SCOTTISH EXECUTIVE

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HM Inspectorate of Constabulary

A Fair Cop?

A Thematic Inspection Into Police Complaints In Scotland

A Summary Of The Report Findings

INTRODUCTION

PART I - THE THEMATIC INSPECTION
Main findings
Good practice
PART II - ALTERNATIVE SYSTEMS
PART III - ISSUES CONCERNING EXISTING LEGISLATION

Suggestions, Part III

1.1 On 28 September 1999 the Scottish Executive Minister for Justice, Mr Jim Wallace, announced that HM Inspectorate of Constabulary (HMIC) would carry out a thematic inspection of the complaints system in Scotland's police forces. The inspection was requested in order to assist the Scottish Executive determine 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.

1.2 The inspection was carried out between October 1999 and February 2000 under the direction of Mr William Taylor, HM Chief Inspector of Constabulary, with field work carried out by Mr Graham Power, Assistant Inspector of Constabulary, and Mr Graham Harcus, HM Lay Inspector of Constabulary, supported by staff officers.

1.3 HMIC has found that in discussing the wider issues of police complaints attention often focuses on what some people see as four key elements. These are:

• Independence
• Impartiality
• Effectiveness
• Accessibility

These four words are sometimes used as if they are interchangeable. HMIC records its own views of these key areas as follows.

Independence - Has a value in terms of perception. It is not in itself a major factor in determining success or failure.

Impartiality - Is vitally important to the success or failure of the system. Impartiality is not the same as independence and therefore impartiality is not jeopardised by the fact that police officers are involved in an investigation.

Effectiveness - The most important of all four considerations. An effective system is one which offers the best chance of justice to all parties and maintains public confidence.

Accessibility - No system can be effective if members of the public cannot gain ready access.

1.4 Parameters were established for the inspection which was conducted under the following agreed terms of reference:

• 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.

1.5 The inspection was carried out within the context of HMIC's statutory role and focused primarily on the potential for continuous improvement in the handling of complaints against the police under the existing legislation. HMIC is of course aware of a wider debate on the subject in which a number of parties have expressed support for legislative change in the hope of achieving a more visible level of independence. This report does not attempt to close that debate but rather to provide information and evidence which should enable continuing dialogue to proceed on an informed basis.

1.6 The report is presented in three parts. Part I concerns itself entirely with the operation of the existing system and constitutes the formal thematic inspection. Specific recommendations are made under Part I with a view to improving the effectiveness of the existing system and enhancing public confidence. To assist further in the broader debate, Part II of the report describes briefly alternative police complaints systems operating in countries with comparable legal systems and offers some objective professional comment on alternative approaches. Part III raises a number of issues of interpretation regarding the current regulations which HMIC believes the Scottish Executive might wish to consider further.

HMIC has made a total of 18 recommendations and 11 suggestions resulting from the thematic inspection. The recommendations and suggestions provide a programme for action that can be started immediately towards developing effective change to the existing complaints structure.

PART I - THE THEMATIC INSPECTION

Main Findings

2.1 The main findings of the report are as follows:

• 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, 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 external 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.

Good Practice

2.2 In the course of the inspection HMIC identified examples of what is considered to be good practice.

1. It is good practice for police authorities to publish information about the police complaints procedures in their area.

2. It is good practice for complaints against the police leaflets to be displayed and available at public areas of police stations.

3. It is good practice for forces to consider the following issues in relation to a suspension policy:

• Written statement of criteria for suspension
• Use of alternatives to suspension such as non-operational or administrative duties at a place separate from the issue under examination
• Written guidelines to suspended officers and their managers
• Inclusion in the guidelines of clear and encouraging descriptions of the support available to officers, their rights and their obligations
• Automatic notification to the force welfare officer
• Automatic notification to the officer's staff association representative
• Appointment of a force liaison officer
• Regular updates to the officer of the progress of the case

4. It is good practice to survey members of the public who have made complaints against the police.

5. It is good practice for analysis of complaint patterns to be fed back into management action.

PART II - ALTERNATIVE SYSTEMS

3.1 The formal powers and role of HMIC are largely confined to the examination of efficiency and effectiveness of police forces in Scotland and in consequence the inspection focused on how police performance can be developed within the context of the existing law. However, in the course of the consultation undertaken by HMIC, a number of proposals for reform were made based on practice and structures apparently used elsewhere in the world. Accordingly, it was felt appropriate to consider a number of police complaints systems operating in countries with comparable legal systems to Scotland.

3.2 HMIC found considerable variety in the different approaches taken, indicating that no single jurisdiction offers a perfect solution for the complex issues which surround complaints against the police. A hybrid of internal investigation, oversight, external enquiry and government overview was found to exist to some extent in all systems.

3.3 A number of parties consulted by HMIC did advance ideas for providing more obvious independence within the existing police complaints system in Scotland, possibly based on models operating in other countries. Any reform proposed, however, must demonstrate that it is both more effective and offers greater value, both in substance and perception, than that which the existing system in Scotland provides through the combined effect of the procurator fiscal service, HMIC and police authorities. Before any major legislative changes are undertaken it may be worth considering whether an improved and more transparent application of the existing system would provide the degree of visible independent oversight that some parties demand.

3.4 Whether or not such an approach is acceptable, it could be argued that reforming and improving the existing arrangements should be achievable in the short to medium term without prejudice to any measures which may be desirable in the longer term. In the view of HMIC it would be a matter for regret if the legitimate and continuing debate on the legal framework for complaint investigation in any way delayed the quick and effective measures which are recommended in this report as a means of strengthening the existing structure.

PART III - ISSUES CONCERNING EXISTING LEGISLATION

4.1 Although it was not a primary purpose of the inspection to review the current misconduct regulations, some issues did emerge to which HMIC believes the Scottish Executive may wish to give further consideration.

Suggestions, Part III

HMIC suggests that:

1. The Scottish Executive consider further the impact of ECHR Regulations on current procedures which relate to deputy chief constables appointing the chair of a misconduct hearing.

2. The Scottish Executive consider the significant change in the disciplinary role of chief constables.

3. The Scottish Executive reviews the definition of 'complainer' within the interpretation of the Police (Conduct) (Scotland) Regulations 1996.

4. The Scottish Executive consider the question of what is 'discreditable' in terms of the conduct regulations and the likely impact of ECHR.

5. The Scottish executive consider the working of police appeals tribunals when sufficient experience in this area has been gained.

A just and effective police complaints system is a vital component of democratic society. The recommendations made by HMIC in this report are intended to improve effectiveness and enhance public confidence.

The full report may be viewed on the internet at www.scotland.gov.uk/hmic

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