Statutory Guidance to the Police Service on the Handling of Complaints
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Statutory Guidance to the police service on the handling of complaints Amended May 2015 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 CONTENTS CONTENTS 1 INTRODUCTION 4 It is not possible to locally resolve Whom the guidance applies to 5 the complaint 34 How the guidance is arranged 5 6 CONDUCT MATTERS 36 Overview – the three ways into Definition of a conduct matter 36 the system 5 Recording a conduct matter 36 The Police Reform and Social Conduct matters involving Responsibility Act 2011: Changes allegations of discrimination 39 to the police complaints system 8 Conduct matters relating to people 2 PROMOTING ACCESS 12 who no longer work for the police 39 The importance of an Referral of conduct matters to accessible system 12 the IPCC 39 Providing information and access 12 7 DEATH OR SERIOUS INJURY MATTERS 40 Complainants who need Definition of a DSI matter 40 additional assistance 13 Recording a DSI matter 41 Complaints made by young people under 16 14 Referral of DSI matters 41 8 3 COMPLAINTS 16 REFERRALS 42 Initial handling 16 Complaints that must be referred to the IPCC 42 Definition of a complaint 17 Conduct matters that must Who can complain? 18 be referred to the IPCC 43 Recording a complaint 19 Referral of DSI matters 43 Complaints about Mandatory referral criteria 44 discriminatory behaviour 22 Definitions of referral criteria 44 Who can be complained about? 23 Matters which the IPCC requires Decisions not to notify or record to be referred to it (‘call in’) 47 a complaint 24 Deadlines for referral 47 Deciding how to handle a complaint 24 Voluntary referrals 48 4 DISAPPLICATION 25 Referral of complaints about When can disapplication be carried direction and control 48 out by the appropriate authority? 25 Notification of referral 49 When the IPCC’s permission needs Determining whether and how to be obtained 26 a matter should be investigated 49 Grounds for disapplication 27 9 INVESTIGATIONS 51 Partial disapplication 29 Purpose of an investigation 51 Appeals against the decision to subject the complaint Appointment of a person to to disapplication 29 carry out the investigation 51 Terms of reference 53 5 LOCAL HANDLING 30 Keeping an audit trail 53 Local resolution 31 The scope of the investigation 54 2 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 CONTENTS CONTENTS continued Allegations involving discrimination 55 12 ACTION AFTER THE INVESTIGATION 88 Death or serious injury matters Communication with the complainant turning into conduct matters 57 and interested persons after the Special requirements 57 conclusion of the investigation 88 Severity assessments 58 Apologies 90 Notices of investigation 60 Outcomes for individuals 90 Representations to the investigator 60 Learning lessons 95 Interviews 61 Inquest proceedings 99 Power to suspend an investigation 13 APPEALS 100 or other procedure 62 Principles of appeal handling 100 Resumption of a complaint after criminal proceedings 64 Who considers the appeal 101 Suspension of officers and Appeals to the chief officer 103 special constables 65 Appeals to the IPCC 106 Providing information/communication 65 Appeal validity 107 Appeals against a failure to notify 10 DISCONTINUANCES 68 or record a complaint or to When can an investigation be determine whether it is the discontinued by the appropriate appropriate authority (non- authority 68 recording appeals) 111 When the IPCC’s permission Appeals against the decision needs to be obtained 68 to disapply 112 Requirement to obtain representations from the Appeals against the outcome of complainant 70 the local resolution of a complaint Grounds for discontinuance 70 or the outcome of a complaint Notification 72 handled otherwise than in Action to be taken following accordance with Schedule 3 a discontinuance 72 of the PRA 2002 116 Appeal against the decision Appeals against the decision to discontinue 73 to discontinue 119 Appeals against investigation 123 11 CONCLUDING THE INVESTIGATION 74 The investigation report 74 14 DATA COLLECTION Criticism 83 AND MONITORING 131 Who receives the report? 84 Responsibilities of the chief officer 131 What does the IPCC expect the Responsibilities of the local appropriate authority to do with policing body 132 the report? 84 The police complaints system Death or serious injury performance framework 133 investigation outcomes 86 15 LEGAL DEFINITIONS 134 Publication 87 Independent Police Complaints Commission Statutory Guidance - May 2015 3 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 Section 1: INTRODUCTION Section 1: INTRODUCTION 1.1 The Independent Police Complaints Commission (IPCC) has a statutory duty to secure and maintain public confidence in the police complaints system in England and Wales. This guidance has an important part to play in this. It is one of the ways in which the IPCC assists local policing bodies and forces to comply with their legal obligations and achieve high standards in the handling of complaints, conduct and death and serious injury (DSI) matters. 1.2 The Police Reform and Social Responsibility Act 2011 introduced a number of changes to the police complaints system. These changes have been incorporated into this guidance. 1.3 This guidance also draws on good practice in complaints handling and, in particular, the Parliamentary and Health Ombudsman’s Principles of Good Complaints Handling1. These are: • getting it right • being customer focused • being open and accountable • acting fairly and proportionately • putting things right • seeking continuous improvement. 1.4 These principles apply to the handling of complaints in many different situations and are very relevant to dealing with complaints against police officers, special constables and police staff members. The focus should not be solely on the process involved and the issue of whether anyone is to blame. Instead, it should be on understanding that a complaint is an expression of dissatisfaction with the way a person has been treated or the service he or she has received. Such dissatisfaction needs to be taken seriously and is an important part of feedback on performance. 1.5 The police complaints system is not straightforward or easy to understand, even for practitioners. It can be even more difficult for complainants. That is why everyone involved in administering the system has a responsibility for ensuring that complainants and other parties are not disadvantaged and that they can access the information they need in a straightforward way. Accessibility is a vital part of securing public confidence. 1 www.ombudsman.org.uk Independent Police Complaints Commission Statutory Guidance - May 2015 4 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 Section 1: INTRODUCTION Whom the guidance applies to 1.6 The guidance is issued under Section 22 of the Police Reform Act 2002. It applies to local policing bodies and all 43 Home Office police forces in England and Wales. Local policing bodies, police officers, police staff members and special constables working within those forces must all have regard to the guidance. It also applies to those agencies and non-Home Office forces that have entered into Section 26 or Section 26BA agreements with the IPCC, subject to any particular provisions contained within those agreements. 1.7 If the people listed above do not follow the guidance, they need to have a sound rationale for departing from it or risk legal challenge. A failure to have regard to the guidance is admissible in evidence in any disciplinary proceedings and any appeal proceedings following a disciplinary decision. 1.8 This guidance is written with the needs of professionals within the police service and local policing bodies in mind. It is also available to the public and other individuals and groups who have an interest in the system. In addition, the IPCC has published a range of other material to assist different audiences. How the guidance is arranged The law and IPCC guidance 1.9 The guidance follows, so far as is possible, the chronological order of events in the police complaints system. Within the main body of the document, the law is highlighted in boxed text to differentiate it from IPCC guidance. The text in these boxes paraphrases or explains the law and is not a direct quotation from the legislation. A number of flowcharts provide a visual representation of some of the more complex processes. Legal definitions 1.10 Rather than including legal definitions throughout the guidance itself, key terms and concepts are defined in section 15. As this guidance is primarily intended to be used electronically, these definitions are accessible through links to section 15. In the published version, the definitions can be found at the end of the document. Dealing with allegations of discriminatory behaviour 1.11 It is a matter of real concern to society when a person serving with the police is perceived to have acted in a discriminatory and partial way. Specific guidance on the handling of allegations of discriminatory behaviour is included in the guidance. In addition, the IPCC guidelines on dealing with allegations of discriminatory behaviour are available as a separate document on the IPCC website. Local policing bodies and persons serving with the police should have regard to that guidance when dealing with cases involving allegations of discrimination. Overview – the three ways into the system 1.12 There are three ways into the system – complaints (see section 3), conduct matters (see section 6) and DSI matters (see section 7). This guidance covers the initial handling of Independent Police Complaints Commission Statutory Guidance - May 2015 5 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 Section 1: INTRODUCTION each of these elements separately as there are different considerations and decisions to be made.