Appendix 1: Our expectations
Response of the New Zealand Police to the Commission of Inquiry into Police Conduct: Second monitoring report.
The following tables list the workstreams of the New Zealand Police (the Police) for responding to the recommendations made by the Commission of Inquiry into Police Conduct (the Commission). The Police arranged the Commission’s recommendations into these workstreams based on their analysis of the interdependencies between the actions that would be needed to give effect to the recommendations.
The tables set out the purpose of each workstream and recommendation, and our expectations for each. We agreed the purpose and expectations with the Police. The purpose and expectations formed the audit criteria that we used to monitor the Police’s progress.
Workstream: Adult sexual assault investigations
| Purpose | Our expectations |
|---|---|
| Workstream: Processes are in place to encourage supportive and thorough investigation of complaints of adult sexual assault. | Police have made improvements in the calibre of their investigations into adult sexual assault complaints. The improvements made by Police have given particular attention to the proliferation of policies and procedures, and also the issues around effective implementation of the Adult Sexual Assault Investigation Policy. |
| R9: Training and resources necessary to effectively implement the Police’s Adult Sexual Assault Investigation Policy are in place. | Police have identified the characteristics of effective implementation of the Adult Sexual Assault Investigation Policy. Using the characteristics of effective implementation, the Police have tested whether the Adult Sexual Assault Investigation Policy is being effectively implemented. Police have determined any gaps or short-falls in training and resources necessary to effectively implement the Adult Sexual Assault Investigation Policy. The Police have addressed any gaps or short-falls in training and resources that they have identified. |
| R10: The Police’s corporate Adult Sexual Assault Investigation Policy is easy to access and consistent across the relevant Police corporate documents. | The New Zealand Police Manual of Best Practice includes the Adult Sexual Assault Investigation Policy. The New Zealand Police Manual of Best Practice is readily available to staff , where appropriate. Information in the manual is accessible and usable. |
| R15: Communication with complainants is improved. | The Police have assessed their process for communicating with complainants about the investigation of their complaint. Police have acted on the findings of their assessment of the process. The Police’s complaints process ensures that complainants and support people are given:
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| R18: A consistent level of investigation service is provided to adult sexual assault complainants. The skills of officers involved in adult sexual assault investigations continue to increase. |
Police periodically measure or assess adult sexual assault complainants’ experiences of the Police’s service. The Police act upon the findings of this measurement or assessment. Training for the Adult Sexual Assault Investigation Policy exists. The training is fully implemented throughout the country. A programme or plan for ongoing skill improvement, for officers involved in adult sexual assault investigations, exists and is followed. |
| R19: There is more consistent Government funding for support groups involved in assisting the investigation of adult sexual assault complaints than at the time of publication of the Commission of Inquiry. | Police have identified the support groups involved in assisting the investigation of adult sexual assault complaints. Police have identified the relevant Government agencies to initiate co-operative action to seek more consistent Government funding for support groups involved in assisting the investigation of adult sexual assault complaints. More consistent funding is in place. |
Workstream: Compliance
| Purpose | Our expectations |
|---|---|
| Workstream: Police adhere to and comply with their standards and procedures. | There is more consistency in police standards and procedures. |
| R11: The Police have developed a system that confirms whether officers have read and understood policies and instructions relating to their duties, including when there are changes to those policies or instructions. | A system exists. The system includes the functionality to confirm whether officers have read and understood policies and instructions relating to their duties. Information from the system is used by management and/or supervisory staff where appropriate to inform communication with, and training of, staff. The system is widely used by Police staff to record that they have read and understood policies and instructions relating to their duties. |
| R13: All Police staff are aware of what training is mandatory regardless of where they work. Management and/or supervisory staff at the district level have clarity about which training for their staff is within the discretion of their district. |
A review of training has been conducted. An outcome of the review has been the identification of what training is mandatory at a national level and what should be left to the discretion of districts. This outcome has been communicated to relevant/appropriate staff. Staff are aware of what training is mandatory at a national level and what should be left to the discretion of districts. |
| R41: There is no room for individual interpretation in the Police’s directions on the inappropriate use of police email and the Internet. | Directions exist on the inappropriate use of police email and the Internet. The directions contain no room for individual interpretation. Police staff are aware of and understand the directions. Identified cases of behaviour inconsistent with the directions are clear and do not |
| R42: All staff understand acceptable use policies for the Internet and email and follow the policies. | The Police have introduced a requirement for staff to sign a document to confirm that they have read and understood the acceptable use policies. Staff have signed the document. Acceptable use policies for the Internet and email are fully explained to all Police recruits during their training. Compliance with acceptable use policies is monitored. There is appropriate follow-up where policies are not followed. |
| R43: All police officers are informed of, have read, and understand changes to Police computer use policies. | The Police have introduced a requirement for police officers to acknowledge that they have read and understood changes to Police computer use policies. The Police have a record of this acknowledgement. The requirement is fully explained to all Police recruits during their training. |
Workstream: Complaints
| Purpose | Our expectations |
|---|---|
| Workstream: The public have knowledge of and confidence in the Police’s complaints process. | The Police have taken active steps to facilitate complainants coming forward, especially when an alleged offender is a member of the Police. Complaints against the Police are investigated fairly, thoroughly and impartially. Note: It is important not to draw conclusions from the numbers of complaints involving police officers without recognising that policing by nature can generate large numbers of complaints. |
| R5: The Commissioner of Police is notified when there is a serious complaint made against a police officer. | The Police have developed a policy about notifying the Commissioner of Police when there is a serious complaint made against a police officer. The policy defines a serious complaint. The policy specifies who is to notify the police commissioner and within what time frames. Staff are aware of and follow the policy. Since the policy was developed, the Commissioner has been notified of all serious complaints made against a police officer. |
| R6: The public have relative ease of access to information on the complaints process and on their rights. | Information on the complaints process is widely available to the public through multiple communication channels. Note: The Police see this as part of the wider objective of the public having easier access to Police services generally. |
| R7: Determine public awareness of processes for making a complaint against a police member or associate. | The Police periodically assess the public’s awareness of the complaint processes. Public awareness of the processes is increasing. |
| R14: Standards of complaint investigation are consistent throughout the country. | A practice exists for reminding investigating officers of the standards for complaint investigation. This practice is applied consistently throughout the country. The standards of complaint investigation are applied consistently throughout the country. |
| R16: There is a high degree of transparency and consistency in investigation of a complaint involving a police member or associate. | An explicit policy exists on the need for independence in the investigation of a complaint involving a police member or associate. In respect of the handling of conflicts of interest, among other things, the policy:
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| R20: Practices in investigating complaints against a police member or associate comply with relevant standards and procedures, and are consistent throughout the country. | Systems are in place that:
The systems produce consistent and reliable results. Police officers know about and understand the relevant standards and procedures. Note: The Police have indicated that this purpose should apply to all investigations, not just those for sexual assault complaints. |
| R57: Regularly obtain community comment and feedback on police service delivery and policing issues in each police district and where relevant, incorporate the information into the police early warning system. | Within each police district, groups of community representatives, or equivalent, meet regularly to provide comment and feedback on police service delivery and policing issues throughout the district. Within each police district, the police regularly receive comment and feedback from the community on police service delivery and policing issues throughout the district. The Police record the comment and feedback received from the community in each district. Where relevant, the Police incorporate information received from the community into the police early warning system. Note: The Police prefer that information from the community is obtained through a variety of channels, including through community policing, and that when received the information goes through a formal complaints process rather than being directly incorporated into the early warning system. |
Workstream: Corporate instruments
| Purpose | Our expectations |
|---|---|
| Workstream: The Police have improved their corporate instruments and the instruments are used consistently throughout their organisation. | The clarity, consistency, availability and ease of use of police’s key policies, instructions and directives, relating to the subject matter of the Commission of Inquiry, have improved. |
| R1: The Police’s policies, instructions and directives relating to investigation of complaints of misconduct against police officers and adult sexual assault complaints are readily accessible and easy to follow. | A review of the policies, instructions, and directives relating to investigation of complaints of misconduct against police officers and adult sexual assault complaints has been conducted. The policies, instructions, and directives have been consolidated as a result of the review. The policies, instructions, and directives are readily accessible to staff and are easy to follow. |
| R2: The Police’s general instructions are automatically updated when an existing policy is changed. | System or process is in place to automatically update general instructions. System or process works, i.e. general instructions are automatically updated. System or process is used. |
| R3: Key instructions are nationally consistent. | A set of policy principles has been developed regarding what instructions need to be nationally consistent and where regional flexibility is allowed. The Police have assessed their instructions against the policy principles. The Police have acted on the findings of their assessment and have amended their instructions where required. |
| R4: An enhanced policy capability is in place within the Office of the Commissioner. | Enhanced policy capability is in place. Policy analysis is provided. Policy analysis is based on sound data, drawing upon the experience of frontline staff and upon research from New Zealand and beyond. |
Workstream: Early warning system
| Purpose | Our expectations |
|---|---|
| Workstream: Inappropriate behaviour by Police staff is identified early and managed proactively. | The Police know what constitutes inappropriate behaviour. The Police can identify inappropriate behaviour by staff. The Police are able to manage inappropriate behaviour by staff before it escalates. |
| R8: The Police are able to identify the total number of complaints against the Police and the number of complaints against any one officer. | A system or process is in place that accurately records the number of complaints. The system or process can identify the number of complaints against individual police officers. The system or process is used and can produce reports. The Police appropriately act upon reports from the process or system. |
| R44: The purpose of the recommendation is to stop inappropriate use of the Internet by Police staff . | A process or system is in place to provide Police managers with regular reports on the use of the Internet by their staff. This process or system is used. A reporting requirement on the use of the Internet by Police staff is built into the Police’s early warning system referred to in R47 and R48. Note: The Police see the purpose of this recommendation as being part of their wider performance management work. |
| R47: The Police are able to identify staff demonstrating behaviour that does not meet acceptable standards and ensure that such behaviour does not continue or escalate. | An early warning system is in place. The system enables the Police to identify staff demonstrating behaviour that does not meet acceptable standards. The system is used. The Police act on information from the system to stop unacceptable behaviour continuing or escalating. |
| R48: All relevant information of a police officer’s full record of service is recorded and is accessible. | An early warning system is in place that records all relevant information, sufficient to give a complete picture of an officer’s full record of service. The recorded information is relevant and accurate. Staff are able to request information from the system about themselves and to request corrections to this information. The relevant information is available to police managers and supervisors when making appointments and monitoring performance. Police managers and supervisors use the information. The relevant information is available to complaint investigators where appropriate. The complaint investigators use the information. Note: The Police have noted that they believe that relevant information should be both positive and negative. |
Workstream: Ethics and ethnic minorities
| Purpose | Our expectations |
|---|---|
| Workstream: Police behave ethically and to a standard that reflects the expectations of the communities they serve. | The Police know what ethical behaviour is. The Police culture and behaviour is consistent with this knowledge. The number of women and people from ethnic minority groups employed by the Police increases over time. |
| R12: The technical competencies of officers are updated in line with new policies and instructions. | Technical competencies of officers have been defined. A process or system is in place that ensures technical competencies of officers are updated in line with new policies and instructions. The process or system is used. Officers are aware of the technical competencies. Officers understand the technical competencies. Officers are informed when there are changes to the technical competencies. Note: The Police have indicated that updating of officers’ competencies should be in a tiered fashion that aligns with the Police’s overall approach to organisational learning. |
| R17: The Police’s understanding of ethics is improved, and police identify and manage actual or perceived conflicts of interest involving a colleague or associate. | An ethics training programme exists. The content of the training programme has been expanded to include identifying and managing conflicts of interest (particularly in respect of complaints involving police members or associates). The training programme has been implemented. The number of upheld complaints involving police officers and conflicts of interest is decreasing. |
| R39: Mediated resolution of a complaint of sexual harassment involving police staff is finalised in writing and signed. | A Sexual Harassment Policy exists. The Police have amended the policy to require a mediated resolution of a complaint of sexual harassment to be finalised in writing and signed by both parties. There is a signed written record of complaints of sexual harassment that have had a mediated resolution. The Police have taken additional steps to reduce the risk of sexual harassment behaviour recurring. Note: Police’s view is that compliance with this recommendation will not stop recurrence of the sexual harassment behaviour. |
| R45: Police behave ethically. | A nationally consistent ethics training programme exists. All police officers are required to attend the training programme. Police officers attend the training programme. There are regular refresher courses on ethics. Police officers are required to attend the refresher courses. Police officers attend the refresher courses. Ethical issues are a diminishing component of upheld complaints against police. |
| R46: An ethics committee or committees exist in each Police district. | The Police have a mandatory requirement for the establishment of an ethics committee or committees in each Police district. An ethics committee or committees have been established in each Police district. The ethics committee or committees meet regularly in each Police district. There is a national set of guidelines to guide police districts on the purpose, operation, and membership of their ethics committees. The purpose, operation, and membership of each ethics committee are consistent with the national guidelines. There is consensus that the committees are working well. Note: The Police have identified that having a forum for people to raise ethical issues is important, as is the visibility of the Police having conversations about ethics. |
| R50: Promote a diverse organisational culture that reflects the community it serves. Enhance the effective and impartial investigation of complaints alleging sexual assault by members of the Police or by associates of the Police. |
The number of women and people from ethnic minority groups employed by the Police increases over time. Note: The Police have identified that they think of community in the plural sense and that an ongoing challenge for the Police is how to induct and support people from a range of communities. |
| R52: Ensure proper inquiry is always made when information received indicates that a police member or associate may have committed a sexual offence. | The Police have reviewed policies, procedures, and practices on internal disclosure or wrongdoing. The Police have a single stand-alone policy for all disclosure (including protected disclosure). The policy is adhered to. |
| R53: The Police’s policy and approach of "report and be protected" is well understood and implemented. | The Police have a policy and approach of "report and be protected". Police staff understand the policy and approach. Police staff throughout the whole country follow the approach and adhere to the policy. |
| R54: The Police’s relevant policies, procedures and practices are consistent with their policy on the reporting of serious wrongdoing and the approach of "report and be protected". | The Police have identified the relevant policies, procedures, and practices. Police have examined the relevant policies, procedures, and practices for consistency with its policy on the reporting of serious wrongdoing and the approach of "report and be protected". Where necessary, the Police have amended the relevant policies, procedures, and practices on the reporting of serious wrongdoing and the approach of "report and be protected." |
| R55: Foster a culture which encourages reporting of allegations of wrongdoing and provides support to those who make disclosures. | The Police have an ethics training programme. A documented aim of the ethics training programme is to foster a culture which encourages reporting of allegations of wrongdoing by a police member or associate. A documented aim of the ethics training programme is to foster a culture which provides support to those who make disclosures, consistent with the "report and be protected" approach. There is reporting of alleged wrongdoing by a police member or associate. Note: The Police have identified that internal reporting of instances of wrongdoing, particularly those involving excess use of force, are important. The Police have also commented that looking at the complainant and their motives is important. |
| R56: Members of the Police are encouraged and supported to report any allegations of sexual misconduct made against a colleague or associate. | Managers and supervisors actively communicate the expectation that police should report any allegations of sexual misconduct against a colleague or associate. Staff are encouraged and supported to report such allegations. |
Workstream: Performance management and discipline
| Purpose | Our expectations |
|---|---|
| Workstream: The Police’s performance management and disciplinary regime is in line with contemporary practice, services the interests of complaints well and supports good employment practice. | The Police’s performance management and disciplinary systems support good and contemporary employment practice. An enforceable Code of Conduct is in place for all members of the Police. |
| R33: A more efficient disciplinary system is in place than the tribunal system under the provision of the Police Regulations 1992. | The provisions of the Police Regulations 1992 have been revoked. A new disciplinary system is in place. The Police are tracking the efficiency of the system. |
| R34: A best practice State sector disciplinary system is implemented. | The Police have implemented a disciplinary system based on a Code of Conduct. The disciplinary system is in keeping with the principles of fairness and natural justice as part of the employment relationship. The disciplinary system is of a standard that is at least best practice for the State sector. The disciplinary system is used and meets its purpose. The disciplinary system is consistent throughout the country. Note: The Police have indicated that a case-by-case approach has to be taken to disciplinary matters and that a higher standard than best practice for the State sector should be aimed for. |
| R35: The new disciplinary system allows independent investigation of alleged misconduct. | Independent investigations of alleged misconduct have been conducted under the new disciplinary system. Independent investigations under the new disciplinary system are in accordance with sections 5A and 12 of the Police Act 1958 or its successor legislation. The new disciplinary system does not include the use of a formal disciplinary tribunal. |
| R36: The Police’s human resources and professional standards functions are fully integrated. | Human resource and professional standards functions are fully integrated in the Police’s operations and systems. |
| R38: A Code of Conduct is in place for sworn staff. | A Code of Conduct for sworn staff exists. Timing of the development and implementation of the Code of Conduct for sworn staff indicates this work was treated with urgency by the Police. The Code of Conduct for sworn staff is used by the Police as part of their performance management and disciplinary arrangements. The Police are tracking the effectiveness of the Code of Conduct, including identifying any amendments that may be required. The Code of Conduct for constabulary staff is in line with the Code of Conduct for sworn staff. |
| R40: The Police’s code of conduct and relevant policy and training materials incorporate standards, policies, and guidelines on inappropriate sexual conduct towards, and the forming of sexual relationships with, members of the public. | Standards, policies, and guidelines exist. The standards, policies, and guidelines were developed with the assistance of an external expert in professional ethics. The standards, policies, and guidelines specify action and types of behaviour of a sexual nature that are inappropriate or unprofessional; and prohibit members of the Police from entering any relationship of a sexual nature with a person over whom they have a position of authority, or where there is a power differential. The standards, policies, and guidelines are incorporated within the Police’s Code of Conduct and relevant policy and training materials. The Code of Conduct is used. |
| R49: The Police have improved their approach to performance management of staff. Follow-up identified in police performance improvement plans occurs. |
Police have reviewed their approach to performance management. The review has included training provided to supervisors and managers, the performance appraisal process and documents, and methods to ensure that follow-up identified in the performance improvement plans actually occurs. Note: The Police have identified this as being a key recommendation as it is the "glue" ensuring adherence and compliance with a raft of other recommendations, in particular those relating to performance management. The Police have also identified that meeting the intent of the recommendation is important for positive as well as negative performance, i.e. not just disciplinary in nature. |
Workstream: Assurance
| Purpose | Our expectations |
|---|---|
| Workstream: The Police have improved the organisational health of the Police organisation by giving effect to the Commission of Inquiry’s recommendations. | The Police’s work programme has been rationalised, and informed by state sector best practice, and results in ongoing improvements to police culture, including the safety of the work environment for female staff and staff from minority groups. |
| R37: The Police’s performance management and disciplinary systems and processes are adequate, standardised, and managed to a standard that is consistent with best practice in the public sector. | The Police have invited the State Services Commissioner to review the police approach to performance management and discipline. The State Services Commissioner’s review shows that the performance management and disciplinary systems and processes are adequate, standardised, and managed to a standard that is consistent with best practice in the public sector. The Police have acted upon any improvements recommended as a result of the State Services Commissioner’s review. |
| R51: An independent annual "health of the organisation" audit of police culture is carried out. | The Commissioner of Police has invited the State Services Commissioner to carry out an annual "health of the organisation" audit of police culture. The annual "health of the organisation" audit of police culture includes testing of whether the organisation provides a safe work environment for female staff and staff from minority groups. The results from the annual "health of the organisation" audits of police culture show improvement in "organisational health", including the safety of the work environment for female staff and staff from minority groups. The annual "health of the organisation" audit of police culture is conducted annually for not less than a 10-year period. |
| R58: The Police have rationalised the projects and initiatives they had in train at the time of the publication of the Commission of Inquiry. | The number of Police projects and initiatives now in place is less than at the time of publication of the Commission of Inquiry’s report. The Police, as part of rationalising work in train at the time of the publication of the Commission of Inquiry, and subsequent work relating to responding to the Commission’s findings, have addressed overlaps between projects, identified inter-dependencies, assigned priorities, and made adequate resources available for the rationalised programme of work. The Police have consulted with the Minister of Police about the priority to be given to projects in its rationalised work programme. Since publication of the Commission of Inquiry, the Police’s annual statements of intent demonstrate that their work programme has been rationalised, prioritised, and resourced. |
| R59: Projects and initiatives in the Police’s rationalised work programme take account of best practice in the public sector. | The Police have consulted and involved the State Services Commission and other public sector agencies, where appropriate, about best practice in the public sector. The Police have acted on the information obtained through this consultation and involvement to inform their projects and initiatives. Any statutory impediments have been identified and removed. |