Appendix 1 – Recommendations from the HMICS Thematic Inspection of the Scottish Police Authority, 2019 | HM Inspectorate of Constabulary in Scotland

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Inspection reports

11th June 2024

The aim of this strategic review was to assess the state, efficiency and effectiveness of the Scottish Police Authority (SPA) in fulfilling its core role and meeting its statutory obligations.

Appendix 1 – Recommendations from the HMICS Thematic Inspection of the Scottish Police Authority, 2019

	Recommendation	Status	Date closed	Commentary
1	The Scottish Police Authority Chief Executive should lead and expedite the implementation of a new Scottish Police Authority corporate structure and ensure an appropriate focus on existing staff wellbeing.	Closed	08/07/2021	A new structure was implemented (SPA2020) under the leadership of the new Chief Executive, with improved staff engagement and wellbeing focus.
2	The Scottish Government should clarify in what respects the Scottish Police Authority differs from other public bodies and specify the implications for the system of governance for policing.	Closed	16/09/2022	The new Joint Memorandum of Understanding on engagement and communication relating to new and emerging strategy, policy or practice in areas of significant public interest – between the SPA and Police Scotland (see Recommendation 12) – provided improved clarity on the role of the Authority.
3	The Scottish Government and the Scottish Police Authority should undertake an immediate review of the roles of the Chair and Board members in executive work, in line with principles of good governance, empowering the Scottish Police Authority executive team to assume operational management of the organisation.	Closed	24/09/2021	An independent review of the role of the SPA, the Chair and members was commissioned (August 2020). A new executive structure was also implemented (as per Recommendation 1). Communication was issued by the Chief Executive to all members, emphasising where responsibility lies with directly tasking authority staff, i.e. this is executive responsibility as management. SPA Governance and Accountability Framework refreshed (October 2020) providing clear definitions of roles, responsibilities and governance approach. Board member recruitment approach also updated. Member development and induction approach updated for 2021. Committee introductory sessions held.
4	The Scottish Government, the Scottish Police Authority and Police Scotland should develop a clear system of engagement and governance for reserved policing matters.	Closed	07/12/2021	A Joint Agreement on Engagement and Communication on Reserved Policing Matters was submitted as evidence. COP26 provided a good case example of how SG, SPA and Police Scotland have worked effectively using a clear system of engagement and governance.
5	The Scottish Police Authority should proceed to formally co-opt COSLA to its Board and appropriate sub-committees in order to enhance the link between local and national policing.	Closed	16/09/2022	SPA considers that current legislation does not facilitate co-opting on to the SPA Board. However a COSLA representative is now invited to participate in meetings of the Policing Performance Committee. This is not a co-option, as such, given the nature of the relationship with COSLA. The role and expectations were, however, clearly documented and agreed between the Vice Chair and COSLA’s president in January 2020.
6	The Scottish Government, the Scottish Police Authority and Police Scotland should review the designation of Accountable Officer(s) within policing.	Closed	30/08/2021	A review of the designation of Accountable Officer within policing has been completed from an SPA perspective (see Recommendation 1). The report was accepted by SG and SPA and, on this basis, HMICS discharged the recommendation.
7	The Scottish Police Authority should implement effective engagement and feedback mechanisms with staff associations and unions as part of a wider stakeholder engagement and consultation approach.	Closed	30/08/2021	Extensive SPA engagement took place with staff associations, unions, Police Scotland, the SPA Board and the SPA senior management team during 2020-21. This was driven by a direction of travel endorsed by SPA board members at a Board seminar in October 2020. A key element included the need for committee/board papers to be clearer on the position of staff associations/unions on proposals. Staff associations and unions attend and contribute to both the public and private sessions of the People Committee. Regular engagement processes are now in place with the Chair and SPA officers.
8	The Scottish Police Authority executive team should develop proposals for effective governance of change and transformation, bringing forward proposals as a matter of urgency.	Closed	22/06/2020	SPA brought forward proposals for the revised approach to change governance in February 2020. HMICS continues to monitor effectiveness of these arrangements.
9	The Scottish Police Authority executive team should develop and secure approval from the Board for a new corporate plan.	Closed	18/06/2020	SPA now has a Corporate Strategy and Business Plan in place, which have been approved by the Board.
10	The Scottish Police Authority should further develop its self-assessment and performance monitoring approach to include examples and measures of its own impact on continuous improvement.	Closed	30/08/2021	Regular monitoring of SPA business plans is in place and quarterly performance reports are submitted. A formal approach to self-assessment has been developed, incorporating the requirements to demonstrate best value. Annually, SPA self-evaluates against the best value themes and criteria defined within the Scottish Public Finance Manual. The SPA has further developed its approach to self-assessment in relation to staff satisfaction and the output from the regular Your Voice surveys. Survey results are analysed, with the Senior Management Team reviewing the findings and agreeing an action plan to address any concerns raised. Evidence of self-assessment being deployed in other areas of SPA included a self-assessment of whistleblowing, presented at the July 2020 ARAC.
11	The Scottish Police Authority should set out in detail how it will exercise its duty to hold the Chief Constable to account through its system of governance.	Closed	16/09/2022	SPA has included clear actions in its Corporate Strategy and Business Plan to support its 'holding to account' role. These include developing the approach to performance reporting and change governance. Member development has a focus on scrutiny skills. The annual report and accounts include an assessment on the delivery of policing. HMICS observed SPA committees to assess effectiveness and improvement in this area and then closed the recommendation. HMICS continues to observe SPA Board and committees to assess their effectiveness in this respect.
12	The Scottish Police Authority and Police Scotland should develop a forward planning system of proactive risk awareness and post-implementation scrutiny for policing policy changes that are likely to have an impact on public confidence.	Closed	16/07/2021	Primary evidence was the implementation of a new SPA/Police Scotland Joint Memorandum of Understanding on engagement and communication relating to new and emerging strategy, policy or practice in areas of significant public interest. The SPA approach to this recommendation included developing the approach to performance reporting and change governance.
13	The Scottish Police Authority should review the role of the Forensics Committee to work effectively with other Scottish Police Authority committees and review the optimum governance and delivery options for Forensic Services.	Closed	30/08/2021	This recommendation was closed on the basis that the SPA indicated it would not be taking forward this recommendation. Following the HMICS Assurance Review of Forensic Toxicology Provision (2023), the SPA have since followed our recommendation to review the Forensic Services Terms of Reference. HMICS remains of the view that there is a potential conflict of interest with the SPA scrutiny role and that of its ‘delivery’ functions (independent custody visiting and forensic services). See Thematic Inspection of the Scottish Police Authority (2019).
14	The Scottish Police Authority should improve visibility of the work of the Independent Custody Visiting Scheme, direct scrutiny of custody arrangements and outcomes for detainees. It should also review the optimum governance and delivery options for the Independent Custody Visiting Scheme.	Closed	30/08/2021	This recommendation was closed on the basis that the SPA indicated it would not be taking forward this recommendation. HMICS remains of the view that there is a potential conflict of interest with the SPA scrutiny role and that of its ‘delivery’ functions (independent custody visiting and forensic services). See Thematic Inspection of the Scottish Police Authority (2019).