Case management protocol

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

Summary

The Case Management Protocol is intended to assist the MPA to exercise its oversight role of the complaints and discipline functions of the MPS. It reflects recommendations made by the Morris Inquiry, to the effect that where an investigation exceeds a stated target period, the Commissioner should report to the MPA’s Professional Standards and Complaints Committee.

The Committee should hold the Directorate of Professional Standards to account for the progress of the investigation and scrutinise the reasons why it has exceeded the target time. Morris recommended that the DPS should be required to justify the time taken and also the need for a continued investigation.

This protocol applies to investigations being undertaken by the Directorate of Professional Standards into complaints or other allegations of misconduct against police officers or police staff.

The purpose of this paper, therefore, is to present a model through which the MPA will receive information about the progress of investigations in order to ensure more rigorous and independent oversight of case management and the complaints investigation process in the MPS.

A. Recommendations

That subject to any suggestions for revision, Members are asked to approve the proposed Case Management Protocol.

B. Supporting information

1. To enable the MPA to fulfil its monitoring role, on the last Friday in each month, or at such other intervals as are deemed necessary, the Directorate of Professional Standards will supply to the MPA Chief Executive and Clerk a list of all current investigations.

2. The list will show the following for each case:

1. The status of the investigation (i.e whether carried out by DPS without IPCC involvement, or whether the investigation is managed or supervised by the IPCC or is the subject of an IPCC independent investigation).
2. The name of the officer or member of police staff subject to investigation.
3. Whether the investigation arises out of a complaint or recordable conduct matter or from an internal allegation relating to conduct.
4. A brief statement of the nature of the allegation or investigation.
5. The date when the investigation commenced.
6. The duration of the investigation in days from start to date.

3. In any case where the investigation has exceeded 90 days, the Directorate of Professional Standards will at the same time provide to the Chief Executive and Clerk a statement setting out:

1. A more detailed description of the nature and substance of the allegations.
2. An account of the progress of the investigation with a chronology.
3. The reasons why it has exceeded the target time.
4. The need for the investigation to continue.
5. The estimated completion date of the investigation.

4. The Chief Executive and Clerk may request further information in relation to any case on that list, and may designate a case as one to be referred for scrutiny by Members of the Authority.

5. In exceptional circumstances, the Chief Executive and Clerk may designate a case where the investigation has not exceeded 90 days if she considers that there are good reasons to do so.

6. In any case where the investigation has exceeded 120 days, the case will automatically be referred for scrutiny by Members of the Authority.

7. Where cases are referred for scrutiny by Members (whether by designation by the CEO or automatically) the Directorate of Professional Standards will be asked to provide a Case Review Statement as approved by the Director or Deputy Director of DPS.

8. It is proposed that the Case Review Statement will set out the following:

1. A detailed description of the nature and substance of the allegations.
2. An account of the progress of the investigation with a detailed chronology.
3. A description of the main strands of the investigation showing any that have been discontinued.
4. A description of the steps taken to ensure that the investigation has complied with Lancet principles, and is proportionate.
5. Confirmation that the investigation has been subject to internal review.
6. The reasons why the investigation has exceeded the target time.
7. The need for the investigation to continue.
8. An estimated completion date for the investigation with an assessment of the risks of the investigation failing to complete in that time.

9. In any case referred for scrutiny by members, members may request a presentation by the Senior Investigating Officer (‘SIO’) at which the SIO will explain the progress of the investigation and the justification for the duration, and will answer questions from members.

10. As a result of their scrutiny, Members may make comment on the investigation. Those comments will be sent to the Directorate of Professional Standards for further consideration. DPS will however retain operational responsibility for the investigation and will remain accountable for the course of the investigation.

11. It is further proposed that scrutiny by the MPA should continue on a monthly basis until the matter is concluded.

12. For the purposes of this protocol, the clock will start when the investigation actually commences, even if it begins covertly. The MPA’s scrutiny of the case will begin after 120 days unless the investigation is still covert.

C. Race and equality impact

1. The principal purpose of the case management protocol is to ensure that the MPA exercises its oversight of MPS complaints handling and discipline functions and ensure that DPS investigations are conducted in an equitable and proportionate manner.

2. Prior to its implementation, the case management protocol will be subjected to a Race Equalities Impact Assessment in accordance with the Race Relations (Amendment) Act 2000. There will therefore be a full assessment of the race and equality impact of the proposed new procedure. In response to the EIA, Members will be further consulted about the detail of the protocol should any further amendments prove necessary.

D. Financial implications

The protocol has as far as is possible been built around the MPS’s existing management information. The cost of introducing and administering the oversight of investigations will be met from the existing budget.

E. Background papers

None.

F. Contact details

Report author(s): David Riddle and Claire Lister

For more information contact:

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

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