FOI11

WrittenevidencefromDr.RodgerPatrick ExecutiveSummary: TheprovisionsoftheFreedomofInformationAct2000wereutilisedtoaccesstheevidenceto substantiatetheDoctoralStudy,andsubsequentacademicarticles,ontheimpactofPerformance ManagementonthePoliceServiceinEnglandandWales.Reflectionsontheexperienceofusing thelegislationasanacademicdeviceareoutlinedinthesubmission,asareexamplesofthetype ofinformationdisclosed.ItwasestablishedthattheActwasapowerfulmeansofaccessing informationwiththepotentialtofacilitategreateraccountability.However,onitsownitcannot ensurereformandfurtherlegislationmaybenecessarytorealiseitsoverarchingobjectives. 1.RationaleforutilisingtheFreedomofInformationAct(FOI)asaresearchtool: 1.1ParticipantobservationsasaChiefInspectorintheWestMidlandsPolicehadidentifiedgaming behaviourasanunintendedconsequenceofPerformanceManagementintroducedasameansof improvingPolicegovernanceandaccountability.Howeverearlierdisclosuresofsimilarperverse behavioursbypractitioners(Young1991)hadbeenunabletoestablishanempiricalpatternandwas weakenedbyalackofcorroboration.ThePoliceFederationhadalsorespondedtotheirmembers concernsbyhighlightinggamingbehavioursattheirnationalconferencein2007butwereaccused bythethenPolicingMinisterTonyMcNultyofovereggingthecake.Theintroductionofthe FreedomofInformationActprovidedameansofaccessingunpublisheddocumentsanddetailed officialstatistics,thusaddressingthesemethodologicallimitations. 1.2Observationshadidentifiedfourdistinctcategoriesofperversebehavioursdesignedtoimprove performancebyunethicalmeans,orgivethefalseimpressionperformancehadimproved.Such behavioursarereferredtocolloquiallyasfiddlingthefigures,cookingthebooksorgood housekeeping.Intheacademicliteraturetheyarereferredtoasgamingbehaviourandthereisa bodyoftheoryonthesubject(DeBruijn20012007,LeGrand2003andBevan&Hood2006) 1.3Thefourcategoriesofgamingbehavioursidentifiedaredefinedasfollows: Nodding:Thisinvolvescollusionbetweenofficersandsuspectstoadmittolargenumbersof offences,usuallywhilstinprisonaftersentence,inreturnforfavourssuchasreduced sentences,accesstopartners,drugsoralcohol.Thetermisusedtodescribetheactofa prisonerpointingoutornoddingatlocationswheretheyclaimtohavecommitted offences.(Wilsonetal2001:63) Skewing:Thisinvolvesmovingresourcesfromareasofactivitywhicharenotsubjectto performancemeasuresinordertoimproveperformanceinareasthataremonitoredfor controlpurposes(Rogerson1995). Cuffing:Theunderrecordingofreportedcrimes,thetermbeingderivedfromthemagicians artofmakingobjectsdisappearupthesleeveorcuff(Young1991).

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Stitching:Thisincludesavarietyofmalpracticesdesignedtoenhancethestrengthofthe evidenceagainstasuspectinordertoensurethedesiredcriminaljusticeoutcome. Fabricatingevidenceorstitchingsomeoneupareformsofthisbehaviour. 1.4AllofthesegamingbehaviourswereoperatingintheWestMidlandsPoliceduringtheperiod 1996to1999andhadamajorimpactontheforcesperformance(Patrick2004,200920112012a 2012b).Incombinationtheycanberegardedasaperversepolicingmodel.Thestatisticalprofileof theforceduringthisperiodprovidedatemplateforidentifyingsimilarpracticesinotherforces. 1.5Variousevents,someinresponsetothebehavioursbeinguncoveredbyregulatorsorspecific incidentswhichhadthepotentialtobecomescandals,hadresultedintheforceconductingreviews oftheconcerningbehaviours.Theresultingdocumentation,muchofwhichwascompletedpriorto theintroductionoftheFreedomofInformationAct(FOI),wasneverintendedforpublic consumption.HoweverwhenpresentedwithaFOIrequest,theforcereleasedthedocuments.Many ofthesereportsquantifiedthescaleofthebehavioursandbysupplementingthisinformationwith analysisofnationalperformancedataitwaspossibletocalculatetheextenttowhichgaming behaviourdistortedresults. 2.UseoftheFOIActtoconductanacademicsurvey: 2.1TheintroductionofaFalseReportingPolicyintheWestMidlandsPolicein2004corresponded withamarkedreductioninreportedcrime.Itwasarguedthatthisrepresentedareturntoan evidentialcrimerecordingstandardandtheassociatedcuffing(Patrick2011).Thisdemonstrateda flawintheNationalCrimeRecordingStandardintroducedinApril2002withthestatedobjectiveof standardisingcrimerecordingproceduresandeliminatingsuchdistortions.Inordertoestablishif otherforceshadexperiencedsimilarreductions,whentheyintroducedsuchapolicy,allforcesin EnglandandWalesweresentaquestionnaireundertheprovisionsoftheActaskingthemtosupply copiesofanyfalsereportingpolicy. 2.2Theywerealsoaskedtoprovideanyanalyticalassessmentoftheproblemoffalsereporting completedundertheNationalIntelligenceModel(NIM)andanyImpactAssessmentcompletedon thepolicyundertheprovisionsoftheRaceRelations(Amendment)Act.ItwashopedtheNational IntelligenceModelassessmentwouldquantifythescaleofthepotentialthreatfromwhatwas believedtobethebogusreportingofcrimeinpursuitoffraudulentinsuranceclaims.TheImpact Assessmentsshouldhavebeencompletedasthereintroductionofgreaterdiscretionintothecrime recordingprocesscouldbeinfluencedbyofficerbias.Againsomequantifiableresultswerebeing sought. 2.3A100%responseratewasachieved.Theidentificationofthoseforcesoperatingfalsereporting policiesenabledastatisticalanalysistobecompletedandthissupportedthehypothesisthatthe crimerecordingstandardhadrevertedbacktoitspreNCRSinterpretation.Unpublisheddataonthe numberofcrimeswhichhadbeendeclassifiedascrimesi.e.nocrimed,wasreleasedbytheHome Officeandthisstrengthenedtheacademicargument. 2.4OnlytwooftheforcestohaveintroducedfalsereportingpolicieshadconductedNIM assessmentsonthethreatandneithersupportedtheintroductionofthepolicy.Noneofthe identifiedforceshadcarriedoutcomprehensiveimpactassessmentsonthereintroductionof discretionintothecrimerecordingproceduresalthoughonehadidentifiedthepotentially discriminatoryconsequencesoftherefusaltoissuecrimenumberstothosereportingpassports stolen.

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2.5TheevidenceofabsenceisavaluablefacetoftheActandprovedvaluablewhenexploringwhy theHomeOfficeceasedpublishingthevalidationteststheycarriedoutonthepolicerecordingrates intheBritishCrimeSurvey(BCS).AFOIrequestestablishedthattheyceasedaskingtherelevant questionsinthe2006/7surveydespitethefactthattheresultsin2005/6indicatedunderrecording wasincreasing(Walker,KershawandNicholas:2006:52). 3AccessingStatistics: 3.1Inordertoquantifytheextentofnodding,associatedwithabuseoftheOffencesTakeninto Consideration(TIC)procedures,itwasnecessarytoanalysetheimpactofpreventativeactiononthe numberofoffencesdetectedasTICs.TheHomeOfficeagainreleasedthedatainresponsetoa FreedomofInformationrequestandthescaleoftheabusecouldbeestimatedfromthefallinTICs aftertheincidentorscandalwhichstimulatedtheremedialaction.Aconsistentandcompelling patternwasevidentinallthecasesexamined(Patrick2012a). 4AccessingConfidentialDocuments: 4.1Theinformationcontainedwithinsensitiveandconfidentialdocumentshadamajorimpacton thedirectionoftheresearchandtheconclusionsreached.Whilstparticipantobservationand knowledgeofprocedureswasagreatbenefit,thewillingnessoforganisationstocomplywiththe statutoryrequirementswascommendable.Thereleaseofaconfidentialforceinspectionreport completedbyHerMajestysInspectorofConstabulary(HMIC1998)stimulatedinterestintheway regulatorsaddressedgamingwhenitwasuncovered.ItwasclearfromthisdocumentthatHMIC wereawareasearlyas1998thatpostsentenceadmissions,PrisonWriteOffs,werebeingconverted toTICsandthatthepracticewaspronetoabuse. 4.2AdraftreportonNottinghamConstabulary,followingtheChiefConstablesadmissionthatthe forcewasstrugglingtocopewithamarkedriseingangrelatedmurders,revealedthatthere deploymentofofficersfromspecialistHQsquadstolocalpolicingunitshadnotgonewell.This skewingofresourcesinfavourofmoreaffluentareashadbeenidentifiedintheWestMidlandsand itappeared,inbothcases,thatitcouldhavecontributedtotheriseingangrelatedcrimeor curtailedtheseforcesabilitytorespondtotheemergingthreat.Theparagraphreferringtothiswas omittedfromthepublishedversionofthereport. 4.3Confidentialdocumentsreleasedbyoneforcefacilitatedanassessmentofthecapabilitiesofthe IndependentPoliceComplaintsCommission.Thedocumentschallengedtheirfindingsonan importantinvestigationtriggeredbythedeathofachild(Patrick2012b). 5.TheAppealsProcess: 5.1Inordertopursuethehypothesisthatregulatorsmaybepressurisingforcestointroduce gamingtypebehaviourstoimprovetheirperformance,informationwasrequestedfromthePolice StandardsUnit(PSU).SpecificallysoughtweretheirassessmentsandrecommendationsonWest YorkshireandNottinghamshirepoliceforces.Itwasknownthatbothforceshadexperienced gamingtypeproblemsduringthelate1990s/early2000sandtheremedialactionnodoubt contributedtotheirlowstationonthenationalleaguetables.Theirperformanceimproved markedlyafterPoliceStandardUnitinterventionandexaminationoftheirperformanceprofiles suggestednoddingandcuffinghadbeenresurrected.Therequestforfulldisclosurewasrefused andthisledtoanappealtotheInformationCommissioner. 5.2WhilsttheInformationCommissionerfoundinfavouroftheappeal,theprocesstookoverthree yearstocomplete.ThisisbelievedtobeduetoalackofresourcesattheInformation CommissionersOfficeandissomethingtheCommitteemaywishtocommenton.

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6.ThescopeofOrganisationssubjecttotheprovisionsoftheAct: 6.1TheActwasagaintoproveinvaluablewhenstudyingthebehaviouroftheregulators.In2006 problemswiththeimpactofgamingonthereliabilityofdetectiondataappearedtobebehindthe decisiontoauditarangeofdetectionswhichdidnotinvolvethechargingofasuspect.Contraryto longestablishedpracticetheresultswerenotpublishedbyHerMajestysInspectorofConstabulary (HMIC).However,despitethefactthatHMICarenotsubjecttotheprovisionsoftheAct,they respondedtoarequestfromanunknownapplicantandpublishedtheresultsontheirwebsite.The exclusionofHMICfromtheActmaybesomethingtheCommitteemaywishtoreview. 6.2Theauditofdetectionshighlightedmajorqualityfailings,includinginsufficiencyofevidence,in relationtocautions,penaltynoticesandinformalwarnings.Suchdeficiencieswouldhave implicationsfortheCriminalRecordBureauandtheAssociationofChiefPoliceOfficers(ACPO)who administerthePoliceNationalComputer(PNC).TheuseoftheFOItofollowthedocumentarytrail wasnotanoptioninrelationtoACPOasthisorganisationisnotcoveredbytheAct.Againthe Committeemaywishtoreviewtheorganisationscoveredbythelegislation. 7.TheOperatingPhilosophyoftheInformationCommissioner: 7.1TheevidentialblindspotinrelationtoACPOwaspartiallyovercomewhentheywrotetothe InformationCommissioneradmittingthattheauditofdetectionshaduncoveredpotentialbreaches oftheDataProtectionAct.Allthedocumentationinrelationtothisexchangewasreleasedbythe CommissionersOffice.Thesubjectofthecorrespondencewasencapsulatedbythefollowing disclosure: FrommyperspectiveIammostconcernedthatindividualswerenotbeinginformedthat theywereconsideredtobetheperpetratorofanoffenceeventhoughthisdidnotinvolvea legalprocess,especiallyifsuchinformationcouldbeusedinfutureEnhancedDisclosure relatingtothem.Thisclearlybreachestherequirementofthefirstdataprotectionprinciple thattheprocessingofpersonaldatamustbedonefairly.Iamalsoworriedbythesufficiency ofevidenceused.Ifapoliceforceisgoingtolabelanindividualasthedefactoperpetrator thentheymusthaveagoodobjectivereasonfordoingso.Nothavingthiscouldleadtoa recordbeingviewedasinadequateorinaccurate(breachesofthethirdandfourthprinciples respectively).(InformationCommissioner26.3.2007:Unpublished) 7.2WhilstACPOwerelessthancandidaboutthescaleandnatureoftheinsufficiencyofevidence uncoveredbytheaudit,thedecisionbytheInformationCommissionernottoalertthepublictothe risktheyhadbeenexposedtodemonstratedatendencytowardsaprofessionalbodyapproachto regulation,asopposedtoademocraticmodelwhereinformationismadeavailabletothepublicin orderforthemtoholdofficialstoaccount: Iwouldprefertoworkwithchiefofficerstoensurecompliance.Iwouldliketoknowmore detailabouthowthishascomeaboutandwhatactionisbeingtakentoensurefuture compliance(InformationCommissioner26.3.2007:Unpublished) 7.3ThereplyfromACPOdisclosedthefactthattheHomeOfficeandHMICwerealsoawareofthe natureoftheproblem: Pleaserestassuredthattheissuesthathavecometolightasaresultoftherecent AssociationofChiefPoliceOfficersandHMICauditshavebeentakenextremelyseriouslyby thepoliceservice.Tothisendaseriesofmeetingshavetakenplaceinfasttimewithall relevantparties,includingtheHomeOffice,toconsiderhowbesttoaddresstheconcerns 4

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thatyouraisedtowhichwearealive(ACPOlettertotheInformationCommissioner 10.4.2007:Unpublished) 8.Conclusion/Discussion 8.1.TheprovisionsoftheFreedomofInformationActwereaninvaluableresearchtoolovercoming anumberofmethodologicallimitationsfacedbypreviousstudies.Whilstthefindingscouldbe damagingtotheState,thusdefeatingthedesiredobjectiveofenhancingpublictrust,researchin thisareasuggeststhatsuchlossoftrustcanbetransient(Van de Walle et al 2008).Sointhe mediumtolongterm,greatertransparencywillleadtoreformandbettergovernancethus vindicatingthosewhointroducedthelegislation. 8.2Itshouldalsobeborneinmindthatthestudyreferredtobenefitedfromanelementofsurprise andmanyofthedocumentsrelieduponprecededtheenactmentofthelegislation.Anecdotal evidencewouldsuggestsuchcandiddocumentsarebeingshredded.Itcouldalsobesurmisedthat theymaynotbecommissionedatall.IfthisweretobethecasethenitcouldbearguedtheActhas beencounterproductive. 8.3TheInformationCommissionerappearedtogivevoicetothisconcerninPlymouthCityCouncil VsBBC(2006)(ICORefFS50082254).InthiscasetheBBChadrequestedfulldisclosureofthe documentssubmittedtoaseriouscasereviewintothedeathofachildbyindividualagencies.The InformationCommissionerjudgedthatthedisclosureofthereviewsconductedbyindividual agenciesmaydeterthemfrombeingopenthuslimitingtheabilitytolearnfromexperience.This rationalwaschallengedbythedeliberationsfollowingthedeathofBabyP. 8.4WhilstthereluctanceofChiefOfficerstodiscloserelevantinformationtoregulatorsorother formsofofficialinquirycanbeaddressedbylegislationandconferringgreaterpowerson investigators,thiswillbetonoavailiftheregulatorsthemselvesarenotcommittedtomakingtheir findingspublic.ThefailureoftheFinancialServicesAuthoritywasadamningindictmentofthis approach.StructurallythisflawmaybealleviatedbyaligningtheregulatorstoParliamentandits ScrutinyCommitteesmaybethemostappropriatebodiestooverseetheirwork. 8.5Anotherconsiderationraisedbythestudywasthemeansbywhichinformationuncoveredby FreedomofInformationrequestsisdisseminatedtothegeneralpublic.Manyofthedocuments disclosedwerenotmadepublicoreasilyaccessibleonthewebsitesoftheoriginatingorganisations, includingtheInformationCommissionersOffice.Thisisseenasgoodpracticebutisnotastatutory requirement.Themediaisoneoutletbuttheyhavetheirownagendaandmoveonquicklytothe nextbreakingstory(Howard&Waisbord2004).Academicarticlesareoneoutletbutpublicationis slow.Theofficialregulatorsappeartobethemostobviousrecipientbutascanbeseenfromthe evidencepresentedappropriateactionmaynotfollow. 8.6Inrelationtotheinformationuncoveredbythisstudythemostappropriateoutletwouldappear tobetheParliamentaryScrutinyCommittees.Certainlysomethingneedstobedoneforthose citizenswhohavepolicerecordswhicharenotjustified.Witnesstestimoniesandanalysisofthe HomeOfficedatawouldsuggestthesameproblemsareoccurringwithoffencesdealtwithas RestorativeorCommunityResolutions.ItmaybeworththeScrutinyCommitteesconsideringmaking themselvesmoreaccessibletounsolicitedsubmissions. January2012

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References: Bevan&Hood(2006).WhatsMeasuredisWhatMatters:TargetsandGamingintheEnglishPublic HealthCareSystem.PublicAdministrationVol.84,No3,2006(517538) DeBruijn,H.(2002).Performancemeasurementinthepublicsector.(LondonRoutledge HerMajestysInspectorofConstabulary(1998).AnAuditReportbyHerMajestysInspectorof ConstabularycompletedontheWestMidlandsPoliceinDecember1998.Notpublished:availablevia FreedomofInformationrequesttotheWestMidlandsPolice. HowardT.&S.R.Waisbord(2004).PoliticalScandalsandMediaAcrossDemocracies,VolumeII AMERICANBEHAVIORALSCIENTIST,Vol.47No.9,May200411431152 LeGrandJ.(2003).Motivation,AgencyandPublicPolicy.OxfordUniversityPress. Patrick,R.(2004).TheLotofthePoorisUnlikelytoImproveUntilTheyHaveaGreaterSayinTheir lot:GoingLocalandtheImpactontheDistributionofPublicServices.VistaPerspectiveson ProbationandCriminalJustice&CivilRenewalVol.9No.32004. PatrickR.(2009)PerformanceManagement,GamingandPolicePractice:AStudyofChangingPolice Behaviour in England and Wales During the Era of New Public Management. University of Birmingham.PhDThesis. Patrick,R.(2011).ReadingTeaLeavesanassessmentofthereliabilityofpolicerecordedcrime statistics.ThePoliceJournal,Volume84(2011)pgs.4767. Patrick,R.(2012a).ANodandaWink:Dogamingpracticesprovideaninsightintothe organisationalnatureofpolicecorruption?(ThePoliceJournal.Acceptedforpublication,11.3.11 Ref.:Ms.No.PJD10529R1). Patrick,R.(2012b).'PublicChampionsorProtectorsofProfessionalInterests?'Observationsonthe performanceofthosebodiesentrustedwiththeregulationofthePoliceServiceduringtheeraof NewPublicManagement(ThePoliceJournal.Acceptedforpublication17.6.2011Ref.:Ms.No.PJD 11536R1) Rogerson, P. (1995) Performance Measurement and Policing: Police Service or Law Enforcement Agency?PublicMoney&Management,OctoberDecember1995 Van de Walle Steven., Steven Van Roosbroek and Geert Bouckaert (2008) Trust in the public sector: is there any evidence for a long-term decline? International Review of Administrative Sciences 2008; 74; 47 WalkerA.,KershawC.&NicholasS.(2006).CrimeinEnglandandWales2005/2006HomeOffice, London Wilson, D., J.Ashton, & D. Sharp (2001). What Everyone in Britain Should Know About the Police. Blackstone. Young,M.(1991).AnInsideJob.PolicingandPoliceCultureinBritain.Oxford:ClaredonPress 6