Scottish Police Authorities Conveners Forum

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Scottish Police Authorities Conveners Forum

• Training for Police Authority Members
• Glasgow City Chambers
• 27 June 2007

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Introduction

• Welcome domestic arrangements
• Overview of the training event
• Morning Session
• Afternoon Session
• Learning outcomes from training event
• Allow you to gain a strategic view of the role
  function of police authorities to assist in your
  future role.

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General Functions of a Police Authority (PA)

• Oversight of Policing in Scotland
• What is a PA?
• Role of a member of a PA
• How does a PA function?
• Overview of financial arrangements.

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Oversight of policing in Scotland

• Delivery of the police service in Scotland is
  divided between 3 parties whose responsibilities
  are specified within the Police (S) Act 1967, as
  amended
• Scottish Ministers
• Chief Constables
• Police Authorities
• Known as the Tripartite System.

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Oversight of policing in Scotland

• Role of Scottish Ministers
• Scottish Ministers set the statutory framework
  financial regime along with national policing
  priorities
• Role of the Chief Constable
• Chief Constables have sole responsibility for
  operational policing.

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Oversight of policing in Scotland

• Neither Scottish Ministers or PA s can direct
  Chief Constables on matters of operational
  policing
• The Lord Advocate can give directions on
  individual investigations
• Role of Police Authorities
• PA s duty to provide sufficient resources to a
  Chief Constable to ensure delivery of an
  effective efficient police force.

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Oversight of policing in Scotland

• Role of Her Majestys Inspectorate of
  Constabulary for Scotland (HMIC)
• HMIC is
• independent of police forces
• police authorities
• Scottish Executive
• exists to monitor improve the police service in
  Scotland.

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Oversight of policing in Scotland

• HMIC - main responsibilities are
• Inspect police forces and the organisations which
  make up the Scottish Police Services Authority
• Carry out Thematic Inspections
• Provide advice to Scottish Ministers
• HMIC can enquire into any matter concerning the
  operation of a police force.

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Oversight of policing in Scotland

• Role of the Independent Police Complaints
  Commissioner for Scotland (PCCS)
• New body created on 1 April 2007 by the Police,
  Public Order and Criminal Justice (S) Act 2006
• The role of the Commissioner was established to
  consider and review the way in which police
  authorities, police forces and policing agencies
  handle complaints from the public.

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Oversight of policing in Scotland

• Role of the PCCS contd
• The Commissioner will review complaints their
  investigative processes and make a determination
  based on impartial consideration of all of the
  facts
• Additional training regarding the particular
  relationship between the Commissioner and PA s
  will be provided locally.

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What is a Police Authority (PA)?

• Simplest way to understand the function of a PA,
  is to view it as a council in its own right, but
  having as its purpose the delivery of a police
  service within relevant areas
• Types of PA
• Unitary Authority or Joint Board
• According to local authority groupings within
  Scottish forces there are
• 2 Unitary Police authorities
• 6 Joint Police Boards.

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Role of a member of a PA

• a Councilhaving as its purpose the delivery of
  a police service
• PA s subject to the same requirements of local
  government legislation as LAs in terms of
• Management of income expenditure
• Management of assets vested with PAs
• Employment law, Best Value, procurement, Equality
  (Sex Race Discrimination and Disability
  Gender Duties) etc
• As a member of a PA you carry out important
  statutory responsibilities in the delivery of
  policing services on behalf of your communities.

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Role of a member of a PA

• No duplication of LA training focus on primary
  responsibility for PA s
• Agree the annual force budget, within national
  spending guidelines, ensuring sufficient
  resources available to the Chief Constable
• Oversight role to monitor budgetary spend
• Monitoring role measuring force performance
  against agreed national and local indicators
• Other unique responsibilities for PA s.

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How Does a PA function?

• How do we achieve the primary responsibility
  comply with all local government legislation?
• PA s have adopted specialised Committee and
  Sub-Committee groupings to accommodate the needs
  of managing the delivery of policing services
• They monitor particular functions such as Finance
  Budget Audit Personnel Best Value
  Appointment of Senior Officers Complaints etc.
  

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How Does a PA function?

• All within a formalised structure of Standing
  Orders that prescribe arrangements for
• Terms of Reference of Committees
• Procedures relating to financial management,
  procurement and limits of delegated authority etc
• Arrangements for Committees to report to the main
  PA meetings
• Arrangements for the frequency and conduct of the
  PA meetings
• Public Interface between the PA Chief
  Constable.

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(No Transcript)
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Overview of financial arrangements

• Police funding, like other public services, is
  met by the taxpayer and paid by
• Combination of Government Grants funded by
  national taxation
• Local authorities funded by Council Tax
• Scottish Ministers decide annual allocation of
  all public spending within budget constraints
• For local govt services, including policing, a
  formula allocates money - Grant Aided Expenditure
  (GAE) - to each service in each of the 32
  Scottish local authorities.

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Overview of financial arrangements

• These awards represent what the Executive
  recommends should be spent on each service, and
  on which they are prepared to award grant
• GAE figures are specifically issued for policing
  and is the cash limit on which Scottish Ministers
  will pay grant
• Policing is different from other public services
  it is awarded a specific grant of 51 of
  approved expenditure only paid on actual
  expenditure up to approved limit of GAE.

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Overview of financial arrangements

• Expenditure for PA s
• Pay and allowances to police and support staff
• Police pensions
• Vehicles and equipment
• Buildings
• Funding Streams for police authorities how is
  the expenditure resourced?

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Overview of financial arrangements

• Revenue Budget
• Scottish Ministers pay police grant of 51 of
  approved GAE limit
• Constituent local authorities provide the balance
  of GAE total
• Joint Boards - constituent local authorities pay
  in accordance with their amalgamation schemes
• If GAE exceeded constituent local authorities
  meet the full cost
• If expenditure is less that GAE unspent potion
  of police grant remains unclaimed.

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Overview of financial arrangements

• Capital Expenditure
• Scottish Ministers pay a Capital Grant to each PA
  under Sec 37 of the Local government in Scotland
  Act 2003
• May only be spent on capital projects such as
  buildings, vehicles or equipment
• PA s may supplement capital grants from disposal
  of assets, in-year revenue generation, or by
  Prudential Borrowing
• Capital Grant is distributed in accordance with
  Scottish Ministers and ACPOS recognising any
  top-slice requirements.

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Overview of financial arrangements

• The Prudential Regime
• Unitary PA s and Joint Police Boards are covered
  by the prudential regime for capital borrowing
• Able to supplement Capital Grants by borrowing
  where planned and in compliance with the CIPFA
  Prudential Code for Capital
• PA s have to finance re-payments from within
  their general funding need to consider future
  levels of GAE funding
• Intention for each PA to determine their own
  level of capital borrowing within broad limits.

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Overview of financial arrangements

• Direct Funding by Scottish Ministers
• Funding additional to GAE Capital Grant is
  provided through Police Central Government (PCG)
• Main purpose is to fund the Scottish Police
  Services Authority
• Also provides funding for Airwave Ports
  Policing Violence Reduction Capital City
  Funding - Lothian Borders Police etc
• PCG Funding is wholly provided by Scottish
  Ministers.

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Important Statutory duties of a PA

• Manner that complaints against officers are dealt
  with by Chief Constable
• Appointment of Police Appeals Tribunals
• Appointment of senior officers
• Determination of complaints against senior
  officers.

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Important Statutory Duties of a PA

• Employment of civilian staff
• Independent Custody Visiting
• Police Pension Regulations 1987
• Granting of legal assistance to police officers
• Scrutiny and overview.

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Manner that complaints against officers are dealt
with by the Chief Constable

• Duty for PA s given by the Police (S) Act 1967,
  Section 40- Every PA shall keep themselves
  informed as to the manner in which complaints
  made by members of the public are dealt with by
  the Chief Constable
• PA s receive statistical reports from the Chief
  Constable at each of the formal authority
  meetings.

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Manner that complaints against officers are dealt
with by the Chief Constable

• Additional, pro-active measures vary across the
  different PA s but will likely include
• Formation of a group or committee to regularly
  review complaints and procedures
• Specialist training will be provided to such
  members by the PA s, Professional Standards
  Departments and possibly the Area Procurator
  Fiscal
• Attendance at Professional Standards random
  scrutiny of ongoing investigations.

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Manner that complaints against officers are dealt
with by the Chief Constable

• Accompany Investigating Officers on live
  investigations
• Discussions with the DCC or senior Professional
  Standards officers during meetings of the group
  reviewing complaints
• Representative from HMIC can attend at meetings
  of the review group
• Role of the PCCS in the review of unresolved
  complaints.

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Appointment of Police Appeals Tribunals

• Duty under the Police Appeals Tribunals (S) Rules
  1996 whereby
• Officer subject of misconduct proceedings under
  the Police (Conduct)(S) Act 1996 is,
• Consequently dismissed or required to resign as
  an alternative to dismissal,
• The Police (S) Act 1967 allows that officer to
  appeal the decision to the Chief Constable,
• Where the Chief Constable upholds the decision of
  the misconduct proceedings, the officer has the
  right of a final appeal to the (relevant) PA by
  virtue of the 1996 Tribunals Rules.

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Appointment of Police Appeals Tribunals

• Membership of Police Appeals Tribunals
• Chaired by a Queens Counsel
• Former or serving Chief Constable
• Retired officer of same rank as the appellant
• Member of the (relevant) PA
• Decision of the Police Appeals Tribunal may be
  subject of Judicial Review by either the Chief
  Constable or the appellant.

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Appointment of senior officers

• PA s have the responsibility for the appointment
  of Chief Officers by virtue of the Police (S) Act
  1967 as amended
• Section 4 appointment of Chief Constables
• Section 5 appointment of Deputy Chief
  Constables and Assistant Chief Constables
• Appointments by the PA are subject to
  consultation with the Chief Constable and,
• Consultation and approval by Scottish Ministers.

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Appointment of senior officers

• HMCIC will provide background candidate
  information to assist Scottish Ministers
• PA members will receive specialist, local
  training
• Responsibility for the selection and appointment
  of Chief Officers may be delegated to a dedicated
  sub-committee
• Procedures relating to the appointment of Chief
  Officers are currently under review.

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Determination of complaintsagainst senior
officers

• PA s have a statutory duty under the Police
  (Conduct)(Senior Officer)(S) Regulations 1999 to
  investigate complaints or allegations of
  misconduct against senior officers
• Overview of the process Flow Chart -

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Police (Conduct)(Senior Officer)(Scotland)
Regulations 1999
Complaint alleging misconduct received by
Police Authority (PA)
PA requires members of staff from same force to
report to APF
Clerk / nominated officer prepares Initial
Enquiry Report
Inference of criminality
Complaint suspended until criminal aspects
complete
Initial Enquiry Report considered by PA
Evidence of Misconduct PA appoints an
Investigating Officer (IO), Chief Constable from
outside force
If PA finds that complaint, if proven, that
misconduct would be minor or trivial NO FURTHER
ACTION
If complaint unfounded or frivolous NO FURTHER
ACTION
IO investigates submits report to PA
If PA decides sufficient evidence of misconduct
appoints an Independent Solicitor
Insufficient evidence of misconduct NO FURTHER
ACTION
Independent Solicitor reviews complaint and IOs
Report
If sufficient evidence to support Misconduct
Hearing Independent Solicitor instructed to
continue process
If insufficient evidence to support Misconduct
Hearing NO FURTHER ACTION
Senior Officer required to appear before
Misconduct Hearing
Allegation substantiated
Allegation not substantiated
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Type of complaints received by a PA

• About the actions / decisions of a PA
• Perceived maladministration
• About a Chief Officer
• Police (Conduct)(Senior Officer)(S) Regs 1999
• Personal actions not amounting to misconduct
• About a police force
• Quality of Service complaint
• Overview of processes Flow Chart.

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(No Transcript)
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Employment of civilian staff

• Force support staff are employees of the police
  authority in the same manner as council staff are
  employees of their local authority
• Force support staff are, by statute, placed under
  the control and direction of the Chief Constable
• This delegation for day-today management includes
  the power of appointment and dismissal
• PA s retain an appellate function for support
  staff subject to punitive decisions by the Chief
  Constable regarding misconduct and grievance
  issues.

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Independent Custody Visiting

• Independent Custody Visiting was introduced into
  Scotland in 2000. Police Circular No 14/2004
  provides guidance on the national standards
• It is a system where trained volunteers attend
  police stations unannounced to check on the
  treatment of persons held there and the
  conditions in which they are held
• The volunteers are appointed and trained by the
  PA s and are independent of the police force.
• Independent Custody Visiting has developed into
  an essential aspect of police practice
  procedures
• Independent Custody Visiting Schemes are
  operating across all Scottish forces.

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Police Pension Regulations 1987

• PA s have a duty to meet the provisions of the
  Police Pensions Regulations 1987 and the Police
  Pensions (S) Regulations 2007 and to comply with
  directions from the Scottish Public Pensions
  Agency relating to the management of ill-health
  and injury retirements of police officers
• PA s also have to take cognisance of the
  requirements of the Disability Discrimination Act
  1995.

40
Police Pension Regulations 1987

• This is achieved by
• The appointment of an independent doctor to
  undertake medical examinations of police officers
  who may be eligible for an ill-health/injury
  retirement.
• Close liaison with the Force following the
  medical examinations to determine whether an
  officer who is otherwise eligible for an
  ill-health/injury retirement could potentially be
  retained within the Force and deployed in a
  non-operational role.

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Police Pension Regulations 1987

• Following consultation with the Force and the
  officers, the PA will make formal decisions as to
  whether or not officers are to be granted
  ill-health/injury retirements or retained within
  the Force in a non-operational role.  
• There is an appeals mechanism for officers who
  may be dissatisfied with the medical decision
  reached.

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Granting of legal assistance to police officers

• In certain circumstances, it has been established
  that police officers should not be required to
  meet the costs of legal advice/representation
• In respect of civil or criminal proceeding
  brought against them or in respect of
  representation at other judicial examinations,
  i.e. Fatal Accident Inquiries.

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Granting of legal assistance to police officers

• When, these matters arise as a consequence of the
  officer acting to discharge the functions of a
  Constable and has not acted maliciously
• Guidance outlining the circumstances, and
  processes, under which legal assistance may be
  granted by PA s to police officers is provided
  by Police circular No. 18/1978
• Outdated Guidance, a process infrequently used
  and in need of updating.

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Scrutiny and Overview

• Previously noted PA s had Monitoring role
  measuring force performance against agreed
  national and local indicators
• Previously noted the adoption of Committees
  Sub-Committees providing oversight of the
  different areas of PA responsibility to the main
  meetings
• Consider how national and local indicators are
  determined and how force performance will be
  assessed.

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Overview of Police Performance Management
46
Scottish Policing Performance Framework

• Inspector Steve Ritchie
• Grampian Police

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Review of Morning Session

• General functions of a PA
• Important statutory duties of a PA
• Overview of current arrangements within PA s
• Looking forward future changes?

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Drivers for Change

• Transforming Public Services
• PNB Workforce Modernisation
• PNB Review of Police Pay
• HMCIC (EW) Review of Policing
• Scottish Executive Review of Budgets
• HMCIC (Scotland) Review of Inspection Process.