SPA Complaints Performance

The following charts provide information regarding the handling of relevant complaints received by the Authority during 2022-23, and provide comparison to previous years. Due to prior arrangements for reporting to Committee, trend information is only available (except where otherwise stated) from 2019-20. Earlier data based on the previous reporting approach is outlined in previous annual reports.

In all instances, data below relates solely to cases received within the remit of the SPA. The SPA continues to receive significantly more complaints than it is responsible for within the legislative framework. The vast majority of these are matters which require to be brought to the attention of Police Scotland’s Professional Standards Department (PSD). Engagement has taken place with other policing oversight bodies, which has evidenced that the SPA is not unique in this regard and that activity to ensure appropriate signposting to complainants is consistent with that undertaken elsewhere.

Complaints

Figure 1, below, shows the number of relevant complaint cases received per year, as well as other cases within the remit of the SPA (see Introduction). ‘Other’ cases include grievances, whistleblowing, miconduct allegations, criminal allegations etc.). In the context of low case numbers received generally, volumes of relevant complaint cases (and allegations) show a gradual decline, with a more pronounced drop in 2022-23. Across the four-year period, 65% of cases received (within the SPA remit) were categorised as relevant complaints. There has been a steady increase in other cases not categorised as relevant complaints.

Figure 1:

Figure 2, below, shows the number of relevant complaint cases received per year, broken down by subject of complaint. The majority of relevant complaints (70%) relate to senior officers of Police Scotland, although absolute volumes remain low. From 2019-20, the number of relevant complaints (and allegations) about senior officers was largely static, until 2022-23 when no cases were received. From a high in 2019-20, minimal numbers of relevant complaints (and allegations) have been received about the SPA (including Forensic Services).  

Figure 2:

Allegations

Figures 3 and 4, below, show the number of allegations contained in relevant complaints cases received by the SPA, broken down by both subject of complaint and allegation category.

The split of allegations by subject of complaint mirrors that of overall relevant complaint cases, with 61% (of 70 individual allegations over the four-year period) relating to senior officers of Police Scotland.

In respect of allegations by category, On Duty allegations were broadly similar in number from 2019-20, before a significant drop in 2022-23. The number of Quality of Service allegations shows a steady decline over the period, with no allegations received in 2022-23. No Off Duty allegations have been received over the reporting period.

Figure 3: Not Accessible

Figure 4: Not Accessible

Determinations

Table 14, below, shows the determination of ‘relevant complaint’ allegations. Withdrawn complaints are those where the complainer intimates that they wish to withdraw a complaint. Abandoned complaints are those which cannot proceed without the complainer’s further co-operation. If a complaint cannot proceed due to the complainer being subject to the SPA’s ‘Unacceptable, Persistent or Unreasonable Actions by Complainers Policy’, this is recorded in the table as ‘Closed- UA’.

21% of cases within the remit of the SPA during the past four years were resolved through early stage resolution (which enables complaints to be resolved at an early stage by way of explanation, assurance or apology). Of those which did require a determination by the SPA, 56% of allegations were not upheld. In respect of complaints received (and subsequently closed) during this period, the PIRC completed one Complaint Handling Review, determining that the complaint had been handled to a reasonable standard by the SPA.

Table 14:

Closure Timescales

As noted above (see Introduction), the handling of relevant complaints are subject to the oversight of the PIRC who have an expectation that such complaints should be completed within 56 days (or 40 working days). Table 15, below, shows the average timescales for the closure of ‘relevant complaints’ handled by the SPA. Following a high of 96 days in 2017-18, the average time to closed relevant complaints has broadly reduced to a low of 14 days in 2022-23.

Table 16 shows the number of cases which were completed outwith the 40 working day target (and the length of time taken, shown in bands). Following a high in 2018-19, the number closed over target has decreased, with 73% of cases completed within target over the reporting period.

A number of factors can affect the time taken to conclude relevant complaints. These may include the number of allegations made by the complainer, the complexity of the complaint and the availability of the information required to determine the complaint. However, regular contact is made with those who raise complaints and to ensure that they are advised at the earliest opportunity once a clear indication of the complaint outcome is known. In respect of cases completed outwith target during the reporting period, these include:

• Complexity/seriousness of enquiries and investigations undertaken
• Requirement for case reviews by Forensic Services
• Large volumes of documentation provided by the complainer
• Information required from outside the SPA which was not readily available
• Multiple requests for complainer to submit information

Table 15:

Table 16:

Organisational Learning

The SPA is committed to promoting a culture of organisational learning, with opportunities identified through a variety of sources including complaint handling, via individual cases, either at point of determination or where subject to a CHR, or through benchmarking good practice.

In November 2022, the Committee considered a report which detailed the results of a review conducted by the SPA Complaints Team into themes and learning opportunities identified in relation to the handling of relevant complaints by the SPA over the period 2017-18 to 2021-22, building on a report containing key statistics of note over the same period presented to the Committee earlier in the year. The review followed a report presented to the Committee in 2018, covering the first five years of the SPA’s inception, providing the opportunity to compare current trends and learning opportunities against earlier findings.

Given the low number of relevant complaints within its remit typically received by the SPA, and the breadth of possible complaint types, a small number of common themes were identified, as follows:

• Complaints about senior officers not responding to correspondence from members of the public
  • A process had previously been established within Police Scotland to address this issue. However, further measures are required, given that complaints of this nature continue to be received by the SPA.

• Quality of Service complaints
  • Whilst this overarching complaints category covers a broad range of activities, a number of learning points (see below) were identified.

• Categorisation of complaints
  • A number of complaints received in 2017-18 and 2018-19 were initially recorded as relevant complaints, despite (upon investigation) being identified as instead relating to internal grievance or similar issues. This was a matter highlighted in the Angiolini Review Preliminary Report, with resulting amendments made to the SPA Complaint Handling Procedures, which have served to prevent recurrence.

In terms of identified organisational learning:

• Recommendations were made within CHR outcomes received during the review period identifying the need to conduct further enquiries into complaints or to provide further response to complainers. Following subsequent internal process improvements, the SPA has received no further CHR recommendations regarding its complaint handling.
• The review identified a number of learning points which had arisen from individual cases surrounding the circumstances of the complaint (as opposed to complaint handling). In each instance, following action taken (covering data protection training; changes in procedure within Forensic Services and Police Scotland; and advice around Forensic Services communications with members of the public) no similar complaints have arisen.

To support continuous improvement, officers from the Police Scotland Professional Standards Department were seconded to the SPA Complaints Team during the early part of 2022-23, resulting in a number of key improvements being made to internal team processes. This secondment additionally provided opportunities for two-way learning between the SPA and Police Scotland, serving to enhance mutual awareness and understanding of responsibilities.

In May 2022, the Committee heard that the SPA Complaint Handling Procedures had been benchmarked against Scottish and International standards. Whilst no major differences were identified, further opportunities to enhance internal team processes were identified, including processes for identifying and recording learning.