Investigative performance and misconduct procedures

Report: 5
Date: 11 December 2001
By: Commissioner

Summary

Templates have been developed to report to the MPA on the Directorate of Professional Standards (DPS) key performance indicators and diversity information, to be supplemented by trend analysis and exception reporting. 

Public complaint allegations have continued to reduce at an annual rate of about 12%. A higher proportion of fully investigated allegations are being substantiated. There have been slight improvements in the timeliness of investigations. All cases are now subject to 60 and 100 day reviews.

A. Recommendations

That Members agree the proposed templates for key performance indicators and diversity information.

B. Supporting information

Background

1. At the Professional Standards and Performance Monitoring Committee (PSPM) in September 2001 a report on the 'Proposed process for reporting on DPS performance and development projects' was considered. The Committee agreed the following recommendation that:

'At each meeting the Committee receives a report on 'Investigative Performance and Misconduct Procedures'. This would include a summary of key performance indicators, with supporting information accounting for exceptionally good or poor performance. It would replace the current quarterly reports to the MPA. Around June of each year it would be supplemented by a report on the previous year's performance and annual trends'.

2. The summary of key performance indicators (Appendix 1) focuses on timeliness, quality and outcomes.

3. The proposed diversity information template (Appendix 2) does not include figures on this occasion, as agreed with the MPA, so that effort could be concentrated on developing the information processes. If the proposed template is agreed, figures will be included for all subjects for the next PSPM meeting.

Key Performance Indicators

4. The summary of key performance indicators (Appendix 1) provides information on:

• levels of recorded complaints;
• numbers of officers suspended or on restricted duties;
• number of people charged with corruption offences;
• outcome of investigations;
• timeliness of investigations;
• timeliness of CPS & PCA decisions; and
• timeliness of the misconduct process

5. It is intended to move to rolling 12 month figures to smooth out monthly variations in figures, but until sufficient data is available, monthly or 'financial year to date' figures will be shown. Some items are under development and it was not possible to complete them in time for the publication of this report.

Complaints Reduction

6. The number of complaint allegations so far this year (Apr-Oct 2001) continues the reduction seen over recent years. Assuming a similar level of allegations over the remainder of 2001/02, the reduction is likely to be similar to the 12% reduction seen over 2000/01.

7. The figures for the most recent month are subject to revision upwards, due to delays in recording the outcome of complaints informally resolved by Boroughs. Thus the apparently greater reduction seen in September and October cannot yet be validated. Action is being taken to speed up the recording of such cases.

Outcome of Investigations

8. The proportion of fully investigated allegations that are substantiated is now consistently above 10%. Substantiated allegations as a percentage of all completed complaint allegations remain at 3% over the year to date (as shown in the last report to the MPA) compared with 2% last year.

9. There are significant time lags in the figures for dispensations, substantiated and unsubstantiated allegations, as these are not 'finalised' until the PCA's decision is received. Thus the October figures relate to investigations that were completed in the summer.

10. The substantiation rate of 26% for October 2001 is unlikely to be sustained as it is largely due to the restructuring of two DPS Borough Support branches in the summer. This entailed higher levels of submission of substantiated investigations by Investigating Officers preparing to leave DPS, and a low level of completed full investigations whilst teams were being realigned.

Timeliness

11. In order to restructure DPS Borough Support and achieve cashable efficiency savings by reducing management posts, investigative teams have been amalgamated and realigned to different boroughs.

12. The change process was most significant between June and September 2001. There are now 17 investigative teams, with only 2 still led by chief inspectors, compared with 34 in 2000. Most of the new Investigating Officers (IOs) have much less experience of complaints investigation than the chief inspectors they have replaced, and it is taking several months at least for the IOs to 'get up to speed'.

13. In addition, a rigorous risk assessment process was introduced in August 2001, which the IOs are required to carry out for all new cases and most cases currently under investigation. With the assistance of these risk assessments, IOs have concentrated on the oldest and highest risk cases. The one-off realignment of teams to Boroughs meant that IOs had to review all the cases they took over. These processes were essential, but have delayed progress in improving the timeliness of investigations.

14. Since the end of June 2001, the total number of current public complaint investigations has been very slightly reduced from 1012 to 999. Slightly more allegations have been finalised than have been recorded. The number of public complaint investigations currently over 120 days has decreased very slightly, as has the number over 240 days. The percentage of cases over 120 days has increased, as the reduction in public complaints since last year means fewer new cases are coming in at the beginning of the investigative process.

15. In this period, the number of current internal investigations has been reduced significantly from 253 to 198, and there has also been a slight downward trend in the percentage of internal investigations currently over 120 days.

16. A rigorous system of 60 and 100 day reviews of all investigations was implemented in September 2001. This was piloted at DPS (North East) over the summer and has led to significant reductions in the oldest cases. The combination of risk assessment, decision logs and this review process will improve timeliness and will justify any unavoidable delays.

Diversity Information

17. The proposed diversity information template (Appendix 2) is intended to provide an overview of diversity information and prompt more detailed analysis of any apparent disproportionality. If the proposed template is agreed, figures will be included for all subjects for the next PSPM meeting.

18. A process has been developed to produce information to meet the needs of the MPA, MPS Diversity Directorate and Independent Advisory Group members. The same process will be used to provide borough figures for inclusion in the Fair Practice (External) monitoring templates being developed by the Diversity Directorate.

19. The Race Relations (Amendment) Act places an obligation on the MPS to 'ethnically monitor and analyse disciplinary action', and "publish annually the results of that monitoring". This is taken to be the monitoring of internal investigations, public complaints, suspensions, disciplinary action taken and the result of misconduct hearings.

20. HMIC, in the 2000/01 Inspection of the MPS, also recommended monitoring trends in allegations of racially discriminatory behaviour and taking necessary remedial action. (Para 7.6).

21. For each subject the total number of complainants or officers is shown, with percentage breakdowns by ethnicity and gender. When the identity, ethnicity or gender of a complainant or officer is unknown, they will still be included in the total numbers, but excluded from the percentages. For example, the percentages show male / female officers as a percentage of all officers whose gender is known.

22. The time periods proposed for comparison are the two previous financial years and the rolling 12-month total, in order to provide statistically significant figures. Ethnicity is shown as white, black, Asian or other, as any more detailed breakdown will not be statistically significant. Any change to use the 23 census codes or the 9 Home Office codes would restrict comparison with historical data.

23. Though it is not currently possible to provide information on the level of allegations of homophobic behaviour, it is intended to introduce a flagging process shortly. It is not possible to use the current IT system to record the ethnicity or gender of the officers or civil staff who make allegations that are subject of internal investigation.

C. Financial implications

There are significant efficiency gains associated with the reduction in the number of suspended officers. These are identified in the December 2001 report to the PSPM on the 'Professional Standards Best Value Review Implementation Plan'.

D. Background papers

None.

E. Contact details

Report authors: Superintendent Tony Dawson, MPS.

For information contact:

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

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