Assurance review of conduct and discipline - terms of reference

Scope, objectives and outcomes

18. This inspection will be undertaken by HMICS in terms of the Section 74(2)(a) of the Police and Fire Reform (Scotland) Act 2012.

19. The objectives for this assurance review are to;

• Provide assurance that Police Scotland and Scottish Police Authority appropriately identifies, assesses, records, investigates and concludes breaches of the standards of professional behaviour and allegations of wrongdoing in line with current policy, process, regulations and legislation.
• Assess if effective prevention strategies and interventions are in place to address inappropriate behaviours and culture identified during conduct enquiries.

20. The assurance review will consider the efficiency and effectiveness of;

• Policies, procedures and processes pertaining to the identification, assessment, recording and investigation of misconduct and gross misconduct allegations relating to senior police officers, which is the responsibility of SPA
• Policies, procedures and processes pertaining to the identification, assessment, recording and investigation of misconduct and gross misconduct allegations relating to police officers and police staff, which is the responsibility of Police Scotland
• Adherence to statutory regulations
• Preventative approaches and interventions designed to address inappropriate behaviour and culture within Police Scotland
• Care and wellbeing of officers and staff who are subject to misconduct allegations
• Care and wellbeing of officers and staff who are identified as victims or witnesses in misconduct proceedings
• Effectiveness of whistle blowing process, which can highlight allegations of wrongdoing, resulting in misconduct or discipline proceedings
• Management of officers and staff post misconduct and discipline allegations and investigations
• Effectiveness of current legislation and investigatory tools
• Assessment of conduct and discipline data to identify any disproportionality of impact or outcome of disciplinary or conduct proceedings on any gender or ethnicity
• The processes and decision making for misconduct and discipline matters which result in criminal investigations
• Reporting and scrutiny arrangements for conduct matters.

Exclusions from scope

21. This inspection will not consider

• Criminal prosecutions of police officers and police staff which fall within the remit of Crown Office and Procurator Fiscal Service Criminal Allegations Against the Police Division (CAAP-D), however any concurrent conduct and discipline processes will be within scope.
• Handling of complaints about the police which are under the jurisdiction of Police Investigation and Review Commissioner (PIRC). It is understood that such complaints can become matters which fall within the auspices of conduct or discipline.