Police Scotland Organisational Learning

Unless otherwise stated, data in this section of the report refers to all cases considered by the PIRC. Whilst the vast majority of cases relate to Police Scotland, figures include a small minority relating to complaints handled by other policing bodies operating in Scotland.

Complaint Handling Review (CHR) Applications

Complaints handled by Police Scotland (and by other policing bodies operating in Scotland, including the SPA) may be subjected to an independent Complaint Handling Review (CHR) by PIRC. Within three months of receiving a final response from Police Scotland, complainers have the opportunity to request an independent review by PIRC in respect of how their complaint was handled. The PIRC publish an anonymised Executive Summary version of complaint handling reviews on its website.

As outlined in Table 9 below, the PIRC received 254 applications requesting a complaint handling review during 2022-23, which is broadly comparable to previous years[1]. 

Recognising that the number of CHR applications represents only a small percentage of the total number of complaints handled by Police Scotland, the PIRC have emphasised the importance of the CHR process being supplemented by ongoing dip-sampling and audit activity.

Table 9:

CHR Reports

Table 10 below provides details of CHRs which have been concluded during 2022-23. Following a peak in 2019-20, the number of CHR reports has reduced each year, although 2022-23 saw a notable increase in the number of heads of complaint reviewed, evidencing an increase in the complexity of cases considered[2].

Table 10:

CHR Outcomes

Table 11 below provides details of the proportion of Heads of Complaint (HoC) reviewed (and closed) by PIRC assessed as having been handled by Police Scotland to a reasonable standard, with 2022-23 seeing the highest recorded figure to date.

Table 11:

While CHR outcomes are assessed as ‘reasonable’ or ‘not reasonable’, the PIRC are proactive in highlighting good complaint handling practice in feeding back to Police Scotland and will comment in instances where this has been particularly good.

This now includes instances where the PIRC exercise Discretionary Decisions in not pursuing a Complaint Handling Review, with letters to Police Scotland highlighting good complaint handling and application of the PIRC Statutory Guidance. PIRC advise that they hope that, by highlighting good practice and reinforcing positive learning, complaint handling standards will improve and build public trust and confidence.

Whilst it is appreciated that the number of CHRs undertaken by the PIRC account for a very small proportion of all complaints handled by Police Scotland, Members continue to note the proportion not considered to have been reasonably handled, and have previously sought clarity on the embedding of learning to prevent occurrence.  

CHR Disposals

Table 12[3] below provides details in relation to CHR disposals that have been issued during 2022-23. Reconsideration Directions are reserved for cases where serious shortcomings or concerns have been identified. It is noted that no Supervised Reconsideration Directions have been made in the last four years, and that 2022-23 saw a further reduction in the number of recommendations and unsupervised reconsideration directions issued to Police Scotland.

The Committee has previously noted that it would welcome more granular detail in respect of CHR disposals.

Members sought assurance around follow-up by PIRC of recommendations for reassessment of complaints and were assured that Police Scotland are asked to implement all learning points, recommendations and reconsideration directions within 56 days. These are tracked and there is ongoing dialogue between PSD and PIRC around progress. Members have previously heard from Police Scotland that its position is to embrace all recommendations that are returned from the PIRC following Complaint Handling Reviews (CHRs), and from the PIRC that any recommendations remain open until they are satisfied that they have been fully implemented.

The Committee has previously noted that it would welcome further assurance reporting in this regard.

Table 12:

Recommendations Made

Table 13 below provides details on the recommendations issued to Police Scotland by type in 2022-23. Whilst there have been year-on-year improvements in the number of CHR disposals issued, recommendations continue to consistently identify common themes in respect of recording of individual complaints, insufficient complaint enquiry and quality of final response letters sent to complainers.

Police Scotland provided Members with a detailed overview of training in place for complaint handlers, although the PIRC have noted that from their perspective this is a key area with scope for improvement. They advised that they were liaising with Police Scotland in this regard, confirming plans in place to take this forward.

The Committee and PIRC have noted that, whilst the new Complaint Handling Model was still bedding in during 2022-23, the continued identification of these themes may be partly attributable to the normal flow of officers into and out of the Professional Standards Department. However, Police Scotland have offered reassurance that this is not the case.

Table 13:

Police Scotland Organisational Learning

Learning and improvement is a key focus across Police Scotland and, in particular, in respect of complaint handling and public confidence in the process. The Committee understands that Police Scotland is committed to promoting a culture of organisational learning, and that trying to reduce, appropriately, complaints is an organisational imperative.

Organisational learning is identified and derived through a variety of sources, including, but not restricted to, PIRC Complaint Handling Reviews (CHRs), PIRC Investigations, reports shared by the Crown Office and Procurator Fiscal Service (COPFS), audits by external agencies, internal reviews of particular incidents, conduct matters or processes, and from internal feedback identified as part of the complaint handling process.

There are various avenues for the dissemination of learning, review and the implementation of improvement of policies and procedures. The most appropriate route for dissemination is identified, whether through the governance structure instigated in respect of serious incidents, or through a communications strategy and via the monthly Divisional Commanders’ report, e-briefings, memoranda, news articles on the internal website and SPA Complaints and Conduct Committee quarterly reports.

Complaint handling is a standing item on local scrutiny boards, in preparation for which PSD engage directly with Divisions. Each month, Divisional Commanders are provided with complaint data, highlighting both quantity and types of complaints in their specific areas, alongside comparative data and any identified themes and/or trends. This forum is also used to deliver organisational learning messages and instigate associated actions. 

Compliance with recommendations and learning is monitored to ensure it has been successfully embedded in practice. The reports are supplemented by monthly meetings where learning opportunities can be identified and reinforced. Additional support can be provided by the learning and improvement team supported by the PSD training cadre.

In November 2021, Police Scotland committed to bringing forth future reporting focussed on learning, at both organisational and divisional levels, and how this is being progressed. The Committee previously noted that being a learning organisation, although the right thing to do, can be a challenge to achieve in practice. In November 2022, the Committee heard that Police Scotland was reviewing its approach to organisational learning (not limited to complaints), subsequently updating in March 2023 that processes were now being established to more effectively capture, implement and monitor the impact of learning. Police Scotland is also in the process of developing its first Learning and Development Strategy. As that work progresses, they have advised that they will consider internal governance structures across all functions, ensuring that the Professional Standards Department makes a positive contribution towards ensuring that Police Scotland becomes a thriving learning organisation. Police Scotland subsequently presented a report to the Committee in June 2023, which outlined current and planned improvements in respect of organisational learning in relation to complaints. The report acknowledged that they are keen to provide more substantive assurance reporting in this regard, and are committed to exploring how best to improve how the organisation captures, analyses and implements learning identified internally and not only as a result of formal recommendations from independent investigation or CHR, but noting that there are system challenges in being able to extract and analyse data to enable review of success of resulting improvement actions. Members encouraged Police Scotland to progress the continuous improvement element as much as possible and to assess the effectiveness of proactive steps being taken to reduce complaints.

Separate to the above, Police Scotland have, during 2022-23, enhanced the organisation learning section of its regular public report to reflect learning from analytical work identified following identification of particular complaint trends, and resulting action being taken in response, as well as more recently introducing content in relation to continuous improvement activity which seeks to prevent avoidable complaints arising in future. Police Scotland have also adopted a new IT system to improve its ability to track discharge of actions identified as a result of organisational learning more generally.

During 2022-23, Police Scotland introduced a Preventions and Professionalism programme, as part of a wider organisational values campaign, which is focussed on standards of professional behaviour, and which seeks to embed the desired organisational culture, and in turn prevent complaints arising in this regard. The programme, which has been informed using organisational learning identified from complaints, is being embedded across all stages of training within the organisation. Whilst Police Scotland advise that it will be difficult to quantify how many complaints are prevented as a result of this work, measures are in place for different parts of the programme which they hope will demonstrate impact in terms of improvements going forward. PSD have also developed a quarterly newsletter which aims to provide preventions messaging to mitigate the risk of officers and staff becoming the subject of a complaint or conduct investigation. Messaging is prioritised to raise awareness of the most common themes/trends arising from complaint or conduct investigations.

Members have sought clarity on steps being taken when individuals are identified across several complaint cases. Police Scotland confirmed that there is an Early Intervention process which is invoked by PSD if an individual is subject to four complaints in a rolling twelve-month period (regardless of whether or not upheld or individual shortcomings identified), and where the individual would be provided with corrective advice. They advised that, during 2022-23, the process was invoked in respect of 87 officers (18 of whom had previously been through the process on one or more occasions). In the vast majority of cases, this resulted in a notification being delivered by Divisional management, and involving discussion and reflection of complaints received, and addressing any influencing factors. The remainder of cases resulted in a Divisional Intervention meeting. Police Scotland advise that further assessment is required over a longer period of time to fully assess the effectiveness of the process, and whether this has resulted in a reduction in complaints. They also confirmed that a review is underway to consider further developing the early intervention process to consider information from a variety of other sources (not limited to complaints), with a focus on welfare, prevention and intervention to enable enhanced support to be provided to officers and staff.

Examples of learning identified during 2022-23 were as follows:

Learning in Respect of Complaint Handling

Much of the learning coming from 2022-23 Complaint Handling Reviews relate to compliance failings with the PIRC statutory guidance, and are broadly aligned to similar matters identified in 2021-22. Police Scotland have stated that many of these CHRs relate to investigations carried out prior to introduction of the new national complaint handling model in 2021. As learning from CHRs has become less relevant to non-PSD officers, an additional learning report was created in 2023 aimed at PSD complaint handlers only. Police Scotland hope that this targeted approach, within the new model, will result in improved standards and fewer learning points from CHRs arising in future.

• The importance of obtaining a statement of complaint from the applicant, taking account of their particular needs or circumstances, and ensuring a clear understanding regarding the matters to be investigated.
• Ensuring appropriate application of provisions within the PIRC statutory guidance in relation to FLR
• Ensuring correct application of the non-investigation provision in relation to non-criminal complaints. This relates to cases where FLR is unsuccessful but it may not be necessary or proportionate to progress to a full investigation.
• The importance of carrying out a thorough complaint enquiry, to enable a comprehensive response.
• Officers should be named in any response letters or their badge numbers referred to unless there is a specific officer safety reason for not doing so.
• Response letters should acknowledge any delay in the complaint handling processes (i.e. for those over 56 days), explain the reasons for any delay and provide the applicant with an apology.
• Timeous, accurate records should be kept, detailing all contact with an applicant and all enquiries carried out during the processing of complaints, enabling an audit trail of any decisions made and ensuring accuracy of final response letters.

Learning in respect of Policing Practice

• Local management within individual Divisions have implemented a range of actions to address matters raised following analysis of recent complaint trends:
  • One-to-one or group briefings, training or reference to guidance in instances where a lack of understanding of process or procedure has been identified
  • Training on customer care, including focus on dealing with members of the public who may be distressed, emotional or abusive
  • Identified need for development of Officer Safety Training in light of allegations of excessive force or assault
  • Reinforcing the importance of keeping members of the public updated where there are delays in responding
  • Continuing to ensure supervisory-level scrutiny of action taken by officers when dealing with incidents, in light of allegations of a perceived lack of police action
• Officers are reminded that the welfare of pets in the care of people in custody falls to the arresting officer (as opposed to the Criminal Justice Services Division)
• Officers must ensure compliance with Scottish Crime Recording Standard guidelines and the Disclosure of Evidence Manual in respect of the submission of exculpatory evidence to the Crown Office & Procurator Fiscal Service
• Officers are reminded of the definition of a ‘missing person’ as set out in the Police Scotland Standard Operating Procedure
• Officers are reminded that Standard Prosecution Reports (SPR) must contain valid and factual information that accurately reflects events and the evidence gathered during an investigation
• Officers are reminded that statements must be based on an individual’s own words (as opposed to copying SPR content)

[1] Data in relation to CHR applications specific to Police Scotland is only available from 2020-21, earlier data referring to applications received in relation to all policing bodies operating in Scotland.

[2] As above (with the exception of overall number of cases), data specific to Police Scotland is only available from 2020-21.

[3] As above, data specific to Police Scotland is only available from 2020-21.