Complaint Handling Guidelines

Question 1

What is sect 163 consideration for complaints

Answer 1

S163 – Non Publication of information
The commander must also consider any recommendations made by the investigator in respect of information identified as critical police information contained in the investigation.

Question 2

What is the time frame to put complaints on C@TSI

Answer 2

7 days when received initially

3 days if the complaint investigation has already started outside of your lac before you get it.

Question 3

If the commander is considering reviewable action what must he do

Answer 3

If the commander / manager is considering reviewable action as an outcome the commander / manager should provide Part 1 of the Investigators Report - Evidence Based - P1047 to the subject officer.

PSC MUST BE NOTIFIED BY EMAIL BEFORE THE DOCUMENTS ARE SERVED ON THE OFFICER

Question 4

Who can approve declining a complaint

Answer 4

Approval from commander / manager is required to decline to investigate issue/s in accordance with section 141 of the Police Act. CMT approval is NOT required.

Question 5

To comply with procedural fairness what must you consider

Answer 5

This means that:

Question 6

What is the role of the commander in relation to evidence based investigations

Answer 6

Commanders / managers must instruct investigation supervisors and investigators at the commencement of the investigation, throughout the investigation and ratify all CMT decisions.

Commanders / managers also have the sole responsibility in deciding on and implementing management action and interim risk management.

Question 7

What should commanders ensure about IPC’s

Answer 7

Commanders and managers should make it very clear to their employees that any form of detrimental action against an IPC is unacceptable and will not be tolerated. Immediate action should be taken should a commander or manager be aware that an IPC has been or is being victimised, harassed or ostracised.

Question 8

Does the commander have the power to refer any matter to CMT

Answer 8

It should be noted that a commander always has the discretion to refer any complaint for management by the CMT, even where there is no inculpatory evidence identified at triage, if the commander feels that the circumstances of the matter warrant an evidence based investigation.

Question 9

What is the legislation for commencing proceedings against a police officer

Answer 9

Section 148 Police Act Authority to Institute Proceedings against a NSW Police officer P812

Question 10

Can the subject officer ask that proposed management action be reviewed

Answer 10

Where a subject officer does not agree with the decision to implement management action, the officer may seek a review of the decision from the next line of command. The decision should be reviewed with regard to the validity of the findings of the investigation and the reasonableness of the non reviewable action.

Question 11

Should you record interim management action

Answer 11

It is critical that any action taken is clearly recorded as ‘interim risk management action’ to differentiate between this action and final management action.

Question 12

In accordance with part 8a of the police act, what is the role of the commissioner

Answer 12

a) receive and assess complaints
(b) take appropriate action on complaints in a timely and effective manner
(c) provide information to complainants, police officers the subject of complaint and the Ombudsman.

Question 13

If sufficient evidence exists that an officer has committed an offence what do I do

Answer 13

if there is sufficient evidence to initiate criminal proceedings against a police officer, the investigating officer must recommend that proceedings be commenced and must seek authority to do so from the Commissioner (or delegate).

Question 14

What documents are sent to the ombudsman to satisfy s150

Answer 14

Commander’s covering letter detailing satisfaction of section 150 obligations

Question 15

What matter are recommended to be CMT managed but not mandatory

Answer 15

Matters with known Police Integrity Commission (PIC) involvement

Question 16

Who sits on the CMT

Answer 16

Commander
Executive officer
Crime manager
PSDO

Question 17

What is a CARA A

Answer 17

CARA Part A relates to conflicts of interest within the command which may require the complaint to be managed externally or through an amended process (i.e. extraordinary CMTs). Cara A is mandatory for all CMT managed investigations.

Question 18

How long do you have to triage a complaint

Answer 18

The NSW Police Force time frame for completing triage is 21 days from the date received by NSW Police Force

Question 19

What legislation authorises interim risk management action

Answer 19

The taking of interim risk management action is authorised under section 171(2) of the Police Act.

Question 20

What should the lac do to ensure reporting of corruption

Answer 20

Commanders and managers should be proactive in building this confidence by clearly demonstrating that victimisation and harassment of IPCs is unacceptable, and that appropriate action will be taken against those responsible for these acts

Question 21

What is the role of the ombudsman

Answer 21

The role of the Ombudsman is to:

(a) receive and assess complaints
(b) monitor the handling of certain complaints
(c) determine whether complaints have been properly dealt with
(d) investigate certain complaints and related issues
(e) provide reports to complainants, the Commissioner and the Minister when appropriate
(f) inspect NSW Police Force records with respect to the handling of complaints
(g) keep under scrutiny the systems established within the NSW Police for dealing with complaints.

Question 22

What legislation deals with declining complaints

Answer 22

Section 141 of the police Act 1990

Question 23

Why must complaints be recorded on c@tsi

Answer 23

• PSC to commence monitoring the complaint and provide advice and direction if required
• timeliness measures to commence which ensure that commands manage the time taken to complete a complaint investigation
• the oversight agencies to monitor the progress of the complaint.

Question 24

Can a police officer be directed to supply a statement about a criminal matter involving police

Answer 24

Where the investigation involves police officer conduct, police who are witnesses may be reluctant to provide a formal statement to investigators. Advice sought from the Crown Solicitor confirms that it is lawful for a senior officer to direct an officer who has witnessed a criminal offence to provide a formal statement in relation to the matter.

Question 25

What is the time frame for investigating evidence based investigations.

Answer 25

The NSW Police Force time frame for completing matters subject to an evidence based investigation is 90 days from the date received by the NSW Police Force.

Question 26

How long do you have to investigation resolution matters

Answer 26

The NSW Police Force time frame for completing matters subject to the resolution process is 45 days from the date received by the NSW Police Force.

Question 27

What must you do when suspending a complaint

Answer 27

There is capacity to suspend investigations within c@ts.i. Suspension will only be considered where an investigation has reached a point where no further investigation can be conducted. The criteria for suspending a matter are provided in CPN 11/12.
An application for suspension can be made by Godfrey report or email. It must be authorised by the commander and forwarded to the c@ts.i User Support SMAC Box #catsi.
The application must contain reasons for seeking suspension and include details of when the suspension is to commence. This date can not be prior to completion of ‘Assessment Quality Review’ for P stream matters or the progression of resolution matters to ‘Resolution in Progress’
Points to note

Question 28

During the commanders review of a completed internal investigation, what is he required to do.

Answer 28

Commanders / managers must ratify all resolution findings determine management outcomes.
ensure that appropriate action has been taken to advise the complainant of any action proposed action
ensure Resolution Outcome Report contains complainant satisfaction,
Decided on management action to be taken.
advise the officer of the outcome
Record all on c@tsi.

Question 29

What are the 6 parts of complaint process

Answer 29

Part 1 complaint assessment
Part 2 complaint triage
Part 3 resolution (non CMT complaints)
Part 4 Evidence based investigation
Part 5 investigative issues
Part 6 Appendices

Question 30

How long do I have to put complaint matters onto c@tsi

Answer 30

The NSW Police Force time frame for receipting matters onto c@ts.i is 7 days

Question 31

What matters don’t need to be entered into C@Tsi

Answer 31

• reports by NSW Police employees that concern performance management issues that do not allege or indicate conduct

Question 32

What matters must be referred to the CMT for investigation

Answer 32

Allegations of criminal offences, where evidence on hand is available that might support the allegation.

Complaint about safekeeping of nsw of police firearm including accidental discharge.

Complaint about officer who has had a warning notice in the last 5 years.

Complaint arising as a result of a charge against a police officer

Complaints involving allegation that if sustained would be referred to the IRP or CAP

Question 33

What is the role of PIC

Answer 33

The role of the Police Integrity Commission (PIC) is to:

(a) receive complaints
(b) refer complaints to the Commissioner of Police and the NSW Ombudsman
(c) manage and oversee the investigation of certain complaints by the NSW Police Force
(d) investigate or take over the investigation of certain complaints where it considers it appropriate to do so.

Question 34

What are the 6 conditions when a complaint can be declined

Answer 34

a) action has been, is being or will be taken to remedy the subject-matter of the complaint without the need for an investigation, or
b) the complaint is frivolous, vexatious or not made in good faith, or
c) the subject matter of the complaint is trivial, or
d) the conduct complained of occurred too long ago to justify investigation, or
e) there is or was available to the complainant an alternative and satisfactory means of redress in relation to the conduct complained of, or
f) the complainant does not or could not have an interest, or a sufficient interest, in the conduct complained of.

Question 35

What command should investigate criminal allegations against a police officer

Answer 35

Generally, any allegation(s) of criminal conduct against a police officer should be investigated by the command where the incident is alleged to have occurred

Question 36

What is The role of the commander relating to complaints

Answer 36

• endorsing decisions made regarding the triaging of complaints
• determining, approving and monitoring applicable interim risk management strategies.

Question 37

What are some interim risk management strategies

Answer 37

• a change of duties
• additional supervision
• rostering with more experienced staff
• securing or restricting access to firearms
• rectifying systemic or procedural practices
• referring recommendations on organisational issues to responsible commands
• suspension
• any other management action that appropriately alters relevant risks.

Question 38

Should all identities of the people involved in the complaint be recorded on trim

Answer 38

At no time is the identity of the complainant, subject officer or any other person associated with the complaint to be included in any TRIM file or document title.

Question 39

Why do I need to take interim management action

Answer 39

The interim management action is taken in response to an identified risk while managing the complaint allegation and is not necessarily reflective of the final outcome.
Risk management action may include:
• a change of duties
• additional supervision
• rostering with more experienced staff
• securing or restricting access to firearms
• rectifying systemic or procedural practices
• referring recommendations on organisational issues to responsible commands
• suspension
• any other management action that appropriately alters relevant risks.

Question 40

If a complaint is to be declined as vexatious what is the process and legislation

Answer 40

If a complaint is declined as being vexatious, false or not made in good faith, the triage officer can make an application to PSC Complaint Services via #pschelp (E/N 48370) in accordance with section 128(2) for the removal of the subject officer’s name from the c@ts.i complaint file.

Question 41

Who do you have to seek authority from to search and identify an anonymous complainant

Answer 41

in circumstances where you believe action should be taken in an attempt to identify the complainant, authority to commence those inquiries needs to be obtained from the Assistant Commissioner, PSC

Question 42

What is a CARA B

Answer 42

CARA Part B is for use by resolution managers and investigators. The completion of the CARA B form is mandatory for both resolution investigations and CMT managed investigations.

Question 43

What is conduct under part 8A

Answer 43

(a) that constitute an offence,
(b) that constitute corrupt conduct (including, but not limited to, corrupt conduct within the meaning of the Independent Commission Against Corruption Act 1988 ),
(c) that constitute unlawful conduct (not being an offence or corrupt conduct),
(d) that, although not unlawful:
(i) are unreasonable, unjust, oppressive or improperly discriminatory in its effect, or
(ii) arise, wholly or in part, from improper motives, or
(iii) arise, wholly or in part, from a decision that has taken irrelevant matters into consideration, or
(iv) arise, wholly or in part, from a mistake of law or fact, or
(v) that are of a kind for which reasons should have (but have not) been given,
(e) that is engaged in, in accordance with a law or established practice, being a law or practice that is, or may be, unreasonable, unjust, oppressive or improperly discriminatory in its effect.