REPORT RAPPORT

DATE:	23 April 2012
TO/DEST:	Executive Director, Ottawa Police Services Board
FROM/EXP:	Chief of Police, Ottawa Police Service
SUBJECT/OBJET:	PROFESSIONAL STANDARDS SECTION – 2011 ANNUAL REPORT

RECOMMENDATION

That the Ottawa Police Services Board receive this report for information.

BACKGROUND

Part V of the Ontario Police Services Act, entitled “Complaints and Disciplinary Proceedings” outlines the process for dealing with complaints (public and chief’s) of the Service’s policies, the delivery of service, and officer conduct.  The Ottawa Police Service takes the investigation of complaints seriously, with an understanding of the impact of police service, policies and conduct on members of our community.

The Office of the Independent Police Review Director (OIPRD) and the Ottawa Police Service’s Professional Standards Section (PSS) are involved in the administration of the complaints process. 

Office of the Independent Police Review Director

The OIPRD, an agency of the Ontario Ministry of the Attorney General, ensures that public complaints in Ontario are dealt with fairly, efficiently and effectively.  The OIPRD manages all public complaints, determining whether the complaint will be investigated, and by whom.  When a police service is responsible for an investigation it must adhere to the rules and procedures set out by OIPRD and follow the reporting format prescribed by the OIPRD.

If the Director (OIPRD) does not agree with the way an investigation is being handled, the police service in question may be directed to take certain actions, the OIPRD may take over the investigation, or an outside agency may be directed to investigate.

Section 60 of the Police Services Act provides criteria under which the OIPRD may dismiss a complaint:

· The complaint is made more than six months after the facts on which it is based occurred [section 60(2)];

· The complaint is frivolous, vexatious, etc. [section 60(4)];

· The complainant was not affected by the policy, service or conduct of an officer [section 60(5)].

If OIPRD dismisses a complaint under section 60(4) of the Police Services Act as being frivolous, vexatious, etc. the complaint has been determined to be:

· frivolous, in that it is trivial, lacks seriousness or is futile;

· vexatious, in that it is made out of anger or the desire to seek retribution. Vexatious complaints may lack a reasonable purpose or be made with the intention to harass or annoy or may be repetitive or groundless;

· made in bad faith, if there is clear evidence that the complaint was made for an improper purpose or with an ulterior motive. A bad faith complaint may be one that is made with the intention of deceiving or misleading the OIPRD or police services.

· more appropriately dealt with, in whole or in part, under another Act or other law;

· having regard to all the circumstances, dealing with the complaint is not in the public interest.

At the conclusion of an investigation, a final report is provided to the complainant detailing the investigation and the results.  Possible investigative outcomes include:

· A conduct complaint may be substantiated and a determination of whether it is “serious” or “less serious” is then required to meet the requirements of the Police Services Act. There must be reasonable grounds to believe that misconduct has occurred and it must be more than mere suspicion of misconduct, and be based on factual evidence.

· Complaint may be deemed ‘unsubstantiated’ but can only be found to be unsubstantiated following a complete and thorough investigation that has determined that there is no misconduct or breach of the police code of conduct.

If the complainant does not agree with the outcome of an investigation they may request a review of the decision to the OIPRD. Once the OIPRD has reviewed an investigation, the decision is considered final.

In December 2011 the OIPRD released its first annual report which covered the period April 1, 2010 to March 31, 2011.  The report, along with further information on the public complaint process can be accessed on their website (www.oiprd.on.ca).

Ottawa Police Service Professional Standards Section (PSS)

As delegated by the Chief of Police, PSS has the authority to investigate and facilitate the resolution of complaints - both internally generated complaints and complaints received from members of the public.

The PSS plays an integral role in ensuring the OPS service orientation, mission, vision and values are a priority for its members. 

Members of the public may make a complaint to bring about a change in the organizational response to a particular type of call, have concerns with service provided to them addressed, or to clarify something that may not have been understood in the initial contact with the OPS.  The PSS investigators are responsible for ensuring the complainant has the opportunity to be heard, their complaint is fully understood and that appropriate follow-up is carried out.  Complaints can be resolved through a variety of means including promoting a discussion between the complainant and involved officer, providing the officer with additional training, or identifying misconduct and addressing issues through progressive discipline.

DISCUSSION

An overview of key results and highlights tracked by PSS are provided below.  Please note that all data is valid on the day extracted from the database and is subject to change as new information becomes available.

Complaint Statistics

In 2011 the number of public complaints (218) was approximately 20 percent lower than the level experienced in 2010 (272) and is more in line with the ten year average of 228 public complaints per year. 

It is important to understand the numbers of complaints and their outcome in the context of the number of calls for service the OPS responds to annually and the number of officers employed by the OPS.  The number of public complaints represents less than one complaint per officer (.16), less than one complaint per 1,000 calls for service (0.56), and 23.5 complaints per 100,000 residents in Ottawa.

To highlight the context in which we examine complaint statistics you will find the figure below depicts the number of sworn officers employed by the OPS and the gradual increases over the past ten years. The organization’s complement has grown by 29.4 percent, from 1,053 officers in 2002 to 1,363 in 2011, as seen in Figure 1.

Figure 1: Total Sworn Officers (2002-2011)

Figure 2 (below) illustrates the total number of public complaints received annually has fluctuated slightly over the past ten years but 2011 (218) was below the 10 year average of 228.

Figure 2: Total public complaints received by the Ottawa Police Service (2002-2011)

As indicated in Figure 3, in 2011 Chief’s complaints (187) continued to decline for the third year in a row and remained below the ten year average of 207.  The .14 rate of complaint per officer in 2011 is only slightly changed from .11 complaints per officer in 2002.

Figure 3: Total chief's complaints received by the Ottawa Police Service (2002-2011)

Table 1 (below) illustrates the total percentage change year over year for the last ten years for public and chief’s complaints.

Table 1: Complaints received by type

	Public Complaint*	Percentage change from  previous year	Chief's Complaint	Percentage change from  previous year
2002	275	-	117	-
2003	219	-20.4	237	102.6
2004	218	-0.5	185	-21.9
2005	233	6.9	186	0.5
2006	204	-12.4	174	-6.5
2007	247	21.1	235	35.1
2008	237	-4.0	290	23.4
2009	155	-34.6	255	-12.1
2010	272	75.5	199	-22.0
2011	218	-19.9	187	-6.0

*includes policy or service complaints (see classification of complaints below)

Figure 4 (below) illustrates the total number of public and chief’s complaints received during the period 2002 to 2011.

An annual average of 434 complaints (both Chief’s and public) was processed by the Ottawa Police Service over the past ten years.  In 2011 there were 405 complaints processed, 66 less than 2010, representing a decrease of 14 percent. 

Figure 4: Total complaints received by the Ottawa Police Service (2002-2011)

Classification of Complaints

The Ottawa Police Service classifies each conduct complaint based on the type of allegation that is made. Where there is more than one allegation, the most serious allegation is used to classify the complaint. The classification provides an idea of the types of situations that generate complaint investigations.

Figure 5 (below) illustrates the five classifications of complaints.  The volume of improper conduct complaints accounts for 71 percent of total complaints, comparable to 72.6 percent in 2010.  Further details are provided later in this report under the section entitled Improper Conduct Sub-classifications.

Figure 5: Classifications of complaints

A review of Table 2 (below) reveals that:

· Excessive force complaints decreased from 50 complaints in 2010 to 31 complaints in 2011 (38 percent decrease)

· Improper conduct complaints decreased from 342 complaints in 2010 to 287 complaints in 2011, a reduction of 55 complaints (16 percent decrease)

· Neglect of duty complaints fell from 66 complaints in 2010 to 64 complaints in 2011 (three percent decrease)

· There were no firearm discharge complaints received in 2011 (100 percent decrease).

· Policy and service complaints totalled 23 in 2011, an increase of 13 complaints over 2010 (130 percent increase).  This increase may be attributed to the way OIPRD now classifies complaints and will be monitored closely.  As indicated in Figure 5 above, policy and service complaints account for six percent of total complaints.

Table 2: Classification of Complaints

Classification	2007	2008	2009	2010	2011	5 Year Average	% Change 2010-2011
Excessive Force	31	54	30	50	31	39.2	-38%
Improper Conduct	393	362	292	342	287	335.2	-16%
Neglect of Duty	44	97	71	66	64	68.4	-3%
Firearm Discharge	4	7	7	3	0	4.2	100%
Policy/Service Complaints	10	7	10	10	23	12	130%
Total	482	527	410	471	405	459	-14%

Improper Conduct Sub-classifications

Improper conduct complaints include a broad spectrum of allegations including allegations of inappropriate actions such as unauthorized search and seizure, red light camera infractions and poor judgment; at fault motor vehicle collisions; abuse of authority; breach of confidentiality; and insubordination. 

A breakdown of the six improper conduct sub-classifications can be found in Table 3, along with comparative statistics for the past four years (when data collection for sub-groups commenced).

Four improper conduct sub-classifications in 2011 exhibited lower numbers than those received 2010, including 21 fewer inappropriate comments/language complaints (35 percent reduction); 43 fewer inappropriate actions (36 percent reduction); 24 fewer abuse of authority (41 percent reduction) and 3 fewer insubordination (75 percent reduction).

Two improper conduct sub-classifications saw increases in 2011 over 2010.  The number of breach of confidentiality complaints increased by 5, slightly above the four year average of 10.3.  The number of ‘at fault’ motor vehicle collisions rose by 30 over 2010, however remained less than the four year average of 127.3. 

Table 3: Improper Conduct Sub-classifications

Sub-classification	2008	2009	2010	2011	4 Year Average	% Change 2010-2011
Inappropriate Comments/Language	52	34	60	39	46.3	-35%
Inappropriate Actions	82	79	121	78	90.0	-36%
At Fault Motor Vehicle Collisions	167	130	91	121	127.3	33%
Abuse of Authority	50	39	59	35	45.8	-41%
Breach of Confidentiality	11	10	7	13	10.3	86%
Insubordination	0	0	4	1	1.3	-75%
Total	362	292	342	287	320.8	-16%

Conduct Complaint Resolution

Table 4 (below) displays the resolution of conduct complaints made against Ottawa Police officers for the years 2007 to 2011. All complaints investigated by the OPS are treated seriously.  Members are accountable for their actions and compliance with respect to provincial and federal statutes as well as internal policies and procedures.  Investigations are completed in a timely manner to ensure all witnesses and evidence is available.

Of the 382 conduct complaints received in 2011, 324 (85 percent) were resolved by the end of the year.  When reviewing complaint resolutions it is important to note that 315 did not result in discipline, eight resulted in informal discipline and one resulted in a formal disciplinary hearing.  At year end 58 conduct complaints remained under investigation.

Given the scrutiny with which PSS investigators review officer conduct with respect to all applicable statutes and policies it is significant that discipline is required in so few cases.  This may be in part due to the gap in public understanding of the requirements of police officers in the execution of their duties.  Complainants are provided comprehensive reports that explain each of the elements specific to their complaint and the relevant legislation, procedure and requirement under policy.

The OIPRD reviews complaints received from the public across the province and use specific criteria in the legislation to consider the appropriate response to those complaints.

Thirty-five percent of the 195 public conduct complaints against OPS received in 2011 were dismissed by OIPRD at intake.  Of those, 39 complaints were deemed to be frivolous, vexatious, etc., pursuant to section 60(4) of the Police Services Act by the OIPRD.  In 29 complaints (included in the dispositions under no further action) no breach of the Police Services Act or its Code of Conduct was identified; the complainant did not wish to continue with the complaint; OIPRD were unable to reach the complainant for more information; the incident occurred while the officer was off duty; and there was no connection between the conduct and either the occupational requirements of the officer or the reputation of the police service.

In 2011, complainants chose to withdraw their complaints in 47 cases which is consistent with 46 complaints withdrawn in 2010.  This may be in part due to the complainant having the opportunity to share their issue and the police spending the time to explain and discuss elements of concern.

A total of 17 complaints were closed by OIPRD and not dealt with because the complaint was filed more than six months after the facts on which the complaint was based occurred.   The timelines for the complaint process are designed to ensure a complete comprehensive investigation in a timely manner.

Discipline was determined appropriate after the investigation of nine complaints in 2011, which is consistent with 2010.  Those cases that resulted in discipline represent two percent of the total conduct complaints which is well below the five year average of 15.2 percent.

Table 4: Conduct Complaint Resolution

Resolution1	2007	2008	2009	2010	2011	5 Year Average	% Change 2010-2011
Unsubstantiated	52	60	41	61	45	51.8	-26%
Frivolous, Vexatious, etc.	16	24	27	76	39	36.4	-49%
Withdrawn by Complainant	45	27	17	40	45	34.8	13%
Withdrawn by Complainant - VADRP	0	0	3	6	2	2.2	-67%
No Further Action	136	159	123	139	149	141.2	7%
Informal Resolution	31	43	34	18	18	28.8	0%
Informal Resolution – VADRP	7	16	13	0	0	7.2	-
Over Six Months	13	15	4	21	17	14	-19%
Third Party - Not Directly Affected	7	13	6	1	0	5.4	-100%
Subtotal - Complaints Not Resulting in Discipline	307	357	268	362	315	321.8	-13%
Informal Discipline	6	28	20	8	8	14	0%
Disciplinary Hearing	1	1	2	1	1	1.2	0%
Subtotal - Complaints Resulting in Discipline	7	29	22	9	9	15.2	0%
Subtotal - Complaints Under Investigation at Year End	158	134	110	90	58	110	-36%
Total	472	520	400	461	382	447	-17%

Note: The totals vary slightly from Table 1 as a result of the policy/service complaints being included in Table 1.

Policy or Service Complaint Resolution:

Table 5 (below) displays the resolution of policy and service complaints received over the past five years. Of the 23 policy and service complaints received in 2011, 17 were resolved by the end of the year.  Six were screened out by OIPRD at intake as they were deemed to be frivolous, vexatious, etc. or not directly affecting the complainant (third party) and six were withdrawn by the complainant.  Four resulted in no action being taken, while two resulted in action being taken. Five remained under investigation at year end.

Table 5: Policy or Service Complaint Resolution

Resolutions	2007	2008	2009	2010	2011	5 Year Average	% Change 2010-2011
Actioned Policy and/or Service Complaints	0	0	1	2	2	1	0%
No Further Action	5	6	4	3	4	4.4	33%
Frivolous, Vexatious, etc.	n/a	n/a	1	2	5	2.7	150%
Withdrawn by Complainant	n/a	n/a	0	3	6	3.0	100%
Withdrawn by Complainant – VADRP	n/a	n/a	0	0	0	0	-
Third Party	n/a	n/a	0	0	1	0.3	-
Policy or Service Complaints Under Investigation at Year End	5	1	4	0	5	3	-
Total	10	7	10	10	23	12	130%

Requests for Review by OIPRD:

Upon the conclusion of an investigation by the OPS the complainant has 30 days to request a review by OIPRD if they disagree with the findings.

As indicated in Table 6 (below) nine requests for review were received in 2011, one less than 2010.  In six of these complaints the OIPRD was satisfied with the investigation conducted by OPS and confirmed the decisions made by the Service. In one case OIPRD directed specific action to be taken to further the investigation.  Two complaints remained under review by OIPRD at the end of the year.  

Note:  Prior to 2010 there were no requests for reviews by OIPRD, therefore only a two year average is available.

Table 6: Request for Review by OIPRD

Resolutions	2007	2008	2009	2010	2011	2 Year Average	% Change 2010-2011
Confirmed Decision	n/a	n/a	n/a	4	6	5	50%
Specified Direction	n/a	n/a	n/a	1	1	1	0%
Assigned to Outside Police Service	n/a	n/a	n/a	0	0	0	-
OIPRD to Investigate	n/a	n/a	n/a	0	0	0	-
Action to be Taken	n/a	n/a	n/a	0	0	0	-
Reviews Pending	n/a	n/a	n/a	5	2	3.5	-60%
Total	n/a	n/a	n/a	10	9	9.5	-10%

Official Language Complaints:

The Ottawa Police Services Board Policy CR-11 requires that official language complaints be reported in the annual report. In 2011, there were three official language complaints received.  Two complaints were withdrawn by the complainant after they had the opportunity to discuss their concerns with PSS and were provided information on the obligations of our officers with respect to language issues.  In the third matter the complaint was determined to be unsubstantiated as the officer spoke to the community member in the language of approach as per policy.

Voluntary Alternative Dispute Resolution Program (VADRP):

On July 1, 2011 the contract for administering the Voluntary Alternative Dispute Resolution Program, formerly known as the Voluntary Conflict Resolution Program, was awarded to the Canadian International Institute of Applied Negotiation (CIIAN). 

The VADRP is a mechanism to resolve public complaints and internal personnel issues through the use of an independent mediator.  Mediation allows the parties to share their perspectives of their interaction in a neutral setting and offers a personal resolution to the complaint rather than the formal investigative process. Parties often feel better prepared to move forward with a positive attitude toward police as they feel they have been heard and have gained additional information and insight into police actions.

To evaluate the effectiveness of the VADRP participants are asked to complete an electronic survey once the mediation process is complete.  Initial results from the first six months of CIIAN’S administration revealed that respondents were satisfied with the mediation process and felt it was worthwhile participating in mediation with the officer.  The survey results also indicate that officers are pleased to have the opportunity to deal with complaint matters in an expedited manner (avg. 3 weeks), the length of the mediation session (1 hour or less), and the fact they had ample opportunity to share their views during the mediation. Officers also indicated in the survey that they found the VADRP useful as a means to better understand the concerns of the community and the various groups and individuals in it as they pertain to policing.

In 2011, a total of 15 public complaints were considered for VADRP.  By year end two of these were successfully resolved and one was returned for a formal Part V investigation. In six of the remaining cases considered for dispute resolution either the officer or the complainant declined to participate in mediation. Six cases were still in the VADRP process at year end.

Well respected program administrators and mediators of CIIAN delivered a half-day training session for PSS investigators in November 2011.  Training was well-received and provided familiarization to investigators on the mediation process.  It also served as an opportunity to create positive relationships with the mediators and familiarized them with OPS. 

VADRP provides an opportunity for OPS members to improve active listening and communication skills.  Ongoing training is under development.

Police Services Act Charges:

Five investigations commenced in 2011 resulted in Police Services Act notices of hearing being laid.  Four are still pending, bringing the total number of cases in the formal discipline hearing process to 20.

Nine hearings concluded in 2011 one of which was a case that was ordered to hearing by the Ontario Civilian Police Commission after the complainant requested a review.  This matter included four officers who were subsequently found not guilty.  One case was withdrawn after the criminal proceeding did not complete. One other matter was dismissed by the Hearing Officer after the officer was found not guilty. Six cases resulted in convictions ranging from forfeiture of hours to demotion in rank.  A total of 11 cases were still in the formal hearing process at year end.

Requests for Appeal of Hearing Decisions:

Under section 87(1) of the PSA, the officer may appeal a conviction to the Ontario Civilian Police Commission.

There were no appeals sought for 2011 PSA hearing decisions, however an appeal sought in 2010 completed and was upheld by the OCPC.  The officer has since requested a judicial review.

Criminal Offence Cases:

In 2011 five officers were charged with criminal charges including three charged by the Special Investigations Unit.  The total number of OPS officers under criminal charge during 2011 totalled 10.  By the end of 2011 six cases were processed through the criminal courts and four officers remained under criminal charge.

Criminal matters completed in 2011 included four officers who received conditional discharges, one who received a suspended sentence and one officer’s charge was withdrawn.

Special Investigations Unit (SIU) Investigations:

The provincial Special Investigations Unit is legislated to investigate the circumstances of serious injury or death and sexual assault that may have resulted through criminal offences committed by a police officer. Section 11 of Ontario Regulation 268/10 of the Police Services Act directs a Chief of Police to conduct an administrative review of each SIU case. The administrative review focuses on the policies of, or services provided by the Service as well as the officer’s conduct.

In 2011 the SIU invoked its mandate in 11 incidents. By year end the SIU concluded seven investigations with no action being taken as there were no reasonable grounds to believe that the officers committed a criminal offence.  Note:  The SIU invoked their mandate in two additional matters but following preliminary enquiries, exercised its discretion and terminated the investigations advising no reports would be filed with the Attorney General.

In reference to SIU laid criminal charges, two officers were charged in one case.  One other case that involves one officer was related to an incident that occurred in 2010.  Five cases from 2011 were still under investigation at year end. 

Suspension Cases:

The Police Services Act provides that a chief of police can, in the most serious of matters, suspend a police officer. Suspensions are treated very seriously and only occur after careful assessment of the case.  The Ottawa Police Service’s approach includes providing members meaningful assignments regardless of being under investigation or facing serious discipline.  If the Chief of Police does not believe that the best approach is to seek dismissal, it is important for the member to contribute to the OPS in a meaningful way while the matters are resolved. 

One officer was suspended during 2011, bringing the total number of officers under suspension to five. It should be noted that two of these officers were previously dismissed from the Police Service (2010), however they appealed the dismissal decision to the Ontario Civilian Police Commission (OCPC).  While their dismissals were under appeal they remained suspended.  Both these appeal decisions were handed down in 2011. One officer was confirmed dismissed by the Ontario Civilian Police Commission and one remains under suspension while seeking further appeal through judicial review. By year’s end two officers returned to active duty while two remained under suspension.  

Other notable issues:

PSS works in collaboration with the Professional Accountability and Corporate Excellence Committee (PACE).  When deficiencies in processes, policy and procedure are identified through a PSS investigation, recommendations are made to PACE for a comprehensive review and consideration of risk mitigation.  Recommendations by PACE from these reviews are assigned to the specific sections for follow-up. Often this results in process improvements and better communication of procedures.  In 2011, a total of nine PSS referrals made to PACE produced recommendations for improvements.  In four of the cases the recommendations have been implemented and it is anticipated that those remaining will be implemented in early 2012.

With increased public scrutiny and police commitment to transparency in the performance of its duties and delivery of service it is becoming more common that outside agencies request the assistance of OPS and PSS. PSS conducts both criminal and conduct investigations and reviews for outside agencies.  In 2011, four requests for such assistance were received. In one case the Ontario Civilian Police Commission (OCPC) requested a review be conducted of a public complaint investigation involving the Belleville Police Service. Two requests were received from the Royal Canadian Mounted Police to conduct investigations in Yellowknife, NWT and the fourth was a request from the Deep River Police to carry out a review of an internal matter.  These four investigations were conducted to support partner agencies and costs were recovered in three of the four cases.  One investigation remains ongoing.

Over the last year, the PSS has undertaken a more involved role in SIU matters and a more immediate approach to Section 11 investigations. 

Investigators are dispatched immediately to potential SIU matters. This follows best practices across Ontario and ensures OPS compliance with SIU Regulation 268/10.

CONCLUSION

The Professional Standards Section continues to ensure fair, thorough and timely investigations. PSS assists OPS’ commitment to responsible and accountable service to the public.  The OPS continues to enhance relationships with various civilian oversight agencies.

Consistency and transparency in the investigation of public and Chief’s complaints ensures the relationship with the Ottawa Police Association is as collaborative as possible with expectations clearly articulated.

The OPS PSS recognizes the impact of police behaviour and conduct on the community members we are committed to serving and also on the officers involved.  The approach of progressive discipline will balance the needs of the community, the organization and the member.

As Chief, I am committed to ensuring compliance with Ministry standards and meeting the requirements of professional policing.   PSS satisfies all requirements of its mandate.

(original signed by)

Charles Bordeleau

Chief of Police