NOT PROTECTIVELY MARKED. Britannia Building, Room B024, Glasgow Caledonian University

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1 Meeting SPA Audit & Committee Date and Time 9 June hrs Location Britannia Building, Room B024, Glasgow Caledonian University Title of Paper SPA Register Public Item Number 6.1 Presented By John Foley & Graham Stickle For Approval / For Information FOR APPROVAL Appendix Attached: Yes or No Appendix A SPA Register - Public PURPOSE 1. To invite the Audit and Committee (ARC) to note the Contents of SPA s Corporate Register. BACKGROUND 2. is reported to the ARC quarterly. 3. In accordance with Schedule 1 section 11 of the Police and Fire Reform (Scotland) Act 2012, risks have been excluded from Appendix A if public knowledge of weaknesses identified could be detrimental to the operation of the organisation. s excluded will be reviewed in the private session of the meeting. 4. The risk register has been reviewed and approved by the SPA Senior Management Group. 5. As agreed at the March meeting of the ARC, the risks presented reflect the top 10 risk to the organisation selected based on score and those with the most significant potential corporate impact on SPA. RECOMMENDATIONS 6. The ARC is invited to note the risks shown at Appendix A and record of changes shown at Appendix B SPA Audit & Committee 9 June 2014

2 APPENDIX B Changes since risks reported to ARC previously ID and Title Fin 013 Target Savings for and beyond Fin 009 Target savings for Gov 018 Relationships with Police Scotland and Scottish Government HR 014 Failure to follow due process and relevant employment legislation HR 013 Limited options for managing workforce numbers Gov 014 Members are unable to demonstrate their obligations under the Act Change reported to the ARC for the first time. reduced from 4 to 3 reflecting the work completed to achieve savings for reduced from 3 to reflecting the continued improving relationships. Based on current risk score this will not be included in future ARC and reports reduced from 4 to 3 reflecting the process and procedures in place. Based on current risk score this will not be included in future ARC and reports Reported for the first time risk now in top 10 due to reduction of other risk scores not recently reported to the ARC - risk now in top 10 due to reduction of other risk scores SPA Audit & Committee 9 June 2014

3 Finance & Investment Committee and ID Description of Fin-013 There is a risk that the target savings for 2015/16 and beyond will not be achieved 1. Requirement to implement savings that are not in line with strategy and/or objectives 2. Requirement to seek additional funding from Scottish Government to bridge funding gap 3. Drop in service 4 5 VH In Place 1. PSoS Corporate Strategy 2. Business change group (meets as required) 3. Police reform budget up to 70m available for 2015/16 1. Identification of efficiencies to deliver balanced budget Notes:- Indicative budget for 2015/16 known anticipated to reduce as plans are developed and implemented to deliver efficiency savings Score Owner 4 5 VH New risk Oth-013 There is a risk that change across SPA and Police Scotland will not be managed to an appropriate standard 1. Poor workforce morale/increased attrition and absence 2. Drop in productivity 3. Lack of staff buy-in 4. Potential for increased staff grievances/tribunal claims 5. Inability to achieve reform objectives 5 5 VH In Place 1. SPA Committee meeting regularly to review key organisational change proposals prior to being submitted to the JNCC 2. Business Change Working Group set up to identify reform projects and associated savings 3. Formally agreed organisational change process in place to support change programme 4. Regular communication via intranet 5. Enhanced engagement between SPA and committee with unions and staff associations 6. Management of staff/officers reflecting their individual circumstances as part of consultation process 7. Programme of scrutiny approved by Committee April H Oth-046 There is a risk that resource available to deal with Complaints in SPA may not be at the level required to support the volume of complaints received 1. Backlog of work 2. Reputational damage 3. Requirement to re-deploy staff on a temp basis 1. Framework in place for monitoring KPIs such as sickness, attrition and ER activity including trend analysis (target date TBC) 2. Continued implementation of control measures 5 4 VH In Place 1. Leave dates of staff deployed to complaints team extended 2. Existing resource identified to oversee complaints team until permanent manager appointed 1. Interviews Friday 30 May for Complaints Co-ordinator roles 2. Complaints and Conduct Manager role advertised externally w/c 26 May 3. Options being investigated for temp resource to support transitional period 4 4 H of Strategy & Governance 1

4 Finance & Investment Committee and ID Description of Fin-009 There is a risk that the target savings for 2014/15 will not be achieved 1. Requirement to implement savings that are not in line with strategy and/or objectives 2. Requirement to seek additional funding from Scottish Government to bridge funding gap 3. Drop in service 4 5 VH In Place 1. Approval of budget for by SPA in March PSoS Corporate Strategy approved by SPA March SG confirmed that capital receipts can be allocated against spend 1. Continued use of reform funding up to 70m. 2. Management efficiencies of 10m to be targeted and realised during the year 3. On-going reporting of budget (actual v planned) to Finance and Investment SPA 4. Ongoing bids for allocation of POCA funding Score Owner 3 5 H Gov-020 There is a risk that SPA will be unable to demonstrate and evidence it's function of holding the Chief Constable to account due to:- 1. Ineffective or inadequate governance 2. Ineffective or inadequate scrutiny in public 3. Ineffective or inadequate performance data 4. Limited performance baseline data : 1. Not fulfilling scrutiny function 1. Loss of trust from stakeholders 2. Drop in reputation 3. Held to account by Scottish Parliament 4. Subject to scrutiny by Audit Scotland 5 4 VH In Place 1. Reporting in place via and Committee meetings 1. Enhance performance reporting to support effective scrutiny and challenge 2. Address points raised by Audit Scotland report on Police Reform 3. Continued review of effectiveness 4. Publication of Annual Review of Policing (including case studies) by June Agreement of scrutiny priorities by April All papers issued to members in a timely manner Gov-023 There is a risk that not having full knowledge and understanding of the risk profile across Scottish policing will hinder SPA s ability to fulfil its governance and assurance role. 1. Governance and assurance not completed to an appropriate standard 2. profile not considered in decision making 5 3 H In Place 1. Police Scotland and SPA risk registers reported to SPA on a quarterly basis 1. Development of strategic risks aligned to the Strategic Police Plan 2. Mapping of risks to objectives and priorities 3. Greater understanding of the risk profile across Scottish policing 4 3 H Committee HR-013 There is a risk that the ability to realise savings will be hindered by limited options for managing workforce numbers 1. Inability to realise savings 2. Requirement to support and manage supernumerary staff in parallel to new organisational structures 3. Challenges due to geographical location of roles not matching location of staff 5 3 H In Place 1. Supernumerary policy in place 2. Supernumerary staff have preferential treatment when applying for posts 3. Agreed VR/ER in place for 2014/ VR/ER to be presented to Committee in Aug Ongoing management of individuals impacted 4 3 H HR SPA (Deputy) 2

5 ID Description of Oth-043 There is a risk that SPA staff will become disengaged due to frustration caused by an accumulation of factors including lack of clarity on organisational structures and locations. 1. Poor workforce morale/increased attrition and absence 2. Drop in productivity 3. Lack of staff buy-in 4. Potential for increased staff grievances/tribunal claims 5 5 VH In Place 1. SPA Principles & Practice approved at meeting 21 August 2. Structure approved by SPA Feb Communication via SPA intranet as appropriate 5. Group consultation completed 6. SPA Head Office location PQ from 26 May Control measures will have limited impact until clarity is achieved on an individual basis 1. Recruitment and selection of directors (1 off) - interviews completed. Appointment to be confirmed 2. All Permanent Tier 1 staff in post (target Aug 14). 3. Recruitment of permanent Tier 2 & 3 staff (target Aug 14) 4. Staff 1-1's and advertisement of posts as appropriate. 5. Local management team meetings 1-1's etc s in respect to new structure to include consultation on new head office location 7. Deal with concerns on an individual basis 8. Monitor and review KPIs to identify trends and ensure early intervention Score Owner HR-015 There is a risk that the quality of applicant to support the permanent structure of SPA may not be at the level required and/or anticipated primarily as a result of the grading structure 1. SPA does not operate to an appropriate standard 2. Delays in fulfilling permanent structure 3. Reduced or limited ability to support the statutory obligations of SPA In Place 1. Proposed structure presented to JNCC 6/2/14. Consultation ongoing 2. Market supplement approved by Committee April Consideration and discussion required om methodology to mitigate the risk HR SPA (Deputy) Note:- Scale of risk will become clearer during consultation process Gov-014 There is a risk SPA is organised/structured in a manner where Members are unable to demonstrate the fulfilment of their obligations under the Act. 1. Members do not fully discharge their liabilities under "the Act" 5 4 VH In Place 1. Induction for members on the Act 2. Public meetings and decision making process to demonstrate transparency. 3. Governance policy statement approved June SPA Principles & Practice approved at meeting August Structure (approved Oct 13) developed in line with Governance Policy Statement and Principles & Practice. 1. Continued review and scrutiny 2. Implementation of SPA structure 3

6 ID Description of HR-014 There is a risk that failure to follow due process and relevant employment legislation may result in claims 1. Financial cost of claims 2. Management/HR time to deal with claims 3. Breakdown and/or reduction in relationship with unions 4 3 H In Place 1. Agreed process in place for all proposed new structures 2. Strict monitoring by Committee 4. Information for SPA Committee Members on consultation requirements to aid their understanding of the process and requirements (follow up sessions to be progressed as and when required) 5. Scrutiny programme, including organisational change, approved at Rem Committee April. Schedules to commence Oct SPA attendance at JNCC 7. Lessons learned workshop for HR staff on change to date held 9 May 1. Ensure that agreed process is adhered to at all times and meaningful communication takes place with TU's and impacted staff - part of scrutiny proposal Score Owner 3 3 M HR SPA (Deputy) Gov-018 There is a risk that relationships with Police Scotland and Scottish Government will not be fostered and maintained at a level to support effective and efficient operation 1. Poor working relationships and conflict across SPA/PSoS and Scottish Government 2. Reduced or breakdown in communication 3. Lack of trust 4. Working relationships are "clunky" and inefficient 4 5 VH In Place 1. CEO building relationships across policing and SG via individual and collective meetings 2. Regular 1-1s between SPA Chair and Chief Constable 3. Strategic workshops focusing on leadership and relationships (1st was on 19 November) 4. Working relationships are improving as functions/roles of SPA & PSoS have settled and are becoming familiar 5. SG sponsor department have open invite to members meetings 6. Regular communication with Director-General Learning & Justice and SPA Chair. 7. Collaborative working on key strategic themes which is helping relationships 8. Scheme of administration 9. Engagement framework 1. Develop and implement SLA's 2. Internal governance framework by PSoS to compliment SPA's 3 MOU on external communications 2 4 M 4