Complaints management information

Report: 5
Date: 07 October 04
By: Commissioner

Summary

This report includes data for the 12 months to August 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 5% from August 2003 to August 2004. The rate of decline evident in previous years is reducing.

The number of ‘live’ public complaint cases under investigation has increased by 3% from 522 cases in September 2003 to 537 cases in August 2004.

Public complaint investigations over 120-days old have reduced from 173 (33% of the total ‘live’) to 106 (20% of the total ‘live’).

The percentage of Internal Investigations over 120-days old has also reduced from a high of 67% of the total ‘live’ in September 2003 to 47% of the total ‘live’ in August 2004.

There has been an 8% rise in the percentage of allegations being Locally (Informally) Resolved when comparing September 2003 to August 2004 with the same period in 2002 to 2003.

The average number of days between the decision to hold a misconduct hearing and the hearing itself has reduced by 31% from 212 days in September 2003 to 146 in August 2004.

A. Recommendations

1. members are asked to note the report, and the illustration of trends in Appendix 1; and
2. members are reminded that the Independent Police Complaints Commission (IPCC) replaced the Police Complaints Authority (PCA) with effect from 01/04/2004. This has necessitated changes to this report and the associated appendices. These are outlined in the relevant sections.

B. Supporting information

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

2. The summary of Department of Professional Standards (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 & 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 & Row 1 Appendix 2

7. This shows a downward trend in the 12-month rolling average of the number of allegations recorded since September 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, 5% fewer allegations were recorded in the period September 2003 to August 2004 than in the previous 12 months.

9. Although allegations continue to fall it is evident in the 12-month rolling averages that the rate of decline is reducing from approximately 13% in September 2003 to approximately 5% in August 2004. A reduction in complaints has been going on for many years and this decline is perhaps indicative that we are reaching our ‘water-table’

Substantiated Allegations as a % of Allegations Fully Investigated (BVPI 22) – row 3 Appendix 2

10. These figures show a continuing upward trend in the percentage of fully investigated allegations that are substantiated from 11% in September 2003 to 17% in August 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 September 2003 to 300 in August 2003.

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. The decline in finalised allegations however, only represents a difference of 35 allegations.

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. Crown Prosecution Service (CPS) & IPCC (PCA).

16. Chart 2 Appendix 1 shows there has been an 8% rise in the percentage of allegations being Locally (Informally) Resolved, using a 12-month rolling average.

17. Actual monthly data indicates that in the first three months on 2004/05 the percentage of Local Resolutions has seen a more dramatic increase to 46%. This compares favourably with the IPCC target of 50%.

18. The main reduction has been in allegations unsubstantiated following a full investigation. This in turn has increased the percentage of fully investigated allegations that are substantiated to 17% in the 12-month rolling average to August 2004.

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

Timeliness – Charts 3 & 4 Appendix 1 and Rows 9/10 Appendix 2

20. Additional indicators, using 12-month rolling averages, have been added to reflect timeliness for both ‘full’ investigations and all other types of outcomes, including ‘full’ investigations. Using 12-month rolling averages smoothes out monthly variations in the figures and makes trends more evident.

21. 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.

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

23. 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 a low of 464 in February 2003 to a high of 537 in August 2004.

24. Separate analysis of ‘live’ cases indicated that the rise is not due to an increase in recorded cases but instead a change in the statuses of existing cases. That is to say that there is an increase in ‘live’ cases due to a decrease in ‘non-live’ cases.

25. Essentially, cases are remaining in the ‘non-live’ status such as ‘pending’, for instance, for a shorter time. An example of this is the change in process to improve timeliness whereby we now ‘electronically’ notify someone, via e-mail, that they are under investigation.

26. Over the last 12 months there have been further reductions in the number and percentage of public complaint investigations over 120-days old, from 173 (33% of the total ‘live’) to 106 (20% of the total ‘live’), a reduction in the total number of 39%.

27. The figures at Row 09 Appendix 2 show a slight increase in the number of current internal investigations over the same period from 134 to 139, an increase of 4%.

28. Over the same twelve months the percentage of those internal investigations that are over 120-days old, has fallen from 90 (67% of the total ‘live’) to 66 (47% of the total ‘live’), a reduction in the total number of 27%.

Misconduct Decisions – Charts 5 & 6 Appendix 1 and Rows 11/12 Appendix 2

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

30. The average number of days between the decision to hold a misconduct hearing and the hearing itself continues to fall significantly from 212 days in September 2003 to 146 in August 2004, a 31% reduction.

CPS Decisions Appendix 1 Chart 7 and Row 13 Appendix 2

31. 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 August 2004 was 125 days, down from a high of 135 days in February 2004.

IPCC (PCA) Decisions Appendix 1 Chart 8 and Row 14 Appendix 2

32. 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.

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

34. Counting rules have been reviewed and revised following the introduction of the IPCC and this has altered the figures.

35. The average time for the IPCC (PCA) to reach a decision in relation to dispensations/discontinuances was 41 days in August 2004. There has been a slight rise from 38 days in April 2004 when they first took over.

36. The decisions reached by the IPCC (PCA) in regard to investigations are taking on average 101 days to obtain. The 12-month rolling average has been rising since they took office in April 2004.

Performance Management Framework

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

38. 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.

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

40. 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.

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

42. 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

43. 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.

44. 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.

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

46. 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.

47. DPS are also conducting a series of pilot courses in NW London regarding the Local Resolution process. It is aimed at Sergeant and Inspector ranks with a view to increasing their awareness and ability to resolve complaints locally. It is expected that this will in turn assist the MPS in meeting the IPCC target of 50% of all allegations being Locally Resolved. The training will be rolled out to all London Boroughs following the end of the pilot in early October 2004.

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. With effect from October 2004 the Employment Tribunals Unit will be moving from DPS and returning to Human Resources Directorate. With effect from the next meeting the Employment Tribuneral figures will cease to appear in the appendices supplied to the PSCC and will in future be contained within the MPA Human Resources 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 in writing. 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 have agreed to be co-sponsors of this research

10. Professor Michael Tonry has finalised his research proposal and Phase 1 of the research will commence in late October 2004.

D. Financial implications

1. The software changes to the Complaints & Discipline System (CDS), Phase 1, required to meet the IPCC data requirements, has cost £35k.

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 yet to be ratified but initial quotes to undertake this work range from £137k to £470k.

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

E. Background papers

None.

F. Contact details

Report author: Michael Clark, Higher 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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