Research evidence, technological innovation and scientific standards in policing workstream report

Existing approaches

2.1 Introduction

Technology now touches every corner of our lives. Policing is no different, with police forces across the globe increasingly looking to technology to support them in their role to keep people and communities safe. However, the adoption of technology is not always straightforward, and may pose ethical dilemmas that need to be considered. It is therefore crucial to understand the full impact of emerging technology to enable appropriate decisions to be made before its implementation in Scottish policing.

In June 2019 the then Cabinet Secretary for Justice announced the formation of an independent advisory group (IAG) to scope the possible legal and ethical issues arising from emerging technological developments. The purpose of the IAG is to ensure Police Scotland's use of emerging technologies in relation to operational policing is compatible with equality and human right legislation and best practice.

The chapter provides an overview of the governance that is followed during the consideration of new and emerging technology prior to any subsequent adoption. This document gives particular focus to the role that research evidence plays in the process of considering, adopting and implementing emerging technologies in policing. The chapter is structured so as to follow the pathway of technology adoption from initial idea/concept to Business as usual adoption of the technology. Areas that may benefit from further consideration are highlighted throughout this report.

2.2 Police Scotland and SPA governance

Police Scotland and the Scottish Police Authority (SPA) have a mature and robust governance framework in place to maximise appropriate governance, oversight and scrutiny (detailed in Figure 2.1). In recent months, this process has been further strengthened by the adoption of a joint Memorandum of understanding (MoU) between Police Scotland and the SPA. This MoU aims to ensure early visibility and oversight of any new and emerging strategy, policy or practice under consideration by Police Scotland.

Although neither Police Scotland nor the SPA have a specific board for consideration of new and emerging technology or research evidence, many of the Boards detailed above will have a role to play in ensuring the highest standards are maintained. Furthermore, the SPA's function in oversight of change enables questioning of change initiatives.

Within the governance framework detailed above, there is a most likely governance route that would be followed when considering the adoption of new or emerging technology on transformational change (see Figure 2.2). It is vital to understand ethical aspects of technologies and their potential use in policing prior to adoption, i.e., at the stage of considering need for change.

Equally important at this stage is to understand the societal and cultural aspects of need for change, and of the technology and its deployment perceived as resolution to identified needs. As such, consideration should also be given to required socio-technical innovation when assessing needs for change.

All these aspects need to be analysed and evaluated together (since, e.g., operational technologies deployed with the aim of identifying a suspect population can aggravate inequality and distrust by drawing from in-built bias in technologies, practices, and institutions).

2.2.1 Stage 1 – Identifying and considering the need for change

The need for change will be identified. This may relate to the restructuring of a department or the introduction of a new system or process. Whatever the change requirement is, it will be aligned to one or more of the principles of business change.

2.2.2 Stage 2 – Local management board

A project can be initiated from any business area both Operational and Corporate. Where is it Corporate eg: Finance, Estates the idea will be approved by a Director. In relation to the Operational areas it is likely that a brief is prepared and submitted to one of the following Management boards:

• Local Policing
• Crime and Operational Support
• DCC Designate

Each board will consider and manage the progress of changes relating to their area of business, where this is an approved project this will be managed via the Change Board. If a change is approved in principle by a Local Management Board, the person leading the project will be asked to prepare a Potential Project Assessment (PPA), this is done in conjunction with any enabling functions such as IT, Procurement and this is presented to the Demand Management Board, in line with the Investment Governance Framework. It will then be agreed what type of activity this is eg: BAU (Business As Usual), Project. If it is deemed a project an Initial Business Case (IBC) which brings together all of the key information needed to initiate the project will be completed. It may also be required to complete a Programme Brief if the activity is deemed of sufficient size and scale. The Business Case includes aspects such as the case for change, project plan, controls and communication plan. Importantly, the IBC should include details of the benefits and dis-benefits of the proposed change. Benefits should be quantifiable wherever possible and be based on robust research and evidence.

As it stands there is no mandated requirement for scientific research to be included as part of the IBC. However, it should be noted that upon dip sampling recent IBCs it is common for there to be a strong reference made to existing scientific literature or evidence (with a particular focus on evidencing the benefits of proposed technology).

2.2.3 Stage 3 – Change board

Once an IBC has been prepared, it will be considered by the Change Board. The Board will consider aspects such as the benefits the change will bring, impact on the organisation, timescale for delivery and any cost or resource implications which will be required to support the delivery. If approved the person leading the project will be asked to prepare a Full Business Case (FBC) which provides further information and will outline options for moving forward. The FBC is then submitted to the relevant Programme Board then the Change Board. The Investment Governance Framework for approving such business cases can be found in Appendix A.

The business case template used by Police Scotland lends itself to the inclusion of research and evidence. The following business case structure is currently used (Table C.3).

As outlined above the business case process articulates the case for change, the benefits that are anticipated and the financial cost implications. It also recommends a preferred option for implementation and provides details of the project management process and resources available.

Although effective at articulating why a project/proposal should be approved, of the business cases sampled there was a lack of scientific evidence and research provided to support the case for change.

Opportunity exists to strengthen the business case process by mandating for the inclusion of evidence to substantiate the case for change. Wherever possible this should be in the form of quantitative data (however qualitative data may be appropriate in certain circumstances). To ensure balance, evidence should also be provided for any identified drawbacks or pitfalls associated with the implementation of the change.

If approval is given, the project will progress to the next stage. The next stage in the process is dependent on the type of change to be implemented. If the change impacts on staff employment or officer terms and conditions, it will move to stage 4. If there is no impact on people's working conditions, for example the introduction of a new computer application, then the project will move to stage 5 – implementation.

Consideration 1: Change Board may wish to define criteria in the Case for Change section of the business case. When met, this criteria would require research and evidence to be generated/gathered in order to support the case for change. The prerequisite for supporting research and evidence could be determined by the risks (perceived and/or potential) associated with a technology's adoption, and/or the value of the investment. For high risk proposals, it may be appropriate for external and independent research to be carried out and reviewed by change board.

2.2.4 Stage 4 – Consultation process

All Organisational Change proposals will be presented to the Joint National Consultative Committee (JNCC) prior to any consultation beginning with staff. The JNCC includes representatives from relevant staff associations and trade unions. Although most projects relating to new and emerging technology will not involve organisational change, details of this step have been included as there may be circumstances where major technology projects have associated organisational implications.

Once the JNCC has been consulted, consultation can then begin with those affected. Initially (and where appropriate) this will be done in groups to discuss the broad change and provide staff the opportunity to make any redundancy mitigation counter proposals thereafter individual consultation meetings will take place on a one to one basis to discuss how the proposals may impact individuals. The consultation process will take a minimum of 45 days.

Following appropriate consultation, and confirmation of the final impacts through HRC, the project will then move into the implementation phase.

Consideration 2: There is opportunity to democratise the decision making in relation to the adoption of new technologies to ensure representation from a variety of Scotland's community. This could mitigate potentially negative societal impacts to society through providing differing perspectives and viewpoints. Arguably, this would be ideally suited to an earlier stage in the process than is currently the case.

Taking steps to ensure diversity amongst decision makers will facilitate better decision making by bringing different perspectives to support constructive and challenging dialogue. The criteria for selection to decision making structures should be clear, measurable and objective, and must not place people with particular protected characteristics at a disadvantage.

Police Scotland should monitor diversity in their decision making structures in order to identify barriers preventing people with protected characteristics progressing to positions on decision making structures, and take mitigating action where necessary. Gathering and using this data will help Police Scotland satisfy the requirements of the Public Sector Equality Duty.

Where appropriate, consideration can be given to the use of positive action, including proportionate steps to develop people from under-represented groups and encourage them to apply for membership of decision making structures. Reasonable adjustments for disabled people should also be made where appropriate, to remove or reduce any barriers affecting selection, and participation in, decision making structures.

2.2.5 Stage 5 – Implementation

Once the project moves to the implementation phase, it will be delivered in line with the timescale set within the project plan.

Consideration 3: Consider introducing an evaluation of the impact of new technologies. A baseline impact measurement can be confirmed ahead of the introduction of technology and ultimately be used to assess the implementation of technology.

2.3 SIPR

Established in 2007 and supported during its initial five year phase by investment from the Scottish Funding Council and the Association of Chief Police Officers in Scotland, SIPR is a collaboration between Police Scotland, the Scottish Police Authority, and 14 Scottish universities* established to carry out high quality, independent research and to make evidence-based contributions to policing policy and practice. The work of SIPR is advisory in nature (not decision making) and the intelligence and evidence generated will support several decision making for a (e.g. Change Board, Strategic Leadership Board, SPA Board).

SIPR will be asked by Police Scotland and the SPA to assist in commissioning academic researchers to evaluate new technologies before the implementation of different technologies and approaches (e.g. Benefits of implementation of mobile devices with frontline officers in Police Scotland 2019-2020). SIPR will also be requested to research and consider the implications for the adoption of new and emerging technology in Policing (e.g. Drones, BWV). There is no formal route for this work to be commissioned and research typically transpires from discussions at committees, boards or with senior leaders.

SIPR will also be requested to research and consider the implications for the adoption of new and emerging technology in Policing (e.g. Drones, BWV). There is no formal route for this work to be commissioned and it research typically transpires from discussions at committees, boards or with senior leaders.

Consideration 4: Determine when an evaluation is needed, how it can be implemented ahead of the change happening and seek SIPR's support in commissioning the evaluation PRIOR TO the technology coming into effect.

2.4 Citizen Space

Police Scotland also conduct research through Citizen Space. This website hosts consultations and engagement run by Police Scotland and enables Police Scotland to gain an understanding of public opinion on a variety of issues. For example, it was recently used to gain a deeper understanding of public opinion on the use of Body Worn Video.

2.4.1 Comparison with comparable police forces

Sampled business cases showed little comparison to how comparable new and emerging technologies were implemented in similar police forces. This could also form research included as part of the proposal for change as it could potentially provide further considerations and lessons learned for Police Scotland to build upon as this new technology is explored.

2.5 Concluding remarks and recommendations

At present, Police Scotland and the SPA have a governance process to oversee the implementation of new and emerging technology. However, there is no formalised inclusion of research in this process. Whilst research is undertaken in certain cases to inform the implementation of new technology (for example, Body Worn Video), there is no agreed process or criteria in place to formally mandate this. This should therefore be a consideration as part of the change process to enable the appropriate governance mechanisms to make informed decisions.

Furthermore, as it is crucial to consider the implications of new technology on the communities it impacts. Engaging with representative organisations from an early stage gives an opportunity to mitigate barriers to successful implementation early in the process.