PSD: COMPLAINTS & MISCONDUCT Policy & Procedures

PSD: COMPLAINTS & MISCONDUCT Policy & Procedures Reference No. DCC/003/14 Policy Sponsor Deputy Chief Constable Policy Owner Head of the Professional Standards Department Policy Author Redacted Business Change Unit Effective Date 21 st March 2014 Review Date 21 st March 2016 Revision History Version Date Comments / Reason for Amendments Amended By 0.1 16/12/2014 Re-design under Policy Project Redacted Business Change Manager 1 21/03/2014 Version 1 under new PSD policy format Redacted Business Change Manager 1.1 21/03/2014 Issued for publication T/Chief Supt Redacted March 2014, version 1 Page 1 of 17

CONTENTS POLICY...2 POLICY PURPOSE...2 SCOPE...2 PRINCIPLES...2 KEY INFORMATION...3 WHO TO CONTACT ABOUT THIS POLICY/PROCEDURE(S)...4 MONITORING AND REVIEW... 4 PROCEDURES...5 March 2014, version 1 Page 1 of 17

POLICY POLICY PURPOSE 1.1 The publication of this policy demonstrates the British Transport Police (BTP) commitment to prevent and detect corruption and potential corruption within the force. It sets out how complaints and/or allegations of misconduct will be investigated and dealt with in a timely, proportionate and fair manner for all employees. 1.2 This policy is in line with and enforces the provisions of the Independent Police Complaint Commission (IPCC) Statutory Guidance to the Police Service on the Handling of Complaints, the directions of the Police Investigations and Review Commissioner (PIRC) for Scotland, and the Police Reform Act 2002. 1.3 This policy is directed towards enabling BTP to: Identify potential conduct, performance, and direction and control matters Apply the appropriate procedure/s to address such matters Conduct meaningful organisational learning activity to prevent further complaints against employees, and further instances of misconduct SCOPE 2.1 This policy and procedure applies to: a. All BTP employees. Within this policy and procedure, except where categories are specifically excluded, the term employee includes police officers, special constables, and all categories of non-warranted employees including police staff and PCSOs. b. England, Wales and Scotland, unless specifically stated otherwise. PRINCIPLES 3.1 This policy is underpinned by the Independent Police Complaint Commission (IPCC) Statutory Guidance to the Police Service on the Handling of Complaints, and the 2014 Memoranda of Understanding between BTP and the Police Investigations and Review Commissioner (PIRC) for Scotland. 3.2 Compliance with this policy and the associated procedures will be the responsibility of all employees. 3.3 The procedures set out under this policy will be applied with fairness and proportionality in line with the BTP Integrity Statement, and with due consideration to rights and protections set out under the Equality Act 2010 and other relevant legislation. 3.4 Attempts to misuse or make malicious reports under these procedures will dealt with robustly. 3.5 Service Recovery 3.5.1 Service Recovery, rather than a specific procedure, defines the approach that BTP will take when dealing with dissatisfaction from members of the public and our March 2014, version 1 Page 2 of 17

stakeholders. It means that as an organisation we are committed to taking reports of poor service and conduct issues seriously and addressing them in a timely and proportionate manner. 3.5.2 Service Recovery is also a commitment to BTP employees that where they are involved in complaints or conduct allegations in any way, that the method for resolving these issues will be appropriate to the circumstances, and wherever possible will not impede the everyday work of the force. 3.5.3 Often this will involve local management taking ownership of minor or low level matters early on, and PSD will work to support and empower managers in this taking on this work in line with legal and statutory requirements. KEY INFORMATION 4.1 For further information on complaints procedures, please refer to the following: Independent Police Complaint Commission (IPCC) Statutory Guidance to the Police Service on the Handling of Complaints The IPCC website The website of the Police Investigations and Review Commissioner (PIRC) for Scotland 4.2 Terms & Definitions 4.2.1 Complaint The IPCC definition of a complaint is as follows: an expression of dissatisfaction by a member of the public about conduct of a person serving with the police.a complaint does not need to be communicated in writing nor does it need to say explicitly that it is a complaint. It can simply be a statement of dissatisfaction. For ease, this definition will apply to complaints received in Scotland as well, although the PIRC will be the overseeing body. Complaints will be categorised as either: Conduct about the behaviour or decision making of individual employee, including the decision to apply a policy, procedure or tactic in a certain circumstance or manner Direction & Control about general decisions about how a force is run, as opposed to day-to-day decisions or actions by police employees which affected individual members of the public, including those which affect more than one individual, examples include operational management and general strategic decisions, drafting of operational policies, decisions on configuration and allocation of resources, and general policing standards in the force 4.2.2 Complainant The individual making a complaint against police, falling into one of the following categories: A member of the public who claims that the conduct took place in relation to him or her A member of the public who claims to have been adversely affected by the conduct, even though it did not take place in relation to him or her March 2014, version 1 Page 3 of 17

A member of the public who claims to have witnessed the conduct A person acting on behalf of someone who falls within any of the three categories above with written consent in line with Section 12 of the Police Reform Act 2002 Police employees (staff and officers) can only make a complaint against a force where it is unrelated to their duties with the police. 4.2.3 Misconduct A breach of the BTP Standards of Professional Behaviour or deliberate breach of contract, BTP policy or procedure serious enough to warrant formal action, but would not warrant dismissal, for example, minor insubordination and breaches in procedure. 4.2.4 Gross Misconduct a breach of the BTP Standards of Professional Behaviour or deliberate breach of contract, BTP policy or procedure or other act considered so serious as to potentially justify dismissal, such as theft or fraud; physical violence or bullying; deliberately accessing internet sites containing pornographic, offensive or obscene material; serious insubordination; serious incapability at work brought on by alcohol, use of illegal drugs; a serious breach of health and safety rules; or a serious breach of confidence (this list is not exhaustive). Repeated acts of misconduct may also be treated as gross misconduct where it is considered appropriate. 4.2.5 Taint This term refers to matters which would impact on an employee s credibility to provide evidence or witness testimony in court. 4.2.6 Revelation This refers to the act of providing the Crown Prosecution Service (CPS) with information for them to make a decision as to whether it is necessary to disclose it to the defence in a criminal case. BTP is responsible for ensuring this happens. Reference should be made to the (CPS Disclosure Manual). Not applicable in Scotland. 4.2.7 Disclosure This refers to the act of providing the defence, in a criminal case, information assessed as relevant by the CPS. Not applicable in Scotland. 4.2.8 Adverse Judicial Finding A finding by a court, expressly or by inevitable inference that a police witness has knowingly, whether on oath or otherwise, misled the court. WHO TO CONTACT ABOUT THIS POLICY/PROCEDURE(S) 5.1 Any questions regarding this policy or the associated procedures should be directed to the Professional Standards Department at Redacted. MONITORING AND REVIEW 6.1 Compliance with this policy will be monitored by PSD, the policy and the associated procedures will be reviewed at least every 3 years. The next review date is June 2016. March 2014, version 1 Page 4 of 17

1 ROLES & RESPONSIBILITIES PROCEDURES 1.1 The Head of the Professional Standards Department (PSD) is responsible for the oversight of the design, implementation and maintenance of these procedures in accordance with IPCC Statutory Guidance, the directions of the PIRC, the BTP (Conduct) Regulations 2008 (Ref 148/08), the BTP (Complaints & Misconduct) Regulations 2008 BTP, the (Complaints & Misconduct) (Scotland) Regulations 2008 and Acas Code of Practice in relation to disciplinary procedures. 1.2 All employees and managers have a responsibility to comply with these procedures as required. 1.3 Specific responsibilities are set out for each procedure, and employees are advised to contact PSD for guidance if they are unsure of what is expected of them. 2 COMPLAINTS 2.1 Complaints can be made in person, in writing via email or post, and over the telephone. Where a complaint is received locally this should, where possible, be dealt with by a substantive supervisor who will establish the nature of the complaint and obtain an indication of the complainants expectations for the outcome. 2.2 Where the matter is low level and is something that can be resolved by explanation or even by acknowledging we could have done better, every effort should be made to resolve this at point of receipt or within 24 hours. This local Service Recovery should be documented in a Service Recovery Notification to PSD and sent back to PSD within 48 hours of the resolution. 2.3 Where the complainant would still like the matter recorded as a formal complaint, but is happy with the action taken to resolve the issue, a DC1 complaint form should be completed with the matter marked as Locally Resolved, with details of the resolution provided, and sent to PSD for recording within 24 hours of the complainant s request. 2.4 This process should only be used where it is appropriate to do so, and should not be used where there is clearly a serious allegation or complaint with the potential to lead to misconduct or gross misconduct procedures. Managers are reminded to consider any patterns of behaviour that become evident through complaints and where this is the case consideration should be given to referring matters to PSD or to applying formal performance management procedures in liaison with the local HR Manager. 2.5 Where the matter cannot be solved through local Service Recovery (including Local Resolution) or it would be inappropriate to do so, the complaint should be recorded on a DC1 Form and sent to PSD (Redacted) within 24 hours of receipt of the complaint, copying in the local PSD Champion, (list of current PSD Champions). Where complaints are received directly by PSD, they will record the matter and inform the PSD Champion. PSD will then create an electronic complaint file on the BTP database. 2.6 In liaison with the local PSD Champion, PSD will assess the complaint and where there is no indication of misconduct or gross misconduct, the matter will usually be referred to local management to resolve through a Locally Handled Enquiry (LHE). Where there March 2014, version 1 Page 5 of 17

is an indication of misconduct, the matter will usually be allocated to a PSD Investigations Team to deal with. There will obviously be some exceptions to how complaints are allocated in particular circumstances, but a focus on proportionality will be maintained. 2.7 PSD will contact the complainant to confirm that their complaint has been recorded and advise them of how the matter will be dealt with. The complainant and the subject of complaint must be updated no less than every 28 days until the matter is resolved, in the case of LHEs, this will be the responsibility of the local manager dealing with the complaint, in all other cases PSD will provide the updates. 2.8 Locally Handled Enquiries (LHE) 2.8.1 Where a matter is referred for an LHE, the file will be sent to the local PSD Champion to allocate to a suitable manager to undertake the Investigating Officer s (IO) role. Where appropriate, the local HR Manager may also be informed. Access will also be given to the local PSD Champion to the electronic complaint file. 2.8.2 Where a complaint relates to multiple employees from different divisions and departments, PSD will appoint one local PSD Champion to coordinate the investigation based on the most suitable arrangement for the case. 2.8.2 The IO, with guidance from the local PSD Champion and, where appropriate, the local HR Manager, will conduct a proportionate enquiry into the matter. This is likely to include speaking to the complainant, the subject of complaint, and obtaining any documentary evidence available. Additional enquiries may be made as proportionate to the matter. 2.8.3 Regular progress updates should be added to the electronic case file via the PSD Champion, and in particular whenever the case file is transferred between departments or employees for action or decision. 2.8.3 If at any time during the course of the enquiry information is brought to light that suggests the matter may be more serious than originally thought, the complaint should be referred back to PSD for further assessment. 2.8.9 Once the enquiry is complete, the IO will set out their findings and recommendations for further action in a report which will be sent to the local PSD Champion for adjudication as to whether to they support the IOs findings and to confirm any actions that are recommended. 2.8.10 The local PSD Champion will inform both the complainant and the subject of the complaint of the outcome along with their right to appeal within 28 days to the IPCC (England and Wales) or request a review (Scotland), see section 2.11 below. 2.8.11 Recommendations for informal advice, guidance, action under capability procedures or training can be implemented immediately, however Management Action File Notes should not be issued until the conclusion of the IPCC appeal period. 2.8.12 Following the 28 day appeal period, if no appeal is received the local PSD Champion will ensure that all outstanding actions are complete before returning the full investigation file, including copies of electronic documents to PSD for closure. 2.8.13 If an appeal is received, PSD will ask the IO to provide a written response to the grounds of appeal, and will then arrange for it to be considered by an appropriate March 2014, version 1 Page 6 of 17

officer not previously involved in the matter. If the appeal is not upheld, the case will be closed, if the appeal is upheld, PSD will arrange for any additional actions to be completed before closure. 2.8.14 Once any actions have been completed the subject will be notified by PSD that the matter has been finalised. PSD will close the complaint and inform the complainant. 2.9 Complaints Investigated by PSD 2.9.1 Where a complaint is assessed as having the potential for misconduct or gross misconduct proceedings, a PSD Investigating Officer (IO) will conduct a proportionate investigation into the matter in line with the standard Discipline procedure set out at section 3 below. The subject(s) of complaint will be given formal notice as soon as practical that they are under investigation for misconduct or gross misconduct as appropriate, including an outline of the allegations. 2.9.2 The procedure will largely follow that set out at 2.8, however it will be conducted entirely by PSD who will be responsible for updating the complainant and the subject(s) of complaint. 2.9.3 Following the conclusion of the investigation, the IO will submit a report to a PSD DCI for adjudication. PSD will then inform the complainant and the subject(s) of complaint of the outcome along with their right to appeal within 28 days to the IPCC (England and Wales) or request a review (Scotland), see section 2.11 below. 2.9.4 Recommendations for informal advice, guidance or training can be implemented immediately; however formal sanctions or proceedings will be on hold until the conclusion of the IPCC appeal period. If no appeal is received, the recommended actions will be undertaken and the complaint will be closed. PSD will notify the complainant. 2.9.5 If an appeal is received, the IO will be asked to provide a written response to the grounds of appeal to assist the IPCC in their decision. If the appeal is not upheld the complaint will be closed and the recommended actions undertaken. Where an appeal is upheld, PSD will assess any recommended actions and coordinate implementation as appropriate before the complaint is closed and the complainant is notified. 2.9.6 Where employees are referred to formal conduct proceedings (level 1 meeting or level 2 hearing) this will be conducted in line with the standard Discipline procedure set out at section 3 below. 2.10 Direction & Control Complaints 2.10.1 Direction and Control complaints can be defined as those relating to the standard of policing, organisational decisions, operational policing policy, operational decisions, or in relation to a management or support function such as finance or procurement. This list is not exhaustive and it will be at the discretion of PSD as to which complaints are defined as Direction and Control. 2.10.2 The main objective of this procedure is to ensure that all complaints falling within the Direction and Control category are properly and effectively dealt with, including consideration of any organisational learning. 2.10.3 PSD will assess the complaint and assign it to a suitable employee to take on the role of Investigating Officer (IO) dependent on the nature of the complaint. Based on the March 2014, version 1 Page 7 of 17

nature of the matter, either the local PSD Champion or PSD will provide support and oversight. 2.10.4 A proportionate enquiry will be made and a report will be submitted to PSD for adjudication and to confirm any required action. In many circumstances, simply explaining the rationale for particular procedures or decisions may be sufficient to resolve the matter for the complainant. 2.10.5 Following adjudication, PSD will inform the complainant of the outcome along with their right to appeal within 28 days to the IPCC (England and Wales) or request a review (Scotland), see section 2.11 below. 2.10.6 Where an appeal is received, this will be considered by an appropriate officer at the discretion of PSD. If the appeal is not upheld, the case will be closed, if the appeal is upheld, PSD will arrange for any additional actions to be completed and the complainant notified before closure. 2.10.7 PSD will arrange for any organisational learning to be disseminated as appropriate and where necessary will make proposals to the relevant managers or corporate boards for further reviews, actions or policy changes to be considered. 2.11 Complaints made in Scotland 2.11.1 For complaints made in Scotland, all procedures will remain the same as set out above with the exception of the appeals process. Complainants in Scotland do not have a right of appeal to the IPCC but if they are unhappy with the handling or outcome of an investigation they have 3 months from the date of notification of findings to contact the Police Investigations & Review Commissioner (PIRC) to seek a review of the case. Agreed actions or outcomes for the complaint will not placed on hold for this period, but any recommendations or concerns raised by the PIRC will be taken into consideration by PSD and appropriate action taken as necessary. 3 MISCONDUCT 3.1 Reporting an Incident or Allegation 3.1.1 Some incidents or allegations may be raised through public complaints, but at other times it will be the responsibility of BTP employees and managers to report instances of potential misconduct and gross misconduct. 3.1.2 Where reports are received against a representative of a union or staff association recognised by BTP, the Trade Union Full Time Official or other appropriate representative of the union will be informed unless to do so would impede or endanger the investigation or put the employee or anyone else at risk. They will not be informed of the nature of the allegations unless it would be relevant to the employee s role as a union representative. It will be the decision of the trade union as to whether they are suspended from their duties as a representative. 3.1.2 Where reports are raised in good faith and via the appropriate channels, employees will always be supported by PSD and by BTP management. However disciplinary action may be taken where reports are found to be false or malicious, or where an employee has reported matters outside of appropriate channels, for example making allegations in a newspaper or other publication. March 2014, version 1 Page 8 of 17

3.1.3 Employees are encouraged to raise their concerns through an appropriate member of local management or with PSD (Redacted) directly. PSD should always be notified in the first instance in cases of corruption and serious misconduct. Details for confidential reporting can be found here. 3.1.4 Incidents or allegations of potential misconduct or gross misconduct should be recorded on a DC 2 Form and submitted to PSD (Redacted) copying in the local PSD Champion and in police staff cases, the local HR Manager. Where matters are reported directly to or identified by PSD, they may still be referred to the PSD Champion and/ or the local HR Manager for initial review. 3.1.5 PSD will assess the allegations as one of the following: 1. No further action required insufficient grounds for any action or investigation 2. Suitable for local management action, for example words of advice or a Management Action File Note 3. A performance issue to be dealt with locally under the appropriate standard procedures 4. A grievance to be dealt with under the Resolution procedure 5. Grounds for a misconduct or gross misconduct investigation In circumstances 1 4, the matter will be referred back to local management. In circumstance 5, PSD will record the matter on their database and arrange for a suitable investigation to be carried out. 3.2 Investigation 3.2.1 Following assessment that there are grounds for a misconduct or gross misconduct investigation, the matter will be allocated to a suitable Investigating Officer (IO). All potential gross misconduct allegations will be investigated by the PSD Investigations Team. Allegations of potential misconduct only may be allocated to a local IO supervised by the local PSD Champion and/or the local HR Manager as appropriate. 3.2.2 Employees subject of investigation will be notified in writing, including a brief outline of the allegations and whether they are considered to amount to potential misconduct or gross misconduct. Following this, the subject(s) will be updated no less than every 28 days of the progress of the investigation. Where the matter has been referred to be dealt with locally, this will be the responsibility of the IO, in all other cases PSD will arrange the updates. Where appropriate updates will be given to the employee s chosen representative. 3.2.3 Employees have the right to be accompanied at every stage of the disciplinary procedure by a work colleague of their choice or a representative or official of a trade union or staff association. 3.2.4 BTP may at its discretion allow an employee to bring a companion who is not a colleague or union representative (for example a family member) if this will help overcome a disability or if the employee has difficulty understanding English. 3.2.5 Dependent on the nature of the allegations, police officers may have the right to legal representation and will be informed where this is the case. Police staff, including PCSOs, have no right to legal representation under these procedures. March 2014, version 1 Page 9 of 17

3.2.6 A proportionate investigation will be undertaken by the IO, who will explore all relevant and proportionate lines of enquiry. The investigation will be undertaken in a timely manner and the IO should ensure that the electronic case file is updated regularly with key decisions and points of investigation; this may be via the PSD Champion. 3.2.7 Where required, an investigatory interview will be conducted with the employee to allow them to respond to the allegations and any reasonable questions the IO may ask to clarify issues and resolve differences. Prior to the interview, the employee will be provided with enough information to enable them to provide a meaningful account. More than one interview may take place where appropriate. Where necessary reasonable adjustments will be made to enable employees to provide an account if they are not fit to attend an interview, this could include changing the location, or requesting a written response instead. 3.2.8 The employee will be consulted in arranging a suitable date and time for an interview, however where an employee s requirements would cause disproportionate delay (usually more than 5 working days) without justification to the investigation, a date will be set by the IO. Similarly, where the attendance of an employee s chosen companion or representation would cause disproportionate delay they may be required to secure alternative support. 3.2.9 In cases where an employee refuses to attend an interview on the grounds of ill health, PSD may seek advice from Occupational Health, including, where appropriate, obtaining a medical assessment as to the employee s fitness to attend. 3.2.10 Where an employee fails to attend an interview, provide an account or is indefinitely unable to attend/ respond, the investigation and any subsequent disciplinary proceedings will continue without their response to the allegations. In these circumstances the employee will be notified. In cases of failure or refusal to respond, employees are reminded that a panel or meeting chair may draw inference from this should they raise evidence involving other witnesses or documents not mentioned before the hearing or meeting. 3.2.11 At the conclusion of the investigation, the IO will prepare a report and submit it to the PSD DCI Operations for adjudication where any action to be taken will be confirmed. The employee will be notified in writing of the outcome of the investigation. 3.2.12 Where no formal disciplinary proceedings are to be taken, PSD will coordinate any outstanding actions to be taken by local management and then close the case. 3.3 Proceedings 3.3.1 Level 1 misconduct meetings will be arranged and held locally on Division or department, Level 2 gross misconduct hearings will be arranged by PSD. 3.3.2 The employee will be given written notice as soon as practical of the allegations against them along with the instruction to attend a disciplinary meeting/ hearing at a specified date, time and location, with reasonable notice of no less than 15 working days. 3.3.3 The employee has 14 working days from receipt of the written notice to provide PSD with a response to the allegations, providing PSD with: Written notice that they admit the allegations and any statement in mitigation OR March 2014, version 1 Page 10 of 17

Written notice that they do not admit the allegations or any part of them including details of: The allegations disputed and their version of events; and Arguments that they wish the chair or panel members to consider, along with any witnesses they would like to appear at the meeting or hearing. 3.3.4 The written notice to attend the meeting or hearing will also outline the employee s right to be accompanied by a work colleague or a trade union or staff association representative of their choice, police officers will be entitled to legal representation in some circumstances and will be notified where this is the case. 3.3.5 The employee will be consulted in arranging a suitable date and time for a meeting or hearing, however where an employee s requirements would cause disproportionate delay without reasonable justification, a date will be set by PSD. Similarly, where the attendance of an employee s chosen companion or representation would cause disproportionate delay they may be required to secure alternative support. 3.3.6 Where necessary reasonable adjustments will be made to enable employees to attend meetings or hearings if they are not fit or able to attend, this could include, but is not limited to, changing the location, providing a written account, representation at the meeting or hearing, or use of video conferencing facilities. 3.3.7 In cases where an employee refuses to attend a meeting or hearing on the grounds of ill health, PSD may seek advice from Occupational Health, including, where appropriate, obtain a medical assessment as to the employee s fitness to attend. 3.3.9 Where an employee fails to attend a meeting or hearing without reasonable justification, or is indefinitely unable to attend, disciplinary proceedings will continue without their attendance. In these circumstances the employee will be notified. 3.3.10 Panel Make Up 3.3.10.1 Police staff Level 1 meetings will be chaired by a Chief Inspector or equivalent police staff manager as appropriate to the case. For senior staff members, the chair will be of at least 1 rank/ grade higher than the subject of the meeting. 3.3.10.2 Police staff Level 2 hearings will have a panel of 3 members consisting of a chair of Superintendent rank or above or police staff equivalent, an HR Manager and an Inspector or above or police staff equivalent. These panels must include at least one police officer and one member of police staff. 3.3.10.3 Panel make up and timescales for police officers are in line with the BTP (Conduct) Regulations 2008. Level 1 meetings will chaired by an officer of at least one rank higher than the officer subject to the meeting or police staff equivalent. Level 2 hearings will have a panel of three members chaired by an officer of ACC rank or above or a human resources professional of equivalent rank and experience. The Chair will be accompanied by a police officer of Superintendent rank or above, and a lay person obtained through the BTPA. Where the Chair is a police officer, an HR professional of equivalent rank and experience may replace the officer of superintendent rank on the panel. 3.3.11 All documentation considered relevant by PSD will be supplied to the employee within good time of the hearing date to enable them to respond to the allegations. PSD will March 2014, version 1 Page 11 of 17

also arrange for the attendance of the witnesses requested by the employee as long as they are considered relevant and proportionate to the matters being considered. 3.3.12 The structure of the meeting/ hearing will be as follows: The allegations and supporting evidence will be presented to the Chairperson or panel by a representative of PSD and where appropriate witnesses will be asked to contribute and can be questioned by both the PSD representative and the employee or their representative The employee will be given full opportunity to respond to the allegations, ask questions, and seek clarification on points of the case or the procedure The Chairperson may adjourn the meeting/ hearing at any point should there be a need to seek clarification Both the PSD representative and the employee or their representative will be given the chance to make a closing statement The meeting/ hearing will be adjourned after the closing statements to allow the Chairperson or panel to consider the facts of the case before coming to a decision 3.3.13 In most cases the meeting/ hearing will be reconvened later that day, but in complex cases, or where further clarification on some aspects is required, or it would not be practical to reconvene that day, the decision may be deferred up to a maximum of one week. 3.3.14 The decision of the Chairperson or panel will be communicated, where practical, in person. It will then be confirmed in writing, including the right to appeal the decision, to the employee as soon as is practical and within 7 days. 3.4 Disciplinary Outcomes 3.4.1 Possible outcomes of a Level 1 Misconduct Meeting are: No action the case is unproven and there is no evidence of misconduct or conduct requiring action Management advice there is some evidence of misconduct and/ or conduct requiring action but it does not warrant a formal warning Written Warning the case is proven and there is evidence of misconduct, sanction is live for 12 months Final Written Warning the case is proven and there is evidence of serious misconduct and/ or the employee has a Written Warning in effect against them, sanction is live for 18 months 3.4.2 Possible outcomes of a Level 2 Gross Misconduct Hearing are the same as those listed for level 1 matters but also include the following: Extension to Final Written Warning the case is proven, there is evidence of misconduct and the employee already has a Final Written Warning, but the panel do not consider the conduct warrants dismissal at this stage. The extension can be between 6 and 18 months at the discretion of the panel and will begin from the day after the original Final Written Warning expires March 2014, version 1 Page 12 of 17

Dismissal With Notice the case is proven, there is evidence of misconduct and employee already has a Final Written Warning against them Dismissal Without Notice the case is proven and there is evidence of gross misconduct. 3.5 The Right to Appeal 3.5.1.1 An employee who wishes to appeal against the finding and/ or sanction of the disciplinary meeting/ hearing must do so in writing to PSD, detailing the reasons and any supporting evidence and/ or justification, within 7 working days of receipt of the finding and any disciplinary sanction. PSD will acknowledge this in writing. Potential grounds of appeal include the following: The finding or disciplinary action imposed was unreasonable There is evidence that could not reasonably have been considered at the misconduct meeting which could have materially affected the finding or decision on disciplinary action There was a serious breach of the procedures set out in this document or other unfairness which could have materially affected the finding or decision on disciplinary action 3.5.1.2 PSD will then arrange for an appropriate Appeal Chair to be appointed who has not previously been involved in the process and is of equal or more senior rank to the original meeting or hearing Chairperson. Employees can appeal against the selection of the Appeal Chair, but must do so within 3 days of being notified. 3.5.1.3 The appeal meeting will normally take place within 5 working days of receiving the employee s letter. The Appeal Chair will be provided with all the information given to the original Chair. The employee has the right to be accompanied by a work colleague or a trade union or staff association representative of their choice. 3.5.1.4 The appeal hearing may be a complete re-hearing of the matter or may be a review of the fairness of the original decision in light of the procedure that was followed and any new information that may have come to light. This will be at the Appeal Chair s discretion depending on the circumstances of the case. 3.5.1.5 The outcome will be confirmed in writing within 3 working days of the appeal hearing. The decision of the Appeal chair is final. The Appeal Chair has the same sanctions available as at the original meeting or hearing including the discretion to: Confirm the original decision Revoke the original decision Substitute a different penalty (including increasing the sanction originally imposed) 3.6 Suspensions and Restrictions (relating to misconduct matters only) 3.6.1 In some circumstances it may be necessary to suspend from work or place restrictions on the employee subject of investigation. This can happen at any point in the procedure where it appears that: Effective investigation of the case is prejudiced without suspension or restriction And/ Or March 2014, version 1 Page 13 of 17

Public interest requires suspension or restriction And/ Or Suspension or restrictions are required to in order to protect the employee or other employees on health, safety or wellbeing grounds 3.6.2 In order to suspend or restrict an employee PSD will seek authority to do so from the Deputy Chief Constable, or another member of the Chief Officers Group in their absence. Consideration must be given to restrictions or temporary redeployment before suspension is applied. The nature of any restrictions or conditions of suspension applied will be tailored to the individual case. 3.6.3 Suspension and restrictions do not constitute disciplinary action and may be instigated to both protect BTP as an employer and to protect the employee from further allegations of misconduct. As such the employee s pay will be unaffected by the suspension or restrictions. 3.6.4 Employees will be informed of the decision to suspend or restrict them as soon as practical. It will be confirmed in writing within 3 working days of authorisation being given, setting out the reasons for the decision. 3.6.5 The employee can appeal against suspension or restrictions where they feel they are unnecessary or there is relevant new information. Appeals should be made in writing to PSD and will be considered by the Deputy Chief Constable or another member of the Chief Officers Group in their absence, within 5 working days. The Deputy Chief Constable s decision is final. 3.6.6 All suspensions and restrictions will be monitored by PSD and reviewed every 28 days by the Deputy Chief Constable. The employee and their Divisional Commander or Head of Department will be notified of the outcome of each review by PSD. 3.6.7 For further information on suspension procedures, please refer to Guidance on Suspension for Disciplinary Proceedings. 4 REVELATION OF CRIMINAL AND MISCONDUCT MATTERS UNDER THE CPIA 1996 4.1 This procedure does not apply to apply to employees in Scotland where the Crown Office and Procurator Fiscal Service (COPFS) maintain a record for their reference. Reference should be made to the COPFS Prosecution Manual and Guidance. 4.2 The Criminal Procedures and Investigations Act 1996 (CPIA) requires disclosure to the defence of any material that might undermine the prosecution case or assist the defence. This includes criminal and misconduct sanctions against police employees. Relating this to criminal and misconduct proceedings, this will include: Live criminal proceedings (a charge has been made) Live misconduct proceedings (the matter has been referred to a Level 1/Level2 meeting/hearing) Suspension or restrictions to duties as a result of conduct matters Criminal convictions, cautions and Penalty Notices for Disorder Substantiated misconduct findings: March 2014, version 1 Page 14 of 17

o MAFN/ words of advice, to be revealed as instructed by PSD o Written Warning, to be revealed for 12 months o Final Written Warning, to be revealed for 18 months o Findings in relation to honesty and integrity, the neglect of or failure to properly complete case preparation or improper handling of witness statements, and excessive use of force to be revealed as instructed by PSD Adverse judicial findings, formally reported to, investigated and verified by PSD, to be revealed as instructed by PSD Any other relevant information appropriate for disclosure (employees will have been advised should other relevant information required from them). 4.3 There is no requirement to reveal live investigations which have not been finalised and referred to formal misconduct proceedings. If the allegation(s) casts significant doubt on the employee s honesty or integrity as a witness, PSD will give consideration to revealing this to the CJU and anyone else or other forums deemed necessary. In this instance the employee concerned will be notified. 4.4 BTP employees are responsible for revealing their own relevant discipline and conviction records to the Crown Prosecution Service (CPS) via the Criminal Justice Unit (CJU) or through the case Disclosure Officer. Employees are advised to seek advice if necessary from Professional Standards Department (PSD), the CPS or CJU if they are unsure about what to reveal. 4.5 Disclosure of criminal and misconduct proceedings and adverse judicial findings is made to the CPS on an MG6b form which can be found on the PSD intranet page. BTP employees should include enough detail for the CPS to understand whether each proceeding/finding is relevant to the case in hand. 4.6 Although the CPS Disclosure Manual states that revelation should be made when a full file is submitted to the CPS, employees will not know when they make their statement whether a full file will need to be submitted. In order to ensure all relevant information is revealed, employees must include an MG6b form with any statement they submit in a case when an offender is charged or reported for summons. 5 RECORD RETENTION AND DISPOSAL 5.1 Please see separate Records Retention and Disposal document here. 6 ASSOCIATED DOCUMENTS & INFORMATION 6.1 BTP Regulations 6.2 Police Reform Act 2002 6.3 DC1 Complaint Form 6.4 DC 2 Notification of Misconduct Allegations Form 6.5 Service Recovery Notification to PSD March 2014, version 1 Page 15 of 17

6.6 List of current PSD Champions 6.7 Guidance on Suspension and Restrictions for Disciplinary Proceedings March 2014, version 1 Page 16 of 17