C3001 Procedure - Dealing with Complaints against the Police
Number: C3001
Date Published: 11 March 2020
Version 5 – March 2020
1.0 Summary of Changes
This procedure has been updated following the implementation of Police (Complaints and Misconduct) Regulations 2020 and IOPC Statutory Guidance on the Police Complaints System.
2.0 What this Procedure is about
This procedure informs officers and members of staff of the process to be undertaken when dealing with complaints from the public. The aim is to provide the complainant with the following:
- Greater access to the complaints system;
- A better understanding of the complaints process which is both open and transparent;
- An effective resolution through a proportionate and timely investigation;
- Increased confidence by applying the lessons learnt from a complaints procedure to provide an enhanced quality of service.
In order to facilitate this procedure a single point of contact for misconduct has been appointed within all functional commands.
The appropriate authority for the investigation and adjudication of complaints is specified within the Police Reform and Social Responsibility Act 2011 and will be as follows:
| Complaint Against | Authority |
|---|---|
| Non ACPO ranks | Chief Constable |
| Assistant or Deputy Chief Constable | Chief Constable |
| Chief Constable | Office of Police, Fire and Crime Commissioner for Essex |
| Police, Fire and Crime Commissioner | Police and Crime Panel |
In the event of a joint complaint the appropriate authority will be decided following negotiations between the parties outlined above.
Compliance with this procedure and any governing policy is mandatory.
3.0 Detail the Procedure
The force forms relating to the handling of complaints are as follows:
| Form name | Use |
|---|---|
| COMP1 | Complaint recording |
| COMP1a | PSD Assessment of complaint (For PSD use only) |
| COMP2 | Otherwise than by investigation |
| COMP2 Guidance | Otherwise than by investigation guidance notes |
| COMP3 | Local Investigation (LI) Workbook |
| COMP3a | LI Investigating Officers Report |
| COMP3 Guidance | LI guidance notes |
| RPRP 1 | Reflective Practice Review Process Action Report |
| RPRP 1 Guidance | Reflective Practice Review Process guidance notes |
3.1 Initial Action
Anyone who wishes to complain about the provision of services by Essex Police should be free to do so. A complaint may be made by any of the following methods:
- In writing - by letter or email;
- By telephone or by text message;
- In person;
- Through an appointed representative with written consent to do so.
Further information on making a complaint can be found by visiting the Essex Police website Thanks and Complaints section or via the Independent Office for Police Conduct (IOPC) website.
Where a complaint is received, the officer or member of staff receiving the complaint should seek to establish the full circumstances.
A complaint is defined as ‘any expression of dissatisfaction with a police force that is expressed by or on behalf of a member of the public’.
A complaint can be made about any matter which has had an adverse effect on the person making the complaint. It does not have to be about a specific person serving with the police. This may include force-wide crime inititaives, organisation of policing resources and general policing standards.
A complaint can also be made about the conduct of any person serving with the police, i.e. a police officer, police staff member, special constable, designated volunteer or a person contracted to provide services to a chief officer. Conduct includes any acts, omissions, statements and decisions, whether actual, alleged or inferred.
In addition, a complaint can be made about the conduct of a person who:
- Is no longer serving with the police, as long as it concerns matters which occurred while they were serving; and/or
- Was off duty at the time of the incident complained about.
Where expressions of dissatisfaction are made via social media these will not be considered as formal expressions of dissatisfaction and as such there is no requirement to complete a COMP1. However, where issues are identified on social media which relate to significant public interest/community impact details should be passed to PSD SDU for review and consideration for further contact to be made with the complainant, and assessment to be made as to whether a complaint will be logged.
3.1.1 Complaints Handled Outside of Schedule 3 of the Police Reform Act 2002
In some circumstances complaints raised can be handled outside of Schedule 3 of the Police Refom Act 2002.
Complaint matters can be handled outside of Schedule 3 if:
- They can be resolved to the satisfaction of the complainant in a timely manner.
However a complaint must be recorded and handled under Schedule 3 if the complaint:
- Is an allegation that the matter complained of resulted in death or serious injury;
- Is an allegation that, if proved, might constitute a criminal offence by a person serving with the police or justify the bringing of disciplinary proceedings (see section 6.27 IOPC statutory guidance on the police complaints system);
- Is about conduct or any other matter which, if proved, might have involved the infringement of a person’s rights under Articles 2 or 3 of the European Convention of Human Rights;
- Meets any of the mandatory referral criteria (see Chapter 9 IOPC Statutory Guidance).
If a complaint is handled outside of Schedule 3 there is no requirement to complete a COMP1 or inform PSD, however a log must be made.
3.1.2 Complaints handled under Schedule 3 of the Police Reform Act 2002
Any complaints which are to be handled under Schedule 3 of the Police Refom Act 2002 should be recorded on Essex Police Form COMP1 which should then be emailed to the Professional Standards Department (PSD).
3.2 Assessment by the PSD Service Delivery Unit
All complaints received by PSD will be subject to an assessment by the Professional Standards Department Service Delivery Unit (SDU) which will include initial fact finding into the circumstances of the complaint allegation to determine the following:
- Whether to be recorded under Schedule 3 of the Police Reform Act 2002;
- The Method of Investigation (MOI) (i.e. Otherwise Than By Investigation or Local Investigation);
- Identification of the Relevant Review Body (RRB);
- Identification of the Command that will own the complaint investigation.
3.3 Allocation to an Investigating Officer
Where the complaint matter is to be addressed by PSD staff, the Head of PSD will appoint an Investigating Officer (IO) in accordance with the Home Office statutory guidance. They will ensure the matter is handled appropriately and will be responsible for any adjudication.
Where complaint matter is to be addressed outside of PSD, the matter will be forwarded to:
- The Quality of Service Team where the matter is suitable to be handled Outside of Schedule 3;
- The nominated local command’s designated Appropriate Authority (AA) for allocation of an IO where the matter suitable to be dealt with either by local investigation or otherwise than by investigation.
All complaints will be handled in accordance with the Home Office statutory guidance and the IOPC Statutory Guidance on the police complaints system. (For police staff, refer to L 1200 Protocol – Discipline Police Staff).
Officers appointed in this capacity must ensure they are fully conversant with the content of these documents.
3.4 ‘Otherwise than By Investigation’ Process
Some complaints MUST be investigated. Where this is not the case the matter may be suitable to be handled otherwise than by investigation.
Matters that must be investigated:
- There is an indication that a person serving with the police may have committed a criminal offence or behaved in a manner that would justify the bringing of disciplinary proceedings;
- There may have been an infringement of a person’s rights under Article 2 or 3 of the Human Rights Act, or
- There has been direction from the IOPC that the matter must be investigated.
The skills required to handle complaints dealt with otherwise than by investigation are different from those required for criminal investigations and will include problem solving and customer service. Investigating officers should:
- Listen carefully to the complainant’s concerns and try to understand the circumstances from their point of view;
- Think creatively about what action will be most useful to provide meaningful answers to issues and concerns raised, remedy dissatisfaction of any complainanat and identify learning;
- Ensure actions taken to address the issues and concerns raised are both reasonable and proportionate;
- Acknowledge that something could have been done differently or handled better; if appropriate;
- Offer an apology on behalf of the organisation as the member of the public has felt the need to complain. Where the apology involves the conduct of an individual, prior consent should be obtained, if appropriate.
Form COMP2 should be used to record matters handled otherwise than by investigation. COMP2 guidance document should be used to ensure effective, accurate completion of the COMP2. Once completed the COMP2 is to be submitted to PSD SDU for finalisation. PSD SDU will then prepare letters on the investigating officers behalf an notify the complainant in writing of their decision together with the complainants right for review.
3.5 Investigation of Complaints
This section of the procedure is intended to provide guidance to officers concerning the investigation of complaints where it is deemed an investigation is required.
In each case the local command’s designated Appropriate Authority should appoint an IO in accordance with the IOPC Statutory Guidelines and Home Office statutory guidance. (For police staff, refer to L 1200 Protocol - Police Staff Discipline).
The IO should review the circumstances of the complaint and obtain any available information that is relevant to the complaint.
The IO must assess whether the complaint is subject to “Special procedures”.
If at any time during an investigation of a complaint, it appears to the investigator that there is an indication that a person to whose conduct the investigation relates may have:
- Committed a criminal offence; or
- Behaved in a manner which would justify the bringing of any disciplinary proceedings.
Then the investigator must certify the investigation as one subject to special procedures.
This assessment will be ongoing during the investigation and may change as and when further information is obtained.
If the matter is deemed to be subject to Special procedures then the IO should forward the details of the complaint and the rationale for their decision to the PSD Operations DCI.
On receipt the PSD Operations DCI will provide suitable written advice to the IO, enabling them to complete a Severity Assessment to determine whether the circumstances amount to a matter of misconduct or gross misconduct.
IO’s are advised to contact PSD should they require further advice.
Where the matter is not initially assessed as being subject of special procedures, or the severity assessment deems that the matter does not meet the threshold for misconduct or gross misconduct the investigation should not be subject of special procedures and the local IO should proceed with the complaint investigation.
If the person complained about is a police staff member, then the IO should seek advice from their HR Advisor or HR Partner to ensure compliance with the police staff disciplinary policy.
The IO must complete forms COMP3 and COMP3a. Form COMP3 Guidance is available to support officers.
On completion the IO should submit COMP3 and COMP3a to the Appropriate Authority for adjudication.
Where the investigation is NOT subject of special procedures (ie NO Regulation notices have been served), the Appropriate Authority is the local Command’s designated Appropriate Authority.
Where the investigation is subject of special procedures (ie Regulation notices have been served), the Appropriate Authority is the Head of PSD.
3.6 Adjudication
Local command designated Appropriate Authorities will be responsible for the adjudication of all matters dealt with Otherwise Than By Investigation, and Local Investigations allocated to their Command where NO regulation notices have been served.
Where regulation notices have been served the delegated Appropriate Authority is the Head of PSD.
In each case determination will be made based on a balance of probabilities.
Where matters are identified as amounting to Practice Requiring Improvement (PRI), the Appropriate Authority is to refer the matter to the Reflective Practice Review Process (RPRP). (See Procedure C 3019).
Where the investigation relates to a member of police staff, reference should be made to L 1200 Protocol - Police Staff Discipline.
Once the adjudication is completed the COMP3 and COMP3A should be submitted to PSD SDU who will then prepare letters on the investigating officers behalf an notify the complainant in writing of their decision together with the complainants right for review.
A clear explanation should be provided to the complainant justifying their decision based on the established facts. Reference should also be made to any subsequent action taken as a consequence of the outcome. This may include an apology where the complaint is upheld, or the identification and progression of a number of learning outcomes.
In some cases the local command’s designated Appropriate Authority may decide an appropriate outcome is best dealt with under Police Performance Regulations by way of the Unsatisfactory Performance Procedure. ((For police staff, refer to L1100 protocol), or may identify that an officers Practice Requires Improvement, in which case the matter must be referred to the Reflective Practice Review Process (See Procedure C 3019).
3.7 Reviews
Schedule 3 of the Police Reform Act 2002 details the rights of review available to the complainant under the following circumstances:
- The outcome of a matter handled otherwise than by investigation;
- The outcome of the Local Investigation.
Review applications arising from complaints will be reviewed and determined by the IOPC or the OPFCC, depending upon the assessment made by PSD SDU within the COMP1A.
3.8 Crime Recording
It is recognised that by the very nature of their work officers and staff will be subject of complaints. Many of them are shown to be false or malicious or are determined have been lawful actions, such as in cases where the use of force is questioned. It is not the intention to record as crimes all such allegations unless or until it is determined there is a criminal case to answer. There is no requirement to record such matters within the general NCRS provisions within 24 hours of the report being made.
The point at which a crime will be recorded will be when:
- The Appropriate Authority determines that there may be a case to answer criminally and requests Crown Prosecution Service advice; or
- The Appropriate Authority determines, in accordance with the DPP Charging Guidance, that a charge or summons or out of court disposal should be issued in relation to a criminal matter; or
- The Appropriate Authority determines, on the balance of probabilities, that there is a case to answer for misconduct or gross misconduct and the nature of the conduct is such that it would amount to a notifiable offence for the purposes of HOCR.
Any allegation of a crime against a police officer or member of police staff which solely relates to his/her off duty activities or is other than in the execution of his/her duties should be dealt with in accordance with the NCRS and the Counting Rules.
4.0 Equality Impact Assessment
- EIA – February 2020
5.0 Risk Assessment
The provision of a quality service is at the core of policing. A failure to comply with provisions outlined within this document is likely to result in the following:
- A loss of public confidence;
- An increase in community tension;
- Damage to the reputation of Essex Police.
Consequently, complaints must be dealt with in a timely and proportionate manner in securing an effective resolution.
The handling of any complaint can be an emotive issue. Officers and staff visiting complainants should conduct a dynamic risk assessment before carrying out any visit. The minimum requirements will consist of a PNC and intelligence check.
Decision making will follow guidance as provided by the National Decision Model (NDM) and due regard will be given to the principles and standards contained in the Policing - Code of Ethics.
6.0 Consultation
The following have been consulted during the formulation of this document:
- Unison
- Police Federation
- Superintendents Association
- Essex Diversity and Inclusion Manager
- Strategic Change Team
- PSD Superintendent
- Policy/Risk
- Catholic Police Guild
- Christian Police Association
- Disability Network
- Menopause Support Group
- Minority & Ethnic Support Association (MESA)
- LGBT Network
- Women’s Leadership & Development Forum
- Worklife Balance Network
7.0 Monitoring and Review
All complaints are monitored by PSD in relation to:
- Demographic trends;
- Timeliness;
- Complaint outcomes;
- Organisational learning.
This procedure will be subject to review by, or on behalf of, the Head of PSD every 12 months.
8.0 Governing Force policy. Related Force policies or related procedures
- C 3000 Policy – Professional Standards
- L 1200 Protocol - Police Staff Discipline
- C 3019 Procedure – Practice Requiring Improvement/Reflective Practice Review Process pending
8.1 Data Security
Essex Police have measures in place to protect the security of your data in accordance with our Information Management Policy – W 1000 Policy – Information Management.
8.2 Retention & Disposal of Records
Essex Police will hold data in accordance with our Records Review, Retention & Disposal Policy – W 1012 Procedure/SOP - Records Review, Retention and Disposal.
We will only hold data for as long as necessary for the purposes for which we collected. Victims/public should be reminded that Essex Police take the protection of personal data seriously as described in the privacy notice.
9.0 Other source documents, e.g., legislation, Authorised Professional Practice (APP), Force forms, partnership agreements (if applicable)
- IOPC Statutory Guidance on the police complaints system 2020;
- Police Reform Act 2002;
- Police (Conduct) Regulations 2020;
- Police (Performance) Regulations 2020;
- Home Office Statutory Guidance;
- Police Reform and Social Responsibility Act 2011;
- Form COMP1 – Expression of dissatisfaction against a member of the Police Service
- Form COMP1a – Expression of Dissatisfaction Assessment
- Form COMP2 – Otherwise than by investigation
- Form COMP2 Guidance – Otherwise than by investigtaion Guidance Notes
- Form COMP3 – Complaint Investigations Work Book
- Form COMP3a – Investigating Officers Report
- Form COMP3 Guidance – Local Investigations Guidance Notes
- Form RPRP1 – Reflective Practice Review Process Action Report
- Form RPRP Guidance – PRI/RPRP guidance document