Research Paper

Police Accountability in a DemocraticSociety: Best Practices Review of theProcesses and Mechanisms for CivilianOversight of Police in United Kingdom

Submitted by

Vineet Kapoor

AIG Training Police Headquarters

Jehangirabad Bhopal Madhya Pradesh

Email- vinkaps_ind@yahoo.com Mob 09425150465

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Police Accountability in a Democratic Society:

Best Practices Review of the Processes and Mechanisms forCivilian Oversight of Police in the United Kingdom

ABSTRACT

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The Author wishes to thank the library of London School of Economics andPolitical Science, where the initial research for the present paper was conducted.

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In a democratic governance environment the civilianoversight is particularly important in relation to thepolice, given their significant power over the daily livesof citizens. The police exist to protect the fundamentalfreedoms of citizens; their powers also provide thepotential for severe abuse of these freedoms. Oversightmechanisms provide an important way in which policingbecomes more directly responsive to citizens. Given thesignificant power which the police hold over citizens, thegovernance of police in the United Kingdom has in place,systems of civilian oversight of policing which complementthe democratic structure of governance in the country. TheCivilian oversight mechanisms in the UK target two majordimensions of police accountability that is -the individualaccountability and the organizational accountability. Theindividual accountability mechanisms are concerned with thecomplaints and misconducts of individual police officerswhich are addressed through the civilian oversightmechanisms of the investigation of such complaints andmisconducts through agencies which are independent of thepolice. The civilian oversight functions of theorganizational accountability of the police services is alsowell developed in the UK through legislatively constructedand democratically and professionally constitutedindependent bodies which monitor police performance andreview and audit police output in respect of publicexpectations and professional competencies. This paperintends to present the case of UK as a best practice fromwhich many inferences and inspirations could be drawn forconsideration of policy norms for Democratic accountabilitymechanism for the specific needs of Indian Policing withinthe overall context of Indian Democracy.

Police Accountability in a Democratic Society:

Best Practices Review of the Processes and Mechanisms forCivilian Oversight of Police in the United Kingdom

1.1 Introduction

Civilian oversight is an important Police AccountabilityMechanism which involves people from outside the policetaking a role in calling the police to account for theiractions, policies and organization. Most civilian oversightmechanisms have been particularly concerned with complaintsagainst the police. However, civilians can, and do, hold thepolice accountable in ways that extend far beyond individualcomplaints, potentially covering broad areas of policepractice and policy1. In a democratic governance environmentthe civilian oversight is particularly important in relationto the police, given their significant power over the dailylives of citizens. The police exist to protect thefundamental freedoms of citizens; their powers also providethe potential for severe abuse of these freedoms. Oversightmechanisms provide an important way in which policingbecomes more directly responsive to citizens. Given thesignificant power which the police hold over citizens, thegovernance of police in the United Kingdom has in place,systems of civilian oversight of policing which complementthe democratic structure of governance in the country. This article is aimed as a Best Practice Review of aDemocratic Policing Practice which affects the structure,character and function of policing in a robust and matureddemocratic governance environment. This Best Practice Review

1 Jones Trevor, The Accountability of the Policing in Tim Newburn (ed) Handbook of Policing, Willan Publishing London, 2008, p 693.

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like all other Best Practice studies is aimed at drawinginspirations to imbibe certain norms, standards andpractices while we consider reforming policing towards moredemocratic lines. This paper is intended to present a studyof a well grounded Police Accountability Mechanism of UK,which is regarded to have a very robust system of democraticgovernance. This paper intends to present the case of UK asa best practice from which many inferences and inspirationscould be drawn for consideration of policy norms forDemocratic Accountability Mechanism for the specific needsof Indian Policing within the overall context of IndianDemocracy.

Civilian Oversight in the UK

The historical advantage of developing a policing structure within the framework of citizen centered service delivery through the robust democratic institutions in the United Kingdom has resulted in the evolution of multilayered structural mechanisms of police accountability through various methods and institutional structure of civilian oversight of the police. The democratic values which play significant role in the practice of policing in the UK, specifically target the ideal of political neutrality of police implying operational independence of police function from politicization and at the same time adhering to the philosophy of policing by consent, which places priority on serving the needs of the community and the acceptability andlegitimacy of the of police in the eyes of the public which it serves. The evolution of the modern police in the UK and the legal structure which defined it had always been heavilyinfluenced by the democratic pressures on emphasizing the legitimacy of the very existence of the police2. These have resulted into the shaping up of the civilian oversight mechanisms which have evolved to strengthen the democratic governance, accountability, legitimacy and ultimately the acceptability of the police in the UK.

2 Reiner Robert, The Politics of the Police, Oxford University Press 2000, p50-52

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1.2 Law Enforcement Structure in the UK

Law enforcement in the United Kingdom is organizedseparately in Scotland, Northern Ireland and England & Walesand arranged in geographical police areas matched to theboundaries of one or more local government areas in theUnited Kingdom. The police structure is not unified into onepolice service nationally; instead it is institutionalizedwithin 52 administrative local level units, consisting of 43Police Constabularies in England and Wales, 8 in Scotlandand 1 in Northern Ireland3. In some respects the structuralmechanisms of the civilian oversight is broadly similarwithin the above mentioned three principal jurisdictions.

1.3 Overview of the Civilian Oversight Structure

Unlike most national systems of civilian oversightmechanisms which are concerned exclusively with complaintsagainst the police as the only method of civilian oversight,the mechanisms in the UK are multi layered, where at one endof a spectrum are those organizations that take primaryresponsibility for receiving and investigating complaintsand at the other end of the spectrum are those bodies thatdo not investigate complaints but are involved in thereview, monitoring, and auditing of investigations andlarger issues of policing trends and policies4. These are arange of other types of civilian oversight which are notexclusively concerned with misconduct issues. These involvecivilian influence and control over broader areas of policepolicies, monitoring mechanisms, professional reviews andestablishing policing priorities.

1.4 Organizational and Individual Oversight Mechanisms

3 Mawby Rob and Alan Wright, The Police Organization, in Tim Newburn (ed) Handbook of Policing, Willan Publishing London, 2008, p 224-2254 Jones Trevor, opcit, p 693-694

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The Civilian oversight mechanisms in the UK target two majordimensions of police accountability that is -the individualaccountability and the organizational accountability. Theindividual accountability mechanisms are concerned with thecomplaints and misconducts of individual police officerswhich are addressed through the civilian oversightmechanisms of the investigation of such complaints andmisconducts through agencies which are independent of thepolice. The civilian oversight functions of theorganizational accountability of the police services is alsowell developed in the UK through legislatively constructedand democratically and professionally constitutedindependent bodies which monitor police performance andreview and audit police output in respect of publicexpectations and professional competencies.

This oversight function is achieved through the followingarrangements-

1) Legal infrastructure

2) Administrative and operational arrangements

3) Democratic represantability arrangements.

These three arrangements exist in mutual relationship ofreinforcement to arrive at democratic governance of thepolice resulting into a mature and well developed civilianoversight mechanism, which promotes a democratic andaccountable police service. Various regulations within the United Kingdom control theindependence of the police from the government or politicalparties5. In the following pages, I would be systematicallydiscussing various civilian oversight mechanisms in the UK,both at organizational and individual level through theirlegal, administrative and democratic character andarrangements.

5 ibid

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Civilian Oversight Function at the Organizational Level

The Police Services in the UK have a very well developedsystem of organizational accountability which is maintainedthrough a number of non police civilian institutions,bodies and entities which specialize in the monitoring,evaluation and oversight function of the police. Theirlegal mandates have emerged through the democratic processesand represent a mature but need based evolving system ofcivilian governance of the policing function. The basis of the democratic structure of police governanceand its civilian oversight mechanism is the tripartitestructure of police accountability.

2.1 The Tripartite Structure of Police Accountability

In United Kingdom the democratic oversight of the police isbased on the tripartite system where the police, state andthe citizens form the basis of the control system andprovide the necessary balance for this system. The system ofcontrol and accountability that governs the 43 forces ofEngland and Wales rests on the principle of separation ofpower. Policing in England and Wales is accountable to, andmanaged by, this tripartite structure consisting of the HomeOffice, The Chief Constables and the Police Authorities. Itis their responsibility, at differing levels, to ensure thatthe police are performing adequately and to take action ifthey are not. Under this system, the policingpriorities are set centrally by the Home Office in the formof the National Policing Plan, and locally by the force andpolice authority in their policing plans. This complexsystem, laid down through the Police Act 1964 and improvisedthrough a series of later legislations like The Police andMagistrates’ Court Act 1994, The Police Act 1996, The PoliceReform Act 2002 and The Police and Justice Act 2006 amongothers, distribute governance and policy setting

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responsibilities over the police between the Home Office,the local police authority, and

The Tripartite Structure of Police Governance

the chief constable of the force, precisely to createbuffers between the police services and the state6.The tripartite structure provides accountability toParliament through the Home Secretary and to localcommunities through the local Police Authorities, which arelocal public bodies. In fact, Section 1 of The Police ReformAct, establishes the very specific responsibilities of theHome Secretary, and thereby the executive branch, inrelation to the police. The law makes it the duty of the HomeSecretary to frame a National Policing Plan every year by

6 Mawby Rob and Alan Wright, The Police Organization, in Tim Newburn (ed) Handbook of Policing, Willan Publishing London, 2008, p 241.

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HOMEOFFICEAt

National

Government Level

POLICEAUTHORITYAt Local Level of democraticGovernance

CHIEF CONSTABLERepresenting the Police Service

formalizing centrally imposed key priorities. Using thisdevice, the Home Secretary determines universal policingobjectives, directs police authorities to establishperformance targets, and determines cash grants for policeauthorities7.

Similarly, the Police (Northern Ireland) Act 2000 carefullyapportions responsibility for policing between the Executive(through the Secretary of State), police leadership(represented by the Chief Constable) and the Policing Board(an independent public body). The law explicitly assigns theduty to develop long-term objectives and principles to theSecretary of State, for medium-term objectives andpriorities to the Policing Board, and for shorter-termtactical and operational plans to the Chief Constable8.

The Tripartite Structure Distribution of Powers andResponsibilities amongst the Three Components

Home Secretary/Home Office

Local Police Authority

Chief Constable

Determines National Policing Plans(in National Community Safety Plan)

Powers to give directions to Police Authorities andChief Constables

Responsible for maintaining an effective force.

Determines localpolicing objectives.

From 2008 produces annually a threeyear rolling policing plan that reflects local needs and

Responsible for directionand control

Responsible for operational control

Drafts Policing plans with the authorities

Responsible 7 McLaughlin Eugene and John Munice, Controlling Crime, Sage Publications London 2001, p 92; ‘Police Reform’ pages on the Official website of Home Office http://police.homeoffice.gov.uk/police-reform8 Criminal Justice System in Northern Ireland, Official website, web pages ‘ Police Service of Northern Ireland’ at http://www.cjsni.gov.uk/index.cfm/area/information/page/PSNI

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Can order amalgamations and intervene in forces

Issues Code of Practice (to the local Police Authorities andChief Constables)

Can require thelocal police authority to call for the chief constableto resign)

Approves appointments ofchief constables

Determines cashgrants to the local authorities

national policing priorities.

Determines public consultation arrangements.

Appoints and dismisses chief constables

Can hold the Chief constable accountable for the exercise of his/her functions

Membership of 17(usually) compromising local councilors, independent members and at least one magistrate.

for achievinglocal and national policing priorities

Responsible for resource allocation

On fixed termcontract

Based on :The Tripartite Structure, Distribution of Powers and Responsibilities amongst the Three Components under the Police and Justice Act 2006( After Rob C Mawby and Alan Wright , The Police Organization, in Tim Newburn Hand Book of Policing, Willan Publishing London 2008 p242.

2.1.1 Local Civilian Control on the Police – The Role of Police Authorities

Police authorities are independent bodies comprised ofcouncillors and members of the community who have aresponsibility to ensure the effectiveness of the policeservice in that area.Police authorities were established by

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the Police Act (1964), with the exception of theMetropolitan Police Authority which was established by theGreater London Authority Act(1999). These Acts have beenfurther amended to ensure more democratic say in thegovernance and oversight of the police through furtherlegislations which has consolidated and strengthened theposition of the police authority. The latest Act definingthe responsibilities being The Police and Justice Act 20069.The Police authorities have a variety of roles andresponsibilities. These include consulting the localcommunity about the policing of their area and theirpriorities, and monitoring the performance of the force indelivering the policing plan. The public can only givepolice authorities their views on the police if they knowthat such channels exist and know how to use them.Authorities need to be transparent and visible in order toaccount to the public for their own performance and that ofthe local force. Police authorities, therefore, have acrucial role to play in fulfilling their statutoryresponsibility to consult the public in an efficient andeffective manner. The police authority sets the strategicdirection for the force and holds the chief constable toaccount on behalf of the local community10. Deliveringpolicing services is the job of the chief constable. 

9 Mawby Rob C and Alan Wright , The Police Organization, in Tim Newburn Hand Book of Policing, Willan Publishing London 2008 p242;10 Myhill Andy et al, The Role of Police Authorities in Public Engagement, Home Office Online Report 37/03, p 1.

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Stephen Lawrence DeathVictims Push for Police Reforms

Crime victims and victims groups give a human face to the problem ofunaccountable policing and have been important catalysts in shaping publicopinion. Media attention to the sustained suffering of a single family in Englandfinally created the political will within government to bring about changes toaddress institutional racism within police.Stephen Lawrence was a black youth killed in an unprovoked racist attack in1993. For years, the Metropolitan Police of London appeared to pay littleattention to his murder and provided little or no information to his grievingparents about the progress of investigations. Explaining their treatment at thehands of the police, Mrs Lawrence said: "It is clear to me that the police comein with the idea that the family of black victims are violent criminals who are notto be trusted."254

Nevertheless, the family persevered for years. They complained to the PoliceComplaints Authority that the first police investigation had been bungled, andthen took it to the Home Secretary. A special inquiry in 1999 made widerangingrecommendations to increase the responsiveness and accountability ofthe police and the Crown Prosecution Service. The police publicly apologised toStephen's parents, and admitted to faulty investigations. Much of the newcivilian oversight structure in the UK owes its establishment to the case and theconsequent recommendations.Source- Commonwealth Human Rights Initiative(CHRI); Police Accountability: Too Urgent to Neglect p255.

Responsibilities of Police Authorities

Every police area has a police authority that represents thelocal community in holding the Chief Officer accountable forthe effectiveness of their force. Police authorities set thelocal strategic direction and priorities of the force. Theyalso set the budget and the precept used to fund policing,oversee any complaints against the police and have the powerto appoint, dismiss and discipline Chief Officers. TheAssociation of Police Authorities represents policeauthorities in England, Wales and Northern Ireland, both onthe national stage and locally11. 

11 The Home Office website, relevant pages on Police authorities- http://police.homeoffice.gov.uk/police-reform/membership-police-authorities

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The police authority consults regularly and widely withtheir communities to make sure they know what the policingneeds of the community are. The police authority alsomonitor the activities of the force and report back to thecommunity on what the police force is doing for them.As acivilian oversight and democratic governance mechanism aPolice Authority performs the following functions-

Holds the police budget and decides how much counciltax should be raised for policing

Appoints (and dismisses) the chief constable and seniorpolice officers

Consults widely with local people to find out what theywant from their local police

Sets local policing priorities based on what localpeople say matters to them and targets for achievement

Monitors everything the police do and how well theyperform against the targets set by the authority

Publishes a 3 year plan and an annual plan which tellslocal people what they can expect from their policeservice and reports back at the end of the year

Makes sure local people get best value from their localpolice.

Oversees complaints against the police and disciplinessenior officers .

The Police Authorities under the Best Value initiative,scrutinize police activity for possible improvements

Member Appointments and Selection

There is a police authority for every police force inEngland and Wales. Most authorities consist of 17 members –nine councillors, three magistrates and five independent –though some have more. Councillor members are chosen bylocal authorities (or joint committees of local authorities)and local magistrates are chosen by Magistrates' CourtsSelection Panels. Applications to become independent membersare advertised. A selection panel consisting of a councillor

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or magistrate member of the police authority, a personappointed by the Home Secretary, and a third person chosenby the other two panel members produces a list of suitableindependent applicants. The Home Secretary chooses ashortlist, which is sent back to the councillor andmagistrate members, who make the final selection12.

Public Consultation by Authorities There is a great emphasis on the community consultations tobe done by the Authorities as it helps in real democraticoversight as the real voices of the people could be heardand then these consultations could be mainstreamed intopolicing priorities and everyday practices. Theconsultations through the independent authorities areexpected to get better results than if the forces conduct itthemselves as people are more willing to come forward to theindependent civilian authority13.

MethodsCommunity Consultation Groups- Home Office (non-statutory)guidance after the Police and Criminal Evidence Act (1984 ) recommendedthat police authorities set up Police Community ConsultativeGroups (PCCGs) to satisfy their requirement to consult thepublic. Citizen’s Panels are another popular method of consultation.These panels consist of numerous volunteers who agree to beconsulted periodically on a range of issues. Various methods(such as surveys) can be used, but sub-samples of panels canalso be taken for specific issues. Market research methods are another method commonly used. Itconsists of surveys, focus groups, citizens’ panels andjuries. These are most often done either jointly with theforce or solely by the force, with the authority benefitingfrom viewing the results. There were also examples of

12 ibid13 Myhill Andy et al, The Role of Police Authorities in Public Engagement, Home Office Online Report 37/03.

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authorities participating in joint market research-styleconsultation with other partners, such as local authoritiesor voluntary organisations. Outreach methods are another important methods which aim atmoving to the community in a whole range of differentplaces, shopping areas, fares, moving in a mobile van andorganizing certain events where public would gather and thenengaging them in consultation.

Police Community Consultative Groups( PCCG)-style publicmeetings:

Uses

they are a mechanism whereby thepublic can ‘let off steam’ by confrontingsenior police officers face-to-face aboutissues that are important to them andhold them ‘personally’ to account

they can be seen to break down barriersbetween the police and public, by

allowing direct interaction with officers

they can be used for providing the publicwith information about policing and alsofor gathering intelligence on criminal

activity in localities

they are preferred method ofconsultation for certain, more traditional,types of people who resist engaging with

more innovative methods

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Source : Based on the tables in Myhill Andy et al, The Role of Police Authorities in Public Engagement, Home Office Online Report 37/03.

The Case of West Yorkshire Police Authority: Examples ofInnovation in Successful Consultation of a Police Authority

with the Community

West Yorkshire Police Authority and ‘district-wide’consultation events

West Yorkshire Police Authority had taken a flexible approach to using their ‘Police andCommunity Forums’ – if they were perceived as servicing a consultation need they were

retained, otherwise they were reduced. In one district they had been abandoned in favour ofother consultation initiatives. A fresh approach had been adopted in some districts toconsulting on policing and strategic priorities. In 1997/98 the authority undertook an

experiment in the Bradford division and staged a large consultation event, using personalinvitations to encourage a high turn-out. Attendees were members of other agencies, thelocal business community and anybody recognized as representing a particular group orinterest. The event was facilitated and included focus groups and workshops of ten to 20

people. Questions and topics for debate were agreed between the authority and the force.The event had since been replicated in Bradford, Wakefield and Calderdale districts, all

involving a hundred or more attendees. The information generated on priorities was collatedby the authority’s Community Consultation Officers and sent directly to the force Planning and

Consultation ManagerSource: Adopted from Box 8 in Myhill Andy et al, The Role of Police Authorities in Public Engagement, Home Office Online Report 37/03.

Impact of Consultation

Consultation is said to achieve better relations in a numberof ways14, principally by:

giving the public an opportunity to vent their feelingsand feel listened to;

changing officers' attitudes and making them more confident about venturing onto

other people's turf, such as youth and communitycenters;14 Ibid.

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improving the police's understanding of the public's concerns;

educating the public, increasing their understanding ofpolicing and correcting

misinformation – this was said to make people appreciate the police's difficulties

and constraints, promote realistic expectations and increase public satisfaction;

reducing tensions – this included reducing tension between different sections of the public, such as youngand older people, or different ethnic groups, as well as

between police and public; mobilizing the public to participate in crime

prevention .

Training for the Members of Police Authorities to strengthenCivilian Oversight

Training the civilian members of the police authoritiesabout the specialist task of policing and its monitoring isone of the key factors in strengthening the civilianoversight mechanisms ushered in through the mandate of thePolice Authorities. The Training for the Police Authoritiesis aimed to see that the authorities must be sufficientlycompetent and knowledgeable15. The authority members must beclear about their role and tasks and be able to apply adesired range of skills and knowledge, at an appropriatelevel, in order to achieve results. The training is thusdesigned that all members should have sufficient knowledgeof their work so as to be able to participate in thedecision making process. This does not mean expecting

15 Association of Police Authorities, Induction Training for Police Authorities -Model Standard 2008-Guidance from the Association of PoliceAuthorities, May 2008, p 4, available online at www.apa.police.uk.

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everyone to be experts but all must at least understandwhere their authority stems from, the broad concepts and thelanguage used.

A model framework of training is developed by theAssociation of Police Authorities (APA) to help authoritiesutilize their knowledge effectively. The thrust of the modeltraining document is to adopt a knowledge based approach formembers, leading to a competency based assessment in latermodules. The framework defines individual competencies orknowledge that applies to every member. A knowledgeablemember will be actively contributing to authoritydiscussions on all relevant issues. They will be able tocontribute at the appropriate level of detail. They will beconfident enough to question officers on all relevantissues, and have the capacity and confidence to seekadditional information when required to enable them toexercise the civilian authority’s oversight on the force16.

The Induction Training Framework

All new authority members need to undertake initialinduction training to provide them with the basic knowledgeto enable them to be effective members; ideally this initialtraining is to be completed within four months ofappointment. The framework suggests that initial inductiontraining should be spread over six to eight trainingsessions, each of half day duration.

It is envisaged that the majority of the initial inductiontraining could be delivered through authority secretariatsand the local police force, but authorities can considerother possibilities locally, such as delivering someelements regionally. Councilors appointed to policeauthorities may have already received some training or haveexperience of local council tax precepts and codes ofconduct. Where previous knowledge exists, every effort ismade to ensure that duplication is avoided for these16 Ibid, p 4-5.

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authority members. Irrespective of background all newmembers are required to undertake equalities and diversitytraining17.

Catering to Specific Training Needs

It follows that once induction training is completed, thenew authority member will need continued development toensure that there is a pool of members who are capable ofmoving onto chairing committees and taking on a moreproactive role within the authority. Training is the key toincrease the knowledge level of the authority members.The APA provides some training packages, e.g. performancemanagement and equalities to assist authorities18.Authorities are expected to retain a record of membertraining and review collective and individual trainingrequirements on an annual basis with individual members.2.1.2 Local Civilian Oversight mechanisms in Northern Ireland and ScotlandThe Northern Ireland Policing Board

The Policing Board is an independent public body made up of19 Political and Independent Members established to securefor all the people of Northern Ireland an effective,efficient, accountable and impartial police service whichhas the confidence of the whole community.  The PoliceService of Northern Ireland is supervised by the Board. Outof the 19 members in the board, ten are members of theNorthern Ireland Assembly and nine are independent. Membersof the Policing Board are bound by a Code of Conduct.Through meetings of the Policing Board, and through the workof its committees, it holds the Chief Constable to accountfor his actions and those of his staff. The Policing Boardis staffed by both Civil Servants and directly recruitedmembers of staff. There are approximately 60 staff members

17 Ibid.18 Ibid, p 13-14; Association of Police Authorities website relevant pages,www.apa.police.uk/training.

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split across four directorates consisting of 13 branches andthe Private Office.Like the Police Authorities, the PolicingBoard also engages in the oversight and monitoring functionsunder the tripartite structure.The main statutory duties andresponsibilities of the Policing Board are19:

to secure an effective and efficient local policeservice

to appoint (and dismiss, if necessary) the ChiefConstable and senior police officers (Assistant ChiefConstable and above)

to consult widely with local people about the policingof their area

to set local policing priorities and targets for policeperformance

to monitor everything the police do and how well theyperform against the targets set by the Policing Board

to publish a three year and annual policing plan whichtells local people what they can expect from theirpolice service and report on police performance everyyear

to make sure local people get best value from theirlocal police

to oversee complaints against senior officers to discipline senior officers

Scottish Police Services Authority SPSA

The Scottish Police Services Authority also functions in linewith the tripartite structural arrangement of policegovernance and oversight. In Scotland, supervision of theterritorial police forces is the responsibility of theelectoral local authority which either directly supervisesthe local police force where its border is conterminous withthe force, or works through the joint boards with neighboringlocal authorities. In this way each of the eight ScottishForces along with other specialized force is maintained by apolice authority or a joint board. Joint police boards now

19 The official website of Northern Irland Policing Board available at, www.nipolicingboard.org.uk/index/the board.htm

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maintain 6 of the Scottish forces: Northern Police, CentralScotland Police, Grampian Police, Lothian & Borders Police,Strathclyde Police and Tayside Police. Only Dumfries &Galloway and Fife Constabularies are directly administered bythe councils for their geographical areas20. Joint policeboards are composed of representatives of each council in theforce area. The main responsibilities of the policeauthorities are to: set the budget for the force and providethe chief constable with the resources (manpower, buildingand equipment) necessary to police the area adequately andefficiently appoint officers of the rank of Assistant ChiefConstable and above21.

Public Notice for Understanding the Police Authority’s Work

Ten things you need to knowabout your police authority1 Your police authority is a group of 17 local people (slightly more in someareas) who hold the police to account on behalf of communities.2 Your police authority consults with local communities to find out what youwant from your local police.3 Your police authority’s job is to make sure that the ChiefConstable(or Commissioner in London) delivers a police service which balances bothnational strategic priorities and the concerns of local people.4 Your police authority hires and, if necessary, fires chiefconstables and seniorpolice officers – and also checks on complaints against police.

20 Official website for the Scottish Police Services Authority availableat www.spsa.gov.uk; also at the Scottish Government website, www.scotland.gov.uk/Topics/Justice/Police/local21 Ibid.

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5 Your police authority publishes an annual plan, based on consultation withlocal people, setting out the services your police force should deliver in theyear ahead, and the targets it should achieve.6 Your police authority has a legal duty to promote equalities and goodrelations between different groups of people. As part of this, it ensurespeople know their rights if they are stopped or searched by police.7 Around 10% of police authority members are from minority ethnicbackgrounds and around 30% are women.8 Your police authority holds the police budget. It consultswith local peoplebefore it sets police council tax to ensure you get value for money.9 Your police authority sets the strategic direction of local policing to ensurethat everyone benefits from a better police service.10 Your police authority makes sure the police service does everything it canto keep improving policing for your community.

Encouraging Better Civilian Participation in the governance of an accountable Police Service- Public notice on the internet . Source the Official Website of the Association of Police Authorities.www.apa.police.uk.

2.2 Her Majesty's Inspectorate of   Constabulary for England,   Wales and Northern Ireland (HMIC)

For over a century and a half Her Majesty's Inspectors ofConstabulary (HMIs) have been charged with examining andimproving the efficiency of the Police Service in Englandand Wales, (and latterly Northern Ireland), with the firstHMIs appointed under the provisions of the County andBorough Police Act 1856.This is one of the oldest oversight,

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monitoring and standard setting mechanism for the policeservices which is independent of the police and hencecivilian in nature and character22. Her Majesty's Inspectorsof Constabulary are appointed by the Crown on therecommendation of the Home Secretary and report to HerMajesty's Chief Inspector of Constabulary (HMCIC), who isthe Home Secretary's principal professional policingadviser. The HMCIC is independent both of the Home Officeand of the Police Service. For almost a century and a halfHer Majesty's Inspectors of Constabulary (HMIs) have beencharged with examining and improving the efficiency of thePolice Service in England and Wales. The first HMIs wereappointed under the provisions of the County and BoroughPolice Act 1856. In 1962, the Royal Commission on the Policeformally acknowledged their contribution to policing. Thestatutory duties of HMIs are described in the Police Act199623. The Home Secretary lays before Parliament a clearstatement of the duties and responsibilities which theInspectorate is expected to fulfill .More generally, thework of the Inspectorate reinforces the principles of publicservice set out in the Citizen's Charter. Over the year theinfluence of the HMIC has enhanced. The inspectionmechanisms have been strengthened and standardized and theinspectorate have been benefited by he inclusion of newinspectors who come from civilian non policing backgroundswhich has enhanced the accountability, transparency andpublic faith over the functions of the HMIC24. Theinspections and reports of the HMIC have served to increasethe external scrutiny of the policing and encourage forcesto adopt standard practices and approaches.

The Appointment of the HMIC

22 ‘The Role of Her Majesty’s Chief Inspectorate of Constabulary- Delivering Efficiency Improving Performance’ , Home Office March 2008, available online www.homeoffice-police/HMIC Pdf. p 523 Ibid.24 Reiner, opcit, p191-192.

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HM Inspectors of Constabulary are appointed by the Crown onthe recommendation of the Secretary of State and, untilrecently, selection was made exclusively from the ranks ofthe most senior officers serving in the provincial forcesand the Metropolitan Police. In October 1993, and inaccordance with the Citizen's Charter principle thatInspectorates should include a "lay element", two HMIs wereappointed from non-police backgrounds. This developmentunderlined the Inspectorate's commitment to objectivity,independence and openness25. It also broadened and enhancedits professional base by introducing top managementexperience from commercial and industrial organizations. This has since been taken forward with the appointment oftwo HMIs from non-police backgrounds (one specializing inpolice training) and an Assistant Inspector for Communityand Race Relations26. The non police- civilian backgroundenhances the independent stature of the institution andestablishes its civilian oversight credibility.

The Role of Her Majesty's Inspectorate of Constabulary27

The principal roles of the HMIC are –

To promote;

the efficiency and effectiveness of policing in England, Wales and Northern Ireland

through inspection of police organizations and police functions

the development of future leaders

To ensure; 25 Reiner opcit, p 192; Jones, opcit, p704.26 The Role of Her Majesty’s Chief Inspectorate of Constabulary- Delivering Efficiency Improving Performance’ , Home Office March 2008, available online www.homeoffice-police/HMIC Pdf, p6-8, also at official website of HMIC at http://inspectorates.homeoffice.gov.uk/hmic/about/

27 Ibid

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agreed standards are achieved and maintained;

good practice is spread and performance is improved.

To provide;

advice and support to the tripartite partners (Home Secretary, police authorities and forces.

Functions of HMIC

Through the inspection and assessment processes and the recommendations made in published reports, HMIC seeks to influence chief officers, the Home Office, police authorities and the Northern Ireland Policing Board to ensure the provision of an efficient and effective Police Service. HMCIC is required to submit to the Home Secretary an Annual Report, subsequently laid before Parliament and published, which summarizes the main findings from the previous year’s inspections and provides an overview of topical policing issues. Since April 2003, HMIs have been responsible for overseeing Personal Development Reviews for chief officers. PDRs and the general process of performance review are a central component in the development of leadership in the top ranks of the Police Service28.

The role of HMIC outside formal inspections is as importantas the inspection process. HMIC is well placed to provideprofessional advice through the knowledge derived from theinspection process, its wide-ranging contacts within thetripartite system and the expertise of its members. Throughthe above mentioned functions the HMIC which is independentof the police, forms an important civilian oversightmechanism which comments on policing practices and helpsthem to give a direction towards improvements.

28 Her Majesty’s Inspectorate of Constabulary HMIC , ‘The History of Her Majesty’s Inspectorate of Constabulary HMIC 2007, available online HMIC websitePdf, p71-72

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During the course of inspection and assessment, HMIs alsolook closely at theprogress made by police authorities and forces in buildingeffective partnerships withboth the local community and other agencies within theCriminal Justice System.The Home Secretary relies on HMIC as the principal source ofobjectiveprofessional advice on all aspects of policing, bothoperational and managerial.

In addition, HMIC advises on the formulation of policyproposals relating to the police, and liaises with theappropriate administrative units in the Home Office.

The Inspection, Assessment and Advisory Function

The formal inspection process is a core HMIC activity, through which HMIs conductdetailed examinations of those areas of policing organization and practice judgedto be central to the efficient and effective discharge of the policing function. HMIsreport on the efficiency and effectiveness of each force – and other organisations –which they inspect; that is, the extent to which each force achieves the best resultswith the resources available and whether those results are the right ones. They takeinto consideration:

the Government’s Public Service Agreement performance targets for policing; the objectives set locally by police authorities and

the Northern Ireland Policing Board; other priorities determined in consultation with the

Home Office; and issues determined by HMIs, based on trends identified

during the inspection process.

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The type, frequency, form, duration and priority of inspections is determined by HMIC29.At present, inspections take several forms, given in the box.

Advice on Policing

HMIC provides professional advice and support on all aspectsof policing, includingoperational and management matters, to police forces, policeauthorities and theNorthern Ireland Policing Board. HMIC is well placed to actas an agent for change.The role of HMIC in ensuring collaboration betweenneighboring forces andencouraging the sharing of new ideas, good practice and thetimely utilizations ofnew equipment and techniques is considered important by theHome Secretary.This is achieved through the inspection and assessmentprocesses, by offeringinformation and advice to forces, and by collaboration withother agencies, such asthe Audit Commission. Increasingly, HMIC undertakes jointinspections with otherInspectorates30. The work of HMIC, in ensuring that policeservices are deliveredas efficiently and effectively as possible and meet publicneeds, reinforces theprinciples that police forces should be responsive andprovide high-quality serviceswhich represent good value for money.

Relation with Home Secretary

29 The Role of HMIC, opcit, p 6-7; and also at HMIC website ,http://inspectorates.homeoffice.gov.uk/hmic/about/30 The Role of HMIC, opcit, p 7-8,

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The HMIC works closely with the Home Office but is independent of its control and therefore its value is retained as a standard setting, monitoring and oversight body. It does not form part of the Home Office’s policy-making function. HMCIC allocates specific subjects to individual HMIs and Assistant Inspectors on which they in turn provide professional advice. HMCIC has the right to report to the Home Secretary on any matter considered appropriate. The Home Secretary gained new powers of direction in the Police Reform Act 200231. These powers define HMIC’s formal and central role in the new police performance monitoring regime.

Monitoring of performance

HMIC’s assessments of comparative force performance, which contribute toprioritizing the formal inspection programme, provide feedback to chief officersand police authorities about their force’s performance, in both absolute andcomparative terms. HMIC liaises with the force to discuss any serious performanceissues. This approach may identify a causal factor and the force may already beinitiating a recovery plan to improve performance. HMIC provides advice andguidance on specific issues and initiatives which have proved to be good practiceelsewhere and which have delivered an improvement in performance.

31 Jones, opcit, p 704.

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The Role of the HMIC

Formal Inspections and Assessments

Advisory Role In The Tripartite System and Senior Appointments

Commentator on Contemporary and topical Issues in Policing.

The formal inspection and assessment of the 43police forces in Englandand Wales; the Police Service of Northern Ireland. Inspection of certain other policeand non police forces at national level. ThematicInspections are alsoundertaken, some in conjunction with other bodies, especially the otherCriminal Justice System Inspectorates. Inspectionsare conducted openlyand the recommendations of the HMIs are arrivedat independently. HMIs’ reports are normally published and placed on the official website for

HMIC plays a key advisory role withinthe tripartite system consisting of Home Office, Chief Constables andthe Police Authorities (in Northern Ireland Policing Board). Thetripartite structurerecognizes and values the independence and professional expertise of this institution and sincerely considersthe opinion expressed through its reports, recommendations and advise. The HMI also providea crucial link between forces and the Home Office, and, as the Home Secretary’s principal professional police

In addition, the Inspectorate keeps abreast of policing issues worldwide byfostering links withinternational agencies such as Interpol and the FBI. HMIC alsocontributes to the development of inspection science through its association withother Inspectorates,both within and outside the CriminalJustice System. It acts as a commentator to the issues of concern inpolicing and social safety issues world wide and in particular referenceto the UK in order to mainstream reforms and imitablepractices and policing functions and styles .

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public use and good practice is garneredand disseminated. The kind of open public display of inspection findings foster transparency and public accountability whichultimately proves a good civilian oversight mechanism to improve police performance .

adviser, HMCIC linksdirectly with the Home Office Crime Reduction and Community Safety Group.

HMIC advises the Home Secretary on senior appointments in the Police Service, via the Senior Appointments Panel which HMCIC chairs.

They influence the development of policing by disseminating good practice based on national and international trendsand standards .

Source; Based on the Roles and Functions described about the HMIC in the , ‘The Role of Her Majesty’s Chief Inspectorate of Constabulary- Delivering Efficiency Improving Performance’ , Home Office March 2008, available online www.homeoffice-police/HMIC Pdf

The Organization of HMIC

At the National LevelHMIC is independent of both the Police Service and the Home Office. HMCICfor England, Wales and Northern Ireland is based in London and is supportedby Assistant Inspectors of Constabulary, who have clearly defined functionalresponsibilities, a financial adviser and a small administrative staff. HMCIC visits police forces frequently but inspects rarely; the role generally is to direct

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and co-ordinate the work of HMIs, particularly those who have responsibility forinspecting a number of forces in one or more of the regions.HMCIC providesadvice at national level and is available to advise Ministers and Home Officeofficials on aspects of policing, as well as advising the Police Service, on bothoperational and management matters. There is one HMI, from anon-police back-ground, holding responsibility for inspecting police personnel, training and this HMI is fully engaged in the inspection and performance development work of HMIC.

At the Regional Level

The regional HMIs are located in regional offices and are supported by a small staff. Their primary function is to inspect and assess police forces and to report their findings publicly. HMIs also have an important advisory function and seek to influence the development of policing by disseminating good practice and providing advice to police forces and police authorities. Assistance to each HMIis provided by staff officers and the financial adviser, each of whom has a key role in the inspection process.

Composition of the HMIC staff

HMIC’s inspection staff are almost entirely provided by forces, HM Revenueand Customs and others (including those engaged in national security) on asecondment basis, some being on short-term loan. The composition is principally a specialists’ organization. These arrangements provide HMIC with up-to-date experience.The Training needs are assessed and since specialists are inducted much of the staff training function is related to

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updating with the latest trends, legislations and practices which get mainstreamed into period trainings and seminars.Funds

The resources for HMIC are provided directly by central Government through theCrime Reduction and Community Safety Group of the Home Office. Each yearHMIC receives resources from two separate allocations. Day-to-day running costs(including income) are the subject of a specific funding allocation while capitalexpenditure is accounted for separately32.

32 Ibid, p52.

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Source: The Role of Her Majesty’s Chief Inspectorate of Constabulary- Delivering Efficiency Improving Performance’, Home Office March 2008, available online www.homeoffice-police/HMIC Pdf.

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Types of HMIC InspectionsThe Force (and other policing organization) Inspection/Joint Area InspectionsHMIs conduct detailed examinations of those areas of policing organizationand practice judged to be central to the efficient and effective discharge of thePolicing function. They check on the performance of forces in key areas (including ministerial priorities and crime targets, and objectives set locally by police authorities) and make recommendations for improvement where weaknesses are identified. Focused forms of these inspections are also conducted in relation to specific areas.when so directed by the Home Secretary, HMIC conducts full force inspection.The HMIC also conducts at regional level Joint Area Inspections with local Criminal Justice Boards in each force areas.The Thematic InspectionThese inspections examine a key issue across a representative number of forces,and comment solely on the effectiveness of performance in relation to that keyissue. This type of inspection identifies deficiencies relevant to the Police Service asa whole and disseminates good practice regarding a specific aspect of policing.Such inspections have proved key in identifying critical issues and sticking pointsand in offering solutions for moving the Police Service forward in areas such asrace and diversity, efficiency and value for money, crime recording, training, and personnelissues such as recruiting etc.The Best Value Review InspectionThis duty of inspection, introduced under the Local Government Act 1999, gaveHMIC a remit to inspect Best Value in police authorities to ensure that Best ValueReviews have been carried out in accordance with the statutory requirementsand that they are likely to bring about the desired improvements. HMIC liaisesclosely with other Best Value Inspectorates, particularly the district auditors,who also have a role in inspecting Best Value in police authorities. The aim is to evaluate whether the public services give best value for the money spent on them .This activity is now generally undertaken in the context of the other inspection and assessment activities.The Basic Command Unit InspectionThese inspections focused on the local aspects of policing. Concentrating onleadership and performance, the inspections sought to identify reasons forvariations in performance between apparently similar BCUs. HMIC has beeninspecting every BCU in England and Wales over a five-year period (which began in2001–02) and has conducted re-inspections. HMIC’s methodology in this field has developed, and is known as ‘Going Local 3’.GL3 ensures that BCU inspection effort focuses upon the relatively small number of BCUs where performance indicates a need for inspection-driven improvement. The GL3 methodology strikes the appropriate balance between recognizing and learning from successful BCUs while concentrating limited HMIC resources on those BCUs which will most benefit from a detailed inspection.Baseline Assessment and Programmed InspectionsThe HMIC keeps on reviewing and changing its methodology according to changing needs. Considering the major changes brought by the Police Reform Act 2002, method of ‘BaselineAssessment’ was adopted it is called Baseline because it sought to monitor change in each force (improvement or deterioration) against a baseline of performance identified in

2.3 Her Majesty's Inspectorate of Constabulary for Scotland(HMICS)

Her Majesty's Inspectorate of Constabulary for Scotland isindependent of the Scottish Government. HMICS wasestablished by the Police (Scotland) Act 1857 and isresponsible for the inspection and oversight of the eightterritorial police forces, the Scottish Crime and DrugEnforcement Agency, the Scottish Criminal Record Office, theScottish Police College and the Scottish Police InformationStrategy. Until April 2007 the HMICS was also responsiblefor dealing with complaints against the police; since thennon-criminal complaints are dealt with by the PoliceComplaints Commissioner, under the effect of the Police,Public Order and Criminal Justice (Scotland) Act 200633. TheHMICS has now no authority to deal with complaints againstChief Police Officers. Their direct role in police complaintmechanism may have eroded, but the inspection, evaluationand standard setting functions make the HMICS an importantcivilian agency which keeps oversight of the broader policeroles, performances and output for service delivery in thepublic. The oversight function is very similar to the HMICin England Wales and Northern Ireland.

2.4 The Best Value Framework and the Police and Crime Standards Unit

The Police and Crime Standards Unit PCSU,(which was earliercalled the Police Standard Unit, PSU), which work closelywith the HMIC, has been created to identify and disseminategood practice, and also to intervene to improve performance

33 The pages on HMICS-The Scottish Government website, www.scotland.gov.uk/Topics/Justice/public-safety/Police/HMICS

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where a force requires "remedial actions."34 As a device forholding individual police forces accountable for theirperformance, and a means of comparing different policeservices' performance, the Unit has developed theinfluential Police Performance Assessment Framework to"provide an effective, fair framework for comparing policeperformance and provide a firm basis for effectiveperformance management"35. Another close associate of this approach ofmaintaining standards and living up to the expectations ofthe public is the Best Value Framework. In the year 2000 theBest Value Framework was applied to the Police Authoritiesand Forces. The legislation required them to review theirservice delivery over a five year cycle and apply what arecalled the 4Cs; Challenging whether a particular service is required in thefirst placeConsulting about service provisionsComparing the service with other providers and Reviewing Competitive alternate providers36

The Police and Crime Standards Unit in this connection wasestablished to intervene actively into local Basic CommandUnits BCUs or even entire police forces that were deemed tobe under performing. Based on surveys and HMIC’s reviews theHome Office can refer and report under performing forces tothe Home Office Review Committee which can refer them to thePCSU 37. The Best Value initiative and the PCSUs have servedthe purpose of increasing the civilian and democraticaccountability of the police performance and police servicedelivery. This is a positive framework which though does notfocus on the individual accountability of the erring police34 Loveday, B. and Reid, A. (2003), Going Local: Who should run Britain's police? London: Policy Exchange, p. 13-14

35Home Office (2003) Policing: Building Safer Communities Together, HMSO, p.14

36 Jones, opcit, p 70737 Ibid.

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officers but mainstreams democratic accountabilitymechanisms at the organizational level to overseequalitative service delivery which adheres to the citizen’sexpectations.

Naming and Shaming Under the Best Value Framework

“Best value will also have teeth, it will involve certification, audit and inspectionand in those extreme cases where where the communities are not given the levelof service they are entitled to , there will be provision for intervention ultimatelyby the secretary of state”Statement by the then Home Secretary Jack Straw, quoted in the Independent 17 September 1998, asreproduced in Mclaughlin and Munice38 .

Best Value framework works on the idea of the accountabilityof the forces assessed right at the Basic Command Unit levelrather than at the entire force level in order to conduct abetter and more minute analysis of the force’s performanceand the public satisfaction it generates. The idea has beento name and shame the poorly performing BCUs and theirconsecutive forces and to make intervention in order to comeup to desired level of public expectations39. The fact thatthe non-police, civilian experts assess the performance withan independent view point by incorporating the publicresponse, it serves as a very important civilian oversightmechanism at the organizational level.

2.5 Democratic Controls: Financial Regulations and relationship with Accountability

The Police service’s image is highly dependent on its performance which in a democratic environment depends upon the degree to which the police service is viewed as legitimate and worthy of trust and co-operation. The Police Accountability Mechanisms in the UK, particularly at the level of the Government and its local Police Authority also heavily rely on the financial accountability. Police 38 Mchlaughlin Eugene and John Munice, Controlling Crime, Sage Publications, London 2001, p9339 Ibid

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Managers have very extensive public resources provided to them and it is important that they are held to account to the providers of those resources, which means the public representatives. This is to ensure that policing services are delivered as effectively and efficiently as possible. Very high proportion of the police funding comes through thenational taxation and revenue, and the government is particular in seeing that the tax payers get value for theirmoney through a financial regulation system40. This is linked with the government’s measures of using financial management tools in determining where the resources could be applied more effectively. These measures include;

dropping initiatives and practices shown to offer poor value for money;

redeploying resources saved to cost effective activities;

developing more flexible arrangements to transfer fundsbetween criminal justice agencies.

It results in more stringent democratic governance and government’s control over policing41.

2.6 The Audit Commission

The Audit Commission is an independent watchdog, drivingeconomy, efficiency and effectiveness in local publicservices to deliver better outcomes for everyone. Thecommunity safety is one of the aspects assessed by theCommission, under which the police services role and servicedelivery are evaluated particularly in context with thevalue for money this service is able to give to the taxpayers. As a force for improvement, the commission works inpartnership to assess local public services and make

40 Jones, opcit, p 695-696.41 Mchlaughlin and Munice, opcit, p 94.

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practical recommendations for promoting a better quality oflife for local people42.

The work of the commission proves to be important oversightmechanism which looks after the value for money and theservice delivery aspects of the broader policy policies andpolicing trends. This kind of oversight mechanism may notlook at the individual misconducts of the police officersbut can make a huge difference in overseeing the policefunction and its output at the community level. Theoversight function performed by a non –police agencyassessing the cost and benefits of policing as a publicservice provides citizens with a very important function ofevaluating the role and specific responsibilities of thepolice and suggest ways of improving them. Over the yearsthe work of the Audit Commission, according to Trevor Jones,has served to ‘increase external scrutiny of policing andencourage forces to adopt standard practices andapproaches’43.

The Role of Audit Commission

The Audit Commission in principally employed to look intothe task of Audit, Assessment, Research and Data Analysisthrough which it is able to oversee the performance andpromote best practices and value for money. The Commissionregularly publishes reports on Police Performance andevaluations . The Police Use of Resource EvaluationPURE ,the Crime and Disorder Reduction Partnership Value forMoney CDRP, The Audit Commission Reports and the InspectionReports are the regularly published reports through thestudies undertaken by the Commission which help inoverseeing the financial aspects of the forces, theirperformance output, their practices and value for moneyservice delivery aspects to the citizens and their overall

42 Audit Commission : Best Foot Forward, March 2001, available online atthe audit commission website; www.audit-commission.gov.uk/communitysafety/ reports43 Jones, opcit, p704.

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assessments44. This role of the Commission not only does animportant work of civilian oversight at the functioning ofthe police but, also helps in providing recommendations andfinding future course of actions.

The Governing Board and the EmployeesThe formal governing board is made up of severalCommissioners and includes a Chairman. Commissioners areappointed by Communities and Local Government (CLG),following consultation with key stakeholders.The Commissioners meet 6 weekly and are responsible for45:

setting values, standards, strategy, and objectives determining budget and determining the functions monitoring the Commission's performance accountability for the Commission's work ensuring that to act within statutory remits

The day-to-day operations of the organization are managed bya team of Managing Directors led by the Chief Executive.There are around 2000 employees working across England andWales who look after the Commission’s work .These employeesare all civilians and do not have any affiliations with thepolice to ensure independence46. They are given initialrelevant training for their jobs. The Training is acontinuous process with the Commission in order to keep theemployees efficient to handle their assignments.

44 Community Safety pages detailing about the audit commission at www.audit-commission.gov.uk/communitysafety45 Ibid

46 Community Safety pages detailing about the audit commission at www.audit-commission.gov.uk/communitysafety/ police use of resources

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The Individual Forms of Accountability: Complaint Mechanism

3.1 The Independent Police Complaints Commission IPCC

The operation of effective complaints system is fundamentalfor survival of accountable and democratic public body. In the case of police where thelegal powers held by the members of the public body areprone to abuse of authority, the independence of thecomplaints mechanisms and their non- police compositionbecomes a very important benchmark in earning public trust.The complaints mechanism against the police in the UK showssigns of a well developed civilian oversight mechanism tohold police services and their individual membersaccountable to law and to the public trust.

A formal system for dealing with complaints against thepolice in England and Wales was introduced by the Police Actof 1964, though it lacked any independent elements in theinvestigation and adjudication of complaints. Theindependent elements were however introduced with thesubsequent legislations which established the PoliceComplaints Board in 1970s and the Police ComplaintsAuthority (PCA) in 1984. Criticized for the lack of trueindependence of the Authority because of the pro-police bentof the investigators who populated the it; PCA was abolishedby the Police Reforms Act 2002, and replaced with theindependent Police Complaints Commission (IPCC)47. Thislegislation was the outcome and influence of an emergingview point which called for an independent body to overseeand investigate police complaints. This was also the resultof the energetic debates in public domain about the role andthe accountability of the police, in the background of both47 Jones, opcit, p 711.

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Lord Scarman's inquiry into the Brixton riots in 1981, andthe racism in police related issues in the Stephen LawrenceInquiry in 1999, which raised question on the policeconduct, and demanded the establishment of an independentbody to oversee the police complaints and misconduct48.

The Independent Police Complaints Commission (IPCC) becameoperational on 1 April 2004. It is a Non-Departmental PublicBody (NDPB), funded by the Home Office, but by law entirelyindependent of the police, interest groups and politicalparties and whose decisions on cases are free fromgovernment involvement. It has a legal duty to oversee thewhole of the police complaints system, created by the PoliceReform Act 200249. The aim of IPCC is to transform the wayin which complaints against the police are handled.

Purpose of the Police Reform Act 2002 and the IPCC

The Commission’s overall purpose under the Police Reform Actis twofold:

(i) to ensure suitable arrangements are in place for dealingwith complaints or allegations of misconduct against anyperson serving with the police service in England and Wales;

(ii) in doing so, to increase public confidence bydemonstrating the independence, accountability and integrityof the complaints system and so contribute to theeffectiveness of the police service as a whole.

In exercising these powers, the Commission is also veryclear that it must not lose sight of the reasons why it wasgiven them.    The police complaints system that it replacedwas not effective in gaining the confidence of complainants,bereaved families or police officers subject to complaint50.

48 Ibid49 Official website of IPCC, http://www.ipcc.gov.uk/index/about_ipcc.htm50 Ibid

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It was perceived to have independence, timeliness,proportionality and transparency.   As the IPCC set up thenew system, it was clear how widely that perception wasshared by the Association of Chief Police Officers, policestaff associations and complainant bodies.

The Values of the IPCC

The IPCC believes and works on the basis of the following values51.

Justice and respect for human rights Use of authority and powers of the IPCC unflinchingly

to help those who suffer injustice because of an abuseof police powers to obtain redress.

Support policing by consent and help to sustainjustice.

Be impartial, timely and fair in all activities. Justice must be sure and proportionate. Discourage a blame culture amongst the police where

even appropriate and carefully managed risks areavoided. The onus is on good intention.

Independence

Demonstrate independence by:

Resolve under pressure. People appointed. The work undertaken. Scrupulously avoiding conflicts of interest. Building an impartial Organizational culture.

Valuing Diversity Openness to the experience, insights and skills of

people of different race, religion, ethnic origin,gender, sexuality, disability and other backgroundsfrom both inside the IPCC and from external partners.

51 Ibid

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Integrity If the IPCC is to hold the police to account then it

must maintain the highest standards itself. Need to act, and be seen to act, with integrity in both

private and professional lives. Act with integrity in public statements, acceptance of

hospitality and gifts, dealings with stakeholders anduse of public funds.

Be honest about mistakes.

Openness Maximum disclosure and regular communications with all

parties during the course of a complaint. The Commission meets in public where possible and

communicates information about its work and performancewidely.

Carefully define where to maintain confidentiality orsecrecy for operational reasons in order to protectindividuals and retain the confidence of otheragencies.

Work with stakeholders to develop policies. Take responsibility for decisions. Make sure that communication is two way between staff

and Commissioners and that they share information andexperiences.

Commissioners accept corporate responsibility for thework of the IPCC.

The Work of IPCC

The Police Reforms Act 2002, sets out the statutory powersand responsibilities of the IPCC, Chief Police Officers andPolice Authorities for the new complaints system. Thisguarantees the independence of the Commission, outlines itsrole as guardian of the police complaints system as a whole,and gives the IPCC a duty to raise public confidence. The

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IPCC has the provisions of independent investigators ,enabling it to oversee police investigations into seriouscomplaints or alternatively investigate them itself. TheIPCC covers all 43 forces in England and Wales, as well asspecial police forces such as the British Transport Police,the Ministry of Defense Police etc. The IPCC requires allpolice forces to refer to it cases which are at particularlevel of severity including all complaints or incidentsinvolving death, serious injuries, assault or corruption52.In addition to this, police forces can voluntarily referother cases to the IPCC, or the IPCC itself can take overthe investigation of specific cases in which there are majorpublic concerns. Formal IPCC action does not require acomplaint to have been made. Its focus is upon policemisconduct and thus it investigates a range of incidentssuch as deaths in custody, police shootings, or serioustraffic accidents involving police vehicles.

Types of Investigations

The Police Reform Act (2002) states (Schedule 3, paragraph15(2) ) that it is the duty of the Commission to determinethe form which the investigation should take when acomplaint or recordable conduct matter is referred to it.Paragraph 15(3) states that in making the determination theCommission shall have regard to (a) the seriousness of thecase and (b) the public interest.After an assessment of eachcase, the IPCC has four options regarding types ofinvestigations53.

Independent Investigations are undertaken by the IPCCstaff into the most serious incidents relating to highlevels of public concern or with significantimplications for the reputation of the police.

Managed Investigations are carried out by the police,but under the direction of the IPCC who set the terms

52 Jones opcit, p711-71253 Jones, opcit, p712; Official website of IPCC, http://www.ipcc.gov.uk/index/about_ipcc/ investigations.htm

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of reference and manage the actual conduct of theinvestigation.

Supervised Investigations are also conducted by thepolice, but with joint agreement of terms of theinvestigation and choice of lead investigator.

Local Investigations are undertaken in cases determined bythe IPCC to be of lesser seriousness or of lower publicconcern, and where the police have the resources andthe expertise to carry out the investigations withoutassistance.

Job roles at the IPCC

The IPCC is run by a Chair, two Deputy Chairs and 11Commissioners, each responsible for specific forces.Operationally  the IPCC is run by a Chief Executive and 9Directors. There are a number of investigating, noninvestigating, expert positions and office support staffpositions within the IPCC. The regional office spread acrossEngland and Wales are operational in their function and haveadequate staff placed there. The vacancy of differentexperts and investigators is filled through open merit andcare is taken to include officials coming from various kindsof professional background so that fresh approaches broughtby them could enrich the work culture and superior integritystandards of the organization. The police officers are nottaken in on secondment basis in order to ensure independenceof the organization.

There are various operational roles across the regions54,including:

Senior Investigator, Deputy Senior Investigator,Investigator

54 Official website of IPCC, http://www.ipcc.gov.uk/index/ jobroles.htm

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Head of Casework, Senior Casework Manager, CaseworkManager

Regional Director, Executive Assistant, PersonalAssistant to Commissioners, Regional Policy Officer,Regional Communications Officer, Business SupportManager/Office Manager

Senior Lawyer (managed by the Directorate of LegalServices)

administrative support positions in Major Incident Rooms and in Investigations

Support

A wide range of advice and support is provided by staff inthe following directorates:

Corporate Services Directorate Customer Services and Communications Directorate Directorate of Legal Services Directorate of Strategy and Business Improvement

The Commission The Commission is the governing board of the IPCC, holdingcollective responsibility for governance of the Commissionincluding oversight of the Executive. As public officeholders, Commissioners oversee and take ultimateresponsibility for IPCC investigations, casework and thepromotion of public confidence in the complaints system(known as Guardianship). The Commissioners in makingdecisions on individual cases act under the delegatedauthority of the Commission. All appointments, which are full-time and non-executive, arefor a five year term and were made through an opencompetition. This is an essential requirement that No memberof the Commission may have served as a police officer.

The ChairThe Chair is appointed by the Crown following recommendationby the Home Secretary. He has responsibility for ensuringthe Commission meets its statutory responsibilities as apublic body and is accountable to the Home Secretary.

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The CommissionersThe Commissioners (including the Deputy Chairs) areappointed by the Home Secretary. The Deputy Chairs havepolicy and casework responsibilities. The Commissioners workfrom regional offices and hold prime responsibility fordesignated police forces and other agencies subject to IPCCoversight. Additionally, many Commissioners act as PolicyChampions on specific issues/topics. Commissioners and allmembers of the commission are bound by a code of conduct.

IPCC Code Of Conduct for EmployeesSource; www.ipcc.gov.uk

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49

January 2004 Dear colleague, CODE OF CONDUCT FOR EMPLOYEES The Commission has now agreed a Code of Conduct for Staff. This is an important document, since it sets out the standards of behaviour the Commission expects of its staff. You should read it and if you do not understand how the Code applies to you, you should ask your line managerto go through it with you. In the future it will be part of the induction process, so all new staff will have it drawn to their attention when they start work. The Code covers: • An introduction setting out how the IPCC’s Values should be translatedinto the standards of behaviour expected from all its staff. It is a requirement for the IPCC to have such a code and in drawing it up we have looked at the standards that apply with the wider public sector andthe police service.

• Diversity and Equal Opportunities – the IPCC attaches high value to diversity and working to eliminate unlawful discrimination. The Code explains what this means for you.

• Identifying and Declaring a Conflict of Interest - it is important to promote public confidence in the IPCC and this could be undermined ifit appeared that any member of staff was able to be influenced inappropriately in the way in which they carried out their duties. This section gives guidance on:

o identifying what may be a conflict of interest for you

o completing the registration form for your personal file

o what to do if you are offered a gift or hospitality

o how what you do outside work could affect your job here

• Security and Confidentiality of Information - the IPCC will collect a great deal of very sensitive information and the Code draws your attention to the responsibility you have to keep this confidential and our policies for Security and Data Protection. It also gives you guidance on what to do if you are contacted by the media.

• Concerns about Improper Conduct - the Code also explains what you should do if you have a concern that illegal or improper activities may be going on.

Complaint ProcedureThe complaints and complaints procedures are clearly laid out so as to avoid any confusions55.

Grounds of Complaints

Conduct of a police officer or member of police staffwhich was felt inappropriate

Present when the alleged inappropriate conduct tookplace, or close enough to see or hear the inappropriateconduct, or have been adversely affected* by theincident

Distressed as a result of a friend or a relative beingtreated badly by the police

Acting on behalf of any of the above, for example amember of an organization who has been given writtenpermission by an individual to make a complaint ontheir behalf.

*Being adversely affected may include distress, inconvenience, loss ordamage, or being put in danger or at risk.  This might apply forexample, to other people present at the incident or to the parent of achild, young person or friend of the person directly affected. It doesnot include someone distressed by watching an incident on television orreading about it in the media.

Common Grounds of Complaints

One can complaint if following is found in an officer’sconduct.

An officer was rude, failed to investigate a crime properlyor caused damage to property.

55 Official website of IPCC, http://www.ipcc.gov.uk/index/about_ipcc/ complaints.

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If the police officer’s behaviour is not in compliance ofthe required standards mentioned below the complaintsmechanism is set forth.

Act with honesty and integrity Treat members of the public and their colleagues with

respect Not abuse the extraordinary powers and authority police

officers are granted Act in a manner that does not discredit or undermine

public confidence in the service

Serious allegations include:

allegations of serious or organized corruption allegations against senior officers allegations involving racism allegations of perverting the course of justice

Complaints about the overall policies and procedures of apolice force, as well as a number of other issues relatingto quality of service or operational decisions do not fallwithin the remit of the IPCC and should be made to the ChiefConstable of the police force concerned or the local policeauthority It might be for example there aren't enough policeassigned to your area, that the police should prioritize theinvestigation of some crimes differently or that some partof how the police work needs to change.

Accessibility of Complaint Procedure

There are many ways complaint could be made. A complaintcould be made directly to the police force concerned,through the IPCC or another advice organization. Whateverthe route, all complaints by law must be forwarded to the‘appropriate authority’ for consideration. Accessibility ofthe IPCC is promoted in order to make the complaint makingsystem more easy to use in order to assist justice delivery.Various options for making a complaint are;

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Complete an online complaint form available on the IPCCWebsite or force or Police Authority Website.

Download a Complaint form or it could be sent by post. Via the IPCC by phone, email, post, fax, etc To any police force by phone, email, post, fax or in

person By contacting any local Citizens Advice Bureau, Youth

Offending Team, Racial Equality Council, ProbationService or Neighbourhood Warden. They can giveinformation about what to do next. A solicitor or MPcan make a complaint on behalf of the victim

IPCC Online help for making a Complaint

What to include in Complaint Additional details WHO? Which police force is your complaint about? WHERE? Where did the incident/s happen that led toyour complaint? WHEN? When did the incident/shappen that led to your complaint? WHAT? Please describe the circumstances that have led to you feeling the police have treated you badly.

Who was involved What was said and done Any other people who

witnessed the incident If there was any damage

or injury Details of any witnesses

We also need your consent forus to pass the details of your complaint to the police force concerned for consideration.

Source IPCC website http://www.ipcc.gov.uk/index/complainants/how_complaint.htm.

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The Civilian Oversight Function and the IPCC’s Guardianship Role

The powers and duties of the Independent Police ComplaintsCommission are very different from those of its predecessorbody, the Police Complaints Authority.   These differencesrelate not just to its investigative and casework functions,which established a new way of handling complaints, but alsoto its wider responsibility to raise public confidence inthe police complaints system as a whole. It is this widerresponsibility to increase public confidence that the IPCCdescribes as its Guardianship role56.

Definition

The IPCC defines its guardianship role as those aspects ofthis responsibility to increase public confidence that donot relate specifically to its own investigative andcasework functions. This has four elements, which are setout in the statutory guidance to the police service:

1. Setting, improving, reviewing, monitoring andinspecting standards for the operation of the policecomplaint system;

2. Promoting confidence in the complaints system as awhole amongst the public, national and regionalstakeholders;

3. Ensuring the accessibility of the complaints system;and

4. Promoting policing excellence by drawing out andfeeding back lessons arising from the IPCC’s work.

Powers

The legislative base for the IPCC’s functions is set out inPart 2 of the Police Reform Act. Those that relate to itsguardianship powers include:

56 Official website of IPCC, http://www.ipcc.gov.uk/index/about_ipcc/ Guardianship.

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1. The IPCC’s call in powers for any allegation of policemisconduct;

2. The ‘inspection’ powers; 3. The ability to produce statutory guidance; 4. The ability to make recommendations and give advice on

police complaints arrangements and also on othermatters of police practice from lessons it learnsduring its work;

5. The obligation to produce annual reports and alsoreports for the Home Secretary, when asked;

6. The ability to write other reports, as it sees fit, forthe purpose of making recommendations, giving adviceand drawing attention to particular issues;

7. The ability to monitor the system by calling forinformation from police authorities and forces;

8. The right of entry onto - and inspections of - policepremises;

9. Appointing organizations as ‘gateways’ for complainantsinto the system.

The Working of Guardianship

The IPCC makes guardianship work in the following ways:

Setting,

improving,

reviewing,

monitoring and

inspecting

standards for the operation of the police complaint system

The Commission has statutory guidance, to the policeservice, for the way that the complaints system operates.The draft guidance went out for consultation in December2004 and was approved by the Home Secretary for publication

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in August 2005.     It sets out the IPCC’s expectations offorces — how the police can make the complaints system workbetter.  A major theme of the guidance is to create a more-timely and proportionate complaints system which givesredress to complainants, where things have gone wrong andfairness for officers and police staff subject to complaint.

Monitoring the success of the new system

The Commission is continuing to monitor the operation of thesystem.   This monitoring is on a continuous basis.  TheIPCC is:

1. Collecting and analyzing complaints data, which isbeing published every year;

2. Commissioners make frequent visits to police forces; 3. Developing relationships with police authorities and an

understanding with the Association of PoliceAuthorities as to what makes for good practice;

4. Making regular contact and discussions with otherstakeholders a key role for Commissioners;

5. Analyzing information and data arising from the appealsprocess and the oversight of cases.

The IPCC is conscious of the need not to add to theregulatory or bureaucratic burdens on the police serviceunnecessarily. In all of these elements efforts are made tomake existing processes better coordinated, moreproportionate and more sharply outcome focused.

Commissioners work with their forces to review progress, identify and spread best practice, make appropriate recommendations for any necessary changes and monitor the impact of their implementation. This process is carried out in collaboration with HMIC and police authorities.

Statutory inspections

The IPCC has a statutory inspection role.   The Commissionhas conjunction with Her Majesty's Inspectorate of

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Constabulary (HMIC) and consults the Association of ChiefPolice Officers (ACPO) and other stakeholders.   The role isbased on the themes set out in the statutory guidance:building confidence of the public and of police officers /staff; proportionality and timeliness; learning frominvestigations; feeding back complainants’ experience intooperational policing; and opportunities to put good serviceat the heart of the police complaints system.

IPCC Training Policy

The IPCC relies on an efficient and knowledgeable workforcein order to meet its professional demands and stakeholderexpectations. For this goal Learning and Development aregiven highest priority through a clearly defined policy andpractice57. The greatest emphasis is on the core skillstraining for the new staff joining the organization. Sinceits inception the IPCC organizes an intensive investigationprogramme as its core skill training at the induction level.Casework staff also undergoes a considerable amount oftraining to be efficient at the core skills required in theorganization. Apart from the core skills training, morespecialized trainings are needed for advanced roles andrequirements. For this purpose the line managers and teamleaders are required to assess continuously the trainingneeds of the staff at various positions and then in mutuallyagreed training plans the staff is given advanced training.The staff is also expected to undergo certain nationallyrecognized courses on important policy and ethics issueslike race relations and equal opportunities. The Knowledgecomponents related to latest legal documents and home officedirectives are also required to be incorporated incontinuous learning and development programme of theorganization.

Training Delivery 57 IPCC Learning and Development Policy, available online-( ipcc learning_policy.2008Pdf) , at www.ipcc.gov.uk.

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Managers are required to use a wide range of delivery types.Training coursesmay be appropriate but often coaching, on-the-job training,stakeholder visits, projectwork etc. provide more effective ways of training anddeveloping staff. These training methodologies arefrequently used.

Objectives of Learning and Development

The principal objectives of Training and Development withinthe IPCC are

Support the Organization in achieving the goals Support employee skill development to increase their

effectiveness Support the development of the employees to help their

progression in the organization.

Learning and Development Policy goals

Equality of opportunity in all aspects of theiremployment

An induction programme in their JOBS, TEAMS and theORGANIZATION.

An understanding of the direction and objectives of theOrganization

Clear and measurable objectives for their performanceat work

Twice annual review of their performance and TrainingNeeds

Manager who is committed to their staff development.

IPCCThe identifiedLearning Needs

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The following represent some of the main types of training need that have been identified:• Service/directorate specific knowledge, e.g. changes in service practice, criteria, continuingprofessional development, etc., pluso Stakeholder awareness, e.g. knowledge of gateways, advice and support groups, local andregional communities, the legal system, lobby groups, policeand home office initiativeso Delivering improvement, e.g. identifying and communicatinglessons learnt, influencinginstitutional practice.• Personal development, e.g. interpersonal skills, individual IT skills, further/higher education• Corporate initiatives, e.g. diversity awareness, health and safety, management development• Induction training.Based on: IPCC Learning and Development Policy, available online-( ipcc learning_policy.2008Pdf) , at www.ipcc.gov.uk.

Promoting confidence in the complaints system as a whole

Where the IPCC thinks it is desirable, in the interests ofpublic confidence, it has started to publish detailedreports about outcomes of individual cases.    It has alsolaunched a research programme, and is making recommendationsarising from the outcome of cases. Commissioners are thepublic face of the IPCC in their region.  They areresponsible for promoting the complaints system tostakeholders and the media in their regions.  Commissionersmaintain regular personal contact with key stakeholders,such as complainant representative bodies, policestakeholders, local politicians and relevant statutorybodies.

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The IPCC may request thematic referrals in order to raisethe confidence of specific groups.  It could also enable theIPCC to monitor more closely the nature of complaintsarising in a specific area of policing or with a particularforce.

Forces have already used the opportunity to make voluntaryreferrals of individual cases, where external andindependent oversight may help underpin public confidence inthe service or the complaints system, even though theincident falls outside the mandatory referral criteria.For instance the IPCC independently investigated a stop andsearch incident in Milton Keynes at the request of both thepolice service and local organizations.   It also oversawThames Valley Police’s review of how they responded to afatal firearms incident58.

Following national media publicity, surrounding non-paymentby police vehicles caught speeding on roadside cameras, theIPCC asked Derbyshire Constabulary to undertake a fullreview of all the activations in the period. The review ledto 10 recommendations being made.  These included remindingall staff about procedures relating to camera activation andrenewed guidance of their personal responsibilities relatingto driving offences.  Amendments to police vehicles toensure blue lights are clearly identifiable on film, andprior approval from a supervisor for driving at speed fortraining purposes.

It has also started its first inquiry that not onlyinvestigates a police force but also the actions ofambulance service personnel.  The IPCC can, when conductingan inquiry under its criminal investigatory powers,scrutinize non-police personnel where this is essential tocompleting a satisfactory inquiry. The IPCC has producedbrochures on the complaints system not only for complainantsbut also for police staff and officers.  Commissioners are

58 ibid

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also promoting confidence in the increased use of localresolution to resolve complaints in a more informal way.

Ensuring the accessibility of the complaints system- Some Examples

Knowing how to complain and what will happen about acomplaint are essential to public confidence.   At anational and regional level, Commissioners ensure the publiccan access the complaints system, by identifyingorganizations that can be Complaint AccessPoints.   Forinstance Cumbria Constabulary arranged that Cumbria CountyCouncil libraries, even the mobile ones, would act ascomplaints access points for people in the Lake District andsurrounding area.  The Commission has noted that policecomplaints have increased since the IPCC came intooperation59.    While the reasons are yet to be confirmed byresearch the Commission regards a willingness to complain asan indicator of public confidence, as well as of publicsatisfaction levels. The recent IPCC confidence surveyfound, for example, that 65% of people said they would bemore willing to make complaints about the police, iforganisations such as the Citizens Advice Bureau could helpand support them60.   The Commission seeks to encouragepeople to have the confidence to complain, as well as toencourage them to work with the police service to resolvetheir complaints.

Feedback

Promoting higher standards in policing by drawing out andfeeding back the experiences, arising from the IPCC’s work,is the aspect of the guardianship function that has provokedmost discussion with the police service.    The IPCCstresses to learn from experience than always focusing onindividual blame.    59 ibid60 ibid

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This is a new, formal role for a police complaints body(Section 1O(1)(e) of the Police Reform Act that gives theIPCC this power. The provision extends the function of theIPCC into making recommendations and giving advice on policepractice in relation to any other matters which theCommission comes across.  This can be as a result ofcarrying out its other functions, including those arisingfrom individual complaints. The IPCC therefore promotes thelessons identified from its experience of investigations andappeals61.   The aim is to contribute to a culture ofcontinuous improvement and excellence in policing.   This isbetter than focusing only on individual blame andmisconduct, arising from adverse incidents that are viewedin isolation.  

A formal committee for undertaking this work has beenestablished.   Which concentrates on making;

recommendations for changes to national practice andpolicy;

precautionary reporting (concerning force-specificrecommendations; where there could nonetheless belearning opportunities for other forces managingsimilar situations;

good practice reporting where procedures and practicehave worked well; and

suggestions for future IPCC research and analysis.

The positions it takes on police policy matters is evidencebased. In certain areas of policing, single cases can have apowerful illustrative effect and wherever appropriate theIPCC seeks to disseminate the important lessons through allappropriate channels. The Commission also helped to deliverthe ACPO/Centrex/NPIA guidance on the safer handling anddetention of persons in police custody.   It is also afounder partner of the cross-departmental Forum forPreventing Deaths in Custody62.  As the Commission developsits guardianship role, the culture of police complaints61 ibid62 Ibid; also at the NPIA website.

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should move away from being totally dominated by itscriminal and disciplinary functions to one of continuousimprovement.   Such a cultural change would be in line withlong-established practice in the commercial sector.   Itstresses working to increase police and public confidence inthe complaints system.  In turn, this should raise levels ofpublic confidence in policing generally - widely seen as oneof the keys to gaining co-operation in reducing crime andanti-social behaviour.  

The Public Confidence in the Complaint System

Brief of the outcomes of surveys conducted by IPCC to assessthe public confidence.

In order to strengthen the civilian oversight mechanisms andto assess its responsiveness towards earning public truststhe IPCC has been seriously self evaluating its role inorder to find future directions. In order to measure trendsin public confidence concerning the complaints system wesurvey a representative samples of the general population.The survey asks about:

contact with the police willingness to complain barriers against complaining ways in which members of the public may wish to

complain awareness of the IPCC.

The surveys usually question approximately 4,000 people - anationally representative sample of adults in England andWales, plus an ethnic minority booster sample of 1,200people. The surveys have found that there is a general highwillingness to complain and high levels of awareness ofIPCC. However, certain key groups have been identified asbeing less willing to complain, more skeptical of thecomplaints system or more disinclined to use it. Thisincludes those with recent negative contact with the police,ethnic minorities, people from lower socio-economic groups

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and young people. Surveys have been conducted in the year2004 and 2007 and from then on yearly surveys are proposed.Independent agencies are hired to conduct these surveys63.Inaddition to the groups identified by the survey, the agencyalso included groups who have traditionally had lower levelsof trust and confidence in the police but were not able tobe included in the survey, such as gay and lesbian people,gypsy/traveler groups and people for whom English was nottheir first language.  

The study found that perceptions of the police heavilyinfluenced perceptions of the complaints procedure ingeneral, and the likelihood of making a complaint inparticular. The groups that tended to have more frequent andadversarial contact with the police tended to have thelowest levels of trust, and as such were the least willingto complain about inappropriate behaviour. Conversely thosethat had the least amount of contact had much higherexpectations of police behaviour and were therefore morewilling to complain about a range of potential misconduct.This research has helped the IPCC to shape its communicationstrategies and identify where efforts should be focused toimprove confidence in, and awareness of the complaintssystem.

3.2 The Police Complaints Commissioner for Scotland ( PCCS)

The role of the Police Complaints Commissioner for Scotlandwas established by the Scottish Parliament in 2006, by thePolice, Public Order and Criminal Justice (Scotland) Act2006, to consider and review the way police authorities,police forces and policing agencies handle complaints fromthe public. This came into force from April 1, 2007, beforewhich the Her Majesty’s Inspectorate of Constabulary forScotland (HMICS) was responsible for dealing with complaintsagainst the police. Through the Act of 2006 this service is

63 Surveys available at IPCC website, www.ipcc.gov.uk/index/surveys

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made free and independent.  The main work of the IPCCS is toreview the investigation of the complaints thereby keepingan oversight of how police deals with public complaintsagainst its members64. Unlike the IPCC in England and Walesthe IPCCS does not directly investigate. The Commissioner’srole is to review the handling of complaints fairly, lookingat both sides of what has happened and looking at thefacts.  It is an independent organization, not connected tothe police. The emphasis is to review complaints fairly, andas quickly as possible. After receiving the complaint it isdecided by the IPCCS whether it is in its jurisdiction toreview the complaint. If it is decided to review thecomplaint then the IPCCS would require the concerned PoliceService or the Police Authority to furnish relevant anddesired information. The status of the review iscommunicated to the complainants every 28 days. In theinterest of openness the report is suitably anonymised andpublished on the IPCCS website for public use.

3.3 Police Ombudsman for Northern Ireland

The aim of the Police Ombudsman is to provide a complaintssystem that is independent, impartial and effective. It isensured that everyone in Northern Ireland receives theirentitlement to the best possible policing service. It wasestablished under the Police (Northern Ireland) Act 1998 and2000.The Police Ombudsman's Vision is to strive forexcellence in providing an independent impartial policecomplaints service in which the public and the police haveconfidence. The Police Ombudsman lists its mission statementas65;

64 The HMIC for Scotland at the Scottish Government website, www.scotland.gov.uk/Topics/Justice/public-safety/Police/HMICS65 Official website of Police Ombudusman of Northern Ireland,www.policeomdudsman.org/aboutus

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To ensure maximum awareness of the Police Ombudsmancomplaints service and that it is fully accessible andresponsive to the community.

To provide a robust and effective investigation processleading to evidence based recommendations.

To analyse and research the outcomes of complaints soas to inform and improve the policy and practice ofpolicing

The Salient work undertaken by the Ombudsman are- Investigate public complaints against the police. The

Ombudsman investigate a matter if the Secretary ofState, the Chief Constable or the Policing Board refercomplaints or any other related matter. The Ombudsman’sofficial policy makes it clear that they are entirelyindependent of the police.

The investigation of complaints about police generallyconcern police behavior, improper conduct and breach ofofficial code of conduct in laying down their duties.

Monitor complaints against the police and check whetherthe complaints follow any trends or patterns.

The Police Ombudsman reports

The Police Ombudsman produces an Annual Report which refers to the complaints he has dealt with during the previous year.

The Police Ombudsman can write a report on anything he thinks the Secretary of State should know about, in thepublic interest.

The Police Ombudsman will carry out any necessary research or report on any matter as asked by the Secretary of State.

The Police Ombudsman will carry out any necessary research or report on any matter as asked by the Secretary of State.

The Police Ombudsman will put before Parliament and publish any report to the Secretary of State.

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The Police Ombudsman will send a copy of his reports tothe Chief Constable and to the Policing Board.

The Police Ombudsman will supply the Policing Board with any statistics he believes it should receive.

Source :Official website of Police Ombudusman of Northern Ireland, www.policeomdudsman.org/abou, tus

3.4 Legal Regulation of Policing

The relationship between the law and policing is absolutelycentral to the idea of the democratic accountability ofpolicing. The democratic accountability discussed above alsorests entirely on the importance of both the statute andcase law in shaping the broader system of policegovernance66. Since the different mechanisms of policeaccountability are interlinked, the role of accountabilityto the law becomes central in discussing any form individualaccountability. Although the legal regulation may not form abasis of discussion on Civilian oversight mechanism but itcertainly forms an important correlated variable inunderstanding all kinds of oversight mechanisms related tothe police. Civilians may resort to the power of law ingetting their wrongs addressed and therefore keep the policeabuse of power under check. In the United Kingdom, we candiscuss the legal regulation of policing through two aspectsof this accountability67;

-First concerns accountability of policing via civillitigation about a particular incident

-The second concerns legal regulation of police powers.

Civil Litigation

66 Jones, opcit, p712-713.67 Ibid.

66

By a rights aware citizen the civil law is used as a analter native to the police complaints system in cases ofmisconduct or lack of particular and desired action by thepolice officer concerned. Civil Litigation may take a numberof forms with regard to individual cases, the key ones beingactions against police officers for abuse of their powersinvolving for instance assault, false imprisonment,negligence, malicious prosecution etc. This may also involvebreaches of other legal codes relating to antidiscrimination, health and safety etc.

Regulation of Police Powers

The police are given formidable range of legal powers overand above those held by any citizens, in order to enablethem to enforce law and maintain order. The main piece oflegislation which sets out the various police powers and theway in which these powers are to be exercised are regulatedare dealt in the Police and Criminal Evidence Act 1984,which supplements seven codes of practices. This Act has anenormous symbolic and practical importance in statutorycodification and rationalization of police powers. Itsprincipal objectives were the fundamental balance betweenthe rights of the individual in relation to the security ofthe community68. The official claim regarding PACE is thatit promotes, “objective of encouraging effective policingwith the consent and cooperation of society at large”69.TheAct is now supplemented with seven codes of practices whichregulate police powers. These include;

Police powers of Stop and Search

Entry and Search of Premises

Seizure of Evidence

Arrest

68 Reiner, opcit, p 176.69 Home Office , Working Paper on Criminal Justice, 1984,p15.

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Detention, treatment and questioning of suspects

Interviewing of suspects ( visual and audio)

Identification procedures

Although technically speaking these codes are not laws butthey play a central role in the individual legal regulationof police powers. This is because the courts have undersection 78 of the PACE the discretion to exclude evidencewhich has been obtained when the codes of practice have beenbroken by the police officers70. Moreover the codes areunderpinned by section 67 of the PACE , which made failureto comply with them a disciplinary offence, and made abreach admissible as evidence in criminal or civilproceedings if thought relevant by a judge71.

Strengthening Oversight Mechanisms

The legal regulations strengthen the overall mechanisms ofthe police accountability as the civil litigation performsan important role in acting as a deterrent to improperfuture actions on the part of police officials72. TheCivilian Oversight mechanisms also gain through these legalregulations as they enrich the concept of limitation of thepowers of the police and form a reference point from whichthe citizens, the civilian oversight bodies and the civilianexpert analysts can assess the police performance both atthe individual level of a police officer or a police relatedincident and also in context of the overall contents andcontexts of the service delivery at macro level of a BasicCommand Unit or a police force at large. There are a numberof studies done by the HMIC, the Audit Commission and theHome Office among others which have critically analyzedincidents and trends across police forces relating to thepolice performance and compliance with legal regulations.The Home Office, the police authorities under the tripartite70 Jones, opcit, p714.71 Reiner, opcit, p177.72 Ibid.

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structure utilizes these trends and related recommendationsin overseeing police performance and service delivery.

References

Books, periodicals, reports and documents

Audit Commission : Best Foot Forward, March 2001, available online at the audit commission website; www.audit-commission.gov.uk/communitysafety/ reports

Civilian Oversight of the Police in Democratic Societies, PDF available at www.vera.org/publications_pdf/179_325pdf

Criminal Justice System in Northern Ireland, Official website, web pages ‘ Police Service of Northern Ireland’ at http://www.cjsni.gov.uk/index.cfm/area/information/page/PSNI

Commonwealth Human Rights Initiative(CHRI); Police Accountability: Too Urgent to Ignore, available at www.humanrightsinitiative.org.

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Dixon, D, Law and Policing, Oxford Clarendon Press 1997

Falangan, R , The Review of Policing: Final Report, London :Her Majesty’s Inspectorate of Constabulary 2008.

Goldsmith A and LewisC (ed), Civilian Oversight of Policin: Governance, Democracy and Human Rights, Willian Portland, OR, 2000.

Her Majesty’s Inspectorate of Constabulary( HMIC) 2000, Modernizing the Police Service. London HMIC.

Home Office ; Police Performance Assessment 2006/7. London ,Home Office 2007.

Home Office : The National Policing Plan 2003-2006, The National Policing Plan 2004-2005; 2006-2007.

Home Office (2003) Policing: Building Safer Communities Together, HMSO,Community Safety pages detailing about the audit commission at www.audit-commission.gov.uk/communitysafety

Home Office , Working Paper on Criminal Justice, 1984

IPCC Learning and Development Policy, available online-( ipcc learning_policy.2008Pdf) , at www.ipcc.gov.uk.

Induction Training for Police Authorities -Model Standard 2008-Guidance from the Association of Police Authorities’, May 2008, available online at www.apa.police.uk.

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Johnston, L ; Policing Britain ; Risk, Security and Governance, London: Longman 2000.

Jones Trevor, The Accountability of the Policing in Tim Newburn (ed) Handbook of Policing, Willan Publishing London,2008.

Jones, T and Newburn, T,(eds) The transformation of Policing? Understanding current trends in policing systems’,British Journal of Criminology, 42(1):129-146.

Jones, T and Newburn, T,(eds), Plural Policing: A Comparative Perspective, London Routledge 2006.

Loveday, B. and Reid, A. (2003), Going Local: Who should runBritain's police? London: Policy Exchange.

Mawby Rob and Alan Wright, The Police Organization, in Tim Newburn (ed) Handbook of Policing, Willan Publishing London,2008.

McLaughlin Eugene and John Munice, Controlling Crime, Sage Publications London 2001, p 92; ‘Police Reform’ pages on theOfficial website of Home Office http://police.homeoffice.gov.uk/police-reform

McLaughlin, E and J, Munice (eds), The Sage Dictionary oaf Criminology (2 nd edn) London : Sage 2005.

MacLaughlin, E, The New Policing. London, Sage 2007.

Myhill Andy et al, The Role of Police Authorities in Public Engagement, Home Office Online Report 37/03

Newburn, Tim (ed) Handbook of Policing, Willan Publishing London, 2008

71

Newburn, Tim and P.Neyroud (eds) Dictionary of Policing, Cullompton: Willan 2008.

Newburn, T and Reiner R, Policing and the Police in Maguire M, Morgan R and Reiner R (eds), The Oxford Handbook of Criminology (4th edition), Oxford, Oxford University Press, 2007

Patten, C, A New Begning for Policing in Northern Ireland : The Report of the Independent Commission on Policing for Northern Ireland. Belfast HSMO 1999.

Reiner, Robert. The Politics of the Police, Oxford University Press, Oxford 2000

‘The History of Her Majesty’s Inspectorate of Constabulary HMIC 2007, available online HMIC website Pdf,

The Role of Her Majesty’s Chief Inspectorate of Constabulary- Delivering Efficiency Improving Performance’ ,Home Office March 2008, available online www.homeoffice-police/HMIC Pdf.

Important Websites and Internet Resources

• Association of Police Authorities (APA) http://www.apa.police.uk/APA/About+the+APA/

• Association of Chief Police Officers (ACPO) http://www.acpo.police.uk/about.html

• Home Office http://police.homeoffice.gov.uk/about-us/

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• Her Majesty’s Inspectorate of Constabulary (HMIC)http://inspectorates.homeoffice.gov.uk/hmic/about/

• National Policing Improvement Agency (NPIA) http://www.npia.police.uk/en/5151.htm

• Communities and Local Government (CLG) http://www.communities.gov.uk/corporate/about/

• Audit Commission (AC) http://www.audit-commission.gov.uk/

• Standards Board http://www.standardsboard.gov.uk/Aboutus/AbouttheStandardsBoard/

• Independent Police Complaints Commission (IPCC) http://www.ipcc.gov.uk/index/about_ipcc.htm

• Equalities and Human Rights Commissionhttp://www.equalityhumanrights.com/en/aboutus/pages/aboutus.aspx

• Local Government Ombudsman http://www.lgo.org.uk

• Police Federation http://www.polfed.org/

• Superintendents’ Association http://www.policesupers.com/

• Gay Police Association (GPA) http://www.gay.police.uk/contact.html

• National Black Police Association (NBPA) http://www.nationalbpa.com/

• British Association for Women in Policing (BAWP)

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http://www.bawp.org/

• National Association of Muslim Police (NAMP) http://www.namp-uk.com/

• National Disabled Police Association (NDPA) http://www.ndpa.info/

• Standards Board for England http://www.standardsboard.co.uk/

• Ombudsman in Wales http://www.ombudsman-wales.org

The Northern Ireland Policing Board available at www.nipolicingboard.org.uk/index/the board.htm

Scottish Police Services Authority available at www.spsapolice.uk/home

Scottish Government website, www.scotland.gov.uk/Topics/Justice/Police/local

The HMIC for Scotland at the Scottish Government website,

www.scotland.gov.uk/Topics/Justice/public-safety/Police/HMICS

Police Ombudsman of Northern Ireland, www.policeomdudsman.org/about

Police Complaints Commissioner for Scotland, www.pccscotland.org.

CHRI: Commonwealth Human Rights Initiative www.humanrightsinitiative.org

Police Reforms website

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www.policereform.com/Files/MediaFiles/Policing

Relevant Statutes and Laws Police Act 1964

Crime & Disorder Act 1998 as amended by the Police & Justice

Act 2006

Crime & Disorder Act 1998

http://www.opsi.gov.uk/acts/acts1998/19980037.htm

Police & Justice Act 2006

http://www.opsi.gov.uk/acts/acts2006/20060048.htm

Single code of conduct

http://www.opsi.gov.uk/si/si2007/uksi_20071159_en_1

Reform Act 2002 and Police & Justice Act 2006

Police Act 1996

http://www.opsi.gov.uk/acts/acts1996/1996016.htm

Police Reform Act 2002

http://www.opsi.gov.uk/acts/acts2002/20020030.htm

Police & Justice Act 2006

http://www.opsi.gov.uk/acts/acts2006/20060048.htm

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• Equal Pay Act 1970 http://opsi.gov.uk/acts/acts1970/pdf/ukpga_19700041_en.pdf• Sex Discrimination Act 1975 http://www.opsi.gov.uk/acts/acts1975/pdf/ukpga_19750065_en.pdfand Sex Discrimination Act 1986 http://www.opsi.gov.uk/acts/acts1986/pdf/ukpga_19860059_en.pdfamended by the Equality Act 2006 http://www.opsi.gov.uk/acts/acts2006/ukpga_20060003_en_1Duty – Gender Equality Duty (GES) implemented April 2007• Race Relations Act 1965 and1968, current legislation 1976 (amended in 2000)http://www.opsi.gov.uk/acts/acts2000/ukpga_20000034_en_1Duty – Race Equality Duty (RES) implemented May 2002• Disability Discrimination Act 1995 http://www.opsi.gov.uk/acts/acts1995/Ukpga_19950050_en_1amended in 2005 http://www.opsi.gov.uk/acts/acts2005/ukpga_20050013_en_1Duty – Disability Equality Duty (DES) implemented December 2006• Employment Rights Act 1996 http://www.opsi.gov.uk/acts/acts1996/Ukpga_19960018_en_1• Sex Discrimination (Gender Reassignment) 1999 (attached tothe Sex Discrimination Act 1975)http://www.opsi.gov.uk/si/si1999/19991102.htm• Part Time Workers (Less Favourable Treatment) Regulations 2000http://www.opsi.gov.uk/si/si2000/20001551.htm• Employment Act 2002 http://www.opsi.gov.uk/acts/acts2002/ukpga_20020022_en_1• Employment Equality (Sexual Orientation) Regulations 1 Dec2003http://www.opsi.gov.uk/si/si2003/uksi_20032827_en.pdf• Employment Equality (Religion and Belief) Regulations 2 Dec 2003http://www.opsi.gov.uk/si/si2003/uksi_20032828_en.pdf• Employment Equality (Age) Regulations 2006 Police Act 1996as amended by Police

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