1. To provide an update on the development of the SPA Assurance Map.

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1 Meeting SPA Date and Time 9 June hrs Location Britannia Building, Room B024, Glasgow Caledonian University Title of Paper Assurance Map Item Number 8.2 Presented By Graham Stickle For Approval / For Information FOR NOTING & APPROVAL Appendix Attached: Yes or No Map Purpose 1. To provide an update on the development of the SPA Assurance Map. 2. Seek approval of the Assurance Map content and future use. Background 3. The structure of the Assurance Map was approved by the Audit and Risk (ARC) in March The purpose of the joint assurance map is to provide a single view of all the assurance activity currently in place across Scottish Policing. The assurance map, which in the main relates to policing functions, indicates evidence of assurance and will enable the prioritisation of assurance/audit work across Scottish Policing. The development of the assurance map will also ensure there is no duplication of scrutiny and includes governance arrangements, business assurance, internal audit and external scrutiny. 5. Work has been ongoing to populate the map and score the assurance in place. The following observations have been made during development and population of the map:- There is significant assurance in place across Scottish Policing. This is evidenced particularly strongly in the functions and process section The map represents the planned assurance during The map has been populated based on the face value of the input. No checks have been made to ascertain the effectiveness of the assurance. There has not been any audit of the data received to support the population of the map. This is in line with intentions at this stage. Ref: SPA 9 June

2 It was found that populating assurance aligned to risk was not adding any value. Risks change on a frequent basis making tracking assurance difficult on the map. The risk registers for SPA and Police Scotland are also reported independently to the ARC. Risks aligned to the Strategic Priorities and Objectives are being developed - they are appropriate for inclusion as part of the map. Next Steps 6. Use the Assurance Map to inform the development of the Police Scotland Plan and further activity as part of the SPA plan. 7. Select assurance to be audited for effectiveness. This is anticipated to be part of Police Scotland Assurance Plan and will be the first step in moving the map from quantitative to qualitative. 8. Refresh, update and report the Assurance Map on a quarterly basis. Recommendations 9. The ARC is invited to:- Approve the content of the Assurance Map; Approve the next steps as outlined in paragraphs 6, 7 & 8. Ref: SPA 9 June

3 Register - Police Scotland Fin & Inv HR & Rem Parliamentary s Current (see key) Assurance Required (see key) Treated (see key) - RAG Status improvement actions. Implementing controls. on progress. Management Assurance: on assurance. PRIORITIES & OBJECTIVES AND CHANGE Scottish Policing works towards to achieving these Priorities and Objectives Strategic Priorities Make communities safer and reduce harm by tackling and investigating crime and demonstrating pioneering approaches to prevention and collaboration at a national and local level. Strengthen Scotland s reputation as a successful and safe country by demonstrating excellence in effectively planning for and responding to major events and threats. Provide an efficient, effective service focused on protecting frontline services, delivering the benefits of police reform and promoting continuous improvement. Make communities stronger and improve wellbeing by increasing public confidence and reducing fear of crime, making the new Police Service of Scotland an exemplar of visible, ethical and responsive policing. Police Scotland Priorities Enhance Scotland s global reputation as a safe place Ensure that there is equitable access to services across all of Scotland s communities where and when needed Increase public confidence in the police service by understanding and responding to the particular needs of Scotland s diverse communities Promote a culture of excellence Strategic Objectives Work in partnership to improve safety for the citizens of Scotland and reduce crime Ensure that all communities, including the most vulnerable, have access to the police service and are given the support they need to feel safe Deliver the benefits of reform effectively and efficiently Equality Outcomes Eliminate Unlawful Discrimination, harassment and victimisation and other prohibited conduct Advance equality of Opportunity between people who share relevant protected characteristic and those who do not Foster Good Relations between people who share a protected characteristic and those who do not. Violence, Disorder and Antisocial Behaviour Increase detection of Violent Crime Offenders, including those who commit domestic abuse and hate crime Reduce Antisocial Behaviour Police Scotland Objectives Reduce violent Crime, including alcohol- related violence Reduce Incidents of Disorder Road Safety & Road Crime Protecting Vulnerable People Serious & Organised Crime Establish a nationally co-ordinated approach to tackling violence Work with partner agencies to support victims of domestic abuse Conduct robust inspections of problem licensed premises Effectively patrol the roads Improve road user behaviour Detect and deter road crime Tackle antisocial use of roads Establishing a national Child Abuse Investigation Unit Developing a national strategy to tackle child sexual exploitation Developing a national evaluation and review process for interviewing child victims Conducting robust rape investigations while maintaining victim focus Reinforcing the strategy to prevent rape Increasing activity against those involved in human trafficking Introducing a national audit team to ensure corporate and effective delivery of offended management practices Further developing the intrusive review regime Enhance, with our partners, our tactics to disrupt organised crime groups through the proceeds of crime legislation and to deprive them of the access to legitimate enterprises

4 Register - Police Scotland Fin & Inv HR & Rem Parliamentary s Current (see key) Assurance Required (see key) Treated (see key) - RAG Status improvement actions. Implementing controls. on progress. Management Assurance: on assurance. PRIORITIES & OBJECTIVES AND CHANGE Counter Terrorism Major Events and Resilience Corporate Priorities Our People Our Technology Our Organisational Support Our Finances I6 Carloway C3 Continue to build a true picture of organised crime groups, members and activities and to use operational activity to reduce their capability to cause harm Disrupt the supply of drugs and new psychoactive substances Reduce and mitigate the risk of terrorism to Scotland Ensure that Police Scotland is adequately prepared to respond to terrorist attack Ensure a high state of preparedness for unforeseen and planned major events Delivering a safe and secure Commonwealth Games Deliver a safe and secure Ryder Cup - Police Scotland Enhance our capability by focusing on leadership development at all levels in the organisation Support operational delivery through efficient and effective resource utilisation Enable our people to deliver excellent service in our mission of keeping people safe National Infrastructure Application Portfolio Governance & Engagement Model ICT Capacity & Capability Organisational Development Analysis and Performance Corporate Governance Corporate Objectives Diversify our workforce through the promotion of attractive, inclusive and responsible practices Corporate Communications Physical Resources Centre of expertise - Providing Professional Advice, Guidance & Support Engagement with Organisational Budget Holders and Stakeholders Supporting the Organisation (in the delivery of savings) Accessible Systems and Processes Integrate Financial Planning & Budget Cycle (into daily business) Significant Change Projects Effectiveness of controls (current and planned): Significant concerns overt the adequacy/effectiveness of the controls in place in proportion to the risks Some areas of concern over the adequacy/effectiveness of the controls in place in proportion to the risks Controls in place assessed as adequate/effective and in proportion to risks Assurance required: Significant assurance required in this area Medium assurance required in this area Low assurance only required in this area Controls still being established

5 Risk Register - Police Scotland Fin & Inv HR & Rem Parliamentary s Current (see key) Assurance Required (see key) Treated (see key) - RAG Status improvement actions. Implementing controls. on progress. Management Assurance: on assurance. FUNCTIONS AND PROCESSES Forensics Crime Investigation Crime Recording Productions Partnership Working Custody Planning Major Events Local Policing Response Policing Roads Policing Operational Support Whistle Blowing/Fraud Complaints against the Police Warrants Leadership and Governance Community Planning CONTEST prepare MAPPA Governance Scrutiny Strategic Support Policy / SOP Financial Accountability Communication Risk Management Financial Accounting Financial Planning Capital Investments Payroll Overtime Expenses Absence Management Training Recruitment Performance Appraisal Business Continuity Information Management Information Security Key Operational Functions SPA Police Scotland Key Organisational Functions SPA Statutory Delivery (Complaints & Custody Visiting) Police Scotland

6 Risk Register - Police Scotland Fin & Inv HR & Rem Parliamentary s Current (see key) Assurance Required (see key) Treated (see key) - RAG Status improvement actions. Implementing controls. on progress. Management Assurance: on assurance. FUNCTIONS AND PROCESSES Key Operational Functions Policy / SOP Performance Management Procurement Purchasing Goods Fleet - Car Purchasing and Servicing Estates - Maintaining the Buildings IT Faults IT Infrastructure IT Software IT Hardware EIA Process Consultation (ongoing dialogue with community and stakeholders) Risk Management Resource Management Effectiveness of controls (current and planned): Assurance required: Note:- assurance against whistle blowing related to "National Fraud Initiative Arrangements" 1. PIRC review of SPA Complaints process and procedures Significant concerns overt the adequacy/effectiveness of the controls in place in proportion to the risks Significant assurance required in this area 2. HR scrutiny in repect to organisational change Some areas of concern over the adequacy/effectiveness of the controls in place in proportion to the risks Medium assurance required in this area Controls in place assessed as adequate/effective and in proportion to risks Low assurance only required in this area Controls still being established