Annex C - Committee Terms of Reference

Audit, Risk and Assurance Committee

Purpose and Scope

The overall purpose of the Audit, Risk and Assurance Committee (the ARAC) is to provide oversight and scrutiny of all significant audit and risk matters concerning the Authority and Police Scotland. The ARAC will seek evidence and provide advice and assurance to the Board that the appropriate levels of internal controls are in place across both Police Scotland and the Authority. In addition, the ARAC will provide advice and assurance to the Accountable Officer and Board on these matters and any other specific items which the Board requests of it in relation to audit, risk management and assurance and the integrity of annual reports and financial statements. The ARAC will also consider and approve the Authority’s Internal Audit Plan on behalf of the Board.

Meetings will be used to consider:

the strategic processes for risk, control and governance

the accounting policies, the accounts and the annual report of the
organisation, including the process for review of the accounts prior to
submission for audit, levels of error identified, and management's letter of
representation to the external auditors

the planned activity and results of both internal and external audit
approval of the Authority’s Internal Audit Plan

the adequacy of management response to issues identified by audit
activity, including external audit's management letter/report, and to issues
identified by other external bodies such as HMICS and ICO

the effectiveness of the internal control environment

assurances relating to the effectiveness of the corporate governance
arrangements for the organisation

proposals for tendering for internal audit services or for purchase of non audit services from contractors who provide audit services

anti-fraud policies, whistle-blowing processes, and arrangements for
special investigations

such other matters as required by the Board

and to advise the Board and the Accountable Officer on these matters.

In addition, the ARAC will provide the Board and Accountable Officer with an
Annual Report, timed to support finalisation of the accounts and the governance
statement, summarising its conclusions from the work it has done during the
year.

The ARAC will also periodically review its own effectiveness and report the results of that review to the Board and Accountable Officer.

Specialist Advice

The ARAC may procure specialist ad-hoc advice at the expense of the
organisation, subject to budgets agreed by the Board or Accountable Officer.

Membership and Attendees

The Committee will consist of a minimum of three Authority members including
the chair (“the Committee Chair”).

the quorum of the Committee will be two Members including the Committee
Chair.

Attendees

Committee meetings will normally be attended by the Accountable Officer, the
Finance Director, the Head of Internal Audit, a representative of External Audit
and at least one senior representative of Police Scotland. A senior
representative from Forensic Services will attend as required.

Access

The Head or representative of Internal Audit and the representative of External
Audit will have free and confidential access to the chair of the ARAC.

Meetings

The procedures for meetings are:
the ARAC will meet at least four times a year. The chair of the ARAC may
convene additional meetings, as they deem necessary.

the Board or Accountable Officer may ask the ARAC to convene further
meetings to discuss particular issues on which they want the committee's
advice.

Complaints and Conduct Committee

Purpose and Scope

The purpose of the Complaints and Conduct Committee is to monitor, oversee and scrutinise: the handling by the Authority and Police Scotland of “relevant” complaints as defined in legislation; and Police Scotland’s arrangements for handling misconduct allegations against constables; and to perform certain functions and make decisions on behalf of the Authority under the Police Service of Scotland (Senior Officers) (Conduct) Regulations 2013 (“the 2013 Regulations”) and other applicable regulations.

Meetings will be used to:

Consider and approve arrangements, including policies and procedures
and guidance, relating to the handling of relevant complaints by the
Authority, seeking the views of other stakeholders as necessary.

Consider and determine relevant complaints against the Authority, its
staff and senior officers of Police Scotland in accordance with the the
SPA Complaints Handling Procedures, provisions of the Police Public Order
and Criminal Justice (Scotland) Act 2006 and the statutory guidance
produced by the Police Investigations and Review Commissioner (PIRC).

Monitor the handling of relevant complaints by the Authority and Police
Scotland, seeking information on themes or trends as appropriate, with a
view to the Committee satisfying itself that the arrangements maintained
by the Authority and Police Scotland for the handling of relevant
complaints are suitable.

Consider reports from Police Scotland on its handling of misconduct
allegations under the Police Service of Scotland (Conduct) Regulations
2014, with a view to ensuring that arrangements for handling these
allegations are efficient and effective.

Conduct preliminary assessments of misconduct allegations against senior
officers of Police Scotland under regulation 8 of the 2013 Regulations and,
where appropriate, refer these to the PIRC for further assessment and
potential investigation.

Where the Police (Conduct) (Senior Officers) (Scotland) Regulations
1999 apply to the conduct of a senior officer, implement the
preliminary investigation procedure set out in these Regulations.

Refer allegations to the appropriate prosecutor where it can reasonably be
inferred that a senior officer of Police Scotland may have committed a
criminal offence (under regulation 7 of the 2013 Regulations or the
equivalent provisions in regulation 9 of the 1999 Regulations).

Determine, following receipt of an investigator’s report, whether
misconduct allegations against a senior officer of Police Scotland are to be
referred to a misconduct hearing.

Determine whether senior officers who are the subject of misconduct or
criminal allegations are to be suspended from the office of constable (or
subject to such other measures as considered appropriate) and to review suspension decisions within the period specified in the relevant
Regulations.

Critically examine reports from HMICS, PIRC, and any other information
provided by Police Scotland in relation to complaints about the police and
ensure that appropriate improvement plans are implemented or remedial
action is taken within agreed timescales.

Contribute to and consider the findings of official reviews of complaints
and conduct matters and ensure that recommendations from such
reviews are implemented as appropriate.

Consider such other matters as required by the Board.

Membership

The Committee will comprise no fewer than three Authority members
including a chair (“the Committee Chair”).

The quorum of the Committee will be two Authority Members including the
Committee Chair.

Meetings

The Committee will hold at least four scheduled meetings per year, although the
precise number of meetings will be dependent upon the nature and extent of the Committee’s business. Additional meetings will be held where necessary to
ensure efficient and effective complaints handling and to comply with timescales
stipulated in legislation.

Exceptional Circumstances Committee

Purpose and Scope

The purpose of this committee is to deal with urgent business of the Board,
Committees and Sub-Committees when, in exceptional circumstances, it is not
practicable for an ordinary meeting or special meeting of the Board, Committee
or Sub-Committee to be convened.

Meetings will be used to consider and deal with the urgent business when it is
necessary for the fulfilment of the Authority’s functions. The Committee is
authorised to perform all of the Authority’s functions when in exceptional
circumstances it is not practical for an ordinary meeting or special meeting to be
convened.

Membership

The Committee will comprise the Chair of the Authority who will be the
Committee Chair and a minimum of two other members of the Board.

The quorum of the Committee will be three Members including the Committee
Chair.

In the event that members (including the Chair) appointed to the Committee are unable to participate in a Committee meeting and the Committee is no longer quorate, other members of the Board shall be appointed to the Committee to make the Committee quorate.

Meetings

The procedures for the Committee meeting are as follows:

The number of meetings will be dependent upon the nature and extent of
the Committee’s business. Meetings will be held where necessary in
matters of urgency at short notice.

Items of business must be submitted with a clear rationale explaining the
exceptional circumstances and the urgency that make it necessary for the
Committee to deal with the business. The Committee Chair shall
determine whether exceptional circumstances requiring urgent business to
be dealt with by the Committee exist.

Meetings of the Committee will be held to deal with matters of urgency
and the Committee Chair will, on a case by case basis, provide details of
the procedures to be followed in relation to notice of the meeting, agenda,
and circulation of papers.

Forensic Services Committee

Purpose and Scope

The purpose of the Forensic Services Committee is to provide oversight, scrutiny
and assurance to the Board on the performance and delivery of forensic services
to the Police Service, Police Investigations and Review Commissioner and the
Lord Advocate and procurators fiscal as set out in section 31 of the Police and
Fire Reform (Scotland) Act 2012. The committee will provide advice and seek
assurance on the delivery of forensic services by reviewing progress, providing
constructive challenge and contributing to strategy, planning and future
development of Forensic Services. The committee will make recommendations
to and advise the Board on Forensic Services related matters.

Meetings will be used to:

Oversee the development and delivery of the Forensic Services Strategy
ensuring alignment to the Strategic Police Priorities, the Strategic Police
Plan and the Scottish Government’s Strategy for Justice.

Review the performance of Forensic Services, using the performance
framework. In particular, review quarterly and annual performance
reports and progress in the achievement of objectives and outcomes,
ahead of consideration by the Authority. This should include findings from
the United Kingdom Accreditation Service (UKAS) to provide continued
reassurance about the quality of Forensic Services’ output.

Review other relevant quarterly and annual reports produced by Forensic
Services on the development and delivery of its functions.

Seek assurance that effective operational and strategic partnership
arrangements are in place. Keep Develop and keep under review
arrangements set out in the Memorandum of Understanding between
Forensic Services, the Crown Office and Police Scotland and ensure an
evolving and developing tripartite partnership continues.

Support the development of, and approve, the Forensic Services
performance framework, ensuring that it is aligned with strategic
objectives, statutory requirements and ethical standards; that is develops
best practice in measuring and reporting the achievement of outcomes;
that it is based on robust and meaningful data; and that it takes account
of statutory obligations and the commitments set out in the Memorandum
of Understanding.

Oversee the implementation of performance improvement
recommendations made in relation to Forensic Services by
scrutiny/inspections bodies, audit reports, or the Authority.

Consider such other matters as required by the Board.

Membership

The Committee will consist of a minimum of three Authority members including
the chair (“the Committee Chair”).

The quorum of the Committee will be two Authority Members including the
Committee Chair.

Attendees

In addition to the Chair and the Chief Executive, Police Scotland, the Crown
Office and Procurator Fiscal Service and the Police Investigations and Review
Commissioner have a standing invitation to attend meetings and actively
participate in the Committee’s discussions.

Meetings

The Committee will hold at least four scheduled meetings per year, although the
precise number of meetings will be dependent upon the nature and extent of the Committee’s business.

Legal Committee

Purpose and Scope

The Committee shall provide oversight and scrutiny of the arrangements
the Authority and Police Scotland have in place for the handling of legal
actions, claims and appeals, and the provision of legal assistance and legal
expenses insurance.

The Committee shall authorise, where necessary, settlement of legal
actions and claims against the Chief Constable and the Authority.

The Committee shall determine appeals from police officers and former
police officers whose applications for assistance with the payment of
legal expenses in relation to civil and criminal proceedings , or in
connection with Fatal Accident or Public Inquiries, have been rejected ,
and to consider and approve the arrangements for granting such
assistance.

The Committee shall provide instructions to Authority solicitors where
required.

Meetings will be used to:

Consider and approve settlement of civil legal actions and claims
(including claims raised in the Employment Tribunal) against the Authority
and/or the Chief Constable within the financial authorisations contained
within the Authority’s Governance Framework.

Consider and provide instructions on legal matters, including agreements
and memoranda of understanding, and civil legal actions and claims,
including matters which may be considered novel or contentious, include
ethical or substantial reputational issues, or are of significant public
interest.

Consider and approve, as appropriate, the arrangements for dealing with
applications by police officers and former police officers for legal
assistance in respect of unlawful acts committed in the execution of their
duties, including any changes to the SHHD Circular18/1978.

Consider, approve and provide instruction on, as appropriate, the
arrangements for, and any issues arising from, the provision of legal
expenses insurance.

Consider, approve and provide instruction on, as appropriate, the
arrangements for, and any issues arising from, the provision of legal
expenses insurance.

Determine appeals from police officers and former police officers for legal
assistance in relation to:

criminal and civil proceedings raised against the officer in respect of
alleged unlawful acts committed in the execution of their duties

for Fatal Accident and Public Inquiries in which possible allegations of
irregularities in police procedure or conduct may result, where
applications for legal assistance have been rejected by the Chief
Constable.

Monitor the handling of legal actions, claims and appeals within the remit
of this Committee; seek information on themes, trends, and lessons
learned as appropriate; and

Consider such other matters as required by the Board.

Membership

The Committee will comprise a minimum of three Authority Members including
the chair (“the Committee Chair”).

The quorum of the Committee will be three Authority Members including the
Committee Chair.

Meetings

The Committee will hold at least four scheduled meetings per year, although the
precise number of meetings will be dependent upon the nature and extent of the Committee’s business. Additional meetings will be held where necessary, and in matters of urgency at short notice in order to ensure efficient and effective delivery of instructions to Authority solicitors and consideration of proposed legal settlements.

People Committee

Purpose and Scope

The purpose of this Committee is to provide oversight, scrutiny and assurance to the Board on all significant workforce matters relating to the Authority/Police
Scotland, including providing advice, guidance and support on the development
and implementation of workforce strategy and policy. The Committee will
provide advice and assurance to the Board on these matters and any other
specific items which the SPA Board requests of it.

The Committee will seek assurance of continuous improvement in the efficient
and effective use of workforce resources in accordance with the principles of
Best Value; and that ethical and legal obligations to the workforce, including
those related to health & safety and equality, are being met, serving to ensure
the highest possible standard of people management. This will include seeking
evidence of an organisational culture which values diversity, ensuring that
equality considerations are mainstreamed into workforce strategies, policies and
plans, serving to attract, develop and retain a workforce which is representative
of the communities which the Authority/Police Scotland serves.

The Committee will make decisions in relation to applications for ill health
retirement, and injury on duty awards; and pension forfeiture. The Committee
will also decide the process for appointment to the ranks of Chief Constable,
Deputy Chief Constable and Assistant Chief Constable and to Director level roles
within the Authority/Police Scotland (including temporary appointments).

Meetings will be used to:

Contribute to, review and endorse workforce strategies, policies and plans;
approve workforce policies on behalf of the Board; and make
recommendations to the Board on the approval of workforce strategies
ensuring a comprehensive, strategic approach to people management,
aligned with wider organisational strategy, and seek evidence of resulting
delivery against identified outcomes which serve to optimise performance
in an ethical and sustainable way.

Consider, in conjunction with the Resources Committee where appropriate,
and recommend to the Board for approval, proposed changes to staff
terms and conditions; discuss, as appropriate, working practices/ people
management issues highlighted to the Committee by the Authority/Police
Scotland representatives on the Official Side of the Police Negotiating
Board; and recommend an Authority position to the Board in relation to
changes to police officer Regulations and Determinations which are being
consulted on via the Scottish Police Consultative Forum.

Seek assurance, in conjunction with the Resources Committee, that
workforce planning is effectively integrated with strategic and financial
planning processes, providing a cohesive approach to planning
organisational capacity and skills in support of corporate objectives and
serving to develop a diverse and sustainable Authority/Police Scotland
workforce.

Seek assurance as to the effective attraction, retention and management of talent; that leadership development needs are kept under review; and
consider and monitor the implementation of effective succession planning
arrangements, with a view to ensuring the continued ability of the
Authority/Police Scotland to respond to the challenges and opportunities
facing them.

Determine and approve the optimum process and implement
arrangements for appointment to the ranks of Chief Constable, Deputy
Chief Constable and Assistant Chief Constable and to Director level roles
within the Authority/Police Scotland (including temporary appointments),
providing assurance to the Board in relation to those arrangements. The
final decision on appointment will rest with the Board.

Seek assurance that workforce performance is effectively managed and
developed to achieve organisational goals. In collaboration with the Chair
of the Board, exercise oversight of the objectives set for the Chief
Constable, the Authority Chief Executive, and Director of Forensic
Services, and review the arrangements for their performance appraisal;
and exercise oversight of performance appraisals completed in respect of
other members of the SPA/Police Scotland executive.

Seek assurance that effective, regular and consistent approaches to
workforce engagement and involvement are in place (including structures,
systems and processes for consultation and negotiation with statutory
staff associations and trade unions); and seek evidence which
demonstrates that the contribution and wellbeing of the workforce is
valued and recognised.

Seek assurance on the capacity and capability of the People &
Development function, including staff, systems and processes.

Seek to ensure effective delivery against identified outcomes through
determination of standards in relation to the fair and effective
management of the workforce; and overseeing implementation of robust
monitoring arrangements.

Review the adequacy of controls in place to mitigate risks identified
through the strategic risk register pertinent to the business of the
Committee.

Provide workforce governance information for the statement of internal
control.

Determine applications from police officers for ill health retirement and
injury on duty awards, and seek assurance that effective processes are
in place for the administration of applications for ill health retirement
and injury on duty awards.
Make decisions in relation to:

pension forfeiture in accordance with the relevant regulations;

the application of underpayments to injury on duty awards to
recover sums overpaid to former police officers in receipt of
injury on duty awards;

granting retrospective injury on duty awards to former police
officers; and 
to seek the agreement of the Scottish Public Pensions Agency to
those decisions

Consider such other matters as required by the Board.

Membership

The Committee will comprise a minimum of three Authority Members including
the chair (“the Committee Chair”).

The quorum for the Committee will be three Authority Members including the
Committee Chair.

Attendees

The Chief Constable shall have a standing invitation to any meeting considering
the appointment of a Deputy Chief Constable or an Assistant Chief Constable or
any Director level police staff.

A single representative will be invited from each of the following bodies:
Associations of Scottish Police Superintendents, Scottish Police Federation,
Unison and Unite (acting in an ex officio capacity), to attend Committee
meetings.

Meetings

The Committee will hold at least four scheduled meetings per year, although the
precise number of meetings will be dependent upon the nature and extent of the Committee’s business. The Committee will also convene on an ad hoc basis to deal efficiently and effectively with any appointments processes it may be
undertaking.

Policing Performance Committee

Purpose and Scope

The purpose of this Committee is to provide oversight and scrutiny of continuous improvement in policing. It will do this through scrutinising policing performance against agreed strategies, plans and statutory requirements. The Committee will seek to continuously improve the way in which policing performance is measured and reported. The Committee will also consider any proposed changes to operational policing deployments which may have particular public interest, ethical or human rights implications. The Committee will provide advice and assurance to the Board on these matters and any other specific items which the Chair, Board or Chief Executive requests of it, including in relation to public facing service delivery aspects of policing.

Meetings will be used to:

Approve the Policing Performance Framework and related enhancements,
and oversee the development and improvement of the policing
performance framework, ensuring that it is aligned with the policing
strategy, annual police plans and statutory requirements including the
policing principles and ethical standards; that it applies best practice in
measuring and reporting the achievement of outcomes; that it is based on
robust and meaningful data; and that it considers the views of
stakeholders.

Review the performance of policing using the performance framework, and
in particular review quarterly performance reports in advance of their
consideration at the Board.

Review progress in relation to the implementation of performance
improvement activities where these arise from recommendations
contained in inspection and/or audit reports.

Examine the performance analysis and overview section of the Authority’s
Annual Report and Accounts, in order to provide assurance to the Board
that it contains an appraisal of performance of the Authority and Police
Scotland in working towards the objectives within the Strategic Police
Plan, the arrangements in the Annual Police Plan, statutory requirements
including the policing principles, and ethical standards.

Consider significant proposed changes, in consultation with the Chair or at
the request of the Board, to operational policing which may have particular
public interest, ethical or human rights implications; ensure that the
associated risks and opportunities have been fully assessed, that the views
of relevant stakeholders have been considered, and that the impact on
communities and protected characteristic groups as defined in the Equality
Act 2010 have been properly taken into account.

In carrying out its functions, consider relevant data and research available
in relation to policing which would assist in benchmarking Police Scotland’s
performance against appropriate comparators across the UK and
internationally.

Ensure reporting on the arrangements for, and feedback on custody from,
the volunteers within the Independent Custody Visiting in Scotland (ICVS)
scheme is carried out publicly at least twice per year, including publication
of the Authority's annual review of ICVS.

Consider such other matters as required by the Board.

Membership and Attendees

The Committee will comprise a minimum of three Authority Members including
the chair (“Committee Chair”).

The quorum for the Committee will be two Authority Members including the
Committee Chair.

A representative from COSLA has a standing invitation to attend and
contribute to Committee Meetings.

Meetings

The Committee will hold at least four scheduled meetings per year, although the
precise number of meetings will be dependent upon the nature and extent of the Committee’s business

Resources Committee

Purpose and Scope

The purpose of this Committee is to provide oversight, scrutiny and assurance to the Board on all significant financial and budgetary resourcing matters, including strategic financial planning and budget setting in the short, medium and long term, investment decisions based on review of business cases, performance against the agreed budget, delivery of the expected investment benefits and assurance on financial regulatory compliance and stewardship.

The Committee will provide advice and assurance to the Board on these matters
and any other specific items which the SPA Board requests of it in relation to
financial sustainability and other resourcing aspects of Police Scotland and the
SPA.

The Committee will seek to ensure that continuous improvement is embedded
within financial planning and the management and delivery of benefits through
investment made in the change portfolio. The Committee will oversee the
management and development of processes and procedures in line with Best
Value principles.

The Committee will consider and approve matters delegated to it by the Board
and set out in the Authority’s Financial Regulations and the Financial
Delegation and Pre-approval Matrix is appended to the Financial Regulations.

Meetings will be used to:

Review reports in relation to matters falling within the scope of this
Committee and, in accordance with the Authority’s Financial Regulations
and Financial Delegation and Pre-Approval Matrix, consider and approve
such matters within the limits set out in the Scheme of Financial
Delegation and Pre-Approval Matrix; and make recommendations for
approval to the Board as appropriate. Matters falling within the scope of
this Committee include but are not limited to:
a) SPA/Police Scotland input to Government Spending Reviews.
b) Annual budget proposals for revenue, capital and reform.
c) Routine in-year financial monitoring, forecasting, cash flow
management and year end outturn of financial performance against
all approved budgets including any savings or efficiency plans.
c) Budget changes resulting from factors out with the budget planning
process during the financial year.
d) Business cases, contracts, lease agreements, operational plans,
borrowing, sponsorship, special payments, income charge rates,
grant funded awards, write-off losses and bad debts, and the
acquisition and disposal of land and property.

Assess strategies which have resource implications with a view to making
recommendations to the Board.

Scrutinise the rolling capital investment plan ensuring prioritisation of spend is aligned to the outcomes set out on the Strategic Police Plan and
equivalent SPA Corporate and Forensic Services Strategies and monitor
progress of the agreed programme of property disposals and acquisitions.

Seek assurance that Police Scotland and SPA are developing financially
sustainable organisational plans with appropriate financial strategies and
plans to deliver the outcomes set out in the Strategic Police Plan.

Seek assurance on the capacity and capability of the finance,
procurement, estates, fleet, DDICT and change functions, including staff,
systems and processes including an annual review of the SPA/Police
Scotland Financial Regulations.

Seek assurance on compliance with the Scottish Public Finance Manual
and other financial and procurement policies and regulations.

Consider, in conjunction with the People Committee, for recommendation
to the Board and onward submission to Scottish Government as
appropriate, a proposed funding remit for pay negotiations; proposed
changes to staff terms and conditions; and proposed schemes to pay
voluntary redundancy or compensation for loss of office.

Seek assurance that pension schemes for officers and staff are effectively
funded and financially managed, in conjunction with the People
Committee.

Seek assurance, in conjunction with the People Committee, that workforce
planning is effectively integrated with strategic and financial planning
processes.

Consider such other matters as required by the Board.

Membership

The Committee will comprise a minimum of 3 Authority Members including the
chair (“the Committee Chair”).

The quorum for the Committee will be two Authority Members including the Chair.

Meetings

The Committee will hold at least 4 scheduled meetings per year, although the
precise number of meetings will be dependent upon the nature and extent of the Committee’s business.