Formal warnings

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Table of Contents
2
Policy statement and principles
3
What
3
Why
3
How
3
Principles
3
Purpose of this chapter
3
Forms associated with this chapter
4
Eligibility criteria for formal warnings
5
Who is eligible for formal warnings?
5
Additional factors to be considered when assessing suitability
5
Formal warning process
6
Audit process
6
Disputes process
6

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Policy statement and principles
What
A formal warning is a lawful alternative to prosecution for some low level offences. A formal warning can be issued from
the street or at a Police station for a qualifying offence that meets evidential sufficiency and public interest requirements
set out in the Solicitor-General’s Prosecution Guidelines.
The ability to warn is derived from the Police common law power of discretion.
Why
The benefits of a formal warning include:
better outcomes for people through resolving the offence at the time of occurrence
reduction in court appearances and court workload
faster processing time
swifter redeployment of staff
better outcomes for the victim, offender and the Justice system
A formal warning is an effective tool for resolving low-level offences that require Police intervention and in normal
circumstances, public interest considerations do not support a prosecution.
A formal warning is intended to hold the offender to account and to deter them from further offending behaviour. The
issuing of a formal warning informs the offender that the offence(s) committed by them have been treated seriously and
have been formally recorded by Police in the National Intelligence Application (NIA).
How
The approach to formal warnings should align with the Four E model; Engage, Educate, Encourage, and Enforce. The formal
warning is one of the ‘Enforce’ options.
The issuing of a formal warning requires the Officer to assess the situation and exercise discretion. A preliminary decision
on the appropriate response to the offence can be made based on the evidence (both availability and sufficiency), the
underlying circumstances surrounding the event, and the public interest considerations set out in the Solicitor-General’s
Prosecution Guidelines.
The final decision to warn must be made by a Supervisor (a permanent substantive Sergeant or above) who must decide
on an offender's suitability for a warning, as set out below.
A formal warning can be issued from the street, pre-arrest or post-arrest, or it can be issued post-arrest from the custody
suite or station.
Principles
The formal warning process is aligned with the Prevention First Operating Model and the guiding principles of Our Values
(PRIMED) with the addition of below:
Manaakitanga - Action is taken to enhance the mana of each individual. Relationships are based on compassion,
generosity, reciprocity and respect.
Kotahitanga - People work together in unity to support and achieve common goals.
Purpose of this chapter
This chapter sets out:
the intent and principles of the formal warning policy and the alignment with Our Values , and the Prevention First
Operating Model
the reasons for issuing a formal warning and the criteria around the use of formal warnings
the expectation for consistent practice that aligns with the Solicitor-General’s Prosecution Guidelines for establishing
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evidential sufficiency and whether a prosecution is required in the public interest
the expected practice standards for issuing and recording a formal warning
Forms associated with this chapter
Formal warning letter
Receipt of contested Police warning letter
Upheld Police formal warning letter
Withdrawn formal warning letter
Forms accessed in WORD toolbar> Police Forms> (A-H)> Formal warnings
(If unable to access forms through WORD, access directly from the Police server here)
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Eligibility criteria for formal warnings
Who is eligible for formal warnings?
To be eligible to be considered for, or receive, a formal warning, the following criteria must be satisfied:
The offender must be 18 years or over
The offence must:
carry a 6 months term of imprisonment or less, or
be possess/uses utensils (codes 3185, 3284 or 5985), and
The offence must not have arisen out of a family harm incident
The offence includes offences against the Health Act 1956 and Civil Defence Emergency Management Act 2002 (COVID-
19 related offences).
Additional factors to be considered when assessing suitability
Other than the eligibility criteria above, the Officer in Charge and supervisor must decide on an offender's suitability for a
formal warning by considering these additional factors:
evidential sufficiency - Solicitor-General’s Prosecution Guidelines
the public interest - Solicitor General’s Prosecution Guidelines
the nature and seriousness of offence
whether or not the power of arrest is required
offender considerations (e.g. mental health issues, financially struggling, homelessness)
victim considerations including vulnerability
reparation considerations
criminal history and/or previous formal warnings
multiple offences stemming from one incident, where one is being prosecuted they should all be bundled into the
prosecution file to provide the full picture to the Court.
Take a holistic approach to deciding what resolution to issue. Discuss and seek out opportunities to prevent re-offending,
including the ability to refer to community-based support services and networks either formally via Te Pae Oranga or
Whānau Ora Supported Resolutions options, or directly to providers, to work to protect vulnerable people, particularly
repeat victims.
Formal warnings work best for first and second time offenders. Previous formal warnings do not preclude another formal
warning being issued if the circumstances warrant it.
The evidence available and rationale must be recorded on the file to prove the offence was committed, or a statutory
defence applies.
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Formal warning process
Stage Description
1
The Officer must fully consider the circumstances of the incident or investigation against the eligibility criteria and
the additional factors above when assessing suitability for a formal warning.
2
If a decision is made to recommend the issuing of a formal warning, the Officer must then discuss their
recommendation with a supervisor and gain their approval.
When issuing from the street, if a supervisor is not working, the Officer must assess the offender’s eligibility and
then make phone contact with a Supervisor at the nearest 24 hour station or District Command Centre for approval.
Note: When a supervisor is the person issuing the formal warning, approval must be sought from another supervisor
i.e. the District Command Centre Sergeant, to ensure a second opinion is across decisions for each incident.
Important: If the offender refutes their involvement in the alleged offending, the formal warning can still be issued.
3
The supervisor must ensure the identity of the offender has been checked, the offence fits within the eligibility
criteria and the additional factors (set out above) are considered. They must inform the Officer of the decision and
provide them with their QID, decision and rationale to record against the occurrence.
4
To ensure transparency, the Officer must then advise the offender in a language and manner they understand, that a
formal warning is being issued on this occasion and why.
The Officer must also check and confirm the offenders email and/or postal address, and advise that they will
receive a copy of the formal warning by post or email.
If a victim is involved and the decision to formally warn is made, the Officer must ensure they are aware of the
decision and rationale.
Important: Where the supervisor instructs the release of an offender without a formal warning due to evidential
insufficiency, the incident/occurrence must still be documented thoroughly e.g. in the Occurrence / Custody Module.
5
The Officer will complete sufficient notes in the occurrence to support their recommendation to give a warning and
ensure the approving Supervisor’s name / QID is recorded.
6
The File Management Centre (FMC) will enter the warning details into NIA, making that information available for any
future warning considerations for that offender.
The FMC will then issue the formal warning letter to the offender by either email or post.
Audit process
A Supported Resolutions Coordinator, Prevention Manager and others as required will be responsible for ensuring districts
are adhering to the Formal warning policy. Key checks will be made to ensure there is evidential sufficiency and the issuing
of the formal warning was in the public interest.
Disputes process
A formal warning can be disputed up to four weeks after the warning. Any disputes will go to 105 via email or phone. As
disputes can arise, it is essential that evidence and decision making considerations are clearly recorded.
Upon receipt of a dispute the 105 team will forward this to the district Supported Resolutions Co-ordinator to organise a
review.
Disputes will be reviewed by the districts Supported Resolutions Coordinator and Prevention Manager. Feedback will be
provided to the Officer on the outcome of the dispute as/when required, by the Supported Resolutions Coordinator.
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Formal warnings
The Supported Resolutions Coordinator will update NIA with the outcome and will distribute the appropriate letter –
Upheld Police formal warning letter or withdrawn formal warning letter. The appropriate rationale for the decision should
be included within the letter.
Version number:
1
Owner:
Assistant Commissioner: Iwi & Community
Publication date:
01/05/2020
Last modified:
14/01/2021
Review date:
01/05/2022
Printed on : 03/05/2021
Printed from : https://tenone.police.govt.nz/pi/formal-warnings
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Document Outline