Investigative performance and misconduct procedures

Report: 11
Date: 14 February 2002
By: Commissioner

Summary

Public complaint allegations have continued to reduce at an annual rate of about 12%. A higher percentage of fully investigated allegations are being substantiated. 

The total number of current public complaint investigations has reduced considerably from 999 to 946 since October 2001. There has been a decrease in the number of internal investigation cases over 120 days old. 

A system has been designed to monitor and analyse the 'throughput' of cases by investigating officers. This will form the basis of information to PSPM on the timeliness of completed investigations.

A. Recommendation

1. Members are asked to note the report.
2. Members are asked to agree that information on patterns and trends in complaints, and on the workload, throughput and timeliness of Directorate of Professional Standards (DPS) branches be provided to the MPA prior to visits to branches.

B. Supporting information

Background

1. Following agreement at the last Professional Standards and Performance Monitoring (PSPM) Committee meeting, the summary of key performance indicators is attached at Appendix 1 (see Supporting material) and focuses on timeliness, quality and outcomes.

2. Due to seasonal factors, December figures are never fully representative of trends so should be treated with some caution. Analysis in this report is largely based on November figures or longer-term trends.

3. The diversity information template is attached at Appendix 2 (see Supporting material) and as agreed at the last PSPM includes actual data for all subjects.

4. The Report by the Clerk to this PSPM meeting on 'Member Involvement in Monitoring Complaints' makes recommendations on information to be provided prior to visits by Members to DPS branches. It is proposed that DPS provide in advance of visits information on patterns and trends in complaints by Borough and OCU, and a full analysis of the workload, throughput and timeliness of investigations for each DPS branch.

Key Performance Indicators
Complaints Reduction

Public Complaints (BVPI 21)

5. It is encouraging that there is a continued reduction in the number of complaint cases and their associated allegations between July and December 2001. There has been on average a 10% to 12% reduction each year since 1997/98.

Substantiation (BVPI 22)

6. The percentage of fully investigated allegations being substantiated has increased once again. Between July - Dec 2001 it is 15% on average compared to an average of 8% between July - Dec 2000.

Suspended officers / restricted duties

7. Following the significant efficiency gains associated with the reduction in the number of suspended officers outlined in the last PSPM report, the number of officers suspended in the last 12 months is 33, compared to 76 officers suspended in 2000/01. At the end of December 2001 there were 65 officers currently suspended compared with an average of 113.5 in the 12 months to December 1999.

8. This continues the progress praised by HMIC in the 2000/01 Inspection of the MPS. As noted in the report (para 7.7) it "has had a positive impact on morale and increased the pool of officers available for duty".

9. The decrease in the number of suspended officers is partly responsible for the upward trend in the number of officers placed on restricted duties, as restricted duties are increasingly used as an alternative to suspension.

10. Further information will be found in the report by the Commissioner on 'Police Suspensions Policy' considered by the meeting of the Metropolitan Police Authority on 18 January 2002. This includes details of legislation and the MPS suspension policy.

Investigative outcomes (public complaints)

11. The total number of allegations finalised is approximately half of the previous month's figure, largely due to the CPS, PCA and DPS offices being closed over the holiday period.

12. There has been a reduction in the percentage of allegations that were Immediately Informally Resolved (IIR) for November and December. This will be closely monitored in February and March to see whether it is a trend that requires further action.

Timeliness

13. A system has been developed to measure the 'throughput' of all Investigating Officers' cases. This has been given the working title of 'IOTA' (Investigating Officer Throughput Analysis). It will be produced monthly and will show the average days taken to complete the investigation of public complaints and internal investigations, with separate figures for each type of outcome (Immediate Informal Resolution, Withdrawn, Informal Resolution, Dispensation or Full Investigation).

14. A sample of the IOTA template is attached to show how the figures will be produced. A summary will be completed for each DPS unit and for the MPS as a whole. DPS staff are currently validating the initial figures and they will be included in the Timeliness section of Appendix 1 (see Supporting material) for the next PSPM meeting.

15. In order to reflect more accurately the timeliness of an investigation from the complainant's perspective, the Investigating Officers Workload Analysis (IOWA) has been modified. It now calculates the number of days outstanding using the date the complainant makes the complaint rather than the date the complaint is recorded on our system. Until now it is the system-recorded date that has been used to calculate DPS performance.

16. This change has resulted in a slight increase in the percentage (43% to 44%) of complaints being investigated currently over the 120-day target. However, it is a more accurate approach to showing progress on a key non-financial benefit of the Best Value Review.

17. The number of public complaint cases over 120 days peaked at 440 in October 2001 but had reduced to 416 in December 2001. In this period the total number of current public complaint investigations has reduced by 5.3% from 999 to 946. The percentage of cases currently over 120 days has remained at about 44% since October 2001.

18. Since October 2001 the number of current internal investigations has reduced by 7.6% from 198 to 183, and the percentage of internal investigations currently over 120 days old has fallen from 61% to 58%. Internal investigations are currently taking longer to finish than public complaints, which have been prioritised. The case review process conducted by all DPS branches is intended to bring cases to a conclusion as soon as possible. When the process identifies common reasons for delay, these are taken up with the branches or OCUs concerned.

CPS/PCA decision

19. Although the average time taken for the CPS and PCA to provide DPS with a decision remains fairly consistent across the period (CPS 51 days, PCA 39 days for dispensation requests and 58 days for investigations), the figures represent a considerable delay to the resolution of the complaint as far as the complainant is concerned. These days are in addition to those taken by DPS to conduct the investigative process.

20. Members will be aware of the Learning Lab set up to reduce bureaucracy and delay in the police complaints system, co-ordinated by the Cabinet Office with PCA, CPS, MPA & MPS representatives. On 10 January 2002 the Steering Group decided to put more focus on the Learning Lab Working Group, to which a Home Office representative will be invited. The Working Group will identify changes to processes and practices that will reduce delay in any part of the police complaints system. Changes will be implemented more quickly by removing the need to refer proposals back to the Steering Group.

Diversity information

21. The diversity information template (Appendix 2, see Supporting material) provides an overview of diversity information. It will prompt more detailed analysis as to whether the proportions of people of different ethnic groups are out of line with their representation in the MPS workforce or London population.

22. As agreed at the last PSPM meeting data is now included for all subjects. The ethnicity or gender of complainants may be unknown or not shown on the information system, so the numbers of complainants of different ethnicity or gender may not sum to the total shown. The percentages shown are calculated as a proportion of the information that is known and will thus sum to 100%.

Further research

23. Wherever disproportionality has been identified, further work will be undertaken to analyse patterns, trends and possible causes. This research will be guided by consultation between DPS staff and members of the Independent Advisory Group. From this action plans will be developed to tackle the causes and consequences of disproportionality. Emerging findings will be reported to the next PSPM meeting.

Public complaints (recorded) – complainants

24. The number of complainants in the last 12 months has been 3326, a reduction of 24% since 1999/2000.

25. The numbers of complainants of white, black, Asian and other ethnicity have all fallen since 1999/2000. The proportion of complainants who are white has fallen to 53%, while the proportion who are black has increased to 31%, and the proportion who are Asian or of other ethnicity has remained stable at about 10% and 6% respectively.

26. The proportion of complainants who are female has remained close to 30% since 1999/2000.

Public complaints (recorded) – officers

27. The number of officers receiving public complaints has continued to fall in line with the reduction in allegations. In the last 12 months white officers comprised 95.3% of those receiving complaints, compared with a 95.6% representation in the workforce.

Stop & Search only (recorded)

28. In the last 12 months 171 people have made complaints about stop & search. This represents 0.2% of the 100,072 stop & searches conducted in this period. This compares with complaints by 277 people in 2000/2001, a reduction of 106 or 38%.

29. The proportion of these complainants who are black is 48%, the same as last year, but a rise from 41% in 1999/2000. The proportion of complainants who are white has continued to decline from 44% in 1999/2000 to 36% in the last 12 months. The proportion of complainants of Asian or other ethnicity declined from 10% & 5% respectively in 1999/2000 to 6% & 3% in 2000/2001, but in the last 12 months has risen again to 10% & 5%.

Racially discriminatory behaviour allegations only (recorded)

30. Between 1999/2000 and 2000/2001 total allegations of racially discriminatory behaviour recorded dropped by 20%, and a similar drop is expected for the current financial year. The percentage breakdown of these allegations by ethnicity and gender has remained similar across all three years. In the current period, the great majority of complaints relating to racially discriminatory behaviour are by visible ethnic minority males, only 11.7% of complainants being white.

Internal investigations (recorded) officers

31. In the last 12 months internal investigations have been commenced into the conduct of 549 officers. 3.8% of these officers are black and 2.0% Asian, which is twice their representation in the workforce. This area will receive particular attention in the research to be conducted.

Suspended officers

32. The number of officers who were suspended in the last 12 months has halved compared with 2000/01. Of the 33 officers suspended in the last 12 months, 3 were black and 3 Asian, which is disproportionately high compared to their representation in the workforce. It must be noted that all these suspensions are subject to a formal monthly review.

Informal discipline as result of investigation (excluding written warnings)

33. The number of officers receiving informal discipline sanctions for internal investigations is reducing across the period. However, there has been a 14% percentage increase in informal discipline arising from public complaint investigations since 2000/01.

34. There is disproportionality in relation to informal discipline in both public complaint and internal investigation cases. This is most evident in relation to black officers, who in the last 12 months made up 4% of those informally disciplined for public complaints and 10% of those informally disciplined after internal investigations.

35. The data suggests that written warnings are being used more extensively as a sanction in misconduct matters, with 170 officers receiving a written warning in the current financial year to date compared to only 78 when the facility was introduced in 1999/00. There is a correlation between the drop in informal discipline as a result of internal investigations and the rise in the use of written warnings. These findings are in line with the DPS policy to encourage the use of written warnings by Borough and OCU management, as an alternative to undertaking lengthy and expensive internal investigations.

Misconduct / Discipline Hearings

36. Officers are more likely to face formal discipline as a result of an internal investigation than a public complaint. For the current period there are 88 officers under internal investigation and 39 from public complaints which resulted in formal discipline. This tendency is apparent across all three years.

37. The number of officers receiving 'dismissal' as a sanction following a discipline or misconduct hearing is reducing and has only been used against officers who have been the subject of an internal investigation. In future the figures will include officers who have been 'required to resign', so as to reflect more accurately the number of officers leaving the MPS as a result of misconduct.

38. Further work is being undertaken to research any disproportionality in the outcomes and sanctions from misconduct hearing.

Action plans

39. As noted above, further analysis and research will be conducted into disproportionality relating to public complaints, internal investigations, suspensions, informal discipline and formal discipline, with support from the Independent Advisory Group. Action plans will then produced to deal with the causes and consequences of disproportionality. Emerging findings will be reported to the next PSPM meeting.

C. Financial implications

None arising from this report.

D. Background papers

None.

E. Contact details

Report authors: T/HEO Mike Clark.

For information contact:

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

Send an e-mail linking to this page

Feedback