Quality review of ethnic personnel data held by the MPS

Report: 10
Date: 10 April 2001
By: Clerk

Summary

This paper describes the systems the MPS have in place for collecting, counting and using data on the ethnicity of its workforce. The paper will be presented to the HR Committee to take forward the recommendations. It is provided as an example of the data quality studies that will be undertaken for PSPM and other committees.

A. Recommendation

That Members note this report and the approach taken to examining data quality.

B. Supporting information

Introduction

1. Collecting accurate personnel records, particularly in relation to ethnic identity, has become vitally important to the MPS. Equal opportunities and the need to have a MPS workforce that is representative of all communities have made this a very high profile matter. It is not surprising, therefore, that recent mistakes made with published figures for staff numbers by ethnic group were picked up by the press and adversely reported.

2. This paper was commissioned to examine the MPS systems that are in place for collecting, counting and using data relating to the ethnicity of its personnel. It is not intended to be an audit, but rather an informal study to examine what systems are in place, how they work and where problems have been and are being experienced. The paper is provided by the MPA Analytical team as information for MPA members and other officers.

Methodology used

3. A letter was written to Patricia Woods, Director of MPS Personnel Department, outlining the scope of the study and requesting assistance, information and meetings with relevant staff. In response, the head of the Performance Management Unit, Chris Haselden, was provided as a contact point.

4. An in-depth meeting and subsequent telephone interviews were held with Chris Haselden. Other information useful to this report has been provided by the MPA's HR Unit. An interrogation of the MPS personnel database was not carried out at this stage, as the MPS advised this was not necessary in carrying out the review. Information was obtained for police officers, traffic wardens and civilian staff. The MPS have agreed that a check of personnel data could form part of any follow-up work on this project.

5. For any future quality studies, having more than one contact MPS officer would help with the process of gaining information and it may be necessary to gain access to MPS data systems to provide a complete picture.

Classification of ethnicity

6. The MPS have implemented a 21-band classification system for recording the ethnicity of its entire police staff. This includes bands for 'not stated' and 'any other group' (see Appendix 1). This classification system can be condensed down to the amalgamated banding of Visible Ethnic Minority (VEM), which makes up 17 of the 21 bandings.

7. The 21-band classification process has developed in response to the classifications to be used in the 2001 Census. The opportunity was also taken to include some classifications specifically for the MPS. The Commission for Racial Equality, CRE, were consulted about this approach and were happy that the MPS were seeking a more flexible system more able to represent the diversity of London's ethnic communities. With the development of the new 21-band system, all police officers were asked to reclassify their ethnic identity in 1999.

8. The IT system for civil staff and traffic wardens personnel records could not incorporate the additional classifications at the time of the 1999 police classification update. The current system has 12 bands for civil staff ethnic classification. The records system for civil staff has now been developed to accommodate the 21 bands. Arrangements are currently being made to invite all civil staff to confirm or redefine their ethnic identity against the 21 bands.

Ethnic data and personnel files

9. The process for capturing, storing and collating ethnic staff data is shown in the diagram at Appendix 2. Initial ethnic data is captured for police officers at the recruitment stage, when Equal Opportunities/Ethnic Monitoring forms are dispatched with application forms to all potential applicants.

10. The Recruitment Branch (P7) records details from returned application packs centrally and the ethnicity of the candidate is recorded on the MORSE database system. For the purposes of monitoring, this ethnic code is referred to throughout the recruitment process. If an applicant is successful, their file is retained for any subsequent reference throughout their service. If a candidate is not successful, their recruitment file will be held for a maximum of three years after which time the file is destroyed in line with the requirements of the Data Protection Act.

11. When a new recruit enters Hendon, a profile training binder including their ethnic code is created on the individual, i.e. a paper record. Once an officer has completed training and is deployed to a borough, their binder goes with them to the local borough personnel unit. These binders are regularly updated throughout training and for the first 18 months of their probation, after which they are filed away until the officer either resigns or retires. Hendon will retain personnel files relating to training and these will include the recorded details of officer ethnicity

12. For civil staff and traffic wardens, similar central recruitment and personnel processes are in place, although in certain circumstances for some less senior and more ad-hoc civil staff positions, recruitment and employment may be instigated by the local borough personnel unit. All staff employed locally will adhere to the same equal opportunities monitoring system. For both police and civilian staff, local personnel related information is reported to the central personnel department, and from this information, the Workforce Data Branch will create a personnel file.

13. Each borough personnel unit maintains extensive personnel files, in paper copy and on the PIMS database system, for all their civil and police staff, which include details of ethnic identity. Overall, there will be three basic personnel files containing an ethnic code: the local PIMS record; the local paper-based personnel file; and the central computer record.

14. Any updates on personnel matters, including details of sickness, grievance and deployment, are regularly dispatched by paper file (called Variation Sheets) to the central Personnel Department, at which stage the information is relayed to the appropriate unit/units. The Workforce Data Branch will then update its personnel records.

15. In the event that an officer transfers to another borough, the local personnel department will carbon copy the officer's personnel file and send it to the new borough personnel unit via floppy disk and paper copy. The old file will be closed and notification sent to the workforce data branch. A similar process occurs for officers transferring to other forces.

16. With the exception of the Performance Management Unit, each of the 19 units in the central Personnel Department (not including Occupational Health) deals with information relating to its own specific personnel related area. Each unit stores the information on its own independent database and creates regular, low level reports. These reports are then collated and interpreted by the Performance Management Unit, which creates higher level reports (Management Information) for a variety of audiences including the MPA's HR Committee.

Problems with the system

17. The main problem with personnel data relates to the lack of an overarching or unified personnel database. This means that the units within the central Personnel Department are reliant on receiving information updates from the boroughs, Hendon and other local personnel units. From these updates, the central personnel units are able to maintain their databases and produce regular statistics.

18. The statistics produced by the central personnel units are not considered suitable for presentation as management information until they have been analysed and interpreted by the Performance Management Unit. This is indicative of the problem of the central units being reliant on receiving reliable information from the boroughs. In addition, without direct electronic communication links, the central personnel units will always have data that is at least several days out of date. There is also scope for error in the interpretation of data by the Performance Management Unit.

19. In the absence of one overarching IT/database system, the ability to develop and respond to queries is seriously limited. Most routine queries can be answered easily, such as overall sickness rates and retention rates. However, more complex or non-routine enquiries can cause problems.

MPS position

20. The MPS acknowledge the problems outlined above. To put it simply, current IT systems cannot cope with current personnel demands. However, in-built quality checks in the system mean that data is routinely checked at several points and this means that any errors are more likely to be picked up before they become management information.

21. The current problems identified should be rectified with the introduction of PRISM, a much more sophisticated IT system, which should be capable of handling and storing all personnel information on one system. It has the capability to generate queries and will link all personnel databases within the same system. It is expected that PRISM will be introduced to the MPS within the next 9-18 months. HR Committee receives regular updates on the progress in implementing PRISM.

22. Measures have been put in place to minimise errors in personnel data reporting. The Personnel Department has been the subject of Home Office audits and the MPS has also taken on board current Home Office counting rules and other related procedures.

Next steps

23. There are a number of matters arising from the findings of this report which have been provided as recommendations for the HR Committee to take forward:

• the MPA should seek confirmation from the Home Office that the MPS Personnel Department has the capacity to adopt current counting rules for personnel data;
• some measure of 'needs analysis/gap analysis' might be undertaken to ensure that PRISM will be able to address current problems;
• the MPA should continue to monitor the progress of implementing PRISM and formally elect a lead MPA officer and member for PRISM;
• members should be advised of the time delay and potential for error in data;
• MPA members should consider carefully the resource demands of compiling non-standard reports before commissioning or requesting any such reports.

C. Financial implications

There are no financial implications arising from this paper.

D. Background papers

None.

E. Contact details

The author of this report is Max Edelstyn.

For information contact:

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

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