Complaints, investigations and misconduct in policing - implementation of recommendations: thematic progress report - June 2021

Theme 9: Audit and Review

Crown Office audit functions

COPFS intends to carry out the next exercise to review complaints of assault and excessive force, as proposed in recommendation 2 during August 2021 and have commenced discussions with Police Scotland. COPFS' intention is to repeat the exercise on an annual basis although this will be kept under review in light of successful implementation of other recommendations within Dame Elish's report, particularly those supporting and enhanced audit role for PIRC.

PIRC audit functions

As Police Scotland are moving to a centralised model of Complaint Handling PIRC will wait for the model to be embedded before auditing the six-stage complaint handling process or FLR, as proposed in recommendation 7. PIRC met with Audit Scotland to discuss best practise in methodology and has arranged for a presentation from HMICS on their methodology. PIRC has recently recruited additional staff to assist in its Audit function and support the implementation of Recommendation 42. Planning is underway to set the scope and methodology for such audits, involving discussion with the NCHDG and COPFS.

Police Scotland audit functions

Police Scotland has consulted and compiled a PSD audit methodology for complaint handling. The main purpose of the annual audit is to assess compliance with the six-stage complaint handling process, ensuring that all complaints are classified and handled as per the Standard Operating Procedures (SOP). The process will involve a fully comprehensive audit of all complaint categories, featuring controls which measure the life cycle of a complaint. This will provide a complete oversight of the six stage complaint handling process demonstrating an ongoing commitment to monitor and track all types of complaints against the Police received by Police Scotland supporting the implementation of recommendations 7, 42, 61. PSD is also appointing an Auditor to provide internal audit assurance, ensuring organisational risks are effectively managed and will be responsible for making recommendations to improve the overall internal control environment and to improve operational performance across PSD.

Joint audits

Linked to recommendation 61, Police Scotland is working in partnership with PIRC and SPA through the NCHDG on the compilation and introduction of multi-agency audits. PSD will be responsible for ensuring co-ordination and facilitation of such audits are managed. PIRC has also engaged with Audit Scotland and SPSO who are happy to assist PIRC with methodology guidance, with Audit Scotland agreeing to provide an input to Review staff.

Review of whole-systems approach to mental health

Recommendation 71 proposed a broad and holistic review of the whole-systems approach to mental health. HMICS is considering the scope and parameters of what will be a wide-reaching and substantial piece of work. This may include a phased approach to the work and will require engagement with stakeholders, and partnership working with other scrutiny bodies with experience in the inspection of health and mental health services.

Further updates

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

Progress Overview for the period up to end April 2021

Recommendations 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

Current Position: Complete

Agreement between COPFS and Police Scotland that reviews will be undertaken on an annual basis with the next exercise due during August 2021.

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

Best practice methodology being developed by PIRC, with auditing planned to start once Police Scotland restructured complaint handling model has embedded.

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: In progress

Additional resourcing now in place to assist with scoping and methodology of audits, with all partners engaged in the work. The process will involve a fully comprehensive audit of all complaint categories, featuring controls which measure the life cycle of a complaint. This will provide a complete oversight of the six stage complaint handling process demonstrating an ongoing commitment to monitor and track all types of complaints against the Police received by Police Scotland.

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: In progress

Police Scotland are working in partnership with PIRC and SPA on the compilation and introduction of multi-agency audits. PSD will be responsible for ensuring coordination and facilitation of such audits are managed. Police Scotland had also developed PSD audit methodology for complaint handling, with all partners engaged and input from Audit Scotland.

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

HMICS considering the scope and parameters of this review. This may include a phased approach to the work and will require engagement with stakeholders, and partnership working with other scrutiny bodies with experience in the inspection of health and mental health services.

Recommendations 75

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

Lead: Scottish Government

Current Position: In progress

Agreement by all partners to examine the 2017 review and recommendations. Steps will include liaison with UK Further consideration will also be given to requirement for legislation.

Recommendations 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

Current Position: Complete

National Frontline Resolution process implemented. PSD Audit methodology and management as yearly Business As Usual activity -in line with Police Scotland Excellence Framework - 1st level Assurance.

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

The National Complaint Handling Development Group are developing arrangements for an annual multi‑agency audit of Police Scotland's complaint handling involving the SPA, Police Scotland and the PIRC.

Police Scotland has developed an internal Quality Assurance process and methodology which are now in place.