Recommendations - Metropolitan Police Service, August 2021

The IOPC recommends that the MPS DPS implements a system to monitor officer compliance with;

1. Record keeping procedures relating to decision making and;
2. Recording conflict of interests, either real or perceived to ensure they are recorded on their case management system.

In an investigation it became apparent there was documentation that could have negated the need for investigation, but it had not been recorded on the electronic case management system. It was alleged that an officer made a decision on a case when they had a conflict of interest. The IOPC conducted a scoping exercise by examining the case management system records, which did not show the decision.

Do you accept the recommendation?

Yes

Accepted action:

This learning recommendation was initially partially accepted by the MPS, however, following a meeting with the IOPC on 4th February 2022 the recommendation is now accepted. Although remedies were put in place to improve record keeping procedures relating to decision making and recording conflicts of interests, the importance of continuous monitoring is acknowledged.

The College of Policing provide training to all DPS police officers and staff who perform the Appropriate Authority (AA) function. Details of decisions made in relation to all public complaint and misconduct matters are recorded on the “Centurion” Case Management System, thereby ensuring that key decisions are documented and retained for corporate memory and audit trail function. In addition, the Directorate of Professional Standards (DPS) has put all investigating officers and Specialist Investigations Unit (SIU) supervisors through training with a College of Policing approved external provider, to learn the Regulatory framework and the importance of recording decision making.

In April 2019, the DPS AA Cell was created and consists of trained AAs who make regulatory determination decisions and ensure all decision making is recorded on Centurion. This unit provides consistent decision making due to the small number of dedicated staff. The MPS are confident that this now provides a sterile corridor that was not in place at the time of the allegations made as part of Operation Embley.

All Detective Chief Inspectors in the DPS Specialist Investigations Unit are qualified Senior Investigating Officers who are formally trained in recording their decisions.

The allegation that an officer made a decision in a case when they had a conflict of interest was proved to be incorrect; the officer had declared the conflict and subsequently did not make the determination. Unfortunately, the record of the declared conflict was not stored on the Centurion system, the MPS recognise the importance of ensuring compliance in relation to record keeping.

There are already clear protocols in place amongst the DPS teams whereby police officers and staff are equipped to identify whether an individual(s) has an actual, potential or perceived conflict of interest in a case with which they are involved. There is a clear process of escalation in order that any issues arising in relation to this can be managed in a transparent way. This ensures transparency of both process and decision-making.

The ‘Investigator’s Special Procedures and Severity Assessment Template’ which is completed by all investigating officers, contains the following information:

I confirm that my appointment as complaint handler/ investigator could not reasonably give rise to a concern as to whether I can act impartially in investigating this matter. (Conflict of interest)

• Yes 
• No – Record concerns below and inform appropriate authority

Once completed, the template is stored on Centurion. At the time of this investigation, the DPS was using the case management system called Tribune, replaced in August 2018 by an upgraded version of the case management system “Centurion”. We are currently exploring other case management systems, which will enable our officers to better record documents and decisions.

With the volume of MPS DPS investigations, we acknowledge the importance of checks and balances to ensure that record keeping requirements are being adhered to.

The DPS created a dedicated, Inspector led, Performance Monitoring Unit in 2019, to ensure that complaints and conduct investigations are monitored for regulatory compliance and other performance indicators. The Unit continues to monitor officer compliance with record keeping procedures relating to decision making and recording conflict of interests, by dip sampling cases on Centurion. The number of dip samples varies but is generally between 50 to 100 cases per month. There is also an aspiration to conduct 10 full audits per month and the Inspector leading the work regularly conducts dip sampling on specific themes depending on which performance/data issues may be of concern. The audit template contains a category for ‘severity assessment’ and within that, there is a requirement to check that the conflict of interest box is completed and is to the required standard.

In terms of monitoring compliance with record keeping, to date we conduct various weekly and monthly audits/dip sampling within the DPS and PSUs, which include some of the following areas:

• Compliance with 28 day updates – both within DPS and Central West Basic Command Unit’s Professional Standards Unit (PSU) (pilot Centurion PSU). 
• Correct allegation types. 
• Service of Form 163 (Notice of alleged breach of the Standards of Professional Behaviour). 
• Timeliness reports – 12 month, 18 month.
• Severity Assessments - uploaded to Centurion and Assessment screens completed correctly. 
• Conduct/complaint location. 
• Ethnicity fields populated correctly. 
• Correct resulting of outstanding Schedule 3 (Police Reform Act 2002) cases. 
• Correct use of national factors/local factors. 
• Case supervision.

It is also the responsibility of the investigating officer’s line management to ensure compliance. In 2019 DPS introduced the requirement to complete 150, 180, 300 and 330 day reviews and performance data, which is circulated to all supervisors and the Senior Leadership Team for the SIU weekly meeting. Additional oversight is provided through performance meetings held by the Detective Superintendent. The supervisor completing the review follows a template and must check that record keeping is up to the required standard.

The IOPC recommends that the MPS implement systems to monitor officers’ compliance with the use of the correct regulatory framework for decision making as per the training provided.

An IOPC independent investigation found multiple instances of confusion amongst the DPS investigative team regarding which regulatory framework investigations were being conducted under. This in part lead to allegations that an officer had acted inappropriately by making a decision as the Appropriate Authority (AA) on an investigation where an AA decision had already been made, and in another case led to an AA making a decision under the Conduct Regulations rather than the Police Reform Act (PRA).

Do you accept the recommendation?

Yes

Accepted action:

This learning recommendation was initially accepted, and following a meeting with the IOPC on 4th February 2022, the recommendation remains accepted.

We recognise the importance of ensuring that when joining the Professionalism Command, DPS officers and staff are appropriately trained to carry out their roles. Similarly, continuous professional development opportunities are offered to ensure that colleagues are able to refresh their knowledge and understanding of processes and procedures. The Command ensures that DPS investigators and decision makers alike are provided training and guidance in relation to the correct application of Police Regulations and guidance within this discipline. We also have clear induction pathways to ensure that new joiners are mentored and learn within an environment where peer-to-peer support is encouraged.

In 2020, a training package was developed in conjunction with an external provider (who have been recommended by the College of Policing) and the first training course was delivered in July 2020. This course ensures that all investigators within the DPS are provided bespoke input into Police Regulations in order that they can properly discharge their duties.

Prior to this investigation, in 2017 the Deputy Assistant Commissioner for Professionalism commissioned a review of the DPS. As part of this change programme, in 2018 the AA Cell and IOPC Liaison Cell were designed with the implementation of the AA Cell in April 2019. As previously mentioned, the AA Cell consists of trained Appropriate Authorities who are our subject matter experts. The AA Cell refer matters for legal advice if required and regularly peer review or discuss cases. Appropriate Authorities receive training by an external expert (barrister) and the DPS Prevention and Learning Team provide ongoing support for Appropriate Authorities and Professional Standards Unit staff in order to provide a consistent approach to how regulations are managed within professional standards.

As of November 2020, the MPS had 586 officers ranging from constable to chief superintendent trained in the role of misconduct meeting chairs. The DPS Prevention and Learning Team has reduced this number to approximately 60 who now belong to a cadre of Taylor trained officers required to chair a minimum of two meetings per year to remain active and deployable. Chairs agree to undergo refresher training every twelve months where required and are not deployed to the same Basic Command Unit or Operational Command Unit, unless in extenuating circumstances.

During the recruitment process of the cadre, the DPS encouraged applications from underrepresented groups through consultation with the Staff Support Associations and Police Federation.

As previously stated, it is the supervisor’s responsibility to monitor their officer’s compliance with the use of the correct regulatory framework for decision making and this is now monitored through the 150, 180, 300 and 330 day reviews which have become part of the DPS performance framework. In 2019 the DPS introduced a new Inspector led Performance Monitoring Unit who oversee quality assurance and also dip sample records to ensure compliance. The remit of this work is already stated above.

The IOPC recommends the MPS ensures that changes implemented to develop a culture of openness, transparency, improve cross-team working and collaboration between teams are embedded and a clear plan is in place to support continuous improvement in this area.

An IOPC independent investigation found multiple instances of decisions not being recorded; perceived conflicts of interests not being recorded; miscommunication; and confusion and/or conflation of roles in the DPS, particularly between the role of a senior manager, Senior Investigating Officer (SIO) and the Appropriate Authority (AA) and this impacted confidence in impartiality. All such instances led to an increased a culture of mistrust within the unit, which in part led to a number of IOPC independent investigations. Although these individual issues have been addressed through associated learning recommendations, they do give a clear indication of the culture within the DPS. If adopted this recommendation should create an increased culture of openness and trust and avoid similar situations arising in the future.

Do you accept the recommendation?

Yes

Accepted action:

This learning recommendation was initially rejected but following a meeting with the IOPC on 4th February 2022, the recommendation is now accepted.

As part of this recommendation, the MPS welcome the IOPC’s acknowledgement that changes have already been implemented to develop a culture of openness, transparency and cross-team working. Prior to Operation Embley, the DPS had already recognised that the systems in place meant that there was the potential for a conflation of roles leading to a lack of clarity on areas of responsibility. Since Operation Embley and the changes to the command structure, the DPS has continued to work hard to maintain this to make sure that officers and staff flourish and feel supported in the working environment.

The MPS do not recognise that the DPS had a widespread culture of mistrust but acknowledge that the previous structure in the unit formerly known as the Serious Misconduct Investigation Unit (SMIU) whereby there was sometimes a conflation of roles, may have led to professional disagreements and a small number of individuals found the environment challenging. The need for a sterile corridor and more independence between investigators and AAs was recognised in 2017 when the DAC for Professionalism commissioned a review, as stated above. This resulted in the creation of the AA Cell which has provided that sterile corridor and a dedicated team of decision makers who are separate to the investigation teams. In addition, the DPS has also introduced an IOPC Cell who are a dedicated team of investigators who support IOPC investigations.

The Professional Standards Command has increased cross-portfolio working to encourage greater collaboration between teams, whilst ensuring there is clear governance in place through regular leadership meetings and team briefings.

The allocation of investigations and initial decision making is made by an independent Complaints Review Team and the DPS hold regular surgeries that take place to enhance understanding and promote cross-team working, such as with the AA Cell and the Specialist Investigation Unit. All gross misconduct cases are now reviewed by the AA Cell for AA determination and are independent of the investigating unit.

In June 2021, the Raising Concerns Policy was launched on the MPS internal website to replace the Whistleblowing Policy. The policy expands the scope of the previous Whistleblowing Policy to include anyone who raises any concern to anyone. It provides improved guidance on how to report different concerns, clearer responsibilities for line managers on actions they must take and sets out the MPS’s expectation that everyone who raises a concern, in good faith, will be listened to and supported.

The DPS continue to work hard to maintain the current culture of openness and transparency. This is monitored through our staff survey every six months where officers and staff have the opportunity to air any concerns about culture or the leadership team. In addition to this, the OCU Commander conducts exit interviews with all officers and staff to understand any concerns in relation to internal trust and confidence where we can learn as well as more practical learning for the command. The SIU portfolio lead also holds regular SLT Away Days where performance, culture, morale and wellbeing are all discussed.