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

For 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, the National Complaints Handling Development Group (NCHDG) has now established a subgroup focused on Audit, Performance and Analysis. A key objective for the subgroup is to establish the broader ‘Audit Journey’ including an Annual Audit Program to inform dates and areas for auditing with partners, aligning the audit approach in the longer term. This would ensure alignment of Police Scotland internal auditing arrangements (R61), SPA dip-sampling and the annual joint audit between PIRC/SPA (R42). The sub-group will confirm timescales for relevant actions in due course, after which it is anticipated that an indication can be given of when this action could be submitted for sign off.

Police Scotland audit functions

In respect of Recommendation 61 regarding the re-designing the audit arrangements for police complaints, Police Scotland has now developed an audit methodology for complaint handling with input from Audit Scotland. The review part of the planned audit led jointly by SPA and PIRC is also reaching conclusion and the results from the analysis are now awaited.

PIRC audit functions

On Recommendation 42 significant collaborative working has taken place between PIRC and SPA on the audit process and methodology to undertake the annual audit of triage of public complaints against police within the Professional Standards Department (PSD) in Police Scotland. The audit framework has also been agreed by Police Scotland.

In early March, PIRC and SPA staff commenced the inaugural audit which has already completed the fieldwork phase and now moving to the next phase of compiling the audit report for consideration by the Commissioner. This recommendation will be proposed for completion in the next reporting period.

As a result of the above phased approach and relying upon the successful completion of the annual audit of triage, work on Recommendation 7 can now be scoped and progressed in the quarter three which will also see Police Scotland’s centralised model of Complaint Handling further embedded at that point. In advance of auditing the six-stage complaint handling process or front line resolution, PIRC have met with Audit Scotland to discuss best practise in methodology and have also received a presentation from HMICS on their methodology.

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. HMICS has published its new three year scrutiny plan HMICS | HMICS Scrutiny Plan 2022-2025 in which it sets out the intention to undertake a thematic inspection on the role that policing has in responding to mental health related incidents as well as where other services may be more equipped to provide the appropriate level of support to the public. HMICS will also look at preventative approaches and the support available from partner organisations, to identify alternatives that will offer the best possible outcomes for the public. The current inspection of Police Scotland’s Contact Assessment Model will assist in the scope of this inspection, as will discussions with other scrutiny partners /researchers and stakeholders regarding other work that is ongoing in relation to mental health provision.

Further updates

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

Theme 9: Audit and Review - Progress Overview for the period 1 October 2021 to 31 March 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

As Police Scotland move to a centralised model of Complaint Handling, PIRC will wait for the model to be further embedded before auditing the six-stage complaint handling process or front line resolution (FLR). PIRC met with Audit Scotland to discuss best practise in methodology and had a presentation from HMICS on their methodology. This audit will be scoped and progressed following the audit which is referred to in Recommendation 42.

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

In March 2022 PIRC and SPA staff commenced the inaugural audit of triage within Police Scotland Professional Standards Department. Fieldwork phase is completed and now moving onto develop the audit report for the consideration of the Commissioner. This recommendation will be proposed for completion in the next reporting period.

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

Audit methodology for complaint handling developed with input from Audit Scotland. Joint audit by SPA and PIRC is reaching conclusion for the review part of the audit and results from analysis are awaited.

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’ new 3 Year Scrutiny Plan, sets out a number of steps that HMICS will take to progress this recommendation, including engaging with other scrutiny partners /researchers and stakeholders regarding other work that is ongoing in relation to mental health provision. The current inspection of Police Scotland’s Contact Assessment Model will also assist in the scope of this inspection.

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 have been included within the public consultation which has now launched. We will continue to engage with stakeholders throughout the consultation period. A further update on this will be provided in the next Thematic Progress Report.

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.

The National Complaint Handling Development Group (NCHDG) has established a Subgroup which will ensure a ‘business as usual’ approach to prioritisation and coordination of audit arrangements. The sub-group will confirm timescales for relevant actions in due course, after which it is anticipated that an indication can be given of when this action could be submitted for sign off.

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

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