Ethical Interview. Procedure Reference Number: /06/2014. Armstrong Detective Sergeant Ian Murray Produced: 10/06/2014 Review due:

Transcription

1 Ethical Interview Procedure Reference Number: Approved: Superintendent John Armstrong Author: Detective Sergeant Ian Murray Produced: 10/06/2014 Review due: 3 years from publication date. Review approved: (For Name reviewed procedures only) 10/06/2014 Professional Standards Department Date 1

2 Procedure Index ELECTRONIC NAVIGATION: - move the cursor over the page number in the index or blue underlined text until a hand appears. Click the left mouse button once and it will jump to the specified part of the document. 1 Procedure Aim/Purpose/Scope Guidance... 3 General Principles Responsibilities This procedure encompasses the following roles and responsibilities: Appeals Compliance

3 1 Procedure Aim/Purpose/Scope 1.1 The Ethical Interview procedure provides a framework for dealing with unresolved integrity issues in relation to individual members of staff, which do not constitute serious misconduct or criminal proceedings. If appropriate it may be considered together with the Service Confidence procedure. 1.2 It aims to introduce clear direction and guidance to address unresolved allegations or intelligence relating to individual members of staff, when all other investigative methods utilised with the intention of proving or disproving the allegation have either failed or else have been rejected as being inappropriate. 1.3 The objectives of an ethical interview are to: seek a truthful account of an allegation through informal and confidential means; seek an appropriate resolution according to the needs of the individual and the organisation; make a positive approach towards finalising unresolved integrity investigations; provide the subject of an unresolved investigation the opportunity to offer an explanation or to make comment; identify and action any areas of individual or organisational learning. 2 Guidance Click Here to Return to Index General Principles 2.1 The Constabulary will, in appropriate circumstances, utilise an ethical interview to seek a truthful account and an agreed resolution. This positive and open approach will provide an opportunity to deal with unresolved integrity issues concerning individual members of staff, where misconduct or criminal proceedings are not appropriate; provide protection from potential risks to staff and Constabulary assets; and provide any necessary support to members of staff. Initiation of Proceedings 2.1 Whenever information or material becomes available which raises concern about the conduct or integrity of a member of the Constabulary, the recipient is under a duty (Paragraph 10, standards of behaviour challenging & reporting improper conduct Police 3

4 (Conduct) Regulations 2012 and Managers Procedure for Discipline (police staff)), to report details to the Professional Standards Department, either directly or by means of confidential reporting mechanisms, to allow an assessment to be conducted and, where appropriate, the commencement of an investigation. 2.2 The Head of the Professional Standards Department has oversight of all such investigations. If it becomes clear that neither criminal or misconduct proceedings will be possible or appropriate, but that concerns remain about the conduct or integrity of a member of staff, the Head of the Professional Standards Department will determine whether it is necessary to proceed by way of an ethical interview (or alternatively, where appropriate, the Service Confidence procedure - refer to separate Force Procedure for guidance in respect of this procedure). 2.3 Each case will be considered on its own merits when deciding if an ethical interview would be an appropriate course of action. Conduct of the interview 2.4 It is important that staff selected to conduct ethical interviews not only have a detailed knowledge of the investigation but also the requisite skills, knowledge and experience. It is for this reason that such interviews will normally be conducted by investigators from within the Professional Standards Department. 2.5 Where this is deemed inappropriate, the Head of the Professional Standards Department will consult with the relevant Area Commander or Departmental Head to determine who will conduct the interview. 2.6 An ethical interview will be conducted under the following conditions: The subject will not normally be informed in advance of the intention to conduct the interview however the timing of the interview will take account, wherever possible, of their personal and operational commitments. The subject will be given the opportunity to be accompanied by a Staff Association/Union representative, the nominated supervisor, line manager or other member of the Constabulary. At the commencement of the interview, a warning will be given to the subject regarding possible consequences resulting from the admission of criminal offences or serious misconduct outside of the allegation being investigated. The purpose of this it to encourage the subject to give a truthful account of the matter concerned without the fear of facing disciplinary proceedings. Unless there is an admission of a criminal offence or serious misconduct that falls outside of the allegation investigated, information obtained from an ethical interview cannot be used in any criminal or disciplinary proceedings. 4

5 The interview will not be subject to audio recording or contemporaneous notes. 2.7 Information provided by the member of staff concerned may be used to form the basis of an action or development plan to prevent the matter from being repeated or to minimise future risk to either the individual or organisation. Such a plan may include informal advice or training. This will not be a disciplinary outcome and will not be recorded as such. 2.8 A copy of any such action/development plan should be linked to the officer s current PDR and copied to the personal file, but such entries, to reflect the confidential nature of the process, should not indicate that the staff member has been subject of the ethical interview procedure. The content of any action/development plan must be agreed by the Head of the Professional Standards Department prior to inclusion within the PDR or personal file. 2.9 At the conclusion of the interview the interviewing officer will ensure that the subject is supported by, and any welfare issues dealt with by, the nominated supervisor. Administration 2.10 At the conclusion of the process, the Investigating Officer will ensure that any open file/record within the Professional Standards Department is updated accordingly. Such records will be stored securely and confidentially within the Professional Standards Department. Risk Assessments and Health and Safety Considerations 2.11 Risks to Constabulary staff, information and operations will be assessed based on individual circumstances The Constabulary Occupational Health and Welfare support services will be available to the person affected if requested or deemed appropriate in the circumstances The nominated supervisor will be responsible for monitoring the performance, health, safety and welfare of the individual following the ethical interview process. Click Here to Return to Index 5

6 3 Responsibilities 3.1 This procedure encompasses the following roles and responsibilities:- Appropriate Authority 3.2 In accordance with the Police (Conduct) Regulations 2012, the lead for discipline and misconduct is the Chief Constable, with authority being delegated to a specific Chief Officer, referred to within the 2012 Regulations and this policy as the Appropriate Authority. The Appropriate Authority has oversight of investigations managed by the Professional Standards Department. Head of Professional Standards Department 3.3 References to the Head of the Professional Standards Department within this policy also refer to the Deputy Head of the Professional Standards Department. 3.4 The decision to conduct an ethical interview will be that of the Head of the Professional Standards Department. 3.5 He/she will also be responsible for ensuring that: Where necessary, the Appropriate Authority is briefed on the circumstances leading to the requirement to conduct an ethical interview The objectives of the ethical interview are achieved Individual and organisational learning is identified and appropriately progressed Accurate records are maintained and stored confidentially within the Professional Standards Department Effective oversight is maintained of the procedure 3.6 The Investigating Officer is appointed by the Head of the Professional Standards Department and is responsible for investigating criminal and/or misconduct allegations. In circumstances where an ethical interview may be required, the investigating officer will usually be appointed from within the Professional Standards Department. In exceptional circumstances an investigating officer may be appointed from an Area, with oversight of the investigation being provided by the Professional Standards Department. 3.7 The Investigating Officer will be responsible, where appropriate, and with the necessary authority in place, for resolving allegations by conducting an ethical interview and, if necessary, for producing a development or action plan in conjunction with the individual concerned. 6

7 minated Supervisor 3.8 The minated Supervisor will be from the same Area / Department as the staff member subject of the investigation and will, at the appropriate juncture, be made aware of the proposed ethical interview. They will be responsible for monitoring the member of staff concerned to ensure adequate welfare support is provided. The minated Supervisor will be of at least one rank higher than the member of staff concerned. Click Here to Return to Index 4 Appeals 4.1 The decision to conduct an ethical interview will only be made once all other appropriate investigative methods have been tried or are unlikely to succeed and there are ongoing concerns about the conduct or integrity of the member of staff concerned. If the affected staff member has any concerns about the process, they should be raised via the minated Supervisor or their relevant Staff Association / Union representative. 5 Compliance Click Here to Return to Index I confirm that this document has been drafted to comply with the principles of the Human Rights Act and Equal Opportunity legislation as per force guidance. In addition, Data Protection Act, Freedom of Information Act, the National Quality of Service Commitment and Health and Safety issues have been considered. Adherence to this policy or procedure will therefore ensure compliance with all relevant legislation, internal policies and the Force values. I do agree that this document is appropriate for disclosure to the public. Signed: Det Supt J Armstrong Date: 9 th June

8 Equality and Diversity Impact Assessment part 1 Potential X Does the procedure involve any of the following? (tick as appropriate) Impact If any of the boxes below are ticked the impact is high and the Equality and Diversity Impact Assessment must be reviewed annually. High - Exercise of statutory powers? - Dealing with or providing services to the public? - Recruitment & selection, transfer or redundancy processes? - Training opportunities or career development schemes? - Other processes for managing staff? (ie. discipline, pay, allocation of benefits, etc) - Any other high risks not detailed? If any of the boxes below are ticked the impact is medium and the Equality and Diversity Impact Assessment must be reviewed every 2 years. Medium - Dealing with the public, but not involving the exercise of statutory powers? - Providing services or facilities to staff? (ie. welfare, shower rooms, parking, intranet etc) - Any other medium risks not detailed? If any of the boxes below are ticked the impact is low and the Equality and Diversity Impact Assessment must be reviewed every 3 years. Low - Administration processes? - Any other low risks? Equality and Diversity Impact Assessment part 2 Consider the community as a whole and each of the protected characteristics: Age (includes all ages), Disability, Gender, Pregnancy and maternity, Race, Religion or belief, Gender reassignment and Sexual orientation, when answering the below: 1.Does this activity present an opportunity for improving equality outcomes for any of the protected characteristics? If so, how? 8

9 2. Is there public/political concern in relation to any of the protected characteristics, attached to this activity? If so, what are those concerns? 3. What other sources of information have been used in the development of this procedure i.e. HMIC Inspection Reports, Home Office Circulars? 4. Does the procedure relate to the use of a statutory power? If so, under what circumstance could discrimination be acceptable? 5. What data collection process exists for this procedure? How is the data monitored to ensure that the impact is not discriminatory or disproportionate? e.g. Use of community intelligence. If reviewing the procedure what are the results of the monitoring? 6. What evidence is there that actions to address any negative effects in one area may affect other areas of equality? 7. When the Race and Diversity impact assessment has included consultation, who was consulted? (Include a summary of the key points) 8. Has the procedure been altered following the consultation? (Include a summary of the key changes) 9. Has feedback been given to the groups involved in the consultation? N/A N/A N/A N/A review of existing procedure review of existing procedure Date Impact Assessment completed: 10/06/2014 9

10 Policy/Procedure Implementation Plan Name of Policy/Procedure: Status of Policy/procedure: Owner: Date last reviewed: Are there significant changes? Review completed by: Ethical Interview Revised Head of Professional Standards U/K Detective Sergeant Ian Murray Date of next review: 10/06/2017 Training/Communication Plan Is there a communication plan for the policy/procedure? Is there a training plan for the policy/procedure? If so does this cover how training has been incorporated within existing arrangements to ensure future delivery? N/A 10

11 Details of plans t Protectively Marked Actions Lead Dates Review of existing procedure Professional Standards Department Communication Plan training required Professional Standards Department Training Plan Review in 3 years Professional Standards Department Review Plan Version t Protectively Marked 11