Principles of inspection

1. Various attempts have been made to articulate guiding principles for inspection. For example, the Crerar Review (September 2007) stated that the five principles for external scrutiny should be public focus, independence, proportionality, transparency and accountability. We have embraced these as part of our organisational values. Criminal justice inspectorates operating in England and Wales have adopted ten principles of inspection based on Cabinet Office guidance:

The purpose of improvement. There should be an explicit concern on the part of inspectors to contribute to the improvement of the service being inspected. This should guide the focus, method, reporting and follow-up of inspection. In framing recommendations, an inspector should recognise good performance and address any failure appropriately. Inspection should aim to generate data and intelligence that enable services more quickly to calibrate the progress of reform and make appropriate adjustments.
Focus on outcomes. Considering service delivery to the end users of the services rather than concentrating on internal management arrangements.
A user perspective. Inspection should be delivered with a clear focus on the experience of those for whom the service is provided, as well as on internal management arrangements. Inspection should encourage innovation and diversity and not be solely compliance-based.
Proportionate to risk. Over time, inspectors should modify the extent of future inspection according to the quality of performance by the service provider. For example, good performers should undergo less inspection, so that resources are concentrated on areas of greatest risk.
Inspectors should encourage rigorous self-evaluation by managers. Inspectors should challenge the outcome of managers’ self-evaluations, take them into account in the inspection process, and provide a comparative benchmark.
Inspectors should use impartial evidence. Evidence, whether quantitative or qualitative, should be validated and credible.
Inspectors should disclose the criteria they use to form judgements.
Inspectors should be open about their processes, willing to take any complaints seriously, and able to demonstrate a robust quality assurance process.
Inspectors should have regard to value for money, their own included.
Inspectors should continually learn from experience, in order to become increasingly effective. This can be done by assessing their own impact on the service provider’s ability to improve and by sharing best practice with other inspectors.

2. At HMICS we bear all of these principles in mind when planning and carrying out an inspection.

Inspection process

3. Our inspection programme (known as our scrutiny plan) covers three years and is reviewed annually. Topics to be inspected are identified during the course of our day to day work and intelligence gathering. In line with our statutory obligations, when preparing our plan (and any revised plan), we consult with stakeholders, as considered appropriate, and invite suggestions as to which areas we should inspect. In choosing which topics to inspect, we review consultation results, undertake environmental and risk analysis and then assess our options against a set of criteria which include whether:

it is in the public interest to inspect the issue
we can add value by carrying out an inspection
the issue relates to a high-risk area of policing
there is an evidence gap about a particular aspect of policing
the issue impacts on equalities or human rights
any other scrutiny body has considered or is planning to look at the issue
we have sufficient resources and capacity to carry out the inspection.

4. To help manage our scrutiny footprint, we liaise with other scrutiny partners and co ordinate our work plans through the nationally established Strategic Scrutiny Group (SSG) chaired by the Accounts Commission. We also liaise directly with the other UK police and justice inspectorates as well as the other justice-related scrutiny bodies in Scotland.

5. The process for conducting inspections includes five phases. Although, by their nature, inspections will vary, the process is used to assist inspectors to plan, manage and deliver inspections. The process is defined as part of our inspection manual and specific supporting guidance.

6. We use a range of evidence sources to develop a holistic view of the organisation or service area under inspection. We aim to gather evidence that is sufficient, relevant and reliable and to provide a solid basis on which judgements can be formed. We gather evidence from a number of different sources using a variety of methods including qualitative and quantitative techniques. Inspection tools are applied consistently by all involved in the inspection. The reliability and validity of the evidence is also be assessed. Our evidence collection methods are robust and the analysis methods sound and transparent.

7. We also review each inspection to obtain feedback and learn lessons for future inspections. Key documents, templates and processes may be amended as a result of this activity.

Basis for our framework

8. Since its inception, the EFQM Model has provided a blueprint for organisations worldwide to drive improvement and innovation. While the updated 2025 version, launched in June 2024, introduces new guiding principles to better address the current landscape and challenges faced by organisations, the principles of our own 2022 model remain relevant for our continued use.

9. The strategic nature of the EFQM Model, combined with its focus on operational performance and results, makes it the ideal framework for testing the coherence and alignment of an organisation’s future ambitions against its current ways of working and responses to challenges and ‘pain-points'.

10. The EFQM Model structure is based on the simple but powerful logic of asking three questions:

“Why” does this organisation exist? What purpose does it fulfil? Why this particular strategy? (direction)
“How” does it intend to deliver on its purpose and its strategy? (execution)
“What” has it actually achieved to date? “What” does it intend to achieve tomorrow? (results).

11. In developing our framework, we have reviewed the detail of the newly revised EFQM Model, comparing this to our previous framework to ensure continuity and consistency. We have also ensured that the framework embodies the latest statutory guidance on Best Value published by the Scottish Government in March 2020. This provides us with a well constructed high-level framework, from which we develop bespoke key lines of enquiry for each of our inspections and reviews.

12. These key lines of enquiry provide an individualised framework for each piece of scrutiny work we undertake. Our custody inspection framework is an example of this. This allows us to customise our approach to a policing-specific environment.

HMICS inspection framework

13. There are three overarching themes which link to quality indicators that we use to assess the organisation or service area we inspect. The overarching themes are:

Leadership and vision (direction in EFQM)
Delivery (execution in EFQM)
Outcomes (results in EFQM).

Leadership and vision

14. This theme examines the purpose of the organisation and why its work is important and considers how it creates and delivers sustained value for its stakeholders. It assesses organisational vision and what it is attempting to achieve in the long term, through the choices it has made for current and future courses of action. It considers the fundamental purpose of the organisation in the context of its strategy and how it plans to achieve its strategic priorities and move closer to its vision.

15. This theme also looks at how well the organisation identifies its stakeholders and understands its stakeholders needs, understands the wider context within which it operates, its own capabilities, major challenges and opportunities. As with our previous framework, there is a strong focus on implementing effective governance and performance arrangements to support delivery of the purpose, vision and strategy.

16. This theme examines how well the service or organisation is led. It also considers organisational culture and values and how well leaders steer and nurture these. It considers how leaders create the conditions for realising change, enable creativity and innovation, and ensure that the organisation unites behind and engages in its purpose, vision and strategy. The theme also examines the ability of leaders to be responsive to change and lead on the transformation and relevant programmes of activity.

Delivery

17. This theme now encompasses much of our previous framework themes of planning and process, resources, people and partnerships. This theme considers how the organisation identifies and uses specific types and categories within each of its key stakeholder groups and uses its understanding of needs and expectations to achieve continued engagement, building sustainable relationships. It assesses the levels of involvement of stakeholders in deploying strategy and delivery and examines the contributions they make. It looks at whether these relationships are based on transparency, accountability, ethical behaviour and trust. Key stakeholders will include service users, officers and staff, governance bodies, partners and suppliers, business and wider society.

18. One of the key stakeholder groups considered in detail within the theme is that of people and how the organisation attracts, engages, develops and retains both officers and staff. Fundamental to this will be the process of workforce planning and its alignment to purpose, vision and strategy. HMICS has a particular interest in the welfare and wellbeing of officers and staff and will assess specific progress in this area in relevant future inspections.

19. The theme also considers the wider group of delivery partners and how relationships are built and maintained to ensure support for creating sustainable value (see below). The concept of wider social wellbeing and the contribution made by the organisation is also included.

20. The theme encompasses the concept of creating sustainable value. The organisation’s clearly defined purpose, supported by the strategy, defines for whom the organisation should be creating sustainable value. In most cases, customers, segmented appropriately, are the target group for creating sustainable value. The definition of and approach to ‘customers’ as service users is particularly important in a policing context and the theme will explore this in more detail.

21. The four steps of value creation are set out in the EFQM model as:

Design the value and how it is created
Communicate and sell the value
Deliver the value
Define and implement the overall experience.

22. The step by step questions to consider when assessing creating sustainable value are:

How well have services been designed and implemented?
How well are service users supported to engage with the services? How well is this communicated and targeted?
How well aligned is the service to overall organisational/functional purpose/vision?
How well does the service meet standards and expectations?
Can the service measure its effectiveness at each stage of delivery?
Does the service have the resources, competences and level of empowerment (trust and delegation) to deliver effectively?
Does the service use feedback to learn and improve?

23. Sustainable value also includes expectations of environmental sustainability and associated strategy and delivery.

24. The theme examines driving performance and transformation, the first with a focus on successfully managing current service delivery, and the second managing the constant internal and external change to the organisation that need to be addressed in parallel if it is to remain successful. In combining the assessment of these aspects, the theme maintains a focus on the necessity for the organisation to deliver for today while preparing for the future. Major elements considered in enabling performance and transformation are innovation and technology, the ever-increasing importance of data, information and knowledge, risk management and the focused use of critical assets and resources.

Outcomes

25. This theme focuses on the overall performance of the organisation or service in relation to its purpose, vision, strategy and perceptions of stakeholders (both current and past). We look at success in delivering demonstrable, high-quality and improved outcomes for service users, communities and the public in general. Evidence for this could be obtained from a number of sources, including public surveys, focus groups, research, press or social media, external recognition or compliments/complaints.

26. We also look at how an organisation or service area’s strategic priorities, aims and objectives have been achieved, including those that are locally or nationally determined. Evidence of demonstrable outcomes includes trends over time, target measures and other aggregated data, which provide an indication of success in maintaining or improving the quality of the service provided, both overall and when benchmarked with similar services or organisations. These results should be effectively utilised by the organisation to monitor, understand and improve its overall performance and to forecast the impact this performance will have − both on the perceptions of its stakeholders and its future strategic ambitions.

Human rights, equality and diversity

27. Our inspection activity will take account of, recognise and protect the intrinsic value of all people and a society founded on fairness, dignity, equality and respect. We will demonstrate our commitment to these principles through the way we behave with and treat each other, in the rights, freedoms and protections we provide, and in the democratic, institutional and legal frameworks through which we exercise our role.

28. We recognise the fundamental equality of all humans and strive to reflect this in our day to day functioning as a scrutiny body. We will challenge unfairness, and we will uphold human rights, democracy and the rule of law, and our scrutiny activity will be proportionate, fair and effective.

29. The HMICS inspection framework is underpinned by a rights-based approach to our work. All our work is screened at an early stage to assess if a full impact assessment is required. The EFQM Model, like its predecessors, acknowledges the existence of a set of European Values, expressed through:

30. EFQM also recognises the role that organisations can play in supporting the goals of the United Nations and these goals have helped shape this latest edition of the EFQM Model:

The United Nations Global Compact (2000). Ten principles for sustainable and socially responsible business.
The United Nations 17 Sustainable Development Goals − a call for action to promote social equity, sound governance and prosperity, while protecting the planet.

31. There is an assumption and expectation that any organisation using the EFQM Model will respect and act upon the essence of these messages, regardless of whether it is legally obliged to do so or not.

32. We are one of 21 statutory bodies that make up the National Preventive Mechanism (NPM). All of our custody inspections contribute to the UK’s response to its international obligations under the Optional Protocol to the Convention against Torture and other Cruel, Inhumane or Degrading Treatment (OPCAT).

33. We considered the PANEL principles in the design of this framework and our supporting inspection processes.

34. The Equality Act 2010 legally protects people from discrimination in the workplace and in wider society. We are committed to equality and diversity, and our scrutiny work is intended to support improvements in policing for everyone, regardless of their age, disability, gender, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, sexual orientation, socio-economic status or any other status. Our inspection framework should be interpreted as being inclusive of everyone living, working and visiting in Scotland.

Best Value, continuous improvement and self-evaluation

35. The HMICS inspection framework is underpinned by the latest Best Value statutory guidance and a focus on continuous improvement. The organisation or service area’s capacity for improvement is an essential consideration in all of our inspection activity. The organisation or service area’s self-awareness is important, as is its track record in achieving improvement.

36. We accept that it is not reasonable to expect exactly the same level of effort or focus on improvement across all functional areas. However, what we do expect is that, on an organisation-wide basis, there will be a culture of continuous improvement, with a priority on improvement activity and an ability to demonstrate clearly how these priorities have been reached. The depth of improvement activity in priority areas, the approaches taken, methodologies adopted and (ultimately) the results of that activity provide the key evidence of best value.

37. We believe, in line with Crerar principles, that self-evaluation is fundamental to the continuous improvement approach. We continue to encourage both the SPA and Police Scotland to systematically apply self-evaluation within their organisations. We have not advocated any particular model, approach or tool, as we believe that it is for each organisation to decide which best suits their circumstances.

38. The SPA has previously evaluated itself based on Best Value guidance and shown a commitment to regular self-evaluation. A number of staff in Police Scotland are now trained in EFQM to better support service areas with their assurance work. HMICS considers that there is more work to be done to embed a culture of continuous improvement and a more systematic approach. The requirement for the submission of an agreed self-evaluation evidence template is embedded into our processes and procedures as part of our Thematic/Audit & Assurance reviews. We hope this will further promote the use of self-evaluation as an improvement tool. If the area has already completed a recent self-evaluation, we will aim to use this as the basis for inspection, validating findings and addressing any gaps in evidence we identify.

Working in collaboration with partners

39. We work with other scrutiny bodies to undertake joint inspection activity in areas where Police Scotland or the SPA work in partnership and contribute to shared outcomes with others. When we work in this way, we agree a joint approach for inspection, usually aligned to that of the lead agency. Examples include our joint inspection work on ‘children and young people at risk of harm’ where we have a long-standing commitment to collaborate with the Care Inspectorate, Healthcare Improvement Scotland and Education Scotland. We are an active participant in the joint inspection programme, led by the Care Inspectorate, and the joint quality improvement framework provides 22 quality indicators that can be used for self-evaluation and as a basis for our scrutiny.

40. Although such frameworks might not have an exact mapping to the HMICS inspection framework, they typically have a common basis in EFQM, and we ensure that our approach is encompassed within any joint framework.

Using the HMICS inspection framework for self-evaluation

41. This framework can be used as a basis for high-level self-evaluation by any organisation, department or function. Similarly the latest best value guidance (or previous best value toolkits), PSIF checklists, Public Value Framework or other recognised tool can be used. For the results of any exercise to be submitted as evidence of improvement, the following attributes must be considered. Is the self-evaluation:

focused on outcomes
proportionate to need
led and owned by those carrying out the self-evaluation
flexible, with the scope to recognise differences in service levels and types
engaging key stakeholders and reflecting their views
built on existing good practice and relevant existing standards
rigorous and transparent
designed to secure continuous improvement (with a resulting action plan)?

42. Where positive statements of progress are made, it will be particularly important to supply robust evidence. The organisation must be able to provide documented evidence of improvement; this could include strategies, plans, evaluations, reviews, terms of reference, agendas, minutes and reports, research, performance reporting and analysis, etc.

HMICS inspection framework quality indicators

43. The tables below provide the details of the quality indicators that will be considered for each theme of the inspection framework and for each of the inspections we carry out. The framework of indicators is designed to help evaluate and improve the quality of policing and the governance and scrutiny of policing provided to the public of Scotland. Using these indicators, we aim to identify strengths and priorities for improvement that can be built into an improvement plan.

A. Leadership and vision

A01	The organisation has developed a clearly defined and understood purpose and vision, informed and embraced by stakeholders, partners and employees. These are aspirational and communicate the value of the service, and also identify how levels of performance and sustainability will be required to fulfil them.
A02	The organisation has identified and prioritised its stakeholders, understands their needs and expectations, and how they contribute to and are affected by the purpose, vision and strategy.
A03	The organisation understands the context within which it works, undertakes regular strategic environmental and threat/risk assessment to identify and review challenges and opportunities for the future, evaluating its own capabilities to best deliver the vision.
A04	The organisation has developed an aligned strategy, which identifies strategic outcomes, priorities and objectives, resourcing, action plans, performance targets and transformation initiatives to address challenges and align business models.
A05	The organisation has designed and implemented a governance framework and performance management and reporting system, aligned to strategy, involving key stakeholders, enabling decision-making and providing appropriate levels of accountability and transparency.
A06	Leaders act as role models. They understand and steer the organisation’s culture, which is aligned to its purpose, they nurture its shared values, demonstrating ethical behaviour, trust and integrity, while promoting good practice and sustainability.
A07	The organisation aligns appraisal, recognition and reward systems with its values and strategic objectives to steer it towards the desired culture, celebrating success along the way.
A08	Leaders create the conditions for realising change by working with key stakeholders, creating an organisational learning culture and determining the pace of and need for change, adopting strategies to manage that change successfully.
A09	The organisation understands the importance and benefits of creativity and innovation, enabling a culture where this is encouraged, using tools and techniques (including benchmarking), to facilitate a corporate approach to continuous improvement.
A10	The organisation effectively communicates its purpose, vision and strategy to key stakeholders, encouraging and valuing feedback, thereby creating a culture of openness, trust, confidence and commitment.

B. Delivery

B01	The organisation identifies and classifies those who deliver and use its services based on defined criteria. It maintains these relationships, understanding the communication and contact needs of different groups, establishing effective channels for interaction and feedback throughout their journey.
B02	The organisation is transparent and accountable and maintains high levels of trust and positive working relationships with all stakeholders.
B03	The organisation develops a people strategy and plans, aligned to organisational strategy and target operating model, to attract, engage, develop, recognise and reward, and retain its officers and staff, adapting to evolving need and expectations.
B04	Officers and staff are enabled and empowered to embrace change, share learning and develop themselves while their wellbeing is supported.
B05	The organisation understands the expectations of governing stakeholders, with financial, legal and general stewardship interest, involving them in the development of their strategic direction, improvement and transformation plans.
B06	The organisation is clear on how it contributes to wider society, maintaining its legitimacy and public confidence, and securing the wellbeing of its communities.
B07	The organisation works with its partners and suppliers to build mutual benefit and trust, openly working toward a shared vision and joint plans, to deliver positive outcomes for local communities.
B08	The organisation understands its unique role, designing and co-creating its services considering stakeholder views and wider insights, as well as the impact they will have over time.
B09	The organisation effectively and proactively communicates its unique services to existing and future users, targeting its messages across traditional and technological channels, to improve public confidence and its reputation.
B10	The organisation designs and delivers efficient and effective services, which are equitable and sustainable, minimising negative social or environmental impact.
B11	The organisation considers the overall experience for those it engages with, incorporating relevant measures at touchpoints throughout this journey, personalising for specific target groups and using feedback to facilitate continuous improvement.
B12	The performance management system is aligned to the delivery of strategic outcomes and objectives. Consideration of performance reporting should identify risk and direct evidence-based improvement and mitigation planning.
B13	By forecasting future demand and understanding challenges and opportunities for the future, the organisation identifies its transformation and change needs, adapting its strategy and operating model accordingly.
B14	The organisation establishes a transformation and change portfolio to deliver its future operating model in a timely manner, utilising agile and innovative approaches to restructuring and redesign.
B15	The organisation provides the capabilities, resources and tools to develop and sustain creativity and innovation, taking advantage of innovations that support improvement.
B16	The organisation evaluates and exploits the benefits of emergent and new technologies, implementing at speed (subject to effective consultation), and managing the full lifecycle of such technologies.
B17	The organisation has identified the data it requires to deliver it services and support its transformation plans, converting that data into information, knowledge and intelligence that is well-governed secure and used in an ethical way.
B18	The organisation uses advanced analytics and predictive models to gain actionable insights and make informed decisions on its future plans and operating model.
B19	The organisation uses and manages its financial resources and other assets in a compliant and sustainable way, maximising their value to deliver.
B20	The organisation adheres to good practice in asset management and planning for future capital investment, in line with organisational priorities.

C. Outcomes

C01	The organisation knows how successful it is at delivering its strategy to meet the needs and expectations of its key stakeholders, analyses its performance and uses these results to influence and inform service delivery and future planning.
C02	The organisation should routinely assess and report on the perceptions of its service users, including their views on the overall experience, the culture of the organisation, attitude and commitment toward service users, branding and reputation, the services offered, use of innovation and technology, follow-up processes, and communication.
C03	The organisation should routinely assess and report on the perceptions of its people, including culture, management of change, wellbeing, working conditions, reward and recognition, performance and appraisal, training and continuous professional development, communication, talent management, equality and diversity, and engagement with organisational strategy.
C04	The organisation should routinely seek the views of its governing stakeholders regarding the effectiveness of its financial management and sustainability, governance structures, ethical behaviour, management of risk and compliance, horizon scanning and reputation (public confidence).
C05	The organisation should routinely seek the views of wider society in terms of delivering outcomes, meeting public expectations, reducing inequality, and impact on communities (including its economic, social and environmental practices).
C06	The organisation should routinely seek the views of partners and suppliers in terms of their experience of working with them, communication and engagement, joint working and performance, governance and overall commitment.
C07	The organisation should have a clearly defined, and regularly reviewed, performance framework to demonstrate its achievements in delivering its core statutory purpose and organisational strategy.
C08	The performance framework should set out a balanced set of qualitative and quantitative indicators informed by the expectations of key stakeholders, the national performance framework and key national strategies to which it contributes. Measures should cover overall service experience, service delivery, social and environmental performance, reputation (public confidence), use of technology and innovation, and effectiveness of communication channels.
C09	Performance measures should also reflect financial performance; delivery of strategic outcomes; achievement of strategic objectives; meeting service standards; achievements in driving transformation and predictive measures for the future.
C10	Performance reporting should be timely, accessible, easily understood and available in a variety of formats to suit differing stakeholder needs. Reports should provide segmented data where appropriate, include trend information (over short, medium and longer term) and valid comparators.
C11	Performance reporting should clearly demonstrate progress against targets, action plans and any improvement areas that have been identified from previous scrutiny of such reports.
C12	There should be a clear audit trail of decision-making associated with performance report consideration, which identifies areas of under-performance and the improvement actions that will be undertaken to address these.
C13	The organisation should understand the cause and effect relationships that impact on performance and risk. It should use current performance results and analysis of demand to predict future performance with an expected degree of certainty.

How we assess evidence

44. We systematically review all the evidence available to assess each of the themes within our framework. This might include gathering evidence from publicly sourced information, research, self-evaluation submissions, evidence requests, focus groups, workshops, questionnaires, surveys and interviews. We take a structured approach in assessing the performance of the organisation or service area.

45. When assessing evidence of leadership, vision and delivery, we consider three key criteria:

Approach. Is there is a clear rationale? Does it aim to fulfil and respond to key stakeholder needs and is there sound planning behind the approach taken? Does the approach support the organisation’s direction and is it linked and integrated with other relevant approaches?
Deployment. Are the approaches implemented in relevant areas in an effective and timely manner and is the execution of them structured to enable flexibility and adaptation?
Assessment and refinement. Is the effectiveness and efficiency of the approaches and their deployment collected, understood and shared? Is learning and creativity used to generate opportunities for improvement; and are findings from emerging trends analysis, measurement, learning and benchmarking used to inspire creativity and generate innovative solutions to improve performance in appropriate timescales?

46. We will look at outcomes in terms of service users and the public, communities, people and performance. In judging this evidence, we consider two key criteria:

Relevance and usability. Is there a coherent set of results identified − clearly linked to the purpose, vision and strategy of the organisation or service area? Are the results timely, reliable and accurate, and are they appropriately segmented to provide meaningful insights? Are they reviewed and improved over time, to support performance improvement and transformation?
Performance. Are trends positive and do they demonstrate sustained outstanding performance? Are relevant targets set in line with strategy and are they consistently achieved over the planning and delivery cycle? Are relevant external benchmarks and comparisons being made, and are they suitable to position performance in line with strategic direction? Does the organisation understand the drivers for outstanding performance in the future, based on current cause and effect relationships, analysis of datasets, performance patterns and predictive measures?

47. Any organisation using this framework as a self-evaluation tool, should use the guidance above to establish how they have met any criteria or indicator.

48. Any queries about this framework, how it was developed and how you use it can be sent to hmic@hmic.gov.scot.

HMICS Inspection framework 2025

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