MPA dip sampling of public complaints (local resolution)

Report: 10
Date: 18 May 2006
By: Chief Executive and Clerk

Summary

This report summarises the outcome of the MPA’s review of a further selection of MPS closed public complaints files. The cases identified as being suitable for review on this occasion were limited to those complaints that had been dealt with under the local resolution procedures. For each case reviewed, the MPA made an assessment as to whether the complaint had been resolved in a timely and customer-focused manner and in accordance with procedure [1].

The MPA has already shared its findings with the new Prevention and Organisational Learning Command within the Directorate of Professional Standards (DPS) and has discussed what further steps may now be taken to make local resolution work better. The overall emphasis of the dip sampling exercise has therefore been directed towards achieving organisational learning to ensure the future successful use of local resolution and hence build communities and police officers confidence in the complaints system.

A. Recommendations

That

1. members note the outcome of the MPA officers’ review of locally resolved public complaints files; and
2. agree to receive at the next Professional Standards and Complaints Committee (PSCC) meeting, a MPS progress report detailing work that has been undertaken in satisfaction of recommendations made by the MPA to improve effectiveness in complaints handling.

B. Supporting information

Background

1. In its Statutory Guidance the IPCC states: “Most people who make complaints about police have them resolved locally by the force …local resolution is usually the most appropriate and proportionate response. If handled confidently and professionally, this approach will have a positive impact on the views of people about policing in their area. This, in turn, will lead to increased public confidence and better community engagement and co-operation.” (para 5.3.1 ‘Making the New Police Complaints System Work Better’ IPCC Statutory Guidance).

2. Given the significance attached to resolving complaints locally and in an effective way, MPA officers considered it appropriate to conduct a themed review of closed public complaints files, focussing upon the use of local resolution.

3. Although the number of cases selected [2] is negligible by comparison with the percentage number of complaints that the MPS resolves locally [3] per annum, the MPA’s scrutiny, especially when considered alongside the DPS Prevention Command’s initial response to those findings, can be influential in encouraging change and improvement in the MPS’s application of the local resolution process.

4. The remainder of the report therefore concentrates upon providing examples of best practice and identifying areas of improvement. Where appropriate, a statement by DPS is provided confirming how the MPA’s findings and recommendations either dovetail with initiatives currently being worked upon by DPS Prevention Command or initiate further changes in the way the procedures are interpreted and applied.

Positive feedback

5. As in previous dip sampling exercises, in order to reinforce best practice in complaints handling, the MPA has provided the MPS with positive feedback.

6. Included in the examples of good practice, manifest in the complaints files, was evidence that complainants’ informed consent was as a matter of course sought before attempts were made to locally resolve complaints. In addition, complainants appear consistently to have been advised of their right of appeal. In the selection of files reviewed, there was no evidence of any attempts being made to locally resolve complaints in the absence of consideration being given as to whether a referral to the IPCC was appropriate.

MPA findings and recommendations for change

Abolition of the use of Form I63D

7. Form 163D serves the purpose of a Regulation 9 Notice in cases deemed suitable for local resolution and is a formal notice issued in accordance with the Police (Conduct) Regulations. The form outlines the allegation and advises the officer of his rights and obligations.

8. Form 163D is integral to any disciplinary and or potential criminal proceedings. Its use, in terms of notifying officers of a complaint that is suitable for resolution under the local resolution procedures, is as a result of its association with the discipline procedures, problematic on the grounds that the form may be viewed as blurring the distinction between local resolution and the commencement of disciplinary proceedings.

9. The local resolution procedures should never connote the commencement of an investigation leading to discipline and it is for this reason that the MPA makes the recommendation that the use of form 163D under the local resolution procedures is abolished forthwith.

10. Notification of the complaint to police officers and staff is obviously required. However, the MPA recommends that this be undertaken in a less formal way designed to encourage open participation and learning.

11. The MPA recognises that form 163D has already undergone some amendment in an attempt to make it ‘fit for purpose’ within the framework of the local resolution procedures. It is understood, however, that DPS officers are currently amending the format of the complaints forms and preparing template letters, which will in the future be used to inform officers of the concerns that have been raised about them and promotes an effective resolution.

DPS comment: DPS are keen to break the link between local resolutions and disciplinary procedures. The removal of form 163D, was amongst a number of measures proposed recently by the DPS Investigations Command to improve the Local resolution process. Work on this is currently being implemented through Prevention Command and DPS Policy Unit.

Customer focused communication and the sharing of best practice

12. The selection of case files which the MPA dip sampled on this occasion included copies of correspondence sent to the complainant at the conclusion of the local resolution procedures. The scrutiny identified a difference in the quality and style of the letters used by Internal Investigations Command. In particular, the MPA observed differences in the wording of letters used by IIC (South West Region) and IIC (South East Region); the latter adopting a more customer focused approach.

13. In the written response, already provided to the Prevention Command, the MPA comments as follows upon the wording of decision letter used by IIC (South East Region): “the letter to the complainant confirming the outcome of the local resolution procedures is clearly written in plain English and includes some customer focused comments e.g. ‘You have my assurance that we are committed to resolving the points you raised with us and improving the service we offer to the community. Please let me close by expressing my sincere thanks. This has been a constructive process for all of us here and your cooperation has been invaluable. Thank you again.”

14. Similar customer focused wording does not appear to have been adopted by the other three divisions of Internal Investigations Command. The MPA therefore recommends that examples of best practice are shared across the organisation and that a consistent corporate service style is adopted in which the use of plain English is central.

15. The MPA further recommends that complainants are provided with a reasonable explanation as to the steps taken to resolve their concerns and that any action, which the organisation has taken to improve the standard of service provided, in response to the complaint, is also communicated. From the sample of cases screened it would appear that the MPS is often limited in the information it provides to complainants and hence misses an opportunity to raise public confidence in the complaints system.

DPS comment: The letter style used by the DPS Investigations Command has been approved by the Plain Language Commission and utilises the sentences in italics above. Both that aspect and the opportunity the letter affords to raise public confidence will be the subject of reminders to all Supervisors and staff.

Encouraging the resolution of complaints at borough level - establishing confidence in the use of local resolution

16. The MPA identified in its review of the files a degree of reticence on the part of some boroughs to resolve complaints locally without the involvement of DPS Internal Investigations Command.

17. This is clearly demonstrated in one of the complaints files in which it is evident that the BOCU formed the opinion that because the complainant had a complaints history, the local resolution procedures would not be applicable in resolving the current complaint. An attempt was therefore made at an early stage to refer the complaint to DPS for investigation.

18. It is a recommendation of this report that DPS works with individual BOCUs to ensure that line managers, at borough level, are equipped to deal confidently with the local resolution of complaints. It appears to the MPA that there are gaps in the knowledge and expertise of line managers to deal with complaints through local resolution. This gap needs to be addressed as a matter of priority through further training.

19. The MPA considers that investment in training first and second line managers will not only impact upon the quality of complaints handling generally but will also assist the MPS in responding to the IPCC’s expectation that forces will work towards reducing the average time taken to complete an informal resolution to within 28 days.

DPS comment: The Prevention Command are currently addressing this through training days with all single points of contact (SPOC) within the MPS. A new guidance for police managers on Local Resolution has been written and passed to The DPS Prevention Command and DPS Policy Unit for implementation.

Educating police officers and staff about the use of local resolution - Identifying organisational learning

20. There appears to be a lack of understanding amongst police officers, and presumably police staff, about the purpose of the local resolution procedures. Some of the complaints files reviewed by the MPA include documented comments, which are suggestive of a lack of confidence and indeed frustration with the process.

21. One file included the comment that officers who were the subject of the complaint “felt aggrieved” that the matter had been locally resolved as they did not believe that their actions were incorrect; the inference being that officers would have preferred it if the complaint had been subjected to a full investigation.

22. In response, the MPA recommends that officers and staff are better educated about the purpose of the local resolution procedures; namely that the procedures are a legitimate means of following-up on public concerns without apportioning blame.

23. The IPCC recommends that local resolution should be about management action to improve services and should be viewed as assisting the organisation in providing an opportunity to acknowledge, if appropriate, when something could have been handled better or differently. It is therefore recommended that the MPS send out a clear message to officers and staff, which encourages them to concentrate upon the benefits of local resolution. Some of the proposed changes as referred to above i.e. the removal of Form 163D should assist in altering officers’ perception of the process.

DPS comment: The DPS Prevention Command is already taking these forward and marketing changes to promote the ethos of learning and resolution versus discipline and sanction.

The importance of receiving customer feedback

24. One of the questions, which the MPA attempted to assess when evaluating the general standard of complaints handling was whether complainants appeared satisfied with the outcome of the process. The only measure of this was whether the complainant had subsequently appealed to the IPCC. However, this in itself was not viewed as being truly indicative of the degree of satisfaction or dissatisfaction which complainants experienced.

25. The MPA therefore included in the feedback it provided to Prevention Command a recommendation that consideration be given to providing complainants with an opportunity to provide feedback. Similiarly, consideration should also be given to inviting feedback from officers who have been the subject of complaints resolved under the local resolution procedures.

DPS comment: This raises quality of service issues that are best progressed by the DPS Prevention Command in conjunction with the DPS Investigations Command.

C. Race and equality impact

1. Work undertaken by the MPA and MPS in furtherance of the dip sampling protocol derives from recommendations of the Morris Inquiry to ensure that complaints are handled in a fair, proportionate and timely manner.

2. The principal purpose of the protocol is to provide the MPS with feedback on the standard of complaints handling by identifying examples of best and worst practice. Where necessary, recommendations will be made to effect positive changes to complaints handling procedures to ensure complainants’ communities’ and police officer/staff confidence in the process.

D. Financial implications

There are no direct financial implications arising from this report. It is anticipated that all initiatives generated by the dip sampling process, which DPS absorb within its work programme, represent core business for the Prevention and Organisational Learning Command and will therefore be met by current budgetary allocations.

E. Background papers

None.

F. Contact details

Report author(s): Claire L Lister, MPA.

For more information contact:

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

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