Assurance review of conduct and discipline - terms of reference

22. The key output from the review will be the final report. The intended outcomes from this review and its publication are to provide an assessment of how efficiently and effectively Police Scotland and The Scottish Police Authority are responding to misconduct and/or discipline. This will be to:

• Provide assurance that Police Scotland and The Scottish Police Authority assess, investigate and deal with allegations, reports and instances of misconduct and discipline in a timely, proportionate and effective manner within the auspices of current policy, procedures, regulations and legislation.
• Provide an assessment as to whether suitable capacity, capability and skills are in place to effectively deal with misconduct / discipline and wrongdoing when it occurs.
• Provide an assessment of whether effective prevention strategies and interventions are in place to identify and address inappropriate behaviours and culture within the organisation.

User perspective

23. As set out in the Public Services Reform (Scotland) Act 2010, HMICS has a duty to demonstrate continuous improvement in user focus, i.e. involving users in the scrutiny process. We will endeavour to obtain an accurate as possible perspective of key stakeholders groups through public engagement and consultation.

24. HMICS will engage directly with Police Scotland and Scottish Police Authority officers and staff to obtain views and their perspective of how both of these organisations appropriately identify, assess, record, investigate and conclude misconduct or discipline processes. We will speak with officers and staff who have experience of having been part of conduct and discipline processes as subject officers, victims or witnesses and those involved in investigations and as part of conduct panels.

Methodology

25. We will use the HMICS Inspection Framework which is based on the European Foundation for Quality Management (EFQM) Excellence Model and Best Value Characteristics.

26. The Inspection Framework will provide a structure to our inspection which will be risk based, proportionate and focused on improving the delivery of policing in Scotland. We will structure our inspection around our objectives and the key themes of:

• Leadership and vision
• Delivery
• Outcomes

27. Between August 2024 and December 2024 we will:

• Identify a single point of contact (SPOC) for HMICS in Police Scotland and the Scottish Police Authority to support the review and to facilitate appropriate access to people and information
• Liaise regularly with Police Scotland and the Scottish Police Authority
• Issue a document request and undertake a document review of relevant Police Scotland and the Scottish Police Authority strategies, policies and procedures
• Issue a request for a self-evaluation to be conducted by Police Scotland and the Scottish Police Authority, and analyse the results of this
• Liaise with Justice Analytical Services to obtain advice on the sampling approach to be adopted for the review of misconduct reports and investigations
• Conduct a review of police officer misconduct reports and investigations to consider the assessment, recording, and management of misconduct allegations. We will also consider the consistency of decision making, adherence to statutory regulations and effectiveness of end-to-end processes
• Conduct a review of police staff discipline reports and investigations to consider the assessment, recording and management of allegations of wrongdoing. The consistency of the decision making, adherence to policy and processes and effectiveness of the end-to-end processes
• Benchmark with other appropriate police organisations
• Engage directly with relevant officers and staff using interviews where appropriate. Topic guides will be devised to assist in this process.

Publication and reporting timescales

28. We anticipate publishing a report of our findings in April 2025. Our report will be published in terms of Section 79 of the Police and Fire Reform (Scotland) Act 2012. A copy of the report will also be provided to the Chief Constable, the Scottish Police Authority and the Cabinet Secretary for Justice and laid before the Scottish Parliament. A copy will also be made publicly available on the HMICS website.

29. For further information about the assurance review of conduct, please contact Maggie Pettigrew, Lead Inspector.

Craig Naylor
HM Chief Inspector of Constabulary in Scotland
September 2024