Report Summary
This report provides members of the Complaints & Conduct Committee with an overview of the SPA Quarterly Report Q2 - 23/24.
Meeting
The publication discussed was referenced in the meeting below
Complaints & Conduct Committee - 14 November 2023
Date : 14 November 2023
Location : online
Further Detail on the Report Topic
SPA Complaints Performance
Appendix A provides an overview of the complaint handling responsibilities of the SPA with explanatory text
on reporting terminology.
The SPA Complaints Quarterly Performance Report, including key statistics reflecting the position at the
end of Q2 2023/24, is attached as Appendix E to this report and provides comparison to the previous 7 quarters.
Workload Management
Detail on ongoing workload is presented as a separate agenda item at the private session of this meeting.
Dip-Sampling of Police Scotland Complaints
Appendix B provides a report on SPA dip-sampling of complaints closed by Police Scotland during Q4 2022/23.
A summary of key findings and recommendations is outlined below.
Key Findings
• Of the 78 cases reviewed, 68% were found to have been concluded within 40 working days
• The average timescales for concluding non-criminal cases (exclusive of FLR) was 138 working days
• As with the Q3 sample, in complaints subsequently abandoned, delays were identified in the time
taken to contact the complainer once the complaint had been passed for allocation
• As with the Q3 sample, there continue to be a small number of instances of inaccurate or incomplete
record-keeping.
• In 1 case, a non-criminal complaint was incorrectly assessed as being suitable for, and closed via,
frontline resolution.
• Timescales have generally increased compared to the Q3 sample. Whilst complexity may be a contributing
factor in terms of those cases requiring investigation, this does not explain the length of time taken
in respect of cases resolved via FLR, nor account for delays in respect of making initial contact with
complainers or in their subsequent allocation for FLR/investigation.
• With the exception of the above points, all cases have otherwise been deemed to have been handled
appropriately in terms of the CAPSOP (and, in turn, the PIRC Statutory Guidance).
Recommendations
• As identified from the Q3 sample (and the findings of the SPA/PIRC Joint Audit of Police Scotland’s initial triage of complaints), Police Scotland should monitor: timescales following the initial assessment of the complaint and contact with the complainer; and record keeping.
Audit of Police Scotland Complaints about ACU/PSD
Appendix C provides a review of all closed complaints made about officers and staff from Police Scotland’s
Anti-Corruption Unit (ACU) and the Professional Standards Department (PSD)
Key Findings
• The average time taken for concluding all cases was 49 working days.
• Of the 29 cases reviewed, the Authority had previously been notified of 10.
• The Authority was not notified of the outcome of any of the 29 cases.
• Where the Authority had previously been notified of cases, a number of these did not include
complaint reference numbers or did not specify that these were complaints against an ACU/PSD officer
or staff member.
• All files which required the 6 stage process to be followed were found to have been handled appropriately.
Recommendations
• Police Scotland should ensure that, when a complaint is made about ACU/PSD officers or staff, it should
be allocated a separate reference number and recorded as such on Centurion
• Police Scotland should ensure that the Authority is notified of all ACU/PSD complaints and outcomes.
• Notification to should include the appropriate complaint reference number.
Independent Review of Complaints Handling, Investigations and Misconduct Issues in Relation to Policing
Recommendation 32
The Review recommended that SPA and PS should consider together what role the SPA Complaints and Conduct Committee, or the Policing Performance Committee, might have in relation to the discussion of ethical issues in policing in Scotland.
As previously reported, this recommendation had a wider focus than the Complaints & Conduct Committee,
with an action identified to develop a Framework setting out the Authority’s approach to oversight of ethical issues.
Since this recommendation was raised the Authority and Police Scotland have agreed, and jointly signed, a
Memorandum of Understanding which provides a guide to early and effective identification, and appropriate
engagement, between both organisations when Police Scotland is considering a new and emerging strategy, policy or practice to improve the safety and wellbeing of persons, localities and communities in Scotland, and which are likely to be of significant public interest.
In the spirit of this MoU, and to ensure that ethical issues are identified and considered at the earliest point
possible, Police Scotland and the Authority of developed the (i) Rights Based Pathway and (ii) the Data Ethics
Framework.
The Rights Based Pathway assesses data ethics and public interest considerations when developing and implementing technology to support policing in Scotland. The Data Ethics Framework assesses all data related and data driven technology projects that go through Police Scotland’s Change process. The triage process identifies where ethical challenges may lie, provides a pathway to enhanced internal and external scrutiny and provides advice to projects to ensure that data and data driven technology is used legally and ethically. Additionally, Police Scotland has a well-established independent ethics advisory group that provides valuable insight and challenge around the ethical issues that may arise following any change to operational police practice.
Both the Rights Based Pathway and the Data Ethics Framework mandate that in the situation where ethical concerns meet a certain threshold that the proposal will be brought to the SPA’s Policing Performance Committee for consideration. The SPA has also committed to undertake an annual assessment of the Rights Based Pathway and any papers that have been considered with ethical implications. This annual assessment will form part of the SPA’s Annual Report and Accounts each year.
Both the Rights Based Pathway and the Data Ethics Framework were considered by the Policing Performance Committee at its meeting in June 2023.
In light of the above, and acknowledging that ethical issues in relation to the Code of Conduct or complaints
will be reported via the current route to this Committee where appropriate, it is proposed that this recommendation be submitted via national governance and reporting arrangements for consideration of discharge. The Chair of the Policing Performance Committee has provided written endorsement in this regard.
Oversight of Impact
Following discussion in November 2022 and June 2023, the Committee sought clarity in respect of oversight
arrangements regarding the impact of actions completed by both the SPA and Police Scotland to enable discharge of non-legislative recommendations.
At the meeting of the national Practitioner Working Group on 25 October 2023, Scottish Government confirmed that assurance on impact or ongoing review and improvement in respect of implementation of non-legislative recommendations is for relevant partners to answer, emphasising the need for routine monitoring of impact in order that they are prepared to provide evidence to Parliament and to the public that the intended improvement outcomes have been achieved.
Appendix D sets out a suite of proposed impact measures in respect of recommendations for which the SPA was singly or jointly responsible (noting that, inclusive of the above, there are 3 outstanding).
Stakeholder Meetings
The National Complaint Handling Development Group (NCHDG) met on 18 September 2023, chaired by Superintendent Kate Stephen. In addition to finalising its revised Terms of Reference, the group discussed the following areas of future focus: audit, performance and analysis; communications and accessibility; guidance and SOPs; organisational learning culture; training; and benchmarking. Linked to the above, discussions included planned review of the Police Scotland Complaints about the Police SOP; progress against the recommendations of the earlier joint SPA/PIRC audit; and plans for a forthcoming PIRC audit. The next meeting will be arranged before the end of the calendar year, at which it is intended that the Scottish Public Services Ombudsman will be invited to present to the group, in line with a recommendation from the Angiolini Review.
The Strategic Oversight Group (SOG) has not met since the last Committee meeting.
Engagement with Other Organisations
The SPA continues to participate in an international research project on Police Accountability, one of the
objectives of which is to develop international standards for independent procedures, resourcing, and good
practice in the handling of complaints against law enforcement agencies.
Following an international plenary meeting of the project in September 2022, a further stakeholder event is
taking place in December 2023, focussing on improving public awareness of the complaints system (including
targeting vulnerable and hard to reach groups) and providing complainant support to access and navigate the complaints systems.
Further information is available on the project website.
