The Police (Conduct) (Scotland) Regulations 1996

Preliminary investigation procedure

5.—(1) The assistant chief constable shall prepare and maintain procedures in order to secure that where any report, allegation or complaint is received from which it may reasonably be inferred that an act or omission, or an alleged act or omission, of a constable of the police force concerned amounts, or may amount, to misconduct–

(a) the report, allegation or complaint is in the first instance considered by another constable of the same force of an appropriate rank; and

(b) any such constable who is authorised to consider the report, allegation, or complaint is also authorised to arrange for the matter–

(i) if in the opinion of that constable it involves an allegation of misconduct of a minor or trivial nature, to be dealt with in accordance with the procedures; or

(ii) in any other case, to be referred to the assistant chief constable.

(2) The assistant chief constable shall ensure that the procedures for dealing with an allegation of misconduct of a minor or trivial nature make provision for–

(a) the constable to be given an opportunity to comment upon the report, allegation or complaint; and

(b) in any case where it is considered that in view of the circumstances it is appropriate that the constable be given a warning–

(i) the warning to be given by a constable of the same force of a rank above that of the constable; and

(ii) the person giving the warning to arrange for a record of it to be kept.

(3) Where a report, allegation or complaint has been referred to the assistant chief constable in terms of paragraph (1)(b)(ii) and he is satisfied there is sufficient evidence of misconduct of a minor or trivial nature on the part of the constable–

(a) he may arrange for the constable to be given an opportunity to comment upon a statement of the report, allegation or complaint and, where appropriate, thereafter to be given a warning (whether orally or in writing) by a constable of the same force of a rank above that of the constable; and

(b) where a warning is given, the person giving the warning may arrange for a record of it to be kept.

(4) In relation to any report, allegation or complaint which has been referred to the assistant chief constable in terms of paragraph (1)(b)(ii), the assistant chief constable shall, unless he–

(a) has dealt with the report, allegation or complaint in terms of paragraph (3); or

(b) decides to deal with the report, allegation or complaint in terms of regulation 7,

appoint an investigating officer who shall cause the matter to be investigated.

(5) The investigating officer shall be–

(a) a constable of the police force concerned (other than its chief constable) or, if the chief constable of some other force is requested by the assistant chief constable and agrees to provide an investigating officer, a constable of that other force;

(b) of at least the rank of inspector; and

(c) of at least the rank of the constable subject to investigation.

(6) The assistant chief constable shall not appoint himself as the investigating officer nor shall he appoint as the investigating officer any constable–

(a) who it appears to him may be a material witness or is interested in the matter otherwise than as a constable; or

(b) of the police force concerned serving in the same sub-division or branch as the constable.

(7) Subject to regulation 7, as soon as practicable after being appointed, the investigating officer shall–

(a) cause to be prepared an investigation form–

(i) containing a statement of the report, allegation or complaint;

(ii) informing the constable that although he is not obliged to do so following receipt of the form, he may make a written or oral statement concerning the matter to the investigating officer and provide the names and addresses of any persons whom he may wish to give evidence; and

(iii) warning him that such a statement may be used in evidence in any subsequent misconduct proceedings; and

(b) send a copy of the investigation form to the constable.

(8) Paragraph (7)(a)(ii) is without prejudice to any obligation on the constable to make a written or oral statement in the ordinary course of duty.