Annex F - SPA Scheme of Delegation

The Authority must ensure it carries out its statutory functions and delivers its priorities as agreed with the Scottish Ministers and as set out in the Police and Fire Reform (Scotland) Act 2012 (‘the Act’).

In terms of paragraph 12 of schedule 1 to the Act, the Authority may authorise any of its committees or any member of the Authority’s staff to perform on behalf of the Authority such of its functions as it may determine, to the extent so authorised.

The Scottish Public Finance Manual, specifically the Memorandum to Accountable Officers for Other Public Bodies, sets out the responsibilities of the Accountable Officer. The Accountable Officer has personal responsibility for the propriety and regularity of the public finances for the body for which they are answerable and must ensure that the resources of the body are used economically, efficiently and effectively. This role is undertaken by the Chief Executive of the Authority.

This Scheme of Delegation (‘this Scheme’) details the functions which the Authority has delegated to its Chief Executive and Director of Forensic Services to perform, and the extent of that delegation.

The Authority will regularly review this Scheme.

A glossary of terms is included at the end of this section.

All delegated decision-making (including decisions made under sub-delegation provisions) must take into account any relevant guidance issued by the Scottish Government and all governance guidelines approved by the Authority. In particular, decision-making must take full account of the following:

Internal sources:

• the Governance and Accountability Framework Document of the Scottish Police Authority, drawn up by Scottish Government in consultation with the Authority (“the Governance and Accountability Framework”);
• all relevant legal provisions and the Authority’s policies and procedures;
• the Authority’s Financial Regulations (and the financial delegations appended to it);
• the Authority’s procedures and Standing Orders relating to procurement and contracts (Police Scotland document);
• the Authority’s code of conduct for staff;
• Terms of Reference for the Authority’s

External sources

• the Scottish Public Finance Manual (“SPFM”);
• the Scottish Government’s Memorandum to Accountable Officers of Public Bodies (“the Memorandum”);
• the annual Budget Allocation and Monitoring Letter issued to the Authority by the Scottish Government
  Delegation by the Authority to the Chief Executive General principles

In the event of any question or dispute as to whether a decision taken, or proposed to be taken, is consistent with this Scheme, the matter will be determined by the Board of the Authority in consultation with the Chief Executive.

Before exercising delegated powers under this Scheme, the Chief Executive must, wherever practicable, consult with the Chair where the exercise of the powers would, or would be likely to :

• have a significant or adverse effect on financial, reputational or operational risk;
• have an impact on service delivery and/or the performance of the Authority or Police Scotland’s functions;
• have an impact on the strategic police plan; or
• be outside the scope of the grant in aid budget relating to police

The Chief Executive must as soon as practicable (and no later than the next scheduled meeting of the Board) report to Members any action taken following consultation with the Chair in connection with paragraph 2.2.

In the event that the Chief Executive is unable for any reason to exercise powers specifically delegated to them under this Scheme, the Chief Executive’s nominated Deputy Chief Executive will have authority to make decisions on their behalf.

The Board may require the Chief Executive to submit reports on decisions taken and actions authorised by them under this Scheme, including decisions made by members of staff under sub-delegation provisions.

All sums stated in this Scheme are exclusive of VAT.

Corporate Management

The Chief Executive has overall responsibility for the corporate management of the Authority and for the day to day exercise of its functions, including business continuity for which the Chief Executive is accountable to the Board.

Arrangements with the Chief Constable

The Chief Executive is authorised to approve arrangements, in accordance with section 83 of the Act, between the Authority and the Chief Constable (or other authorised Police Scotland personnel) for the provision of assistance and/or staff to and from Police Scotland.

Authorised signatory

The Chief Executive has authority to sign:

• Documents on behalf of the Authority in terms of the Requirements of Writing (Scotland) Act 1995;
• Contracts for goods services and works; and
• All deeds and other documents which are intended to be legally binding on the Authority.
  
  Income

The Chief Executive is authorised to seek to optimise income for the Authority in accordance with section 87 of the Act and the Scottish Police Authority (Provision of Goods and Services) Order 2013. Novel or contentious proposals for income generation or proposals to recover costs below full cost recovery, must be considered by the Board before approval is sought from the Scottish Government. In accordance with the SPFM, the standard approach to setting charges for public services is full cost recovery.

Expenditure – general provisions

The Chief Executive, in respect of SPA Corporate is authorised to transfer funds between revenue expenditure headings and between capital projects (virements), Authority staff or other costs, in line with the delegation set out in the Financial Regulations and financial delegations matrix.

The Chief Executive may instruct expenditure for which provision has been made within the appropriate budget (the limits of which are set out in financial delegations matrix).

Staffing

The Chief Executive has responsibility for the appointment of staff (subject to agreed staffing limits) and maintaining the Authority’s organisational structure. Any transformational changes to the structure must be approved by the Board. Staffing limits may be supplemented, where required, by the addition of short- term secondments and contractors to meet identified business needs, within budget limitations and subject to any applicable procurement rules.

In particular, the Chief Executive is authorised to:

• appoint staff to support the carrying out of police functions (‘police staff’ notwithstanding the Chief Constable’s power under section 26(3) of the Act to appoint such staff on the Authority’s behalf);
• appoint staff to the Authority to support the Authority in the carrying out of its corporate functions (‘Authority staff’), in line with HR policy and within agreed staff budget levels;
• appoint staff to the Authority to support the Authority in the carrying out of its functions in relation to the provision of forensic services, notwithstanding the Director of Forensic Service’s authority to do so as set out in paragraph 3.
• conduct disciplinary and grievance proceedings in respect of Authority staff who are employed within the corporate functions of the Authority;
• remedy inconsistencies in pay or conditions of service, of all staff employed by the Authority, including those staff under the day-to-day direction and control of the Chief Constable of Police Scotland, in line with policy and as directed by the Board.
  
  Major Investment Projects

The Chief Executive is responsible for overseeing all Major Investment Projects, (as defined by the SPFM, see financial delegations matrix), including the establishment of appropriate processes and reviews. The Chief Executive must report progress on such matters to the Resources Committee for approval by Board.

Property

General

The Chief Executive may approve routine property transactions within the financial delegations appended to the Financial Regulations. The provisions of the “Property: Acquisition, Disposal and Management” section of the SPFM must be adhered to in relation to all property transactions.

Where the Authority has a requirement for accommodation to provide regional or national coverage, Ministerial consent will be required as set out in SG's Asset Management Policy. In addition, any novel or contentious proposals should be referred to the Scottish Government Property Division for advice, as Ministerial consent may be required.

Disposal of heritable property

The SPFM makes it clear that in most circumstances public bodies should obtain the best possible price on the open market when disposing of assets. The financial delegations matrix sets out the authorisation of offers to purchase heritable property owned by the Authority which it has declared as surplus to operational requirements, and which has, where appropriate, been placed on the open market, provided:

• the Chief Executive, having regard to all the circumstances, including the terms and conditions of the offer(s) received, considers an offer to be the best (though not necessarily the highest) offer received; and
• where the Chief Executive proposes to accept an offer contrary to professional advice, or where the Chief Executive proposes to accept an offer which contains unusual conditions, the Authority must obtain any additional approval required in terms of the SPFM;

The general principle is that public bodies should obtain the best possible price on the open market when disposing of assets. In some circumstances there may be a need to dispose of an asset at less than market value but as per the SPFM these must deliver wider public benefits, consistent with the principles of Best Value.

It is recognised that the Authority may from time to time be obliged to dispose of heritable property to a community body where that community body has invoked a Right to Buy contained in the Land Reform (Scotland) Act 2003 (as amended). For the avoidance of doubt, such transactions shall be deemed to be of a routine nature.

Acquisition of heritable property

The Authority may authorise the acquisition of heritable property by the Authority from third parties for a proposed purchase price per the financial delegations matrix.

Leases

The Chief Executive may approve leases, licences to occupy, and Memorandum of Terms of Occupation (MOTO) – other than those of regional or national importance or outwith a specific delegated authority, within the limits set out in the financial delegations matrix.

The Chief Executive may instruct appropriate action to enforce the terms of any Lease, Licence to Occupy or MOTO (including the termination thereof) where the other party has failed to comply with the terms of the Lease, Licence to Occupy, or MOTO and in particular may authorise appropriate action to enable the Authority to obtain vacant possession of the heritable property in question.

The Chief Executive may approve the variation or extension of an existing Lease, Licence to Occupy, or MOTO provided any proposed extension would not exceed the threshold specified in the financial delegations matrix.

The Chief Executive may authorise the exercise, or the non-exercise, of a lease break.

Miscellaneous

The Chief Executive may authorise:

• the granting to a third party of any other right (e.g. cable wayleave) over heritable property owned by the Authority and vice versa;
• the exercise of any right afforded to the Authority under contract or otherwise in respect of heritable property owned by the Authority; and
• the granting of, or discharge of, rights affecting or ancillary to property interests existing or acquired.

Other licence Agreements

The Chief Executive may enter, renew and terminate Licence Agreements and/or Site Sharing Agreements with third parties, including but not limited to Agreements pertaining to the use of telecommunication equipment and radio masts, and may authorise any necessary legal action in this connection.

Procurement/Contracts

Subject to the provisions and financial thresholds detailed in the Standing Orders relating to Contracts (see link below) and the Financial Regulations, the Chief Executive has authority to place orders and enter into contracts, or to instruct such orders to be placed and entered into, for the supply of goods and services, and works. The Chief Executive may also extend, vary and terminate such contracts or instruct the extension, variation and termination of such contracts. Special arrangements will apply to procurement of a classified nature.

https://www.scotland.police.uk/spa-media/k5bjwiat/standing-orders-relating-to- contracts.pdf

Write offs, losses and special payments

The Chief Executive may authorise the increase, decrease or write-off of bad debts and/or losses up to £25,000 in value in accordance with the specific delegated authority within the Governance and Accountability Framework. Such adjustments will have an accumulation ceiling within any financial year. The level of that accumulation ceiling is set out in the financial delegations appended to the Financial Regulations. Write-offs and losses which accumulate above that ceiling in any financial year require Board approval and should be brought to the attention of Parliament through notes to the accounts per the SPFM.

The Chief Executive may authorise special payments in accordance with the specific delegated financial authority set out in the Governance and Accountability Framework. Such adjustments will have an accumulation ceiling within any financial year, which is set out in the financial delegations appended to the Financial Regulations. Special payments that accumulate above that ceiling in any financial year require Board approval and should be brought to the attention of Parliament through notes to the accounts per the SPFM.

The Chief Executive may (a) arrange insurance for the Authority and (b) renew periodically all Authority insurances, provided that such actions are consistent with the provisions of the SPFM. Any action taken under (a) and (b) above must be reported to the Resources Committee and/or Forensic Services Committee as appropriate.

Members’ Expenses

The Chief Executive may approve Authority Members’ remuneration, allowances and expenses, in accordance with Scottish Government pay policy, Members’ terms of appointment, and any specific guidance issued by Scottish Ministers.

Legal

The Chief Executive has authority to do the following:

• Approve the payment of awards against the Authority by a court or tribunal, in consultation with the Authority’s solicitors;
• authorise payment of judicial expenses for which the Authority is liable, in consultation with the Authority’s solicitors;
• initiate, enter into, defend and withdraw from legal proceedings involving the Authority, including appeals, all in consultation with the Authority’s solicitors;
• direct the signing of court documents on behalf of the Authority;
• engage Police Scotland’s Legal Services Department, external legal firms, counsel, sheriff officers, patent agents and parliamentary agents as appropriate, or other specialist services as required;
• approve the sign off and submission to Revenue Scotland of Land and Buildings Transaction Tax (LBTT) Returns; and
• provide instructions to the Authority’s

Notwithstanding the terms of 12.1 a) and b) above, any award, or claim for judicial expenses which may be considered novel or contentious, include ethical or substantial reputational issues or are of significant public interest shall be referred to the Legal Committee for consideration and instructions regarding settlement.

For the avoidance of doubt, authority to settle all legal actions and claims raised against and handled by the Authority, must be obtained from the Legal Committee.

Provision of non-operational police services overseas under section 87(3) of the Act

Where arrangements for non-operational police services overseas require to be made under section 87(3) of the Act, the Chief Executive may arrange, with the consent of the Chief Constable, for Police Scotland to provide such services.

Independent Custody Visiting

The Chief Executive is authorised to perform all functions under sections 94 and 95 of the Act, including the making of arrangements for independent custody visiting, and visits of the Subcommittee on Prevention of Torture and other Cruel, Inhuman or Degrading Treatment or Punishment.

Performance of Senior Officers

The Chief Executive is authorised to perform the functions of the Authority under the Police Service of Scotland (Senior Officers) (Performance) Regulations 2016, with the exception of the following:

• all functions of the Chair of the Authority acting as the Chief Constable’s reporting officer;
• the appointment of appeal panels to conduct performance appeal meetings (regulation 19); and
• the appointment of panels to conduct performance hearings (regulation 28).

Health and Safety

Whilst the Authority has overall responsibility for Health and Safety, the Chief Executive is authorised to make such decisions, and take such actions, as are required to satisfy the Authority’s obligations under the Health and Safety at Work Act of 1974 (‘the 1974 Act’) in respect of Members and Authority staff (except staff working in Forensic Services where a separate provision exists).

This includes taking the lead role in ensuring those Authority Members and staff are meeting their responsibilities so as to comply with the 1974 Act. This activity is undertaken in conjunction with the Business Partnering arrangements for service delivery from Police Scotland.

Emergency Planning

The Chief Executive is authorised to make such decisions, and take such action, as are required to satisfy the Authority’s obligations for emergency planning, business continuity, and disaster recovery as detailed in the Civil Contingencies

Act 2004, in respect of SPA Corporate only. This activity is undertaken in conjunction with the Business Partnering arrangements for service delivery from Police Scotland.

Information Management

The Chief Executive is authorised to make such decisions and take such actions, as are required to satisfy the Authority’s obligations in relation to:

• requests for information under the Freedom of Information (Scotland) Act 2002 and the Environmental Information (Scotland) Regulations 2004;
• data subjects’ rights under Part 3 Chapter 3 of the Data Protection Act 2018 and Articles 15-22 of the GDPR; and
• records management under Part 1 of the Public Records (Scotland) Act

Pensions

The Chief Executive is authorised to do the following:

• make decisions regarding flexible retirements in line with the Pensions Discretionary Policy;
• make decisions on individual cases regarding –
• reinstatement of a child’s
• reinstatement of a widow/ers
• granting cessation of payments towards increased pension
• granting police officers applications for ill health retirement and injury on duty benefit.
• all decisions made under (a) and (b) above must be reported to the Legal Committee as soon as it is practicable to do so.

In the case of such pension matters, funding implications are a matter for the Scottish Public Pensions Agency (SPPA). The Authority is the decision maker in respect of entitlement and action. The Authority cannot proceed without the agreement of SPPA.

Appointment of Members to Appeals Against Dismissal Panel

The Chief Executive is authorised to appoint three Authority Members to hear and determine, appeals against dismissal from Authority and Police Scotland staff, in accordance with the Disciplinary, and the Capability (Attendance and Performance), procedures. To ensure the appeals are dealt with expeditiously Members will be appointed to the Panel on a case by case basis, determined by their availability to hear the appeal.

Sub delegation by the Chief Executive to Senior Authority Staff

The Chief Executive may sub-delegate powers to senior members of Authority staff. Any sub-delegation of powers by the Chief Executive, will be included in delegation letters which will set out the scope of delegated powers and associated financial delegations. Delegation letters will be reviewed and issued by the Chief Executive on an annual basis.

The Chief Executive may not sub-delegate any of their personal obligations and responsibilities as Accountable Officer of the Authority. In the event that the Chief Executive is incapacitated or otherwise unable to perform the Accountable Officer’s responsibilities for a period of four weeks or more, the Authority will notify the Scottish Government Permanent Secretary and Portfolio Principal Accountable Officer who may appoint a substitute Accountable Officer (likely Deputy Chief Executive Resources) pending the Chief Executive’s return to duties.

Delegation by the Authority to the Director of Forensic Services

The Director of Forensic Services on behalf of the Authority, is authorised to enter into necessary arrangements for the provision of forensic services to Police Scotland, the Police Investigations and Review Commissioner (PIRC) and the Lord Advocate and procurators fiscal in terms of Section 31 of the Act, within approved budget limits and in line with the limits set out in the financial delegations. Such arrangements may include, but are not restricted to, Memoranda of Understanding, Service Level Agreements, establishing advisory/working groups, and other such measures to enable the delivery of an effective service.

The Director of Forensic Services, in respect of Forensic Services only, is authorised to transfer funds between revenue expenditure headings and between capital projects (virements), in line with the delegation set out in the Financial Regulations and financial delegations. Such transfers should be reported to the Resources Committee as soon as is practicable.

The Director of Forensic Services is authorised to:

• appoint staff to enable the Authority to carry out its functions in relation to the provision of forensic services in terms of Section 31 of the Act, in line with HR policy and within agreed staff budget levels;
• conduct disciplinary and grievance proceedings in respect of Authority staff who are employed within Forensic Services; and
• make decisions regarding the deployment and oversight of Authority staff who are employed within Forensic Services, and authorise their attendance at training courses, conferences, seminars and other developmental

Legal Delegation

The Director of Forensics, or a member of staff appointed by them, has authority, in respect of legal matters directly concerning Forensics Services only, to:

• approve the payment of awards against the Authority by a court or tribunal, in consultation with the Authority’s solicitors;
• authorise payment of judicial expenses for which the Authority is liable, in consultation with the Authority’s solicitors;
• initiate, enter into, defend and withdraw from legal proceedings involving the Authority, including appeals, all in consultation with the Authority’s solicitors;
• direct the signing of court documents on behalf of the Authority; and
• provide instructions to the Authority’s

Notwithstanding the terms of a) and b) above, any award or claim for judicial expenses which may be considered novel or contentious, include ethical or substantial reputational issues or are of significant public interest shall be referred to the Legal Committee for consideration and instructions regarding settlement.

For the avoidance of doubt, authority to settle all legal actions and claims raised against the Authority must be obtained from the Legal Committee.

In the event of any question or dispute as to whether a decision taken, or proposed to be taken, is consistent with this Scheme, the matter will be determined by the Board of the Authority in consultation with the Director of Forensic Services.

Before exercising delegated powers under this Scheme, the Director of Forensic Services must, wherever practicable, consult with the Forensic Services Committee where the exercise of the powers would, or would be likely to:

have a significant or adverse effect on financial, reputational or operational risk; or

have an impact on service delivery and/or the performance of the Authority’s functions.

The Director of Forensic Services must as soon as practicable (and no later than the next scheduled meeting of the Board) report to Members any action taken following consultation with the Forensic Services Committee in connection with paragraph 21.6.

The Forensic Services Committee may require the Director of Forensic Services to submit reports on decisions taken and actions authorised by them under this Scheme, including decisions taken by members of staff to whom the Director of Forensic Services has sub-delegated powers.

The Director of Forensic Services may sub-delegate powers delegated to them under this Scheme to senior members of Forensic Services staff. Any sub- delegation of powers by the Director of Forensic Services, will be included in delegation letters which will set out the scope of delegated powers and associated financial delegations. Delegation letters will be reviewed and issued by the Director of Forensic Services on an annual basis.

The Director of Forensic Services is authorised to make such decisions, and take such action, as are required to satisfy the Authority’s’ obligations under the Health and Safety at Work Act of 1974 (‘the 1974 Act’) in respect of Authority staff working in Forensic Services. This includes taking the lead role in ensuring that Forensic Services staff are meeting their responsibilities so as to comply with the 1974 Act. This activity is undertaken in conjunction with the Business Partnering arrangements for service delivery from Police Scotland.

The Director of Forensic Services is authorised to make such decisions, and take such action, as are required to satisfy the Authority’s obligations for emergency planning, business continuity, and disaster recovery as detailed in the Civil Contingencies Act 2004 in respect of Forensic Services. This activity is undertaken in conjunction with the Business Partnering arrangements for service delivery from Police Scotland.