Report Summary
The Authority has a set of procedures that details how it will handle a relevant complaint to ensure transparency, equality of treatment, common understanding and public accountability.
As this document constitutes actual working procedures, it covers a significant amount of detail. However, it is hoped that by sharing the ‘how’ and the ‘what’ of its complaint handling, this will allow the Authority to focus its efforts on dealing effectively with all complaints. It also highlights what the Authority will do if there are complaints which do not fall within our remit, or if we consider a complainer’s actions to be unacceptable.
Stage 2 - Recording and Initial Assessment
Accurate and consistent recording is a fundamental part of effective complaint handling. It is vital that this information is retained, analysed and used to improve service delivery. All complaints received will be recorded in a secure and confidential database.
There are three broad categories of complaint:
On-duty complaints
Complaints where there is an allegation about an act or omission by a senior officer or SPA staff member in the course of their duty, employment or appointment. These may be criminal or non-criminal in nature.
A senior officer is considered to be on-duty in circumstances when they are off-duty and identify themselves as an officer verbally or by producing their warrant card and uses, or attempts to use, police powers to deal with a situation where it may be inferred they would be in neglect of duty had they not acted. In essence, by their actions, they return to an on-duty capacity.
Off-Duty complaints
Complaints about the acts or omissions of a senior officer or SPA staff member who was off-duty at the time of the incident giving rise to the complaint. Such complaints can allege criminal conduct or non-criminal conduct.
In determining whether an off-duty allegation will be dealt with as a complaint, consideration will be given as to whether a link exists between the subject matter of the complaint and the person’s role as a senior officer or member of SPA staff. The matter will be treated as a complaint only if the conduct (if established) would have a bearing upon the person’s role. Where no such link can reasonably be established, the matter will not be recorded as a complaint.
Quality of Service complaints
Quality of service complaints concern the provision of a service rather than the conduct of an individual senior officer or SPA staff member. Complaints of this kind are categorised in the following way:
- Policy/Procedure - this concerns policies, practices or procedures rather than their implementation by an individual senior officer or SPA staff member
- Service Delivery - this relates to the response to an incident or other matter, such as the time taken to respond or the type of response provided
- Service Outcome - this concerns the outcome of involvement in a matter, such as a failure to take action or dissatisfaction with the action taken
On receipt of a complaint, the Authority will complete an initial assessment to determine who the complaint is about and if it is within its remit.
Sometimes it is not clear at the outset whether the complaint is about the actions or behaviour of an individual, about the quality of service received, or merely a request for an explanation or information about a particular incident. The primary task at this stage is to consider the content of the complaint ensuring that it is dealt with in the most appropriate manner and in line with relevant legislation and procedures.
The initial assessment is in accordance with the Authority’s two-step decision process to agree the appropriate complaint type, i.e.
- Relevant complaint
- Grievance
- Whistleblowing concern
- Criminal allegation
- Misconduct allegation
- Complaint about an SPA Board Member
- Complaint does not fall into one of the above types
Only relevant complaints within SPA remit are handled in line with these procedures. Other types of complaint are progressed according to the respective policies/procedures which apply (as outlined later in these procedures). If a complaint is not to be dealt with by these procedures, the complainer will be advised accordingly. It is important that complaints are appropriately categorised following receipt (although it may be possible for complaints to be re-categorised if evidence comes to light which justifies this).
Any conduct implications arising from relevant complaints or grievances will generally be considered by the SPA only after the processes for dealing with those types of complaint are concluded. However, some relevant complaints may also be serious conduct matters and, in extreme circumstances, it may be more appropriate to deal with the matter firstly as a misconduct allegation rather than follow the complaints process.
The Complaints Team will make the initial assessment decision on occasions where the appropriate complaint type is apparent. However, if there is some ambiguity about the complaint type, such a decision will be made by the Committee. In any case, the Committee will be advised of all serious and complex complaints received by the Authority.
Officers/Staff no longer serving
If a complaint is made about a senior officer or SPA staff member who is no longer serving with Police Scotland or the SPA, the complaint will be recorded and progressed as any other complaint. In order to constitute a relevant complaint, the act or omission must have occurred at a time when the individual was serving. Each complaint will be considered by the Authority as there may be organisational learning and improvement that can be gleaned from the complaint.
Anonymous complaints may come in through written correspondence to the SPA, or may be identified through the ‘Integrity Matters’ system or through a report from an agency such as ‘Crimestoppers’.
- ‘Integrity Matters’ is an internal, confidential reporting mechanism. Police Scotland officers and staff can report, both anonymously and confidentially, any criminal, conduct or integrity concern using this service.
- ‘Crimestoppers’ is an independent agency that allows people to anonymously report information about crime.
Anonymous complaints will be treated with caution. Complaints may be made anonymously for a variety of reasons. Anonymity may be sought by a complainer in order to make malicious allegations. On the other hand, anonymous complaints may be entirely legitimate and the complainer may seek anonymity, for example due to fear of reprisal. Anonymous complaints will therefore be approached with an open mind.
There may be instances whereby a complainer wishes to remain anonymous whilst still willing to engage in the complaints process. In such cases, the complainer may provide contact details which will allow the SPA to communicate with them to obtain any additional information and also to provide a final response letter.
In deciding how to deal with an anonymous complaint, the SPA will take the following into account:
- The nature, circumstances and seriousness of the alleged act or omission, including the apparent credibility or reliability of the allegation
- Based on the level of detail contained in the complaint (e.g. date, time, location of any incident) whether it is likely that evidence could be gathered during an investigation (i.e. whether there are obvious, reasonable and proportionate lines of enquiry that could be undertaken)
Where the SPA is unable to obtain additional information to assist with the initial assessment of the complaint or the complaint enquiry, and it is not possible to issue the final response to the complainer, the SPA will consider whether the anonymous complaint is a relevant complaint capable of being made by a member of the public. If so, the complaint will be progressed through the complaint handling process. Alternatively, the SPA will consider whether other routes, such as whistleblowing, are more appropriate to deal with anonymous allegations.
Withdrawn and abandoned complaints
Where a complainer intimates that they wish to withdraw their complaint in full, written confirmation will be obtained if possible, including the complainer’s reason for withdrawing the complaint. Consideration will also be given to retaining any available evidence in the event that the complainer decides to re-engage with the complaints process.
In certain circumstances, despite the complainer wishing to withdraw their complaint, a full complaint enquiry may still be required if:
- The complainer states that their reason for withdrawing the complaint is their lack of faith in the complaints process and/or that the SPA will not investigate the matter properly;
- The complaint arises from a matter that is particularly sensitive, serious or high profile; or
- The person subject of the complaint has a concerning complaint history
In cases where the complainer fails without good reason to engage with the SPA, consideration may be given to abandoning the complaint enquiry, although the individual circumstances of each complaint will be considered. The SPA will make all reasonable efforts to secure the complainer’s co-operation and engagement, and keep an accurate record of all attempts to contact them. However, the process will not be abandoned without first advising the complainer and providing them with an opportunity to respond within 10 working days before the complaint is closed.
In some cases, further engagement with the complainer may not be necessary in order for the complaint enquiry to proceed to a conclusion.
