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HMIC has prepared the following checklist based on what is seen as good practice in complaints investigations in a range of organisations.
1. The person receiving the complaint responds in a sympathetic manner and advises on the process that will follow.
2. There is an early meeting with an investigator, who is not the immediate supervisor of the officer complained against. This helps to ensure supervisory failings are also considered.
3. Meetings should be arranged by negotiation, with thought given to timing and location, and the complainer given the choice of being accompanied by a friend. Meetings should not be rushed.
4. The purpose of the meeting is to clarify the complaint in the detail of its parts.
5. The result of the meeting is a written statement of the complaint, typed for clarity, and signed by the complainer.
6. At this stage, or after a few more days of local investigation, minor complaints may be resolved locally by explanation or apology. Should the complainer accept that the complaint is withdrawn or conciliated he or she should sign a note of conciliation.
7. A report on the complaint should be provided to the complaints department for consideration of any general lessons or completeness of statistics or misconduct proceedings.
8. Unresolved or serious complaints should be quickly reported to the complaints department and in any case within 7 days of the initial complaint for next stage procedures, which may include the formal appointment of an investigating officer (IO) and/or referral of criminal allegations to the regional procurator fiscal.
9. The IO investigates thoroughly and impartially, with full written statements being taken. Discrepancies in evidence should be investigated further.
10. Any delays in the process should be explained to the complainer.
11. The complainer's requests for police evidence should not be unreasonably refused.
12. The IO report should cover all the points raised by the complainer, and unless there are reasons to prevent it, which may relate to the legal process, or the protection of witnesses, or cause unnecessary offence to the complainer, the draft IO report could be checked with the complainer.
13. The final response letter should:
14. Targets for dealing with complaints should aim for no more than one week for local resolution and referral to complaints department, and no more than one month for subsequent IO report and deputy chief constable (DCC) letter. Any delays should be explained, including delays in the fiscal's office or in the courts.
15. The process should allow for early screening of complaints to allow for fast tracking of serious matters for the DDC's consideration. Local resolution should not be attempted in allegations of crime or serious misconduct.
16. Arrangements should exist for the statistical capture of locally resolved complaints.
17. Some organisations recruit independent volunteers as lay conciliators to assist by mutual agreement. This could be considered by forces in appropriate cases.
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