Complaints review process

Report: 8a
Date: 8 September 2005
By: the Chief Executive and Clerk

Summary

The Metropolitan Police Authority has a statutory duty to secure the maintenance of an efficient and effective police service. As part of its fulfilment of that duty, the MPA has a responsibility for monitoring the way in which the force deals with complaints about the conduct of police officers from the general public.

The statutory framework governing police authority oversight of complaints is set out in the Police Act 1996 and Police Reform Act 2002. Section 15(1) and (2) of the Police Reform Act 2002 places a general duty on police authorities to keep themselves informed of the manner in which complaints or matters of conduct are handled. This is designed to ensure full compliance with the statutory provisions and to enable police authorities to consider whether issues raised within complaints impact on the efficiency and effectiveness of the service.

In carrying out their oversight role, the Association of Police Authorities has recommended that police authorities have in place “a structured process for the ongoing scrutiny and oversight of complaints”. A key element of that process is the dip sampling of closed complaints files.

Whilst the Professional Standards and Complaints Committee (PSCC) have on an ad hoc basis undertaken dip sampling of completed files, in giving evidence to the Morris Inquiry, the Chair of the PSCC reported that the current oversight and monitoring regime is deficient.

The purpose of this paper therefore is to present a number of proposals aimed at formalising the procedure for the dip sampling of closed complaint case files; a consequence of which will be to strengthen the Authority’s oversight role.

A. Recommendations

That subject to any further proposals, Members are asked to approve one of the three proposed options for the dip sampling of closed complaints files.

B. Supporting information

Proposed dip sampling protocol

1. The Metropolitan Police Service records in the region of 5,000 complaints per annum, a figure, which is anticipated to increase due to the raised profile and accessibility of the public complaints system.

2. As the MPA does not have the resources available to be able to review all completed case files it therefore proposes that at regular intervals, for example on a monthly or bi-monthly basis, it will inspect a minimum of 10 complaints files.

3. On occasion, however, it may prove necessary to adjust the amount of files made available for review. For example, where Members identify a particular area of concern in the way an individual case had been investigated, Members may wish to request provision of an extended selection of comparable cases. This would enable the MPA to identify whether irregularities identified in an individual case were in fact representative of a more systemic problem, such as would require discussion with the MPS.

4. It is proposed that, in accordance with the APA’s ‘Good Practice Guide for Police Authorities’, the MPA will make the selection as to which files are to be reviewed. This will be done by the Chief Executive and Clerk (or Deputy) from the restricted list of public complaints and internal investigations. This list is currently sent to the MPA electronically on a monthly basis. The list enables the MPA to make an entirely random selection of complaints files or to select a sample of complaints by allegation type, outcome, BOCU etc.

5. It is proposed that the initial review of the selected complaints files will be carried out by the MPA’s Professional Standards Officer against a set of criteria drawn up by the MPA. The outcome of the review will be recorded in a “dip sampling template” - a prototype of which is presently being developed. The involvement of the MPS in the initial review process will be confined to providing the selected group of complaints files to the MPA. Hence, MPS officers will not themselves be involved in the review of completed cases.

6. A synopsis of the Professional Standards Officer’s initial assessment of the manner in which each complaint has been handled will be recorded on the “dip sampling template”. The Professional Standards Officer will also determine whether any further information is required from the MPS to enable MPA Members properly to consider the manner in which the complaint has been handled. Files will then be made available to Members for scrutiny.

7. In conducting dip sampling, MPA Members will assess whether complaints are routinely being dealt with in line with relevant legislation, statutory guidance and established force policies and procedures. The review of complaints files will also enable the MPA to determine whether the MPS is adopting a sufficiently customer focussed approach to complaints handling.

Proposed arrangements for members’ consideration of complaints files

8. In terms of formulating a process by which Members review complaints handling, a number of options exist to facilitate MPA Member participation:

Option 1

9. As an introductory arrangement for dip sampling complaints files, it would be possible to implement a system whereby individual Members of the Professional Standards and Complaints Committee access complaints files immediately in advance of and/or following each meeting of the PSCC. The period of availability of files should be agreed by Members, but a duration of one to two days before a PSCC meeting and possibly one to two days after, should provide Members with a reasonable amount of time to conduct the file-reviews.

10. Under this arrangement, Members would independently review complaints files together with the information as contained in the ‘dip sampling template’. Upon completion of the review, Members would record their observations on a separate template before sending this onto the MPA’s Professional Standards Officer.

11. Members’ comments and recommendations would be consolidated into a single report, which could then be approved by the Chair of the PSC Committee, before being sent to the Directorate of Professional Standards and Service Improvement. Any action taken by DPS in response to concerns raised, or recommendations made, in that report would form the basis of an MPS report for consideration at the next meeting of the PSCC.

12. Under this arrangement matters arising from the dip sampling of complaint case files would be instituted as a standing item on the PSCC Agenda.

Option 2

13. An alternative arrangement would be for a meeting to be convened each month, open to all Members of the PSCC and the Chair and Vice Chairs of MPA, to review complaints files.

14. As per ‘Option 1’ members would be provided with the closed complaints files and completed ‘dip sampling template’.

15. Subject to prior notification being given to the Directorate of Professional Standards, members could also request the attendance of an MPS officer/team of officers at the meeting. The purpose of the officer(s) attendance would be to respond to specific questions concerning complaints management issues, the application of established force policies and practices etc.

16. At the end of the meeting, a report would be prepared as per the proposed arrangement in ‘Option 1’. This report would form the basis of a consequent MPA/MPS report for consideration at a future PSCC meeting.

Option 3

17. Whilst similar to the arrangements as proposed in ‘Option 2’ above, this arrangement would be based upon an extension of the PSCC meeting. Rather than meeting for a period of approximately two hours, PSCC Members would meet for four hours, two hours of which would be devoted to the review of complaints files.

18. If this option were to be approved, dip sampling would be on a bi-monthly basis. As per ‘Option 2’ it would however be open to members to request the attendance of an MPS officer/team of officers at the meeting for the purposes described above.

19. Under this arrangement, members would also be afforded with an opportunity to review files jointly as opposed to the proposed arrangements in ‘Option 1’. Consideration of issues arising out of the review, and any actions taken by the MPS in response, would fall to be considered at the next meeting of the PSCC.

20. It is intended that when a draft of the ‘dip sampling template’ is available, this will be circulated to all members of the PSCC for consideration. It is proposed that the template will include questions concerning the accessibility of the complaints system, timeliness of complaints handling, evidence of non-compliance with policies and procedure, proportionality of the investigation, details of any lessons to be learnt etc. The Directorate of Professional Standards, Association of Police Authorities and other relevant stakeholders will also be consulted about the content and format of the template.

21. Subject to members’ approval, the date for commencement of the dip sampling of closed complaints files will be in November 2005. This would enable the process, as far as is necessary, to be integrated with the next meeting of the Professional Standards and Complaints Committee.

C. Race and equality impact

Prior to its implementation, the dip sampling protocol will be subjected to a Race Equalities Impact Assessment in accordance with the Race Relations (Amendment) Act 2000. There will therefore be an assessment as to whether the proposed procedure for reviewing complaints files will have any disproportionate or wider impacts.

D. Financial implications

The cost of the dip sampling of completed case files is capable of being met from the existing budget.

E. Background papers

None.

F. Contact details

Report author(s): Claire Lister

For more information contact:

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

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