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Professional Standards Department Standard Operating Procedures

Professional Standards Department carries out unique roles and requirements within the Constabulary. It has responsibility for ensuring that the Constabulary maintains and enhances its reputation and the service it provides to the public and to its staff. An integral part of that service is the investigation of allegations made either by the public or through internal reporting of crime and misconduct committed by either officers or police staff. This document is designed to assist all newcomers to the department in understanding the workings of the department, to act as a reference point for advice to current staff and to ensure consistency in our procedures and practices. Before using this document it is essential that staff have taken the time to read and understand the current Home Office Guidance in relation to the Police Conduct Regulations 2008 and the IPCC statutory guidance with respect to the public complaints system. Both these documents provide the backbone and the knowledge required to perform the role efficiently and effectively. Of course PSD has evolved its own practices in order to fulfil the functions required and it is these practices that will be outlined in the following pages. This booklet details the Standard Operating Procedures and internal practices of the department in relation to the investigations of criminal and conduct matters. In addition there is information provided to assist an investigator to understand the rationale and criteria for some of the decision making, whether it is for their own benefit or that of others on the department. All Standard Operating Procedures are living processes and require constant updating and improvement. Everyone is encouraged to contribute to this as and when the need is recognised. In addition it is important for all officers to realise the importance of flexibility in the way the department and they themselves operate. Investigations will sometimes have to step outside of the procedures but investigators must realise that it is necessary to policy their rationale for doing so. The work of Professional Standards is recorded on the ‘Centurion’ computer system. This programme is able to be accessed solely from Police Headquarters and the Anti Corruption Unit at Totton. All investigations are recorded on Centurion from initial receipt to the final outcome. In a manner similar to RMS investigating officers must record the progress of investigations, policy decisions, actions, file routing and most importantly learning opportunities for individuals or the organisation as a whole. (This learning will be disseminated through the appropriate channel at the first available opportunity by the Business Support Manager and the Operational Learning Matrix.) The Standard Operating Procedures have in the main been laid out in flow charts for ease of reading. Inevitably there is overlap and in any investigation there will almost certainly be more than one of these processes that applies. Some of the processes will indicate that considerations must be made by the investigating officer and recorded, but not all of the considerations need to be actioned. A list of contents overleaf helps point the reader in the direction of the appropriate procedures.

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Contents Page Number Overview of Complaints process for police officers 3 Overview of Complaints process for police staff 4 Administration process flowchart 5 Special requirements (threshold) test and severity assessment definition 6 Referable complaints 7 The role of the IPCC 9 Supervised investigation terms of reference example 10 File naming and building 12 Sub judice procedure flowchart 13 Arresting Police Officers or Police Staff 16 Investigation process flowchart

– Police Officers 17 – Police Staff 19

Physical evidence aide memoire 21 Investigating officer’s report (MG5) example document 22 Arranging Proceedings

- Criminal (Officers and Staff) 24 - Misconduct - Police Officers 25 - Misconduct - Police Staff 27 - Other Outcomes 28

Admin file closure procedure 29 Call out role with procedural flowchart 30 Dispensation and discontinuance guidelines with procedural flowchart 33 Suspension and directed duties procedure 35 Searching of staff lockers, cupboards and desks 36 Arranging interviews of Officers/Staff suffering illness 37 The harm test and ACL policy 39 Retention and storage of property 40 Single Point of Contact (SPOC) role 41

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Overview of Complaints Process for Police Officers For arranging Misconduct Hearings and Misconduct Meetings, see page 25, for arranging Management Action and Management Advice, see page 28

Public complaint made against Police Officer

Conduct matter identified against Police Officer

Not met Met

Severity Assessment (see page 6)

Neither Gross misconduct

Higher level Misconduct

Misconduct (but outcome suitable for management

action)

PSD Investigation (see page 17)

Proposed action by Appropriate Authority

(DCI Assessment)

No case to answer

Gross Misconduct

Misconduct Hearing

Consider special case Fast track hearing if sufficient documentary evidence supports ‘gross misconduct’

and in public interest to dismiss without delay

Management action

Management Action

Misconduct Meeting

Misconduct Hearing

(if officer has live final written warning when the initial

assessment was carried out)

Any proposed action is subject to possible appeal by the complainant to

IPCC

File to PSD Business Support manager (see file

closure procedure, page 29)

Misconduct

NFA

If Criminal complaint, file to CPS for prosecution decision, if applicable. If no prosecution, submit file with

Misconduct considerations to DCI for proposed action.

If prosecution follows, await outcome before submitting file.

Special requirements test

by Appropriate Authority (see

page 6)

File to OCU for attempt at local resolution or

proportionate investigation and report (officers served PCR12)

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Overview of Complaints Process for Police Staff . For arranging Misconduct Hearings and Misconduct Meetings, see page 25, for arranging Management Action and Management Advice, see page 28

Public complaint made against Police Staff

File to OCU for attempt at local resolution or

proportionate investigation by HR

Manager

Conduct matter identified against Police Staff

Not met Met

Severity Assessment (see page 6)

Neither Gross misconduct

Higher level Misconduct

Misconduct (but outcome suitable for management

action) PSD Investigation (see page 19)

in consultation with PSD HR Advisor and OCU HR Manager

File to Appropriate Authority (Employee Relations manager)

for ratification

No case to answer

Gross Misconduct Stage 3 Hearing

Consider special case fast track hearing

Any proposed action is subject to possible

appeal by the complainant to IPCC

File to PSD Business Support

manager (see page 29)

Misconduct Local action Stage 1

or 2 Hearing

DI Assessment

Hearing recommended

File to HoD

Management advice via OCU

HR Manager

If Criminal complaint, file to CPS for prosecution decision.

If no prosecution, submit file with Misconduct considerations to DI for proposed

action. If prosecution follows, await outcome before

submitting file.

No Hearing

Special requirements

test (see page 6)

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Admin Team Processes Flowchart

Complaint received in PSD (directly from complainant or from OCU, IPCC, FEC)

Check Centurion for previous complaints and send acknowledgement letter to complainant

Email or hard copy to Business Support Manager (BSM)

Appropriate Authority (BSM) to review circumstances and complete assessment and decision form regarding: • The need to record as a complaint • Threshold test / Severity Assessment (see Page 6) • IPCC referral (see page 7) • Sub judice, (see page 13) • Dispensation or discontinuance (see page 33)

If recorded as a complaint, email back to senior admin with Assessment and actions necessary. (Email saved into Pending

file in PSD folders until Word file created)

Print out complaint and add to Action list

Admin record on Centurion as DC

(Direction and Control), IX (inbox) or

MI (miscellaneous) and create Word file

Senior Admin record complaint on Centurion

and create Word file

BSM to sign CD2 and letters

Admin send letters to complainant

PSD DI for allocation

Case details emailed to OCU.

File on Bring Forward Shelf

Yes No

Yes No

Conduct matter concerning

officer or staff member?

CO Public Complaint

CM Conduct Matter

Senior admin draft appropriate letters, raise file with minute sheet and CD2 (complaint summary)

PSD investigation necessary?

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Threshold Test and Severity Assessment To be made by the Appropriate Authority, delegated to PSD Business Support Manager Definitions:- Unsatisfactory Performance. An inability or failure of an officer to perform the duties of the role or rank currently being undertaken to a satisfactory standard or level. Dealt with by UPP. Gross incompetence. Unsatisfactory performance to the extent that dismissal would be justified, except that no account shall be taken of the attendance of an officer when considering whether he or she has been grossly incompetent. Dealt with by UPP. Misconduct. A breach of the Standards of Professional Behaviour. Gross Misconduct. A breach of the Standards of Professional Behaviour so serious that dismissal would be justified. Special Requirements (Threshold) Test. Public complaints (as opposed to conduct matters) are subjected to this test to determine how to respond to the allegation. If there is an indication that the allegation amounts to a criminal offence or the behaviour would justify the bringing of misconduct proceedings then the threshold test is met and the allegation is referred to as being ‘of special requirements.’ ‘Special Requirements’ is the term used to describe the processes and procedures which the regulations require during a formal investigation such as the serving of notices and compliance with timescales. If a matter is subject of ‘special requirements’ then the matter will also be subject of the severity assessment. If the test is not met then there is no requirement for the severity assessment and the matter can be investigated informally and proportionately. An investigation report is still required and management action may be taken if appropriate. Severity Assessment. The severity assessment under Regulation 12 will determine:- -whether the allegation is one of misconduct or gross misconduct or neither. See the above definitions. -whether it shall be subject to a formal investigation. Not all allegations which amount to misconduct require full investigation due to seriousness, proportionality or factual evidence. Management action or no further action is sometimes appropriate. All gross misconduct allegations will be investigated. -what type of proceedings and therefore potential outcomes are likely (hearing or meeting). If investigation is required then consideration must be given to whether it should be referred to a meeting or hearing. Misconduct will usually be referred to a meeting unless a final written warning is in force for the officer complained of. Limited fact finding is permissible before this decision is made and the allegation can be re-assessed during the course of an investigation. During the course of an investigation the severity assessment will be reconsidered in light of the evidence gathered. Should the original assessment require amendment the investigating officer will make that recommendation to the detective inspector. A policy must be recorded with the rationale for the change and an updated PCR15a for police officers or letter for police staff will be issued to the subject of the complaint.

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Referable Complaints. The Police must refer complaints and conduct matters that include the following allegations to the IPCC:

• Incidents where someone has died or been seriously injured following some form of direct or indirect contact with the police

• Serious assault by a member of the police service

• Serious sexual assault by a member of the police service

• Serious corruption

• Any criminal offence or conduct aggravated by discriminatory behaviour

• Any relevant offence. This means an offence for which the sentence is fixed by law, or an offence for which a person of 18 years or over (not previously convicted) may be sentenced to imprisonment for a term of seven years (or might be so sentenced but for the restrictions imposed by section 33 of the Magistrates Courts Act 1980).

• All public complaints involving the discharge of a taser gun.

• All incidents of terrorism

In addition the Police may voluntarily refer any complaint or conduct matter outside of the above categories where there are serious or exceptional circumstances which may have a significant impact on public confidence or about which the public may have a particular concern.

Urgent referrals are required for incidents resulting in

• death or very serious injury that could result in the death of any person following police contact within 48 hours of the persons release from custody (see below)

• deaths in custody • police shooting incident • the discharge of a taser resulting in death or serious injury or causes danger to the public

or reveals a failing in command. • fatal or potentially fatal police related road traffic incident • Incidents of high public profile and level of concern which has serious implications for the

level of trust in the police • Death including apparent suicide after a period of more than 48hrs from the deceased’s

release from custody or contact with the police. The below checklist issued by the IPCC relates specifically to suicides following periods of custody but the criteria should be considered for all deaths following significant police contact, and if any of the following applies the matter should be referred:

o Were there any concerns regarding the period of custody or officer conduct? For

example, were any concerns raised by friends or family? Did a suicide note refer to inappropriate actions related to time in custody?

o Were correct policy and procedures adhered to while the detainee was in custody? For example, were risk assessments completed and acted upon appropriately?

o Was information regarding a detainee effectively communicated internally and between agencies? For example, where applicable, was information accurately and fully recorded and transferred on the Prisoner Escort Record?

o Was there any indication of recent or current suicidal feelings, suicide attempts or self harm which were known, or should have been known, to the police? If so, was all appropriate action taken?

o Were there any issues regarding the medical treatment given to the detainees? For example, if there were concerns about their mental or physical state, was the detainee assessed by a suitably qualified clinician? Was the assessment considered to be appropriate? Were the recommendations acted upon?

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o Were there concerns raised about the individual’s mental state? If so, how were these addressed? For example, were appropriate contacts made with family or social services? Was relevant support or advice provided?

o Were there any issues about the individual’s safety in relation to others? For example, were there issues relating to the nature of the related offence or evidence/information they provided to officers? If so, were these concerns adequately addressed? For example, appropriate support/protection considered and sought?

o Was there any evidence or likelihood of media or community interest or concern regarding the period of custody or circumstances of death?

o Was there anything else to suggest that the requirements of PACE Code C or any other regulations, policy or guidance were not adhered to?

o Were there any other issues regarding officer conduct or duty of care which need further investigation?

o Are there any other factors which indicate a cause or link between the death and earlier police contact?

Urgent referrals will be made by telephone using the details provided on the IPCC call out laminated card. Written confirmation of the referral will be made on an IPCC form 7.1 the following morning or when agreed with the IPCC contact on the telephone referral. A form 7.1 will be drafted for senior admin to send at their first available opportunity. These forms can be found in the PSD templates and hard copies carried in the call out bag.

Non urgent referrals will be sent to the IPCC by senior admin on an IPCC form 7.1 within 24hrs or the Monday morning following a weekend incident.

The IPCC will acknowledge receipt of a written referral by e-mail usually the same day. It is likely to take a few days for a decision to be made as to whether they will investigate the matter independently, manage or supervise a local investigation or allow a local investigation without further involvement.

Arrangements for the referral of Complaints and Investigations to the Independent Police Complaints Commission

Hampshire Police Force Covered by the IPCC South-East Region under Commissioner (IPCC Investigators from London and South East Region)

Urgent Referrals During Normal Office Hours (i.e. between 8am – 6pm, Monday to Friday) by telephone to 0207 166 3000 or fax 0207 166 3301

Urgent Referrals Outside Normal Office Hours (i.e between 6pm and 8am Monday to Friday

or during weekends and public holidays) By telephone to 0845 3001972

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The Role of the IPCC If a complaint is referred to the IPCC they decide on the mode of investigation. It may take several days for the decision to be communicated to the Investigating Officer and in the interim period they may well ask for further information or documentation. Awaiting a response must not inhibit the gathering of evidence. When the decision is finalised the IPCC will write a letter to the Head of Professional Standards confirming the mode of investigation. As further evidence is gathered the investigating officer may consider that the mode of investigation is no longer appropriate. In such circumstances he or she should raise this with the PSD DCI who may contact the IPCC to discuss. Whilst flexibility is possible it will prove bureaucratic to amend and the investigating officer is therefore encouraged to supply as much information as possible in the first instance in order that the correct decision can be made first time.

IPCC

Independent Investigation

• Conducted by IPCC staff

• Likely to have serious public concern or impact on community or reputation

• IPCC have powers of constable

• No appeals process

No IPCC involvement until appeal stage (if Local Resolution is achievable, prior

agreement from the IPCC must be sought.

Investigation conducted by police

Form 7.3 sent by IO by email and agreed by

IPCC

Terms of Reference, Investigation plan

and Risk Assessment

completed by IPCC (emailed)

Regular updates to IPCC by email every 28 days

A local resolution may still be achieved on IPCC managed or

supervised investigations if agreed with IPCC beforehand and then with the complainant. A form 7.6 should be emailed to IPCC along

with CD1a and relevant paperwork

Conclusion

To IPCC for agreement that Terms of Reference have been met (If Criminal, must go to IPCC before

CPS) (Report to include Organisational Learning)

Appeal process only for Supervised and Local Investigations into public complaints

Once agreed, file to DCI for assessment

Terms of Reference, Investigation plan and

Risk Assessment completed by IO and

agreed by IPCC (emailed)

Local Investigation Managed Investigation Supervised Investigation

Investigation under direction of IPCC

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Supervised Investigation Terms of reference example 1. To fully investigate the circumstances surrounding the Police involvement with …name… on….date…. 2. The investigation to include consideration of the following matters: The circumstances leading up to and including the arrest of …name… The circumstances leading up to and including the force used by police officers whilst restraining …name… and removing his footwear whilst in the custody area of …….. police station. The nature and causation of any injuries received by ….name… Whether the required police records; and documentation relating to the arrest and detention of …name… were accurately completed. 3. To prepare a written report on the findings of the investigation for the attention of a Commissioner, copied to the DCC, to include recommendations on the culpability of any individual for any criminal liability, and in the case of Police Officers / Staff any disciplinary offences that may be apparent. It will be a matter for the SIO to forward the report for the attention of the CPS, and for the DCC to make any determinations or recommendations with regard to conduct. 4. The report must fully and objectively summarise the relevant evidence gathered, draw conclusions clearly based on the effective analysis of the evidence and recommend disciplinary and other outcomes based on the conclusions drawn from the evidence. It must be sufficiently robust in its analysis to ensure that all users, especially the discipline authority, may confidently base decisions upon it. 5. Any organisational learning should be clearly identified as part of the report, to enable improvements in performance and/or community relationships, and to enable effective monitoring through the guardianship activities of the IPCC, resulting in opportunities for increase in public confidence. 6. The investigation will be undertaken in a timely manner, having due regard to the broader impact on all parties, but will be thorough and effective. If it is to exceed 90 days, this should be notified to all parties at the earliest time possible. 7. Prior to the finalisation of the report, the IO will ensure that the IPCC is satisfied that the investigation has met the terms of reference. 8. The Commissioner supervising this case will be …name… who will approve the terms of reference, agree the appointment of the SIO and exercise oversight of the investigation. The direction and control of the investigation is for the SIO. The SIO will keep the Commissioner informed and briefed at least every 28 days and otherwise as required through the course of the investigation. 9. As a minimum, the SIO will ensure that the IPCC has been provided with an appropriate investigation plan, to include a communication plan, and a risk assessment for the case, to enable effective supervision by the Commissioner and his/her colleagues working on his/her behalf.

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10. All interested parties related to the incident will be kept informed as they require, but at least every 28 days during the investigation, including any officers who are identified as part of the investigation, subject to necessary disclosure limitations. Officers will have their welfare needs addressed by the force. PCR 15’s and letters will be served as appropriate, but only where evidence suggests a Gross Misconduct/Misconduct matter may have occurred. If the conduct relates to a criminal matter, the PCR15 or letter will still be served at the earliest opportunity. 11. The Federation and staff association will be updated every 28 days or as circumstances change. 12. All publicity will be cleared with the Commissioner and the relevant parties to the investigation, but will remain the responsibility of the force.

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File Naming and Building Files will be built in admin and submitted to the PSD DI who will assign investigations to an investigating officer. All hard copy documentation when gathered will be kept in this file and all electronic documentations kept in a ‘Microsoft word’ file. The purpose of this chart is to ensure all documents are saved correctly and filed under the same tabs for each complaint by each investigating officer. The sensitive tab is new and of particular importance to ensure compliance with CPIA (Criminal Procedure and Investigations Act). Complaints are recorded and given a unique reference number on Centurion. Admin will set up a Microsoft Word folder under the same reference number in the Professional Standards folder and all documents relating to that complaint must be saved into the Word file. They should not be copied or saved to officer’s individual accounts under any circumstances whatsoever. All documents required by an investigating officer are contained in the standard forms folder of the Professional Standards Department.

Admin record complaint

Admin raise Word folder

PSD Investigation file built by senior admin

Left hand side of file • G34 minute sheet –

protectively marked as ‘Restricted’ and entries consecutively numbered, dated and signed

To DI for allocation

Papers placed into correct sections on file

Statements section to include all witness accounts and duty reports.

Exhibits section to include all accounts from officers

subject to the complaint.

Right hand side of file • CD1 • CD2 • File cover with complainant’s

address and contact number in top left hand corner

• IOR tab • Statements tab • Exhibits tab – all paperwork

placed here by admin • Unused material • PSD forms • Letters • Emails and memos • Sensitive material

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Sub Judice Procedure Where there are possible or outstanding criminal proceedings, these will not normally delay the misconduct procedure. They will only delay proceedings under the Conduct Regulations where the appropriate authority considers such action would prejudice the outcome of the criminal case. The presumption is that action for misconduct should be taken prior to, or in parallel with, any criminal proceedings. Where it is determined that prejudice to the outcome of the criminal case would result then this decision shall be kept under regular review to avoid any unreasonable delay to the misconduct proceedings. Where potential prejudice is identified the investigation will proceed as normal up until the referral of the case to misconduct proceedings or a special case hearing. (the report submitted) If on submission of the report the outcome of management advice is appropriate then this can be given. Otherwise as soon as the there is no longer any potential prejudice the appropriate authority must continue with determining whether action is required or proceedings should be commenced CPS may decide that sub judice need not apply in which case the complaint investigation may continue. The appropriate authority should always consider whether in proceeding with a misconduct meeting or hearing in advance of any potential criminal trial there is a real risk of prejudice to that trial. If there is any doubt then advice must be sought and recorded on Centurion from the Crown Prosecution service. The following flowchart shows considerations and actions requiring attention both before and after a criminal investigation. It is imperative that investigating officers take steps to gather and preserve all available evidence prior to the investigation file being placed into admin for sub judice monitoring. Consideration must also be given to allegations of assault. The limitation of proceedings requires information to be laid within six months of an allegation of common assault or battery being made or coming to police attention. In these circumstances the investigating officer must attempt to get as much evidence as possible to the Crown Prosecution Service in sufficient time for the prosecution decision to comply with the six month limitation. This can be achieved through a face to face meeting with CPS if necessary.

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Into Sub Judice

IO to monitor sub judice, and responsible for updating officers or staff, complainants, key witnesses and Federation or staff association (with officers or staff permission) every 28 days

File to senior admin to record complaint, prepare standard SJ letter to complainant, MG6C form, and CPS memo

File to PSD IO for review and confirm SJ and send prepared documents (as above)

If agreed SJ, IO to ensure that all available evidence is preserved or collected. (See

page 21).

PCR15s to be served on officers or letters on staff subject of the complaint with terms of

reference and lines on enquiry and informed that complaint is sub judice

Inform IPCC if complaint is managed or supervised

IO to ensure that an updated MG6C and memo is sent to CPS

office prosecuting the complainant

Identify court and court date responsible for the complaint being treated as sub judice

Consider any urgent organisation learning

before file is sent to admin for monitoring. Record on

Centurion and bring to attention of PSD Support

Officer

If complaint is deemed suitable for local investigation, admin email complaint details to OCU. OCU are then responsible for monitoring

the SJ process and when concluded, commencing their investigation

Ensure available evidence as provided by officers/staff members response (PCR16) is secured and

preserved

PSD Business Support Manager decides sub judice

On conclusion of investigation, file to be

returned to PSD Business Support

Manager (see closure procedure, page 29)

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Out of Sub Judice

Following the conclusion of proceedings, the severity assessment should be reviewed in

consultation with the DI if necessary.

Review and record severity assessment.

Investigation continues (see page 17/18)

Allocated IO to contact complainant

Complaint wishes to continue?

Investigating officer must exhaust all reasonable avenues in attempting to contact complainant. Send SP8 letter by Recorded Delivery. If no response and

complainant unable to be contacted, file to be submitted for local dispensation or discontinuance

(see page 33 for grounds)

IO to obtain statement of withdrawal or written

confirmation (consider email)

Investigation may still continue if :- • Conduct considered serious enough to

continue without consent or account from complainant

• Further investigation necessary for learning opportunity

• There may already have been sufficient evidence provided by complainant to enable investigation through to conclusion.

File to admin to close as dispensation, discontinuance or withdrawn - Centurion is updated and the file is put away.

(Complainants that have withdrawn their complaint are sent a confirmation letter. For dispensations and

discontinuances, complainants have already been notified by letter prior to the application)

Yes No

Yes

No

Unable to contact complainant

Sub judice concluded

IO to complete Centurion, forward any OLM issues to PSD Support Officer, update

officers/staff and ensure property removed

DI agrees investigation

should commence?

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Arresting Police Officers and Police Staff

Arrest necessity met. Policy recorded on Centurion

Confer DCI (no disclosures to OCU)

Identify custody suite outside of

officer/staff’s OCU (where

staff unlikely to know or work closely with officer/staff)

Arrange PSD teams to assist in arrest or staff from OCU. Write operation order

and circulate briefing details

to team

Raise RMS entry at last possible moment before

arrival at custody centre

(CRB 78 9600)

Arrange transport

using unmarked

police vehicles or

hire vehicles (not private)

Consider media

Arrange OCU contact to notify

and facilitate actions

necessary around places of

work (eg. Searching)

Officer/Staff already in custody

Criminal investigation and interview

Seek CPS advice from CPS direct or out of county contact

(as above)

Consider PCR 15 for officers or letter for police staff with Terms of Reference.

No lines of enquiry if they will impact on

criminal investigation

Risk assessment

and consideration

of MERG

Notify OCU Commander

Consider contacting PSD management for suspension or directed duties

Notify specialist

departments if incident will impact upon

normal duties, eg. Firearms

Ensure OCU

provide welfare contact

Witness updates and

all pre-release risk assessment completed

If charge authorised, court to be located in

Hampshire as far from officer/staff’s OCU as

possible

In some circumstances the misconduct interview for police officers may be

appropriate following the criminal interview. PCR15s must be served prior to this

interview. This doesn’t apply to police staff

Criminal Complaint

On arrest, notify Federation/Unison and OCU Commander/HR Manager.

ACL need not be applied (see page 39)

On release

Legal advice:

PACE rights will apply.

Federation or staff association may

advise. Special

Constables, should consider

Reynolds Dawson Solicitors on 0207 839 2373 or 07659

130481

Consider making early CPS contact out of county if prosecution decision is likely to be required in office hours and consider if

suspension necessary. (If officer is serving in 2, 5 or 6 OCU - Sussex CPS, if 1, 3, or 4

OCU - Surrey CPS) If suspension being considered during night-time hours, officers can be ordered to attend suitable police station at set time the following

day, unless suspension considered urgent. Police staff should be told to remain at home until contacted by their HR Manager

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Investigation Process (Police Officers)

File received by Investigating Officer

Read and review file. Consider lines of enquiry and create investigation plan if appropriate (may

not be required in straightforward cases)

Review available RMS documents. Print only essential documents. Locate sources of other evidence and arrange preservation or collection. Review officer conduct history

Check sub judice and grounds for referral correct (if appropriate) and consider fast track Misconduct Hearing which may precede criminal case

Check RMS for Health and Safety checks (eg. BOLO, Violent and MAPPA, etc) prior to arranging meeting with complainant

Contact complainant, ascertain their wishes, consider Local Resolution if appropriate, obtain medical authority if necessary, and outline procedures and timescales. Identify any witnesses and evidence that they are aware of. Take complaint statement

concluding with a numbered list of specific complaints.

Serve form PCR15 on officer in person or on Federation friend or by recorded delivery if officer unavailable (eg. Long term

sickness). PCR15 must contain sufficient detail and be sufficiently clear to allow the officer to understand the allegation and respond

if they wish. The lines of enquiry should also be detailed in this free text box of the notice. If investigation is covert, or arrest is being considered, the service of this notice can be delayed, but

the policy decision must be recorded on Centurion.

Consider early account from officer

If investigation requires to be covert, policy must be

recorded on Centurion. DCI must be aware and PCR15

can be delayed until investigation overt.

Make appointment to see officer or staff member by email or phone for service of notice. (Only phone them if on duty, unless exceptional circumstances). If Special Constable,

also contact their OCU Liaison manager

Officer may respond on PCR16 within 10

working days to IO with further lines of enquiry and/or witness details.

These must be considered and if not followed, this must be policied detailing the

rationale.

90 w

orki

ng d

ays

UPDATE complainants,

officers and Federation at least every 28 days and

Record policies and rationale on Centurion

throughout investigation

Ongoing consideration of severity test (see

page 6) and need for suspension/directed duties (see page 35)

Identify witnesses and consider welfare needs and support if necessary. The OCU have responsibility for the

welfare of integrity witnesses and should document a welfare plan

Consider dispensation or discontinuance (see page 33)

Consider any urgent Organisational Learning and disseminate to the PSD Support Officer

If local resolution agreed with

complainant complete CD1A with full

explanation, serve PCR12 on officers by

direct email or in person and carry out

agreed actions as necessary (see

outcomes page 24)

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Gather outstanding evidence

Reassess severity. Confer with PSD HR manager if police staff

Yes

No

Set interview date in agreement with the federation. Guidelines are 21 days maximum notice for criminal

and 14 days for misconduct. Notify officer of time, date and location by email and ensure an agreement is

reached. Officer has the right to amend appointment by 5 working days. In criminal matters the misconduct

interview will usually follow straight on from the criminal interview.

Special Constables are not Federation members but have legal advice available from Reynolds Dawson

Solicitors 0207 839 2373 or 07959 130481

Ensure all evidence available for interview. Always consider fairness towards officer/staff member and

disclosure

If reassessment is needed, serve a

PCR15a on the officer or amended letter showing new details. This need not be done in person

unless the impact will be significant

When sub judice concluded

Disclosure should be appropriate and sufficient to

enable the officer/staff member to prepare a comprehensive

response. The presumption is that disclosure will be provided

subject to the harm test

Interview or obtain account under caution in writing

Complete enquiries including matters arising from interview

Assess evidence and type Investigating Officer’s Report (IOR) on PSD form MG5. If criminal allegation,

the IOR and investigation file need only contain evidence and consideration of criminal matters at this stage. If file relates to conduct only, or NFA is the CPS

decision, misconduct evidence can then be added

File to DI

Tapes. If criminal interview, serve TR3, if police officer misconduct, provide tape if

requested

90 w

orki

ng d

ays

For sub judice process see page 13

Update Centurion. Send a copy of PCR15 if Centurion not accurate. Ensure senior admin can accurately record each complaint against each officer

(supply copy of complainant’s statement if necessary). Also copy PCR15 to the restricted mailbox of officer’s OCU (if Inspector rank or below – higher ranks to be discussed with appropriate authority and/or HoD) and to the Federation if

requested by officer

Sub judice?

IO to update Centurion with copy of IOR, details of lessons to be learned and routing of file to DI.

Update officers,

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Investigation Process (Police Staff) File received by Investigating Officer

Read and review file. In conjunction with PSD HR Advisor, consider lines of enquiry and

create investigation plan if appropriate (may not be required in straightforward cases). Conduct

joint investigation with OCU HR Manager

Review available RMS documents. Print only essential documents Locate sources of other evidence and arrange

preservation or collection. Review staff conduct history

Check RMS for Health and Safety checks (eg. BOLO, Violent and MAPPA, etc) prior to arranging meeting with complainant

Contact complainant, ascertain their wishes, consider Local Resolution if appropriate, obtain medical authority if necessary, and outline procedures and timescales. Identify any witnesses

and evidence that they are aware of. Take complaint statement concluding with a numbered list of specific

Serve standard notice in person with Terms of Reference, lines of enquiry, information leaflet, Standards of Behaviour and Police Staff

Conduct Procedure. Letter may include a suitable interview date with 7 days notice and entitlement to representation if applicable but doesn’t

have to include a date at this stage if unknown. If investigation is covert, or arrest is being considered, the service of this

notice can be delayed, but the policy decision must be recorded on Centurion.

Consider early account from staff

member

If investigation requires to be covert, policy must be

recorded on Centurion. DCI must be aware and letter

can be delayed until investigation overt.

Make appointment to see staff member by email or phone for service of notice. (Only phone them if on duty, unless exceptional circumstances). Consider arranging through OCU HR Manager

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UPDATE complainants, staff and staff

association at least every 28 days and Record

policies and rationale on Centurion throughout

investigation

Ongoing consideration of severity test (see

page 6) and need for suspension/directed duties (see page 35)

Identify witnesses and consider welfare needs and support if necessary. The OCU have responsibility for the welfare of integrity witnesses and should document a welfare plan

Consider dispensation or discontinuance (see page 33)

Consider any urgent Organisational Learning and disseminate to the PSD Support Officer

If local resolution agreed with

complainant complete CD1A with full

explanation, arrange a meeting with police

staff through OCU HR manager (who need not be present) and

carry out agreed actions as necessary. (see outcomes page

27)

Check sub judice and grounds for referral correct if appropriate and consider fast track

20

Gather outstanding evidence

Reassess severity. Confer with PSD HR Advisor

Yes

No

Set interview date by notice which can be sent by e-mail direct or through OCU HR Manager. Police staff require 7 days notice of interview but if possible give same notice as for officers. (see page 18) Consider using OCU HR managers for interviews. Notify staff member of time, date and location ensuring an

agreement on those details is reached. In criminal matters the misconduct interview will usually follow straight on from the

criminal interview.

Ensure all evidence available for interview. Always consider fairness towards staff member and

disclosure

If reassessment is needed, serve an amended notice

showing new details. This need not be done in person unless the impact will be significant

When sub judice concluded

Disclosure should be appropriate and sufficient

to enable the staff member to prepare a

comprehensive response. The presumption is that

disclosure will be provided subject to the harm test

Interview or obtain account under caution in writing

Complete enquiries including matters arising from interview

Assess evidence and type Investigating Officer’s Report (IOR) on PSD form MG5. If criminal allegation,

the IOR and investigation file need only contain evidence and consideration of criminal matters at this stage. If file relates to conduct only, or NFA is the CPS

decision, misconduct evidence can then be added

File to DI

Tapes. If criminal interview, serve TR3. No tape to be provided. If misconduct, tape may be provided unless it may prejudice

investigation or warn other people involved. A written

transcript or short descriptive notes (SDN)

must be provided within 7 days or ASAP

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IO to update Centurion with copy of IOR, details of lessons to be learned and routing of file to DI. Update staff member

For sub judice process See page 13

Update Centurion. Send a copy of notice to PSD Mailbox if Centurion not accurate . Ensure senior admin can accurately record each complaint against each staff

member (supply copy of complainant’s statement if necessary). Also copy letter to the restricted mailbox of staff member’s OCU and to the Unison mailbox if requested

by staff member. If staff member is the HR Manager discuss with Head of PSD

Sub judice?

21

Physical Evidence Aide-memoire

This list is neither exhaustive or in any order

• CCTV (custody, local authority and private) • Pocket Notebook • Records Management System (RMS) Documents • Phone records (subscriber and billing records) • Operation Tiger Phone Records (Internal phone records) • Control Room Tapes • Scene visit • Photographs • Automatic Number Plate Recognition (ANPR) Data • Safety Camera Data • Force Policy and Procedures • Complainants History, (Police National Computer (PNC), RMS etc) • Officer PSD History • Specialist Services Evidence, (Fire and Ambulance Service, Roads Policing Unit

(RPU), Child Abuse Investigation Unit (CAIU), Criminal Investigation Department (CID), Major Crime Department (MCD) etc).

• Custody Records • Custody Video • Medical Records • Forensic Evidence • INCA (Automatic Vehicle Location System – AVLS) Evidence • In-car Data Recorder (IDR) Data • Domestic Violence Unit (DVU) and Anti Corruption Unit (ACU) Intelligence • Regulation of Investigative Powers Act (RIPA) • Lawful Business Monitoring (LBM)

22

This document is disclosable and will be provided to the complainant and officer.

INVESTIGATING OFFICERS REPORT

File Reference: CO or MC/ /09

Date of completion: INTRODUCTION Complainant: Name, contact details (e-mail, telephone). Details of any agent (e.g., solicitor) COMPLAINANT WILL RECEIVE REPORT IF PUBLIC COMPLANT) Subject (s) of investigation: Name, rank & number Details of any regulation notices & dates served e.g., PC 12345 UNKNOWN Served with a PCR 15 discipline notice on the 1st October 2009 SUMMARY OF INVESTIGATION 1. Brief Circumstances of events leading to complaint

On 1st October 2008 a number of officers attended the complainants home address in response to a call regarding a domestic dispute. On arrival they found the complainant and his wife in dispute and allegations were made by the wife which resulted in officers detaining the complainant. It is during his detention that he states that officers used excessive force and failed to inform him of the reason for his arrest. On being taken to the custody centre the complainant alleges that he was taken to the cells and at no time whilst he was in custody was he allowed access to a solicitor or was he provided a meal.

2. Alleged conduct/details of complaint The basis of the allegation against XXXX was that:

1. “S/he used inappropriate language and attitude towards Mr(s) Complainant”. 2. S/he applied the handcuffs too tightly 3. Custody officer failed to obtain legal advice

Clearly identify which complaint relates to which officer/staff member Precis of complaint – who, where, when, what - include date complaint received, details of complaint, wishes of complainant or details of alleged misconduct if internal matter. 3 Details of Investigation Details of appointed Investigating Officer Lines of enquiry followed (non-sensitive) Witnesses Investigatory interviews held and any representation

The alleged conduct should be clearly laid out showing which complaint is

made against which officer(s).

In writing the conclusions, the report should clearly indicate the finding of each and every individual complaint so that each complaint recorded in

‘alleged conduct’ (No1. below) can be quickly referenced to the result.

23

4 Facts of Case / Evidence Objective evidence to support or refute the allegation(s) e.g., Witness accounts, review of CCTV, RMS audit info, corroboration, staff member’s account and mitigation incl any admissions, findings, etc Training undertaken, e-learning etc For police staff include any previous management intervention 5 Conclusions Conclusions must be clearly laid out and reflect the numbering of allegations as in section 2 above. Only criminal conclusion should appear on investigating officers report whilst the criminal matter is still being considered for putting to Crown Prosecution Service. On return from CPS the misconduct conclusions can be drawn. The conclusions should make it clear that the complaint is upheld, not upheld or partially upheld. Whilst this is the preferred terminology and may be used in the majority of investigating officers reports there are times when it may be more suitable to simply provide a clear summary and conclusion without the harshness of indicating the complaint to be ‘not upheld.’ This is acceptable to the IPCC providing the conclusion can be clearly understood by the reader. use the terminology “in taking a balanced view of the information provided by the investigation, it is the Investigating Officers opinion that based on the balance of probabilities, there is a case to answer in respect of misconduct / gross misconduct or there is no case to answer”. The reasons for conclusion are? Organisational failings identified are? . 6 Investigating Officer’s Recommendation No recommendations to be made in relation to criminal matters for presentation to CPS. It is the Investigating Officer’s opinion that it is reasonable for officer 999 to face formal disciplinary action / no further action should be taken against XXXXX / this is suitable for management action. This report is submitted for a determination by the Appropriate Authority on the appropriate action to now be taken. 7 Any Organisational/Individual Learning and Development Identified Name Investigating Officer Professional Standards Department

24

Arranging Criminal Proceedings (Officers and Staff)

No To Disciplinary

Proceedings Decision (HoD if Misconduct

Hearing considered) or OCU for Management Advice (see from page

24)

Yes

Identify appropriate CPS (If officer is serving in

north and west of county, to Sussex CPS, if south and east, to Surrey CPS)

File copied by admin

Admin send copy file with MG3 and letter to CPS.

Prosecution

No prosecution

• Identify court and CJU out of county. On an individual basis in county may be considered

• Record Crime on RMS if not already recorded • Inform OCU and remind that officers welfare is OCU

responsibility • Consider integrity plan for witnesses (officers). • Update witnesses regularly up to and through court

proceedings. • Complete investigation. • Arrange transportation and staffing for witness care.

Use available PSD staff and supplement through Ops Support, ensuring officers not known to officer being prosecuted

• Consider media services for press interest.

IOR resubmitted to DI for assessment with full details of crime and

misconduct investigation, including CPS decision

Court proceedings concluded.

IO to draft MG3 (in standard forms) and letter to CPS.

Letter to be signed by DCI

To OCU for Management Advice or UPP (see page 28)

Misconduct Hearing or Meeting

(see page 25)

Gross Misconduct Hearing

(see page 25)

File to CACC for interim letter to complainant with appeals leaflet

Ensure officers updated of CPS decision

IO to update complainant and officers

If officer/staff member was off duty at the time of alleged

criminal act the crime must be recorded on RMS.

If officer was on duty it will only be at the point that CPS agree

prosecution that it will be entered onto RMS

Consider urgent OLM issues

(PSD Support Officer)

If criminal investigation is supervised or managed, file to

IPCC to agree Terms of Reference have been met.

File to DCI with agreement of IPCC if needed

Threshold test passed?

CPS Decision

MG3

Police Officers

See Police Staff Hearings (page 27)

Police Staff

25

Arranging Misconduct Proceedings for Police Officers Gross Misconduct (Hearing) Misconduct (Meeting)

Investigation file through DCI to Head of Department if Hearing to be considered

If HoD deems hearing appropriate, he/she may

instruct Force Solicitor to approach counsel to present case. Counsel can be stood down if later response from officer suggests facts won’t

be disputedIO to draft PCR21 detailing the evidence relating to the breach of standard

IO (not Force Solicitor) to identify relevant evidence to support breach of standard and supply file to admin for

copies of paperwork subject to harm test. IO to retain file.

Available dates to be passed to PSD Business Support Manager (BSM)/Senior admin ASAP.

BSM (in conjunction with IO) to identify suitable panel members, location and available dates

Panel dates and locations agreed. IO to serve PCR21 on officer in person with one copy of relevant paperwork (including IOR and officers

responses) on which the case relies. IO should also serve a blank PCR22 and emphasise to officer the opportunity for a response and for the

response to go to the PSD BSM (note 7 on PCR21 explanatory notes)

An Appeal Against a Panel Member (or Chair, if Misconduct Meeting) may be made by the officer within 3 working days. If this is the case, the PSD BSM will consider the appeal and make alternative arrangements if appropriate. If not appropriate, the

rationale must be recorded on Centurion.

Within 14 working days of service of PCR21, officer may respond with PCR22 and supporting paperwork. An inference may be drawn if officer fails to provide response. A

response should indicate if officer accepts that his or her behaviour fell below the required standard or if he or she disputes the facts or rationale.

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for h

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Consider urgent OLM issues and

refer to PSD Support Officer

If public complaint, send file to CACC for interim letter to complainant to advise of misconduct ‘proceedings’ (and date providing opportunity

to attend) with appeals leaflet and for Centurion to be updated

An appeal is unlikely, but if

received, will not hold up

proceedings

PSD BSM forwards PCR21, PCR22 and supporting paperwork as agreed at PSD meeting to Chair and

panel members

Full transcript of interviews to be obtained

for Hearing panel. Not required for Meeting.

Key PSD staff to meet and discuss service of paperwork and evidential material. Decision made as to who will represent PSD at Proceedings

26

Investigating Officer will not be involved in the Meeting unless invited by the Chair. The IO may be asked to present the facts at

a Hearing depending on circumstances. IPCC may attend if involved in investigation, including appeal.

Other interested persons (complainant) may attend up to point of discipline action

Hearings and ‘not guilty’ Meetings will be tape recorded. ‘Guilty’ Meetings will

require detailed written notes by the Chair.

At conclusion of Hearing or Meeting the Chair will complete a form PCR36 and will serve a copy on

the officer within 5 working days along with a written warning notice or final written warning

notice if appropriate. The original PCR36 and a copy of any warning notice will be sent to the

PSD BSM by the Chair

Public Complaint IO to submit file to CACC with

updated IOR giving outcome as discipline proceedings. No

disclosure of action taken to be included.

Conduct Matter IO to submit file to senior

admin to close

If officer’s response indicates that he or she does not accept the breach of standard, the PSD DCI will review file and identify the key witnesses who’s

evidence may be disputed. BSM will liaise with the officer or Federation to agree which witnesses should be called and if there is no agreement, both parties

submit the names of their preferred witnesses to the Chair of the panel who will determine which witnesses he or she wishes to attend. The presumption is that

witnesses will not attend misconduct proceedings if possible. Officer may appeal to Chair to reschedule up to 5 working days later.

IO to ensure outcome carried out before submission for closure. Also, consider any OLM issues and property disposal.

Consider if counsel will still be required. Cancel if not and review PSD representation

See closedown procedure (page 29)

See closedown procedure (page 29)

27

Arranging Disciplinary Procedures for Police Staff

See closedown procedure (page 29)

NFA Discipline

IOR and supporting evidence to Employee Relations Manager for agreement of

appropriate discipline level

File copied. One copy to each panel member, one to staff member and one to

Staff Association PSD BSM to send letter to Police Staff

giving Hearing details with minimum of 7 days notice.

Public Complaint IO to submit file to

CACC with updated IOR giving outcome as

discipline proceedings. No disclosure of action taken to be included.

Police staff should respond to panel chair and PSD BSM with evidence relied upon,

mitigation and proposed witnesses at least 48hours ahead of Hearing. If no response

received, panel chair can decide to exclude last minute evidence

submissions.

File to CACC for interim letter to complainant with appeals leaflet. IOR will not be sent at this stage. Letter will detail findings of investigation with fact that staff member will be

subject of discipline proceedings or advice

If public complaint, file to CACC for letter and IOR to be sent to

complainant with appeals leaflet. If not, file to senior admin to close (see

closedown procedure (page 29)

Conduct Matter IO to submit file to

senior admin to close

IO to ensure sanction implemented by letter, refer any OLM issues to PSD Support Officer and ensure property

removed from file but retained in line with property storage procedure (page 40).

Consider possibility of appeal

DI in consultation with PSD HR Advisor to consider appropriate discipline level. If level 3 considered

decision to be ratified by HoD.

File (IOR and supporting evidence) to staff member’s

OCU HR manager to arrange Hearing. IO will not present or attend unless requested with

good reason.

Meeting concluded. Any sanction administered by HR Manager.

PSD will retain responsibility for Stage 3 Hearings. PSD BSM to arrange panel date and location of Hearing in

liaison with PSD HR Advisor.

IO should present evidence in conjunction with staff

member’s OCU HR Manager.

Stage 3 Stage 1 or 2

Informal Management Action (by OCU HR

Manager)

Consideration should be given to most suitable representative (PSD IO or HR Manager) at Hearing, dependent upon

knowledge of case

28

Other Outcomes without Misconduct Proceedings (Officers and Staff) Investigated by PSD IO

Dispensed or Discontinued (see page 33)

Locally Resolved Management Action including performance issues

IO to complete PCR12a detailing proposed action and email to officer (PCR12a and IOR to

OCU by email). On completion file to be returned to PSD Admin

with copy PCR12a and email

CD1A

Public Complaint IO to submit file to CACC to send letter to complainant with IOR or

CD1A and appeals leaflet

Conduct Matter IO to remove property from file, refer any OLM issues to PSD Support Officer, update

Centurion

IO to ensure officer aware of provisional outcome if public complaint, or final

outcome if conduct matter

Following DI Assessment

IO to submit file to senior admin to close (see page 29)

UPP NFA

OCU investigations returned to PSD are reviewed by the BSM. If Local Resolution has been achieved, the file will go to CACC. All other outcomes will go to DCI.

29

Admin File Closure Procedure Public Complaint

OCU Investigation returned to PSD Admin

Admin collate with BF file and pass to BSM

File to DCI for review

File to CACC (via Admin)

File on BF shelf for 40 day appeal period

Email notification from IPCC, forwarded to CACC

with file

YesNo

CACC to confer with IO if possible and forward appeal response to

IPCC

Yes

NoAdmin copy

decision letter to CACC and IO (if PSD)

Admin to update Centurion, copy decision letter to CACC and IO (if PSD). File to

BSM or DCI for reinvestigation if appropriate or to identify lessons for future

File to senior admin to provide written result to

officer/staff member direct if LR or via OCU

Restricted Mailbox. Centurion updated, CD3 printed. Filed. Any OLM issues to be referred to

PSD Support Officer

Appeal upheld?

CACC to notify officer/staff member of appeal details and provide 28 day updates throughout

appeal period

If officer/staff member has requested copy of IOR, file

should go to IO to make redactions as appropriate.

File should also be returned to IO if any property needs to be

disposed (see page 40)

CACC to send final letter and leaflet to

complainant, update Centurion, update

officers with PCR12a, print CD3. Filed

CACC to send final letter and leaflet to complainant

Conduct Matter

Appeal received

via IPCC?

Upheld/Not Upheld/Partially Upheld

Local Resolution

30

Call-Out Role Professional Standards Department provides 24/7 cover giving advice and guidance to the Constabulary regarding matters such as public complaints, criminal allegations and serious misconduct issues. Some of this advice will necessitate the duty PSD officer to attend incidents or custody centres in order to take ownership of particular issues, an example being a detained member of staff. The call out person will also act as a conduit with the Independent Police Complaints Commission in circumstances outlined elsewhere in this document. In order to fulfil this function out of hours PSD always provides one person on a call-out basis. The PSD role within the Constabulary is primarily one of responding to incidents and providing advice and guidance to officers in relation to PSD matters. The process for contacting the PSD call-out officer out of hours is that a Constabulary member requiring PSD advice or guidance should direct the enquiry through the Force Control Room Inspector. Experience shows that in the vast majority of cases advice and guidance can be given over the telephone without the requirement for the PSD call-out officer to attend an incident. When performing this role the call-out officer will be supplied with a call-out bag which will contain documents and other material to enable them to deal with any matters that come to their attention during the out of hours period. Consideration must always be given as to whether the call-out officer should attend incidents which may require referral to the Independent Police Complaints Commission and all cases where a member of staff is under arrest. There is advice and guidance in these Standard Operating Procedures regarding how to conduct referrals to the IPCC and when they may be required. Call-out officers should avail themselves of this advice and guidance. It is most likely that an immediate mandatory referral will be required in the event of any death following police contact or death in custody. The call out PSD officer will also be expected to attend some other incidents which may need more than telephone advice or guidance. In addition, there will be occasions when the call out officer is informed of incidents which do not require PSD involvement. It is not possible to fully list all the matters about which the call out officer will be notified or be specific about which incidents would require attendance. The chart below is guidance but the circumstances of every incident will be slightly different and must be treated on its own merits. The PSD call out officer will consider contacting the Head of Department or Deputy on their respective force mobile or home phones to notify them of a critical incident or any other matter which will impact on the Professional Standards Department. They can also be contacted for guidance, PACE authorities (remember CADRE officers may be available) or if an officer of the rank of superintendent or above is involved. In the event that an allegation is received against the Head of Department, the call out officer should contact the Deputy Chief Constable or in his absence the Assistant Chief Constable acting as ‘Gold’. (known to the control room) An Assistant Chief Constable may contact the PSD call out officer directly for advice and this may be given. However, the call out officer should never contact an Assistant Chief Constable for advice as it may disqualify them from Chairing any subsequent disciplinary proceedings. If advice is required at this level the call out officer must contact the Head of Department.

31

Call Out Procedure (Applies to out of office hours only)

YesPSD

attendance required?

No

Call outs and notifications

Yes Referral to IPCC?

(see page 7)

Attendance required?

Yes

No

Take sufficient details to provide account to PSD

Admin the following morning

Start Policy log (blue book) Critical incident – attend

Urgent referral criteria met – attend

Police officer/staff arrested – attend if appropriate-

Member of outside force arrested – take details and

refer to Force’s PSD the following morning

Intelligence – attend if action required, including public or officer/staff member at risk.

Advice – take details

Call Head of Department if critical incident, death or serious injury, or

Force appears vulnerable. Consider specialist advice including Major Crime, CAIU, CSIs, SOITs, etc. Ensure Federation/Unison and PIMs

contacted by Control Room and attending.

Ensure CADRE superintendent, Consider OCU Management

Phone ASAP to allow travelling time should they wish to attend.

Whilst full details are not required before calling, a more

comprehensive picture will allow a more accurate decision

from the IPCC. Agree that Hampshire will retain primacy until IPCC sign policy taking

control

No

If officer under investigation is a Superintendent or above, notify

PSD Management. If officer is a social acquaintance or close colleague of the PSD call

out officer, utilise OCU staff to work in liaison with yourself or telephone

Head of Department for advice

Write policy and ensure sufficient details known

to follow up in the morning

Ensure scenes and other available evidence preserved, Officers involved retained on

duty Witnesses secured. (Golden hour principle)

Take call

Assess and enquire (preferably first hand accounts)

32

Arrange briefing at RVP for Principle

officers

Incident briefing. Appoint investigating officer and inform briefing of PSD

role. Review current position of officers involved in regards

to welfare, isolation and conferring with each other.

Investigation continues (see investigation page 17)

Account from officers involved (Liaise with PIMs, but PSD or SIO decision). Officers must

be given opportunity for Federation and legal advice if appropriate before providing

an account unless this causes unreasonable delay

IO to bring to attention of PSD Management during office hours.

Ownership of investigation remains with PSD callout unless PSD

Management considers alternative IO.

If incident is so serious as to require Major Crime team, or specialist investigators, the

PSD call out will act as liaison with the IIO or SIO. Otherwise, the PSD call out will become

the investigating officer

PSD call out will ensure that the investigation deals with the

officers concerned in accordance with Police Conduct Regulations

2008. Liaison with PIMs, Federation/Unison will be

necessary

Task enquiries and staffing to OCU staff through OCU management ensuring no

conflict of interest. Use neighbouring OCU if

necessary. Use experts as required

Principle officers Consider arrest (see page…). Consider urgency with which

account needed. PNBs or duty reports may be sufficient or interview

at convenience. Consider service of notice if urgent account is required unless criminal

investigation. An account WILL only be obtained following consultation

with the federation as officers MUST obtain legal advice prior to any

account. Federation have 24 hour legal advice access.

PCR15s should be served if officer is to be investigated for misconduct. A

notice can be delayed if criminal matters are to take priority. A notice may also be delayed if the service

would hinder an urgent investigation where the need for truth and facts outweighs the need for discipline

proceedings.

Consider seizure of clothes.

Consider blood/alcohol samples.

Periphery officers/witnesses

Consider welfare but arrange detailed accounts before end of duty if possible. Officers

may be kept on duty if necessary.

Officers Conferring Officers are allowed to confer

following incidents concerning facts but should not discuss their own

actions or rationale for those actions, ie, they may discuss what time they attended, what they saw but not why they acted as they did or what their belief was as to the circumstances

they were dealing with.

PSD call out must ensure that the OCU management are fully

aware of incident, officers involved and the

need for welfare to be considered at an OCU

level

Investigation continues as necessary (see pages 17/18)

33

Dispensation and Discontinuance Guidelines Complaints may be resolved or brought to a conclusion by means of Dispensation or Discontinuance. A dispensation is possible if no investigation has commenced into a public complaint. If the investigation is underway, then a Discontinuance is the appropriate outcome in the circumstances, as described below. Dispensations can be obtained if: 1. More than 12 months has passed between the incident and the complaint being made

and either there is no good reason for the delay or injustice would be likely to be caused by the delay

2. the matter is already subject of a complaint 3. no address or name for the complainant or other interested party can be obtained – and

it is not practical to ascertain these details 4. The complaint is vexatious, oppressive or an abuse of procedures 5. The complaint is repetitious 6. the investigation cannot be completed because of a refusal to provide an account, or the

complainant doesn’t afford reasonable assistance or there is such a considerable lapse of time since the event.

Discontinuances can be obtained: 1. the complainant refuses to co-operate 2. the complaint is vexatious, oppressive or an abuse of procedures 3. the complaint is repetitious 4. the complainant agrees to a local resolution 5. it is not practical to proceed with the complaint Dispensations and discontinuances may not be appropriate if in the initial receipt of the complaint sufficient details were provided by the complainant to enable an investigation to be carried out. It must also be a complaint which is vexatious, oppressive or repetitious and not a complainant. (Please see below for chart)

34

No grounds for Dispensation or Discontinuance identified by Business

Support Manager

Through admin procedure to investigation by PSD IO or allocated to OCU

Grounds for Dispensation or Discontinuance identified by IO or

OCU (IO will route through DCI and OCU will route through PSD BSM)

Yes

No

See page 13 for sub

judice process

If no grounds for dispensation or discontinuance are identified by the PSD Business Support Manager, the complaint may be sent to OCU for a local investigation. If the matter isn’t sub judice and grounds for dispensation or discontinuance are identified, the file will be returned to the PSD Business Support Manager for reassessment and if agreed, admin will prepare the appropriate form (as per above). If either the PSD Business Support Manager or the IPCC subsequently disagree, the file will be returned to the OCU for investigation. If the complaint is sub judice, the documents are emailed to OCU as per live complaints. It is the responsibility of the OCU to monitor sub judice and commence enquiries when sub judice has concluded. Grounds for discontinuance may still be identified throughout the course of an investigation.

Don’t agree IPCC

decision

Agree Complainant notified of

decision by IPCC

File closed

Reassessment by Appropriate Authority

(Business Support Manager)

Allocated for investigation (see page 17/18)

Dispensation Form 7.4 sent with

supporting paperwork to IPCC by admin

(Recorded Delivery)

Discontinuance Form 7.5 sent with supporting paperwork to IPCC by admin

(Recorded Delivery) Letter sent to complainant with copy of form

Letter sent to complainant informing them that complaint has

been recorded and that an application for a dispensation is to

be sent to the IPCC

Complaint recorded

Complaint assessed by Business Support Manager and grounds for dispensation exist

Sub judice?

35

Suspension and Directed Duties Procedure At any time during the course of an investigation the investigating officer or senior PSD management may be asked or may feel it is appropriate to consider the suspension of an officer or member of police staff. The grounds for suspension are covered by Police Conduct Regulations 2008 on Police Unsatisfactory Performance and Criminal Misconduct Procedures. The allegations against the officer or member of police staff must be serious and consideration must be given to transferring the officer or police staff to an alternative temporary post rather than suspension from work. This would be termed ‘directed duty.’ At least one of the following conditions must be met before suspension can be considered: • The presence of the officer or member of staff on duty might be detrimental to or hinder

an investigation or proceedings (criminal or disciplinary) • It is in the public interest to do so. It may be considered to be in the public interest if the

Force is vulnerable or the outcome, if proved is likely to lead to dismissal, a criminal conviction or a misconduct sanction of a serious nature.

Suspension is therefore seen as a last resort. If an investigating officer believes suspension may be appropriate, he or she will bring it to the attention of a member of the PSD Management team for consideration. It will then be taken to the Deputy Chief Constable for a decision. This process is formalised in writing and as per Hampshire Constabulary policy, suspensions are reviewed at least every 28 days. Following review, the PSD Management team will send a letter to the suspended officer/staff member with an update as to the decision. The Employee Relations Manager will be involved in decision making in regard to members of police staff. An alternative to suspension is the placement of an officer/staff member on directed duties. If this is appropriate the investigating officer will again bring it to the attention of a member of the PSD Management team for consideration. PSD Management will consider the criteria on an individual basis but may suggest to an OCU that an officer/staff member is removed from the evidence chain, is removed from operational duties, is prevented from working with RMS or other computer systems or restricted from speaking with the public. An officer/staff member subject to directed duties will have the circumstances reviewed by the investigating officer throughout the investigation and if appropriate, may be returned to full duties in consultation with the PSD DI. An OCU will find an appropriate role for the officer/staff member and will confer with PSD Management to ensure the placement is suitable. It will be for the OCU to manage the officer/staff member. The position will be reviewed every 28 days in line with force policy.

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Searching of Staff Lockers, Cupboards and Desks The above facilities are provided by the force for the storage of paperwork and equipment and staff members’ personal effects. These facilities are not considered as private areas. The use of cupboards and desks may be subject to supervision, monitoring and search as necessary. Personal items contained within such storage facilities will not be searched other than in accordance with a lawful authority to do so. In the absence of a statutory authority, personal items of property will only be searched with the prior consent of the owner. If consideration is being given to the searching of an officer or staff’s locker, desk or cupboard the investigating officer should consider giving the individual the opportunity to consent and be present during the search. The individual may, if they wish have a friend present during the process. If the locker holder cannot be present, he or she should be given the opportunity to nominate a representative to be present instead. If the investigating officer has grounds for not notifying the individual of the intent to search, he or she must record the reasons and refer to the procedure below. A written record covering the reasoning and proposed extent of the search will be made in advance and the result will be recorded immediately on conclusion. A copy of this written record should be supplied to the locker holder. A policy log recorded on centurion is the appropriate place to record these details. If the officer or staff member declines consent to search the investigating officer will apply to the Head of Professional Standards for authority to do so. The application and consideration will be recorded and a copy provided to the officer or staff member. A policy log is the appropriate place to record these details. It is preferable to make the application in advance in order to overcome subsequent refusal quickly and efficiently. The application will be made on a form PSD1. In cases of emergency or where it is considered that the purpose of the search may be frustrated by advanced notice authorisation may be given verbally or in writing by an officer of the rank of Superintendent (CADRE officer). In these cases the investigating officer will conduct the search in the presence of an independent member of staff holding a more senior post than that of the locker holder. This decision making process must be recorded with the rationale on a policy log. Desks, cupboards and other workspace furniture which are allocated for the use of staff may also be searched. The same conditions will apply.

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Arranging Interviews for Officers and Staff suffering certificated illness For an investigation to be effective it must be just, accounts obtained from those involved and be timely. Delay for whatever reason is likely to reduce public confidence in the police service and raise the stress levels of all concerned. Any officer/staff member involved in an investigation is liable to become anxious and this may well lead to medical intervention or periods of sickness absence. This should not automatically be regarded as affecting an officer’s fitness to participate in an interview or any other part of an investigation. Officers/staff should not normally be interviewed during a period of certificated sickness unless they are willing and their absence is caused by a physical injury such as a broken bone. The investigator should seek to establish when that officer or staff member will be fit for interview. It may be that they are not fit for duty but perfectly capable of being interviewed. Alternatively the person concerned may be invited to provide a written response to the allegations within a specified time and may be sent the questions that the investigator wishes to be answered. The officer or staff member should only be contacted and interviews arranged during their working hours. This may be facilitated either with the person directly if appropriate, through a Federation/Unison representative or the appointed OCU welfare officer. It must be remembered by investigating officers that OCU’s have welfare officers appointed during protracted periods of sickness absence and these contacts may be able to provide or pass information. There will be occasions when officers/staff wish to have contact with PSD as contact may be able to ease concern or reduce anxiety. It is important that there is a balance between the welfare of the officer or staff member concerned and the need for the investigation to progress as quickly as possible in the interests of justice, the police service and the person subject to investigation If a verbal account is deemed necessary and doubts are expressed concerning an officer/staff member’s longer term fitness for interview the investigating officer will contact the Occupational Health Unit. (OHU) The Force Medical Advisor will write to the officer/staff member and will invite them to nominate a medical advisor of their choice with whom they can liaise. The officer/staff member will also be asked to provide a disclaimer allowing their advisor to release information to the FMA. The FMA will contact the nominated medical advisor and ask for the officer/staff member to be examined and a ‘fitness for misconduct’ pro-forma to be completed following the examination. The cost will be met by the force. The pro-forma will be returned to the Force Medical Advisor and forwarded to the head of Professional Standards with the officer/staff member’s consent. If the pro-forma indicates that the officer/staff member is fit for interview or misconduct proceedings an interview will be arranged by the investigating officer within appropriate timescales. If the pro-forma indicates that the officer/staff member is not fit for interview or misconduct proceedings and the Force Medical Advisor is in agreement then the officer/staff member’s fitness will continue to be monitored and no interview will be carried out. If the Force Medical Advisor is not in agreement with the nominated advisor it will be the FMA’s responsibility to get an independent medical expert to complete the pro-forma and the decision of the independent person will be final. If the officer/staff member refuses to provide his or her consent or to sign a disclaimer for the information to be passed from a nominated medical advisor of his or her choice or fails to attend for an examination, then the investigating officer must confer with the FMA to see how to proceed. If the FMA is of the opinion that the lack of cooperation is due to serious illness then he may complete the fitness for misconduct pro-forma. If however it is not believed that the officer/staff member is suffering serious illness then the facts and opinion will be reported to the Head of Professional Standards for a decision.

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An officer/staff member may have a friend or Federation/Unison representative present with them during any examination. This procedure requires close liaison between the Force Medical Advisor, the investigating officer and the head of Professional Standards. All decisions must be fully recorded.

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The Harm test Under the Police Conduct Regulations 2008 the harm test has been revised. The new regulations are designed for increased transparency during investigations and therefore more disclosure of information and documents to the officer or staff member subject of a complaint. The harm test should be applied before disclosure of any information or document in order that due consideration can be given to the need for that disclosure.

The harm test requires the disclosure of information to be withheld if it is:

• necessary for the purpose of preventing the premature or inappropriate disclosure of information that is relevant to, or may be used in, any criminal proceedings;

• necessary in the interests of national security; • necessary for the purpose of the prevention or detection of crime, or the apprehension or

prosecution of offenders; • necessary for the purpose of the prevention or detection of misconduct by other police

officers or police staff members or their apprehension for such matters; • justified on the grounds that providing the information would involve disproportionate

effort in comparison to the seriousness of the allegations against the officer concerned; • necessary and proportionate for the protection of the welfare and safety of any informant

or witness; or • otherwise in the public interest. Whilst it is the appropriate authority who decides if the harm test is met or otherwise, this responsibility will lie initially with the investigating officer. It is of particular relevance when supplying a copy of the investigating officer’s report to the officer or staff member subject of the complaint at the conclusion of an investigation. ACL Policy (Access Control Level) The use of ACLs on RMS is restricted and is not to be applied automatically because an occurrence involves a police officer or member of police staff.

Official Force Policy states: ‘Records containing details of Police Officers or Police Staff as Suspects / Offenders / Witnesses / Victims will not ordinarily be subject to an ACL and normal RMS business processes should apply, as to any member of the public.’ ‘ACLs may be applied to such records in exceptional circumstances where there is a recognisable or identified risk or sensitivity, which necessitates an Access Control Level. Details of records containing Police Officers / Police Staff for which it is believed an ACL is appropriate must be forwarded to the anti-corruption team for their consideration as to whether the circumstances merit an ACL’. PSD make the decision regarding the application of an ACL. It is not a decision that is to be made or undertaken by any other unit or department apart from FIMU when providing out of hours assistance. Note that an ACL will only be applied in ‘exceptional circumstances’ and an investigating officer can refer the matter to the anti-corruption unit direct for consideration. Outside of office hours the investigating officer will make a request to FIMU for the ACL and record a policy as to the necessity. This should be reassessed in conjunction with the anti-corruption unit when next available.

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Retention and storage of property. This document outlines the current arrangement whereby property recovered as evidence during any misconduct or criminal enquiry is retained, recorded and stored. All property will be assessed as to whether it needs to be stored. If it is to be stored it will be booked into the Investigating officer’s storage area by making an entry into the register. The entry will follow the form of Investigator’s initials, followed by a consecutive number and finally the year (e.g.AK/9/07). All Investigation teams will be provided with a property cupboard located on the seventh floor of PHQ and their teams will have sole access to their nominated storage area. A property register will be available and unique to each storage cupboard. Each item of property will also be sealed in an exhibit bag or given a crime property label, appropriately marked, and securely fastened to the item of property. Each investigating officer has the responsibility for managing their respective property. This will include correct maintenance of registers and labels and also the removal of items at the end of their storage period. The Detective Chief Inspector, PSD Investigations, will inspect storage areas of all investigating officers on a regular basis. All original videos, cassette tapes and compact discs will be stored by PSD Administration staff. Investigating officers must attempt to seize original tapes or DVD’s but often, such as from custody centres, will only be able to procure copies from a hard drive. Investigators should try to obtain the original exhibit and a working copy of any computerised or technological evidence in order that the original can be secured. The working copy can remain with the investigation file until it can be destroyed prior to the file being submitted for closure. All original video tapes or compact discs must be entered into the property register and be handed into PSD admin to enter on the property spreadsheet and store the items on the first floor. If only the original is able to be seized investigators may wish to have copies made at an early opportunity. Again copies can be retained by the investigating officer until file closure. Copying of videos can be carried out by the investigators themselves and DVD’s by the Management Assistant. OCU’s are also often prepared to assist. Remember that sealing and resealing of exhibits requires continuity to be recorded and the responsibility for this will largely remain with the investigating officer. Cassette tapes, predominantly from interviews, will be handed to PSD admin for storage. Other cassette tapes shall be treated as videos and DVD’s ie the original sealed and handed to admin. If copies are required they can be obtained with instruction from admin if necessary. Exhibits stored in relation to public complaints and internal misconduct investigations must be retained for seven years from the date the matter was concluded in order to cater for any future civil action. Exhibits stored in relation to criminal matters will be retained for 6 years in any case. In matters of domestic abuse or violence then this will be subject to review at the end of the 6 year period. If an individual is sentenced to a term of imprisonment greater than 6 years then exhibits are retained for the duration of the sentence. If the conviction relates to child sexual offences then exhibits will be retained for 7 years or until the child has attained the age of 24 years. In exceptional or unique circumstances, the Detective Chief Inspector, PSD Investigations, may extend retention periods subject to review. In all cases careful assessment of the requirement to store should be made and a common sense approach taken in respect of the evidential value of the item being retained. If original items are stored elsewhere within the Constabulary, and subject to retention, then there may not be any need to retain copies with the PSD Storage environment.

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PSD OCU SPOC LIAISON The Professional Standards Department will provide each Operational Command Unit with a Single Point of Contact [SPOC].

The SPOC will be expected to carry out the following functions:- Promote a wider awareness of the role of PSD with officers and staff to encourage trust and confidence. It is important the OCU are aware of who their SPOC is. The SPOC should be visible and approachable, using the OCU as a regular base for work, on occasions sitting on parades with the shifts, contributing to OCU Newsletters or intranet sites, holding surgeries or going out on patrol with staff. Attend Senior Management Meetings and other team meetings at the request of the OCU Commander A good working relationship with the Command Team is essential. The SPOC should be available to the OCU SMT and ensure important issues are identified in advance of any pre-arranged meeting. Provide the Senior Management Team with complaints data and identify causes and solutions to reduce complaints The SPOC’s will be informed via the PSD Tasking and Co-ordinating Group [TCG] and Strategic Assessment in relation to specific complaints data and trends for the OCU. Officers within an OCU who come to notice on more than 4 occasions in a 12 month period will also notified to you to bring to the attention of the OCU SMT and the Anti Corruption Unit (ACU). If applicable, the matter may be referred to the SPOC for any necessary action. It is important that the information is not just one way and that the OCU contribute to the intelligence picture by sharing their own concerns about staff which the SPOC should feed into our intelligence data. The PSD analyst can be tasked via the TCG to analyse key areas of complaints in more detail. Disseminate learning and good practice identified through the Organisational Learning Matrix in order to reduce complaints and improve public confidence Local problems identified through local complaints will be fed back to the OCU via the IO or SPOC. Organisational issues will be addressed at a senior level however, SPOC’s will be expected to assist in delivering messages relating to lessons learnt and increasing public confidence to OCU officers and staff. Provide expert knowledge, advice and guidance to all staff relating to public complaints, misconduct or general concerns Whilst the SPOC will not be the only avenue for Staff and Officers to seek advice they should be the first contact for non urgent matters as the SPOC will have an enhanced knowledge of that OCU. Promote alternative methods for staff to report malpractice, issues of corruption or unethical behaviour either anonymously or in person. SPOC’s should actively promote the use of the PSD anonymous confidential reporting methods including the Integrity Line and Confide in Us, ensuring posters and stickers are visible in police stations and reassuring staff as to the integrity of the systems.