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HM Inspectorate of Constabulary in Scotland

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The investigation of complaints against the police in Scotland

EXECUTIVE SUMMARY

1. On 28 September 1999 the Minister for Justice, Mr Jim Wallace, announced in the Scottish Parliament that HM Inspectorate of Constabulary (HMIC) would carry out a thematic inspection of the handling of complaints against the police in Scotland. The inspection was requested in order to assist the Scottish Executive in determining its response to the recommendations of the report into the death of Stephen Lawrence, and in particular recommendation 58 which concerns the investigation of serious complaints against police officers.

2. Terms of reference were established and the inspection process used a protocol structured in accordance with the European Foundation for Quality Management (EFQM) excellence model. This was designed to ensure a consistent approach and to disclose validated evidence of measurement and achievement.

3. The remit of the police inspectorate is primarily to examine and report upon the performance of the Scottish Police Service within its existing organisation and legal framework. HMIC is nevertheless aware of a wider debate on the subject of police complaints in which radical proposals for legislative change have been advanced. It is intended that this report informs that debate and offers a number of measures which can be taken rapidly in order to improve performance within the existing framework. However, during the course of research HMIC has gathered some material on complaints systems in other jurisdictions and this has been reproduced in Part II of the report with comment where appropriate. In discussing the wider issue of police complaints attention often focuses on what some people see as four key elements. These are:

• independence
• impartiality
• effectiveness
• accessibility.

4. These four words are sometimes used as if they are interchangeable. In the belief that it may benefit future discussions, HMIC wishes to record briefly its own views on these key areas.

Independence. It is HMIC's view that independence can have a value, particularly in terms of perception. That it is not in itself a major factor in determining success or failure. The report will describe in detail the current arrangements in Scotland whereby the fiscal service and the Crown independently investigate all criminal allegations against police officers.

Impartiality. Impartiality is viewed as vitally important to the success or failure of the system. The objective reporting of the facts in order to "get to the truth of the matter" is a basic principle of the process which must be protected and where possible enhanced. Impartiality is not however the same as independence and impartiality is not necessarily jeopardised by the fact that police officers are involved in an investigation.

Effectiveness. HMIC views effectiveness as the most important of all four considerations. An effective system would be one which offers the best chance of justice to all parties and maintains public confidence. A system may be independent and impartial yet wholly ineffective, in which case it is worthless.

Accessibility. No system can be effective if members of the public cannot gain ready access. The report will make recommendations intended to considerably improve accessibility within the current system and in Part II comment will be made in respect of potential accessibility issues affecting some of the alternative systems which are discussed.

5. The terms of reference for this inspection were:

• To inspect the handling of complaints against the police in Scotland including those falling within the terms of existing legislation and those which are not currently covered by statute.
• To consult with the Crown Office and Police Authorities and examine the effectiveness of the police service in enabling these bodies to fulfil their statutory responsibilities, in regard to complaints against the police.
• To highlight good practice and where appropriate make recommendations for reform with a view to improving professional standards, quality of service and public confidence.

6. The inspection involved research, the examination of files and records, and over 200 separate interviews with police officers, police authority members, representatives of the Crown and the fiscal service, and a range of individuals and organisations with an interest in the subject. While HMIC is not resourced to conduct a widespread survey of complainers, use has been made of existing work carried out by other organisations and from HMIC's experience of dealing with complainers who seek a formal review.

7. The main findings are:

• The evidence demonstrates that the overwhelming majority of complaints against police officers are investigated with thoroughness, impartiality and integrity.
• There is a poor understanding of the role of the Crown and the fiscal service in independently investigating all criminal allegations against police officers. The report recommends to chief constables a number of ways in which they can assist in promoting an understanding of the Crown's role.
• There is a limited awareness of the important role of HM Lay Inspector of Constabulary in reviewing complaints and inspecting the investigation process. The report seeks to improve awareness and recommends means by which the judgements reached by HMIC can be placed in the public domain.
• Police Authorities can provide local democratic oversight of the complaints process. Most authorities find the task challenging. HMIC suggests a number of means by which the effectiveness of the role of police authorities can be strengthened.
• There is too much mystery surrounding the police complaints process in Scotland. A comprehensive code of practice setting out the rights of complainers and police officers should be produced and published, circulated widely and made available on the internet.
• There is evidence that some complainers find it hard to register a complaint and on some occasions senior police officers act as 'gatekeepers' to the system. A significant number of complaints never make it into the official statistics and not all are investigated properly. HMIC recommends robust national guidelines for the registration of complaints and "user friendly" means of registering a complaint other than with a police force.
• There is no structured system for addressing "complaints against the police" which do not contain allegations against individual officers. HMIC recommends a new category of complaints intended to deal with the performance of a police force and similar issues not covered by the existing regulations.
• Police civilians and special constables, who together constitute about a third of the police service, need to be brought within the process.
• Scotland's national policing institutions such as the Scottish Crime Squad and the Scottish Police College do not have a satisfactory complaints system. Senior officers in these organisations have no direct disciplinary powers over the personnel they command.
• Forces need to move with greater speed in cases of serious misconduct, and avoid waiting for the outcome of any possible criminal proceedings.
• There is a need for clearer understanding of the circumstances under which an outside force will be asked to assist with an investigation.
• Complaints investigation in some forces may be unnecessarily costly. There is a need for structured use of informal resolution of minor complaints and the use of junior officers and civilians in support of investigations.
• Some police officers have been harshly treated within the current process. There is a need for greater consistency on punishments and the use of suspension.
• Steps need to be taken to strengthen the ethical climate in the service and to encourage officers to give evidence against malpractice and corrupt behaviour. Those in senior positions are able to lead by example and all forces should adopt the 7 "Nolan Principles" of public life. Forces should formally and publicly address issues such as the declaration of interests and the acceptance and registration of gifts and hospitality.
• Modern technology offers strong opportunities for independent oversight of police action, particularly in the handling of persons in custody. HMIC recommends that chief constables produce a 3 year plan for achieving completely secure sound and video recording of all prisoner handling areas. Chief constables may require additional help in meeting the cost of implementing this recommendation. Independent lay visitors to cell areas could add further confidence to the integrity of the process.

8. The majority of the recommendations are either cost neutral or offer a prospect of financial savings. Most are capable of rapid implementation.

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