The response to an invitation to attend an interview is likely to have significant implications for any later proceedings, our team of specialist barristers warn.
Date - 3rd March 2020
By - Ben Summers
When officers are under investigation and are asked to attend for interview, either by professional standards or the IOPC, they might be forgiven for thinking: “I haven't done anything wrong, so why wouldn't I answer questions?”. However, that response may be looking at the issue from the wrong-end of the telescope. The better response may be: “I haven't done anything wrong, so why would I answer questions?”.
The officer’s dilemma
An interview often provides the first opportunity for an officer to give an exculpatory account; as such, it is important to get that account right if investigators are to be persuaded that their suspicions are ill-founded. On the other hand, interviews are also a rich source for those constructing a case against an officer: the account given may not fit with other evidence, it may conflict with other accounts given by the officer, or simply not make objective sense.
It follows that the decision as to how to respond to an invitation to attend an interview is likely to have significant implications for the investigation and any later proceedings.
Officers are generally faced with a three-fold choice: (1) to answer all questions asked, (2) to give a prepared statement but otherwise answer to questions, or (3) to answer no questions at all (or where attendance is voluntary, to choose not to attend). Answering some questions but not answering others is the worst of all combinations.
Although it is very easy to look back at decision making around an interview many months or years later, and a judgement made as to the quality of the decision, but it is (obviously) very difficult to know which of the three options is right at the time. Often this is because the detail of the allegation, and the defence's understanding of it, changes over time. What seems at an early stage to be the main theme of the allegation may fall away as further evidence is gathered on both, or a minor aspect may take on increased significance over the lifetime of the case.
More importantly, officers under investigation (who are already under a significant degree of stress) who are doing their best to recollect events will, in the majority of cases, give accounts which they believe to be true and accurate. However, experience shows that such honest accounts can often turn out not to be accurate. Not only are perception and memory both fragile, by the time of interview officers' recollections will often have been influenced by intervening events such as reading the papers to prepare the case.
Any inaccuracies in interview will likely be viewed by investigators and later presented by 'prosecutors' either as a 'web of lies', or the truth which is now being abandoned, depending upon which version better suits their case theory. Additionally, experience suggests that whenever an account is given (whether by a witness or by the subject of an investigation) it will be given in a slightly different ways: the sequence of events may change slightly, matters may be omitted or recalled differently, or language may change. Again, any such variations may be used by investigators and prosecutors as examples of a 'shifting' account. For that reason it is, as a rule of thumb, always better to limit the number of accounts an officer gives.
Experience suggests that in considering how to respond to an interview, the guiding principle should always be: what is it necessary to say at this stage? If it is clear that the investigation will inevitably result in proceedings, the balance to be struck is between saying enough to avoid any inference from silence as against providing material that assists investigators / prosecutors. Representations (i.e. arguments to the effect that proceedings are not necessary, as opposed to the account which only the officer can give) are better left to legal representatives to make by way of correspondence, rather than the officer in interview.
Avoiding inferences
Inferences from silence can arise in both the criminal and disciplinary context.
In criminal proceedings, as officers will know, section 34 of the Criminal Justice & Public Order Act 1992 allows a tribunal of fact (magistrates or a jury) to draw a ‘proper’ inference/s from a failure by an interviewee to mention when questioned a fact relied on his / her defence. Such ‘proper’ inferences include the fabrication of the defence or facts in response to disclosure of the case (i.e. fitting the account to the facts), seeking to avoid the facts being tested / investigated, or avoiding self-incrimination. The common theme, is that all such inferences act to support the case against the accused, but cannot without other evidence form the basis for a finding of guilt.
In misconduct proceedings, under the Police (Conduct) Regulations 2020 (and their predecessors) Regulation 41(12) allows ‘proper inferences’ to be drawn if there is evidence that the officer failed to mention any fact relied on his/her case at the misconduct proceedings, being a fact which in the circumstances existing at the time, s/he could reasonably have been expected to mention when questioned by investigators or submitting a response to the allegations. It should be noted that the drawing of a ‘proper’ inference/s is not dependent upon the officer giving evidence: the inference can be triggered by anything ‘relied upon in the officers defence’ which appears to cover not only what is in the Regulation 31 response (the old Regulation 22), but propositions put to witnesses, submissions made to the Panel or another defence assertions.
A prepared statement may avoid such inferences provided it sets out the facts which are later relied upon; there is no inference simply from not answering questions. The obvious difficulty is mentioning facts at this early stage which are subsequently relied upon or asserting matters of fact which are then different in evidence.
Misconduct versus criminal interviews
Officers may be subject to simultaneous criminal and disciplinary allegations; sometimes they can be separate, but often the latter allegations arise from the conduct which is the subject of the criminal allegations. In these circumstances the officer is likely to be interviewed under both regimes. Such interviews should be conducted separately, with the (more serious) criminal allegations being the subject of the first interview. The officer may then be invited in a separate second disciplinary interview to adopt the answers given in the criminal interview of the purposes of disciplinary proceedings.
The general rule is that a misconduct interview cannot be used in criminal proceedings: the protections which apply in criminal proceedings do not apply in the misconduct setting and therefore a misconduct interview will be inadmissible in the same way that answers to other non-PACE questioning is inadmissible. In the other direction, there is no statutory or regulatory bar to a criminal interview being used in the disciplinary context, hence the invitation for an officer to adopt earlier answers.
The problem however is that whilst criminal and misconduct allegations may be based on the same conduct and/or events, the issues in each are often entirely different. Facts and matters that may be relevant to alleged breaches of the standards of professional behaviour, may be wholly irrelevant to the issue of criminal liability and vice versa. It is impossible to identify all categories of matters which are relevant for discipline and irrelevant for criminal proceedings, but matters going to broader discipline allegations might include training, local / working practices, resourcing levels, and non-policing interactions between colleagues.
The result is that those advising officers need to be careful to ensure that the relief of having got through a criminal interview does not cloud thinking about matters that might need to be raised in the context of the standards of professional behaviour. Equally, a strategy which makes sense for one set of proceedings may not work in the other, and therefore different approaches to the two jurisdictions may be necessary.
Duty to cooperate
Advisers should also be aware that the new Police (Conduct) Regulations 2020 (in force from 1 February) amend the definition of the professional standard of ‘Duties & Responsibilities’ to include a duty to cooperate with investigations in the following terms: “Police officers have a responsibility to give appropriate cooperation during investigations, inquiries and formal proceedings, participating openly and professionally in line with the expectations of a police officer when identified as a witness”.
However, the updated Home Office Guidance ‘Conduct, Efficiency and Effectiveness’ (published 5 February 2020) states that ‘a clear caveat must be placed on the duty that it applies specifically to where the officer’s status is that of witness and does not apply in the same manner where the status of the officer is that of subject to investigation and where the right to remain silent must be upheld.’ (at §2.25 emphasis added). The College of Policing ‘Code of Ethics’ has yet to be updated to reflect the new duty.
Conclusion
The take away from the above is that interviews are difficult to navigate and there are competing (and sometimes, conflicting) considerations. As so often with investigations: always take legal advice!
Ben Summers
3 Raymond Buildings is recognised as the leading specialist set of barristers nationally in representing police officers in misconduct, criminal and inquest proceedings, and police forces and officers in associated judicial reviews and public inquiries. Further details are at 3rblaw.com. Any opinions expressed in articles in The Brief are those of the individual author.
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