Strathclyde Best Value Audit and Inspection follow-up report

Prepared for the Accounts Commission and Scottish ministers September 2012 The Accounts Commission

The Accounts Commission is a statutory, independent body which, through the audit process, requests local authorities in to achieve the highest standards of financial stewardship and the economic, efficient and effective use of their resources. The Commission has four main responsibilities:

• securing the external audit, including the audit of Best Value and Community Planning

• following up issues of concern identified through the audit, to ensure satisfactory resolutions

• carrying out national performance studies to improve economy, efficiency and effectiveness in local government

• issuing an annual direction to local authorities which sets out the range of performance information they are required to publish.

The Commission secures the audit of 32 councils and 45 joint boards and committees (including police and fire and rescue services).

Her Majesty’s Inspectorate of Constabulary for Scotland

HMICS operates independently of police forces, police authorities and the Scottish Government and exists to monitor and improve the police service in Scotland. HMICS does this on behalf of the Scottish public by:

• monitoring, through self-assessment and inspection, how effectively the police service in Scotland is fulfilling its purpose and managing risk

• supporting improvement by identifying good practice, making recommendations and sharing our findings in order to achieve better outcomes for Scotland’s communities

• providing advice to Scottish ministers, police authority and joint board members and police forces and services.

Even though HMICS is independent of the Scottish Government, ministers can call upon the Inspectorate to undertake particular pieces of work.

Audit Scotland is a statutory body set up in April 2000 under the Public Finance and Accountability (Scotland) Act 2000. It provides services to the Auditor General for Scotland and the Accounts Commission. Together they ensure that the Scottish Government and public sector bodies in Scotland are held to account for the proper, efficient and effective use of public funds. Police Authority: Best Value Audit and Inspection follow-up report 1 Contents

Findings Page 2

Introduction Page 4

Strathclyde Police Authority

Accounts Commission and HMICS findings 2011 Page 5

Summary Page 7

Overall conclusions

Improvement agenda Page 8

Progress in Authority Page 9

Improvement plan Page 10

Joint working with the force Page 11

Performance and improvement Page 13

Authority office Page 14

Appendix 1. Progress in implementing improvement actions Page 17 2 Findings 3

1. The Commission published in July 5. The Commission encourages the 2011 its findings in relation to the convener to continue to exercise audit and inspection report on the his leadership role in ensuring the performance by Strathclyde Police improvement plan is being taken and Strathclyde Police Authority of forward. It is essential that the chief their statutory duties on Best Value executive and his team in turn provide and Community Planning. The report effective support to the convener was produced jointly by the Controller and elected members in addressing of Audit and Her Majesty’s Inspector the continuing business of the of Constabulary for Scotland. authority; the work associated with the improvement plan; and the work 2. The Commission had found that involved in the introduction of the the authority needed to strengthen national police force. its arrangements for oversight of Strathclyde Police and its 6. The Commission has requested leadership of the force’s continuous that progress against the improvement agenda. Improved improvement plan be fully monitored support and training was required to and that the Commission be kept help authority members to develop informed of progress. their understanding, build their skills and gain greater confidence in holding 7. Her Majesty’s Inspectorate of the chief constable to account. The Constabulary for Scotland concurs Commission requested that a with the Commission’s findings. further report be provided in around 12 months to enable the Commission to review the authority’s progress in fulfilling its role more effectively and in getting better value from the resources it has available to it.

3. The Commission accepts this follow-up report from the Controller of Audit and, in particular, notes the changes to the elected membership of the authority following the May 2012 local government election. While the Commission is disappointed with progress since the first report, it is encouraged by the recent adoption by the authority of a consolidated improvement plan and the commitment made by the new convener and the authority to implement the plan.

4. The Commission emphasises the need for the plan to be implemented fully and the deadlines in the plan met. 4 Introduction Introduction 5

This joint report is made by the Local elections were held on 3 May Strathclyde Police Authority Controller of Audit to the Accounts 2012 and as a result there was a Commission under section 102(1) of need to constitute a new authority Strathclyde Police Authority the Local Government (Scotland) Act administration. The membership of (previously known as Strathclyde 1973 and by Her Majesty’s Inspector the authority changed significantly Joint Police Board and still statutorily of Constabulary for Scotland (HMICS) following the local elections, with constituted as a joint police board) under section 33 of the Police only 11 of the previous 34 members is responsible for a revenue-policing (Scotland) Act 1967. returning. The newly constituted budget of approximately £448 million. authority met for the first time on It is the largest joint police board The Local Government in Scotland 7 June 2012. At this meeting in Scotland made up of 34 elected Act 2003 introduced statutory duties Councillor Philip Braat ( members from 12 councils. In 2007, relating to Best Value and Community City Council) was appointed as the it created a dedicated support Planning. The Act also amended the authority’s new convener. function, unique to Scotland, audit arrangements set out in the employing 11 staff who make up Local Government (Scotland) Act The audit team met with the the authority office. The authority 1973 to cover Best Value and gave convener and chief executive in July office has an annual budget of powers to the Accounts Commission 2012 to discuss the draft report. approximately £1.3 million. to examine Best Value in police Councillor Braat took the opportunity authorities. HMICS has a statutory to highlight what changes are The authority appointed a chief duty under section 33 of the Police being made to how the authority executive in September 2009, (Scotland) Act 1967 to inspect police manages its business. He recognises replacing the previous clerk, and forces and common police services, the limited time available to the instructed him to carry out a review and to report to ministers on their current authority and is focusing into its governance and scrutiny of state and efficiency. The 2003 Act on delivering improvement for the Strathclyde Police. An improvement extends this to include provision for authority. The chief executive is plan was developed and a new HMICS to inquire into and report preparing, in conjunction with an committee structure, shown in Exhibit to Scottish ministers on whether officer from Strathclyde Police Force, 1 (overleaf), was implemented in a local authority is carrying out its a consolidated improvement plan. The April 2011. functions both as a police authority plan will have clear objectives with and in relation to a number of matters specific timescales for completion and Accounts Commission and HMICS including Best Value. will be a standing item for discussion findings 2011 at each full authority meeting. The joint report on the Best Value Councillor Braat is meeting with the The Accounts Commission’s findings Audit and Inspection of Strathclyde chief constable to discuss how the said that the authority needed to Police and Strathclyde Police authority and force can work more strengthen its arrangements for Authority, along with the findings effectively together. A new approach oversight of Strathclyde Police and its from the Accounts Commission and to training authority members will leadership of the force’s continuous HMICS, was published in July 2011. be implemented with short sessions improvement agenda. Improved This is a follow-up to that report. taking place before authority support and training was required to meetings. Councillor Braat has also help authority members to develop The Police and Fire Reform (Scotland) implemented an appraisal system for their understanding, build their skills Bill was passed by the Scottish the chief executive which will involve and gain greater confidence in holding Parliament on 27 June 2012. It an external senior council official. the chief constable to account. The creates a single police service and a Commission did not consider that the single fire and rescue service to begin We gratefully acknowledge the authority was getting sufficient value operating from 1 April 2013. The cooperation and assistance provided from its dedicated support function Bill puts in place new arrangements to the team by Councillor Curran and said that better support would for the structure, governance and (Convener, April 2010 to May enable it to carry out its governance management of policing in Scotland. 2012); Councillor Braat; the elected and scrutiny role more effectively. This includes the creation of a members of Strathclyde Police It recommended that the authority Scottish Police Authority to govern Authority; Authority Chief Executive should monitor the support function’s the new service and hold the chief Keith Mannings; Chief Constable performance, including holding the constable to account. This report , Strathclyde Police; chief executive to account for the reflects that the authority is in a and all other staff involved. delivery of improvements within transitional phase. agreed timescales. The findings also emphasised the need for the authority and force to establish more 6

Exhibit 1 Committee structure

Strathclyde Police Authority

Conveners Subcommittee

Management Subcommittee

Resources, Audit, Complaints & Human Strategic Community Best Value & Governance & Professional Resources Planning & & Citizen Improvement Risk Committee Standards Committee Performance Engagement Committee Committee Committee Committee

Budget Property Appeals Police Pensions Chief Officer, Working Group Strategy Subcommittee Subcommittee Senior Working Group Appointments & Remuneration Committee

Source: Strathclyde Police Authority

effective joint working arrangements Authority improvements The Commission requested that to develop a shared vision for policing the Controller of Audit provide a across the Strathclyde area. HMICS • Adopt a more proactive approach further report in around 12 months, found that Strathclyde Police was to gathering performance and to enable the Commission to review performing well and that the force improvement information from the the authority’s progress in fulfilling its demonstrated many of the aspects of force to facilitate more effective role more effectively and in getting Best Value. oversight and scrutiny. better value from the resources it has available to it. This report focuses on The Commission required the • Identify opportunities for increased the authority’s actions to address the authority to address the improvement involvement in diversity and improvement agenda set out in the agenda set out in the joint Best Value equality activity. joint Best Value Audit and Inspection Audit and Inspection report. This report. included the following priorities: • Strengthen member training and development, with a focus on Joint improvements improving member understanding of their roles and responsibilities. • Establish more effective joint working arrangements with the • Adopt a more robust approach force and clarify the role of the to monitoring the authority’s police authority office. improvement agenda arising from the chief executive’s review of • Work jointly with the force to authority governance. develop a shared vision for policing across the Strathclyde area. • Establish arrangements for monitoring the cost and effectiveness of the support function to ensure that it is sufficiently adding value. 7 Summary 8

Overall conclusions • developed and agreed a Improvement agenda member training framework 1. The authority accepted the and implemented an induction 6. There are still a number of key Commission’s findings and agreed a programme for new members. areas where the authority needs to schedule of tasks to address them improve. These are detailed below: in October 2011. The authority 4. However, in other areas there has can demonstrate improvement in been limited progress: • The authority should continue a number of areas; however, the to strengthen joint working overall pace of change has been • There remains an absence of arrangements with the force to slow, and oversight and challenge by genuine joint decision-making facilitate genuine joint decision- authority members of the joint Best between the authority and the making. Value improvement agenda and the force and the authority has had schedule of tasks has been limited. little involvement in shaping future • The authority should adopt a more policing priorities. proactive approach to gathering 2. Members of the newly constituted performance and improvement authority need to be briefed on the • The authority has not significantly information on force partnership outstanding items and measures strengthened its strategic working. being taken to address them as oversight and challenge of the a matter of priority. The authority force’s approach to partnership • The authority should continue to needs to set realistic deadlines for working. monitor the effectiveness of its implementation of the schedule of support function and its business tasks, and progress should be subject • The role of the authority’s support arrangements. The staff review to regular scrutiny by members. function is still not fully understood and job evaluation should be by all authority members. progressed as a matter of priority. 3. Since the publication of the joint Best Value Audit and Inspection • The proposed staff review and job • The authority should introduce report in July 2011, there have been evaluation of the authority office formal arrangements for holding a number of improvements. The remains ongoing. the chief executive to account authority has: for the performance of the • There is limited evidence that the authority office and delivery of the • increased involvement in chief executive is being held to improvement agenda. diversity and equality activity, and account for the performance of developed and progressed an the authority office or delivery of action plan to improve leadership the improvement agenda. and scrutiny in this area • There has been an absence of • strengthened its scrutiny of regular reporting and monitoring the force’s performance and of the recommendations from improvement through the the chief executive’s review of introduction of a new committee authority governance. structure and a revised code of corporate governance 5. The creation of a single police force for Scotland, which will begin • closely monitored finance, operating on 1 April 2013, means staffing and asset management that the newly constituted authority arrangements within the force will only be in place for ten months. through authority meetings It is crucial that business as usual is and the budget working group, maintained over this period and the and considered savings and improvement agenda continues to efficiencies as well as the be progressed. Other priorities for implications of police reform the new authority include facilitating training to new members, improving • introduced regular monitoring and how the authority office does scrutiny of the authority office business, and introducing greater budget oversight and scrutiny of the chief executive. 9 Progress in Strathclyde Police Authority 10

Improvement plan 9. The authority does not have a This subcommittee has a strategic single, comprehensive improvement role and gives guidance to authority The authority does not have a plan. Following the publication of the officers. Its membership includes comprehensive improvement joint Best Value Audit and Inspection the convener, two vice-conveners plan. It has developed a report, the chief executive, in and three additional members. schedule of tasks to address the conjunction with the force, prepared The minutes of the management Accounts Commission’s findings; initial proposals for addressing the subcommittee are considered at however, this is in addition to improvement agenda set out in the authority meetings. the recommendations already in report. These were presented to place from the chief executive’s the full authority in August 2011 and 11. The force reported its own actions review initiated in March 2010. The authority members agreed that the as being complete at the October absence of a single, focused plan authority and force should develop a 2011 authority meeting. However, with clear priorities, and the lack schedule of tasks for approval at the it has not reported progress on joint of regular reporting against this, next authority meeting. The schedule improvement activity. reduces the members’ ability to of tasks, which fully addresses the effectively scrutinise and challenge improvement agenda from the 2011 12. Appendix 1 (page 17) combines on progress. Members are unable Best Value Audit and Inspection, was the recommendations of the chief to demonstrate leadership of the agreed by members at the October executive’s improvement plan and the improvement agenda. 2011 authority meeting. The schedule schedule of tasks into a single table. identifies joint tasks as well as tasks This highlights the extent to which the 7. The joint Best Value Audit and specific to the force and the authority. actions in the improvement plan and Inspection (2011) found slow progress There is considerable overlap schedule of tasks cut across the same in relation to improvement activity. between the schedule of tasks and areas. For each recommendation, the It also highlighted that authority the chief executive’s improvement table outlines progress reported at full members needed to demonstrate plan. This duplication could weaken authority meetings, the target date for clearer leadership of the improvement scrutiny of improvement activity as it completion and actual progress based agenda, which could be achieved is not clear to members which set of on review of committee minutes and by adopting a more robust approach actions they should focus on. At the interviews with authority office staff to monitoring the progress of October meeting, members agreed to and members. Thirteen of the 23 implementation of the actions arising remit the monitoring of the schedule recommendations have been reported from the chief executive’s review. The of tasks to the Resources, Best Value as complete; however, the evidence 2011 report identified important areas and Improvement Committee, with suggests only nine have been fully such as joint working and partnership regular reports to be submitted to implemented, eight have been activity where progress was reported this committee. partially implemented and six have not as complete but where we found no been implemented. evidence that this was the case. 10. The authority office has not provided the authority with timely 13. Members lack clear leadership 8. Following his appointment in updates on improvement activity. of the improvement agenda for the September 2009, the authority The last update of progress against police authority. They have failed members requested the chief the recommendations of the chief to adopt a more robust approach executive to carry out a review into the executive’s review was made to to reviewing and challenging authority’s governance and scrutiny the August 2011 authority meeting. progress of improvement activity. of Strathclyde Police. The review was At that time, ten of the 14 tasks The Resources, Best Value and first reported to the authority in June were reported as complete. Since Improvement Committee has met on 2010 and the resulting improvement August 2011, there is no evidence of three occasions since the decision plan was agreed in August 2010. monitoring by the full authority of the by members at the October 2011 The improvement plan contains remaining tasks despite the authority’s authority meeting to remit monitoring 14 recommendations designed to schedule of tasks containing an of the schedule of tasks to it. There is improve performance across a range agreed action for progress against no evidence of reporting of progress of areas. These include joint working the chief executive’s improvement against the schedule of tasks at these with the force, scrutiny, community plan to be reported to full authority meetings. The most recent update planning, member training and a meetings. Implementation of some was presented to the December number of internal management of the outstanding tasks, including 2011 meeting of the management matters such as the procurement of the staff review and job evaluation subcommittee. Individual tasks treasury management services. The and review of the authority’s budget, have been delegated to various improvement plan was agreed by were discussed at the December authority committees, for example members in August 2010. 2011 and March 2012 meetings of diversity and equality improvements the management subcommittee. have been monitored by the Audit, Progress in Strathclyde Police Authority 11

Exhibit 2 Timeline for improvement activity

June Aug June Aug Oct Dec June 2010 2010 2011 2011 2011 2011 2012

CE review Further report CE review CE review reported to on CE review update update full authority to full authority reported to reported to full authority full authority

BV Audit BV Audit Proposals for BV schedule BV schedule First meeting and and addressing BV of tasks of tasks of newly Inspection Inspection improvement reported to reported to constituted

Activity and reporting carried out published agenda full authority management authority reported to full subcommittee authority

Authority Improvement plan Authority Approved members agreed with 14 members agreed that a agreed recommendations Resources schedule of that further and Best tasks should consultation was Value to be carried be developed

Decisions Committee and brought to out and report tasked with future meeting brought to monitoring for approval future meeting progress

Source: Audit Scotland

Governance and Risk Committee. Joint working with the force The Accounts Commission found There is, however, no evidence of that the authority needed to become oversight of the entire programme of There is room for improvement more involved in shaping the policing improvements since December 2011. in the joint working arrangements priorities for the area. While the between the force and the authority endorsed the vision and 14. The schedule of tasks included authority. There is little evidence strategic direction established by the an action for the chief executive to that the authority has had active force, it was not actively involved in present a final report to a full authority involvement in shaping future its development. Our recent work has meeting once all improvement policing priorities. Authority found that the authority continues actions, including those from the members’ uptake of opportunities to have limited involvement in chief executive’s review, had been to contribute to strategic priorities shaping future policing priorities for implemented. The schedule of tasks for the force has been poor. Strathclyde. included a target date of February However, the force should continue 2012 for completion of the report. It to involve members in discussions. 17. The Strategic Planning and has not been prepared and the chief Joint working on diversity and Performance Committee was set up executive now plans to present it to equality activity has improved. in April 2011. Members agreed at its the August 2012 authority meeting. first meeting, in August 2011, to be Shared vision involved in the determination of future 15. Exhibit 2 shows the timeline for 16. A key recommendation of the policing priorities. This was to include the agreement and reporting of the joint Best Value Audit and Inspection agreeing a vision for policing which chief executive’s review, the joint was that the authority and force work reflects the views of communities. Best Value improvement agenda and jointly to develop a shared vision for A target date of February 2012 the schedule of tasks. policing across the Strathclyde area. was agreed for completion of the 12

force’s planning process. At the reviewed to ensure it still meets authority did not effectively scrutinise same meeting, the force’s head of the needs of the authority and the the force’s diversity and equality performance and analysis provided force. This recommendation was activity and members had limited members with an initial briefing on incorporated within the authority’s opportunity to deliver their role in this the force’s strategic planning and schedule of tasks and agreed with area. We have found improvements in performance management process. the force. The review was to be joint working on diversity and equality completed by January 2012. The and the authority has greater oversight 18. The force invited authority deputy chief executive has taken of the force’s activity in this area. members to participate in workshops responsibility for updating the scheme as part of its strategic planning of delegation and as of May 2012 was 25. In April 2011, the authority process for 2012/13. The workshops in the process of completing it. appointed a portfolio lead for diversity, were held in December 2011 and equality and human rights as part January 2012 and participants 21. The implementation of a member of the member special area interest included police staff and police special interest area scheme was scheme. The authority’s policy and officers with responsibility for one of the recommendations of the performance officer was given performance. The aim of the chief executive’s review. The scheme responsibility for providing support. workshops was, among other things, involves members taking a lead in Since then, the portfolio lead, and to discuss and agree new draft key one of nine portfolio areas to allow the policy and performance officer performance indicators for 2012/13, particular focus on important policing have met with the force on a number which would be presented to the issues and encourage joint discussion of occasions and have attended the chief constable for approval and with the force. Member leads operate force’s diversity and equality steering implementation. The workshops on behalf of all authority members group. They produced an action plan were very poorly attended by and may bring portfolio business to to improve the authority’s leadership members, with just three participating the attention of the authority and its and scrutiny of diversity and equality in the December workshop and committees. Portfolio leads were activity. Their recommendations were one attending in January. This was agreed at the April 2011 authority agreed at the February 2012 Audit, despite the authority office contacting meeting. Governance and Risk Committee. authority members to inform them Good progress was reported at the the workshops were taking place. 22. Member involvement in the April 2012 meeting with four of the This was a missed opportunity for the scheme has been limited. A member six recommendations implemented. authority to become actively involved information seminar on the special This work has had a positive impact, in setting the vision and strategic interest area scheme was held on particularly in improving the authority’s direction for policing in Strathclyde. 7 September 2011. This was attended access to diversity and equality by the convener, the chief executive, information from the force. Arrangements with the force an inspector from the force and five 19. The Accounts Commission of the nine portfolio leads. There is 26. The member responsible for findings from the joint Best Value evidence of good work being carried diversity, equality and human rights Audit and Inspection emphasised out by the portfolio lead for diversity, did not stand for re-election and is the need for more effective joint equality and human rights; however, consequently no longer a member working between the authority, the involvement of other members in of the authority. It is crucial that its support function and the force the scheme is less clear. Two portfolio the new member appointed to this to ensure they deliver best value leads confirmed in interviews that portfolio has the appropriate skills for people in the Strathclyde area. they had not met with their force and experience to continue to drive This would require clarity about counterparts. improvement in this area and ensure the roles and responsibilities of the that the action plan is completed. elected members of the authority 23. Further information on clarity of and the staff the authority employs roles and responsibilities of members 27. The force’s standard operating in its support function. We have and the authority’s support function procedures for diversity, equality and found during our recent audit that can be found in the authority office dignity in employment were agreed at improvements could still be made to section of this report. the August 2011 Human Resources joint working arrangements between Committee. Since then, there is the force and the authority. Diversity and equality evidence of regular consideration 24. The Accounts Commission found of the force’s diversity and equality 20. Following consideration of that the authority did not provide activity by the same committee. the chief executive’s review effective leadership of equalities. recommendations, members There was no elected member 28. The authority made a proposal to noted that the authority’s scheme involvement in the force’s diversity the force to develop a joint diversity of delegated authority should be and equality steering group. The and equality strategy at the force’s Progress in Strathclyde Police Authority 13

diversity and equality board meeting not yet been prepared. There is no consultation and community in October 2011. The proposal was evidence of authority members or the engagement process and its approach not accepted by the force, who wrote authority office taking any proactive to community consultation through to the authority office in November measures to seek its completion. The digital media. 2011 expressing reservations due authority office has a responsibility to the impending police reform to ensure that the force provides 34. The authority’s schedule of tasks and the practicalities of how a joint requested reports to the authority’s included an action to evaluate the strategy might work. The authority committees in a timely manner. requirement for direct community has not subsequently developed its consultation to address the authority’s own strategy and it is unclear how it 31. The approach to force reliance on the force for information monitors its own equality and diversity engagement in the development on the communities it serves. Direct responsibilities. of Single Outcome Agreements community consultation has not (SOAs) was reported to the June been undertaken. The Strategic Performance and improvement 2011 meeting of the Community and Planning and Performance Committee Citizen Engagement Committee. It agreed in April 2012 not to proceed The authority is taking a more was agreed that reports on individual with this due to the lack of time proactive approach to gathering SOAs would be considered by the available to complete this activity performance information in areas Strategic Planning and Performance before implementation of the single such as community consultation Committee; however, these have police force. and engagement and in force also been reported to the Community improvement activity. This has led and Citizen Engagement Committee. Force improvement activity and to greater challenge of the force As yet, only the SOAs for North performance reporting by members. However, it has Lanarkshire and have 35. The Accounts Commission found not progressed as well in relation been considered. that the authority did not actively seek to its strategic oversight and out reports of improvement activity challenge of the force’s approach to Community engagement undertaken by the force and was not partnership working. The authority 32. The Accounts Commission’s playing an active part in identifying closely monitors the force’s use of findings highlighted that authority and prioritising improvement areas resources as well as its position on members had a good understanding within the force. The improvement savings and efficiencies. of issues facing their local agenda from the joint Best Value communities but that the authority Audit and Inspection identified this Force partnership working lacked a strategic approach to as an important development area 29. The Accounts Commission exercising its community engagement for the authority. Our recent work found that the authority was not role. It was recommended that the highlights that the authority has proactively seeking information on authority consider how it can adopt taken a more proactive approach to the force’s partnership work and a more strategic and systematic monitoring performance and obtaining using this information to assure itself approach to understanding the needs information on force improvement that partnership working was being of communities served by Strathclyde activity. This has led to greater effectively managed and contributing Police. The authority’s oversight of challenge of the force by members. to the delivery of local policing force community engagement has outcomes. This was identified as improved. Further work is required, 36. The remit of the Strategic a key area for development in the however, to strengthen the authority’s Planning and Performance Committee improvement agenda; however, our own community engagement. includes closely monitoring force recent work highlights that there has performance through receiving regular not been any significant improvement 33. The Community and Citizen update and assessment reports. The in the authority’s oversight of the Engagement Committee was set up committee has received a range of force’s partnership work. in April 2011 and first met in June performance reports, since it was 2011. The remit of this committee set up in April 2011, including reports 30. The authority included an action includes scrutinising and assessing produced by the authority’s policy in their schedule of tasks to obtain engagement between Strathclyde and performance officer. These are a report from the force on effective Police and the local communities it designed to draw members’ attention partnership working and community serves, and monitoring any formal to certain areas of force improvement leadership activities. This document or informal consultation undertaken activity, including: was also to incorporate information by Strathclyde Police with local on current partnership and framework communities. The committee has • Strathclyde Police performance contract arrangements. A target date considered a number of reports from assessment from 2010/11 Scottish of December 2011 was set for receipt the force on community engagement. Policing Performance Framework. of the report. The force’s report has These include the force’s public 14

• HMICS annual report 2010/11 working group but haven’t been • procurement process for cleaning – Strathclyde Police Force discussed. There is evidence, and janitorial services. commentary. however, of consideration of change management reports at 43. The authority’s schedule of tasks • Fixed penalty notices compliance authority meetings. set out an action to review the terms rates. of reference of the budget working Monitoring of savings and group and make a proposal to the 37. The reports prepared by the efficiencies authority for enhancements to cover policy and performance officer have 40. The Accounts Commission reform and change matters. The prompted members to challenge identified a lack of monitoring by results of the review were to be the force on specific issues and on members of the achievement of reported to the August 2011 meeting occasion request further information. savings and efficiencies within the of the authority. The budget working Examples include: force. This was highlighted as a group does not have terms of significant area for development reference. • requesting further information given the reductions in funding on the compliance rate for fixed across the public sector. Our recent Authority office penalty notices and enforcement audit has found that the authority policies applied closely monitors the force’s use of The role of the authority’s support resources and its position on savings function is still not fully understood • asking for updates on work to and efficiencies at full authority by all authority members. There improve fixed penalty notice meetings and through the budget is limited evidence that the chief compliance working group. executive is being held to account for the performance of the • requesting more detailed 41. Revenue budgetary reports for the authority office or delivery of the information on the force’s recency force are considered at each authority improvement agenda. While there – frequency – gravity analysis. meeting. These identify areas of have been some improvements in underspend and overspend and monitoring the cost of the authority Discussions with members and forecast the likely year end position. office, there has been limited observation of authority meetings Members have demonstrated a work undertaken in determining have also confirmed that members willingness to query certain elements its effectiveness. Business are proactive in challenging the of spend and request further detail arrangements for the authority’s force for more information where from the force’s director of finance. new governance structure need to they do not think sufficient detail has The 2012/13 revenue budget be fine-tuned to avoid duplication been provided. strategy for the force was agreed at across committee agendas. the February 2012 meeting of the 38. The authority has updated its authority. This included consideration Role of the authority office local code of corporate governance. of the proposed efficiencies and 44. The Accounts Commission made The draft code was discussed at the quantified savings and the financial the point, in their findings from the November 2011 meeting of the Audit, implications of the move to a single joint Best Value Audit and Inspection, Governance and Risk Committee police force in April 2013. The force’s that the authority was not getting and the final version was agreed capital programme for 2012/13 was sufficient value from its support at the committee’s February 2012 approved at the April 2012 authority function. To address this, the authority meeting. It has not been considered meeting. There was significant needed to be clearer about what by the full authority. The code sets challenge by members on the professional support it required to out how the authority will address its appropriateness of certain elements allow it to exercise its governance principles of good governance and of spend during discussion of the role more effectively and to support clearly outlines the evidence from the capital programme. scrutiny of the performance of the force and authority that these aims police force. Our recent work found have been achieved. The code also 42. The authority’s budget working that authority members remain details how improvement activity will group meets twice a year to consider unclear on the role of the police be reported across the authority’s the force’s budget. Its membership authority office. various committees. This is consistent includes all 34 authority members. with the terms of reference for each Items considered by the group have 45. In response to the Commission committee. included: findings, the authority agreed to produce and distribute information 39. Reports on force change • annual revenue budget strategy on the role of the authority office. A management were due to be target date of December 2011 was presented to the authority’s budget • medium-term financial strategy set in the authority’s schedule of tasks Progress in Strathclyde Police Authority 15

for completion of this action. This has 50. The staff review and job The service level agreement was not been fully completed. evaluation remain outstanding. The approved by members at the August chief executive reported to the March 2011 authority meeting. The cost for 46. The induction pack distributed 2012 management subcommittee 2011/12 was £400,000. to members in May 2012 contains that these would continue into the information on the purpose of the summer due to lack of capacity of 53. The overall position of the police authority office and authority staff. the force’s HR evaluation team. authority office budget was first This includes job descriptions for the A deadline has not been set for reported at the August 2011 authority 11 staff employed by the authority. completion of these processes meeting and has been presented at This information is, however, under and reporting of the results to the all subsequent meetings. The review due to the ongoing job authority. The staff review and job budget is considered in more detail evaluation of authority office staff. evaluation were first proposed over at meetings of the management The guidance has not yet been shared two years ago and the continuing subcommittee. It is analysed with all the authority’s stakeholders. delay in their completion could line-by-line by the management adversely affect staff morale. The subcommittee, with variances 47. It is apparent, from interviews review of the authority office’s staffing examined and explanations provided. with authority members, that there structure is not reliant on completion is a lack of clarity over the role of the of the job evaluation and could Member training and development authority office. Members are still not have been progressed while the job 54. The Accounts Commission clear about what they expect from evaluation remained ongoing. found that the authority needed to the authority office and its staff. This strengthen member training and is a significant issue as a review of 51. The development of an development. This was to focus on the staffing structure of the authority authority end-of-year report to improving member understanding of office is in progress and members members highlighting progress and their roles and responsibilities to give have a key role in deciding what the improvements has been included in them greater confidence in holding the structure should look like. the schedule of tasks. This was to chief constable to account. Our recent be prepared by the authority office work has found that the authority Cost and effectiveness and presented to the March 2012 has made some progress, including 48. The Accounts Commission’s authority meeting. The end-of-year agreeing a member training framework findings highlighted that the authority report has yet to be completed. A and implementing an induction is responsible for ensuring that revised deadline of the August 2012 programme for new members. the support function is effective authority meeting has been set. It However, providing adequate training and provides value for money. would have been useful if this report to members is a fundamental role of a The authority has improved its had been available to new members joint police board. arrangements for monitoring the when they first joined the authority to cost of the authority office; however, aid their understanding of the work 55. A member training framework it could do more to monitor its carried out by the authority and how it was agreed at the June 2011 effectiveness. supports best value. authority meeting. This sets out the training to be provided to new 49. The chief executive’s review 52. A review of the authority office members within four months of their of the authority, initiated in March budget has been completed by the appointment to the authority. It was 2010, recommended that the staffing chief executive and a service level agreed that more comprehensive structure of the authority office be agreement finalised with Glasgow training would follow the induction reviewed to ensure it is fit for purpose City Council for the services and training period. This would and supports best value. A job facilities the council provides to the encourage continuous development evaluation for all authority office staff, authority. These include: by addressing gaps in knowledge carried out by force HR, to consider identified by members through their roles and responsibilities was • treasury services training needs assessments and to be carried out at the same time. providing the training required to chair It was originally proposed that the • accommodation and utilities committees and lead on working recommendations of the staff review groups or special area interest and job evaluation be reported to the • information and communications portfolios. October 2011 authority meeting. This technology deadline was then extended to March 56. A draft induction training plan 2012 in the schedule of tasks. • facilities management and was agreed by members at the April security. 2012 authority meeting. This mirrors the content of the member training framework. It was also agreed at 16

this meeting that a package of 60. We would expect the convener 63. There have been instances where induction information would be of the authority to conduct regular key reports have been presented as provided to members in advance performance appraisals of the chief appendices rather than stand-alone of the first meeting of the newly executive. The previous convener agenda items. The management constituted authority. confirmed that this had not happened. subcommittee is a particular example Another means by which the of this. Significant papers including 57. The induction handbook was authority can hold the chief executive the police authority office budget distributed to members prior to the to account is through scrutiny of and details of the chief constable’s June 2012 authority meeting. It is progress against the Best Value Audit performance-related pay scheme a comprehensive document and and Inspection improvement agenda. were included as annexes to the includes information on the role The schedule of tasks, to address management subcommittee update of members, committees and the the improvement agenda, was last paper. There is a risk that the inclusion police authority office. This has been considered by the full authority in of these items as appendices means supplemented with training days, October 2011 and the management they are not sufficiently scrutinised by held on 14 and 26 June 2012, subcommittee in December 2011. members. covering a number of topics such Since then, there has been no as the authority governance and opportunity for members to review committee structure, finance progress and hold the chief executive and resources, and planning and to account for improvements not performance. The training days have completed or deadlines missed. not been well attended. Fourteen of the 34 members attended on Business arrangements 14 June and 11 members attended 61. The Accounts Commission’s on 26 June. Alternative methods of findings highlighted the need for the delivering the training, such as short authority to improve its oversight sessions after authority meetings, and scrutiny function. The new should be considered to improve committees for strategic planning and attendances. performance, and community and citizen engagement were identified as 58. Details of the comprehensive being key to developing the expertise training to follow the induction of authority members and allowing period are still to be confirmed. This them to focus on key areas. Business will be driven by the requirements arrangements for the authority’s new of members. In the past, some governance structure still need fine- individuals have received training tuning to avoid duplication across specific to their role. For example, committee agendas. members of the Audit, Governance and Risk Committee received audit 62. The new committees have training from CIPFA. improved the authority’s oversight and scrutiny of strategic policing Appraisal of the chief executive and performance issues; however, 59. The Accounts Commission there is evidence of duplication emphasised, in their findings, that the in agenda items. Instances have authority is responsible for ensuring been noted of the same papers that the support function is effective being considered by a number of and provides value for money. This committees. For example, reports means the authority should monitor on force engagement in SOAs have the support function’s progress and been presented to both the Strategic hold the chief executive to account Planning and Performance, and for its performance and for delivery Community and Citizen Engagement of improvements within agreed Committees. It is acknowledged that timescales. Our recent work has the new governance structure is still found limited evidence that the chief bedding in; however, the terms of executive is being held to account for reference of the new committees the performance of the authority office and how they are working in practice or delivery of the improvement agenda. should be reviewed to avoid any duplication. This would ensure that the best use is made of members’ time. 17 Appendix 1. Progress in implementing improvement actions

Issue Source Reported Target Progress position completion 1. The Police Authority should work jointly Chief Complete February Not implemented. Little evidence with Strathclyde Police to develop a long- executive’s 2011 that the authority has had active term joint vision and delivery strategies review 2010 involvement in the development of focused on 2020 and beyond. a joint vision for policing. 2. Develop a shared vision for policing. Schedule of Ongoing February Not implemented. As above. Using the existing vision as a starting tasks 2011 2012 point, engage with the authority through the Strategic Planning and Performance Committee to review and thereafter restate a vision which reflects the views of the communities. 3. Develop joint delivery strategies with Chief Complete February Not implemented. No evidence the force, with a clear view of supporting executive’s 2011 of joint strategies being developed. resource requirements and likely review 2010 Force rejected proposal to develop outcomes. a joint equality and diversity strategy. 4. Review and revise the Scheme of Schedule of Ongoing January Partially implemented. Review Functions Delegated to Officers and move tasks 2011 2012 of authority’s scheme of delegated forward with the Special Interest Area authority still to be completed. (SIA) scheme. SIA scheme rolled out but member Set out and distribute information involvement in scheme has been on the purpose and function of the limited. police authority office. Develop master document explaining function, role, and Purpose and function of authority responsibilities to clarify matters for the office outlined in induction pack for force and general corporate use. Refine new members but has not been and promote to partners, stakeholders, promoted to all stakeholders. and the community. 5. The Audit and Risk Committee to Chief Complete February Implemented. Terms of reference become more risk focused and led. The executive’s 2011 for Audit, Governance and Risk Corporate Risk Register to be jointly review 2010 Committee adjusted to reflect a owned by the police authority and greater focus on risk. Strathclyde force and be developed both to support Police’s corporate risk register operational delivery and with a view to considered at meetings of the focusing the authority’s scrutiny functions Audit, Governance and Risk and commissioning of specific reviews. Committee. 6. The Police Authority Full Committee Chief Complete February Implemented. The current remains as currently constituted. executive’s 2011 composition of 34 members has review 2010 been retained. 7. The police authority committees, Chief Complete April 2011 Implemented. New terms of subcommittees and working groups/ executive’s reference agreed by authority in task and finish groups be changed and review 2010 February 2011. Composition of new constituted as specified. committees agreed in April 2011. 18

Issue Source Reported Target Progress position completion 8. Review the current systems and Chief Ongoing August Partially implemented. Authority’s processes relating to approval of minutes; executive’s 2011 scheme of delegated authority is in delegations of authority; police authority review 2010 the process of being revised by the budget and management controls; the role deputy chief executive. All other of committee pre-agenda meetings; and actions complete. wider information-sharing arrangements. 9. The authority should review the reports Chief Complete April 2011 Implemented. Evidence that the that it currently receives from the force in executive’s authority’s various committees support of its scrutiny function. It should review 2010 have reviewed reports received also seek to commission specific reviews and sought further information of police capabilities and areas of business where required. delivery where it feels further scrutiny is warranted. 10. The force to provide the authority with Schedule of Ongoing December Partially implemented. Force a report on effective partnership working tasks 2011 2011 report on effective partnership and its community leadership activity. working and community leadership activity not prepared. The force to provide the authority with a report on all community consultation and Local Code of Corporate engagement activities. Governance agreed at February 2012 meeting of Audit, The Local Code of Corporate Governance Governance and Risk Committee. to be agreed. The terms of reference of the Enhance the change management and budget working group have not yet longer-term planning aspect of force been reviewed. reporting through the budget working group and at full authority meetings. Police authority office to review the terms of reference of the budget working group and make a formal proposal to the police authority for enhancements to cover reform and change matters. 11. Chief executive to negotiate and Chief Complete August Implemented. Service level specify service level agreements and executive’s 2011 agreement with Glasgow City service standards with the appropriate review 2010 Council agreed at August 2011 corporate service providers. meeting of authority. 12. The treasury management function Chief Complete August Implemented. Treasury should continue to be procured as it is executive’s 2011 management function forms part currently but the chief executive should review 2010 of service level agreement with set out a clear business requirement and Glasgow City Council agreed by specify service delivery in more detail. members at August 2011 meeting of authority. Appendix 1. Progress in implementing improvement actions 19

Issue Source Reported Target Progress position completion 13. Scrutiny of the force’s community Chief Complete August Partially implemented. Approach to planning activity should be developed with executive’s 2011 force engagement in development SOAs requiring the approval of the board. review 2010 of SOAs reported to June 2011 Performance reports on the development Community and Citizen Engagement of SOAs and progress being made by the Committee. Agreed that reports force toward SOA objectives are to be on SOAs would be considered received by the authority. by the Strategic, Planning and Performance Committee but only and Inverclyde considered to date. 14. Consider and develop in tandem Schedule of Complete August Partially implemented. As above. with the force, agreed improvements in tasks 2011 2011 strategic planning and performance. This will include SOA reporting. 15. Police engagement and reporting to Chief Complete July 2011 Partially implemented. Member members to be more properly formalised executive’s special interest area scheme at the local level and a member special review 2010 and member representatives interest area scheme to be implemented. agreed by authority in February 2011 and April 2011 respectively. Member information seminar held in September 2011. Member involvement in scheme has been limited. 16. Chief executive to further review Chief Complete June 2011 Implemented. Member training Continuous Professional Development (CPD) executive’s framework agreed at June 2011 and training requirements for members review 2010 authority meeting. and staff, in tandem with the force and the Scottish Police Conveners Forum, with a view to generating a suitable training, development and education framework. 17. Develop a bespoke member-training Schedule of Ongoing February Implemented. Induction handbook framework. tasks 2011 2012 distributed to members prior to June 2012 authority meeting. Develop a member-training plan to meet any immediate training requirements and Induction handbook contains member’s CPD needs post-May 12. details of member roles and responsibilities and has been Review documentation specifying distributed to the force via the member roles and responsibilities and chief constable’s executive support ratify, adjust and highlight as appropriate. liaison office. Distribute to members and force.

18. Chief executive to further review Chief Ongoing October Not implemented. Staff review the staff structure of the police authority executive’s 2011 and job evaluation to continue with respect to supporting the further review 2010 into summer. No deadline set for improvements in the effective operation completion. of the authority in fulfilling its statutory commitments. 20

Issue Source Reported Target Progress position completion 19. Authority office staff review and job Schedule of Ongoing March Not implemented. Staff review evaluation. tasks 2011 2012 and job evaluation to continue into summer. No deadline set for completion. 20. Chief executive to review the Chief Complete October Implemented. Review of police police authority budget and associated executive’s 2011 authority budget complete. management systems and processes review 2010 Authority office budget reported to improve financial management and to August 2011 authority meeting probity; an appropriate efficiency and and all subsequent meetings. savings target should be established. Management subcommittee considers budget in more detail. 21. Police authority office budget to Schedule of Ongoing March Partially implemented. Authority be fully baselined and reported on at tasks 2011 2012 office budget baselined and Management Committee meetings. reported at management subcommittee meetings. Develop an authority end-of-year report to the authority members highlighting Authority end-of-year report not yet progress and improvements. This will prepared. allow a determination of value-added, best value and improvements. 22. Police authority to participate in Schedule of Ongoing April 2012 Partially implemented. Authority’s equalities and diversity workstream. tasks 2011 policy and performance officer and diversity, equality and human rights Member SIA scheme portfolio holder to portfolio lead actively engaged be engaged in work. with force in diversity and equality activity. Member equality, diversity and human rights training to be delivered for all Member diversity, equality and members. human rights training still to be delivered. Human Resources Committee to receive an initial report on equality, diversity and HR Committee approved diversity, human rights and biannually thereafter. equality and dignity in employment policy in August 2011. Biannual reporting agreed. 23. Continue to implement the agreed Schedule of Ongoing February Not implemented. Last full improvements under the review of the tasks 2011 2012 update of progress against chief authority. Report at full authority meetings executive’s recommendations was as implementation progresses. at August 2011 authority meeting.

Report completion of implementation of Report on completion recommendations. of implementation of recommendations has not been prepared. Strathclyde Police Authority Best Value Audit and Inspection follow-up report

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