Memorandum submitted by the Office of
the Police Ombudsman for Northern Ireland
PROGRESS TOWARDS DEVELOPING A ROLE FOR THE
POLICE OMBUDSMAN, SINCE THE OFFICE WAS ESTABLISHED IN NOVEMBER
2000
INTRODUCTION
1.The Office of the Police Ombudsman for Northern
Ireland (the Office) was established on 6 November 2000 by Part
VII of the Police (NI) Act 1998. The primary statutory duty of
the Police Ombudsman is to secure an efficient, effective and
independent complaints system, and in so doing attempt to secure
the confidence of the public and of the police in that system.
2.In October 1999, the Northern Ireland Office (NIO)
announced the appointment of Mrs Nuala O'Loan as the first Police
Ombudsman. The remit of the Police Ombudsman extends to five Police
Constabularies: the Police Service of Northern Ireland (PSNI);
the MoD Police; Belfast International Airport Police; Lame Harbour
Police and Belfast Harbour Police. The Police Ombudsman took up
full time designate responsibilities in April 2000 and chaired
a Project Implementation Team constituted by the NIO involving
the Royal Ulster Constabulary (RUC), Independent Commission for
Police Complaints (ICPC), Police Federation, Superintendents'
Association, Senior Police Officers' Staff Association, Association
of Chief Police Officers and the Northern Ireland Police Authority.
In the short period of time from April to November 2000, its priorities
were to acquire and equip suitable premises; procure an IT system
and all necessary equipment; recruit and train staff; consider
transitional issues; inform the public as to the new powers, responsibilities
and functions of the Office; consult as to the best mechanisms
to meet the needs of the public and the police, and agree financial
structure.
3.Prior to the establishment of the Office, public
complaints had been investigated by police, supervised in some
10% of cases by the ICPC. The ICPC ceased to exist on 6 November
2000. Commissioners were released from Office and 14 staff were
transferred to the Office, along with liabilities, assets and
a caseload of 2124 cases.
ESTABLISHING THE
OFFICE
4.There was significant pressure to establish the
Office and, on 6 November 2000, the legislation creating the Office
came into effect creating consequential duties and responsibilities.
The Office's initial structure was agreed and there was wide-spread
advertising for staff recruitment. There was a significant response
but, with high standards of specification, it was only possible
to appoint 59 staff.
5.The Police Ombudsman considered that it was essential
to have policing experience within the Office from the commencement
of its operations, and seven officers were seconded to the Office
from the Metropolitan Police Service, including a Commander who
was seconded to establish and run the Investigations Directorate.
The complement of staff has reached 123 as at 31 December 2003,
against an agreed complement of 126.
6.The initial training of staff was developed in
conjunction with Mediation Northern Ireland and the Metropolitan
Police Service (Hendon), assisted by the RUC and other trainers.
Training for staff continues to be regarded as of the utmost importance.
The Office has addressed staff training needs identified in Personal
Development Plans, extensive training and development opportunities
have been provided. Most recently, in partnership with the University
of Portsmouth, the Office has introduced an Accredited Training
Programme for its investigative staff.
7.The Office established its working processes over
the first months. Processes for financial rectitude were a priority
as the integrity of the Office is of key importance. The Secretary
of State's Guidance to the Police Ombudsman, the Chief Constable
and the Northern Ireland Policing Board (NIPB) was not received
until May 2001. The Office prepared a Complaints Manual and an
Investigation Manual has also been created. Both documents are
subject to regular review to reflect legislative and other developments.
During the three years of its existence, the Office has been the
subject of some 15 legislative changes. Best practice guides have
been issued to ensure compliance with, and standardisation of,
policies and procedures. The Police Ombudsman observes all relevant
international principles and standards on policing and human rights.
Recently a draft Code of Ethics for the Office, to augment the
existing Code of Conduct has been made available for consultation.
MEETING PUBLIC
NEEDS
8.The Office is situated in Belfast. For security,
efficiency and financial reasons it was decided to have only one
base. The Office provides a 24 hour, 365 days a year "on
call" investigation and public information facility. The
Office is open during normal working hours and complainants are
seen with or without appointment. To facilitate maximum outreach,
arrangements were made with a number of organisations, such as
the Citizens Advice Bureau, the Chinese Welfare Association and
Northern Ireland Women's Aid Federation for the use of rooms in
their premises across Northern Ireland. This meant that staff
could meet complainants through a network of locations. These
arrangements also provided for the needs of particular vulnerable
complainants in places in which they felt safe and in which their
special needs could be accommodated.
9.As part of a general programme to raise public
awareness and to meet the public need for information, in November
2000 the Office produced a step-by-step guide to the new police
complaints process which was approved by the Plain English Campaign
and 50,000 copies were distributed to advice giving agencies across
Northern Ireland. Details of the process were also made available
for people with disabilities through the web site www.poiliceombudsman.org
(which conforms with the W3C Web Content Accessibility Guidelines)
and were made available on audio tape for people with sight difficulties.
The site also carried translations of the complaints process in
Mandrin, Irish and Ulster Scots.
10.In an effort to increase public understanding
of the work of the Office, a synopsis of information entitled
"Early Days" was published and distributed widely. In
November 2003, a summary of the Second Annual Report was produced
in a similar magazine format and distributed as a supplement in
Northern Ireland's evening newspaper, which has a circulation
of 110,000. There are also reports available on the web site,
of major investigations (pursuant to Section 62 of the Police
(Northern Ireland) Act), including those into circumstances surrounding
the death of Mr Samuel Devenney and of Mr Sean Brown and reports
of many Regulation 20 investigations. A total of 67 press releases
have been issued since November 2000 as a means of informing the
public in an open and transparent manner about various aspects
of the role of the Office. Information about the police complaints
process as it relates to local District Council areas, has now
been made available on the web site: this initiative attracted
more than 5,000 visitors to the site following its launch in January
2004. During 2003, staff gave presentations to 15 of the newly
formed District Policing Partnerships.
11.A commitment to dialogue with the community had
been informed by key findings from research into public attitudes
to the Office. Between 2002-04 staff have visited more than 70
community groups and organisations. This has involved visits to
areas which may be perceived by those living in them as marginalized
and on different sides of the political divide, including "Short
Strand" and "Tigers Bay" in Belfast and the Creggan
and Waterside areas of Londonderry/Derry. Good working relationships
have been formed with Governmental and Non-Governmental Organisations,
including the Human Rights Commission, NIO Community Safety Unit,
Committee for the Administration of Justice and the Pat Finucane
Centre. Increasing awareness and understanding among young people
is a constant priority. Staff visited 29 schools across the state,
maintained and integrated sectors during this period. The Office
has also joined with PSNI in several youth-related projects, including
the provision of information about the police complaints process
for the "Citizenship and Safety Key Stage Four" textbook.
In conjunction with the Children's Law Centre, a leaflet on "Young
People and The Police" has been developed.
12.The Northern Ireland Statistics and Research Agency
(NISRA) has carried out independent research, measuring the awareness
and confidence of the public in this new institution over the
three years. Awareness levels are now recorded as being at 86%.
Belief in the independence of the Office is also at 86%. The most
recent research demonstrates that 88% of Protestants and 82% of
Catholics felt the Police Ombudsman was independent of police.
79% of Catholics and 70% of Protestants were either confident
or fairly confident about the impartial nature of the Office when
investigating complaints against police. 85% of Catholics and
73% of Protestants thought that the Police Ombudsman would "help
the police do a good job". 65% of Catholics and 63% of Protestants
thought that the complainant and the police officer would be treated
equally. These figures have continued to rise over the three years
from 2000-03.
COMPLYING WITH
NORTHERN IRELAND
ACT 1998
13.The Police Ombudsman's Equality Scheme under s.75
of the Northern Ireland Act 1998 received the formal approval
of the Equality Commission on 12 February 2003. The first progress
report was submitted to the Commission in May 2003 and received
a very favourable response. An impact assessment on equal opportunity
and fairness was carried out under the Act in 2003, and an extremely
encouraging response was received from staff. The assessment results
indicated that 42% of staff were Protestant, 34% were Catholic,
16% were of no religion and 8% other. The profile of complainants
also represents the demographic features of the community in Northern
Ireland.
WORKING WITH
THE POLICE
14.Significant effort has gone into developing constructive
operational arrangements with the PSNI. Over the three years,
processes have evolved covering a wide range of issues, all of
which have been designed to allow operational efficiency for the
PSNI and effective investigation by the Office. Special arrangements
have been made with the Chief Constable with regard to mandatory
referral of deaths which may have resulted from the conduct of
a police officer, and of other serious matters, in particular
the firing of baton rounds, or live fire, and any situation involving
a serious allegation of a serious offence by a police officer.
15.The decision of the Chief Constable in April 2001
to introduce the new structure of District Command Units contributed
to more focussed working arrangements with police managers at
District level. In April 2002 a conference was held by the Office
for Senior Officers and District Commanders designed to review
relationships and identify areas in which further development
was required. This was followed by a second event in December
2002, planned and managed jointly with PSNI, at which further
issues were addressed in a constructive and productive manner.
Over the three years senior staff from the Office have visited
all District Command Units and many stations throughout Northern
Ireland.
16.Initial secondary legislation under the Police
(Northern Ireland) Act 1998 was not passed by Parliament until
23 October 2000. As a consequence of this, when the Office commenced
work on 6 November 2000, the 13,000 officers of the RUC had not
been informed about the role of the Office. The RUC instructions
for police officers about the complaints system were circulated
to officers seven months after the Office had begun operations.
This created significant difficulties for the operation of the
Office. In the absence of legislation, it had not been possible
for the Police Ombudsman to address this issue, although it was
seen from a very early date as a source of difficulty. The Police
Ombudsman tried to address the problem in a number of ways. In
particular, since the Police Staff Associations had all played
their part in establishing of the Office, the Police Ombudsman
sought regular meetings with those Associations, to enhance communication
and understanding. A guide to the complaints process from the
perspective of a police officer who may be subject to complaint
has also been produced and distributed to more than 9,000 police
officers.
17.The Office recognised, from the earliest days,
the need to communicate effectively with PSNI and in particular
with Internal Investigations Branch (IIB) of PSNI. To enable better
understanding, staff of the Office have made over 80 presentations
to PSNI officers, recruits and to other training courses. On the
one hand the Police Ombudsman needed to articulate clearly the
independence of the Office; yet on the other hand, close working
relationships have been, and remain, vital to the effective functioning
of both organisations. Recently senior police officers from England,
at the request of the Police Ombudsman and in agreement with the
Chief Constable, reviewed lines and structures of communication
between PSNI and Office. 14 recommendations for improvement have
been considered, agreed and implemented.
18.The Police Ombudsman has maintained meetings and
communication with the Police Federation, Superintendents and
Chief Officer Associations. Among junior ranks however, the level
of knowledge and understanding of the role of the Police Ombudsman
is still not as extensive as it should be. The Police Ombudsman
decided one year ago to commission a survey of all 9,000 police
officers, ascertaining their views and attitudes to the new complaints
system. The results have now been discussed with the various Associations
and a summary made public. These indicated that more needs to
be done to strengthen police officers' awareness and confidence
in the Office. The Staff Associations and the Office have agreed
to work together to address the issues raised by the results of
the survey. The PSNI is also committed to enhancing officers'
understanding of the complaints system.
WORKING WITH
THE NORTHERN
IRELAND POLICING
BOARD (NIPB)
19.The NIPB was established on 4 November 2002. The
Office has had infrequent contact with the NIPB, but has asked
for a regular and frequent dialogue on issues of mutual interest
in relation to complaints, conduct and policy and practice issues
in order to improve the effectiveness of both organisations. On
two occasions the Police Ombudsman has been permitted to address
the full Board. There is a six monthly sharing of information
and reports but this could be improved. Documents 8 and 9 illustrate
the range of information shared with NIPB.
WORKING WITHIN
THE CRIMINAL
JUSTICE SYSTEM
20.The Office has forged working relationships with
the Director of Public Prosecutions, the Forensic Science Agency,
Her Majesty's Coroners, the Criminal Justice Inspector, Her Majesty's
Inspector of Constabulary, the Health and Safety Executive, the
Surveillance Commissioner, the Justice Oversight Commissioner,
the Social Services Boards and Trusts and more recently with the
Commissioner for Children and Young People. This has ensured that
obligations are complied with whilst preserving the independence
of the Office in its interactions with these agencies. In addition,
the Office has provided training for a number of these bodies.
The Office has worked in close co-operation with the Patten Oversight
Commissioner in ensuring that operational, accountability and
governance mechanisms for policing in Northern Ireland were strengthened,
as required by Patten. The Reports of the Commissioner acknowledged
and commended the Office for the contribution made in this central
area of policing oversight.
ACCOUNTABILITY
21.The Office is subject to a wide range of reporting,
review and accountability mechanisms. These include accountability
through the following mechanisms: the Office has responded to
47 Parliamentary Questions in two years; inspection by the Criminal
Justice Inspector and the Surveillance Commissioner; audit by
the Comptroller and Auditor General; Judicial Review; and investigation
by the Commissioner for Children and Young People. Appendix 11
contains a summary of the various mechanisms. The Office has adopted
a Satisfaction Policy, Procedure and Register for acknowledging
and responding to complaints and criticisms of staff. The Information
Commissioner has approved the Office's Publication Scheme and
oversees the Office's adherence to the Freedom of Information
Act 2000.
22.The Office published a 12-month Corporate Statement
and Business Plan for its activity in 2001-02. An Annual Business
Plan, 2002-03, and Corporate Plan for 2002-05 was also produced.
The NIO stipulated that the first Annual Report should cover the
17-month period to the end of March 2002. This Report indicated
the Office had been established and had managed to deal with the
initial volume of new complaints. The Report outlines significant
achievement with objectives and targets being met despite the
staff resource not being up to full complement. The most recent
Annual Report, 2002-03 outlined that most of the 2,142 residual
cases from the ICPC had been dealt with, the initial backlog in
new cases was beginning to reduce and the pattern of closures
in complaints and investigations was consolidating.
LITIGATION
23.In the first three years the Police Ombudsman
has been subject to 20 Judicial Reviews. These have involved the
public, the police and interest groups testing the new law and
have covered a wide spectrum of issues: to date the Police Ombudsman
has not been found by the Court to have made an unlawful decision.
There has also been one set of civil actions heard in which the
Court found in favour of the Police Ombudsman with costs awarded.
Two further sets of civil actions have yet to be adjudicated upon
by Court. There have been 13 industrial tribunal applications
to date. Nine were dismissed, one was settled without admission
of liability and three are ongoing. Appendix 13
RECENT DEVELOPMENTS
24.The Project Implementation Team which established
the Office, procured a Case Management System which has since
proved inadequate. The system has no integrated investigatory
process and it cannot track external interaction with the Director
of Public Prosecutions in relation to criminal case referrals,
or with the PSNI in relation to conduct referrals. Work has been
carried out to improve the system. However it provides no long
term functionality; it is inefficient because of the excessive
administrative support required; it utilises valuable investigation
time inefficiently and it does not provide effective reporting
or performance assessment mechanisms. The Office prepared and
has submitted a business case to the Nb, requesting funding for
a new Case Handling System.
25.The new power to investigate Policy and Practice
matters has now been used by the Police Ombudsman. A Director
of Policy and Practice has been appointed and a realignment of
the Research and Professional Standards functions will underpin
the development of this key responsibility. A framework is being
developed whereby policy and practice complaints against police
can be identified and actioned. The Office also needs to be resourced
for this new power. In January 2004 the Office was also included
in Part 2 of the Regulation of Investigatory Powers Act 2000 and
policies and processes have had to be developed to meet the requirements
of that Act.
26.Further legislative change has conferred a duty
to undertake the investigation of complaints in relation to police
support staff and Garda Siochana seconded officers. A new duty
is to be placed on the Director of Public Prosecutions to refer
relevant matters to the Police Ombudsman for investigation. It
is anticipated that these developments will have significant resource
implications. The Police Ombudsman is also in consultation with
the NIO to secure changes in the law in respect of mediation powers.
Mediation and Informal Resolution should be used, where appropriate,
to resolve matters without the need for formal investigation.
The current law in relation to mediation powers are regarded as
unworkable as they only permit mediation following full formal
investigation. Such changes would then provide efficiencies, in
terms of time taken to process; meet public expectations; reduce
stress on officers; and in so doing, secure greater support for
the complaints system. The PSNI and police staff associations
support this change in legislation.
27.Increasingly over the past three years, the Office
has attracted international interest and attention. Between 2001-03
the Office played host to 23 groups of international visitors
and delegations, many of whom are seeking to improve their own
system of police accountability. Members of staff have spoken
at major international forums on police accountability including
the "Second Global Forum against Corruption" in the
Hague; the Canadian Association for Civilian Oversight Law Enforcement;
and America's National Association for Civilian Oversight of Law
Enforcement. Most recently the Police Ombudsman addressed the
African Police Accountability Conference in South Africa. The
Governments of Brazil, Portugal, Macedonia and Argentina have
also asked for advice and assistance on relevant matters through
the Foreign Office/British Council.
28.Within the United Kingdom, the Office has been
closely involved in assisting the development of the new Independent
Police Complaints Commission (IPCC) for England and Wales, which
will become operational in April 2004. At the invitation of the
Home Office, the Police Ombudsman and her staff have made a significant
contribution to the IPCC. The Office has been consulted in relation
to possible changes to the police complaints system in Scotland.
There have also been contacts from the Republic of Ireland, where
it is proposed to introduce a similar system. In November 2003,
more than 300 delegates from 20 countries visited Belfast to attend
a conference on "Policing the Police" organised by the
Office and the event was regarded by those who attended as a huge
success.
PERFORMANCE OF THE OFFICE IN RESPECT OF ITS
PRINCIPAL ACTIVITIES
ESTABLISHING AN
EFFICIENT, EFFECTIVE
AND INDEPENDENT
COMPLAINTS SYSTEM
The processes involved in establishing an efficient,
effective and independent complaints system have been dealt with
in Paragraphs 1 to 28. What follows includes detailed information
of the activities of the Office consistent with the terms of reference
of the Committee.
29.On 6 November 2000 the Police Ombudsman took responsibility
from the ICPC for 2,124 "active" case files. With the
exception of 29 case files, these files have now been processed
and closed. During 2001-03 the Office recorded 9,885 complaints.
The number of complaints recorded by the Office, however, has
shown a downward trend over the past three years: 3,590 in 2001;
3,340 in 2002; and 2,954 in 2003. In addition, during this period
there has been one NIPB referral, 115 Chief Constable referrals,
and 10 Police Ombudsman initiated investigations under Section
55 of the Act.
30.In addition to complaints received, during the
first three years of operation, the Police Ombudsman opened a
total of 2,425 files in respect of miscellaneous matters, including,
discovery requests in civil claims, Compensation Agency cases
and other queries. This service given by the Office is a significant
activity and is resource intensive. It is necessary to retain
such information so that, where appropriate, there can be sharing
or substantiation of information and evidence. There is also a
significant demand placed on the Office as a consequence of members
of the public making general enquiries regarding issues related
to policing, many of which do not come under the remit of the
Office. In all cases however, staff seek to be helpful and to
refer the individual to the appropriate agency or source of information.
31.Office internal performance indicators show that
members of the public calling at the premises are, on average,
interviewed by staff within four minutes of their arrival; 96%
of complaints are acknowledged and actioned within three working
days; 77% of complainants are contacted by an Investigating Officer
within three working days of complaints being referred for investigation.
As a measure of efficiency and effectiveness, the Office points
to the number of complaints processed; the reduction in the time
taken to deal with complaints from 142 days in 2002-03 to the
current figure of 99 days; the development of improved systems
of investigation; and the recommendations made derived from the
Office's investigations. Additionally, the inhouse capacity provided
by the Office's internal Research Department, Legal Department
and Library and Media Department have enhanced economy, efficiency
and effectiveness in service delivery.
32.There have been positive changes represented not
only by the reduction in the volume of complaints, but also by
a change in the seriousness of the nature of allegations made
about policing conduct, for example, by the reduction from 50%
to 37% of allegations relating to oppressive behaviour (assault,
harassment and intimidation) and a reduction on the use of force
allegations from 50%, to 34%. The reduction in allegations of
misuse of batons is significant: 419 in 2001, 240 in 2002, 48
in 2003. There is a reduction in the number of occasions on which
live fire has been used by police officers in Northern Ireland:
21 in 2001, 11 in 2002, 5 in 2003. The number of complaints about
other use of firearms (such as assault by firearm) has reduced
from 40 in 2001, to 25 in 2002, and to 12 in 2003. These reductions
have been achieved through working with the PSNI on identifying
problems during investigation and making specific recommendations
for improvement. There has been no evidence of a corresponding
increase in injuries caused to police officers and no corresponding
increase in the use of firearms by criminals against the police
during this period. Combined with the overall drop in the volume
of complaints, this constitutes a major shift in the pattern and
nature of complaints.
33.In general, investigations are conducted entirely
independent of PSNI, however there are circumstances in which
both organisations must work together or in parallel. By way of
example, a recent police car pursuit of a vehicle resulted in
a fatal accident between the vehicle being pursued, and another
vehicle in which three innocent people were killed, the Office
had to investigate whether the police had contributed to the fatal
road traffic accident, and the police had to investigate causing
death by dangerous driving. A joint forensic strategy is formulated
in such cases, and the results of the forensic recovery are shared
as necessary. In a protocol with the PSNI it has been agreed that
the agency investigating the most serious allegation takes investigative
precedence. This protocol has been invoked regularly and has worked
effectively. Investigators of the Office also work very closely
with IIB, PSNI. Regular meetings at various levels are held and
IIB support the Office operationally where necessary. The working
relationship is regarded by both organisations as excellent.
34.The independence of the Office has been demonstrated
consistently since its commencement. The Office's budget is not
part of the PSNI budget. Staff are recruited, employed and managed
solely by the Office. Investigations are evidence-driven and the
Police Ombudsman has reported the evidence which has emerged from
each investigation, as appropriate. The Police Ombudsman is demonstrably
apolitical. Public belief in the independence of the Office has
been recorded at 86% for the past two years.
35.The Office has developed a programme of quality
assurance in respect of the work of the Investigation Directorate.
Quality assurance exercises undertaken include inspections of
closure categories; appropriateness of Informal Resolution referrals;
accuracy of data input; capture of relevant misconduct issues;
and forwarding appropriate memoranda following investigations.
There are 10 quality assurance exercises planned for
2004-05.
RECEIVING COMPLAINTS
AND OTHER
REFERRED MATTERS
AND DECIDING
HOW TO
DEAL WITH
THEM
36.Members of the public can make a complaint in
writing, fax, email or by telephoning the Office. They can call
at the Office with or without an appointment or they can make
a complaint through their local police station. They may also
contact the Office through their solicitor or other representative.
During 2001, 34% of complaints were made directly to the Office.
By 2003 this percentage had risen to 48%. 40% are made via the
police and public representatives, and solicitors account for
the remainder.
37.Once a complaint has been registered and the nature
of the allegation has been established, it either becomes the
subject of further enquiries by the complaints officers, or is
referred for formal investigation. Staff seek more information,
where necessary, about the complaint, and confirm whether it is
within the remit of the Office. Following the initial registration
of the complaint, there are on occasion non co-operation or lack
of instruction given by the complainant. This is something which
has always been a feature of police complaints systems. Eventually
such complaints must be closed. In appropriate circumstances every
effort is made to informally resolve complaints without formal
investigation. See paragraph 45.
38.Complaints indicating a specific allegation requiring
investigation against a police officer, are referred to one of
three investigation teams. Some complaints can be closed following
initial investigation. The outcome will then be communicated to
the complainant and any relevant police officer. Other complaints
involving criminal or misconduct allegations are fully investigated
with appropriate referral to the Director of Public Prosecutions
for direction, and/or to the Chief Constable.
39.There is a process within the Office to facilitate
the investigation of complaints requiring immediate action. There
is a dedicated phone number for emergency use by PSNI. In serious
cases or in situations where the Chief Constable has "called
in" the Police Ombudsman, including during the night, a Senior
Investigating Officer with necessary support will deal immediately
with the incident. Staff may be called out to scenes of incidents
24 hours a day, seven days a week. Investigators attend scenes
within 90 minutes for Greater Belfast and within 180 minutes for
the rest of the province. There is also a system to prioritise
and fast track other urgent complaints.
INVESTIGATING COMPLAINTS
AND KEEPING
COMPLAINANTS AND
POLICE OFFICERS
INFORMED AS
TO PROGRESS
40.Allegations requiring investigation range from
incivility to collusion or involvement in murder. This presents
a significant challenge to a relatively small office. Some of
the investigations are extremely complex. A fatal shooting by
the police last year illustrates the demands that can be placed
on the Office. The complexity of the situation led to 38 staff
being recalled to duty that evening. Considerable resources were
required for an extended period to investigate the incident. Another
example is a current sensitive enquiry commenced by this Office
in June last year which is employing 19 full-time investigative
and three support staff. It is likely that the investigation will
not conclude for another 12 months.
41.Whilst the legislation provides a general time
limit of 12 months within which a complaint must normally be made,
Regulation 6 of the RUC (Complaints etc) Regulations 2001) provides
"exceptions for certain complaints". This gives the
Police Ombudsman wide "retrospective powers" in three
categories of circumstances, two categories of which demand, by
law, mandatory investigation. This means that in such cases, the
Police Ombudsman must investigate, irrespective of when the incident
occurred if the tests set out are satisfied. There are inherent
evidential difficulties in investigating an incident years later.
The Office has received many of these "retrospective"
allegations. The vast majority are deemed out of remit for a variety
of reasons, or are resolved to the complainant's satisfaction
after preliminary enquiries. However, others, as required by law,
do require investigation, and are retained and prioritised to
be dealt with as resources permit. Currently 15 such cases are
pending. These enquiries tend to be resource intensive and time
consuming, made all the more difficult by the passage of time.
42.All Investigators in the Office have the powers
of a Constable for carrying out investigations. Powers of arrest
are used sparingly, with the overwhelming majority of investigations
being completed with cooperation of police officers and others
involved. Only on three occasions have arrests been executed without
prior notice. On other occasions, a total of 13 further officers
have been arrested "by appointment" as they had refused
to cooperate by voluntarily attending a "criminal" (PACE)
interview. Whilst the powers are infrequently used, they are essential
to ensure confidence in effectiveness of investigations. Provisions
contained in the Police (NI) Act 2000 and Regulations ensure that
Investigators can access material required for investigations,
from PSNI. Some of the material required is extremely sensitive
and secure arrangements have been made to ensure its safe handling
within the Office. The Security and Law Enforcement Community
have expressed confidence in the way sensitive information has
been handled by the Office. Co-operation from PSNI is generally
excellent, with it having been noted that officers are being more
prepared, as time has gone by, to provide evidence against colleagues
who have acted inappropriately. This is a healthy sign and an
indication of confidence in the Police Ombudsman's investigative
processes.
43.Investigations are conducted thoroughly in accordance
with the law to ensure an effective "search for the truth".
The final recommendations for criminal or misconduct proceedings
are also evidence-based. Investigation processes are based on
best practice, and the use of relevant forensic, medical, technological
and other expertise. Apart from the misconduct of officers, all
investigations review whether any policy, practice or training
issues were a factor in the incident. This has led to numerous
recommendations to the PSNI, something welcomed by the Chief Constable.
An example would be training, policy and practice deficiencies
in the police use of force generally, and particularly firearms
and batons. A series of recommendations have been instrumental
in the reduction of complaints stemming from the use of force.
Poor practice in compliance with the Regulation of Investigatory
Powers Act 2000, was recently identified and is being corrected
following recommendations to the Chief Constable. There are other
examples of recommendations leading to improvements, including
first aid training of Custody Officers, safety features of custody
suites and displaying of officer numerals on uniform.
44.Complainants and officers are kept updated regularly
about the progress of the investigation. The Office has established
a challenging target, which requires it to update both complainants
and officers every six weeks. When the Office was first established,
the decision was taken, based on the professional understanding
of police officers, to update police officers on the occurrence
of a significant event in the investigation. Following concerns
articulated by officers, the Office amended its policy to provide
regular six week updates to officers. The procedure for updating
complainants and police officers will be facilitated by the introduction
of the new Case Handling System. Inevitably periods of time elapse
when, for example, the Office awaits documentation from PSNI;
interviews with officers; forensic science or other expert report
and directions from the Director of Public Prosecutions.
SEEKING WHEN
APPROPRIATE TO
HAVE COMPLAINTS
RESOLVED THROUGH
INFORMAL RESOLUTION
45.Informal Resolution provides an opportunity, in
those matters which are considered less serious, for police to
arrange for a senior officer to speak to the complainant and to
the police officer separately, in an effort to resolve the matter
informally. This process can only occur with the consent of the
complainant. Initially it was found that the concept of Informal
Resolution was a difficult one to explain to complainants. It
was understandable that a complainant, and indeed a police officer,
considered that if the Office was independent then the police
should not be directly involved in trying to resolve the matter.
The initial development of the Informal Resolution process was
slow and difficult.
46.A member of staff was appointed with specific
responsibilities for the Informal Resolution process. This has
proved to be a valuable initiative. The process has been speeded
up considerably as a consequence of this appointment. Additionally,
the ability to resolve complaints informally has begun to improve.
Initially 40% of complaints referred for Informal Resolution were
resolved. More recently the percentage of suitable complaints
informally resolved has risen to 72%. Apologies from the officer;
apologies on behalf of PSNI; advice given to police officers;
explanations or expressions of regret offered have all resulted
from the Informal Resolution process.
NOTIFYING THE
SECRETARY OF
STATE, POLICING
BOARD AND
THE CHIEF
CONSTABLE OF
THE OUTCOME
OF COMPLAINTS
47.Under Section 55 of the Police (NI) Act 1998 the
Chief Constable, NIPB and Secretary of State can refer matters,
believed by them to be in the public interest, for investigation.
The Section also provides a provision for the Police Ombudsman
to call matters in for investigation without complaint. At the
conclusion of each Section 55 investigation, a report is sent,
pursuant to Regulation 20 of the Police (Complaints)(RegulatiOns)
2000, to the Chief Constable, the Secretary of State, and NIPB.
Such enquiries often involve the investigation of an incident
(rather than an individual officer), although misconduct, criminal
or disciplinary, of an officer can be identified and separately
reported as a result of such an investigation.
48.The Police Ombudsman has received 126 such referrals.
In those cases which have been concluded, a report under Regulation
20 has been submitted to the Secretary of State, NIPB and the
Chief Constable. For example during the current year, of the 19
reports submitted, 52 recommendations for improvements in policing
have been made. Some investigation reports are, of necessity,
critical of individual police officers, whether retired or serving.
In cases where public statements are being made about officers
a protocol applies. That protocol between Police Staff Associations,
PSNI and the Police Ombudsman defines the process by which such
individuals may comment on the draft text. Those comments are
taken into account in formulating a final report. Individuals
have not been named in such reports.
MAKING RECOMMENDATIONS
WHERE APPROPRIATE
TO THE
DPP FOR CRIMINAL
ACTION
49.The law requires that when an investigation is
concluded, and the Police Ombudsman believes that a criminal offence
may have been committed by a member of the police force, the investigation
file must be sent to the Director of Public Prosecutions with
appropriate recommendations. The Director of Public Prosecutions
then decides whether to prosecute the police officer. Statistics
for the first three years reveal that:
—374 cases of complaint have been referred
to the DPP for direction.
—In 346 cases the Police Ombudsman recommended
no charges against officers.
—40 criminal charges have been recommended
by the Police Ombudsman in respect of 28 investigations.
—To date the DPP directed 19 criminal charges.
Directions are awaited in other cases.
—In three cases where Police Ombudsman
did not recommend prosecution, DPP directed charges.
—10 officers have been found not guilty,
one officer subject of a police caution and two officers subject
of criminal conviction.
MAKING RECOMMENDATIONS
WHERE APPROPRIATE
TO THE
CHIEF CONSTABLE
OR THE
POLICING BOARD
FOR DISCIPLINARY
ACTION
50.If an investigation by the Office demonstrates
that a police officer has acted improperly, the Police Ombudsman
may recommend that the Chief Constable should bring disciplinary
proceedings against the officer involved. If the Police Ombudsman
believes there are mitigating circumstances, she may recommend
informal proceedings. Formal disciplinary sanctions range from
dismissal to a reprimand. Informal sanctions include "Advice
and Guidance".
—In 21 cases of complaint, tribunal hearings
of formal misconduct charges were recommended by the Police Ombudsman
against 21 police officers.
—In two of these cases, representing six
charges against two officers, guilty pleas were entered.
—In one case, the officer concerned was
found guilty and in four cases the charges were not proceeded.
—In five cases the charges were not proceeded
with.
—In 13 cases, disciplinary proceedings
have been recommended and remain ongoing.
—In 10 cases, the Superintendent warnings
were given to police officers as a result of Police Ombudsman
recommendations.
—In 61 cases, the Police Ombudsman recommended
Advice and Guidance in respect of 83 officers.
—In 21 cases, the Police Ombudsman made
recommendations in respect of police procedures or for officers
to receive a management discussion.
REPORTING ANNUALLY
TO THE
SECRETARY OF
STATE (SOS)
51.The NIO stipulated that the first Annual Report
for the Office covered the period 6 November 2000 to 31 March
2002. The second Report covered the normal financial cycle, 2002-03.
The next Report is due at the end of March 2004. Annual Reports
are provided to the Secretary of State at the end of June or beginning
of July in time for the close of Parliamentary Session in July.
A Statement of Accounts, (unaudited), is included with the Annual
Report and once it has been audited by the Northern Ireland Audit
Office, on behalf of the National Audit Office, a final Statement
is provided to Parliament through the Office of the Secretary
of State. The reporting mechanism to the Secretary of State is
supported by a three monthly progress meeting with the Head of
the Policing Division in the Nb, through which the Permanent Secretary
as NIO Accounting Officer is kept informed of the progress and
achievement of the work of the Office in line with stated objectives
and business plans.
CARRYING OUT
INQUIRIES AS
DIRECTED BY
THE SECRETARY
OF STATE
OR AS
REQUESTED BY
THE POLICING
BOARD
52.The Secretary of State has not exercised his power
to request the Police Ombudsman to report under Section 61(1)
of the Police (Northern Ireland) Act 1998, nor have NIPB exercised
their power to request the Police Ombudsman to conduct an enquiry
under Section 60 of the Police (Northern Ireland) Act 2000.
REPORTING ON
PRACTICE AND
POLICY MATTERS
TO BE
DRAWN TO
THE ATTENTION
OF THE
CHIEF CONSTABLE
AND THE
POLICING BOARD
53.The Police Ombudsman is required to notify the
SOS, Chief Constable and NIPB of any intention to conduct an investigation
into any current practice or policy and to notify the outcome
of such investigations to the NIPB and Chief Constable by virtue
of Section 60A Police (NI) Act 1998 (as amended by Section 13
Police (NI) Act 2003). The legislation is quite recent and to
date only one such investigation has been conducted. This is an
investigation instigated after several complaints were received
concerning officers not displaying numerals on uniform at public
order incidents. Policies and procedures have been put in place
to facilitate future investigations, although additional resources
to meet this commitment have, to date, not been provided.
PROVIDING STATISTICAL
INFORMATION TO
THE POLICING
BOARD AND
TO THE
POLICE SERVICE
54.The Office has a statutory obligation to compile
statistical information on trends and patterns in complaints against
the police, and to supply this to the PSNI and the NIPB. Protocols
have been agreed with PSNI on the nature of the statistical information
to be supplied and the frequency of its delivery. Similar arrangements
have been concluded with the NIPB. Data on incoming complaints
are now supplied, on disc, to the PSNI on a monthly basis so that
District Commanders can access this information at a local level
and this information enables them to carry out their own analysis
of the data. A report summarising this information is also supplied
in hard copy form to: PSNI Senior Officer ranks; bIB; Central
Statistics Unit; and NIPB Statistics and Research Branch. The
report includes summary information on volume of complaints, trends
and patterns in complaints
and on complaint outcomes.
55.Significantly, a protocol has been agreed with
the PSNI for the supply to the PSNI of information on multiple
complaints recorded against individual officers as recommended
by the Patten Commission. District Commanders and IIB are able
to use this information to identify potential matters of concern
and help them identify how to deal with them. The agreements with
PSNI and NIPB are kept under continual review to monitor the effectiveness,
relevancy and adequacy of the data supplied. At the moment all
parties are broadly content with the systems currently in place.
CARRYING OUT
RESEARCH TO
INFORM AND
IMPROVE POLICING
POLICY AND
PRACTICE
56.THE OFFICE
IS COMMITTED
TO CARRYING
OUT RESEARCH
AND CONSULTATION
IN ORDER
TO IMPROVE
THE QUALITY
AND EFFECTIVENESS
OF THE
POLICE COMPLAINTS
SYSTEM; TO
INFORM THE
PUBLIC ABOUT
ITS POWERS
OF INDEPENDENT
INVESTIGATION; AND
TO CONTRIBUTE
TO THE
IMPROVEMENT OF
POLICING IN
NORTHERN IRELAND.
THE FOLLOWING
RESEARCH REPORTS
HAVE BEEN
PRODUCED:
57. PUBLIC
AND POLICE
ATTITUDE SURVEYS—THE
OFFICE HAS
COMMISSIONED A
SERIES OF
QUESTIONS IN
THE NORTHERN
IRELAND STATISTICS
AND RESEARCH
AGENCY (NISRA) OMNIBUS
SURVEY ON
FIVE OCCASIONS
SINCE OCTOBER
2000. FINDINGS FROM
ALL THESE
SURVEYS ARE
PUBLISHED, AND
HAVE SHOWN
A CONSIDERABLE
GROWTH IN
PUBLIC AWARENESS
OF, AND
CONFIDENCE IN,
THE OFFICE.
THE INFORMATION
OBTAINED HELPS
TARGET OUTREACH
ACTIVITIES TOWARDS
GROUPS WITHIN
THE COMMUNITY
IN WHICH
AWARENESS LEVELS
ARE LOWEST.
IN A
PROJECT DESIGNED
TO ASSESS
POLICE ATTITUDES
TOWARDS THE
OFFICE, SURVEY
QUESTIONNAIRES WERE
DISTRIBUTED TO
ALL MEMBERS
(9,900) OF PSNI IN
JANUARY 2003. THE
RESPONSES RECORDED
ON THE
COMPLETED QUESTIONNAIRES
WERE COLLATED
AND THE
DATA ANALYSED
INDEPENDENTLY BY
NISRA. A SUMMARY REPORT
OF THE
FINDINGS HAS
BEEN PRODUCED
WHILST SOME
ISSUES HAVE
ALREADY BEEN
ADDRESSED. A JOINT
WORKING COMMITTEE
OF PSNI, THE
POLICE STAFF
ASSOCIATIONS AND
THE POLICE
OMBUDSMAN IS
TO BE
SET UP
IN ORDER
TO ADDRESS
OTHER ISSUES
COMING FROM
THE STUDY.
58. STUDY
OF ATTITUDES
OF YOUNG
PEOPLE TO
THE POLICE—THIS
PROJECT WAS
CARRIED OUT
BY THE
INSTITUTE FOR
CONFLICT RESEARCH,
JOINTLY FUNDED
BY THE
OFFICE AND
THE NIPB. OVER
1,100 YOUNG PEOPLE
WERE INTERVIEWED
AND 31 FOCUS
GROUPS OF
YOUNG PEOPLE
WERE CONVENED
DURING THE
COURSE OF
THE STUDY—MAKING
IT THE
MOST EXTENSIVE
AND AUTHORITATIVE
STUDY OF
ITS KIND—AS
WELL AS
THE FIRST
TO EXPLORE
THE ATTITUDES
OF YOUNG
PEOPLE TO
THE REFORMED
POLICING ARRANGEMENTS
IN NORTHERN
IRELAND. A FULL
REPORT OF
THE WORK
WAS PUBLISHED
INDEPENDENTLY BY
THE INSTITUTE
FOR CONFLICT
RESEARCH IN
APRIL 2003.
59. STUDY
OF THE
TREATMENT OF
SOLICITORS AND
BARRISTERS BY
THE POLICE—FOLLOWING
REPORTS OF
INTIMIDATION, HARASSMENT
AND/OR
THREATS MADE
TOWARDS SOLICITORS
AND BARRISTERS
BY POLICE
OFFICERS, THE
POLICE OMBUDSMAN
INITIATED A
RESEARCH STUDY
OF THE
TREATMENT OF
SOLICITORS AND
BARRISTERS BY
THE POLICE.
THIS PROJECT
WAS SUPPORTED
BY BOTH
THE LAW
SOCIETY FOR
NORTHERN IRELAND
AND THE
NORTHERN IRELAND
BAR COUNCIL.
THE RESEARCH
FOUND THAT
55 SOLICITORS AND
BARRISTERS HAD
EXPERIENCED INTIMIDATION,
HARASSMENT OR
THREATS FROM
THE POLICE.
A FULL REPORT
WAS PUBLISHED
IN MARCH
2003 DETAILING THE
FINDINGS OF
THIS RESEARCH.
60. USE
OF BATONS
BY THE
PSNI—A STUDY OF
COMPLAINTS INVOLVING
BATON USE
BY THE
POLICE WAS
CONDUCTED. IT
LOOKED AT
THE NUMBER
AND NATURE
OF THESE
COMPLAINTS AND
THE CIRCUMSTANCES
IN WHICH
THEY AROSE,
AND THEN
COMPARED THE
FREQUENCY OF
THESE COMPLAINTS
IN NORTHERN
IRELAND WITH
FIGURES FOR
OTHER POLICE
FORCES IN
ENGLAND AND
WALES. MULTIPLE
RECOMMENDATIONS FOR
CHANGE IN
POLICY AND
PRACTICE EMERGED
FROM THIS
REPORT.
61. BATON
ROUND USE
BY THE
PSNI—A REPORT PUBLISHED
IN MAY
2002 SUMMARISED THE
REGULATION 20 REPORTS
PROVIDED TO
THE SECRETARY
OF STATE,
THE PBNI AND
THE CHIEF
CONSTABLE CONCERNING
THE DISCHARGE
OF BATON
ROUNDS BY
POLICE OFFICERS
DURING 2001 AND
2002. IN ALL
THE INCIDENTS
EXAMINED, THE
POLICE OMBUDSMAN
CONCLUDED THAT
THE DISCHARGE
OF THE
BATON ROUNDS
WAS FULLY
JUSTIFIED AND
PROPORTIONATE, AS
WERE THE
AUTHORISATION AND
DIRECTIONS GIVEN.
HOWEVER, A
NUMBER OF
RECOMMENDATIONS WERE
MADE
ABOUT POLICE
POLICY AND
PRACTICE.
62.RESEARCH BRANCH
IS CURRENTLY
ENGAGED IN
A NUMBER
OF OTHER
RESEARCH PROJECTS.
FOR EXAMPLE,
STAFF ARE
CARRYING OUT
A STUDY
OF THE
EFFECTIVENESS OF
THE INFORMAL
RESOLUTION SYSTEM
AS A
MEANS OF
DEALING WITH
COMPLAINTS AGAINST
THE POLICE,
FROM THE
VIEWPOINTS OF
BOTH THE
COMPLAINANT AND
OF THE
POLICE OFFICERS
INVOLVED.
THE EFFICIENCY
AND EFFECTIVENESS
OF THE
ADMINISTRATION AND
EXPENDITURE OF
THE OFFICE,
INCLUDING ITS
PERFORMANCE AGAINST
KEY INDICATORS
AND TARGETS
63.A Management Statement was established between
NIO and the Office setting out the relationship between the NIO
and the Office of the Police Ombudsman. It includes details of
the responsibility and accountability of:
—The Secretary of State for Northern Ireland.
—The Departmental Accounting Officer.
—The Police Ombudsman for Northern Ireland.
—The Chief Executive of the Police Ombudsman
for Northern Ireland.
—The Director of Finance/Administration.
64.Within the context of the Management Statement,
quarterly reports are provided to the Permanent Under Secretary
of the Northern Ireland Office by the Chief Executive through
the Head of Police Division for the N10. The progress report covers
financial review against budget, complaints statistics, levels
of staffing and appointment processes, and a report on the performance
of the Office. These meetings are the main mechanism which exists
for communicating the ongoing activities of the Office to the
NIO and for advising on financial pressures and easements. There
have been a number of meetings with the Secretary of State and
Minister of State for Policing and Security.
65.The complement of staffing at RUC Complaints and
Discipline Dept in 2000 was 110 complaints and investigative staff
(including administrative support), compared with the current
complement of 89 complaints and investigation staff (including
administrative support) here in the Office. During 2000 the combined
budget of RUC Complaints and Discipline Dept and the ICPC was
approx £6.0 million. However this did not include the use
of RUC Legal Services, statisticians and other resources, nor
the costs of the investigation of serious cases which were referred
to CID officers for investigation. Outside forces were also occasionally
brought in where independence was necessary. Cash expenditure
of this Office in this current cycle, will be £6.5 million.
Allowing for three years inflation, the cost of the old system
would exceed current costs of this Office per annum.
66.Since the Office was established in November 2000,
it has been working towards establishing a full complement of
staff. At the date on which the Office was established there were
59 staff in post. The staff complement has been built up over
the past three years to 123 staff in post at 31 December 2003
against a total complement of 126. At this stage the establishment
of staffing within the Office has reached a stable basis and it
is unlikely that there will be any further significant recruitment
needed. The Office is committed to providing a positive environment
both for staff and visitors. Regular health and safety and risk
assessments are carried out. Arrangements have been put in place
with an occupational health services provider and with a welfare
services provider in order to provide support to staff. The Office
has absence rates which compare very favourably with other public
sector organisations. 3.9% to 31 March 2003 as compared to 7.0%
for the Northern Ireland Civil Service.
67.Since the establishment of the Office it has been
accepted that there was a requirement to ensure that there was
a sufficient level of investigative expertise: experienced police
officers were seconded initially from the Metropolitan Police
Service and later also from other forces in England and Wales.
The total number of seconded officers has now begun to fall as
the skills and experience of directly recruited staff have increased.
This has resulted in a decline in numbers of seconded officers
from 21 in March 2002 to 17 in December 2003. The expertise of
seconded police officers will be required for a considerable time.
It is, nevertheless, a stated aim of the Office that the number
of seconded officers will continue to decrease over time.
68.The 2003-04 cash budget for the Office is £7,370k.
The budget for 2002-03 was £6,838k and for 2001-02 was £5,815k.
The 2003-04 budget includes £6,925 from the original 5R2002
baseline figure and additional amounts of £195k carried forwards
through end year flexibility and £250k which was allocated
as an additional resource subsequent to a bid for additional resource
by the Office in relation to a number of resource intensive investigations.
To date the Office has remained within its Grant in Aid allocation
and it is anticipated that the cash expenditure to March 2004
will be within the original budget baseline. Salaries constitute
the largest portion of the costs of the Office. Salaries and wages
expenditure as a proportion of expenditure on non-capital items
has continued to increase from 60.3% 2000-02, to 62.9% 2002-03,
to 64.8% in the period to 31 December 2003.
69.In the first 17 month period of account of the
Office, an amount of £1,839,369 was received as Grant in
Aid to fund capital assets including setting up the Office and
acquiring equipment, fittings, IT and security infrastructure.
Reference was made in paragraph 24 to the lack of functionality
of the current Case Management System. The Office has identified
a need for a new Case Handling System. The cost of such a CHS
are likely to be in the order of £1m with annual recurrent
costs in excess of £l00k. It is anticipated that the CHS
should produce long-term efficiencies. The ability to implement
this CHS is contingent upon resources being identified by N10.
70.The Office has within its statutory remit, the
requirement to investigate historic matters. These investigations
by their nature tend to be resource intensive. The obligation
to comply with the requirements of Article 2 of the ECHR (promptness,
effectiveness and independent investigation) prompted a request
to the Secretary of State for additional funding. The Police Ombudsman
was advised that additional funding was to be made available in
December 2003. However as this was towards the end of the financial
cycle it was impracticable to ensure the proper expenditure of
these resources within this financial year. In this context, the
Office has asked NIO to consider a request to carry over the £250k
additional funding in addition to £195k which was carried
over within the management statement allowance at the end of 2002-03.
71.An Audit Committee has been established which
comprises representatives from the Office, N10, internal auditor,
and external auditor. It is planned that a nonexecutive independent
member of the Audit Committee will be appointed by the start of
the new financial year. The terms of reference of the Audit Committee
are drawn from the "Guidance of the Codes of Practice for
Board members of Public Bodies" which was issued by the Cabinet
Office. The Audit Committee meets not less than three times per
year. In the financial year 2003-04 the Audit Committee has met
four times. The Audit Committee receives the audit plan and considers
the adequacy of the coverage of such plans and also receives all
audit reports and recommendations from both internal and external
auditors. The Comptroller and Auditor General is responsible for
the external audit of the Office. There have been two external
audits since the Office was established, the first covering the
17-month period to 31 March 2002, and the second the year to 31
March 2003. Both audits provided an unqualified report from the
Comptroller and Auditor General.
72.The internal audit function of the Office is provided
by the Southern Internal Audit Services. The work of the internal
auditor is planned on a three-year basis to cover the key functions
of the work of the Office. The planning of the audit programme
is informed by risk assessment of the Office, and is approved
through the Audit Committee. Internal Audit reports received have
been positive and no matters were raised which were unduly critical.
All matters raised have been addressed. As part of the evidence
to support the Statement on Internal Control and in line with
best practice, the Office has established a process of Risk Management
which is based on the assessment of the probability and impact
of identified risk across all functions of the Office. This process
aims to identify the critical risks to the Office; the controls
which are already in place to mitigate these risks; and to identify
residual risks which in turn inform the necessary actions which
require to be addressed. The Corporate Risk Register is also used
in the Corporate Planning process to ensure that appropriate objectives
and targets are established to address all key risks.
73.The Office has adopted the performance management
process used by N10, which links individual objectives to those
of the organisation. An integral part of this process is personal
development planning (PDP) which ensures that staff are trained
and developed to enable them to achieve their agreed objectives.
The Office provides training through the compilation of a training
need assessment which is drawn primarily from the PDPs. Emerging
training needs, as a result of changes in legislation etc, are
addressed on a continual basis. With the introduction of the Accredited
Training Programme the Office has demonstrated a significant investment
in the development of directly recruited investigative staff to
a nationally recognised standard.
SUMMARY
74.It has been a difficult challenge establishing
such a new system in the field of police complaints particularly
here in Northern Ireland. The information in this submission argues
that the challenge is being met and the role of the Police Ombudsman
is well established, and operating independently, impartially
and effectively as intended in legislation.
75.The Police Ombudsman has attempted to establish
a body of staff with experience and competence which strives for
excellence, meeting the needs and expectations of the public,
but at all times sensitive to the needs and expectations of police
officers.
76.The level of activity of the Office has been intense,
the output in completed complaints very high and the performance
of staff now being consolidated and improving continuously.
77.The impact of the new system and the outcomes
of investigations are contributing to the improvement of policing
policy and practice. This submission argues that the Office has
contributed to the strengthening of policing performance, accountability
and governance within Northern Ireland.
78.Government, through the NIO, has supported the
establishment of the Office in resources and in capital investment.
The Office has maintained its business within the agreed revenue
and grant aid. The operating costs of the Office stand comparison
to the previous system and to internal complaints systems in other
Police Services.
79.With a stable pattern in the volume of complaints,
managers have been able to prioritise and redirect resource to
the complex and serious investigations being handled by the Office.
The nature of some allegations, however, are so resource intensive,
it is not possible for the Office to progress all such matters
awaiting attention. Currently 15 "historic" matters
are awaiting attention and this is a concern.
80.The Office must also now meet new challenges and
duties brought to it through legislation in terms of developing
a capacity to investigate policy and practice, to take on complaints
which may be made against support staff and to develop a mediation
mechanism which would add value to effective resolution of complaints.
81.One disappointing aspect in the initial planning
and development of the Office was the commissioning of a Case
Management System which has proved to be inadequate and blocks
efficiency being achieved in the use of valuable investigation
and support time. The investment in a new system would be considerable,
yet in the long term would provide for a better function and efficiency.
82.The extensive powers, duties and responsibilities
of police officers are unique within the public service: the system
and powers which are required to handle complaints and investigate
allegations about police conduct must be equally extensive. The
Office has attempted to exercise these powers with rigor and fairness
in all cases.
17 March 2004
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