, and the categories covered are as follows:

• General Policing Standards in the Force
• Operational Management Decisions
• Operational Policing Policies
• Organisational Decisions
• Quality of Service
• Resources and Budget
• Strategy and Policy
• Structure and Organisation

All such complaints will be recorded and allocated to the appropriate department so that a complainant can be contacted to discuss the issues raised and give explanations as required. Organisational learning is a key consideration in dealing with Direction and Control matters, and action will be taken to rectify any failures in process.

The IPCC do not have a role in the management and handling of Direction and Control matters.