Police Complaints: Statistics for England and Wales 2005/06

Transcription

1 Police Complaints: Statistics for England and Wales 2005/06 Emily Gleeson and Helen Dady IPCC Research and Statistics Series: Paper 5

2 Police Complaints: Statistics for England and Wales 2005/06 Emily Gleeson and Helen Dady IPCC Research and Statistics Series: Paper 5

3 POLICE COMPLAINTS Acknowledgements Acknowledgements The authors would like to thank colleagues who provided their assistance with the gathering and checking of the data presented in this report. Particular thanks are due to Victor Alumanah, who provided internal data. We would also like to thank staff in Professional Standards Departments across England and Wales for their continued assistance and co-operation in providing and checking data and responding to queries. Finally, we are grateful to colleagues within the IPCC who provided comments on this report. i

4 Contents POLICE COMPLAINTS Contents Acknowledgements Summary i iii 1 Introduction 1 2 Complaint cases and allegations 3 3 Characteristics of complainants 13 4 Characteristics of those subject to complaints 21 5 Outcome of complaints 27 6 Appeals 37 7 Related IPCC work 43 References 45 Appendix A: Non-Home Office forces 2005/06 46 Appendix B: Additional tables on ethnicity 47 ii

5 POLICE COMPLAINTS Summary Summary iii

6 Summary POLICE COMPLAINTS This report presents figures on complaints about the police in England and Wales for the financial year 2005/06. The changes introduced by the Police Reform Act 2002 were first reflected in figures presented for 2004/05. These changes are continuing to have an influence across the police complaints system, and the figures presented here reflect this ongoing impact. The findings in this report concern the number and type of complaints made by members of the public and how these complaints were subsequently dealt with. There is evidence of a continuing increase in the volume of work across all elements of the complaints system in terms of complaints recorded and finalised. Complaints A total of 26,268 complaint cases were recorded across England and Wales in 2005/06. This represents an increase of 15% on the previous year. A complaint case may consist of one or more allegations. A total of 40,384 allegations were recorded in 2005/06. This is an increase of 16% on 2004/05 and makes an average of 1.5 allegations per complaint case. The categories with the largest proportion of allegations recorded were: Other Neglect or Failure in Duty (22%) Incivility, Impoliteness and Intolerance (20%) Other Assault (16%) The largest increases in numbers of allegations were: Other Neglect or Failure in Duty (increase of 2,598 allegations) Incivility, Impoliteness and Intolerance (increase of 861 allegations) Lack of Fairness and Impartiality (increase of 587 allegations) iv

7 POLICE COMPLAINTS Summary v There were decreases in some categories, the largest of which was in the category Oppressive Conduct or Harassment which decreased by 227 allegations. Complainants and those subject to complaints In 2005/06, 26,880 people made complaints about the conduct of persons working in the police service in England and Wales. Of all the demographics the data was most complete for gender for which just 1% was unknown. The large amount of missing data on age, employment and ethnicity makes it difficult to present a fuller picture for England and Wales as a whole. This report discusses this lack of data and its effect on monitoring those who come into contact with the complaints system. A total of 30,105 people working in the police service in England and Wales were subject to a complaint in 2005/06. Of those whose occupational status was identified, police officers were the largest group (93%) compared to special constables, traffic wardens and community support officers (2%) and other contracted and police staff (5%). Of those subject to a complaint, 79% were male, 19% were female and gender was unknown for 3% of individuals. The age of police personnel subject to a complaint reflects a very similar pattern to the previous year with the peak age for those complained against being (38%) and the age groups and accounting for about one quarter each. The age distribution of the workforce across England and Wales is not currently available, so a comparison with the make-up of the police service is not possible. Ethnicity was recorded as unknown for 9% of those subject to a complaint. While this is an improvement since 2004/05, the great variation across forces (ranging from less than 1% to 71% ethnicity unknown ) makes it difficult to provide a national picture. Outcome of complaints A total of 38,199 individual allegations were completed in 2005/06. This figure includes allegations recorded in previous years and represents a 37% increase on 2004/05 in the actual number of allegations which were closed. The closed complaints were dealt with in the following way; 46% Local Resolution 28% Investigation 14% Dispensation 12% Withdrawn A feature of the completed allegations for 2005/06 is the delayed impact of the large rise in complaint cases which occurred in the previous year. This is most evident in the increase of allegations completed by investigation which have increased from 20% to 28%. This can be accounted for by the time required to undertake an investigation compared to other ways of handling a complaint. Despite the large actual increase, the outcomes of completed investigated allegations remain proportionally stable, with 88% found to be unsubstantiated and 12% substantiated Appeals In 2005/06 a total of 2,457 appeals were received by the IPCC. Of the 2,140 valid appeals, the most common were

8 Summary POLICE COMPLAINTS those against the outcome of a police investigation (58%) followed by appeals against the non-recording of a complaint (30%) and appeals against the local resolution process (13%). The highest proportion of upheld appeals were those against the non-recording of a complaint (35%), followed by appeals against the local resolution process (20%) and those against the outcome of a police investigation (11%). The overall number of valid appeals received rose by 179% compared to 2004/05. The highest increase was in appeals against the outcome of a police investigation, for which there was a 368% increase. vi

9 POLICE COMPLAINTS 1.Introduction 1 Introduction 1

10 1. Introduction POLICE COMPLAINTS This report presents figures on complaints about the police in England and Wales recorded during 2005/06. These complaints concern police conduct which may range in terms of seriousness from the use of inappropriate language through to allegations of assault. There is a duty under the Police Reform Act 2002 for police forces to record all complaints made by members of the public about the conduct of those serving with the police 1. However, complaints about direction and control matters which centre on operational policing policies or operational management decisions are handled separately from those concerning conduct and are not covered in this report 2. Constabulary 3. The figures from these forces are presented in Appendix A. We are continuing to develop how we obtain and present complaints data and plan to extend the electronic data transfer program, which was first implemented in 2004/05, in the future. The PRA 2002 introduced a number of changes which aimed to create a more open, transparent and proportionate complaints system. The changes to the system came into force on 1st April 2004 and their impact was outlined in our last report (Gleeson and Bucke, 2006). This showed that a substantial increase had occurred in the number of complaints recorded during 2004/05 compared to the previous years. There are indications that these changes have continued to impact upon the police complaints system and it appears that it may take some years for the complaints system to settle down. The aim of this report is to provide a robust set of figures which outline the number and type of complaints made against the police in England and Wales during 2005/06. It firstly presents figures on the number of complaints made by members of the public which were recorded by police forces between 1st April 2005 and 31st March It then presents demographic data on those who made complaints and those who were the subject of complaints. The latter sections of the report focus on how complaints were handled and the related outcomes. Where relevant, information on trends over time is provided. Figures are also included on appeals which were received by the IPCC during 2005/06. For the first time, more detailed analysis is provided on appeals which were upheld in 2005/06. The contents of this report are drawn from electronic data and paper-based tables provided by the 43 Home Office police forces. This year, data was also provided by Ministry of Defence Police, British Transport Police and the Civil Nuclear 1 For exceptions see IPCC (2005) Making the New Police Complaints System Work Better: Statutory Guidance. London: IPCC. 2 Guidelines for the handling of complaints concerning direction and control matters are outlined in Home Office Circular 19/2005 (Home Office, 2005). 3 These three forces are included in this report as the IPCC has existing jurisdictional agreements in place with them. 2

11 POLICE COMPLAINTS 2. Complaint cases and allegations 2 Complaint cases and allegations 3

12 2. Complaint cases and allegations POLICE COMPLAINTS COMPLAINT CASES A total of 26,268 complaint cases were recorded in England and Wales in 2005/06. This represents an increase of 15% on the previous reporting period. Table 2.0 and Figure 2.0 present figures for complaint cases over recent years. They show that the rise in 2005/06 is a continuation of an upward trend which can be traced back to 2003/04. Table 2.0 also shows the number of complaints recorded in 2005/06 which were either completed or outstanding at the end of the reporting period. The proportions completed are similar to previous years, with 67% completed and 33% outstanding. The rise in the number of complaint cases in recent years has had an impact on the number of outstanding cases. Table 2.1 shows that a total of 9,477 complaint cases recorded in previous years were still open at the start of the 2005/06 financial year. This marks a rise of 43% when compared to the start of the previous year. A total of 7,822 cases recorded in 2004/05 were outstanding at the start of 2005/06, while an additional 1,655 outstanding cases came from earlier years. The rise in these outstanding cases can be directly linked to the rise in complaint cases in 2004/05, with the vast majority being investigations which can take some time to complete. However, there is no indication that the increase in complaints is causing long-term blockages in the processing of cases, as the vast majority of outstanding cases carried over from previous years were completed in 2005/06 (82%). The remaining outstanding cases were similar to previous years in terms of quantity and in percentage terms (18%). There was a great deal of variation across forces in terms of the volume of complaint cases recorded. Table 2.2 shows the number of complaint cases recorded in each force in 2005/06 and compares these with the 2004/05 figures. Some forces recorded large increases, the most notable being Derbyshire (162%) and Wiltshire (60%). Other forces reflected the national average such as Avon and Somerset (14%), Thames Valley (14%) and Gloucestershire (16%), while West Midlands (-21%), Leicestershire (-20%) and Cheshire (-14%) showed the greatest decreases in the number of complaint cases recorded compared to 2004/05. Overall, since the PRA 2002 came into force in April 2004, there has been a 65% increase in complaint cases recorded across England and Wales (Table 2.2). 42 out of 43 forces have recorded increases, with the exception being City of London which has seen a small decrease of 5%. In nine forces the number of complaint cases has more than doubled over the last two reporting years. ALLEGATIONS A complaint case may have one or more allegations attached to it. For example, someone who is arrested and placed in custody Figure 2.0 Complaint Cases Recorded /06 30,000 25,000 20,000 15,000 10,000 5, / / / / / / / / / / /06 Pre-PRA 2002 Post-PRA

13 POLICE COMPLAINTS 2. Complaint cases and allegations may allege that they were assaulted during the arrest, insulted on the way to the station and then denied access to their solicitor. This should be recorded as one complaint case with three individual allegations attached to it. A total of 40,384 allegations were recorded in 2005/06, representing an increase of 16% on the previous year. The overall average of 1.5 allegations per case remains unchanged from 2004/05, although there is some variation across forces. This ranges from an average of 1.1 allegations per complaint case in South Wales to 2.1 allegations per case in Dyfed-Powys, Surrey and South Yorkshire. Other Neglect or Failure in Duty (22%) Incivility, Impoliteness and Intolerance (20%) Other Assault (16%) These three categories of allegations constitute over half of all allegations recorded. The next largest allegation categories were: Oppressive Conduct or Harassment (7%) Unlawful/Unnecessary Arrest or Detention (5%) Breach of Code C PACE on Detention, Treatment, Questioning (4%) The size of police forces varies considerably across England and Wales and this will play a part in the numbers of allegations recorded against police personnel. To take this into account, Table 2.3 presents the number of allegations per 1000 officers for each force. This table refers to allegations made against police officer ranks only, as opposed to allegations made against all police personnel. We focus on this particular group because the vast majority of all recorded allegations were made against police officers. This is likely to reflect the level and nature of public encounters involving police officers, compared to other types of police personnel. When looking at England and Wales as a whole, the number of allegations per 1000 officers has increased from a figure of 224 in 2004/05 to 256 in 2005/06. The number of police officers in post has broadly remained the same over recent years (Clegg and Kirwan, 2006), meaning that any link between rising allegation rates and fluctuations in police numbers can be discounted. Allegation rates range from 537 in Surrey, 455 in Norfolk and 438 in Northamptonshire to 114 in City of London, 154 in Sussex and 157 in South Wales. Those close to the national figure include Humberside (246), Thames Valley (252) and Lancashire (268). Individual allegations are usually categorised when a complaint case is first recorded. Table 2.4 presents the allegations recorded in 2005/06 by category and shows that the categories with the largest numbers of allegations recorded were: Three categories were recorded for the first time in 2004/05. These were Lack of Fairness and Impartiality, Improper Disclosure of Information, and Other Sexual Conduct. These account for a total of 1,975 allegations and now represent 5% of all recorded allegations. The 16% rise in allegations recorded accounts for an extra 5,704 individual allegations. Table 2.5 presents allegations by category for 2004/05 and 2005/06. The categories with the largest increases in numbers of allegations were: Other Neglect or Failure in Duty (increase of 2,598 allegations) Incivility, Impoliteness and Intolerance (increase of 861 allegations) Lack of Fairness and Impartiality (increase of 587 allegations) The two highest increases above reflect the general pattern of complaints recorded and lend support to the view that there has been better recording of less serious complaints. However, the general rise across all categories suggests that there has also been a continued increase in the public reporting of complaints. Among the categories containing large numbers of allegations, Lack of Fairness and Impartiality accounted for the largest increase in percentage terms (83%). This category was first defined in 2004/05 and appears to be increasingly utilised by those recording 5

14 2. Complaint cases and allegations POLICE COMPLAINTS complaints. Those forces which experienced the largest increases in allegations in this category also recorded decreases in the category of Other Irregularity in Procedure. This suggests some realignment of recording allegations as the newer categories are incorporated. There were also decreases in some categories, the largest of which was in the category Oppressive Conduct or Harassment which decreased by 227 allegations. This category experienced the largest rise of all categories in 2004/05. INCREASES IN COMPLAINT CASES AND ALLEGATIONS The increases outlined in this chapter are likely to be due to the changes initiated by the PRA Some specific changes which may have led to a rise in the recording of complaints are outlined below: Training within forces is likely to have increased the formal recording of complaints by front-line staff Since 2003/04, there has been a 69% increase in the number of allegations recorded. The largest increase over the two reporting years has been in the category Multiple or Unspecified Breaches of PACE (increase of 260%), followed by Corrupt Practice (196%) and Other Neglect or Failure in Duty (139%). Figure 2.1 shows the increases across Allegation Groupings since 2003/04 Professional Standards Departments also have a role to play in whether a complaint is formally recorded or not. They have, in a number of locations, reviewed their practices. As a result, it is likely that cases which may previously have been deemed direction and control, quality of service or simply not complaints are now recorded as complaints about conduct. Figure 2.1 Increases across Allegation Groupings 2003/ /06 14,000 12, / / /06 10,000 8,000 6,000 4,000 2,000 0 Oppressive Malpractice Breach Lack of Discriminatory Other Incivility Traffic Other Behaviour of PACE Fairness Behaviour Neglect and of Duty Impartiality* Allegation Groupings * Allegation category created in 2004/05; not available in 2003/04 6

15 POLICE COMPLAINTS 2. Complaint cases and allegations Increased publicity around police complaints since the introduction of the PRA 2002 reforms may have led to a greater level of public awareness and increased uptake The PRA 2002 widened the parameters of those who can make complaints and those who are subject to complaints. This may have had some influence on the rise in complaints. However, nationally these changes are likely to have accounted for only a small percentage of the overall rise in complaints (see later sections of this report describing those who make complaints and those who are subject to complaints). Police forces have been attempting to address the rise in complaints in a number of ways. Many forces have reviewed staffing levels in Professional Standards Departments in order to deal with the increased workloads associated with the rise in complaints recorded. Some forces have implemented proactive initiatives specifically targeting those allegation categories where large rises were recorded by providing, for example, training programmes for officers and staff who have been the subject of complaints. Further work has been done by forces in terms of identifying lessons learned from the outcome of complaints and disseminating this learning throughout forces. Other initiatives such as victim and witness support schemes now seek to reduce the need for members of the public to make complaints. 7

16 2. Complaint cases and allegations POLICE COMPLAINTS Table 2.0 Complaint Cases Recorded in Reporting Year Year 1999/ / / / / / /06 Total recorded in year % annual change Completed % of total recorded in year Pending at year end % of total recorded in year Table 2.1 Outstanding Complaint Cases Recorded in Previous Year Year 1999/ / / / / / /06 Recorded in previous years % annual change Completed % of total outstanding Pending at year end % of total outstanding

17 POLICE COMPLAINTS 2. Complaint cases and allegations Table 2.2 Complaint Cases by Police Force 9 Percentage change from Percentage change from Police Force 2004/ / / /04 Avon & Somerset Bedfordshire Cambridgeshire Cheshire City of London Cleveland Cumbria Derbyshire Devon & Cornwall Dorset Durham Dyfed-Powys Essex Gloucestershire Greater Manchester Gwent Hampshire Hertfordshire Humberside Kent Lancashire Leicestershire Lincolnshire Merseyside Metropolitan Norfolk North Wales North Yorkshire Northamptonshire Northumbria Nottinghamshire South Wales South Yorkshire Staffordshire Suffolk Surrey Sussex Thames Valley Warwickshire West Mercia West Midlands West Yorkshire Wiltshire Total

18 2. Complaint cases and allegations POLICE COMPLAINTS Table 2.3 Number of Allegations Recorded Against Police Officers Police Force All allegations recorded Allegations against officers only Allegations per 1000 officers* Avon & Somerset Bedfordshire Cambridgeshire Cheshire City of London Cleveland Cumbria Derbyshire Devon & Cornwall Dorset Durham Dyfed-Powys Essex Gloucestershire Greater Manchester Gwent Hampshire Hertfordshire Humberside Kent Lancashire Leicestershire Lincolnshire Merseyside Metropolitan Norfolk North Wales North Yorkshire Northamptonshire Northumbria Nottinghamshire South Wales South Yorkshire Staffordshire Suffolk Surrey Sussex Thames Valley Warwickshire West Mercia West Midlands West Yorkshire Wiltshire Total * Police strength as at March

19 POLICE COMPLAINTS 2. Complaint cases and allegations Table 2.4 Types of Allegations Recorded 2005/06 Allegation Groupings Allegation Category N % Oppressive Behaviour Serious non-sexual assault Sexual assault Other assault Oppressive conduct or harassment Unlawful/unnecessary arrest or detention Malpractice Irregularity in relation to evidence/perjury Corrupt practice Mishandling of property Breach of PACE Breach of Code A PACE on stop and search Breach of Code B PACE on searching of premises and seizure of property Breach of Code C PACE on detention, treatment, questioning Breach of Code D PACE on identification procedures Breach of Code E PACE on tape recording Multiple or unspecified breaches of PACE which cannot be allocated to a specific code Lack of Fairness and Impartiality Lack of fairness and impartiality Discriminatory Behaviour Discriminatory behaviour Other Neglect of Duty Other neglect or failure in duty Incivility Incivility, impoliteness and intolerance Traffic Traffic irregularity Other Other irregularity in procedure Improper disclosure of information Other sexual conduct Other Total allegations

20 2. Complaint cases and allegations POLICE COMPLAINTS Table 2.5 Comparison of Allegations Recorded Allegation Groupings Allegation Category 2004/ /06 Numerical Percentage Percentage difference change from change from 2004/ /04 Oppressive Behaviour Serious non-sexual assault Sexual assault Other assault Oppressive conduct or harassment Unlawful/unnecessary arrest or detention Malpractice Irregularity in relation to evidence /perjury Corrupt practice Mishandling of property Breach of PACE Breach of Code A PACE on stop and search Breach of Code B PACE on searching of premises and seizure of property Breach of Code C PACE on detention, treatment questioning Breach of Code D PACE on identification procedures Breach of Code E PACE on tape recording Multiple or unspecified breaches of PACE which cannot be allocated to a specific code Lack of Fairness and Lack of fairness and impartiality * Impartiality Discriminatory Discriminatory behaviour Behaviour Other Neglect of Duty Other neglect or failure in duty Incivility Incivility, impoliteness and intolerance Traffic Traffic irregularity Other Other irregularity in procedure Improper disclosure of information * Other sexual conduct * Other Total allegations * Allegation category created in 2004/05; not available in 2003/04. 12

21 POLICE COMPLAINTS 3. Characteristics of complainants 3 Characteristics of complainants 13

22 3. Characteristics of complainants POLICE COMPLAINTS In 2005/06 26,880 people made complaints about the conduct of persons serving with the police service in England and Wales. This represents an increase of 14% on the previous year and gives a rate of approximately one complainant per complaint case. Box A defines the types of people who can make complaints. Box A Who can make a complaint? Under the PRA 2002 a complaint about the conduct of someone serving with the police can be made by the following types of people: Any member of the public who alleges that police misconduct was directed at them Any member of the public who alleges that they have been adversely affected by police misconduct, even if it was not directed at them Any member of the public who claims that they witnessed misconduct by the police A person acting on behalf of someone who falls within any of the three categories above; for example, a member of an organisation who has been given written permission Being adversely affected is broadly interpreted in the legislation and includes distress, inconvenience, loss or damage, or being put in danger or at risk. This might apply, for example, to other people present at the incident, or to the parent of a child or young person, or a friend of the person directly affected. It does not include someone distressed by watching an incident on television. A witness is defined in the PRA 2002 as someone who acquired his knowledge of that conduct in a manner which would make him a competent witness capable of giving admissible evidence of that conduct in criminal proceedings. This includes, for example, someone in control of CCTV cameras or in possession of material evidence. Taken from IPCC (2005) Making the New Police Complaints System Work Better: Statutory Guidance. London: IPCC. Table 3.0 shows the status of those who made complaints by police force. The vast majority of complainants are those who were directly affected by the conduct of the police (87%). The next largest group, those adversely affected, accounted for 7%, followed by witnesses (3%) and representatives (2%). The most notable change in these figures, compared to the previous year, is the variation in types of complainants recorded by forces. For example, some forces recorded higher proportions of complainants who were adversely affected, such as Hertfordshire (27%) and Essex (14%). Other forces recorded higher proportions of witnesses such as the Metropolitan Police Service (MPS) and Greater Manchester (12% and 8% respectively). In addition, the total number of witnesses increased from 231 to 856, an increase of 271%. Police officers are able to exercise important enforcement powers under the law, and it is essential that these powers are used fairly. Monitoring the demographic characteristics of those who have contact with the police is important in order identify different experiences based on ethnicity, gender or other grounds. With regard to the police complaints system, monitoring has the potential to identify any disparities experienced by particular social groups in terms of negative contact with the police and in the making of complaints. Table 3.1 presents figures on the gender of complainants which was the most consistently recorded demographic variable. Across England and Wales, the gender breakdown has remained the same as in 2004/05 with 64% of complainants being male, 34% female and just 1% unknown 4. The greatest proportion of male complainants was recorded in City of London (77% male, 20% female). The highest proportion of females was in Northamptonshire (41% female, 54% male). Further insight into the characteristics of complainants across England and Wales is limited due to missing data. This is partly due to forces facing a number of difficulties in collecting this information. For example, complainants may not be willing to provide personal details or they may make their complaint via a third party thus reducing the ability of a force to gather this information. Other factors likely to affect how thoroughly the data is collected include the demographic population of the area, how well officers are trained in taking complaints and the number of complaints being made. Table 3.2 shows figures on the age of complainants. This data was missing for almost a third of all complainants across England and Wales (31%). An absence of information on age ranged from 6% in Dyfed-Powys and 9% in Gwent to 49% in Northamptonshire and 47% in Surrey. In 20 forces, there has been either some improvement or no change in terms of recording age since 2004/05. In some of those forces the proportion of complainants with age defined as unknown has decreased, most notably in North Yorkshire (from 52% to 34%), Surrey (from 64% to 47%) and Essex (from 59% to 42%). In order to present a profile of complainants, the data from forces with the most complete information (less than 31% unknown ) was used. While this profile is not representative of all forces it does give an insight into the age of 4 Percentages may add up to less than 100% due to rounding. 14

23 POLICE COMPLAINTS 3. Characteristics of complainants 15 complainants. The profile below shows that complainants are most likely to be aged between 30 and 39 years of age, with the young and the elderly least likely to be represented: 5-12% aged 19 years and below 11-23% aged years 18-27% aged years 15-23% aged years 6-15% aged years 2-10% aged 60 and above Table 3.3 presents figures on the employment status of complainants. Again, there was a high level of missing information with 39% of complainants having their employment status recorded as unknown. While 19 forces displayed evidence of improved recording in 2005/06, there was an increased level of absent data in others. The lack of information ranged from 59% in North Yorkshire, 53% in Northamptonshire and 52% in Bedfordshire and Surrey, to 10% in Dyfed-Powys and 15% in Gwent. Again, the figures provided by the forces with the most complete information (less than 39% unknown ) were analysed to provide the following profile: 2-9% Homemaker 11-30% Manual occupation 13-31% Non-manual occupation 1-10% Retired 3-9% Student 7-25% Unemployed Section 95 of the Criminal Justice Act 1991 requires the collection and publication of ethnic monitoring information in relation to police complaints in England and Wales. The information is recorded in two ways by the police; firstly by asking the complainant to provide their self-defined ethnicity using the categories, and secondly by carrying out a visual assessment. As with other demographic variables, there may be several reasons why a complainant s ethnicity may not be available. The Association of Chief Police Officers advises that when an officer asks for a person s self-defined ethnicity the question should be put in a sensitive manner which is appropriate to the person and the situation (ACPO, 2001). However, while there is a requirement to request self-defined ethnicity information, the giving of such information is entirely voluntary. The IPCC receives both self-defined ethnicity and visual assessment data from police forces and these are presented separately in Appendix B. However, meaningful analysis is difficult to carry out due to the large proportion of missing data. In the case of self-defined ethnicity missing data may mean that people were not asked for their ethnicity, refused to provide the information or were unable to self-define. In the case of police-recorded ethnicity, missing data may be the result of a failure to make a visual assessment or an inability to categorise the complainant. In an effort to present figures which are as complete as possible, both sets of data have been combined. For a complainant where both classifications were recorded, selfdefined ethnicity has been used. In a case where no selfdefined ethnicity has been recorded, the police-recorded ethnicity has been used. Table 3.4 presents the resulting figures on the ethnicity of complainants. Despite this combination of methods, information on ethnicity was missing for 29% of complainants. The missing information ranged from 48% in Northamptonshire, 46% in both Lincolnshire and MPS, to 1% in Gwent, 5% in Dyfed-Powys and 7% in Gloucestershire. While the overall level of unavailable information remains high, there have been improvements in some forces. For example the percentage defined as unknown in North Yorkshire has decreased from 62% in 2004/05 to 26% in 2005/06. Similarly, Hampshire, Cheshire, Surrey and Humberside showed the next largest decreases in the proportion of complainants who remain unknown. Conversely, Derbyshire, MPS, Suffolk, Cambridgeshire and Kent all had the highest increased levels of missing information on ethnicity. The high level of missing data means that it is very difficult to provide detailed analysis about the ethnicity of those who have made complaints against the police. There may be certain social groups who are dissatisfied with the service they have received from the police in certain areas or through certain types of contact. However, it is impossible to identify specific trends until a more comprehensive set of figures is available. As noted above, there can be difficulties in recording this information and forces are to some extent constrained by the manner and nature of the complaints recorded each year and the complainants who make them. However, given that some forces have shown quite substantial improvements in 2005/06 and all have two possible opportunities to record this data, there would appear to be scope for further improvement across the majority of forces. Her Majesty s Inspectorate of Constabulary s recent thematic report of Professional Standards Departments in police forces in England and Wales expresses concern about the failure of many forces to comply with the statutory requirement to record the ethnic background of complainants. The thematic report does not find that reasons given for non-recording are acceptable and emphasises that police forces must ensure that the ethnicity of complainants is recorded and monitored (HMIC, 2006).

24 3. Characteristics of complainants POLICE COMPLAINTS Table 3.0 Status of Those Making Complaints* Police Force Directly affected Adversely affected Representative Witness Total by conduct by conduct N % N % N % N % N Avon & Somerset Bedfordshire Cambridgeshire Cheshire City of London Cleveland Cumbria Derbyshire Devon & Cornwall Dorset Durham Dyfed-Powys Essex Gloucestershire Greater Manchester Gwent Hampshire Hertfordshire Humberside Kent Lancashire Leicestershire Lincolnshire Merseyside Metropolitan Norfolk North Wales North Yorkshire Northamptonshire Northumbria Nottinghamshire South Wales South Yorkshire Staffordshire Suffolk Surrey Sussex Thames Valley Warwickshire West Mercia West Midlands West Yorkshire Wiltshire Total * The figures in this table will not match the figures in the following tables in this section. This is because people may make complaints in different roles throughout the year. In such cases they will be counted twice in this table but not in the following tables. 16

25 POLICE COMPLAINTS 3. Characteristics of complainants Table 3.1 Gender of Complainants Police Force Female Male Unknown Total N % N % N % N Avon & Somerset Bedfordshire Cambridgeshire Cheshire City of London Cleveland Cumbria Derbyshire Devon & Cornwall Dorset Durham Dyfed-Powys Essex Gloucestershire Greater Manchester Gwent Hampshire Hertfordshire Humberside Kent Lancashire Leicestershire Lincolnshire Merseyside Metropolitan Norfolk North Wales North Yorkshire Northamptonshire Northumbria Nottinghamshire South Wales South Yorkshire Staffordshire Suffolk Surrey Sussex Thames Valley Warwickshire West Mercia West Midlands West Yorkshire Wiltshire Total

26 3. Characteristics of complainants POLICE COMPLAINTS Table 3.2 Age of Complainants Police Force 19 and below Unknown Total N % N % N % N % N % N % N % N Avon & Somerset Bedfordshire Cambridgeshire Cheshire City of London Cleveland Cumbria Derbyshire Devon & Cornwall Dorset Durham Dyfed-Powys Essex Gloucestershire Greater Manchester Gwent Hampshire Hertfordshire Humberside Kent Lancashire Leicestershire Lincolnshire Merseyside Metropolitan Norfolk North Wales North Yorkshire Northamptonshire Northumbria Nottinghamshire South Wales South Yorkshire Staffordshire Suffolk Surrey Sussex Thames Valley Warwickshire West Mercia West Midlands West Yorkshire Wiltshire Total

27 POLICE COMPLAINTS 3. Characteristics of complainants Table 3.3 Employment Status of Complainants Police Force Homemaker Manual Non-manual Retired Student Unemployed Unknown Total N % N % N % N % N % N % N % N Avon & Somerset Bedfordshire Cambridgeshire Cheshire City of London Cleveland Cumbria Derbyshire Devon & Cornwall Dorset Durham Dyfed-Powys Essex Gloucestershire Greater Manchester Gwent Hampshire Hertfordshire Humberside Kent Lancashire Leicestershire Lincolnshire Merseyside Metropolitan Norfolk North Wales North Yorkshire Northamptonshire Northumbria Nottinghamshire South Wales South Yorkshire Staffordshire Suffolk Surrey Sussex Thames Valley Warwickshire West Mercia West Midlands West Yorkshire Wiltshire Total

28 3. Characteristics of complainants POLICE COMPLAINTS Table 3.4 Ethnicity of Complainants Police Force White Asian Black Other Unknown Total N % N % N % N % N % N Avon & Somerset Bedfordshire Cambridgeshire Cheshire City of London Cleveland Cumbria Derbyshire Devon & Cornwall Dorset Durham Dyfed-Powys Essex Gloucestershire Greater Manchester Gwent Hampshire Hertfordshire Humberside Kent Lancashire Leicestershire Lincolnshire Merseyside Metropolitan Norfolk North Wales North Yorkshire Northamptonshire Northumbria Nottinghamshire South Wales South Yorkshire Staffordshire Suffolk Surrey Sussex Thames Valley Warwickshire West Mercia West Midlands West Yorkshire Wiltshire Total

29 POLICE COMPLAINTS 4. Characteristics of those subject to complaints 4 Characteristics of those subject to complaints 21

30 4. Characteristics of those subject to complaints POLICE COMPLAINTS The PRA 2002 broadened the range of people who could be subject to a complaint. Complaints can be made against the following members of staff: Police officers of any rank Police staff including detention staff Special Constables, Community Support Officers, Traffic Wardens Contracted out staff designated under Section 39 of the PRA 2002, e.g. escort or custody officers employed by another company A total of 30,105 people working in the police service in England and Wales were subject to a complaint in 2005/06. This represents an increase of 4% on the figures for 2004/05. Table 4.0 presents figures on those who were subject to a complaint by occupational status at the time the complaint was recorded. Police officers were the largest group (93%), with the remainder made up of special constables, traffic wardens and community support officers (2%) and other police staff and contracted staff (5%). Officers account for 63% of the total fulltime staff working in the police service (Clegg and Kirwan, 2006). The higher level of complaints against this group is likely to reflect the level and type of contact that police officers have with members of the public. Collecting full demographic data on those who are subject to a complaint is an important means of identifying any possible inequalities and enables forces to formulate processes and policies which would remove any unfairness or disadvantage. However, police forces face some issues when collecting this data. For example, a complainant may not be able to provide enough information to allow an officer or member of staff to be identified. In addition police personnel may decide not to submit their details (e.g. ethnicity) to their force s general personnel records. Table 4.1 presents data on the gender of those subject to a complaint and shows that 79% were male, 19% were female and gender was not identified for 3%. In some forces, the recording of this variable has improved considerably since the previous year. This occured most notably in West Mercia where unknown decreased from 44% to 6% and in Surrey where unknown decreased from 25% to 5%. However, in some cases such as Northamptonshire (22%) and Warwickshire (21%) the proportion of missing data remains high. The most complete figures for gender were found in Greater Manchester, Humberside, MPS, Northumbria, Nottinghamshire and West Yorkshire, which all had less than 1% of information missing. Table 4.2 presents the age of those subject to a complaint. This information has been recorded comprehensively, with the majority of forces having low levels of missing data. West Yorkshire, MPS and Northumbria were able to provide the age of almost all police personnel subject to a complaint. However, there still appear to be difficulties recording age in some forces. Those forces with the highest levels of unavailable age information were Warwickshire (100%) and Surrey (73%). A further seven forces had between 14% and 28% recorded as unknown. It is unclear if these forces have specific issues recording this variable or with accessing it from Human Resources departments. The existing data on age reflects a very similar pattern to the previous year with the peak age range for those complained against being (38%) and the ages and accounting for about one quarter each. The age distribution of the police workforce across England and Wales is not currently available, so a comparison with the make-up of the police service is not possible. Table 4.3 presents figures on the ethnicity of those who were subject to a complaint in 2005/06. While there has been an overall decrease in the percentage of missing data from 19% to 9% since 2004/05, there remains considerable variation across forces. The extent to which ethnicity is recorded as unknown ranges from less than 1% in Greater Manchester, Humberside and Northumbria to 71% in Hertfordshire and 44% in both Cumbria and Lincolnshire. It is unlikely that this missing information is due to problems identifying someone being complained about because of a lack of information from the complainant. Better data from forces would provide an insight into the ethnicity of those complained against and also allow comparison with the ethnic make-up of individual forces. However, the problems around lack of data on ethnic backgrounds make such analysis impossible on a national basis. The ability to identify such trends would reveal whether those people serving with the police from particular ethnic backgrounds had vastly different experiences. 22

31 POLICE COMPLAINTS 4. Characteristics of those subject to complaints 23 Table 4.0 Status of those Subject to a Complaint 1 Police Force Police Officer Other police staff/ Specials, Traffic Wardens Total ranks 3 contracted staff and CSOs N % N % N % N Avon & Somerset Bedfordshire Cambridgeshire Cheshire City of London Cleveland Cumbria Derbyshire Devon & Cornwall Dorset Durham Dyfed-Powys Essex Gloucestershire Greater Manchester Gwent Hampshire Hertfordshire Humberside Kent Lancashire Leicestershire Lincolnshire Merseyside Metropolitan Norfolk North Wales North Yorkshire Northamptonshire Northumbria Nottinghamshire South Wales South Yorkshire Staffordshire Suffolk Surrey Sussex Thames Valley Warwickshire West Mercia West Midlands West Yorkshire Wiltshire Total The figures in this table will not match the figures in the following tables in this section. This is because individuals may hold different ranks when subject to more than one complaint. In such cases they will be counted twice in this table but not in the following tables. 2 Data not available for Greater Manchester. 3 Figures do not include complaints made against officers of ACPO rank.

32 4. Characteristics of those subject to complaints POLICE COMPLAINTS Table 4.1 Gender of those Subject to a Complaint Police Force Female Male Unknown Total N % N % N % N Avon & Somerset Bedfordshire Cambridgeshire Cheshire City of London Cleveland Cumbria Derbyshire Devon & Cornwall Dorset Durham Dyfed-Powys Essex Gloucestershire Greater Manchester Gwent Hampshire Hertfordshire Humberside Kent Lancashire Leicestershire Lincolnshire Merseyside Metropolitan Norfolk North Wales North Yorkshire Northamptonshire Northumbria Nottinghamshire South Wales South Yorkshire Staffordshire Suffolk Surrey Sussex Thames Valley Warwickshire West Mercia West Midlands West Yorkshire Wiltshire Total

33 POLICE COMPLAINTS 4.Characteristics of those subject to complaints Table 4.2 Age of those Subject to a Complaint Police Force 19 and below Unknown Total N % N % N % N % N % N % N Avon & Somerset Bedfordshire Cambridgeshire Cheshire City of London Cleveland Cumbria Derbyshire Devon & Cornwall Dorset Durham Dyfed-Powys Essex Gloucestershire Greater Manchester* Gwent Hampshire Hertfordshire Humberside Kent Lancashire Leicestershire Lincolnshire Merseyside Metropolitan Norfolk North Wales North Yorkshire Northamptonshire Northumbria Nottinghamshire South Wales South Yorkshire Staffordshire Suffolk Surrey Sussex Thames Valley Warwickshire West Mercia West Midlands West Yorkshire Wiltshire Total * Data not available for Greater Manchester

34 4. Characteristics of those subject to complaints POLICE COMPLAINTS Table 4.3 Ethnicity of those Subject to a Complaint Police Force White Asian Black Other Unknown Total N % N % N % N % N % N Avon & Somerset Bedfordshire Cambridgeshire Cheshire City of London Cleveland Cumbria Derbyshire Devon & Cornwall Dorset Durham Dyfed-Powys Essex Gloucestershire Greater Manchester Gwent Hampshire Hertfordshire Humberside Kent Lancashire Leicestershire Lincolnshire Merseyside Metropolitan Norfolk North Wales North Yorkshire Northamptonshire Northumbria Nottinghamshire South Wales South Yorkshire Staffordshire Suffolk Surrey Sussex Thames Valley Warwickshire West Mercia West Midlands West Yorkshire Wiltshire Total

35 POLICE COMPLAINTS 5. Outcome of complaints 5 Outcome of complaints 27

36 5. Outcome of complaints POLICE COMPLAINTS When describing how complaints were concluded, this report looks at allegations linked to complaint cases. This is because a complaint case may include a number of allegations which may be dealt with in different ways. A total of 38,199 individual allegations were completed in 2005/06. This figure represents a 37% increase on 2004/05 in the number of allegations which were closed. Table 5.0 shows how allegations have been completed over the past 20 years and shows that the number completed in 2005/06 is the highest across that time period. Box B outlines how an allegation may be handled. Factors such as the nature of the complaint, the seriousness of the allegation and the expectations of the complainant will be taken into account before a decision is made on how to proceed. One of the major changes since the PRA 2002 came into effect has been the large rise in allegations dealt with through local resolution. The figures for 2005/06 show that this increase has been sustained with 46% of allegations dealt with this way. The number of allegations dealt with through investigations rose to 28%, while allegations not proceeded with declined slightly as a proportion of the total to 26%. The category of allegations not proceeded with includes 5,334 dispensations (14%) and 4,748 withdrawn allegations (12%). Table 5.1 shows the means by which allegations were completed across all 43 police forces in 2005/06 5. The majority of forces completed a greater number of allegations in 2005/06 compared to 2004/05. The exceptions were City of London (15% fewer allegations) and South Yorkshire (6% fewer allegations). In Derbyshire, Surrey and Wiltshire the number of completed allegations more than doubled. These forces also recorded the highest increases in recorded allegations in 2005/06. This suggests that a higher proportion of allegations are being recorded and completed within the reporting year. As stated above, 46% of all allegations were completed by means of local resolution. This amounted to 17,565 allegations, an increase of 26% compared to the previous reporting period. Since the PRA 2002 came into effect the number of local resolutions has almost doubled. In 2005/06, the forces which recorded the highest levels of local resolution were: North Yorkshire (75%) Derbyshire (60%) North Wales and Essex (59%) 5 In addition, 235 discontinuances were granted by the IPCC in 2005/06. Discontinuances occur at case level only and therefore are not included in this analysis. Box B Ways in which complaints may be handled Local resolution: for less serious complaints, such as rudeness or incivility, a complainant may agree to local resolution. Usually this involves a local police supervisor handling the complaint and agreeing with the complainant a way of dealing with it. This might be: an explanation or information to clear up a misunderstanding; an apology on behalf of the force; and/or an outline of what actions are to be taken to prevent similar complaints occurring in the future. Investigation: in other circumstances (or if the complainant declines local resolution) it may be decided that a complaint requires a thorough examination of the incident. This involves the appointment of an Investigating Officer who will look into a complaint and produce a report which will state whether or not each allegation is substantiated. Dispensation: in some cases there may be reasons not to take a complaint forward. Examples may include those complaints where there is insufficient information, or which are vexatious, oppressive or an abuse of the complaint procedures. In such cases a police force can apply to the IPCC for a dispensation which if granted means that no action needs to be taken with regard to the complaint. In other cases, where the matter of complaint was sub judice, the force does not need the consent of the IPCC to dispense with the complaint following the conclusion of criminal proceedings, providing reasonable efforts have been made to pursue the complaint. Withdrawn: no further action may be taken with regard to a complaint if the complainant decides to retract the allegation(s). Discontinued: in some instances police forces may find it impractical to conclude an investigation. This may occur when a complainant refuses to cooperate, the complaint is repetitious or refers to an abuse of procedure, or the complainant agrees to local resolution. In such cases the police force can apply to the IPCC to discontinue the investigation. The lowest levels of local resolution were recorded in: Kent (26%) City of London, Leicestershire and Warwickshire (34%) Most forces reported increases in the number of local resolutions carried out compared to 2004/05. Those where numbers of local resolutions fell were South Yorkshire, Northumbria, Cheshire, Durham and City of London. The capacity for a complaint to be resolved by means of local resolution will be dependent on a number of factors. These include the seriousness of the complaints, the agreement of complainants to pursue this option and the level of training carried out within forces to equip officers with the knowledge, understanding and confidence to deal with a complaint in this way. 28

37 POLICE COMPLAINTS 5. Outcome of complaints 29 In 2005/06, 12% of all allegations were withdrawn because the complainants decided not to proceed with the complaint. Levels of withdrawn allegations ranged from 21% in MPS, 20% in West Yorkshire and 17% in Bedfordshire to 1% in City of London, 2% in Sussex and 3% in North Yorkshire. There was a great deal of variation across forces in the levels of withdrawn allegations when compared with the previous year. It is difficult to establish the level of activity carried out in relation to a complaint before it is withdrawn. In some cases the complainant may ask to withdraw their complaint just after the details have been given. In others the complaint will be withdrawn after substantial efforts have gone into locating and visiting the complainant. Table 5.1 shows that 14% of all allegations were completed by means of dispensations. This amounts to 5,334 allegations, a figure which is lower than before the inception of the IPCC (see Cotton, 2004). Therefore, despite the continuing increase in complaints recorded, proportionally less are being completed by dispensation. This indicates that the rise in complaints cannot be accounted for by a rise in those which are of a vexatious or repetitious nature, or those where there is insufficient evidence to proceed. In 2005/06 the rate of dispensations ranged from 32% in both City of London and Merseyside and 28% in Northamptonshire to 3% in Sussex and 6% in Cumbria and Derbyshire. A notable feature of the above figures is the delayed impact of the large rise in complaint cases which occurred in 2004/05. The strongest impact has been on allegations completed by investigation which have increased from 20% to 28%. This can be accounted for by the time required to undertake an investigation (including periods when the matter of complaint may be sub judice), compared to other ways of handling a complaint. For example, 83% of allegations dealt with by local resolution in 2005/06 were recorded and completed during that year 6. However, only 34% of allegations dealt with by investigation were completed in the year they were recorded. Therefore large-scale changes in the number of complaints recorded by forces can have consequences over a series of years. The proportion of allegations dealt with via investigations ranged from 54% in Sussex, 48% in Kent and 42% in Cambridgeshire to 10% in South Wales, 14% in North Yorkshire and 15% in Humberside and Northamptonshire. Table 5.2 presents completed allegations by the type of allegation. Box C shows the allegation types most commonly dealt with by each procedure. The figures show that serious allegations were most likely to be dealt with through 6 This analysis excludes Greater Manchester as data is not available. investigation, while less serious allegations were likely to be dealt with by local resolution. Box C and also Table 5.2 show that there are a number of what appear to be serious allegation types which have been resolved by means of local resolution. A total of 43 allegations across the categories of Serious Non- Sexual Assault, Sexual Assault and Other Sexual Conduct were resolved in this way. Further details were sought from forces in order to establish why local resolution has been chosen to handle what appear to be serious allegations. In some cases the force had applied to the IPCC for permission to carry out a local resolution and, upon reviewing the details of the case, the IPCC agreed. In other instances, when an investigating officer spoke to the complainant, it was discovered that the allegations were less serious than initially recorded and the complainant was satisfied with local resolution. The IPCC encourages the person who makes the initial assessment of the complaint to consider carefully whether local resolution is appropriate. Table 5.3 presents figures on completed investigations over the last 20 years. This shows a substantial increase in the number of completed investigations in 2005/06, compared to 2004/05. The rise from 5,585 to 10,552 marks an increase of 89% and brings the number of completed investigations to a level similar to that of the early 1990s. Despite the large increase, the outcomes of investigations remain stable with 88% of investigated allegations found to be unsubstantiated and 12% substantiated. Table 5.4 shows figures on the outcome of completed investigations by police force. The rates of substantiated investigations ranged from 27% in Warwickshire, 24% in Cambridgeshire and 22% in City of London, to 2% in Durham and 4% in West Yorkshire, Lincolnshire and Norfolk. However, some care needs to be taken as some forces have low numbers of investigations. Table 5.5 presents investigated allegations by the type of category in which they were recorded. It is important to note that small numbers in some categories can have a disproportionate effect on the percentages. For example the percentage of unsubstantiated allegations for Breach of Code E PACE on Tape Recording is 100%, representing just two allegations investigated. Looking at the categories with over 100 completed investigated allegations, the allegation types with the highest proportion of outcomes as substantiated were Other Neglect or Failure in Duty (22%), Improper Disclosure of Information (20%) and Other Irregularity in Procedure (19%). Some allegations have a high overall rate of investigation, but conclude with a low substantiation figure. For example, in the category Serious Non-Sexual Assault, 56% of all allegations

38 5. Outcome of complaints POLICE COMPLAINTS Box C Most and least common ways in which allegations completed Outcome Most common Least common Investigation Sexual assault (59%) Incivility, impoliteness and intolerance (16%) Irregularity in relation to evidence/perjury (57%) Traffic irregularity (17%) Serious non-sexual assault (56%) Other (24%) Breach of Code A PACE on stop and search (24%) Withdrawn Mishandling of property (22%) Irregularity in relation to evidence/perjury (9%) Other assault (16%) Incivility, impoliteness and intolerance (9%) Improper disclosure of information (16%) Lack of fairness and impartiality (9%) Dispensation Other assault (25%) Traffic irregularity (8%) Sexual assault (23%) Other neglect or failure in duty (8%) Mishandling of property (21%) Other irregular procedure (8%) Breach of Code A PACE on stop and search (21%) Other (8%) Local Resolution Incivility, impoliteness and intolerance (64%) Serious non-sexual assault (11%) Traffic irregularity (64%) Sexual assault (12%) Lack of fairness and impartiality (55%) Corrupt practice (18%) * This table only includes allegation categories comprising ten allegations or more. were investigated and just 4% of these were substantiated. Similarly, 57% of all Irregularity in Relation to Evidence/Perjury allegations were investigated and just 5% were substantiated. In contrast, 53% of all Corrupt Practice allegations were investigated and the substantiation rate was 13%. Finally, some allegations were less likely to be investigated, but more likely to be substantiated. For example 28% of Other Neglect or Failure in Duty allegations were investigated of which 22% were substantiated. 30

39 POLICE COMPLAINTS 5. Outcome of complaints Table 5.0 Means by Which Allegations Completed /06 Year Allegations investigated Allegations not proceeded with Informal/Local Resolution* Total N % N % N % N / / / / / / / / / / / * The Police Reform Act 2002 replaced Informal Resolution with Local Resolution in April

40 5. Outcome of complaints POLICE COMPLAINTS Table 5.1 Means by Which Allegations Completed 2005/06 Police Force Allegations Investigated Withdrawn Dispensation Local Resolution Total N % N % N % N % N Avon & Somerset Bedfordshire Cambridgeshire Cheshire City of London Cleveland Cumbria Derbyshire Devon & Cornwall Dorset Durham Dyfed-Powys Essex Gloucestershire Greater Manchester Gwent Hampshire Hertfordshire Humberside Kent Lancashire Leicestershire Lincolnshire Merseyside Metropolitan Norfolk North Wales North Yorkshire Northamptonshire Northumbria Nottinghamshire South Wales South Yorkshire Staffordshire Suffolk Surrey Sussex Thames Valley Warwickshire West Mercia West Midlands West Yorkshire Wiltshire Total

41 POLICE COMPLAINTS 5. Outcome of complaints Table 5.2 Means by Which Allegations Completed 2005/06 by Type of Allegation Number of Allegations Allegations Withdrawn Dispensation Local Total Investigated Resolution N % N % N % N % N A. Serious non-sexual assault B. Sexual assault C. Other assault D. Oppressive conduct or harassment E. Unlawful/unnecessary arrest or detention F. Discriminatory behaviour G. Irregularity in relation to evidence/perjury H. Corrupt practice J. Mishandling of property K. Breach of Code A PACE on stop and search L. Breach of Code B PACE on searching of premises and seizure of property M. Breach of Code C PACE on detention, treatment questioning N. Breach of Code D PACE on identification procedures P. Breach of Code E PACE on tape recording Q. Lack of fairness and impartiality R. Multiple or unspecified breaches of PACE which cannot be allocated to a specific code S. Other neglect or failure of duty T. Other irregularity in procedure U. Incivility, impoliteness and intolerance V. Traffic irregularity W. Other X. Improper disclosure of information Y. Other sexual conduct Total

42 5. Outcome of complaints POLICE COMPLAINTS Table 5.3 Outcome of Completed Investigations /06 Year Substantiated Unsubstantiated Total N % N % N / / / / / / / / / / /

43 POLICE COMPLAINTS 5. Outcome of complaints Table 5.4 Outcome of Completed Investigations 2005/06 Police Force Substantiated Unsubstantiated Total N % N % N Avon & Somerset Bedfordshire Cambridgeshire Cheshire City of London Cleveland Cumbria Derbyshire Devon & Cornwall Dorset Durham Dyfed-Powys Essex Gloucestershire Greater Manchester Gwent Hampshire Hertfordshire Humberside Kent Lancashire Leicestershire Lincolnshire Merseyside Metropolitan Norfolk North Wales North Yorkshire Northamptonshire Northumbria Nottinghamshire South Wales South Yorkshire Staffordshire Suffolk Surrey Sussex Thames Valley Warwickshire West Mercia West Midlands West Yorkshire Wiltshire Total

44 5. Outcome of complaints POLICE COMPLAINTS Table 5.5 Outcome of Completed Investigations by Allegation Category 2005/06 Number of Allegations Substantiated Unsubstantiated Total N % N % N A. Serious non-sexual assault B. Sexual assault C. Other assault D. Oppressive conduct or harassment E. Unlawful/unnecessary arrest or detention F. Discriminatory behaviour G. Irregularity in relation to evidence/perjury H. Corrupt practice J. Mishandling of property K. Breach of Code A PACE on stop and search L. Breach of Code B PACE on searching of premises and seizure of property M. Breach of Code C PACE on detention, treatment questioning N. Breach of Code D PACE on identification procedures P. Breach of Code E PACE on tape recording Q. Lack of fairness and impartiality R. Multiple or unspecified breaches of PACE which cannot be allocated to a specific code S. Other neglect or failure of duty T. Other irregularity in procedure U. Incivility, impoliteness and intolerance V. Traffic irregularity W. Other X. Improper disclosure of information Y. Other sexual conduct Total

45 POLICE COMPLAINTS 6. Appeals 6 Appeals 37

46 6. Appeals POLICE COMPLAINTS The right to appeal against aspects of the complaints process was introduced by the PRA The Act gives the right to complainants to appeal to the IPCC about: the decision by a police force not to record their complaint the process by which their complaint was handled under local resolution the outcome of a police investigation into their complaint. Table 6.0 shows the outcomes of valid appeals received during 2005/06. During this time period a total of 2,457 appeals were received by the IPCC. Of these, 317 (13%) were found to be not valid. There are a number of reasons why an appeal may not be valid. For example, the appeal may relate to a complaint made prior to 1st April Of the 2,140 valid appeals received during 2005/06: concrete measure of dissatisfaction with how police complaints are handled. Some complainants may not be aware that they can appeal. Others may be dissatisfied but run out of energy to pursue their complaint or lose confidence in the system. Instead, those appeals that are upheld give a useful insight into practices which forces more generally need to be aware of and ensure that they avoid. Analysis of upheld appeals over time will highlight the extent to which these continue or decline. An analysis of the reasons for upholding appeals has been carried out and is reported on below. APPEALS AGAINST THE NON-RECORDING OF A COMPLAINT Under the PRA 2002 the police have a duty to record all complaints about the conduct of a serving member of the police. There are some exemptions to the duty to record, and these are when the complaint: 633 (30%) were against the non-recording of a complaint 268 (13%) were against the local resolution process 1,239 (58%) were against the outcome of a police investigation. Of these, 19% were upheld, 57% were not upheld and 24% were still ongoing at the end of the financial year. The highest proportion of upheld appeals were those against the nonrecording of a complaint (35%), followed by appeals against the local resolution process (20%) and those against the outcome of a police investigation (11%). There was a 179% increase in the number of valid appeals received during 2005/06 compared to 2004/05. The rise in appeals is reflected across all three types of appeal, with the largest increase being in those against the outcome of a police investigation (368%). The increase in the number of appeals may be due to growing awareness of the appeals process since its introduction in April The increase may also be due to the rise in the number of complaint cases recorded during 2004/05, and the corresponding rise in the number of allegations resolved by means of local resolution or investigation during that financial year. Despite the overall increase, the number of appeals per force remains relatively small, which means that a comparison of appeals data between forces would not be meaningful. Furthermore, the number of appeals cannot be seen as a has been made by a person serving with the police 7 is already the subject of a complaint being dealt with by criminal or misconduct proceedings has been made under the Police Act 1996 is solely about direction and control has been withdrawn does not fall within the PRA 2002 Complainants have the right to appeal to the IPCC if the force: did not record their complaint did not make a decision whether to record their complaint did not notify the correct force of the complaint if it was originally made to the wrong force Appeals against the non-recording of complaints are considered by the IPCC in terms of the information provided by the complainant and the reasons provided by the force for not recording the complaint. The IPCC reviews the appeal to determine whether the force s refusal to record the complaint was justified. If the IPCC upholds an appeal then it can direct the force to record the complaint. A total of 223 appeals against the non-recording of a complaint were upheld. Box D presents the categories under which these appeals were upheld. The appeals are grouped in terms of the 7 Unless the complainant was off duty at the time of the incident and the person being complained about is from a different force. 38

47 POLICE COMPLAINTS 6. Appeals 39 reasons given by the force to either the complainant or to the IPCC for not recording the complaint. Box D Categories for upholding appeals against the non-recording of complaints Reason force gave for not recording* The force made initial enquiries and decided not to record the complaint 84 Direction & control / quality of service matters 78 The complaint was repetitious/vexatious/an abuse of process/out of time or the complainant was not cooperative 38 The matter should be dealt with via another process (e.g. criminal/civil) 11 There was a perceived issue regarding the mental health of the complainant 8 The officer was off duty or retired 7 The force did not make a decision whether to record the complaint 5 The complainant did not meet criteria of someone who can complain under the PRA 4 Other 13 * For some appeals more than one category applied. Where this was the case the appeal was coded in each relevant category. 198 of the appeals fit into one category and 25 appeals fit into two categories. The largest category of upheld appeals is entitled the force made initial enquiries and decided not to record the complaint. In these cases, forces had carried out an assessment of the merits of the complaint before making a decision whether to record. As well as running counter to the spirit of the PRA 2002, such an approach goes against IPCC guidance, which emphasises the need to record a complaint first and then decide how it should be dealt with (IPCC, 2005). These cases accounted for 84 upheld appeals. For 71 of these appeals the force had made initial enquiries and concluded that there was no foundation to the allegations made by the complainant. However, when the IPCC reviewed these appeals it was found N that the complaints contained allegations of misconduct and therefore should have been recorded. For 13 appeals the force had taken steps to resolve the complaint without recording it. The next largest category concerned direction and control / quality of service matters (78 appeals), where the force had stated that the allegation concerned force or operational policy and did not relate to the conduct of an officer. On review of the appeal papers the IPCC found that the complaint contained a misconduct allegation. Similar to the previous category, in many of these cases the force conducted initial enquiries into the matter before determining that it was a direction and control issue and making the decision not to record. The IPCC advises that, when it is unclear whether a complaint concerns conduct or direction and control of the force, the complaint should be recorded as conduct and proceeded with until it does become clear (IPCC, 2005). A further category concerned complaints that were seen to be repetitious, vexatious, an abuse of the complaints process, or were made too long after the incident in question, or in which the complainant was not cooperating with the police (38 appeals). In such cases it may be appropriate for forces to seek a dispensation 8 from the IPCC after recording the complaint. Other reasons given by forces for not recording complaints were that the matter should be dealt with via another process, for example in the criminal court (11 appeals), that the officer concerned was retired or off duty (seven appeals), or that the person complaining did not meet the definition of a person able to complain under the PRA 2002 (four appeals). In five cases the force failed to decide whether or not to record. In eight appeals an associated reason given for not recording the complaint was that it was perceived that the complainant had a mental health issue (mental health was the sole reason provided for only two appeals in this group). 8 See Section 5 for further information on dispensations.

48 6. Appeals POLICE COMPLAINTS For 13 upheld appeals other reasons were cited for not recording the complaint. Reasons in this other category included complaints which the force: had recorded as a miscellaneous matter did not record because the complainant did not specify a particular officer did not record because they were already the subject of an internal investigation Finally, in 33 cases included in the table, the force did not contest the appeal but agreed to record the complaint on receipt of notification of the appeal from the IPCC. APPEALS AGAINST THE LOCAL RESOLUTION PROCESS The local resolution process allows the resolution of less serious complaints, for example rudeness or incivility, at a local level through meetings and discussions. The process is designed to enable both the complainant and the police to reach a conclusion which is acceptable as quickly as possible, without the need for a full investigation. In order for local resolution to be successful there are some important aspects to the process which must take place. Under the PRA 2002 the complainant s consent to the local resolution is required. To achieve this, the IPCC recommends that forces aim to obtain a shared understanding with the complainant of: the complainant s expectations what action by the force would be proportionate to address the complaint what practical action can and cannot be taken what process will be followed and by whom in resolving the complaint (IPCC, 2005) the police did not explain sufficiently that they must agree to the process they think the police did not follow the process they agreed for the local resolution of the complaint Complainants cannot appeal against the outcome of a local resolution, i.e. they cannot appeal if they disagree with the findings but the local resolution process was carried out correctly and as they agreed. If an appeal against the local resolution process is upheld, the IPCC can instruct the force on how to deal with the complaint; for example, to attempt the local resolution again, or to investigate the complaint if appropriate. During 2005/06 54 appeals against the local resolution process were upheld. The reasons for upholding the appeals are shown in Box E. Box E Categories for upholding appeals against the local resolution process Reason for IPCC upholding the appeal* There was no documentation of the actions agreed or the actions did not address all aspects of the complaint 22 The local resolution process was not sufficiently explained to the complainant 18 The complainant did not give their consent to the local resolution process 13 The complaint was too serious to be locally resolved 13 Actions agreed with the complainant were not carried out/completed 9 The complainant was not informed of the steps taken to resolve the matter 7 Other 3 N Complainants are entitled to appeal against resolution process if: they did not agree to a local resolution the local * For some appeals more than one category applied. Where this was the case the appeal was coded in each relevant category. 31 appeals fit into one category, 16 fit into two categories, 6 fit into three categories and 1 fits into four categories. 40

49 POLICE COMPLAINTS 6. Appeals The most common reason for upholding appeals against the local resolution process was because there was no documentation of the actions agreed with the complainant, or the actions agreed did not address all aspects of the complaint (22 appeals). This category includes cases for which there was no local resolution form, cases where there was no action plan on the form and cases in which an alternative form was used. The next largest category concerned the local resolution process not being sufficiently explained to the complainant (18 appeals). For many of these cases it was found that, although the complainant had signed up to the local resolution process, they did not fully understand some aspect of it; for example, what the potential outcomes of the process could be. Another common category was that the complainant did not give their consent to the local resolution (13 appeals). For many cases in this category, the complainant had not signed the local resolution form and, for a small number, the complainant had refused to participate in a local resolution. done and not done as part of the local resolution process. For example, if there is no clear documentation of the actions agreed to resolve the complaint, then it will not be possible to assess what actions the complainant had agreed to and hence whether their consent to the process was in line with their understanding of the outcome. Likewise, if the complainant did not fully understand some aspect of the local resolution process, for example what the potential outcomes were, then this would compromise the extent to which their consent to the process was informed. APPEALS AGAINST THE OUTCOME OF A POLICE INVESTIGATION There are three grounds on which a member of the public can appeal against the outcome of a police investigation into their complaint: Information: the complainant states that they were not provided with adequate information about the findings of the investigation or the actions the police proposed to take A further 13 appeals were upheld because it was found that the complaint was too serious to be locally resolved. For example, it contained allegations which, if substantiated, could lead to criminal proceedings or a misconduct sanction. For these cases the IPCC found that the allegation should have been dealt with by means of an investigation and upheld the appeal for this reason. Nine appeals were upheld because one or more of the actions that were agreed with the complainant were not carried out, and seven appeals were upheld because the force did not inform the complainant of the actions that had been taken to resolve the matter. A further three appeals were upheld for other reasons, which included two cases in which the forces could not find any paperwork and one case in which the officer who was the subject of the complaint carried out the local resolution. A strong theme emerging from these upheld appeals is the need to obtain the complainant s informed consent to the local resolution process. This includes clearly outlining what will be Findings: the complainant disagrees with the findings of the investigation. For example, this could be because the complainant believes that the police did not interview relevant witnesses, or the evidence did not support the results of the investigation. Outcome: the complainant disagrees with the action the police propose to take as a result of the investigation. For example, they believe that the proposed penalty to be brought against an officer is not appropriate. The IPCC considers investigation appeals with respect to the three aspects outlined above, and can uphold an appeal on one or more of these grounds (IPCC, 2005). Of the 131 upheld appeals, 123 concerned investigations undertaken by police forces and eight concerned investigations supervised by the IPCC. Some appeals were upheld on more than one ground. A total of 79 appeals were upheld on only one 41

50 6. Appeals POLICE COMPLAINTS ground, 37 were upheld on two grounds, and 15 were upheld on all three grounds. The number of appeals upheld on each of these grounds were as follows: Lack of information provided to the complainant 90 Investigation findings 67 Investigation outcome 41 Appeals upheld on the grounds of lack of information were often upheld due to a lack of detail in the decision letter sent to the complainant at the end of the investigation. For example, this may have been because the letter did not convey all of the findings of the investigation, or did not provide sufficient explanation to address the original matters of complaint. In cases such as this, the IPCC often recommended that the force write to the complainant to provide the relevant information. If the investigating officer s report had not been disclosed to the complainant and it was thought that this would provide the complainant with sufficient information, the IPCC recommended this course of action. the force address these points, for example by re-investigating the complaint or certain aspects of it. Other appeals in this category were upheld because the IPCC found that the evidence gathered during the investigation did not support the conclusions of the investigation. For example, the investigating officer did not substantiate the allegation, but the IPCC found enough evidence to substantiate it. In examples such as this the IPCC directed the force to record the appropriate finding for the allegation. Appeals upheld with regard to an investigation s outcome were upheld because the IPCC disagreed with the actions which the force proposed to take based on the findings of the investigation. For example, the force might have proposed that no action should be taken, but the IPCC recommended that the officer receive words of advice. Appeals upheld on the grounds of an investigation s findings were usually upheld due to inadequacies found with the investigation into the complaint. For example, relevant witnesses were not interviewed, appropriate lines of enquiry were not followed, or aspects of the complaint were not investigated. In cases such as this the IPCC recommended that Table 6.0 Valid Appeals Received During 2005/06 Appeal type Upheld/Partially Not Upheld Withdrawn Ongoing Total Percentage Upheld change from 2004/05 N % N % N % N % N % Non-recording of a Complaint Local Resolution Process Outcome of a Police Investigation Total

51 POLICE COMPLAINTS 7. Related IPCC work 7 Related IPCC work 43