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

Appendix A

Investment governance framework

A.1 Existing process

Police Scotland has a well-practiced governance framework in place to enable effective decision making for both capital and revenue investments. Such investments are broadly defined as follows:

• Small Change Activity – Any spending proposals that are of a value less than circa £100k and will be completed in a six month time period; Business Change – Any spending proposals that are of a value greater than £100 K, lesser than £1m, non-contentious and can be compliant with internal procurement processes (for additional information on procurement thresholds see table at the back of the document); or Any proposal enabling the draw down of funding and not requiring a procurement exercise in order to execute strategic objectives such as VR/VER; and
• Project – Any spending proposals that are of a value greater than £100k, are of high value and/or high risk or more than £1m.

An idea for investment can be brought forward by anyone within the organisation (referred to as 'the originator'). The originator should propose the idea to their Assistant Chief Constable (ACC) or Director, who will make an assessment on whether the idea is worthy of further consideration. If so, the ACC/Director will ask the originator to take forward the idea to the Portfolio Management Office (PMO). The originator will then be required to complete a Potential Project Assessment form (PPA) with support from the PMO. This is an assessment as to whether this is a project that would meet the objectives of 'Policing 2026' and other organisation strategies.

If it is decided that the proposal meets the objectives of 'Policing 2026' and other organisation strategies then the PMO will determine the classification of the project (as above).

It should be noted that the project classification criteria includes the terms 'non-contentious (Business change) and 'high risk' (Project). The Police Scotland process does not clearly define what is meant by these terms so it will fall to the professional judgment of the PMO following consultation with relevant stakeholders e.g. Finance, HR, IT, Procurement, Legal, Policing / Design Authority, Corporate Communications, Information Management.

For 'small change activity' a Potential Project Assessment will be completed by the Originator. Once complete and reviewed by PMO this will go to the Director of Change for consideration. The Director of Change will be responsible for making the funding decision, notifying Change Board and the Capital Investment Group of decisions made.

For 'Business Change' proposal a Business Justification case should be completed. The principle of 'proportionate effort' should be employed based on the scale of the investment (a greater level of evidence, justification and analysis should be provided for a £700K business change as would be expected for £100k). The Business Justification Case should be produced following consultation with relevant stakeholders e.g. Finance, HR, IT, Procurement, Legal, Policing / Design Authority, Corporate Communications, Information Management. The Business Justification Case will be submitted to the PMO for assurance once all relevant stakeholders have signed off the content. If the assured Business Justification Case is of a value between £100k and £500k it will then be presented to the Director of Change for approval, who will in turn notify the Change Board. If the assured Business Justification Case is of a value between £500k and £1m it will then be presented to the Change Board for approval. It may also be necessary to notify and/or seek approval from the SPA Accountable Officer, SPA Finance Committee and the SPA Full Board depending on the value being sought and Scottish Government if it is seeking funding from the reform budget.

For a 'Project' proposal, the Director of Change will appoint a suitably qualified and experienced Project Manager to complete an Initial Business Case. The Initial Business Case should be produced following consultation with relevant stakeholders and sets out the case for change, project benefits, risks, options and initial financial estimates and is aligned to the principles of the HM Treasury Green Book. Once assured by PMO, the Initial Business Case will then be presented to the Change Board for approval to proceed with procurement process. It may also be necessary to notify and/or seek approval from the SPA Accountable Officer, SPA Resources Committee, the SPA Full Board and/or Scottish Government depending on the nature, scope and scale of investment before undertaking a procurement exercise.

If the Initial Business Case receives full approval then a Full Business Case should be prepared. Full Business Cases will be submitted to Change Board through the PMO for funding approval. It may also be necessary to notify and/or seek approval from the SPA Resources Committee, the SPA Full Board and/or Scottish Government.

The table below shows the approvals required for all funding requests that fall under the Change Portfolio.

Business Case Approval Director of Change

Change Board

SPA Accountable Officer

SPA Resources Committee

SPA Board

Scottish Government

Small Change Activity