Statutory Guidance On The Police Complaints System

Statutory guidance on thepolice complaints system

Statutory guidance on the police complaints systemContentsChapter 1 – Introduction .7The Policing and Crime Act 2017: changes to the police complaints system .7To whom the guidance applies.8Other guidance and legislation .9This guidance and key roles in the police complaints system – delegation andresponsibilities. 10How the guidance is arranged. 12Chapter 2 – Accessing the complaints system . 15The importance of an accessible system . 15Promoting access . 15Recognising and overcoming barriers. 17Complainants who may need additional assistance . 17Complaints made by young people under 18 . 18Chapter 3 – Principles of reasonable and proportionate handling . 20The importance of reasonable and proportionate handling . 20What does ‘reasonable and proportionate’ mean? . 20Principles of reasonable and proportionate handling . 21Chapter 4 – Learning and improvement . 24Building a learning culture . 24Learning from complaints, investigations and reviews . 24Learning from wider sources . 25Using data to inform improvement . 26Making data available locally . 27Communicating the impact of learning . 28Chapter 5 – Complaints . 30Definition of a complaint . 30What can be complained about? . 30Who can make a complaint? . 31Complaints made on someone else’s behalf . 33Complaints falling outside of the police complaints system. 332

Statutory guidance on the police complaints systemChapter 6 – Initial handling and recording of complaints . 35Action on receipt of a complaint . 37Handling complaints outside of Schedule 3 to the Police Reform Act 2002 . 39Recording complaints . 41Chapter 7 – Death or serious injury matters. 45Definition of a DSI matter . 45Recording a DSI matter . 46Chapter 8 – Recordable conduct matters. 47Definition of a conduct matter . 47Identifying conduct matters . 48Recording conduct matters . 48Conduct matters involving allegations of discrimination. 52Referring a conduct matter . 52Chapter 9 – Referrals . 53Complaints that must be referred to the IOPC. 53Conduct matters that must be referred to the IOPC . 54Referral of death or serious injury (DSI) matters . 54Mandatory referral criteria . 55Definitions of referral criteria . 56Voluntary referrals . 60Matters which the IOPC requires to be referred to it (‘call in’) . 60IOPC power to treat matters as having been referred (‘power of initiative’) . 61Deadlines for referral. 61Notification of referral . 63Determining whether and how a matter should be investigated . 63Notification of mode of investigation decisions . 64Chapter 10 – Deciding how to handle a matter under Schedule 3 to the PoliceReform Act 2002 . 65Requirements to take a reasonable and proportionate approach . 65Matters that must be investigated . 65Exceptions to the duty to investigate complaints . 673

Statutory guidance on the police complaints systemAssessing what is reasonable and proportionate. 68Chapter 11 – Duties and considerations relevant to all handling underSchedule 3 to the Police Reform Act 2002 . 70Appointment of a person to handle the matter. 70Police witnesses . 70Communicating with the complainant and other parties . 71Exceptions to the duty to provide information . 72Keeping an audit trail . 73Apologising when and where appropriate . 74Criticism. 74Chapter 12 – Handling complaints under Schedule 3 to the Police Reform Act2002 otherwise than by investigation . 76Taking a flexible approach . 76Deciding to take no further action . 77Chapter 13 – Requirements when investigating . 79Investigations . 79Appointment of a person to carry out the investigation . 79Terms of reference . 80Complaints relating to investigations of death or serious injury matters . 81Death or serious injury matters becoming conduct matters . 81Special procedures. 82Severity assessments . 83Notices of investigation and providing terms of reference . 86Representations to the investigator . 87Accelerated procedures. 88Suspension of police officers and special constables . 90Conducting an investigation. 90Early referral to the CPS. 92Timeliness of investigations . 93Chapter 14 – Concluding an investigation . 96The investigation report . 964

Statutory guidance on the police complaints systemWho owns the report . 96The content of an investigation report . 97Submission of the report . 99Chapter 15 – Suspending and resuming handling . 101Power to suspend an investigation or other handling . 101Resumption after criminal proceedings . 103Chapter 16 – Dealing with withdrawn complaints . 105Notification required . 105Whether the complaint should be treated as a recordable conduct matter . 105Chapter 17 – Outcomes following an investigation or other handling underSchedule 3 to the Police Reform Act 2002 . 108Reasonable and proportionate outcomes . 108Action on receipt of an investigation report of a DSI matter – local, directed andindependent investigations . 115Action on receipt of an investigation report of a complaint or recordable conductmatter – local investigations . 116Action on receipt of an investigation report of a complaint or recordable conductmatter - directed investigations . 119Criminal proceedings . 121Inquest proceedings . 121Communicating the outcome . 122Chapter 18 – Reviews . 125The right of review . 125Who is the ‘relevant review body’? . 125Delegation by the local policing body of the consideration of reviews . 126Receiving an application for review . 127Validity . 128Conducting the review . 130Outcome of the review . 132Annex A – Supplementary guidance on handling matters about the actions ofchief officers. 1385

Statutory guidance on the police complaints systemAppropriate authority. 138Initial handling and recording of complaints . 139Recording of conduct matters. 139Referrals. 139Handling of matters under Schedule 3 to the Police Reform Act 2002 . 141Reviews and the relevant review body . 141Annex B – Supplementary guidance on handling matters related to personswho are no longer serving with the police . 142Handling of matters where the person ceased serving on or after 15 December2017 . 142Handling of matters where the person ceased serving before 15 December 2017. 155Where a person ceases to serve during the handling of a matter . 155Annex – Flowcharts . 157Complaints . 157Recordable conduct matters . 158DSI matters. 159Relevant review body test . 160. 160Reviews by local policing bodies . 161Glossary . 1626

Statutory guidance on the police complaints systemChapter 1 – Introduction1.1 The Independent Office for Police Conduct (IOPC) has a statutory duty tosecure and maintain public confidence in the police complaints system inEngland and Wales and to ensure that it is efficient and effective. We aim toimprove public confidence in policing by ensuring the police are accountablefor their actions and lessons are learnt.1.2 This guidance is one of the ways in which the IOPC assists local policingbodies and forces to achieve high standards in the handling of complaints,conduct matters, and death and serious injury (DSI) matters concerning thoseserving with the police, and to comply with their legal obligations.1.3 An effective police complaints system is vital. The way in which complaints,conduct matters and death and serious injury matters are dealt with has ahuge impact on confidence in the police. Where they are dealt with well, ithelps to restore trust, bring about improvements in policing and makes suresomething that has gone wrong does not happen again. Where they are dealtwith badly, it damages confidence in both the police and the police complaintssystem. The handling of all matters should aim to improve the police serviceand individual performance through learning, and to put things right when theyhave gone wrong. This should be done while ensuring there is appropriateaccountability at both individual and force level.The Policing and Crime Act 2017: changes to the police complaintssystem1.4 The Policing and Crime Act 2017 and supporting regulations made significantchanges to the police complaints and disciplinary systems. They introduced anumber of changes designed to achieve a more customer-focused complaintssystem.1.5 The complaints system was expanded to cover a broader range of matters.Formerly, the way that the term ‘complaint’ was defined meant that it neededto relate to the conduct of an individual officer. Now a complaint can be madeabout a much wider range of issues including the service provided by thepolice as an organisation. This was designed to increase access to the policecomplaints system. The IOPC expects forces to consider the information theykeep about complaints with the intent of the reforms in mind - a positiveobligation to increase access and to collect information that enables forcesand local policing bodies to learn from complaints and other matters.1.6 Legislation changed to ensure that matters can be dealt with at the mostappropriate level, supporting both the efficiency and fairness of the complaintssystem. There is still provision for the most serious matters to be investigatedindependently. Below that level there are a wide range of complaints that aremost appropriately dealt with by the police themselves. The changes allow forcertain types of complaints to be resolved outside the requirements ofSchedule 3 to the Police Reform Act 2002 (see chapter 6), while those that7

Statutory guidance on the police complaints systemhave been recorded may be handled reasonably and proportionatelyotherwise than by investigation, by investigation, or, in some circumstances,no further action may be taken (see chapter 10 for guidance on determininghow to handle a complaint). This allows for the police to quickly learn from,and make improvements based on, the complaints they handle.1.7 Responding to ma

conduct matters, and death and serious injury (DSI) matters concerning those serving with the police, and to comply with their legal obligations. 1.3 An effective police complaints system is vital. The way in which complaints, conduct matters and death and serious injury matters are dealt with has a huge impact on confidence in the police.