PSD 1_pages 84.docx

**POLICE DISCIPLINE STANDING ORDER** **TABLE OF DOCUMENT DETAILS** +-----------------------+-----------------------+-----------------------+ | Title | Discipline Standing | | | | Order -- PSD 1 | | +=======================+=======================+=======================+ | Reference No | | | +-----------------------+-----------------------+-----------------------+ | Relevant Department | Human Resources | | | or Group | Steering Group | | +-----------------------+-----------------------+-----------------------+ | Ownership | Deputy Chief | | | | Constable | | +-----------------------+-----------------------+-----------------------+ | Document Author | Supt. 214 Moustafa | | | | Kemal | | +-----------------------+-----------------------+-----------------------+ | Approved by | Executive Board | | +-----------------------+-----------------------+-----------------------+ | Approval Date | February 2022 | | +-----------------------+-----------------------+-----------------------+ | Implementation Date | 1^st^ of June 2022 | | +-----------------------+-----------------------+-----------------------+ | To be Reviewed Date | December 2026 | | +-----------------------+-----------------------+-----------------------+ | Last Revised Date | December 2023 | | +-----------------------+-----------------------+-----------------------+ | Quality Assured by | Executive Board | | +-----------------------+-----------------------+-----------------------+ | Protective Marking | Not Protectively | | | | marked | | +-----------------------+-----------------------+-----------------------+ | Linked to other | | | | | | | | Standing Order | | | +-----------------------+-----------------------+-----------------------+ | Relevant Legislation | [Employment | | | | (Equality) Ordinance | | | | 2012](https://sbaadmi | | | | nistration.org/home/l | | | | egislation/01_02_09_0 | | | | 4_INCON/E/20201008_AG | | | | LA_Employment-Equalit | | | | y-Ordinance-2012.pdf) | | | | | | | | [Equal Treatment | | | | Ordinance | | | | 2004](https://sbaadmi | | | | nistration.org/home/l | | | | egislation/01_02_09_0 | | | | 4_INCON/E/20150910_Eq | | | | ualTreatmentOrdinance | | | | -2004_web.pdf) | | | | | | | | [Human Rights | | | | Ordinance | | | | 2004](https://sbaadmi | | | | nistration.org/home/l | | | | egislation/01_02_09_0 | | | | 4_INCON/H/20140304_Hu | | | | manRightsOrdinance-20 | | | | 04_web.pdf) | | | | | | | | [Police Ordinance | | | | 2007](https://sbaadmi | | | | nistration.org/home/l | | | | egislation/01_02_09_0 | | | | 4_INCON/P/20200630_AG | | | | LA_PoliceOrdinance-20 | | | | 07_CONSOL.pdf) | | | | | | | | [Police & Prison | | | | Officers (General) | | | | Regulations | | | | 2007](https://sbaadmi | | | | nistration.org/home/l | | | | egislation/01_02_09_0 | | | | 4_INCON/P/20170131_Po | | | | liceandPrisonOfficers | | | | _General_Regulations- | | | | 2007.pdf) | | | | | | | | [Police & Prison | | | | Officers (Discipline) | | | | Regulations | | | | 2022](https://sbaadmi | | | | nistration.org/home/l | | | | egislation/01_02_09_0 | | | | 4_INCON/P/20180224_Po | | | | liceandPrisonOfficers | | | | _Discipline_Regulatio | | | | ns-2013.pdf) | | +-----------------------+-----------------------+-----------------------+ | Pages | 84 | | | | | | | (including this page) | | | +-----------------------+-----------------------+-----------------------+ | **TABLE OF CONTENTS** | | | +-----------------------+-----------------------+-----------------------+ | [Purpose of this | [Page | [Section | | Policy](%5Cl) | 5](#PurposeOfThisPoli | 1](#PurposeOfThisPoli | | | cy1) | cy1) | +-----------------------+-----------------------+-----------------------+ | [Introduction](#Intro | [Page | [[Section | | duction) | 5](#Introduction) | 2]](#Intr | | | | oduction) | +-----------------------+-----------------------+-----------------------+ | [Legislation](#Legisl | [Page | [Section | | ation) | 5](#Legislation) | 3](#Legislation) | +-----------------------+-----------------------+-----------------------+ | [Legal Advice & | [Page | [Section | | Representation](#Lega | 6](#LegalAdviceRepres | 4](#LegalAdviceRepres | | lAdviceRepresentation | entation) | entation) | | ) | | | +-----------------------+-----------------------+-----------------------+ | [Police | [Page | [Section | | Friend](#PoliceFriend | 7](#PoliceFriend) | 5](#PoliceFriend) | | ) | | | +-----------------------+-----------------------+-----------------------+ | [Human Rights, | [Page | [Section | | Equality & | 7](#HumanRightsEquali | 6](#HumanRightsEquali | | Diversity](#HumanRigh | tyDiversity) | tyDiversity) | | tsEqualityDiversity) | | | +-----------------------+-----------------------+-----------------------+ | [Welfare, Health & | [Page | [Section | | Safety](#WelfareHealt | 8](#WelfareHealthSafe | 7](#WelfareHealthSafe | | hSafety) | ty) | ty) | +-----------------------+-----------------------+-----------------------+ | [Principles](#Princip | [Page 9](#Principles) | [Section | | les) | | 8](#Principles) | +-----------------------+-----------------------+-----------------------+ | [The Professional | [Page | [Section | | Standards | 10](#TheProfessionalS | 9](#TheProfessionalSt | | Department](#TheProfe | tandardsDepartment) | andardsDepartment) | | ssionalStandardsDepar | | | | tment) | | | +-----------------------+-----------------------+-----------------------+ | **INITIAL PROCEDURE** | | | +-----------------------+-----------------------+-----------------------+ | [Recording of | [Page | [Section | | Complaints](#Recordin | 11](#RecordingofCompl | 10](#RecordingofCompl | | gofComplaintsConductM | aintsConductMatter) | aintsConductMatter) | | atter) | | | +-----------------------+-----------------------+-----------------------+ | [Informal | [Page | [Section | | Resolution](#INFORMAL | 12](#INFORMALRESOLUTI | 11](#INFORMALRESOLUTI | | RESOLUTION) | ON) | ON) | +-----------------------+-----------------------+-----------------------+ | [Management | [Page | [Section | | Action](#ManagementAc | 14](#ManagementAction | 12](#ManagementAction | | tion) | ) | ) | +-----------------------+-----------------------+-----------------------+ | **THE FORMAL | | | | PROCEDURE** | | | +-----------------------+-----------------------+-----------------------+ | [Initiating the | [Page | [Section | | Formal | 15](#InitiatingtheFor | 13](#InitiatingtheFor | | Procedure](#Initiatin | malProcedure) | malProcedure) | | gtheFormalProcedure) | | | +-----------------------+-----------------------+-----------------------+ | [The Harm | [Page | [Section | | Test](#TheHarmTest) | 15](#TheHarmTest) | 14](#TheHarmTest) | +-----------------------+-----------------------+-----------------------+ | [The Severity | [Page | [Section | | Assessment](#Severity | 16](#SeverityAssessme | 15](#SeverityAssessme | | Assessment) | nt) | nt) | +-----------------------+-----------------------+-----------------------+ | [Preliminary | [Page | [Section | | Enquiry](#Preliminary | 17](#PreliminaryEnqui | 16](#PreliminaryEnqui | | Enquiry) | ry) | ry) | +-----------------------+-----------------------+-----------------------+ | [Severity Assessment | [Page | [Section | | Outcomes](#SeverityAs | 18](#SeverityAssessme | 17](#SeverityAssessme | | sessmentOutcomes) | ntOutcomes) | ntOutcomes) | +-----------------------+-----------------------+-----------------------+ | [Suspension](#Suspens | [Page | [Section | | ion) | 18](#Suspension) | 18](#Suspension) | +-----------------------+-----------------------+-----------------------+ | [Formal Discipline | [Page | [Section | | Investigations](#Form | 22](#FormalDiscipline | 19](#FormalDiscipline | | alDisciplineInvestiga | Investigations) | Investigations) | | tions) | | | +-----------------------+-----------------------+-----------------------+ | [Notice of | [Page | [Section | | Investigation](#Notic | 22](#NoticeofInvestig | 20](#NoticeofInvestig | | eofInvestigation) | ation) | ation) | +-----------------------+-----------------------+-----------------------+ | [Conduct of | [Page | [Section | | Investigation](#Condu | 23](#ConductofInvesti | 21](#ConductofInvesti | | ctofInvestigation) | gation) | gation) | +-----------------------+-----------------------+-----------------------+ | [Completing the | [Page | [Section | | Investigation](#Compl | 24](#CompletingtheInv | 22](#CompletingtheInv | | etingtheInvestigation | estigation) | estigation) | | ) | | | +-----------------------+-----------------------+-----------------------+ | [Notice of Referral | [Page | [Section | | to Disciplinary | 25](#NoticeofReferral | 23](#NoticeofReferral | | Proceedings](#Noticeo | toDisciplinaryProce) | toDisciplinaryProce) | | fReferraltoDisciplina | | | | ryProce) | | | +-----------------------+-----------------------+-----------------------+ | [Discipline | [Page | [Section | | Proceedings (Meeting | 30](#DisciplineProcee | 24](#DisciplineProcee | | / | dings_Meeting_Hearing | dings_Meeting_Hearing | | Hearing)](#Discipline | ) | ) | | Proceedings_Meeting_H | | | | earing) | | | +-----------------------+-----------------------+-----------------------+ | [Misconduct | [Page | [Section | | Pre-Hearing](#Miscond | 31](#MisconductPreHea | 25](#MisconductPreHea | | uctPreHearing) | ring) | ring) | +-----------------------+-----------------------+-----------------------+ | [Procedural | [Page | [Section | | Provisions](#Procedur | 32](#ProceduralProvis | 26](#ProceduralProvis | | alProvisions) | ions) | ions) | +-----------------------+-----------------------+-----------------------+ | [Outcome of | [Page | [Section | | Disciplinary | 32](#OutcomeofDiscipl | 27](#OutcomeofDiscipl | | Proceedings](#Outcome | inaryProceedings) | inaryProceedings) | | ofDisciplinaryProceed | | | | ings) | | | +-----------------------+-----------------------+-----------------------+ | [Appeals](#Appeals) | [Page 35](#Appeals) | [Section | | | | 28](#Appeals) | +-----------------------+-----------------------+-----------------------+ | **GENERAL** | | | +-----------------------+-----------------------+-----------------------+ | [Personal File | [Page | [Section | | Records](#PersonalFil | 39](#PersonalFileReco | 29](#PersonalFileReco | | eRecords) | rds) | rds) | +-----------------------+-----------------------+-----------------------+ | [Special | [Page | [Section | | Cases](#SpecialCases) | 39](#SpecialCases) | 30](#SpecialCases) | +-----------------------+-----------------------+-----------------------+ | [Inability to | [Page | [Section | | Participate in the | 40](#InabilitytoParti | 31](#InabilitytoParti | | Formal Process Due to | cipateintheFormalProc | cipateintheFormalProc | | Ill | eed) | eed) | | Health](#InabilitytoP | | | | articipateintheFormal | | | | Proceed) | | | +-----------------------+-----------------------+-----------------------+ **INDEX OF ANNEXES** ------------------------ ----------------------------------------------------------------------------- ---------------------- [Annex 1](#Annex1) [Schedule 1 -- Police Standards of Professional Behaviour](#Annex1) [Page 41](#Annex1) [Annex 2](#Annex2) [Handling of Complaints](#Annex2) [Page 42](#Annex2) [Annex 3](#Annex3) [Chief Constable's Scheme of Delegation](#Annex3) [Page 44](#Annex3) [Annex 4](#Annex4) [Code of Ethics -- Policing Principles](#Annex4) [Page 48](#Annex4) [Annex 5](#Annex5) [SBA Police Charter](#Annex5) [Page 51](#Annex5) [Annex 6](#Annex6) [Complaint Against The Police Form](#Annex6) [Page 52](#Annex6) [Annex 7](#Annex7) [Notice of Investigation Form](#Annex7) [Page 66](#Annex7) [Annex 8](#Annex8) [Notice of Referral to Misconduct Proceedings Form](#Annex8) [Page 68](#Annex8) [Annex 9A](#Annex9A) [Notice of Misconduct Meeting Form](#Annex9A) [Page 73](#Annex9A) [Annex 9B](#Annex9B) [Notice of Hearing by Discipline Panel Form](#Annex9B) [Page 75](#Annex9B) [Annex 10](#Annex10) [Notice of Outcome (Misconduct Meeting -- Discipline Panel) Form](#Annex10) [Page 77](#Annex10) [Annex 11A](#Annex11A) [Notice of Appeal Form](#Annex11A) [Page 79](#Annex11A) [Annex 11B](#Annex11B) [Finding of the Appeal Form](#Annex11B) [Page 80](#Annex11B) [Annex 12](#Annex12) [Notice of Suspension Form](#Annex12) [Page 82](#Annex12) **1.** []{#PurposeOfThisPolicy1.anchor}**Purpose of this Policy** 1.1 The purpose of this policy is to provide guidance to ensure that all complaints against Police are recorded and are dealt with fairly, promptly, and effectively, setting out the immediate actions in dealing with Police conduct which may have fallen short of the Professional Standards of Behaviour contrary to Schedule 1 ([Annex 1](#Annex1)), of the Police and Prison Officer (Discipline) Regulations 2022, through misconduct or serious misconduct procedures. This policy also sets out guidance to deal with behaviour which does not amount to misconduct and can be dealt with by way of informal resolution or management action. This document is for guidance only and should be read in conjunction with the [Police & Prison Officers (Discipline) Regulations 2022](https://sbaadministration.org/home/legislation/01_02_09_04_INCON/P/20180224_PoliceandPrisonOfficers_Discipline_Regulations-2013.pdf), which has primacy over all Police conduct. **2.** []{#Introduction.anchor}**Introduction** 2.1 The Policy provisions are only applicable to conduct matters and are not meant to address an individual's **capability and/or performance** (See 'Restoring Efficiency' on 'Performance' -- 'Attendance' policies, and Professional Development Review Process, PDR). 2.2 The Professional Standards Department Headquarters (PSD), will be the focal point, which will receive, record, manage and oversee, all complaints relating to Misconduct. 2.3 This policy sets out the practice of the [Police & Prison Officers (Discipline) Regulations 2022](https://sbaadministration.org/home/legislation/01_02_09_04_INCON/P/20180224_PoliceandPrisonOfficers_Discipline_Regulations-2013.pdf) which apply to all SBA Police Officers. 2.4 The policy is published in the SBAP Portal and it is the responsibility of all Police Officers to make themselves aware of its content and to ensure that its provisions are applied properly and consistently. **3.** []{#Legislation.anchor}**Legislation** 3.1 This document is compatible with the provisions and the principles of the [Human Rights Ordinance 2004](https://sbaadministration.org/home/legislation/01_02_09_04_INCON/H/20140304_HumanRightsOrdinance-2004_web.pdf), the [Equal Treatment Ordinance 2004](https://sbaadministration.org/home/legislation/01_02_09_04_INCON/E/20150910_EqualTreatmentOrdinance-2004_web.pdf), the [Employment (Equality) Ordinance 2012](https://sbaadministration.org/home/legislation/01_02_09_04_INCON/E/20201008_AGLA_Employment-Equality-Ordinance-2012.pdf), the [Police & Prison Officers (General) Regulations 2007](https://sbaadministration.org/home/legislation/01_02_09_04_INCON/P/20170131_PoliceandPrisonOfficers_General_Regulations-2007.pdf) and the [Police & Prison Officers (Discipline) Regulations 2022](https://sbaadministration.org/home/legislation/01_02_09_04_INCON/P/20180224_PoliceandPrisonOfficers_Discipline_Regulations-2013.pdf). 3.2 According to the Interpretation Regulation (2) of the Police Discipline Regulations 2022, 'Appropriate Authority' (AA) means: a. Where the Officer Concerned (OC) is a 'Senior Officer', the Chief Officer of the SBA Administration b. In all other cases, the Chief Constable of the SBA Police 3.3 Senior Officer, for the purposes of the Discipline Regulations 2022 and this policy, means an SBA Police Officer with a substantive rank higher than Superintendent. 3.4 The AA may delegate functions to any appropriately qualified person acting under their direction or control. Unless otherwise delegated, for police officers of Superintendent rank and below the Deputy Chief Constable will normally be the said appropriately qualified person through the 'Scheme of delegation' ([Annex 3](#Annex3)). 3.5 Misconduct, according to the interpretation in Regulation (2) of the Police and Prison Officers (Discipline) Regulations of 2022, means: a breach of the standards of professional behaviour for a Police Officer by act or omission, statement, or decision (whether actual, alleged, or inferred) that is so serious as to justify disciplinary penalty. **4.** []{#LegalAdviceRepresentation.anchor}**Legal Advice & Representation** 4.1 An Officer subject to any discipline hearing or an appeal meeting that relates to a finding or sanction of a serious misconduct has the right to be legally represented by a relevant lawyer of their choice. If a lawyer preferred by the Officer is not available at a disciplinary hearing or serious misconduct appeal meeting without a valid ground, the process will not be delayed. If the Officer is not represented by a lawyer, then the Officer may be represented by a Police Friend at disciplinary proceedings. 4.2 The AA can be represented at disciplinary proceedings by: a\) a Police Officer at a misconduct meeting b\) a lawyer at a disciplinary hearing or serious misconduct appeal. 4.3 The AA may also appoint a person to advise the person conducting or chairing the disciplinary proceedings. The appointed person may only be a lawyer for a disciplinary hearing or a serious misconduct appeal. 4.4 It is fundamental that the AGLA's office is informed of any such requirement for assistance under paragraphs 4.2 and 4.3 as soon as practically reasonable, at the initial stages of a case. **4.5 When an OC is served with a notice relating to misconduct allegations against them, they are entitled to seek support from a 'Police Friend' throughout the investigation and may be represented by the said friend in any subsequent discipline proceedings. The Police Friend must not be otherwise be involved with the matter.** **4.6 An OC may only be accompanied by a lawyer in an interview where criminal proceedings may be taken against the OC in respect of facts arising from the discipline offences under investigation. That lawyer cannot answer any questions on behalf of the OC.** **5.** []{#PoliceFriend.anchor}**Police Friend** **5.1 The OC can choose a Police Officer who is not involved in the matter, to act as a 'Police Friend' once a notice of investigation has been served on them.** **5.2 Within the framework of the** Police and Prison Officers (Discipline) Regulations of 2022 **a 'Police Friend' will be able to:** - **Advise the OC throughout the proceedings** - **Represent the OC at the disciplinary proceedings unless the Officer has the right to be legally represented and chooses to be represented** - **Make representations to the AA concerning any aspect of the proceedings** - **Accompany the OC to any interview, meetings or hearing which forms part of any proceedings** **5.3 The Police Friend will be permitted by the Chief Constable to use reasonable amount of duty time to be able to support the above-mentioned functions.** **6.** []{#HumanRightsEqualityDiversity.anchor}**Human Rights, Equality & Diversity Application** **6.1** The application of this policy will have consideration to the [Human Rights Ordinance 2004](https://sbaadministration.org/home/legislation/01_02_09_04_INCON/H/20140304_HumanRightsOrdinance-2004_web.pdf). 6.2 Due consideration has also been taken as regards equality and diversity. The Equality, Fairness and Diversity Policy requires the SBA Police to examine its policies and practices (i.e., operations, procedures, services, and functions) to assess what their impact might be on individuals. 6.3 The AA must undertake a considered equality assessment to establish what the potential impact of this policy might be on any of the protected groups. They must decide and record whether the proceedings may have some impact regarding equality. 6.4 Considering equality, the AA will contemplate 3 specific questions when making initial assessments regarding allegations made in all cases: Is the allegation vexatious? Is there evidence to support the allegation? Is the action taken proportionate to the allegation? 6.5 During all proceedings, the process should be assessed in all stages, whether it is having a negative impact, positive impact, or no impact to the OC. 6.6 During the proceedings, if a negative impact becomes apparent, it is the duty of the AA to dynamically assess what impact the procedure is having on the OC and record what actions are being taken / considered to reduce the impact or record why the activity is justified. The views of the Welfare Officer appointed in support of the OC, should be taken into consideration and potential action, monitored accordingly. 6.7 The AA must have due regard to eliminate unlawful discrimination, advance equality and foster good relations, thus ensuring that the needs of the OC and all other Officers involved in the process are fully considered in terms of equality. **7.** []{#WelfareHealthSafety.anchor}**Welfare, Health and Safety** 7.1 There are no apparent risks to the health and safety of any individual associated with the correct implementation of this procedure. However, it is recognised that Officers may experience heightened anxiety as a normal response to the situation. Confidential welfare support through an appointed Welfare Officer will be available to any OC, as well as a Police Friend according to the provisions of Regulation 11 of the Discipline Regulations. 7.2 According to the [**SBA Police Welfare Officer Standing Order**](https://modgovuk.sharepoint.com/:w:/r/teams/25468/STANDING%20ORDERS%202023/Standing%20Orders%202023%20onward/HUMAN%20RESOURCES/HR%2022.docx?d=w176f22d4113a46afaa7350547a417d06&csf=1&web=1&e=5kWE2S) providing welfare is the approach to wellbeing, where the Police are committed in giving direct support to Police Officers when it is needed most. Welfare support will be provided to an OC during criminal investigation or discipline proceedings. 7.3 A Welfare Officer's role becomes an even more important function where the vulnerability / risk of harm is acute to an OC. 7.4 The OC may have multiple things happening to them within the workplace and/or in their personal life. Or it may be that one aspect of work / personal life / health is having a significant impact on them and the proceedings. 7.5 A referral form, within the Welfare Policy, will be used to make the initial assessment regarding the individual and their situation and then determine the appropriate level of support and response. 7.6 If a Police Officer becomes subject to a public complaint or discipline investigation, the Professional Standards Department will work to ensure that the OC will be provided with clear guidance to help manage expectations and impacts on the wellbeing of the OC (**SBA Police Charter for Officers Subject of Public Complaint or Conduct Investigation)** ([Annex 5](#Annex5)). **8.** []{#Principles.anchor}**Principles** 8.1 The following are the principles in which the procedures of this policy are based on. a. The General provisions of the Police and Prison Officers Discipline Regulations of 2022 and the Code of Ethics will set the expected Professional Standards of Behaviour for Police Officers. b. Informal Resolution action will be considered to resolve an issue where appropriate. c. If formal action is initiated, the OC will be informed of the nature of the allegation against them and will be given the opportunity to state their case before any decision is made at a disciplinary hearing or misconduct meeting. d. The Investigating Officer will carry out such interviews and investigations as are necessary for the conduct of the disciplinary investigation and will consider evidence substantiating or evidence in mitigation. e. The OC will be kept updated on the progress of the investigation, at least every 20 working days, throughout the proceedings. f. The OC will be provided with evidence, relevant witness statements and any Investigating Officer's report in advance of a disciplinary hearing or meeting, according to the provisions of Regulation 13 (Harm Test) and the general provisions of the Police and Prison Officers (Discipline) Regulations of 2022. g. During the disciplinary procedures, the OC will have the right to: - be represented by a lawyer or a Police Friend of their choice in the event of a Serious Misconduct Procedure and an appeal meeting that relates to a finding or sanction of serious misconduct. - be represented or accompanied with a Police Friend, in the case of the Misconduct Procedure. h. An OC has the right of appeal against decisions in any disciplinary procedure. i. In cases where medical advice is required, a medically qualified person may be consulted. j. The standard of proof required in discipline matters is the civil rather than the criminal standard. Decisions on discipline matters will be made on the 'balance of probabilities' and not on the principle relating to 'beyond reasonable doubt'. k. Any rule of law relating to the admissibility of evidence in criminal or civil proceedings before a Court, will not apply to the proceedings under the Police and Prison Officers (Discipline) Regulations of 2022. **9.** []{#TheProfessionalStandardsDepartment.anchor}**The Professional Standards Department** 9.1 The Professional Standards Department Headquarters (PSD) will be responsible for recording, co-ordinating and managing [ALL] Discipline and Criminal Investigations involving any member of the Force. 9.2 In misconduct meetings an Officer will be appointed by the head of PSD to present the facts of the case and answer questions raised by the Deciding Officer. 9.3 In misconduct meetings, serious misconduct hearings and appeal hearings, the Head of PSD may appoint a Presenting Officer to present the facts of the case. If the OC is represented by a lawyer, then the Presenting Officer representing the AA may also be a lawyer from the AGLA's office. The role of the Presenting Officer may also include duties in addition to the presentation of facts, such as responding to legal and procedural arguments. **INITIAL PROCEDURE** **10.** []{#RecordingofComplaintsConductMatter.anchor}**Recording of Complaints / Conduct Matters** 10.1 An allegation against Police may be identified or reported internally, received in writing or by telephone or in person, at a Police Station or elsewhere. Misconduct allegations received at the Divisions, must be reported to the Divisional Duty Officer. In the event where the complaint is received during office hours, the Divisional Duty Officer must refer the complainant(s) to the PSD HQ. There will be ***no requirement on behalf of the Duty Officer to complete any forms in these circumstances.*** In the event where the complaint is received during out of office hours, the Divisional Duty Officer will be responsible to meet / speak with the complainant and get a full understanding of the nature of the complaint. Good common sense and judgement must be exercised in considering the seriousness of the allegations as well as the relevant action to be taken. When the allegations appear to be of a serious nature the PSD must be informed immediately, irrespective of the time. The Divisional Duty Officer will then be responsible for completing **Part 1** and **Part 2** of the **'Complaint Against Police'** Form set out in [Annex 6](#Annex6). The Duty Officer must consider whether any immediate action is necessary (**Part 2**) and ensure that proportionate action is taken accordingly, to obtain or preserve any [readily available evidence] to support or rebut the allegation. There should be no investigation or statement taken at this stage. Evidence in such instances is far ranging and may include: a. Seizure and retention of any documentary, video, audio, or computer record relating to the incident complained about b. Medical examination of the complainant c\. Medical examination of the Police Officer d\. Isolation / preservation of the scene e\. Searching / securing of lockers / vehicles / property f\. Retention of clothing, equipment, etc., for forensic examination g\. Consideration for photographs of the scene, complainant or officer 10.2 In all cases requiring immediate action, the Duty Officer must take record of the nature of the complaint and any relevant action, if taken, in **Part Two of** [Annex 6](#Annex6). 10.3 In their capacity as the Divisional Duty Officer, who had the opportunity to meet or speak with the complainant, they should also, where applicable, make relevant remarks and/or recommendations within **Part 2**, which may later assist the severity assessment. **10.4 The Duty Officer must inform the PSD as soon as practically possible about the reporting of a complaint and arrange for the relevant Form** ([Annex 6](#Annex6)) **to be sent to PSD HQ. No investigation or statement taking should be carried out at this stage.** **10.5 Any complaints received through any type of mail which may be directed towards civil staff, must be communicated to the local Divisional Commander who will inform the PSD, as soon as reasonably practicable, without the need to complete [Annex 6](#Annex6) form.** **10.6 Ethics and integrity must be exercised on behalf of Officers who receive allegations against the Police. There is no justification for disclosing any such information to anyone else, other than those delegated with the role and responsibility covered by this policy. Where 'confidentiality' is violated, a risk is generated which may affect potential criminal and/or disciplinary proceedings** ([Annex 4](#Annex4)). **11.** []{#INFORMALRESOLUTION.anchor}**INFORMAL RESOLUTION** 11.1 Informal Resolution (IR) is a process where a complaint is received but the essence of the complaint does not warrant formal discipline action and a third party is then able to resolve the complaint informally. 11.2 Informal Resolution is the most appropriate response to minor complaints that do not merit disciplinary action. 11.3 A severity assessment will be conducted by the PSD in all cases where a complaint against a Police Officer is received and recommendations will be made to the AA for final decision. The severity assessment will cover all aspects of the matter, including the seriousness of the act or omission and the misconduct record of the OC, considering as to whether it would be appropriate for the complaint to be dealt with by IR. 11.4 Consideration as to whether an allegation could be resolved informally would ordinarily refer to minor conduct against discipline or to a possible misunderstanding between the officer and complainant. Drafting a list with examples of offences of minor conduct for guidance is not feasible. The list below, however, provides a few general examples as to the type of conduct which may be considered appropriate to be dealt with by way of Informal Resolution. a. *Being impolite towards a member of the public or colleague.* b. *Improper behaviour in public or towards colleagues.* c. *Improper appearance in public.* d. *Other minor failures to comply with a policy.* If such an approach to resolve the matter informally is appropriate and the attempt has achieved a desired result, Part Three of [Annex 6](#Annex6) (informal action) should be completed. 11.5 It should however be noted that, there may be occasions where a complainant may wish to make a complaint but at a later stage may not want to proceed further. Such a possibility should be taken into consideration, but it must be understood that the nature and seriousness of an allegation may necessitate the taking of action, irrespective of the complainant's final intention. Informal Resolution of the complaint or a complainant not wishing to pursue a matter, does not preclude disciplinary action being taken under the Discipline Regulations, if it is the appropriate action based on further investigation of the complaint and only after a severity assessment is conducted. 11.6 It must be emphasised that, regardless of the complainant being a member of the public or police officer, the IR procedure [can only be initiated if both parties] (complainant and OC) agree to have the matter resolved with the afore mentioned procedure, to come to an amicable and viable resolution to the complaint raised. 11.7 Where the outcome of the severity assessment dictates that the IR process would be appropriate for the specific complaint, the PSD will forward the case to the Divisional Commander of the OC, with a request for the appointment of the appropriate supervisor to manage the IR process. 11.8 The supervisor appointed to deal with the matter (Inspector or above), may resolve the case by either meeting both the complainant and the OC, together or separately, depending on the circumstances of each case. These meetings should always take place in confidence. 11.9 A meeting should not turn into a formal investigation process as this would deny the OC certain rights. If during the meeting, new evidence arises, suggesting that the matter appears more serious than originally perceived to be, or if any of the parties withdraw their initial position for the matter to be dealt with by way of IR, then the meeting should be terminated, and the OC informed that the matter will be re-assessed by PSD in the light of new developments. The PSD must be informed immediately, and all documentation returned. 11.10 On completion of the IR process, all relevant documentation must be returned to PSD with remarks and recommendations if any, for review and classification. 11.11 The AA will monitor and report on IRs to the Administrator's Advisory Board on Police (AABP). **12.** []{#ManagementAction.anchor}**Management Action** 12.1 The day-to-day supervision of officers is part of the normal management process. A feature of that responsibility is to highlight to an individual, at the earliest possible stage, any shortcomings in their performance**.** Management Action may be considered, either locally by the SMT or directed subsequently upon a severity assessment, a Misconduct Meeting or a Serious Misconduct Hearing and it may also be relevant or appropriate subsequently after an Informal Resolution. Relevant management action plans must be communicated to the OC and in line with the provisions of the PDR. Those related to IR, or which were directed subsequently through a misconduct procedure must be copied to the PSD as well. 12.2 Such Management Action has the potential to cover a wide range of issues and will vary according to the case. However, there are some basic points that should always be considered: - Clear advice reference to the area to be improved should be given, as part of a constructive, two-way, discussion. - Clear standards and expectations should be outlined, discussed and a support action plan mutually agreed. - Review periods should be set and followed up. - Further training or coaching may be of value and if the said need is identified, this should be provided with minimum delay. - The discussion should cover any concerns the individual has, either work related or not, which may be affecting their performance or conduct. Where appropriate and feasible, other adjustments may be of value on a temporary or permanent basis (review of working patterns or hours, workload review, etc). - If health concerns exist, then Occupational Health Advice should be sought at an early stage, via a management referral, through the Human Resources Department HQ (HR). - Line managers are expected to discuss issues with the individual at the earliest opportunity and agreements should be reached as to the necessity of any support, action plan, objectives, timescales set and follow up action required. [This should be clearly documented and added to the PDR system. ] - Where the improvements needed are achieved, this should be recognised, acknowledged to the individual and the matter closed. - Once the process is completed, all relevant documentation must be forwarded to PSD HQ, through Divisional SMT. **FORMAL PROCEDURE** **13.** []{#InitiatingtheFormalProcedure.anchor}**Initiating the Formal Procedure** 13.1 All complaints received will be dealt in the same way, using the form 'Complaint Against the Police' [Annex 6](#Annex6), including as much information as possible. The PSD will be notified at an early stage, to ensure consistency reference the approach and application of the procedure. A Discipline Register reference number will be issued. The path that the complaint will take, will depend on the outcome of the severity assessment. **14.** []{#TheHarmTest.anchor}**The Harm Test** 14.1 There are certain provisions under the Harm Test, regulation 13 of the Discipline Regulations 2022, which the AA must consider before any information in documents is disclosed to an OC or any other party, which may prevent any such disclosure, these provisions are: - The prevention of the premature or inappropriate disclosure of information that is relevant to, or may be used in, any criminal proceedings. - The interests of national security. - The prevention or detection of crime, or the apprehension or prosecution of offenders. - The prevention or detection of a disciplinary offence by other Police Officers, misconduct of employees of the Crown, persons in the service of the Crown, or their apprehension for such matters. - That providing the information would involve disproportionate effort in comparison to the seriousness of the complaints against the OC. - The necessity and proportionality, for the protection of the welfare and safety of any informant or witness. - The prevention of the disclosure is otherwise in the public interest. 14.2 Where information in documents is not supplied to the OC based on the above, then no person may rely on that information in disciplinary proceedings. 14.3 If the person authorised to carry out disciplinary proceedings considers that the reliance on information in documents which have not been supplied to the OC is necessary for the fair and equitable conduct of disciplinary penalty, no disciplinary proceedings are to take place during the period that the information is withheld. **15.** []{#SeverityAssessment.anchor}**Severity Assessment** 15.1 Before any formal discipline investigation is commenced the AA must assess whether the conduct which is the subject matter of the complaint, if proved, would amount to misconduct or serious misconduct or neither. This will be the severity assessment process, regulation 15 of the Discipline Regulations 2022. 15.2 In making such an assessment the following points will be considered: - If the initiation of any disciplinary proceedings may prejudice any criminal proceedings. - If there is a necessity for consultation with the AGLA's office. - If a case is assessed as serious misconduct the AA will consider redeploying or suspension of the OC in accordance with the provisions of regulation 16 of the Discipline Regulations 2022. 15.3 The severity assessment process will be guided by the range of discipline penalties. Where the penalty to be imposed for the specific conduct, if proved, is possibly more serious than a *final warning,* then the conduct will be assessed as serious misconduct. 15.4 Where the Officer has a final written warning in force on the date of the severity assessment, then the conduct will be dealt as serious misconduct and the proceedings must be a disciplinary hearing. 15.5 The AA will authorise for a notice to be sent to the OC stating the outcome deriving from the severity assessment. 15.6 If the AA directs for an investigation to commence, a Supervising Officer and an Investigating Officer will be appointed by the AA to investigate the case. Part Five of [Annex 6](#Annex6) should be completed. 15.7 Once the severity assessment is completed by the AA and the conduct, if proved, would not amount to misconduct or serious misconduct, it must be assessed whether: - The conduct, if proved, would amount to performance or professional practice requiring improvement. - Informal resolution would be appropriate. - No further action should be taken. **16.** []{#PreliminaryEnquiry.anchor}**Preliminary Enquiry** 16.1 A preliminary enquiry means initial enquiries to establish the circumstances of a complaint that are necessary to support the severity assessment. 16.2 Not all complaints will require such preliminary enquiries. This will have effect in cases where the initial information or allegation is unclear or needs elaboration to such an extent as to enable a fair severity assessment. A preliminary enquiry will be carried out only on readily available information or evidence and should not expand anywhere beyond that. Preliminary enquiries should be proportionate and not be considered as formal investigation. The said enquiries will be terminated as soon as the severity assessment is concluded. 16.3 A preliminary enquiry will only be authorised by the PSD Superintendent, in writing, with terms of reference for the enquiry. **17.** []{#SeverityAssessmentOutcomes.anchor}**Severity Assessment Outcomes** **No Further Action: when there is no evidence to support an allegation.** **Management Action: means action intended to improve the performance or professional practice of the OC by way of advice, direction, or development plan within the Officer's Professional Development Review process (PDR). Management Action is not a disciplinary penalty.** **Informal Resolution: the** process where a complaint is received but the essence of the complaint does not warrant formal discipline action, and a third party is then able to resolve the complaint informally. **Misconduct Procedure:** Refers to a breach of the standards of professional behaviour which involves allegations of less serious nature which can be dealt with a [Misconduct Meeting.] Under this procedure only the penalties of (i) Written warning and (ii) Final written warning, may be imposed. **Serious Misconduct Procedure: Refers to** a serious breach of the standards of professional behaviour where a discipline panel will deal with the case under a hearing process. The breach in these circumstances may be so serious that any penalty provided for in the Discipline Regulations, including that of [dismissal,] would be justified. **18.** []{#Suspension.anchor}**Suspension** **18.1 The AA may suspend an Officer from the office of constable under regulation 16 Discipline Regulations 2022. An Officer who is suspended will remain as a Police Officer for the purpose of these regulations and during the time of suspension will be with pay.** **18.2 The AA may only suspend an Officer if the following conditions apply:** **18.3 The AA may exercise the power to suspend an OC at any time, starting from the day the investigation commences into the alleged complaint and ending either when it is decided that the OC will not be referred to disciplinary proceedings or when disciplinary proceedings have concluded. Before any individual is suspended, a suspension rationale must be completed to carefully consider if this is the appropriate and proportionate course of action. The AA must then give to the OC a notification and a summary of the reasons of the suspension in writing, or if the notification is given orally then the AA must within three working days confirm the suspension and give the same summary of reasons in writing** ([Annex 12](#Annex12)). **18.4 The OC, a Police Friend or a relevant lawyer may apply and make representations against the suspension to the AA within seven working days, with the first day being the first working day after being suspended, or at any time during suspension time if the OC reasonably believes that the circumstances of suspension conditions have changed.** **18.5 Suspension is [NOT] a disciplinary sanction and should not be regarded as in any way pre- judging the outcome of a disciplinary or criminal investigation.** **18.6 The suspension of an OC will be reviewed regularly and monitored by the AA who will ensure that matters are dealt without undue delay to the process and the OC is informed of the status of the suspension at least every 20 working days.** **18.7 Below is a flow chart, prepared for easier reference and understanding which covers the initial complaints process. A more detailed reference is made within** [Handling of Complaints](#Annex2) annex 2. **\ ** **19.** []{#FormalDisciplineInvestigations.anchor}**Formal Discipline Investigations** **19.1 The authorisation to initiate disciplinary proceedings will be given by the AA following the severity assessment. When the decision will be that a formal investigation must be initiated, the AA will appoint a Supervising Officer (SO). The SO must be of at least equal rank to the OC. The SO will have overall responsibility for the investigation and will report back to the AA. The PSD Superintendent will normally be delegated with the function of the Supervising Officer.** **19.2 An Investigating Officer (IO) will also be appointed by the AA. The IO will generally be a member of the PSD or an attaché (specific Officers from the Divisions who have been appropriately trained). The IO may be of a lower rank than the OC.** **19.3 The purpose of the investigation will be to identify and secure evidence to establish the facts and circumstances of the alleged misconduct and thereby assist the AA to establish whether the OC has a case to answer.** **19.4 No disciplinary action will be taken against an OC until the case has been investigated and assessed.** **19.5 In ALL circumstances, the complaint must be referred to the PSD prior to any formal action being taken. This will ensure consistency of approach and application of this procedure.** **19.6 The PSD will assess accordingly and make recommendations to the AA, as to the most appropriate way in which a matter is to be dealt with.** **20.** []{#NoticeofInvestigation.anchor}**Notice of Investigation** **20.1 The Investigating Officer must, subject to the Harm Test, supply the OC with a relevant written Notice of Investigation (**[Annex 7](#Annex7)**), for Misconduct or Serious Misconduct, accordingly, as soon as reasonably practicable before commencing the discipline investigation. The notice must:** - - - - - - - - - **20.2 The IO must, subject to the Harm Test, give the 'Terms of Reference' of the investigation to the OC together with the Notice of Investigation, unless the IO considers that disclosing such information might prejudice the said investigation or any other investigation, including any criminal investigation. If such 'Terms of Reference' (TOR) are not provided due to the afore mentioned reasons, the IO must inform the OC of the reason why, by means of a written notice. If it is not practicable for the TOR or for the afore mentioned notice to be provided together with the Notice of Investigation, the IO must, within 5 working days, beginning with the first working day after the Notice of Investigation is given to the OC, give the OC either the TOR or the notice explaining why the TOR are not being provided.** **21.** []{#ConductofInvestigation.anchor}**Conduct of Investigation** **21.1 No investigation should be initiated unless the OC has been formally notified of the proceedings against them *(Except in the case of justified and authorised preliminary enquiries taking place to establish the facts to inform and enable the Severity Assessment or when justified by the Harm Test provisions).*** **21.2 During the course of the investigation, if evidence comes to light which in the opinion of the IO warrants the amendment of the allegations against the OC, the IO must submit their rationale to the SO for assessment. Subject to the Harm Test the OC must be informed of any changes in the nature of the allegations.** **21.3 Care must be taken to deal with the OC in a** fair and reasonable manner. The nature and extent of misconduct investigations will depend upon the seriousness and complexity of the matter in question. Investigation should be proportionate **to the allegation(s) made.** **21.4 The IO should be mindful of their role which is to** objectively and professionally gather evidence to establish whether disciplinary offences have been committed. **21.5 The SO will notify the OC of the progress of the investigation, before the end of 20 working days, beginning with the first working day after the 'Notice of Investigation'** has been served and upon this, before the end of 20 working days, beginning with the first working day after the previous notification. **21.6 The OC will be given reasonable notice for an interview. For misconduct matters they may be accompanied in the interview by a Police Friend, and they may be only accompanied by a Lawyer of their preference and at their own expenses, if criminal proceedings may be involved.** **A lawyer or Police Friend cannot answer questions put to the OC during an interview on behalf of the OC.** **21.7 It should be noted that interviews carried out under the Police Disciplinary Procedures [are not] conducted under the Judges Rules. Where Officers are invited for meetings or interviews, particularly as part of a large-scale complex investigation, these meetings or interviews may be taped, or video recorded upon the directions of the Investigating Officer. A disciplinary caution should be used as below:** ***'****Whilst you do not have to say anything, it may harm your case if you do not mention when interviewed, or when providing any information, something which you later rely on in any misconduct proceedings, hearing or appeal meeting'.*** **22.** []{#CompletingtheInvestigation.anchor}**Completing the Investigation** **22.1 When the investigation is completed the IO will submit a report (the Investigation Report) and all the supporting material to the SO as soon as reasonably practicable. The SO is not bound by the IO's report but must take it into account in deciding how the case will be progressed and make relevant recommendations to the AA.** **22.2 The AA who is also not bound by the Investigation Report or the recommendations of the SO, must take them into account in determining:** - **If the OC has a case to answer in respect of misconduct or serious misconduct or whether the OC has no case to answer** - **If there is a case to answer, whether misconduct proceedings should be brought against the Officer and** - **If so, what form of misconduct proceedings should take place (misconduct or serious misconduct)** **22.3 Where the AA determines that there is no case for the OC to answer or no disciplinary proceedings will be brought then the AA must assess whether:** - **The matter will be referred to be dealt with through management action, or** - **No further action will be taken** **The AA, as soon as practicable, must inform the OC of the outcome of the assessment and provide the OC a copy of the IO's report and the SO's recommendation report or parts of such report which relate to the Officer.** **22.4 The AA must determine that the case will be referred to disciplinary proceedings through a disciplinary hearing when:** - **It is determined that the OC has a case to answer in respect of serious misconduct** - **The OC had a final written warning in force on the date of the severity assessment** - **The OC had been reduced in rank less than 2 years prior the severity assessment** **If the case assessed does not fall in any of the above but the AA determines that there is a case to answer in respect of misconduct, then the disciplinary proceedings must be a disciplinary meeting.** **22.5 Where the AA does not determine as described above within 15 working days, with the first day being the first working day after the receipt of the report, then the AA must notify the OC of the reason.** **23.** []{#NoticeofReferraltoDisciplinaryProce.anchor}**Notice of Referral to Disciplinary Proceedings** 23.1 Once the AA has determined that the case will be dealt with by way of a disciplinary proceeding the OC will be given a written 'Notice of referral to disciplinary proceedings' ([Annex 8](#Annex8))**. This written notice will include the following:** - **The referral.** - **The conduct that is the subject of the case and how is alleged to amount to misconduct or serious misconduct.** - **The details of the authority to whom the functions have been delegated to, if delegated under Regulation 18(1).** - **The name of the person appointed to conduct a disciplinary meeting or chair a disciplinary hearing.** - **The form of disciplinary proceedings to which the case is referred.** - **Where relevant if the case has been referred to joint disciplinary proceedings under Regulation 29(1).** In addition to the Notice of referral to disciplinary proceedings form, the AA must as soon as practicable, provide the OC with: - A copy of any statement the OC has made to the IO during the investigation and - Subject to Regulation 13 (The Harm Test), a copy of: - The IO's report and SO's recommendations or those parts which relate to the OC and - Any other document which may reasonably be capable of undermining or assisting the case 23.2 Once the Notice of referral to disciplinary proceedings and relevant documents have been provided to the OC, the OC must within 15 working days (unless the period is extended), with the first day being the first working day after the documents have been supplied to the OC, provide the AA with the following: - A written notice whether they accept that the conduct amounts to misconduct or serious misconduct - Where they accept that the conduct amounts to misconduct or serious misconduct, as the case maybe, any written submission they wish to make in mitigation - Where they do not accept that the conduct amounts to misconduct or serious misconduct, or where they dispute part of the case against them, a written notice of: - The complaints they dispute and their account of the relevant events - Any arguments on points of law they wish to be considered by the person(s) conducting the disciplinary proceedings - A copy of any document they intend to rely on at the disciplinary proceedings. 23.3 Within 5 working days, with the first day being the first working day after the OC has provided the AA with the aforementioned documents applying to their case, the OC and AA must provide each other with a list of proposed witnesses and include in brief details the evidence that each witness is able to adduce or give notice to each other that they do not propose any witnesses. **24.** []{#DisciplineProceedings_Meeting_Hearing.anchor}**Discipline Proceedings (Meeting / Hearing)** **24.1 The purpose of the Misconduct Meeting / Serious Misconduct Hearing is to formally determine whether the Officer is in breach of 'The Standards of Police Behaviour', as described in Schedule 1** ([Annex 1](#Annex1)), **of the Police and Prison Officers (Discipline) Regulations 2022. All available information must be considered fairly and impartially to decide whether any disciplinary action should be taken.** **24.2 Following a severity assessment, if it is assessed by the AA, that if the complaint is proved the disciplinary penalty would not justify more than a final written warning, then the conduct will be dealt as misconduct. The discipline proceedings will be by way of a misconduct meeting. The misconduct meeting will be conducted by an Officer appointed by the AA, who is not an interested party and is:** - **An Officer not below the rank of Chief Superintendent when the OC is other than a Senior Officer or** - **Where the OC is a Senior Officer, an Officer from the UK of at least equivalent rank to the OC.** **For the purposes of the Police and Prison Officer (Discipline) Regulations of 2022 a Senior Officer is a Police Officer of the rank of Chief Superintendent and above.** **24.3 The OC must attend the misconduct meeting and may only be accompanied with or represented by a Police Friend, [but not a lawyer.]** **24.4 The date and time of the misconduct meeting may, if reasonably practicable, be agreed between the person conducting the misconduct meeting and the OC, but within the time limits provided by the Discipline Regulations.** **24.5 No witnesses will be called to give evidence at a misconduct meeting, unless the person conducting it, reasonably believes this is necessary in the interests of justice.** **24.6 Following a severity assessment if it is assessed by the AA, that if the complaint is proved the disciplinary penalty would justify a disciplinary penalty greater than a final written warning, then the conduct will be dealt as serious misconduct. The discipline proceedings will be by way of a disciplinary hearing. A disciplinary hearing must be conducted by a panel of 3 persons who are appointed by the AA, who must have not had any previous involvement in the case and are not interested parties. The panel will consist of the following:** - - - The OC has the right to be legally represented, by a relevant lawyer of their choice at a disciplinary hearing, pre-hearing, or an appeal meeting following a disciplinary hearing. The AA may be represented at a disciplinary hearing, pre-hearing, or an appeal meeting following a disciplinary hearing, by a relevant lawyer. The AA may appoint a person to advise the person conducting or chairing the disciplinary proceedings. It is only at a disciplinary hearing or an appeal meeting following a disciplinary hearing that this person can be a relevant lawyer. **24.7 In both forms of Discipline proceedings, whether it be a Misconduct Meeting** ([Annex 9A](#Annex9A)) **or a Serious Misconduct Hearing** ([Annex 9B](#Annex9B))**, the AA must give the OC a formal written notice of the date, time, and place of the misconduct proceedings.** **25.** []{#MisconductPreHearing.anchor}**Misconduct Pre-Hearing** **25.1 The Chair of a Hearing Panel may conduct a Pre-Hearing under the provisions of Regulation 36 of the Police and Prison Officers (Discipline) Regulations 2022. Relevant notification will be given to the OC. The OC may be represented by their lawyer in a Pre-Hearing process.** **At the misconduct Pre-Hearing the Chair must:** - **Determine the date, time, and duration of the disciplinary hearing.** - **Consider any lists of proposed witnesses and determine which, if any, witnesses should attend the disciplinary hearing.** - **Consider any documents supplied.** - **Consider any procedural or preliminary legal arguments or points of law raised and whether it is appropriate for those matters to be dealt with at the misconduct pre-hearing or the disciplinary hearing.** - **Consider any issues related to disclosure of documents for the purpose of the disciplinary hearing.** **26.** []{#ProceduralProvisions.anchor}**Procedural Provisions** **26.1 The discipline proceedings will be conducted subject to the provisions of the Discipline Regulations of 2022. Any rule of law relating to the admissibility of evidence in criminal or civil proceedings before a court, will NOT apply to disciplinary proceedings under the Discipline Regulations.** **26.2 The person conducting a meeting or chairing a hearing will decide on the procedure to be followed and must conduct the process in a manner which is fair and seek to [avoid any undue formality.]** **26.3** An Officer subject to any discipline hearing or an appeal meeting that relates to a finding or sanction of a serious misconduct has the right to be legally represented by a relevant lawyer of their choice. 26.4 **An OC may only be accompanied by a lawyer in an interview where criminal proceedings may be taken against the OC in respect of facts arising from the discipline offences under investigation. That lawyer may not answer any questions on behalf of the OC.** **26.5 The person conducting the misconduct proceedings may not find that the conduct of the OC amounts to misconduct or serious misconduct unless:** - **They are satisfied on the [balance of probabilities] that this is the case, or** - **The officer admits it is the case.** **27.** []{#OutcomeofDisciplinaryProceedings.anchor}**Outcome of Disciplinary Proceedings** **27.1 Having heard the evidence, if the chair of the hearing or the person conducting the meeting finds that the conduct amounts to neither serious misconduct nor misconduct, depending on the merits of each case, they may direct that the matter is referred to be dealt with through management action or if the case against the Officer is unfounded, that No Further Action (NFA), is to be taken.** **27.2 The OC will be informed of the outcome at the Meeting / Hearing and the decision will be confirmed in writing as soon as practicable after the AA has been notified of the outcome by the person conducting the meeting or chairing the hearing. The AA must be notified as mentioned above, within 5 working days, with the first day being the first working day after the conclusion of the meeting or hearing. All references to this matter will be expunged from the individual's personal file for disciplinary purposes and the record will be clearly marked 'Case Unfounded' by the Professional Standards Department.** **27.3 Where the outcome from a Disciplinary proceeding, whether a misconduct meeting or serious misconduct hearing is that the conduct of the OC amounts to misconduct or serious misconduct, the available disciplinary penalties are:** - **Written Warning - (available for both misconduct and serious misconduct).** - **Final Written Warning - (available for both misconduct and serious misconduct).** - **1-, 5- or 10-days Loss of Pay - (only for serious misconduct).** - **Reduction in Rank - (only for serious misconduct).** - **Requirement to resign - (only for serious misconduct).** - **Dismissal -- (only for serious misconduct).** **27.4 In determining the disciplinary penalty, the panel or person deciding, should take into consideration, the extent of the standards which have been breached, the Officer's general employment and performance record their medical records, health condition and any other mitigating factors which may make it appropriate to adjust the severity of the penalty.** **Under the Discipline Regulations there are specific points which the panel or person deciding must consider before imposing a penalty which are set out below:** - **Where, on the date of the initial severity assessment the OC had a written warning in force, a written warning must not be given.** - **Where, on the date of the initial severity assessment, the OC had a final written warning in force, neither a written warning nor a final written warning may be given.** - **Where a written warning or final written warning is given, that warning remains in force for:** - **Where a final written warning is given, the period may be extended, by the persons considering the question of disciplinary penalty, to a maximum period of five years.** - **Where, on the date of the initial severity assessment, the OC had previously been reduced in rank, a reduction in rank may not be imposed.** - **Where the question of disciplinary penalty is being considered, the person or persons considering it,** **27.5 The AA must give the OC a written notice, informing them of the decision of the misconduct proceedings, as well as their right of Appeal (Notice of Outcome** - [Annex 10](#Annex10))**.** **28.** []{#Appeals.anchor}**Appeals** **28.1 The grounds on which an 'Appeal' can be made to a decision taken by a person conducting a misconduct meeting or chairing a serious misconduct hearing, are provided within Regulation 44 of the** Police and Prison Officers (Discipline) Regulations of 2022. **28.2 An appeal must be initiated by the OC by giving a written notice of appeal to the AA, before the end of 5 working days beginning with the first working day after the outcome of the misconduct proceedings were notified to the OC in a written notice. The OC must also state the grounds of why they are appealing and whether a meeting is requested. The only grounds of appeal under the discipline regulations are that:** **28.3 The AA will appoint a Senior Officer to determine an appeal. The appointed Officer must be of at least equivalent rank to the person chairing the hearing or conducting the meeting, who has had no previous involvement in the case and who is not an interested party.** **28.4 All relevant documentation of the case will be supplied to the person determining the appeal.** **28.5 An appeal must be dismissed, if the Officer determining the same, considers that the notice of the appeal, sets out no arguable grounds.** **28.6 Appeals will be determined during an appeal meeting on a date, time, and place to be agreed by the OC and the Officer appointed to see and determine the appeal. The Officer seeing and determining the appeal will also determine the procedure to be followed, which should be in accordance with the Discipline Regulations. The OC has the right to be legally represented by a relevant lawyer at an appeal meeting only if the appeal relates to a sanction from a serious misconduct hearing.** **28.7 The Officer determining the Appeal may uphold or revoke the decision which the OC appealed against and may deal with the OC in any way the OC could have been dealt with during the meeting or hearing.** **28.8 The AA will give the OC a written Notice of Appeal** ([Annex 11A](#Annex11A)) **informing the OC of the details of the Officer determining the appeal, as well as the date, time, and venue where the appeal meeting will take place. When a decision on the appeal is taken, the AA will give a written notice to the OC on the decision of the appeal (Finding of the Appeal -** [Annex 11B](#Annex11B)**) before the end of 5 working days with the first day being the first working day after the determination of the Appeal.** **28.9 The OC may on request be supplied with the records of the misconduct proceedings.** **\ ** **GENERAL** **29.** []{#PersonalFileRecords.anchor}**Personal File Records** **29.1 Records will be kept by the PSD and the HR Department Headquarters detailing the nature of any breach of professional standards of behaviour, the OC's mitigation, the action taken and the reasons for it, whether an appeal was lodged, its outcome and any subsequent developments. These records will be retained on the OC's personal file.** **30.** []{#SpecialCases.anchor}**Special Cases** **30.1 'Honesty and Integrity' as well 'Discreditable Conduct', are fundamental qualities highlighted in the SBA Police Standards of Professional Behaviour and Code of Ethics. Police Officers are directed to report any conviction or caution against them for a criminal offence in any jurisdiction, to the Professional Standards Department.** **30.2 A discipline investigation will fully examine any possible breaches of any Police Officer to meet the SBA Police Professional Standards as set out in Schedule 1 of the Discipline Regulations.** **30.3 The nature of the alleged offence will be considered in relation to the following:** - **The OC's involvement in the alleged offence** - **The reaction of colleagues and any impact on working relationships** - **The impact on public confidence in the ability of the Force to conduct its business (if the matter becomes known to the public)** - **The impact on the OC's ability to carry out their role or uphold public confidence and the Force's reputation and standards.** **Where it is considered that one of the above will be adversely affected, an internal disciplinary investigation will be conducted in line with these procedures.** **30.4 Disciplinary procedures may be initiated, continued, and finalised against an OC, even though criminal proceedings may have been initiated, [ONLY] when legal advice has been obtained specifying that such disciplinary action will [NOT] prejudice criminal proceedings.** **30.5 Where criminal enquiries are in progress, the OC must be made aware that details of the disciplinary investigation may be disclosable to the criminal investigation. Officers should also be informed that material evidence obtained during a criminal investigation may be used in the discipline investigation as well.** **31.** []{#InabilitytoParticipateintheFormalProceed.anchor}**Inability to Participate in the Formal Process Due to Ill Health** **31.1 The SBA Police Discipline Regulations make it obligatory for an OC to attend an interview, a misconduct meeting, a serious misconduct hearing or an appeal meeting.** **31.2 In circumstances where an individual is unable to attend an interview, a misconduct meeting, a serious misconduct hearing or appeal meeting due to ill-health or other serious unforeseen reason, the AA will consider making reasonable adjustments, such as adjournment or give the opportunity to the OC and / or their representatives to participate through video link or other electronic means so as the process may proceed avoiding undue delay.** **31.3 Where the OC is unable or unwilling to attend a misconduct meeting, serious misconduct hearing or appeal meeting and the AA considers it appropriate, they may direct that the proceedings continue in the absence of the OC. In such circumstances:** - **The OC may be represented by a Police Friend in misconduct meetings, serious misconduct hearing or appeal meeting** - **The OC may be represented by a lawyer in the case of serious misconduct hearings or appeal meeting deriving from a serious misconduct hearing.\ ** **SCHEDULE 1** **POLICE STANDARDS OF PROFESSIONAL BEHAVIOUR** **HONESTY AND INTEGRITY** Police officers are honest, act with integrity and do not compromise or abuse their position. **AUTHORITY, RESPECT AND COURTESY** Police officers act with self-control and tolerance, treating members of the public and colleagues with respect and courtesy. Police officers do not abuse their powers or authority and respect the rights of all individuals. **EQUALITY AND DIVERSITY** Police officers act with fairness and impartiality. They do not discriminate unlawfully or unfairly. **USE OF FORCE** Police officers only use force to the extent that it is necessary, proportionate and reasonable in all the circumstances. **ORDERS & INSTRUCTIONS** Police officers only give and carry out reasonable instructions. Police officers abide by police regulations, force policies and lawful orders. **DUTIES AND RESPONSIBILITIES** Police officers are diligent in the exercise of their work and responsibilities. Police officers have a responsibility to give appropriate cooperation during investigations, inquiries and formal proceedings, participating openly and professionally in line with the expectations of a police officer when identified as a witness. **CONFIDENTIALITY** Police officers treat information with respect and access or disclose it only in the proper course of police duties. **FITNESS FOR DUTY** Police officers when on duty or presenting themselves for duty are fit to carry out their responsibilities**.** **DISCREDITABLE CONDUCT** Police officers behave in a manner which does not discredit the police service or undermine public confidence in it, whether on or off duty. Police officers report any action taken against them for a criminal offence, any conditions imposed on them by a court or the receipt of any penalty notice. **CHALLENGING AND REPORTING IMPROPER CONDUCT** Police officers report, challenge or act against the conduct of colleagues which have fallen below the standards of professional behaviour. **HANDLING OF COMPLAINTS** **1. Duties to preserve evidence relating to complaints** (1). Where a complaint is made about the conduct of a police officer, it shall be the duty of the Appropriate Authority to ensure all appropriate steps are taken for obtaining and preserving evidence relating to the conduct complained of. (2). The Appropriate Authority's duty must be performed as soon as practicable after the complaint is made or the Appropriate Authority becomes aware of it. (3). The Appropriate Authority shall be under a duty, until satisfied that it is no longer necessary to do so, to continue to take the steps from time to time appearing to be appropriate for the purposes of obtaining and preserving evidence relating to the conduct complained of. **2. Initial handling and recording of complaints** (1). Where a complaint is made to an Appropriate Authority alleging misconduct by a police officer, the following should be established immediately: \(a) whether the appropriate authority is suitable to deal with the alleged misconduct; and \(b) if not, give notification of the complaint to the person who is. (2). Where an Appropriate Authority determines that they are the suitable person to deal with the complaint, they shall immediately commence processing the complaint. (3). Nothing in this section shall require the notification or recording by the Appropriate Authority of any complaint about any conduct if **3 Failures to notify or record a complaint** (1). This section applies where anything which is or purports to be a complaint in relation to which section (2) has effect is received by an Appropriate Authority. (2). If the Appropriate Authority decides not to take action required for notifying or recording the whole or any part of what has been received, they shall notify the complainant of the following matters (3). There is no requirement to record the complaint where the allegation relates to a direction and control matter. **4 Handling of complaints by the Appropriate Authority** (1). This section applies where a complaint has been recorded by the Appropriate Authority. (2). The Appropriate Authority will notify the complainant in writing that the complaint has been recorded and of the steps that will be taken to address the complaint. Subject to section 7, the appropriate authority shall determine whether the complaint is suitable for being dealt by way of informal resolution. (3). If the Appropriate Authority determines that the complaint is suitable for being dealt by way of informal resolution, shall make such arrangements. (4). If the Appropriate Authority determines that the complaint is not so suitable for informal resolution, the complaint will be investigated. (5). A decision that a complaint is suitable for being dealt by informal resolution may not be made unless the following conditions are met: **6. Informal resolution of complaints** \(1) The arrangements made by the Appropriate Authority for directing any complaint to informal resolution may include the appointment of a person who is a serving Police officer under the direction and control of the SBA Chief Constable to secure the informal resolution of the complaint. \(2) A statement made by any person for the purposes of the informal resolution of any complaint shall not be admissible in any subsequent criminal, civil or disciplinary proceedings except to the extent that it consists of an admission relating to a matter that has not been subjected to informal resolution. \(3) If, after attempts have been made to resolve a complaint using informal resolution, it appears to the Appropriate Authority \(4) The informal resolution of any complaint shall be discontinued if any arrangements are made under sub-section (3). \(5) A person who has participated in any attempt to resolve a complaint using informal resolution shall not be appointed as an investigating officer for the purpose of investigating that complaint or assisting with the investigation of that complaint. **The Sovereign Base Areas Police Service** **Chief Constable's Scheme of Delegation** **PROFESSIONAL STANDARDS** The purpose of this Scheme of Delegation is to describe the extent of any delegated authority to ensure the Chief Constable's powers as the appropriate authority for complaints, conduct, and DSI matters[^1^](#fn1){#fnref1.footnote-ref} are carried out in accordance with the statutory and regulatory framework which is primarily set out in the Police and Prison Officers Discipline Regulations of 2022. This Scheme of Delegation is an official document from the Chief Constable to his officers and staff stating what they can legally do in the name of the Chief Constable. It provides for single points of responsibility and authority for decision-making and forms part of a wider robust accountability of governance, control, scrutiny, and challenge that delivers: - transparency in decision-making - regulatory and legislative compliance - the ability to operate in a timely and consistent fashion across all aspects of complaint and misconduct referrals, assessments, investigations, and casework outcomes. **APPROPRIATE AUTHORITY** The appropriate authority for a person serving with the police is a. \(b) in all other cases, the Chief Constable. **PERMITTED DELEGATIONS** **Regulation 18 (1) (a) and (b) of the Police and Prison Officers Discipline Regulations of 2022** allows the Appropriate Authority to delegate any of their functions to: \(a) any appropriately qualified person acting under their direction or control; or \(b) a Chief Constable of a United Kingdom police force. **DELEGATION** Where the appropriate authority is the Chief Constable of the SBA Police hereby delegates all the functions of the appropriate authority to the Deputy Chief Constable (DCC) for all matters relating to officers up to and including the rank of Superintendent. As set out in the attached Scheme of Delegation, specific functions of the appropriate authority are further delegated to the Head of the Professional Standards Department (PSD) and his or her deputies. The Scheme of Delegation indicates the lowest point in the PSD structure at which a decision may be taken. Where the Scheme gives authority to a designated post, that authority is also given to posts senior to the delegated decision-maker. Any reference to named posts is to be taken as including successor posts with similar duties but different titles. The Scheme should be periodically reviewed and updated to reflect current PSD structures. All decisions in furtherance of this Scheme of Delegation must be properly documented and the decision-maker must ensure that an audit trail explaining the decision-making process is kept, together with a record of the rationale for the decision. Any delegated authority given to an officer may be exercised by his or her line manager. Where a line manager decides to take such a decision, he or she should ensure that the relevant documentation reflects who took the decision and the rationale for any deviation from the normal delegated authority. If a decision which would ordinarily fall to a delegated officer appears to him or her to be controversial or particularly sensitive in nature, or it is otherwise appropriate for the decision to involve the DCC or Head of PSD, the DCC or Head of PSD should first be consulted on whether the matter should be referred formally to them to take responsibility for the decision. In any such case, it should be clear who has taken the decision and who was consulted in the making of that decision. Acting in accordance with a delegation in this Scheme will confer due authority on the officer for the action or decision. Accountability for all powers and duties remains with the Chief Constable. The powers delegated by this Scheme of Delegation are not exhaustive. Omission of a delegated power from the register does not invalidate it. Officers may lawfully exercise any legitimate powers they have available to them under legislation, regulation, or common law. **GOVERNANANCE FRAMEWORK** It is the responsibility of the DCC to set and maintain an appropriate accountability framework and reporting structure for the governance and scrutiny of complaint and conduct matters that allows regular internal and external engagement with relevant stakeholders, staff associations and networks. **It is the responsibility of the Head of PSD to:** - ensure officers and staff for whom he or she is responsible are aware of and comply with the Scheme of Delegation and that documentation is updated in the light of legislative, regulatory, or organisational change. - carry out compliance checks and record the outcomes. - review the allocation of roles and responsibilities considering changes to responsibilities, the nature of the work, and experience. - ensure officers and staff to whom a power is delegated do not themselves delegate it further. - ensure any delegated individual is trained and competent to carry out the function. **DECLARATION** I, *Chris Eyre*, Chief Constable of Sovereign Base Areas Police Service hereby delegate and designate my appropriate authority functions and powers to the Deputy Chief Constable (DCC) for all matters relating to complaint, conduct and death or serious injury following police contact in respect of officers up to and including the rank of Superintendent; and hereby further delegate specific functions to the primary and secondary delegated and designated officer(s) as set out in the attached Scheme of Delegation below. **Signed......................................** **Dated........................................** **Review Date:** **Scheme of Delegation: Police and Prison Officers Discipline Regulations 2022** ---------------------------------------------------------------------------------------------------------------------------------------------------------- -------------------------------- ------------------- **The Deputy Chief Constable has delegated authority to carry out all powers as Appropriate Authority for all ranks up to and including Superintendent** **Detail of Further Delegation** **Head or Deputy Head of PSD** **Inspector PSD** **Regulation 13**: The performance of the harm test **** **Regulation 14**: Appointment of legal advisor to the persons conducting misconduct proceedings, or pre-hearing or appeal meeting **** **** **** **** **Regulation 30 (2)(b)(i)(ii)**: Withdrawal of disciplinary proceeding **** **** **Regulation 34 (1)(2)(3)(4)**: Procedure on receipt of notice **** **Regulation 35 (1)(6)(7)**: Witness and documents to be supplied **** **** **** **** **** **** **** ---------------------------------------------------------------------------------------------------------------------------------------------------------- -------------------------------- ------------------- **Police Code of Ethics -- Policing Principles** - You are answerable for your decisions, actions and omissions. - You treat people fairly. - You are truthful and trustworthy. - You always do the right thing. - You lead by good example. - You make choices on evidence and your best professional judgement. - You are open and transparent in your actions and decisions. - You treat everyone with respect. - You act in the public interest. **Full version of the Code of Ethics can be found in the SBAP Intranet or by this link:** [**Code of Ethics**](https://modgovuk.sharepoint.com/:w:/r/teams/25468/STANDING%20ORDERS%202023/Standing%20Orders%202023%20onward/PROFESSIONAL%20STANDARDS%20DEPARTMENT/PSD%205.docx?d=w518b40b60a8340198aa944f17510ac89&csf=1&web=1&e=Xg2vjg) **Examples of Minor Disciplinary Offences That Normally Result In Disciplinary Action** - Absence from work without required authorisation or regard to the appropriate procedures. - Failure to attend punctually or regularly. - Failure to comply with a lawful and reasonable instruction of a supervisor. - Substantial complaints in respect of behaviour at work, rudeness, or attitude towards other members of staff, visitors, members of the public. - Breaches of the Social Media, Acceptable use of Force and/or the Acceptable use of email, the internet and fixed and mobile phones policies. - Lack of application to duties. - Failure to comply with sickness reporting procedures. - Negligence in standards of work. - Failure to comply with Standard of Dress Procedure and failure to wear uniforms where required. - Other failure to meet the Police Standards of Professional Behaviour. **The level of disciplinary action will, however, depend on the nature and extent of the offence. There may be occasions when the level of offence would constitute a serious offence / serious misconduct leading to dismissal. The repeated commission of single offences or commission of multiple offences may also lead to dismissal.** **This list is not exclusive or exhaustive and does not indicate any limitation upon management's right to exercise discretion in individual cases.** **Serious misconduct is regarded as misconduct of such a nature that it fundamentally breaches the contract between the employee and employer and justifies management no longer accepting the continued presence of the employee at work**. **Examples of Serious Misconduct** - Unwelcome sexual contact. - Unfair discrimination or harassment of an employee, potential employee, or person in respect of whom the SBA Police has responsibilities for on the grounds of gender, transgender, marital or civil partnership status, racial group, sexual orientation, religion or belief, disability or age. - Serious breach of health & safety rules and procedures. - Serious breach of the Organisation's Social Media, Acceptable use of force and / or the Acceptable use of email, the internet, fixed and mobile phones policies. - Fighting. - Physical assault, abusive behaviour. - Drug or alcohol related offences. - Theft or fraud. - Deliberate misuse of information held by the Force and / or deliberate interference with computerised information**.** - Malicious and deliberate damage to the property of the Police. - Malicious and deliberate damage to the property of the SBA Administration or BFC. - Deliberate and serious breach of confidentiality. - Wilful disregard of duties and failure to comply with lawful and reasonable instructions relating to their duties. - Deliberate falsification of records e.g. timesheets, expense claims, self-certification of sickness forms and other official force forms. - Conviction for a criminal offence. - Failure to disclose a conviction for a criminal offence. - Falsification or misrepresentation of qualifications or experience which are a stated requirement of employment. **SBA POLICE CHARTER FOR OFFICERS SUBJECT OF PUBLIC COMPLAINT OR CONDUCT INVESTIGATION** 1. **You should expect to be treated fairly and in line with Organisation's values and behaviours throughout the complaints and conduct process by all individuals and organisations involved.** 2. **You will receive an update at least every 20 working days from the Supervising Officer; this should be either via a telephone call, email or letter and your preferred method of update should be discussed with you and agreed.** 3. **Where appropriate, you will be provided with the contact details of services so that you can access support when you need to, such as Occupational Health, Police Association and Wellbeing Services.** 4. **You may be assigned a welfare point of contact, depending on the nature and circumstances of the allegation.** 5. **Where appropriate, and with your consent, information about your case will be shared with partner organisations who have a supportive role, who may be able to provide additional support to you.** 6. **If any items of property are seized from you as evidence during the investigation, then we will ensure it is looked after and returned to you when no longer needed.** 7. **We will work with officers and staff who have been subject of investigation to monitor how well we have responded and dealt with their investigation.** 8. ***In undertaking the Charter, we will do our best to support you. I will also address any concerns you bring to my attention regarding the conduct of your investigation.*** **Superintendent M. Kemal** **Professional Standards Dept, HQ** **COMPLAINT AGAINST THE POLICE** *(To be completed by Duty Sergeant/Inspector who receives the complaint)* **[Part One]** Division: PSD Headquarters Ref: Date & Time Complaint Reported: Date & Time PSD Informed: *(Tick the box)* Complaint made by a member of the Public Complaint made by a member of the Service Name, No & Rank of Officer subject to complaint: **[Complainant:]** Name: I.D. No ---------- -- --------- -- Address: DOB: Tel No: Tourex:

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