Complaints, investigations and misconduct in policing - recommendations: progress report - December 2022

Theme 9: Audit and Review

All of the recommendations under this theme are non-legislative and are being taken forward by partners to implement within their own organisations, with the exception of one which is Recommendation 75.

Improvements to Audit Arrangements

Work is continuing in relation to Preliminary Recommendation 27 which proposes that audit arrangements, including regular dip-sampling, should be prioritised and co-ordinated to improve standards and service to the public. Although the audit timetable has yet to be confirmed, the intention is to undertake an audit of Front Line Resolution (FLR) of complaints and, thereafter, the six-stage complaint handling process. Once the timetable has been agreed with the PIRC Commissioner, discussions will take place with Police Scotland and SPA on planning and co-ordination of the audit process. This recommendation, therefore, remains in progress.

Police Scotland audit functions

Police Scotland has, with input from Audit Scotland, now developed an audit methodology for complaint handling in respect of Recommendation 61 regarding the re-design of audit arrangements for police complaints.

The first joint audit by SPA and PIRC has now taken place with the report of findings awaited. SPA and PIRC have committed to running a programme of audit and this will take place on a quarterly basis.

PSD is also appointing a Data Assurance Co-ordinator and the successful candidate will co-ordinate future audits from a Police Scotland perspective. Recommendation 61 is, therefore, now fully implemented.

PIRC audit functions

On Recommendation 42 significant collaborative working has taken place between PIRC and SPA. The June Thematic Progress Report confirmed that a joint working arrangement agreed between PIRC and SPA and that the fieldwork for the inaugural audit of triage of public complaints against police within the Professional Standards Department (PSD) in Police Scotland had completed.

The purpose is to ensure that matters that can be resolved by Front Line Resolution (FLR), or misconduct, or potential criminality are being properly identified and routed accordingly, and to provide assurance that Article 3 and Article 5 cases are being correctly identified and reported forthwith to COPFS.

The findings from the audit are now being analysed and on completion of the report writing phase, the report will then be presented to the Chief Constable for factual accuracy checking. Given that the audit fieldwork itself is completed and finalisation of the report is nearing completion, Recommendation 42 is considered fully implemented.

Recommendation 7 relates to the follow‑up audit of the six‑stage complaint handling process or audit of frontline resolution that should be carried out by the PIRC as an independent third party. PIRC has taken the decision to wait until Police Scotland’s centralised model of Complaint Handling has had time to embed before commencing an audit of the six-stage complaint handling process or front line resolution.

PIRC will also take learning from the ongoing annual audit of triage as described above in relation to Recommendation 42 and apply that to the methodology and practices to be utilised in this audit. As a result of the successful completion of the inaugural audit fieldwork, this particular audit can now be scoped and advanced early next year.

Recommendation 71 proposes that HMICS, and health inspection or audit body, to conduct a Review of efficiency and effectiveness of the whole‑system approach to mental health. We have previously reported that completion of the HMICS Inspection of Healthcare in Custody would assist with the scoping exercise for this recommendation. The inspection for Mental Health is in the scoping stage, with the conclusion of the Healthcare in Custody inspection scheduled for completion in December 2022. The report of HMICS Assurance Review of Police Scotland Contact Assessment Model – published in August 2022 - will also assist in the scoping exercise for this recommendation. This recommendation, therefore, remains in progress.

Further updates

Details on progress against other recommendations under this theme are set out in the tables below:

Progress Overview for the period 1 April to 30 September 2022

Recommendations

7 Next follow‑up audit of six‑stage complaint handling process or audit of frontline resolution to be carried out by PIRC.

Lead

PIRC

Current Position

In progress

PIRC is waiting for Police Scotland’s centralised model of Complaint Handling to be embed further before they audit the six-stage complaint handling process or front line resolution (FLR). PIRC will take learning from the ongoing annual audit of triage regarding Recommendation 42 and apply that to the methodology and practices to be utilised in this audit early next year.

Recommendations

42 PIRC to conduct annual audit of triage within PSD of public complaints against the police to matters are properly identified and routed, and to provide assurance that Article 3 and Article 5 cases are correctly identified and reported to COPFS.

Lead

PIRC

Current Position

Completed

Earlier this year PIRC and SPA staff commenced the inaugural audit which is now being analysed and the report writing phase is ongoing. The report will be presented to the Chief Constable for factual accuracy checking and then tendered for publication thereafter.

Recommendations

61 Police Scotland and the PIRC to consider drawing on expertise of Audit Scotland and SPSO in re‑designing the audit arrangements for police complaints.

Lead

Police Scotland

Current Position

Completed

The first joint audit by SPA and PIRC has taken place and report of findings are now awaited. SPA and PIRC have committed to running a programme of audit and this will take place on a quarterly basis.

PSD has advertised for a Data Assurance Co-ordinator post and the successful candidate will co-ordinate future audits from a Police Scotland perspective.

Recommendations

71 HMICS, and health inspection or audit body, to conduct a Review of efficiency and effectiveness of the whole‑system approach to mental health.

Lead

HMICS

Current Position

In progress

It was previously reported that completion of the HMICS Inspection of Healthcare in Custody would assist with the scoping exercise for this recommendation. The inspection for Mental Health is in the scoping stage, with the conclusion of the Healthcare in Custody inspection scheduled for completion in December 2022. The report of HMICS Assurance Review of Police Scotland Contact Assessment Model – published in August 2022 - will also assist in the scoping exercise for this recommendation.

Recommendations

75 Scottish Government to consider which findings and recommendations made in the Deaths in Custody review points from 2017 could and should be mirrored by public bodies in Scotland.

Lead

Scottish Government

Current Position

In progress

Review of the 2017 Deaths and Serious Incidents in Police Custody in England and Wales has been completed. Relevant findings were included within the public consultation.

Any relevant non legislative elements of the 2017 Review will be progressed separately.

Recommendations

PR27 All audit arrangements, including regular dip‑sampling, to be prioritised and co‑ordinated to improve standards and service to the public.

Lead

All partners

Current Position

In progress

This links to work undertaken for recommendation 42 and 61.

Although the audit timetable has yet to be confirmed, the intention is to undertake an audit of Front Line Resolution (FLR) of complaints and, thereafter, the six-stage complaint handling process. Once the timetable has been agreed with the PIRC Commissioner, discussions will take place with Police Scotland and SPA on planning and co-ordination of the audit process.

The following is a list of recommendations within this theme which have already been signed off by the Ministerial Group as completed in 2021:

Signed off by Ministerial Group as completed and reported in the 24 June 2021 Thematic Progress Report

Recommendation

2 Criminal Allegations Against Police Division (CAAP‑D) of COPFS to regularly repeat review of all the 'assault' and 'excessive force' categorised complaints received by Police Scotland in the month of March 2020.

Lead: COPFS

Recommendation

PR5 Frontline resolution of complaints to be subject to close and regular monitoring through regular, internal and external audits, and monitoring of decision‑making.

Lead: Police Scotland