Complaints management information

Report: 5
Date: 9 December 2004
By: Commissioner

Summary

This report includes data for the 12 months to October 2004. It focuses on the key changes or exceptions within the data, as trends are slow to change. Appendix 1 includes graphs illustrating the trends.

Public complaints allegations have declined by approximately 3% in the rolling 12 months November 2003 to October 2004, compared to the rolling 12 months November 2002 to October 2003. The decline is gradually reducing and a ‘bottoming out’ is occurring.

The number of ‘live’ public complaint cases under investigation has increased by 2% from 476 cases in November 2003 to 485 cases in October 2004.

Public complaint investigations over 120-days old have reduced from 117 (25% of the total ‘live’) to 98 (20% of the total ‘live’).

The percentage of Internal Investigations over 120-days old has also reduced from 62% of the total ‘live’ in November 2003 to 49% of the total ‘live’ in October 2004.

There has been an approximate 10% rise in the percentage of allegations being Locally (Informally) Resolved from November 2003 to October 2004.

The average number of days between the decision to hold a misconduct hearing and the hearing itself has reduced by 35% from 202 days in November 2003 to 132 in October.

A. Recommendations

That Members note the report, and the illustration of trends given at Appendix 1 to the report.

B. Supporting information

1. Appendix 1 graphically illustrates some of the key trends using data drawn from Appendix 2.

2. The summary of DPS performance indicators is attached at Appendix 2 and focuses on timeliness, quality and outcomes of investigations.

3. The diversity information is attached at Appendix 3.

4. The latest Performance Bulletin used by Internal Investigations Command is attached at Appendix 4.

Key performance indicators

5. This report focuses on the key changes or exceptions within the data as the nature of the figures and trends are slow to emerge.

6. Due to the different timings required by the MPS and MPA secretariats for the preparation of the paper for the Professional Standards and Complaints Committee the data may appear dated by the time it is discussed.

Complaints reduction

Public Complaints (BVPI 21) – chart 1 Appendix 1 and row 1 Appendix 2

7. This shows a downward trend in the 12-month rolling average of the number of allegations recorded since November 2003.

8. A comparison is made between the current rolling 12-month average and that from the same period in the previous year. This reveals that, on average, approximately 3% fewer allegations were recorded in the period November 2003 to October 2004 than compared to November 2002 to October 2003.

9. Although allegations continue to fall it is evident in the 12-month rolling averages that the rate of decline is reducing from approximately 11% in November 2003 to approximately 3% in October 2004. Essentially, complaint allegation reduction is ‘bottoming out.’ At some point soon (within the next several months perhaps) complaint allegations will cease to reduce consistently and a natural fluctuation may appear.

Substantiated allegations as a % of allegations fully investigated (BVPI 22) – row 3 Appendix 2

10. These figures show a largely consistent upward trend in the percentage of fully investigated allegations that are substantiated from 11% in November 2003 to 16% in October 2004.

Public complaints finalised – charts 1 & 2 Appendix 1 & row 8 Appendix 2

11. The Local Resolution process has replaced the Informal Resolution process. The figures will include both of these outcomes until data prior to 01/04/2004 no longer appears in the appendices.

12. The new outcome of Discontinuance has been included with Dispensations. ‘Discontinuance’ relates to an application to the IPCC to stop an investigation that has already started.

13. The 12-month rolling average of the number of finalised allegations has declined from approximately 400 in November 2003 to 300 in October 2004.

14. By comparing the totals of recorded and finalised allegations on chart 1 Appendix 1 it can be seen that, since April 2004, more allegations are being recorded than are being finalised. Although the difference in these two data sets appears to be growing, it is only very gradual. The difference between the two is increasing, on average, by 10.83 allegations per month.

15. Preliminary analysis of data since April 2004 indicates that there are a number of potential reasons for this; a) recorded allegations declining at a lower rate than before, b) increase in ‘live’ cases and c) increased delays in decision making by external stakeholders i.e. CPS & IPCC (PCA).

16. Chart 2 Appendix 1 shows there has been a 9% rise in the percentage of allegations being Locally (Informally) Resolved, using a 12-month rolling average.

17. The main reduction has been in allegations unsubstantiated following a full investigation. Fully investigated substantiated allegations have decreased from 3% to 2% in the 12-month rolling average to October 2004.

18. Dispensations/Discontinuances and Withdrawn/NPW allegations have increased by percentage.

Timeliness – charts 3 & 4 Appendix 1 and rows 9/10 Appendix 2

19. Additional indicators, using 12-month rolling averages, have been added to reflect timeliness for all investigations including ‘full’ and all other types of outcomes.

20. Informal Resolutions (IR) and Immediate Informal Resolutions (IIR) will remain within the timeliness figures until they are replaced with a combined figure for Local Resolutions.

21. The process improvements and performance expectations set for investigative units and teams continue to have a positive effect on performance.

22. The number of ‘live’ public complaint cases under investigation at row 9 Appendix 2 shows that overall the number of cases under investigation has increased from 476 in November 2003 to a 485 in October 2004 (the first time it has dropped below 500 since May 2004)

23. Over the last 12 months there have been further reductions in the number and percentage of public complaint investigations over 120-days old, from 117 (25% of the total ‘live’) to 98 (20% of the total ‘live’), a reduction of 16%.

24. The figures at row 10 Appendix 2 show a slight increase in the number of current internal investigations over the same period from 120 to 131, an increase of 9%.

25. Over the same twelve months the percentage of those internal investigations that are over 120-days old, has fallen from 74 (62% of the total ‘live’) to 64 (49% of the total ‘live’), a reduction of 14%.

Misconduct decisions – charts 5 & 6 Appendix 1 and rows 11/12 Appendix 2

26. Both the percentage of misconduct decisions made within 20 days has met or exceeded the target over the whole 12-month period.

27. The average number of days between the decision to hold a misconduct hearing and the hearing itself continues to fall significantly from 202 days in November 2003 to 132 in October 2004, a 35% reduction.

CPS decisions Appendix 1 Chart 7 and row 13 Appendix 2

28. Counting rules have been reviewed and revised and this has altered the figures slightly in some instances. The average time for the CPS to reach a decision in the 12-month rolling average in October 2004 was 124 days, down from a high of 135 days in February 2004.

IPCC (PCA) decisions Appendix 1 Chart 8 and row 14 & 15 Appendix 2

29. This has been renamed IPCC Decisions but will contain the combined performance of the outgoing PCA and the IPCC until such time as all of the PCA cases no longer appear in the period under scrutiny.

Timeliness in relation to Discontinuance decisions will be included with Dispensation decisions.

30. The average time for the IPCC (PCA) to reach a decision in relation to dispensations/discontinuances was 45 days in October 2004. There has been a slight rise from 38 days in April 2004 when they first took over.

31. The decisions reached by the IPCC (PCA) in regard to investigations are taking on average 118 days to obtain. The 12-month rolling average has been rising since June 2004.

Performance management framework

33. Attached at Appendix 4 is the Performance Bulletin used by the Internal Investigation Command (IIC) senior management team to reduce complaints and improve timeliness.

34. It contains the performance expectations of each unit within IIC and ‘control charts’ that illustrate both the targets and whether any fluctuations in performance are outside what could be regarded as natural variation.

35. The source data for this bulletin is the Investigating Officer Workload Analysis (IOWA) summary and the Investigating Officer Throughput Analysis (IOTA) for the MPS.

36. These reports are produced twice weekly (IOWA) & twice monthly (IOTA) each being produced at three levels: firstly showing the performance at MPS level, secondly at Borough Support Unit level, and finally at Investigating Officer (IO) level where a case list for each IO is produced.

37. Investigating Officers use the IOWA data to manage their caseload on a weekly or even daily basis.

38. IOWA and IOTA require technical adjustments to allow for the IPCC changes. This has been commissioned but has yet to start. Once completed some of the elements in the Performance Bulletin may change.

Training – row 16 Appendix 2

39. The information contained within Appendix 2 relates to both training sessions conducted for DPS staff and additionally by DPS staff for Probationer Officers and shows a year to date, cumulative, total.

40. Senior Investigating Officer training is generally for DPS staff however Borough Commanders and other non-DPS ACPO staff & senior internal and external stakeholders such as the Independent Advisory Group (IAG) and the MPA itself. Normally two to three of these courses will run each year.

41. In the 12 months to August 2004 sixteen Investigating Officer training courses have been held.

42. As part of the DPS Prevention Strategy the directorate conduct integrity training to probationers on a weekly basis. It is delivered to all probationers as part of their continuation training at the 18-month stage of their employment. Up to the end of August 2004 202 sessions have been conducted resulting in over 2400 probationers being trained.

43. DPS have also conducted a series of pilot courses in NW London regarding the Local Resolution process. It was aimed at Sgt and Inspector ranks with a view to increasing their awareness and ability to resolve complaints locally. The initial seminars were held (5 of them) and assessed by reference to feedback as well as changes in performance, although the latter was inconclusive because of the short time between the last seminar and the review. The next roll-out (6 further seminars covering NE, SE and SW as well as central London have been agreed by Cdr Foy and are in the process of being set up now. They are due to start in January.

C. Equality and diversity implications

Diversity information

1. The data provided in Appendix 3 outlines the equality and diversity issues related to the work of the Directorate of Professional Standards.

2. In a small number of categories there are no longer any minority ethnic officers represented. The categories where they are absent tend to be those where the actual numbers are low. This highlights some of the difficulties in identifying trends and patterns where the data is small.

3. The diversity information currently contains Police Officer data only, with the exception of the Employment Tribunal figures. This will be reviewed again once Police Staff appear on the Complaints & Discipline System (CDS) database. This awaits a technical solution to the interface between the CDS and the MPS Human Resource system (MetHR).

4. In October 2004 the Employment Tribunals Unit moved from DPS and returned to HR. The ET figures now cease to appear in the appendices supplied to the PSCC and are instead seen in the MPA HR Committee report.

Discriminatory behaviour Appendix 3 row 5

5. This now includes all types of discriminatory behaviour and not just ‘race’ as had up till now been the case. The following types are now included: race, gender, religion, disability, sexuality, mental health and other discrimination.

Conduct matters Appendix 3 row 6

6. IPCC terminology of ‘Conduct Matters’ has been used to replace Internal Investigations. The data included in this section remains the same.

Commissioner’s appeal/AC review Appendix 3 row 12 and Secretary of State/Police appeals tribunal Appendix 3 row 13

7. The counting rules in relation to these two elements have been revised and the tables now include those people who do not have a personal hearing but whose cases are dealt with on paper. Accordingly, the figures may have altered when compared with previous reports. This revision has been applied to all the years’ data in the Appendix 3.

Further research

8. Members will recall that the DPS had commissioned some external research by the London School of Economics (LSE) into the disproportionate representation of black people amongst public complainants. However, they are no longer able to assist us with the research.

9. DPS are now working with the Institute of Criminology at Cambridge University to progress the research into disproportionality. This has been expanded to include both an ‘internal’ and ‘external’ dimension. The MPS Diversity Directorate has agreed to be co-sponsors of this research.

10. Professor Michael Tonry has finalised his research proposal and phase 1 of the research commenced in late October 2004. Cambridge are presently scoping the data available for their research.

D. Financial implications

1. The software changes to the Complaints and Discipline System (CDS), phase 1, required to meet the IPCC data requirements, has cost £35,000.

2. Phase 2, of this project, has commenced to upgrade CDS to a Windows based system to include additional IPCC linked enhancements. The budget for this has been ratified and will cost approximately £140,000.

3. The Cambridge University research, into ‘internal’ and ‘external’ disproportionality, will cost approximately £50,000 for both phase 1 and phase 2.

E. Background papers

None.

F. Contact details

Report author(s): Keith Braithwaite Performance Analyst, Carl Bussey Detective Chief Superintendent

For more information contact:

MPA general: 020 7202 0202
Media enquiries: 020 7202 0217/18

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