West Mercia Police Authority

The relevant statutory provisions are contained at ss.65-83 Police Act 1996. In addition guidance was issued by the Home Office in 1991 (in respect of the former statutory provisions which were re-enacted into the 1996 Act) and new Police Conduct Regulations and Unsatisfactory Performance and Misconduct guidance were issued by the Home Office in 1999.

These regulations and guidance assist the interpretation of the relevant Police Act 1996 provisions.

The guidance makes clear that the complaint provisions of the Police Act do not attach to conduct which forms part of a complaint regarding actions already the subject of criminal or disciplinary proceedings. Nor may a Police Authority inquire into a complaint regarding the 'direction or control' of a police force but only into the personal 'conduct' of an ACPO officer.

The steps to be taken on receipt of a complaint are:

1. the preservation of evidence
2. the determination of the appropriate authority to investigate the complaint
3. recording of the complaint (if appropriate)
4. determination as to the steps required.

When a complaint is received by a member of the Police Authority regarding the conduct of a senior Police Officer it should be acknowledged and passed to the Chief Executive for action.

When the Chief Executive receives a complaint he/she will acknowledge receipt to the complainant and seek to determine whether the complaint is one which falls within the jurisdiction of the Police Authority.

In order to do so the Chief Executive may need to make preliminary enquiries, which could include inviting the complainant to provide further clarification of the complaint. This will normally be sought by correspondence but in exceptional cases the Chief Executive may meet the complainant or arrange for the complainant to be met in order to clarify their concerns.

If the complaint is not one falling within the jurisdiction of the Police Authority (in the opinion of the Chief Executive following consultation with the Professional Standards Department or an ACPO officer) then the Chief Executive will respond to the complainant accordingly and arrange to inform the Professional Standards Panel of that decision at its next meeting.

When the Chief Executive considers the matter is within the jurisdiction of the Police Authority (or might be dependent on the facts) then he/she shall prepare a report for the Professional Standards Committee to:

• determine whether the complaint should be recorded
• determine the next appropriate steps to be taken

Where a complaint appears to fall within the jurisdiction of the Police Authority but is of a nature that the Professional Standards Committee might well be minded to determine that no further action would be justified a report of the Chief Executive together with the written complaint shall be presented to the Professional Standards Committee for determination.

In any case when the Professional Standards Committee consider the complaint does warrant further action the Committee shall further determine who shall undertake inquiries and that person shall prepare and present a full report of their investigation to a subsequent meeting of the Committee. (Such person shall be an officer of the same or higher rank than the officer complained of). The Independent Police Complaints Commission (IPCC) may receive complaints direct from members of the public about senior police officers and these will usually be referred to the Police Authority. There is no mandatory requirement for complaints against Chief Officers to be referred to the IPCC, however if it appears that the matter ought to be referred by reason of its gravity or exceptional circumstances, the IPCC should be invited to undertake supervision. Where the complaint or misconduct matter is supervised, the IPCC will approve the appointment of the Investigating officer and agree the terms of reference for the investigation.

The Professional Standards Committee shall also determine whether the officer complained of should be suspended during the investigation. They may do so at the outset or at any time during the investigation on the application of the investigatory officer, the Chief Executive or at the invitation of the Chairman of the Professional Standards Committee. Once the investigation has begun the officer complained of shall not be suspended without hearing from the investigating officer and the officer complained of if they so wish.

Once the report is completed the Professional Standards Committee shall meet to consider the report. If the Committee considers that disciplinary action should be taken the matter shall stand referred to the Appointments & Remuneration Committee.

The Chief Executive in carrying out the responsibilities identified in this Protocol shall make such preliminary inquiries as he/she thinks fit including consultation with any West Mercia ACPO rank officer and/or with the Head of the Professional Standards Department. The Chief Executive shall not seek to determine the truth of alleged facts but shall seek to be satisfied only that sufficient evidence exists to justify further examination of alleged facts.

When the Chief Executive is satisfied that the complaint is not one falling within the jurisdiction of the Professional Standards Committee the complainant shall be informed accordingly and be advised of the report to the Professional Standards Panel. If the Panel consider that not withstanding the view of the Chief Executive the matter is one for further action by the Professional Standards Committee the Panel shall instruct the Chief Executive to record the complaint and the complainant shall be informed of the action to be taken.
Responding helpfully

This Protocol has set out above a framework for formal complaints falling within Part IV Police Act 1996 i.e. complaints of the conduct of senior Police Officers. Many complaints received by the Chief Executive will not qualify for recording as Part IV complaints. Sometimes the complaint will fall instead to be dealt with by the Professional Standards Department. The Professional Standards Panel maintains an oversight of that department and is able to enquire as to the proper and timely handling of individual cases but the Professional Standards Panel should not seek to influence the substantive decisions reached on complaints. Complainants who are dissatisfied with the actions of the Professional Standards Department are able to refer their complaints to the Independent Police Complaints Commission.

Some complaints are very specifically focussed on alleged misconduct and these must be dealt with in conformity with the established regulations and systems. However, complaints may instead raise questions of Force Policy or operational issues which do not fall to be dealt with by formal investigation but which could receive a helpful and informed response.

In those cases where the Police Authority has no formal jurisdiction under Part IV of the Police Act 1996 the Chief Executive in consultation with the Chair of the Professional Standards Committee should nevertheless consider whether a response, which addresses the issues, raised could be made. Before any such response is sent to a complainant the Professional Standards Department and the relevant Divisional Commander (or ACPO rank officer if the matter is Force wide) should be consulted.

Adopted by the Professional Standards Committee 2 July 2002.