Internal Audit Directorate: review of public complaints

Report: 9
Date: 10 November 2005
By: Chief Executive and Clerk

Summary

A comprehensive review of the policies and procedures for dealing with public complaints within the MPS has been carried out as part of the MPA’s 2004/2005 Internal Audit Plan. The audit objectives were to review and evaluate the adequacy and effectiveness of MPS management systems for the operation and control of public complaints. The findings and recommendations are detailed in an Internal Report entitled “Complaints – Monitoring, Statistics and Records” which was published on 22 August 2005. The report includes a detailed action plan in which recommendations are made to improve the system for complaints handling.

A. Recommendations

That the Committee note the audit objectives, findings and key recommendations

B. Supporting information

1. The scope of the MPA Internal Audit Directorate’s review concentrated upon systems operating within the Borough Support Unit under the command of Internal Investigations Command (DCC8 (2)), which deal with the majority of public complaints. The review involved an inspection of approximately 120 public complaints’ files and included an evaluation of monitoring and recording practices.

2. The overall opinion is that some of the controls, which have been implemented to ensure that complaints handling is operating effectively, are failing. For example, the system of control to ensure that performance meets management expectations is considered to be inadequate. In 39% of the cases reviewed, controls over completeness of records and processes were not operating effectively. The effect of which being that complaints records are incomplete and inaccurate, referrals from BOCU to BSU are not operating within prescribed time limits and communications with complainants and police officers are inadequate.

3. The importance of taking corrective action, and the risk posed in permitting the shortcomings to continue are highlighted in the report. The key recommendations for improving complaints handling procedures are summarised at paragraphs 5.1 to 5.8 in the executive summary to the Report and are detailed more fully in the action plan (Appendix1).

4. Whilst remedial action has already been taken in completion of the majority of recommendations, the following are awaiting a management response:

• Review and update of existing Service Level Agreements (SLA’s) i.e. between Internal Investigations Command, CPS, IPCC;
• Possible amendment of the Service Level Agreement with BOCU Commanders so that the complaints “Champion” within each BOCU is an Inspector grade or above;
• Enhanced liaison and co-ordination between BOCU and BSU staff;
• Improved procedures to ensure that management information is kept complete; and
• Improvements in the system for record keeping to ensure the accessibility and security of file papers.

5. The target date for completion of the outstanding work is 1 January 2006.

6. The MPA intends to review progress made in the implementation of each of the recommendations in August 2006. It is however anticipated that the Fundamental Review of the Directorate of Professional Standards will integrate the outstanding recommendations in to its work programme and will make the necessary improvements within the identified time frame.

C. Race and equality impact

The proposals in the report espouse the recommendations of the Morris Inquiry to increase awareness of the complaints procedure and to ensure that complaints are resolved in a fair, proportionate and timely manner. The report is aimed at improving responsiveness both to complainants and to officers who are the subject of complaints in order to increase confidence in the system of complaints handling.

D. Financial implications

There are no direct financial implications arising from the recommendations and action plan contained in the Internal Audit Report. It is anticipated that the cost of implementing any outstanding recommendations will be absorbed in the current budgetary allocations for the DPS Fundamental Review Programme.

E. Background papers

None.

F. Contact details

Report author(s): Claire L Lister

For more information contact:

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

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