Scottish Government

" HMIC is encouraged by the overall trend in road safety in Scotland, however the target figures have largely been achieved in urban areas and work is still necessary to address the significant problems associated with road accidents in more rural areas"

Appendix A:
HMIC Corporate Plan 2006-2009

Introduction

This document provides information on strategic planning and development within Her Majesty's Inspectorate of Constabulary ( HMIC). The plan takes account of the public need for continuously improving services as well as the demands faced by the police service in Scotland with regard to local, national and international issues. It recognises the key role of the Association of Chief Police Officers in Scotland ( ACPOS), individual forces and common police services, soon to be the Scottish Police Services Authority, in driving forward change in the police service in Scotland.

The document also contains an annual business plan which provides information about the work of the Inspectorate planned for the financial year 2006-07. It sets out the methodology and the organisational framework by which HMIC will encourage continuous improvement and Best Value in the service offered to the public by Scottish police forces and other Scottish police organisations in an ever-changing environment.

The business plan contains a risk register updated on an annual basis which outlines the perceived threats to the organisation and strategies and actions taken to address these.

Period of the Plan

The corporate plan is a three year rolling plan and incorporates the annual business plan and risk register. All three aspects of this plan will be reviewed and updated annually.

Statement of Purpose and Principles

The primary function of HMIC is to promote efficiency and effectiveness within the police service in Scotland

Purpose

HMIC is a statutory body whose primary function is to promote efficiency and effectiveness in the forces and organisations that make up the police service in Scotland. HMIC also has other inspectorial responsibilities shared with HMIC England and Wales and joint inspectorial responsibilities with Audit Scotland. Other functions include the provision of advice to Scottish Ministers and the examination of the manner in which forces deal with complaints against the police. Whilst the latter will change with the introduction of the Scottish Police Complaints Commissioner in April 2007, HMIC will retain an interest in the conduct and management of complaints against the police.

The purpose of HMIC can be summarised as follows:

• to promote efficiency and effectiveness within the Scottish Police Service;
• to provide independent and impartial advice to Scottish Ministers;
• to report annually to Scottish Ministers on the state and efficiency of police forces in Scotland.

Operating Principles

HMIC operates within the following guiding principles:

• independence - to ensure impartial examination of evidence HMIC carries out its Inspection work independently of the police service and Scottish Ministers;
• openness and communication - to ensure all stakeholders have the opportunity to provide input to the inspection process;
• lay involvement - the appointment of Her Majesty's Lay Inspector of Constabulary reinforces the principles of independence and openness;
• continuous improvement/internal inspection - in the process of inspecting policing organisations in Scotland HMIC seeks to identify and spread good practice while promoting improvement. HMIC regularly examines its own business and inspection arrangements to ensure they remain fit for purpose;
• equal opportunities and diversity - to ensure all aspects of policing and the work of HMIC promote equality of opportunity, the elimination of discrimination and good relations with all sections of communities.

Structure

HMIC operates with a small staff led by Her Majesty's Chief Inspector of Constabulary,
Her Majesty's Lay Inspector of Constabulary and an Assistant Inspector. The inspection work is led by these officers and is conducted by a team of staff officers who are assisted by support staff.

Inspection Process

The inspection of police forces and common police services in Scotland is the core business of HMIC. It facilitates continuous improvement and the sharing of good practice. HMIC uses the EFQM Excellence model as a practical tool in the inspection process. Forces and other police organisations are encouraged to use the principles of self evaluation in preparing for inspection. The model is reproduced in Fig 1 and the following paragraphs summarise the current methodology used in HMIC's inspectorial role.

Primary Inspections

HMIC conducts a rolling programme of regular inspection of forces and common police services. Primary inspections are conducted every five years. The full programme is available and is updated regularly and available on the HMIC website www.scotland.gov.uk/hmic . The programme typically includes two but no more than three primary inspections within Scotland each year. Using the EFQM model, forces are asked to provide initial responses to a set of detailed questions devised to assess the force's position in the changing policing environment. The information provided by the force gives its perspective of the policing environment and identifies key drivers, demands and policing needs in that particular force area. This information is used to inform the fieldwork part of the inspection process which allows for more detailed examination of key areas of interest.

HMIC can then:

• examine the efforts of the force to address these drivers, demands and needs;
• assess the outputs and outcomes;
• comment on the policing performance of the force.

Review Inspections

Review inspections are conducted twice at 18 month intervals after the Primary Inspection and focus on the progress made on areas identified for attention or improvement in the primary inspection. The opportunity is also taken to examine new issues selected through an interim assessment of force performance, the findings of thematic inspections and issues of local or national concern about policing.

Thematic Inspections

HMIC also conducts thematic inspections on matters of significant importance to policing in Scotland. The topics represent key current matters of public interest and are identified through consultation with ACPOS, individual chief constables, the Scottish Executive and joint police boards/police authorities.

Copies of all primary, review and thematic inspections are available on the HMIC website at www.scotland.gov.uk/hmic

Project and Knowledge Management

HMIC uses project management techniques to manage the inspection, review inspection and thematic inspection process. It also maintains a knowledge management unit to provide statistical analysis of data and environmental scanning. The knowledge collated by this unit is used to inform the inspection process and the Annual Report prepared by HMCIC.

Annual Report

Each year HMCIC produces an Annual Report on the state and efficiency of police forces in Scotland. That report will provide a commentary on how policing in Scotland was delivered to the people of Scotland, setting out the policing environment and police performance across the country. This document is available on the HMIC website at www.scotland.gov.uk/hmic

Advice to Ministers

The Inspectorate also has a responsibility to provide advice to Scottish ministers. This is achieved through regular contact with officials in the Justice Department and also through direct discussions between HMIC and Ministers.

Complaints Against the Police

A current responsibility of HMIC is to receive complaints from members of the public who are dissatisfied with the way in which complaints they have made to police forces have been managed. HMIC conducts an examination of the manner in which the complaint has been handled by the force concerned, but does not re-investigate the issues. HMIC may in appropriate circumstances direct the force to reinvestigate.

HMIC's examination is undertaken with the involvement of Her Majesty's Lay Inspector of Constabulary who, as a non police member of the organisation, is able to provide an independent assessment of the evidence. In April 2007, this role will migrate to the Scottish Police Complaints Commissioner, however HMIC will continue, as part its inspectorial function, to maintain an interest in the management and resolution of complaints against the police in Scotland.

Services for Children Unit at HMIe

Another key area of work is HMIC's involvement with the Services for Children Unit at HMIe. The unit has been established to develop and implement a framework for the inspection of children's services, beginning with child protection inspection. HMIC has continued to support the development of this important piece of work by supplying two officers on secondment to the Services for Children Unit.

Whilst the lead role is taken by Her Majesty's Inspectorate of Education ( HMIe), HMCIC sits on a joint steering group along with heads of the Scottish Commission for the Regulation of Care (Care Commission) the Social Work Inspection Agency ( SWIA), NHS Quality Improvement Scotland ( NHSQIS) and Her Majesty's Inspectorate of Education ( HMIe).

Business Planning and Risk Management

The strategic leadership provided by HMCIC, assisted by the Assistant Inspector of Constabulary, develops and facilitates the mission and vision of HMIC. In this structure HMCIC devises the organisational values and systems required for sustainable success and provides the leadership to ensure that HMIC remains 'fit for purpose'.

The HMIC programme of inspections is reproduced regularly and updated to take account of emerging issues. This is the core and significant majority of HMIC's business. However, HMIC is aware of the need to adopt the same continuous improvement philosophy as that being applied to the police service in Scotland and during 2006 an EFQM assessment of HMIC's business will be conducted. The outcome of that assessment will be used to amend the annual business plans for subsequent years. During 2005 a risk register was developed and this is now updated and linked to the corporate and business plans to ensure co-ordination of all routine and developmental activity within the Inspectorate.

The risk register lists details of the key corporate and operational risks facing HMIC. An assessment has been made of their likelihood and the potential impact on HMIC of their occurrence. It also identifies existing control factors which already mitigate against the risk occurring and any additional actions and/or milestones that may be relevant in managing individual risks.

Fundamental to accurate risk assessment is the use of environmental scanning to identify political, economic, social, technical, legislative and environmental issues facing the service.

Key enablers in this process are ACPOS Business Areas, the Scottish Executive and other partners along with the staff officers and support staff of HMIC.

Business Plan 2006-07

Emerging Issues

In addition to the work detailed in the Inspection Programme 2006 -10, the following new and developing issues are included in HMIC's business plan for 2006-07.

The Police, Public Order and Criminal Justice Bill proposes the creation of the Scottish Police Services Authority, the Scottish Crime and Drug Enforcement Agency and a new Scottish Police Complaints Commissioner for Scotland. As the management and leadership arrangement for these new structures becomes more clearly defined HMIC will consider any implications for the process of inspecting these bodies and will make any necessary adjustments to the inspection programme and methodology.

HMIC will have inspectorial responsibilities in respect of the Authority and the Agency. However its existing role in respect of the examination of the manner in which forces deal with complaints against the police will migrate to the new Scottish Police Complaints Commissioner. It will be vital to ensure that a high level of service is maintained for members of the public who wish to pursue complaints against the police. HMIC will work closely with the Scottish Executive with regard to transition arrangements. However HMIC will also continue to have a legitimate interest in how forces manage complaints against the police and how they manage conduct issues in respect of officers belonging to a force, authority or agency.

Following publication in 2006 of a thematic inspection report 'Managing Improvement' on performance management in the police service in Scotland, both ACPOS and the Scottish Executive have responded to the recommendations which the report contained. As one of the key stakeholders in policing performance, HMIC will continue to exert influence and monitor progress in this area over 2006-07, both at the highest level in the multi-agency Scottish Strategic Steering Group and in the partnership groups chaired by ACPOS which aim to introduce a common policing environment and police performance framework and reporting system across Scotland.

Resources

HMIC anticipates that the programme of inspection, review inspection and thematic inspection can be achieved within existing staffing arrangements, including career development secondments within the current budget range.

Conclusion

HMIC seeks to continue its contribution to the development of the police service in Scotland. Through the measures and processes detailed in this plan it will continue to assist in clarifying the policing environment and quantifying police performance for the benefit of the public, partners in the criminal justice and local authority environments and the Scottish Executive.

HMIC Organisational Chart

Inspection Programme 2005-2010

PNC Inspection Timetable 2003/2009

1 Should there be the need to adapt the cycle to respond to events, management change or performance, the programme may be altered.
2 HMIC's involvement in the scrutiny of British Transport Police, Ministry of Defence Police and UKAEA Police are not shown in the programme at this time.
3 The In-Force Inspection/Review Period is provided as a guide as to likely HMIC presence within force/organisation as appropriate to the type of inspection.
4 The subject of thematic inspections in later years will be identified from issues arising from inspections and events and will be consistent with the concept of a progressive service development approach.
5 The PNC Inspections are undertaken by the Police National Computer ( PNC) Compliance Audit Section of HMIC for England and Wales. The above timetable has been designed to allow all eight Scottish Police forces be audited under the new PNC Inspection Regime every three years and as close to an HMIC Scotland Inspection as possible.

HMIC Business Plan 2006-2007

HMIC Risk Management Policy and Risk Register 2006-07
Amended May 2006