Stage 4 - Determination

In order to determine the outcome of a relevant complaint, an objective analysis of all evidence will be completed, and a determination made on whether or not to uphold each complaint allegation by application of the Balance of Probabilities test. The SPA Complaints database will be updated with decisions for audit and statistical reporting purposes.

The determination of a complaint is in accordance with the Authority’s two-step decision process.

Committee Determination

To assist the Committee in its decision making, the Complaints Team provide a Final Assessment report which includes the following:

• A summary of the complaint
• Background to complaint
• Details of investigation undertaken
• Assessment of complaint
• Details of legislation and/or SOPs  used in assessment of complaint
• Copy of all documents/evidence relevant to the complaint
• Recommendation(s) for the Committee
• Confirmation of the decision(s) required to be made by Committee

Although the Complaints Team may make recommendations, the Committee makes the Final Decision. In reaching a determination, the following points will be considered:

• The act or omission that prompted the complaint
• Whether or not the facts established support or contradict the complainer’s position
• If the evidence is supportive of the complainer’s position, what action should be taken and what can be done to prevent a recurrence
• Where the material facts are in dispute, the balance of probabilities test will be used to determine which version of events is more probable
• Where material facts are not in dispute, the Committee will use its professional judgement to determine whether the conduct complained about, or the standard of service provided, fell below the standard that a reasonable person could expect.
• Whether an apology is appropriate
• What can be learned from the complaint

For complaints which are upheld, the Committee will then consider what further action may be appropriate. This may include:

• Provision of an explanation
• Provision of an apology
• Provision of assurances that this will not happen again
• Identification of lessons learned or improvement action to be taken
• Identification of management advice or training needs
• Potential for performance management, or disciplinary, or misconduct process to be instigated
• In the most serious cases, relating to misconduct allegations about senior officers, consideration will be given to conduct regulations, and if appropriate, preliminary misconduct assessment will be carried out, and if deemed appropriate, referred to PIRC for investigation

Complaints Team Determination

Relevant complaints which are not suitable for ESR but are, nevertheless, straightforward, relatively minor in nature and require minimal enquiry may be determined by the Complaints Team without the requirement to be brought to the Committee. In such circumstances, the Complaints Team will determine whether or not to uphold the complaint allegations.

Complaints about SPA Staff

• Complaints about SPA Corporate and Forensic Services staff at Director level and above are determined by the Committee.
• Complaints about staff below the level of Director are determined by the SPA Chief Executive or Director of Forensic Services. 

In either case, the Complaints Team will undertake the standard process outlined above in dealing with a relevant complaint, regardless of the grade of the person subject of the complaint. The complaint will be progressed in line with the PIRC’s six-stage process and a Final Assessment report produced by the Complaints Team for determination.

For complaints about staff at Director level and above, the report will be provided to the Committee for determination and for staff below Director level, the report will be provided to the SPA Chief Executive or Director of Forensic Services.