Local resolution of complaints

Report: 6
Date: 9 December 2004
By: Commissioner

Summary

On 1 April 2004, the Independent Police Complaints Commission replaced the Police Complaints Authority. Three new pieces of legislation were enacted and the Informal Resolution process in relation to public complaints against police officers was replaced with the Local Resolution procedures, applicable to police officers, police staff and others employed by police services.

The new legislation created the need for significant changes in working practices by line managers tasked with dealing with public complaints.

Seminars aimed at addressing the skills and knowledge deficit created by these changes have been implemented.

A. Recommendations

That the report and appendices be noted.

B. Supporting information

1. Local Resolution is the term applied to a resolution process for complaints that replaces informal resolution of a complaint. Within Local Resolution (LR), the Independent Police Complaints Commission (IPCC) will authorise different procedures that can be followed (known as Statutory Guidance – awaits.)

2. The aim of the Local Resolution procedure is to provide a speedy and satisfactory resolution to a complaint without the need for formal investigation and which meets with the complainant’s needs. IPCC research has shown that many complainants state that they:

• Just want an explanation from the force member concerned
• Want to make sure that the same thing does not happen to someone else
• Want a senior officer to convey their feelings and dissatisfaction at the way they were dealt with
• Would like an apology
• Would like training to be identified and implemented;
• Wish some form of immediate reparation (ex-gratia payment, repairs to property etc; but
• Do not seek a formal investigation or disciplinary action.

3. A LR process could involve arranging a mediation meeting between the complainant and the person complained against; arranging for a more senior member of the force to visit the complainant; training being arranged; and/or policies and procedures being reviewed in light of the circumstances giving rise to the complaint.

4. There are four main differences between the old Informal Resolution and the new process of LR.

5. Firstly, it is now a requirement that the complainant provides “Informed Consent”. This is aimed at addressing potential public confidence issues by ensuring that the complainant is fully aware of the meaning of LR before they elect to adopt the process for the resolution of their complaint. In practice, the complainant is asked to sign an acknowledgement that they have discussed and had explained to them the ten fundamentals of local resolution:

• Why their complaint qualifies for LR
• The purpose of LR
• The fact that their consent to the LR process can not be withdrawn once the process has commenced
• The right of appeal
• The case will be closed at the conclusion of the LR process
• No disciplinary action will be taken in respect of the conduct that is the subject of the LR
• Who will conduct the process
• They will be provided with a written record of the outcome if requested
• Statements taken during the LR process will be inadmissible in any criminal, disciplinary or civil proceedings
• What happens if the circumstances change and the process is therefore stopped

6. Secondly, an agreement regarding actions to be taken in order to satisfactorily resolve the complaint must be reached. This will be recorded within the complaint notification form, or as part of the statement of the complainant. In either case, a letter is sent to the complainant confirming the agreed steps to be taken in order that the complaint can be regarded as resolved.

7. Thirdly, a right of appeal now exists in relation to a failure to adhere to the agreed process. The arbiters in an appeal are the IPCC.

8. Finally, it was the case under the informal resolution process that only minor allegations (i.e non-criminal allegations and those of a minor misconduct nature) could be resolved utilising this process. LR is intended for use in similar circumstances. However, it can also be utilised for the resolution of more serious matters in certain circumstances.

9. Any LR process that seeks to resolve a more serious allegation MUST have the prior consent of the IPCC. (See flowchart at Appendix 1)

10. Local resolutions fall into three categories; those that are dealt with by local officers at or shortly after the time of reporting known as “Desktop”; those that arise from formal mediation processes, known as ‘Mediation’; and those that are achieved by officers from the Department of Professional Standards Internal Investigations Command (DPS IIC) which are known as ‘Management’ Local Resolutions. See Appendix 2.

11. The IPCC have the stated aim of achieving 50% of all complaints being resolved by means of LR. The rationale for this is based on research that indicates that generally, aggrieved people would like to have their issues addressed quickly by the managers of those against whom they complain.

12. Data attached at Appendix 2 provides a breakdown of the types of complaints that are being resolved utilising the LR process as well as a borough-by-borough breakdown of such use. The final data sheet in this appendix shows the use being made of LR by each borough as a percentage of all other resolutions, the target being 50% as discussed above. The use of Local Resolution, across a 12-month rolling period, has increased from 31% to 40% towards that target.

13. In order to empower MPS Inspectors and Sergeants to achieve Local Resolutions, six seminars have been designed, implemented and evaluated in northwest London as a pilot. These have been delivered to practitioner officers from North West boroughs

14. The intended outcomes of the seminars are; knowledge of the changes in legislation; knowledge of the subsequent changes in MPS processes; understanding of the rationale behind the changes; a practical ability to apply the new process; and dissemination of the changes to others within the attendee’s workplace.

15. The evaluation process has consisted of two parts. Firstly, each seminar attendee was asked to complete a questionnaire regarding, amongst other things, the usefulness or otherwise of the input. Secondly, a quantitative evaluation of performance in relation to LR post seminars was undertaken.

16. As a result of the positive feedback and after consultation with Commander Foy (Territorial Policing), six further Local Resolution seminars are being provided at locations throughout London commencing in the New Year. These will be opened by Commander Foy, hosted by DPS staff and supported by the attendance of IPCC Commissioners.

C. Equality and diversity implications

1. The changes highlighted within this report are likely to have an indirect impact on race and equality issues. The changes in processes have been made in accordance with the Police Reform Act 2002, which is intended to impact on public confidence in the police complaints process.

2. Under the informal resolution process, members of minority groups or communities may have been less likely to lodge complaints against MPS staff, because of the perception of less than equitable treatment. It is anticipated that the changes made to the procedure; the appeals process; and the transparency of the system will provide for the integrity of the process. It is envisaged that the new system will encourage minority groups or communities, who feel aggrieved as a result of the conduct of MPS staff, to register their complaints.

D. Financial implications

Costs will be met from within existing MPS budgets.

E. Background papers

None.

F. Contact details

Report author: Detective Chief Inspector David Imroth

For more information contact:

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

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