Lincolnshire
Police Authority

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Complaints about Police Authority Members

Introduction

These procedures explain the way in which a complaint that a member of the Lincolnshire Police Authority has breached the Member Code of Conduct will be considered, and the factors that will be taken into account when deciding whether to investigate a complaint. The procedures will be used to guide decision-making but they cannot address every possible eventuality and each case will be considered on its merits.

Background

The Standards Committee (England) Regulations 2008 sets out the framework for the operation of a locally based system for the assessment, referral, investigation and hearing of complaints of member misconduct and supported by guidance issued by Standards for England (external we site).  If you consider that a member of the Lincolnshire Police Authority may have breached the Code of Conduct you may make a complaint to the Authority’s Ethical Standards Committee.  Each complaint is assessed to see if it falls within the Authority’s legal jurisdiction.  A decision is then made on whether some action should be taken, whether as an investigation or some other form of action.

When a matter is referred for investigation or other action, it does not mean that the Committee assessing the complaint has made its mind up about the allegation.  It simply means that the Committee believes the alleged conduct, if proven, may amount to a failure to comply with the Code and that some action should be taken in response to the complaint. 

Making a Complaint

Complaints must be made in writing to the Monitoring Officer:

The Monitoring Officer

Lincolnshire Police Authority

Police Headquarters

Deepdale Lane

Nettleham

Lincoln

LN2 2LT

 

If you have a disability, which prevents you from making your complaint in writing, we can make reasonable adjustments to assist you; similarly if English is not your first language, please contact the Secretariat on Telephone 01522 558022 or email lpa@lincs.pnn.police.uk 

What happens next?

The Monitoring Officer will refer your complaint to an Assessment sub committee of the Ethical Standards Committee if s/he is satisfied that it is potentially about Member conduct.

• The Monitoring Officer will prepare a short summary of the complaint for consideration by the Assessment sub committee to include the following information:
• whether the complaint is within the jurisdiction of the Committee
• the paragraphs of the Member Code of Conduct that might apply
• any other factual information that is reasonably available and that might assist the sub-committee
• if the Member serves on two or more relevant authorities whether a similar complaint has been made to that other authority.

Where a number of similar complaints are made at or about the same time, the report will summarise these collectively.  However, at this stage further enquiries will only be made for the purpose of clarification of the complaint.

The Assessment sub committee will endeavour to meet and consider all written complaints referred to it within 20 working days of receipt by the Monitoring Officer. 

Assessment Criteria

(a) Initial Test

The Assessment sub-committee will carry out an initial test to establish whether it has jurisdiction over the complaint by determining whether:

• it is a complaint against one or more named members of the Police Authority;
• the named Member(s) was in office at the time of the alleged misconduct and the Member Code of Conduct was in force at that time;
• the complaint, if proven, would be a breach of the Member Code of Conduct.

If any of the above elements of the test are failed the sub-committee cannot authorise investigation and you will be notified that no further action will be taken.

(b) Public Interest

Once the sub committee has established that it has the power to consider the complaint it will consider the matters set out below. Underpinning its consideration at every stage will be an assessment of the public interest in investigating a complaint taking into account the cost and time involved.

(c) Adequacy of Information

The sub-committee will then consider the adequacy of the information provided by you. If the complaint does not contain sufficient detail to determine whether the matter should be referred for investigation then you will be advised that no further action will be taken unless such additional information as the sub-committee considers to be necessary is provided to the Monitoring Officer.

(d) Former Members

If the complaint is about someone who is no longer a member of the Police Authority, but is a member of another relevant authority the sub-committee will consider whether to refer the matter to the Monitoring Officer of that other authority.

 (e) Previous Action under the Code of Conduct or by other relevant authorities

If the complaint has already been subject to a previous investigation or some other action relating to the Code of Conduct, or a related regulatory process, the matter will ordinarily not be referred for further action.

(f) Repeated Complaints

The Monitoring Officer will not refer to the sub-committee a complaint that is the same or substantially the same as one previously made by you and which has been resolved / dealt with.

(g) Timing of the Alleged Conduct

The sub-committee will consider the timing of the alleged misconduct when deciding whether to refer the matter for investigation or further action. If a period of 12 months has passed between the incident(s) complained of and the complaint the matter will not ordinarily be considered further unless there are good reasons for the delay.

(h) Trivial Matters

No further action will be taken if the sub-committee consider that the matter is not sufficiently serious to warrant further action.

(i) Ulterior Motive

No further action will be taken if the sub-committee consider that the complaint is motivated my malice, political motivation or retaliation.

(j) Complaints Previously Assessed by the Standards Board for England

No action will be taken in respect of complaints that are the same or substantially the same as complaints previously assessed by Standards for England as not warranting investigation.

(k) Members of Two or More Authorities

Where a complaint is made about a Member who is a member of two or more relevant authorities the Monitoring Officer, having consulted with the Monitoring Officer of the other authority, shall advise the Committee as to which authority should assume responsibility for the complaint.

Initial Assessment Decision

The Assessment sub committee shall make one of the following decisions:

1. Referral of the complaint either to the Monitoring Officer of the Police Authority or of another relevant authority where appropriate;
2. Referral of the complaint to Standards for England (in accordance with the criteria set out below);
3. No further action.

(1) Referral to the Monitoring Officer

The Assessment sub-committee may refer a matter to the Monitoring Officer for investigation or for some other action. The sub-committee will consider the appropriateness of their actions based on the facts of the case but it is more likely to be appropriate where there is a pattern of poor relationships or failings in governance.  Other action is an alternative to investigation and this option will only be pursued following consultation with the Monitoring Officer as to its suitability in the circumstances.

Although the sub committee shall retain the discretion to determine what form “other action” shall take, ordinarily it will be confined to either:

1. training for the Member(s);
2. mediation between you and the Member;
3. advice on changes to procedures of the Authority if they are relevant to the complaint.

Mediation

Where mediation is proposed, the sub-committee shall first seek written consent from you and the Member and any third party that would need to participate.

In any case where a complaint is referred for other action, both you and the Member shall be advised that the matter shall not be reconsidered again for investigation except:

• where the Member complained of refuses to co-operate with mediation, the sub-committee shall reconsider whether to investigate and the failure to co-operate shall be viewed as an aggravating factor;
• where a complainant refuses to co-operate in mediation, the sub committee shall reconsider whether to investigate and the failure to co-operate shall be viewed as a mitigating factor in favour of the Member;
• where both parties refuse to co-operate, the sub committee shall reconsider whether to investigate and in doing so shall discount the refusals of the parties.

In the above cases the sub committee shall endeavour to reconsider the complaint within 20 working days of the deadline given to the parties to state whether they will co-operate with mediation.

(2) Referral to Standards for England

The sub-committee shall use its discretion in determining whether to refer a complaint to Standards for England (external web site) but in any event shall not refer a complaint unless it considers that one of the following criterion apply:

where the status of the Member complained about would make it difficult for the sub committee to deal with the complaint;

where the status of the complainant would make it difficult for the sub committee to deal with the complaint;

where a number of sub committee members have a conflict of interest that would prevent it from properly discharging its duties or reasonably give the appearance that it could not do so;

• where there is a potential conflict of interest of the Monitoring Officer or other officers and suitable alternative arrangements cannot reasonably be put in place;
• where the complaint is so serious that if proven, the powers of the Committee would not be adequate to deal with it;
• where the complaint is so complex or involves so many Members that it cannot be handled locally within the Authority’s available resources;
• where the complaint relates to systemic or long term governance issues requiring an independent investigation;
• where the complaint raises an unresolved legal issue that is a point of public interest and on which a national ruling would be helpful.
• where the Authority could reasonably be perceived as having an interest in the case sufficient to indicate actual or apparent bias;
• where there are exceptional circumstances that would prevent a competent, fair and timely investigation and determination being undertaken locally.

Standards for England has a discretion to decline to investigate the complaint and to refer it back to the Ethical Standards Committee. Where it does so, the Assessment sub-committee will reconsider the complaint again within 20 working days taking into account any direction given by Standards for England.

Decision Notices

The decision notice must set out the reasons for that decision and be provided to you and the Member concerned. The Monitoring Officer will endeavour to send this letter within 5 working days of the decision of the sub committee.

You will be advised of your right to request a review of the decision by setting out in writing the grounds upon which a review is sought within 30 working days of receipt of the initial assessment decision.

If the decision is to refer the complaint to the Monitoring Officer or to Standards for England the decision notice must summarise the complaint, the type of referral made and the reason for it.

The sub committee may decide not to provide a summary of the complaint to the Member complained about (i.e the decision notice) only where it decides that to do so would be against the public interest or may prejudice any future investigation. The advice of the Monitoring Officer must first be obtained and the sub committee will satisfy itself that sufficient evidence exists to justify the application of one of the above grounds.

The sub committee will also consider whether more limited information can be provided to the Member, and any restriction on the provision of information to the Member will be kept under review by the Monitoring Officer.  Where the Monitoring Officer considers that the reasons for withholding the information no longer apply the Assessment sub-committee shall reconsider their decision.

Review of No Further Action Decisions

The Review sub committee shall meet within 3 months of receiving a request to review the decision of the Assessment sub committee not to investigate a case.

The Review sub committee shall apply the same criteria used for initial assessment and provide the same information to the parties concerned.

When a request for a review is received, the Monitoring Officer shall write to you acknowledging the request and explaining the process for determination. The Member subject to the complaint will be similarly advised.

Initial Test

The Review sub committee will initially determine whether the request is appropriate to consider as a review. A review will be undertaken where the grounds are:

• that insufficient emphasis has been given to a particular aspect of the complaint;
• there has been a failure to follow published criteria;
• the Assessment sub committee based its decision on a misunderstanding of the complaint.

However, if further information is provided with the complaint that was not available to the Assessment sub committee, the Review sub committee will decline to review the original decision if the effect of the new information is to substantially change the nature of the complaint. In these cases the complaint will be referred back to the Assessment sub committee for consideration as a new complaint.

The Review sub-committee has the same powers as are available to the Assessment sub committee.

A decision shall be sent to the parties within 5 working days of the meeting wherever possible.

Access to Documents and Meetings of the Assessment and Review Sub Committees

Meetings of the Assessment and Review sub committees will be held in private and the committee papers will not be published. However, a written summary of the complaints considered by the sub committees will be published and include:

1. the main points considered;
2. the conclusions on the complaint;
3. the reasons for the conclusion.

The summary will not name the Member subject to the complaint only where to do so would in the view of the Assessment sub committee prejudice any subsequent investigation or other wise would not be in the public interest. The summary shall be available for inspection for 6 years following the decision.

Withdrawing Complaints

Should you decide to withdraw your complaint, the matter will be referred to the Assessment sub-committee, who will ordinarily formally close the matter by deciding that no further action be taken.  However, the sub-committee may continue to assess a complaint or else continue with an investigation or other action already sanctioned where:

• there are other complainants in respect of the same matter; and/or
• sufficient evidence in relation to the complaint is capable of being gathered without the participation of the complainant who has withdrawn the complaint; and
• the public interest still warrants assessment or investigation or other action in respect of the complaint.

Confidentiality

Except in exceptional circumstances, your identity will be disclosed to the Member subject to the complaint. A request for anonymity shall be considered by the Assessment sub committee when it assesses the complaint.  The sub committee shall only consider granting anonymity where one of the following grounds applies:

1. you have reasonable grounds for believing that you will be at risk of physical harm if your identity is disclosed;
2. you are an Officer who has reasonable grounds for believing that you will be subject to intimidation, bullying or threats in connection with your employment;
3. you suffer from a serious medical condition and there are medical risks associated with the disclosure of your identity. Medical evidence will be required in respect of this ground.

In each of the above cases the sub committee may only grant a request if they consider that a fair investigation can still be conducted.

If the sub committee decline a request for anonymity you will be given the option of withdrawing the complaint as an alternative to the disclosure of information.

Anonymous Complaints

Anonymous complaints will not be considered further unless the complainant provides independent evidence, capable of verification and which discloses potentially serious wrong doing.

Further help and advice

If you are unclear about the procedure or would like any further advice or assistance with your complaint please contact the Secretariat on Telephone 01522 558022 or email lpa@lincs.pnn.police.uk and we will put you in touch with the Monitoring Officer.