Scheme of Administration between the Scottish Police Authority and the Police Service of Scotland

Transcription

1 Scheme of Administration between the Scottish Police Authority and the Police Service of Scotland November 2013 Page 1 of 13

2 REVISION LOG Revision Number Reason Date Author v0.1 Initial Draft 7 Oct 2013 E McLaren v0.2 Initial discussions with Police Scotland v0.3 Version for discussion with SPA CEO 29 Oct 2013 E McLaren 7 Nov 2013 E McLaren v0.4 Version for circulation 8 Nov 2013 E McLaren V0.5 Submitted to Board 14 Nov 2013 E McLaren V0.6 Updated to incorporate changes approved during Board Meeting on 19 Nov Dec 2013 B Faulkner Page 2 of 13

3 1.0 Purpose 1.1 On 26 June 2013, the Members of the Scottish Police Authority (SPA) adopted the Governance Policy Statement, which sets out an approach for the SPA that has a strong focus on strategy, policy development, scrutiny and engagement, with the Police Service of Scotland (Police Scotland) taking on the operational delivery of key services (including procurement and ICT) as part of their overall operational responsibilities. 1.2 The Organisational Requirements Principle and Practice of Steady State Operations paper approved by SPA Members on 21 August 2013 describes the SPA role and principles of operation. The steady state operation will embed the principles of good governance and characteristics of best value. It will also ensure that decision-making takes place at the appropriate level within the SPA. 1.3 There is, therefore, a requirement for a Scheme of Administration setting out the arrangements between the SPA and Police Scotland to enable them to meet their respective obligations under the Act, and to facilitate the decision-making process. 1.4 This Scheme supersedes the previous Scheme of Arrangements agreed by the Members on 28 March Approach 2.1 The approach proposed in this paper recognises the statutory responsibilities of the SPA and the Chief Constable, including the Chief Constable s responsibility for the day to day administration of the Police Service. The Scheme describes the approval and decisionmaking levels across a range of specific areas, including the obligations on Police Scotland to seek approval of, consult with Members formally, as part of the overall governance arrangements. Section 6.0 of the Scheme sets out the matters covered by these approve, Page 3 of 13

4 consult obligations (although it is accepted that this list will not be exhaustive and may be amended over time). For the purposes of clarity, the following definitions apply: where the requirement to seek approval exists, the nominated Committee (or the full Authority) has the ultimate responsibility for making decisions in these areas. Any relevant proposal or recommendation must therefore be submitted to the Committee or Authority for consideration and approval at a public meeting; where the requirement to consult exists, the views of the nominated Committee (or the full Authority) must be formally sought. Consultation should be at a public meeting (unless it is deemed appropriate to discuss the matter in a private session), notwithstanding any earlier consultation and discussion between SPA Members, officers and Police staff in developing the proposal or recommendation. The table also highlights where a committee (or the full Authority) will review a proposal and make an onwards recommendation for approval. 2.2 It should be noted that although Police Scotland has an obligation to seek the approval of, or consult with, the Authority and/or a nominated Committee with regard to policy and strategy, this obligation does not routinely apply to the operating procedures for implementation of such policies/strategies; nor will it apply to the application of policy to individual cases, unless otherwise specified (for example, in the case of certain financial transactions as set out in the table at section 6.0). The full Authority or one of its Committees may at any time, however, select any policy, strategy or decision for detailed scrutiny in line with the SPA s focus on strategy, policy development, scrutiny and engagement. 2.3 To ensure the successful operation of the Scheme, the SPA and Police Scotland will: act at all times in good faith towards each other in the interpretation and delivery of this Scheme; share information and experience to support the development of effective working practices, working collaboratively to overcome any practical issues; ensure that requirements are clearly specified and that information supplied meets the required standard; Page 4 of 13

5 communicate openly and timeously about any major concerns, issues or opportunities relating to this Scheme; provide constructive feedback to each other on the implementation of this Scheme, with a view to continuously improving performance; and adopt a positive outlook, behaving in a positive, proactive manner. 3.0 General 3.1 The limits within this Scheme are subject to the limits set by the Scottish (SG) as part of the SG/SPA Governance and Accountability Framework document ( the Framework document ). 3.2 The Scheme must be read in conjunction with the following documents: Scottish Public Finance Manual ( SPFM ) the Framework document Financial Regulations the SPA Standing Orders the SPA Standing Orders relating to Contracts the SPA Terms of Reference for any of its Committees or Sub-Committees. the Police Scotland internal scheme of delegation. 3.3 The following principles apply to any decision or action under the Scheme: a. it must not alter or be contrary to any policy set by the SPA, its Committees, or Sub-Committees; b. it must be taken in accordance with the SPA Standing Orders (as amended from time to time); c. it must be taken in accordance with the Framework document (as amended from time to time) and comply with the financial limits set out in that document; d. its financial consequences must be provided for within the budget approved by the SPA for the financial year in question; investment decisions are subject to business case analysis, review and approval; and Page 5 of 13

6 e. it must not give rise to a conflict of interest, as defined in the SPA s code of conduct. 3.4 If there is a question or dispute over whether a decision taken, or proposed to be taken, by Police Scotland is not in line with this Scheme, a decision will need to be made on the appropriate forum for the question or dispute to be resolved. This decision will be taken by the Chairing Member of the SPA, the relevant Committee Chair, and one further Member, in consultation with the Chief Constable and the SPA Accountable Officer. 3.5 The SPA or any Committee may require Police Scotland to submit reports on activity and actions taken as part of the day-to-day administration of the police service. Such requirements will be clearly specified by the SPA or Committee. 4.0 Working Arrangements 4.1 The following requirements fall on Police Scotland: to ensure that the policing of Scotland is undertaken with due regard to the policing priorities, the strategic police plan and any recommendations or guidance issued by the SPA; to, where appropriate, seek approval for decision making from the SPA through the appropriate Committee, Sub-Committee or full Authority meeting; to provide sufficient materials to Members to allow them to make fully informed decisions; to ensure these materials are transparent, evidence-based, have been subject to appropriate consultation, and align with and support the obligations placed on the SPA Accountable Officer; to provide these materials in sufficient time to allow them to be fully reviewed, assessed and processed for decision-making; and to ensure efficient and effective administrative arrangements are in place to facilitate decision-making. 4.2 The following requirements fall on Members and SPA Officers: Page 6 of 13

7 to provide clear, evidence based and reasoned guidance to Police Scotland to facilitate informed decision-making; to provide efficient and effective administrative arrangements to plan for, process, document and communicate decisions made by the SPA within its Committees, Sub- Committees and at Board Meetings; and to make informed decisions in line with the SPA s role, purpose and approved process and procedures, including Terms of Reference, Standing Orders and Code of Conduct. 5.0 SPA Committees 5.1 The Standing Orders approved by the Members at the Board meeting on 3 December 2012 provided for the creation of the following committees: Audit and Risk Committee Finance and Resources (renamed Finance and Investment) Committee Human Resources and Staffing (now renamed Human Resources and Remuneration) Committee Transition and Reform Committee (this will be constituted as Business Change Working Group) Additionally a Complaints and Conduct Committee was created on 22 March These committees may be revised from time to time. 5.3 The Standing Orders provide the Terms of Reference and a clear programme of work for SPA s committees and sub-committees. The Standing Orders and detailed terms of reference for each committee and sub-committee are published on the SPA Website. Page 7 of 13

8 6.0 Scheme of Administration Table The attached table sets out the matters (with financial limits, where appropriate) that require to be approved by the SPA and the matters on which the SPA require to be consulted. Preparatory work that must be undertaken and presented jointly by Police Scotland and SPA officers, for example the Capital and Revenue plans; these items are annotated with the following symbol * (asterisk). Page 8 of 13

9 Item Scheme of Administration between SPA and Police Scotland (Approve, Consult or Recommend) Ref Full Authority (Board) Finance & Investment HR and Remuneration Audit & Risk Complaints & Conduct 1 Annual Police Plan 2 Local Police Plans 3 Policing Policies and Strategies (priorities targeted by Members in consultation) 4 Policy and Strategies for Finance * 5 Policy and Strategies for HR * Police Scotland Policy 6 and Strategies for Complaints and Conduct 7 Policy and Strategies for ICT * 8 Policy and Strategies for Procurement and Purchasing * 9 Policy and Strategies for Estates * Police Scotland & SPA 10 Policy and Strategies for Health and Safety * External Communication 11 relating to policy and strategy Page 9 of 13

10 Ref a 15b 16 17a 17b Item Policy and Strategies for the management of strategic risk * Policies for the strategic management of information Policy and Strategies for Business Continuity and Disaster Recovery * Strategic (nonoperational) elements of Police Scotland Organisation Design and Change Programme, as selected by the HR and Remuneration Committee. HR elements of Police Scotland Organisation Design and Change Programme Early Retirement Voluntary Redundancy Schemes * SPA involvement in Police Scotland Chief Constable Recruitment and Selection Plans SPA involvement in Police Scotland Scheme of Administration between SPA and Police Scotland (Approve, Consult or Recommend) Full Authority (Board) Finance & Investment HR and Remuneration Audit & Risk Complaints & Conduct and Page 10 of 13 RECOMMEND to Full Authority

11 Ref Item Recruitment and Selection Plans (DCC & ACC level) Capital Plan * Revenue Plan * Police Scotland & SPA Annual Accounts * Scheme of Administration between the SPA and Police Scotland * Police Scotland internal Scheme of Delegation Standing Financial Instructions Single Tender / Non Competitive Actions (above 25k but not exceeding 500k) Major Contract Awards (above 500k but not exceeding 1M) Single Tender / Non Competitive Actions (above 500k but not exceeding 1M) Major Contract Awards (exceeding 1M) Single Tender / Non Competitive Actions (exceeding 1M) Scheme of Administration between SPA and Police Scotland (Approve, Consult or Recommend) Full Authority (Board) Finance & Investment HR and Remuneration Audit & Risk Complaints & Conduct RECOMMEND to Full Authority RECOMMEND to Full Authority Page 11 of 13 RECOMMEND to Full Authority

12 Ref Item Investment Appraisal / Business Case (exceeding 2m) Operating leases other than property / accommodation related leases (up to 50k) Operating leases other than property / accommodation related leases (exceeding 50k) Property / accommodation related leases Virement of budget allocation above 200k but not exceeding 500k (transfers between business areas)* Virement of budget allocation over 500k (transfers between business areas)* External business and management consultancies (exceeding 100k) Civil claims litigation (over 50K but not exceeding 250k) Scheme of Administration between SPA and Police Scotland (Approve, Consult or Recommend) Full Authority (Board) Finance & Investment HR and Remuneration Audit & Risk Complaints & Conduct RECOMMEND to Full Authority Page 12 of 13

13 Ref Item Civil claims litigation (exceeding 250k) Strategic arrangements for performance reporting to the Board (to be agreed) Scheme of Administration between SPA and Police Scotland (Approve, Consult or Recommend) Full Authority (Board) Finance & Investment HR and Remuneration Audit & Risk Complaints & Conduct Page 13 of 13