Chief Officer Assurance Statements form part of a wider force assurance map, designed to satisfy the Chartered Institute of Public Finance and Accountancy Good Governance guidance, in which a very comprehensive list of requirements is specified together with examples of suitable supporting policies, procedures and key documents present.

For further information, including the Code of Corporate Governance for the Sussex Police & Crime Commissioner and the Chief Constable, please visit the Commissioner's 'How We Work' page.

1. Statutory obligations

All principal statutory obligations relating to my portfolio have been identified and are set out below:

  • Data Protection Act 2018
  • Equality Act 2010
  • Freedom of Information Act 2000
  • Health and Safety at Work, etc. Act 1974
  • Human Rights Act 1998
  • Police (Complaints and Misconduct) Regulations 2012
  • Police (Detention and Bail) Act 2011
  • Police Act 1996
  • Police and Crime Act 2009
  • Policing and Crime Act 2017
  • Police and Criminal Evidence Act 1984
  • Police Regulations 2003
  • Code of Practice for Victims of crime

The framework clearly sets out how the statutory obligations will be delivered. The principles of Corporate Governance outlined in the Code of Corporate Governance for the Sussex Police & Crime Commissioner and the Chief Constable have been consistently  applied in the delivery of services within the  portfolio.

  1. Portfolio

The following areas of Sussex Police form the portfolio.

  • Change Delivery (Joint with Surrey Police)
  • Professional Standards
  • Corporate Communications and Public Engagement
  • Corporate Development Department

Each department works to ensure the Force meets the objectives set by the Sussex Police & Crime Commissioner's (Sussex PCC) Police and Crime Plan, published on the Sussex PCC's website.

My portfolio covers the following areas of business:

  • Professional Standards and Ethics
  • Performance and Performance Assessment
  • Crime Recording and Statistics
  • Systems Thinking/ Continuous Improvement
  • Crime Information
  • Inspection regime - HMICFRS/IOPC/lnternal Audit
  • Recording and disclosure of Convictions
  • Equality, Diversity and Human rights
  • Health and Safety

The Code of Corporate Governance sets out a series of overarching strategic policies and operational documents for the force.

I am responsible for the operation, review and evaluation of the following strategies:

  • Sussex Police Anti-corruption strategic assessment and control strategy 2017-2020
  • Sussex Police Corporate Communications Strategy 2017-2020
  • Sussex Police Risk Management Strategy 2020

I am responsible for the operation and review of the following policies:

  • Code of conduct (contained within the employee handbook)
  • 42/2019 Notification of Convictions by Sussex Police officers and police staff 
  • 592/2020 Force Vetting Policy
  • 757/2019 Crime & Incident Disposal, Recording & Auditing
  • 612/2018 Anti-Fraud and Corruption Policy
  • 700/2020 Force Policy Framework
  • 797/2019 Police Staff Misconduct
  • 965/2020 Business Interests and additional work
  • 1022/2019 Health and Safety
  • 1049/2020 Risk Management
  • 1070/2019 Substance misuse and Testing Policy (including Alcohol and Drugs)
  • 1086/2018 Social Media Policy
  • 1124/2018 Communications in Sussex Police
  • 1125/2018 Media Relations and Integrity
  • 1176/2018 Notifiable Associations

I am responsible for ensuring that staff within my portfolio area adhere to the content and wording of these items. I can also confirm that all my departmental heads are aware of the 'Code of Corporate Governance for the Sussex Police & Crime Commissioner and the Chief Constable' where all such policies are recorded.

  1. Sources of Assurance
    • HMIC Crime Data Integrity Assessed as 'Good'. August 2016
    • Internal Audit. Substantial Assurance. June 2017
    • Risk Management. Internal Audit. Substantial Assurance. September 2018
  • Decision Making & Internal Audit. Adequate Assurance. November 2018
  • Office of the Biometrics Commissioner. December 2018
  • Health & Internal Audit. Limited Assurance. March 2019
  • Project and Programme Management. Internal Audit. Adequate Assurance. September  
  • Joint Force Vetting Unit. Adequate Assurance. September
  • Equality & Internal Audit. Substantial Assurance. January 2020.
  • HMICFRS PEEL 2018/19. Effectiveness assessed as Efficiency assessed as Requires Improvement.

Legitimacy assessed as Good. February 2020

  1. Business Management

Robust processes are in place to ensure that I am given assurance of governance and accountability across the Force. Divisions and departments are held to account through an agreed series of strategic force-level meetings, chaired by Chief Officers who report to me through the following meetings.

I chair the Strategic Planning Board, which provides me with high level oversight of the Force's financial and human resources, scrutiny of the Force's spending and savings plans and the impact of those plans on establishment  and capability. The Board:

  • Enables the organisation to respond to changes in the fiscal environment and to plan for fluctuations in demand which may affect operational resourcing  
  • Oversees delivery of the Sussex Police 2018-22 Transformation Strategy from resourcing, planning and fiscal perspectives. The Transformation Strategy describes those areas where the Force is seeking to develop and target service improvements, built around the core themes of Strengthening Local Policing, Improving Local Contact, and Modernising

The PEEL Board provides efficient and effective corporate governance of Force performance through an established performance cycle and framework. Incorporating Crime Data Integrity as an integral part of the performance framework, it ensures accountability across the  Force. The PEEL Board:

  • Holds Divisional Commanders and Departmental Heads to account for the delivery of Divisional Force priorities and contribution to the Sussex Police and Crime Commissioner's Police and Crime Plan objectives.
  • Identifies areas of performance risk, commissioning internal inspection and review to determine opportunities for improvement, taking account of  national  standards,  internal  performance  indicators  and evidence-based good practice wherever  this is

The Organisational Reassurance Board (ORB) ensures the governance arrangements of each chief officer portfolio are effective and that chief officers have proper regard for the operation of their respective portfolios, evidenced through the regular update of their assurance statements.  Additionally,  the  ORB is there to  maintain the principles and standards of professional  behaviour  for  policing by ensuring that relevant and proportionate risk, business continuity, research and environmental scanning functions are in place, are understood and actioned across Sussex Police and are shared with Surrey Police.

The Equality and Diversity Board is a strategic level meeting to provide assurance and demonstrate commitment  in delivering the Force's Equality and Diversity Strategy, and meeting statutory obligations set out in the Equality Act 2010, with specific regard to Section 149 of the Public Sector Equality Duty, 2011

The Strategic Change Board, which I chair jointly with the Deputy Chief Constable of Surrey Police, reviews current portfolios & agrees business change priorities with a focus on benefits, resilience and operational risk. It decides & prioritises outline business cases and detailed business cases following approval. It scrutinises delivery performance across portfolios, manages escalated risks, issues and exception reports. It reviews scheduling / resourcing implications of new initiatives with a view to re-prioritising portfolio delivery. It reviews benefits realisation and the financial plan & savings tracker

  1. Reports &  recommendations from other bodies

To ensure appropriate oversight of the rolling programme of inspections conducted by Her Majesty's Inspectorate of Constabulary and Fire & Rescue; advice and recommendations from the Independent Office for Police Conduct, and; audits conducted by our Internal Auditors, recommendations relevant to my portfolio are added to the Portfolio Risk Register. Current reports containing recommendations and/or areas for improvement relevant to this portfolio are:

  • August 2016: HMICFRS Crime Data Integrity- Sussex report.
  • December 2018: Office of the Biometrics Commissioner inspection report
  • Project  and Programme Management.
  • Internal Audit.
  • January 2020: Equality & Diversity internal report
  • HMICFRS PEEL 2018/19

As the generation and implementation of recommendations is a continual process, this list will be updated annually, upon completion of future statements of assurance for this portfolio.

  1. Portfolio Risk Register

The Portfolio  Risk Register identifies  all risks that are relevant to the portfolio  and which may affect the delivery  of its objectives. Each risk has an identified owner and details the control measures in place to address the risk. Risk Registers are maintained by both Surrey and Sussex Police forces. Risks associated with collaborated functions are reported into each force. The risk register is reviewed on a regular basis at my portfolio meetings, scrutinised at both forces' Organisational Reassurance Boards and reported into both forces' Joint Audit Committees. Terms of reference and minutes of the Sussex Joint Audit Committee are published here: https://www.sussex-pcc.gov.uk/the-pcc/transparency/audit-committee/

Terms of reference and minutes of the Surrey Joint Audit Committee are published  here

http://www.surrey-pcc.gov.uk/transparency/key-responsibilities/

  1. Evidence Informed Policing & research projects

As a key element of improving our services, Sussex Police works with a range of academic partners to understand what works and introduce new approaches that have been rigorously evaluated. We have dedicated academic research team which heads up this work. As at the date of this assurance statement no projects are governed through  this portfolio.

  1. Internal Controls

Controls have been identified that are designed to mitigate the risks identified in 6 above. Responsibility for the effective implementation of each control has been delegated to a nominated lead. Through the governance arrangements within my portfolio, assurance has been obtained, along with evidence from each nominated lead that the controls  have been tested and are operating effectively.

I confirm that all my departmental heads are aware of the force's Corporate Governance Framework, which includes the Financial Regulations and Contract Standing Orders.

  1. Control Weaknesses

Identified risks within my portfolio are reviewed by me on a regular basis. Those that are considered to  be significant (red) are monitored on a regular basis through corporate meetings, including the Strategic Change  Board and ORB and regularly updated and considered at the Strategic Chief Officer Meeting, chaired by the Chief Constable. In some circumstances, an action plan is produced to provide a more focused approach to a specific risk / gap. Continuous review of the progress of action plans takes place through the relevant chief  officer's  portfolio  meeting.

  1. Overall Assurance from Portfolio Lead

In my opinion, the internal control framework of the Deputy Chief Constable's Portfolio is soundly based. All significant risks to  the delivery of objectives have been identified and controls are in place to mitigate those   risks.

Signed by:

T/Deputy Chief Constable Julia Chapman

Date: 23/07/20

  1. Chief Constable Review

I have reviewed the statements contained above and the copy of the portfolio's risk register.

Signed by:

T/Chief Constable Jo Shiner

Date: 29 July 2020

  1. Statutory obligations

All principal statutory obligations relating to my portfolio have been identified and are set out below:

  • Civil Contingencies Act 2004
  • Code of Practice for Victims of Crime
  • Data Protection Act 2018
  • Equality Act 2010
  • Freedom of Information Act 2000
  • Health and Safety at Work, etc. Act 1974
  • Human Rights Act 1998
  • Police (Complaints and Misconduct) Regulations 2012
  • Police (Detention and Bail) Act 2011
  • Police Act 1996
  • Police and Crime Act 2009
  • Policing and Crime Act 2017
  • Police and Criminal Evidence Act 1984
  • Police Regulations 2003
  • Children Act 2004
  • Care Act 2014
  • Criminal Justice Act 2003

The framework clearly sets out how the statutory obligations will be delivered. The principles of Corporate Governance outlined in the Code of Corporate Governance for the Sussex Police & Crime Commissioner and the Chief Constable have been consistently applied in the delivery of services within the portfolio.

SPCC - Transparency

  1. Portfolio

The following areas of Sussex Police form my portfolio:

  • Local policing (including Response, Prevention, Investigation, Partnerships)
  • Public Protection
  • Criminal Justice
  • Custody
  • Citizens in Policing

Each department works to ensure the Force meets the objectives set by the Sussex Police & Crime Commissioner’s (Sussex PCC) Police and Crime Plan, published on the Sussex PCC’s website.

https://www.sussex-pcc.gov.uk/police-crime-plan/

My portfolio covers the following areas of business:

  • Acquisitive crime      
  • Hate crime
  • Anti-social behaviour      
  • Homelessness
  • Citizens in policing (incorporating Cadets, Licensing, Special Constables and Volunteers)
  • Local Policing
  • Community Safety Accreditation and Neighbourhood Watch Schemes 
  • Police Community Support Officers
  • Community Safety Partnerships (PCSOs)
  • Crime Prevention      
  • Public Protection
  • Crimestoppers      
  • Retail and Business crime
  • Criminal Justice      
  • Rural crime
  • Custody      
  • Security Industry Liaison
  • Domestic Abuse      
  • Stalking and Harassment
  • Digital Public Engagement
  • Prevent (CONTEST)

The Code of Corporate Governance sets out a series of overarching strategic policies and operational documents for the Force. I am responsible for the operation, review and evaluation of the following strategies:

  • Sussex Police Crime Management Strategy
  • Sussex Police Criminal Justice and Custody Strategy 2018-19
  • Sussex Police Criminal Justice Capability Maturity Model
  • Sussex Police Engagement Strategy 2018 – 2022
  • Sussex Police Investigative Strategy
  • Sussex Police Prevention Strategy 2018
  • Sussex Police Response Strategy 2018
  • Sussex Police Rural Crime Strategy 2018
  • Sussex Police Serious Violence Strategy 2019
  • Sussex Police Vulnerability Strategy 2018
  • Sussex Police Special Constabulary Strategy

I am responsible for ensuring that staff within my portfolio area adhere to the content and wording of these items. I can also confirm that all my departmental heads are aware of the 'Code of Corporate Governance for the Sussex Police & Crime Commissioner and the Chief Constable' where all such policies are recorded.

  1. Sources of Assurance
    • HMICFRS PEEL assessment. 2016 & 2017
    • HMICFRS: Making it Fair – a joint inspection of the Disclosure of Unused Material in Volume Crown Court Cases. 2017
    • HMICFRS: Stolen freedom: the policing response to modern slavery and human 2017
    • HMICFRS: A progress report on the police response to domestic abuse – national thematic 2017
    • Joint inspection of the handling of cases involving disability hate 2018
    • HMICFRS: National Child Protection inspection. 2018
    • HMICFRS: Policing and mental health: Picking up the 2018
    • HMICFRS: Stalking and Harassment.
    • HMICFRS: Integrated PEEL assessment. 2019
    • HMICFRS: Sussex – National child protection (2018) post-inspection 2019
    • Joint inspection of custody suites. 2019
    • Joint targeted area inspection of the multi-agency response to children's mental health in East Sussex. 2020
  1. Business management

There are processes in place across my portfolio ensuring governance arrangements are fit for purpose and that robust reviewing and monitoring mechanisms are in place which enables me to provide assurance to and be held accountable at the Force PEEL Board and the Organisational Reassurance Board (ORB). Governance of my portfolio is provided at the strategic Local Policing Accountability Board (LPAB) and Vulnerability Board.

The risk of non-compliance of Force policies within my portfolio area has and will result in audits and dip checking of the action taken by officers and staff by the departmental supervision responsible for the policy. Findings and concerns are reported to me at the LPAB and Vulnerability Board.

The Force is subject to regular Inspections by Her Majesty's Inspectorate of Constabulary and Fire & Rescue (HMICFRS). The action taken to respond to their recommendations and areas for improvement are closely monitored. Progress against these recommendations made is overseen at meetings held between departmental supervisors and myself, and they are only shown as complete once I have reviewed the action taken. Scrutiny of all HMICFRS recommendations and areas for improvement are also a standing agenda item at the LPAB.

The Independent Office for Police Conduct (IOPC) also make Force-specific and national recommendations, as well as identifying areas for improvement. These are monitored via internal tracking documents and are subject to the same scrutiny as HMICFRS reports and recommendations.

Daily Divisional and Departmental Management Meetings are held where local policing, Public Protection and Citizens in Policing issues within the three Sussex Police Divisions (East Sussex, West Sussex and Brighton & Hove) are considered and brought to my attention should there be immediate concerns. Public Protection and Criminal Justice and Custody also have separate governance arrangements, whilst Finance and People Services meetings are held to monitor financial and workforce issues.

A framework of meetings support my portfolio. Each reports into the LPAB.

  • The Force has thematic leads for the three areas of Prevention, Response and Investigation. Each lead has a tailored meeting structure, and report directly in to the LPAB
  • The Force has ‘Hate Crime, ‘Prevent’, ‘Rural Crime’ and ‘Anti-Social Behaviour’ leads who have their own working groups and meeting structures which feed in to the LPAB.
  • There are regular independent Cadets and Special Constables meetings, which report issues, concerns and updates in to the Citizens in Policing
  • Public Protection has a meeting structure encompassing the areas of sexual abuse, sexual exploitation, vulnerability and domestic abuse. Many of these meetings are multi-agency, and the majority are chaired by the Head of Public They report into the Vulnerability Board.
  • The Force Criminal Justice and Custody Head of Department chairs a monthly Senior Management Team meeting, and provides updates to the PFI and Custody Meeting and
  • Sussex Neighbourhood Watch Federation Meetings are held within the three divisions, hosted by the Divisional Partnership Managers in rotation. Issues and concerns are fed in to the Citizens in Policing Board.
  1. Reports & recommendations from other bodies

To ensure appropriate oversight of the rolling programme of inspections conducted Her Majesty’s Inspectorate of Constabulary and Fire & Rescue; advice and recommendations from the Independent Office for Police Conduct, and; audits conducted by our Internal Auditors, recommendations relevant to my portfolio are added to the Portfolio Risk Register. Current reports containing recommendations and/or areas for improvement relevant to this portfolio are:

 

 

As implementation of recommendations is a continual process, this list will be updated annually, upon completion of future statements of assurance for this portfolio.

  1. Portfolio Risk Register

The Portfolio Risk Register identifies all risks that are relevant to the portfolio and which may affect the delivery of its objectives. Each risk has an identified owner and details the control measures in place to address the risk. The register  is  reviewed  on  a  regular  basis  at  my  portfolio  meetings,  scrutinised  at  the  Force    Organisational

Reassurance Board and reported to the Joint Audit Committee. Terms of reference of the Joint Audit Committee are  published  here:  https://www.sussex-pcc.gov.uk/the-pcc/transparency/audit-committee/

  1. Evidence Informed Policing & research projects

Sussex Police is committed to ensuring that we are sighted on best practice from across policing and other sectors and that we develop a clear evidence base of ‘what works’ so that activity and policing interventions support the force’s strategic priorities. We take an evidence informed approach alongside research and evaluation of interventions and changes in practice, working with external research expertise in order to provide efficient and effective services to identify and protect the vulnerable, keep communities safe and prevent and respond to harm.

During the last year, we have worked with the University of Sussex to understand better our response to domestic abuse through listening to the original calls, built relationships with the Data Sciences centre with a view to offering internships for PhD data analysts, and with the University of Winchester Criminal Justice Research Network. We have facilitated six post graduate or post-doctoral research projects ranging from specialist interviewing to the powers of social workers and the force supports three officers through the Cambridge Police Leadership Masters programme each year. The following projects are currently governed through this portfolio:

  • Special Constable review by Dr Iain Britton – University of Northampton – The institute for public safety, crime and
  1. Internal Controls

Controls have been identified that are designed to mitigate the risks identified within my portfolio. Responsibility for the effective implementation of each control has been delegated to a nominated lead. Through the governance arrangements within my portfolio, assurance has been obtained, along with evidence from each nominated lead that the controls have been tested and are operating effectively.

I confirm that all my departmental heads are aware of the Force’s Corporate Governance Framework, which includes the Financial Regulations and Contract Standing Orders.

  1. Control Weaknesses

Identified risks within my portfolio are reviewed by me on a regular basis. Those that are considered to be significant (red) are monitored on a regular basis through corporate meetings, including the Organisational Reassurance Board and regularly updated and considered at the Strategic Chief Officer Meeting, chaired by the Chief Constable. In some circumstances, an action plan is produced to provide a more focused approach to a specific risk / gap. Continuous review of the progress of action plans takes place through the LPAB.

  1. Overall Assurance from Portfolio Lead

In my opinion, the internal control framework of ACC Local Policing is soundly based. All significant risks to the delivery of objectives have been identified and controls are in place to mitigate those risks.

Signed by:

Jayne Dando

ACC Local Policing and Public Protection

  1. Deputy Chief Constable Review

I have reviewed the statements contained above and the copy of the Portfolio Risk Register and Action Plan.

Signed by

Julia Chapman

Deputy Chief Constable Date

1. Statutory obligations

All principal statutory obligations relating to my portfolio have been identified and are set out below:

  • Financial Management (Appendix 1)

  • Transport Services (Appendix 2)

  • Estates and Facilities Management (Appendix 3)

  • Procurement (Appendix 4)

The framework clearly sets out how the statutory obligations will be delivered. The principles of Corporate Governance outlined in the Code of Corporate Governance for the Sussex Police & Crime Commissioner and the Chief Constable have been consistently applied in the delivery of services within the portfolio. https://www.sussex-pcc.gov.uk/the-pcc/transparency/

2.        Portfolio

The following areas form the portfolio.

  • Estates

  • Facilities Management

  • Finance & Insurance (jointly managed with Surrey Police)

  • Transport Services (jointly managed with Surrey Police)

  • Joint Procurement Services (jointly managed with Surrey Police)

Each area works to meet the objectives set by the Sussex Police & Crime Commissioner’s and Surrey Police & Crime Commissioner’s Police and Crime Plans, published here:

https://www.sussex-pcc.gov.uk/police-crime-plan/ https://www.surrey-pcc.gov.uk/

My portfolio covers the following areas of business:

  • Estates (estates strategy, estates improvement works, day to day management and maintenance of the estate on behalf of the Sussex Police and Crime Commissioner)

  • Facilities Management (provision of a range of services relating to accommodation and services for departments and divisions)

  • Finance (finance strategy, statutory finance reporting, internal and budgetary control and finance support to Surrey and Sussex budget holders)

  • Joint Transport Service (fleet asset management plan, vehicle replacement programme, day to day maintenance of all vehicles and transport services for Surrey and Sussex)

  • Joint Insurance Services (insurance approach and policy, advising on insurance implications and handling motor claims)

  • Joint Procurement Services (procurement strategy, procurement compliance, support new tenders, extensions and renewals and support contract owners with contract management)

The Code of Corporate Governance sets out a series of overarching strategic policies and operational documents for the force. I am responsible for the operation and review of the following:

  • Chief Constable’s Annual Governance Statement

  • Financial Regulations (with the PCCs’ Chief Finance Officers)

  • Financial Statements / Group Accounts (with the PCCs’ Chief Finance Officers)

  • Contract Standing Orders (with the PCCs’ Chief Finance Officers)

  • Chief Constables’ Schemes of Delegation

  • Revenue, Budget and Capital Programme (with the PCCs’ Chief Finance Officers)

  • Medium Term Financial Strategy (with the PCCs’ Chief Finance Officers)

  • Reserves policy (with the PCCs’ Chief Finance Officers) Please refer to the following appendices for additional information:

  • Finance (Appendix 1)

  • Joint Transport Service (Appendix 2)

  • Estates & Facilities (Appendix 3)

  • Procurement (Appendix 4)

3.        Sources of Assurance

  • Achieving Excellence in Police Finance (See section 7)

  • Annual Audit from the External Auditors, Ernst & Young

  • Fleet Internal Audit. Satisfactory assurance. 2016

  • Purchasing Internal Audit. Satisfactory assurance. 2017

  • Fees and Internal Audit. Satisfactory assurance. 2017

  • Vehicle Internal Audit. Satisfactory assurance. 2017

  • Capital Asset Internal Audit. Satisfactory assurance. 2018

  • Estates Internal Audit. Satisfactory assurance. 2018

  • Money Handling Internal Audit. Adequate assurance. 2018

  • Internal Audit. Satisfactory assurance. 2018

  • Capital Accounting and Internal Audit. Adequate assurance. 2019

  • Treasury Internal Audit. Adequate assurance. 2019

  • Main Internal Audit. Adequate assurance. 2019

4.        Business management

Processes are in place throughout Commercial and Financial Services to provide effective assurance. Through these meetings I am equipped with the right information to ensure I can be held to account for my portfolio at Force-level meetings of Surrey Police and Sussex Police, including PEEL meetings, the Surrey Police and Sussex Police Organisational Reassurance Boards, Chief Officer Meetings, the Strategic Change Board and by the Police  & Crime Commissioners of Surrey Police and Sussex Police.

5.        Reports & recommendations from other bodies

To ensure appropriate oversight of the rolling programme of inspections conducted by Her Majesty’s Inspectorate of Constabulary and Fire & Rescue; advice and recommendations from the Independent Office for Police Conduct, and; audits conducted by our Internal Auditors, recommendations relevant to my portfolio are added to the Portfolio Risk Register. Current reports containing recommendations and/or areas for improvement relevant to this portfolio are:

  • January 2018. Capital Asset

  • May 2018. Procurement. Internal

  • Estates Management. Internal Audit. 2018

  • October 2018. Money Handling Policy. Internal

  • January Capital Accounting and Monitoring. Internal Audit.

  • January 2019. Treasury Management. Internal Audit

  • February 2019. Main Accounting. Internal

As implementation of recommendations is a continual process, this list will be updated annually, upon  completion of future statements of assurance for this portfolio.

6.        Portfolio Risk Register

The Portfolio Risk Register identifies all risks that are relevant to the portfolio and which may affect the delivery of objectives within the portfolio. Each risk has an identified owner and details the control measures in place to address the risk. Risk Registers are maintained by both Surrey and Sussex Police forces. Risks associated with collaborated functions are reported into each force. Risks that are relevant to the People Services portfolio, and which may affect the delivery of its objectives, are reviewed on a regular basis at my portfolio meeting, scrutinised at both forces’ Organisational Reassurance Boards and reported into both forces’ Joint Audit Committees. Terms of reference and minutes of the Sussex Joint Audit Committee are published here: https://www.sussex-pcc.gov.uk/the-pcc/transparency/audit-committee/

Terms of reference and minutes of the Surrey Joint Audit Committee are published here

http://www.surrey-pcc.gov.uk/transparency/key-responsibilities/

  1. Evidence Informed Policing & research projects

The Force is one of only three nationally to have piloted ‘Achieving Excellence in Police Finance’ - representing innovative and national best practice for financial management.

Raising the levels of Financial Management in Policing locally and nationally and approved by NPCC and endorsed by APCC and PACCTS, it aims to develop and collaborate on key themes and streams to maximise the benefits of achieving exemplary financial health throughout the sector and achieving world class levels of financial management, building national capability and providing local support.

The FMCR piloted by the Force has been undertaken independently by the Chartered Institute of Public Finance and Accountancy (CIPFA). The assessment reviewed the Force’s approach to financial management and its financial resilience against world class financial management standards. The Force has been classed as currently achieving a 3 star rating and has agreed a road map, based on CIPFA’s recommendations to achieve higher standards in future. CIPFA will review our improvement plans annually and advise on adopting continued best practice.

8.        Home Office Police Transformation Fund Projects

The Police Transformation Fund is a significant funding source to incentivise and facilitate transformation in policing to invest in cross-force specialist capabilities, to exploit new technology and to improve the policing response to changing threats. As at the date of this assurance statement no projects are governed through this portfolio.

9.        Internal Controls

Controls have been identified that are designed to mitigate the risks identified in 5 above. Responsibility for the effective implementation of each control has been delegated to a nominated lead. Through the governance and one to one processes within the portfolio, assurance has been obtained, along with evidence from each nominated lead that the controls have been tested and are operating effectively.

I confirm that all my departmental heads are aware of the force’s Corporate Governance Framework, which includes the Financial Regulations and Contract Standing Orders.

  1. Control Weaknesses

Identified risks within my portfolio are reviewed by me on a regular basis. Those that are considered to be significant (red) are monitored on a regular basis through corporate meetings, including the Organisational Reassurance Board and regularly updated and considered at the Strategic Chief Officer Meeting, chaired by the Chief Constable. In some circumstances, an action plan is produced to provide a more focused approach to a specific risk / gap. Continuous review of the progress of action plans takes place through my portfolio meeting.

11.     Overall Assurance from Portfolio Lead

In my opinion, the internal control framework of the Commercial and Financial Services Portfolio is soundly based. All significant risks to the delivery of objectives have been identified and controls are in place to mitigate those risks.

Signed by:

Peter Gillett, CPFA

Executive Director of Commercial and Financial Services

Date: 13.6.2019

12.     Deputy Chief Constable Review

I have reviewed the statements contained above and the copy of the Portfolio Risk Register and Action Plan.

Signed by:

Jo Shiner

Deputy Chief Constable

Date: 22.07.2019

 

Financial Management

The following principal statutory obligations relating to the Financial Management aspect of my portfolio have been identified and are set out below:

Finance

  • Personal fiduciary duty to the local taxpayer for proper administration of the financial affairs of the Force and securing efficient use of public funds (Police Reform and Social Responsibility Act 2011 and Section 151 Local Government Act 1972)

  • Responsibility to report any unlawful or potentially unlawful expenditure (Section 114 Local Government Finance Act 1988)

  • Chief Constable’s professional adviser on all financial matters (Financial Management Code of Practice for the Police Forces of England and Wales - FMCP)

  • Responsibility to ensure budget calculations are robust and reserves adequate (s25 Local Government Act 2003 and in line with CIPFA Guidance)

  • Responsibility to ensure professional knowledge is kept current through continuing professional development (Section 113 Local Government Finance Act 1988 in England and Wales)

  • Ethical conduct (in compliance with the IFAC Code of Ethics for Professional Accountants)

  • Liaise with the External Auditor regarding responsibilities for accounting records and supporting information, control systems and the Statement of Accounts (Accounts and Audit Regulations 2003 and provisions of the Audit Commission Act 1998)

  • Liaise with the Internal Auditor in relation to internal audit arrangements (Regulation 6 Accounts and Audit (England) Regulations 2011)

  • Production of the annual statement of accounts for the Chief Constable and providing information for the group accounts (Code of Practice on Local Authority Accounting in the United Kingdom)

The Code of Corporate Governance sets out a series of overarching strategic policies and operational documents for the provision of Financial Management of the Force. I am responsible for the operation and review of the following policies:

  • Policy 489/2018 Donations & Sponsorship from Members of the Public, Companies & other Bodies

  • Policy 490/2018 Income Generation & Charging

  • Policy 702/2019 Establishment Control Policy (Surrey and Sussex)

  • Policy 1068/2017 Joint Working Relationship (JWR)

  • Policy 1102/2017 Veterinary Services for Injured Animals: Responsibilities and Payment

These policies cover Financial Regulation within the force, Contract Standing Orders, Reserves, Budget Preparation, Budget Monitoring, Budget Management, Capital Accounting, Banking & Imprest, Asset Inventory, Accounting, Asset Purchase & Disposal, and Invoices & Debt Recovery, use of vehicles and estates matters.

Insurance Obligations

As a public body, Sussex Police has no statutory requirement to hold any insurance cover, however it does have a responsibility to manage an appropriate and effective programme of risk transfer and risk retention, in order to protect the organisation’s budgets.

Sussex Police also has a responsibility to minimise the cost of losses by handling insurance claims effectively and recovering the organisation’s outlay where possible. In addition to those obligations, Sussex Police does also hold Public Liability Insurance.

Joint Transport Service

The following principal statutory obligations relating to the provision of Joint Transport Service aspect of my portfolio have been identified and are set out below:

Joint Transport Services Primary Legislation

  • The Road Vehicles (Construction and Use) Regulations 1986

  • Petroleum (Consolidation) Act 1928

  • The Petroleum Spirit (Motor Vehicles) Regulations 1929

  • The Petroleum (Mixtures) Order 1929

  • Petroleum (Transfer of Licenses) Act 1936

  • The Petroleum (Liquid Methane) Order 1957

  • The Petroleum (Regulation) Acts 1928 and 1936 (Repeals and Modifications) Regulations 1974

  • The Petroleum (Consolidation) Act 1928 (Enforcement) Regulations 1979

  • The Petroleum Spirit (Plastic Containers) Regulations 1982

  • Health and Safety at Work Act, 1974

Secondary Legislation applicable to Joint Transport Services

  • Control of Substances Hazardous to Health Regulations, 2002

  • Provision and Use of Work Equipment Regulations, 1998

  • Manual Handling Operations Regulations, 1992

  • Workplace, (Health, Safety and Welfare) Regulations, 1992

  • Personal Protective Equipment at Work Regulations, 1992 (as amended)

  • Health and Safety (Safety Signs and Signals) Regulations, 1996

  • The Control of Noise at Work Regulations, 2005

  • Lifting Operations and Lifting Equipment, Regulations, 1998

  • Pressure Systems Safety Regulations, 2000

  • Control of Lead at Work Regulations, 2002

  • Dangerous Substances and Explosive Atmospheres Regulations, 2002

  • The Health and Safety (First Aid) Regulations, 1981

  • Health and Safety (Display Screen Equipment) Regulations, 1992 (as amended)

  • Safety Representatives and Safety Committees Regulations, 1977 (as amended)

Health and Safety Guidance (Approved Codes of Practice) that apply to Joint Transport Services

  • HSG 51 Storage of Flammable Liquids in Containers

  • HSG 139 The Safe Use of Compressed Gases in Welding, Flame Cutting and Allied Processes

  • HSG 140 The Safe Use of Flammable Liquids

  • HSG 250 Guidance on Permit-to-Work Systems

  • HSG 253 The Safe Isolation of Plant and Equipment

  • HSG 258 Controlling Airborne Contaminants at Work – A Guide to Local Exhaust Ventilation

  • HSG261 Health and Safety in Motor Vehicle Repair and Associated Industries

  • HSG262 Managing Skin Exposure Risks at Work

  • HSG 274 Legionnaires’ Disease: Control of Legionella

These Health and Safety Approved Codes of Practice (ACOPs) have Quasi Legal Status in that Sussex Police does not have to follow this guidance, however they must be able to evidence how their work practices achieve the required standard detailed within the guidance and are therefore included here.

The Code of Corporate Governance sets out a series of overarching strategic policies and operational documents for the provision of Transport Services for the Force. I am responsible for the operation and review of the following:

  • Joint Transport Services Asset Management Plan 2018-2023.

  • Policy 1000/2018 The Use and Safeguarding of Police Vehicles and Non-Police Vehicles for Policing Business Purposes (Surrey & Sussex)

Estates & Facilities Management

The following principal statutory obligations relating to the Estates & Facilities Management aspect of my portfolio have been identified and are set out below:

Estates & Facilities Primary Legislation

  • Air Quality (England) Regulations 2000

  • Air Quality (Wales) Regulations 2000

  • Boiler (Efficiency) Regulations 1993

  • Clean Air Act 1993

  • Confined Spaces Regulations 1997

  • Construction (Design and Management) Regulations (CDM) Now 2007

  • Control of Asbestos Regulations 2006

  • Control of Noise at Work Regulations 2005

  • Control of Pollution (Oil Storage) Regulations 2001

  • Control of Substances Hazardous to Health Regulations 2002 (COSHH)

  • Disability Discrimination Act 2005

  • Electricity at Work Regulations 1989

  • Electrical Equipment (Safety) Regulations 1994

  • Electromagnetic Compatibility Regulations 1992

  • Energy Act 1983

  • Energy Performance of Buildings Directive

  • Environment Act 1995

  • Environmental Protection Act 1990

  • European F-Gas Regulation

  • Factories Act 1961

  • Fire Precautions Act 1971

  • Food Safety Act 1990

  • Fuel and Electrical (Heating) (Control) (Amendment) Order 1980

  • Gas Appliances (Safety) Regulations 1995

  • Gas Safety (Installation & Use) Regulations 1998 (GSIUR)

  • Health and Safety at Work Act 1974 (HSWA)

  • LEV HSG54 1998 (and HSG 37 1993 and HSG 258 2008)

  • Lifting Operations and Lifting Equipment Regulations 1998 (LOLER)

  • Lifts Regulations 1997

  • Notification of Cooling Towers and Evaporative Condensers Regulations 1992

  • Personal Protective Equipment Regulations 2002

  • Pollution Prevention and Control (England and Wales) Regulations 2000

  • Pressure Equipment Regulations 1999

  • Pressure Systems Safety Regulations 2000

  • Provision and Use of Work Equipment Regulations 1998

  • Provision and Use of Work Equipment Regulations 1998 (PUWER)

  • Simple Pressure Vessels (Safety) Regulations 1991

  • Sustainable and Secure Buildings Act 2004

  • Water Supply (Water Fittings) Regulations 1999

  • Workplace (Health, Safety and Welfare) Regulations 1992 (WHSWR)

  • Work at Height Regulations 2005 (S.I.2005 No 735)

  • Waste Electrical and Electronic Equipment Regulations 2006

  • These legislative standards must be complied with in any event and nothing in the service requirement or the standards absolve the Supplier from doing

  • Secondary Guidance Notes & Codes of Practice

  • HSE Guidance Note PM5 1989 Automatically controlled steam and hot water boilers (and BS EN 61508)

  • Prevention and Control of Legionellosis (Including Disease) Legionnaire HSE Approved Code of Practice L8

  • Safe use of Pesticides for Non-agricultural Purposes Approved Code of Practice L9

  • ACoP 22 Safe use of work Provision and Use of Work Equipment Regulations 1998 (L 22) and 33

  • Safety of Pressure Systems L122 ACoP L122

  • Statutory Instrument 2002 2980, The Waste Incineration (England and Wales) Regulations 2002

  • NFPA25 STANDARD FOR THE INSPECTION, TESTING, AND MAINTENANCE OF WATER-BASED FIRE PROTECTION SYSTEMS

  • Food and Hygiene Regulations 2005

  • HVCA Internal Cleanliness of Ventilation Systems TR/19

  • Crown Premises Inspection Group [and their Scottish equivalent CIFRA (HM Chief Inspector of Fire and Rescue Authorities)] –responsible for fire safety on Crown property

  • BS/ISO/EN Standards

  • BS 5266 Part 1 Emergency Lighting. Code of Practice for the Emergency Lighting of Premises Other than Cinemas and Certain Other Specified Premises used for Entertainment 2005

  • BS 5839 Part 1 Fire Detection and Alarm Systems for Buildings. Code of Practice for the System Design, Installation, Commissioning and Maintenance 2002 + A2: 2008

  • BS 5588 Fire Precautions in the Design, Construction and use of Buildings 1990-2004

  • BS 6173: 2009.(This Standard requires interlocking of mechanical ventilation systems and gas supplies for all types of appliances in commercial kitchens, preventing a gas appliance from being switched on before the ventilation system is )

  • BS 6700 Specification for Design, Installation, Testing and Maintenance of Services Supplying Water for Domestic Use Within Buildings and their Cartilages 2006 + A1: 2009

  • BS 7671 Requirements for Electrical Installations –IEE Wiring Regulations 17thEdn 2009

  • BS 7430 1998

  • BS 6651 2002

  • BS 5306 Part 4 2002 - Fire extinguishing installations –CO2 systems

  • BS 5306 Part 3 2009

  • BS EN 3 Portable extinguishers

  • BS 5839 Pt 1 2002

  • BS EN 671 –1 2001

  • BS 12094 2003 - 2006

  • BS 9251:2005 Sprinkler systems for residential and domestic occupancies

  • BS 750 Registered Homes Act 1984 (as A FIR 1)

  • ISO 17020 (EN 45004)

  • BS 7036 Pt 1 –5 1996

  • BS 5871 2005 –2007

  • BS 5837:2012 Trees in relation to design, demolition and construction – Recommendations

  • BS 6571 Pt 4 1989

  • BS 6651 2002

  • Building Regulations (England & Wales Only)

  • Building Act 1984

  • Building Regulations Act 1991 2000 Part B, Approved Document B (2006)

  • Building Regulations Act 2000 Approved Document F (2010)

  • Building Regulations Act 2000 Approved Document G (1992) incorporating 2000 amendments

  • Building Regulations Act 2000 Approved Document H (2002)

  • Building Regulations Act 1991 2000 Approved Document J (2010)

  • Building Regulations Act 1991, 2000 Approved Part M (2004)

  • Building Regulations Act 2000 Approved Part L (2010)

  • Building Regulations Act 2000 Approved Document P (2006)

  • RIBA (Royal Institute of British Architects)

The Code of Corporate Governance sets out a series of overarching strategic policies and operational documents for the provision of Transport Services for the Force. I am responsible for the operation and review of the following:

  • Policy 1095/2018 Asbestos Management

  • Policy 1096/2018 Water Management

  • Policy 1141/2016 Estates Acquisition and Disposals

The following services are maintained under this aspect of the Portfolio

Cleaning & Waste Management

Cleaning Services, Cleaning Consumables, Window Cleaning Services, Feminine Hygiene Services

Laundry Services, WEEE Waste, Clinical/Cytotoxic Waste, General & Environmental Waste Furniture Disposal, Pest Control, Snow clearance and gritting, First Aid Box Management.

Customer Support Services

Helpdesk, Corporate Reception to HQ, ID card issuing, Lost property, Internal Planting, Gardening/Landscaping, Dust Control Mats, Locksmith Services, Re-Glazing Services, Signage Vehicle Parking and permit Management, Visitors and Contractor Parking, Taxis

Travel & Hotel bookings, Locker Management, Pool cars, Catering, Vending, Photocopier and consumable Management, Stationary and Paper Management, Raising Purchase Orders,

TV Licence Management, Performing Rights Licences, Hazardous Waste Licences, Cash Storage and Management, Recharges Management.

Security

Intruder Alarms, Building & Staff Security, Manned Guarding, Access Control Administration Site CCTV Management, Locking & Unlocking.

Distribution Services

Despatch Services – Goods Inward & Outward, Uniform Stores, Mail - Scanning, Incoming & Outgoing, Room Configuration, Office Moves and Churn, Portering.

Emergency Planning

Business Continuity Plan Department & Strategic Co-ordination Centre, Emergency Evacuation of Buildings.

Estates & Future Workplace (EFWP)

Negotiation with partner organisations, Re-provision of services to partner sites, Overall project management of Estates Capital Strategy.

Estates

Statutory Maintenance, Planned Maintenance, Reactive Maintenance, Fire Risk Assessments Legionella Water Management, Asbestos Management, Lightning Protection, Building Alterations Refurbishments and New Builds, CAD Planning, Space Management and Utilisation

Energy and Carbon Management, Emergency call out provision, Building Management Systems Potable water management, five year Maintenance Plan, Permits to Work and Access Permits

Fuel Tank Management, Property Valuation Management, Business Rates, Site Acquisitions and Disposals, Leases and Licences, Rent Negotiations, Building and M&E Condition Surveys

Health and Safety Surveys, Estates database (Land Terrier), Benchmarking.

General Services

Reception counter, Print room, Uniform Stores, Tailoring Services

Property Evidence Stores

Receipt of Evidence, Storage of Evidence, Return of goods, Disposal of goods, Internet Sales

Income Generation

Community Infrastructure Levy and Section 106 submissions, External lets, Radio Mast management,  Property Rentals, Car Parking income.

Procurement

The following principal statutory obligations relating to the Procurement aspect of my portfolio have been identified and are set out below:

  • EU Procurement law / legislation

  • Contract Standing Orders (CSOs)

The Code of Corporate Governance sets out a series of overarching strategic policies and operational documents for the provision of Procurement for the Force. I am responsible for the operation and review of the following:

  • Policy 596/2018 Procurement Policy (Surrey & Sussex)

  1. Statutory obligations

All principal statutory obligations relating to my portfolio have been identified and are set out below:

  • Data Protection Act 1998
  • Data Protection Act 2018
  • Freedom of Information Act 2000

The framework clearly sets out how the statutory obligations will be delivered. The principles of Corporate Governance outlined in the Code of Corporate Governance for the Sussex Police & Crime Commissioner and the Chief Constable have been consistently applied in the delivery of services within the portfolio. https://www.sussex-pcc.gov.uk/the-pcc/transparency/

  1. Portfolio

The following areas form my portfolio:

  • Service Management and Management of Police information
  • Information assurance
  • Data Protection and Freedom of Information
  • Information Sharing Agreements
  • Support, maintenance and delivery of computer, network, telephony and information management systems across the Surrey and Sussex Police
  • Providing secure and appropriate access to systems and data and ensuring that expectations for availability and integrity are met as
  • The capability to develop and maintain an integrated ICT architecture, alongside the capability to define and deliver new technology related projects

Information Technology (IT) is a support function that provides and maintains systems and technology across all departments of Surrey and Sussex Police Forces and their collaborated areas. IT supports all other areas of the business, with a specific focus on value for money and enabling the development of partnerships. The department works to meet the objectives set by the Sussex Police & Crime Commissioner’s and Surrey Police & Crime Commissioner’s Police and Crime Plans, published here:

https://www.sussex-pcc.gov.uk/police-crime-plan/

https://www.surrey-pcc.gov.uk/

My portfolio covers the following areas of business:

  • Client Services
  • Service Centre – which includes service desk, desktop and mobile support plus
  • Business Partners and Service Management
  • Tri-Force Equip Programme (Enterprise Resource Planning System)
  • Programmes and Governance
    • Project management, project support and project management office
    • Testing
  • Architecture and Analysis
    • Technical Architecture; Solutions Architecture;
    • Business Analysis
  • Operational Services
    • Infrastructure and Networks Management
    • Applications Management; Process Services, Service Delivery, Change and Resolution Management; New Desktop Delivery
  • Digital Services Mobile Policing Project delivery

The Code of Corporate Governance sets out a series of overarching strategic policies and operational documents for the force.

I am responsible for the operation, review and evaluation of the following:

  • Surrey & Sussex IT Strategy
  • Surrey & Sussex Information Management Strategy
  • Mobile Policing Strategy

As detailed in the Code of Corporate Governance, I am responsible for the operation and review of the following policies:

  • 722/2016 Force Information Security Policy
  • 821/2017 Freedom of Information Act 2000

I am responsible for ensuring that staff within my portfolio area adhere to the content and wording of these items. I can also confirm that all my departmental heads are aware of the Code of Corporate Governance for the Sussex Police & Crime Commissioner and the Chief Constable where all such policies are recorded.

  1. Sources of Assurance
    • Information Commissioner’s Office Data Protection December 2018
    • IT Needs assessment. Internal Audit. December 2018
    • IT Strategy. Internal Audit. Limited assurance. December
  • Digital Data and Technology (DDaT) Monthly Accountability and Performance Board
  1. Business Management

Processes are in place throughout Information Technology to provide effective assurance. Through the Joint IT Planning and Performance Board and the Security & Information Management Board I am equipped with the right information to ensure I can be held to account for my portfolio at Force-level meetings of Surrey Police and Sussex Police, including PEEL meetings, the Surrey Police and Sussex Police Organisational Reassurance Boards, Chief Officer Meetings, the Strategic Change Board and PCC Governance Board.

  1. Reports & recommendations from other bodies

To ensure appropriate oversight of the rolling programme of inspections conducted by Her Majesty’s Inspectorate of Constabulary and Fire & Rescue; advice and recommendations from the Independent Office for Police Conduct, and; audits conducted by our Internal Auditors, recommendations relevant to my portfolio are added to the Portfolio Risk Register. Current reports containing recommendations and/or areas for improvement relevant to this portfolio are:

  • 2016 Audit focusing on Principle 7 (security) of the Information Commissioner’s Office.
  • April 2016. Joint inspection. Delivering Justice in the digital age - national report 
  • December Data Protection Audit. Information Commissioner’s Office.
  • December 2018. IT Strategy. Internal

As implementation of recommendations is a continual process, this list will be updated annually, upon completion of future statements of assurance for this portfolio.

  1. Portfolio Risk Register

The Portfolio Risk Register identifies all risks that are relevant to the portfolio and which may affect the delivery of objectives within the portfolio. Each risk has an identified owner and details the control measures in place to address the risk. Risk Registers are maintained by both Surrey and Sussex Police forces. Risks associated with collaborated functions are reported into each force. Risks that are relevant to the Information Technology portfolio, and which may affect the delivery of its objectives, are reviewed on a regular basis at my portfolio meeting, scrutinised at both forces’ Organisational Reassurance Boards and reported into both forces’ Joint Audit Committees. Terms of reference and minutes of the Sussex Joint Audit Committee are published here: https://www.sussex-pcc.gov.uk/the-pcc/transparency/audit-committee/

Terms of reference and minutes of the Surrey Joint Audit Committee are published here

http://www.surrey-pcc.gov.uk/transparency/key-responsibilities/

  1. Evidence Informed Policing & research projects

As a key element of improving our services, Sussex Police works with a range of academic partners to understand what works and introduce new approaches that have been rigorously evaluated. As at the date of this assurance statement no projects are governed through this portfolio.

  1. Home Office Police Transformation Fund Projects

The Police Transformation Fund is a significant funding source to incentivise and facilitate transformation in policing to invest in cross-force specialist capabilities, to exploit new technology and to improve the policing response to changing threats. As at the date of this assurance statement no projects are governed through this portfolio.

  1. Internal Controls

Controls have been identified that are designed to mitigate the risks identified within my portfolio. Responsibility for the effective implementation of each control has been delegated to a nominated lead. Through the governance arrangements within my portfolio, assurance has been obtained, along with evidence from each nominated lead that the controls have been tested and are operating effectively.

I confirm that all my departmental heads are aware of the force’s Corporate Governance Framework, which includes the Financial Regulations and Contract Standing   Orders.

  1. Control Weaknesses

Identified risks within my portfolio are reviewed by me on a regular basis. Those that are considered to be significant (red) are monitored on a regular basis through corporate meetings, including the Organisational Reassurance Board, chaired by the Deputy Chief Constable and regularly updated and considered at the Strategic Chief Officer Meeting, chaired by the Chief Constable. In some circumstances, an action plan is produced to provide a more focused approach to a specific risk / gap. Continuous review of the progress of action plans takes place through my portfolio meeting.

  1. Overall Assurance from Portfolio Lead

In my opinion, the internal control framework of the IT Portfolio is soundly based. All significant risks to the delivery of objectives have been identified and controls are in place to mitigate those risks.


Signed by

Joe Langford

Chief Digital and Information Officer, Surrey and Sussex

Date 07/07/20

 

  1. Deputy Chief Constable Review

I have reviewed the statements contained above and the copy of the Portfolio Risk Register and Action Plan.

Signed by

Julia Chapman

Temporary Deputy Chief Constable Date 11.07.20

1. Statutory obligations

All principal statutory obligations relating to my portfolio have been identified and are set out below:

  • Aviation Security Act 1982
  • Civil Contingencies Act 2004
  • Data Protection Act 2018
  • Emergency Services Collaboration Bill
  • Equality Act 2010
  • Firearms Regulations 2019 (Amended)
  • Freedom of Information Act 2000
  • Health and Safety at Work, etc. Act 1974
  • Human Rights Act 1998
  • Police (Complaints and Misconduct) Regulations 2012
  • Police (Detention and Bail) Act 2011
  • Police Act 1996
  • Police and Crime Act 2009
  • Policing and Crime Act 2017
  • Police and Criminal Evidence Act 1984
  • Police Regulations 2003
  • Code of Practice for Victims of Crime
  • Surveillance Commissioner / CCTV regulations under Regulation of Investigatory Powers Act 2000 (amended)

The framework clearly sets out how the statutory obligations will be delivered. The principles of Corporate Governance outlined in the Code of Corporate Governance for the Sussex Police & Crime Commissioner and the Chief Constable have been consistently applied in the delivery of services within the portfolio. https://www.sussex-pcc.gov.uk/about/transparency/

  1. Portfolio

The following areas form my portfolio.

  • Contact Management
  • Operations Command (Joint with Surrey Police)
  • Airport - Policing Gatwick

Each area works to meet the objectives set by the Sussex Police & Crime Commissioner’s Police and Crime Plan and in the case of Operations Command, those objectives set by the Surrey Police & Crime Commissioner’s Police and Crime Plan, published here:

https://www.sussex-pcc.gov.uk/police-crime-plan/ https://www.surrey-pcc.gov.uk/

My portfolio covers the following areas of business:

  • Airwave Resilience Lead      
  • Gatwick New Range build
  • Automatic Number Plate Recognition (ANPR)
  • Lead for FCCCD – Control Room Resourcing
  • Business Continuity Management      
  • Legitimacy & Ethics Board Lead & member across Surrey & Sussex
  • Chemical, biological, radiological and nuclear defence (CBRN)                                                                                    
  • Local Resilience Forum
  • Civil Contingencies      
  • Major Incident Response Plans
  • Clinical Governance Lead      
  • ESMCP & Airwave
  • Contact Management      
  • NPAS Board Member
  • Corporate governance      
  • Regional RICC & Mobilisation Lead
  • Counter Terrorism Lead, Regional CONTEST Board member & Chair of Surrey & Sussex Regional CONTEST Board    
  • Lead for Ops Command Including Roads Policing, Firearms and Public Order (Local & Regional)
  • Drones/Air Support      
  • Pensions Board Member
  • Duties      
  • Public Order Training
  • Emergency Planning      
  • On Call NPCC
  • Emergency Services Collaboration Lead 
  • Operational Planning
  • Emergency Services Network      
  • Oversight of all Operational activities
  • Equip Duties Regional Lead & member of across Surrey & Sussex Equip/ERP Board                                                                         
  • Overt CT Response
  • EU Exit Lead across Surrey Police & Sussex Police      
  • Police Dogs & Training
  • Firearms Licensing      
  • Police Search & Training
  • Firearms Training      
  • PO Gold
  • Force SECAmb Lead      
  • Public Safety Policing
  • Gatwick Airport Policing      
  • Regional ESMCP Transition to Service Lead
  • Regional Public Order Public Safety (POPS) Lead, Chair of South East Public Order Public Safety (SEPOPS) and National Public Order Safety Working Group member
  • Star Chase Trial (TVT) for DSTL Lead
  • Stop and Search
  • Sussex Local Resilience
  • Telematics & Vehicle Video Implementation (across front line fleet in collaboration with Fire Service)
  • Sussex Safer Roads Partnership 
  • SRO for Contact Transformation Programme (CTP) 
  • Uniform Committee Lead
  • Use of force
  • SRO Body Worn Video      
  • Vehicle Recovery Scheme

The Code of Corporate Governance sets out a series of overarching strategic policies and operational documents for the Force.

I am responsible for the operation, review and evaluation of the following strategies:

  • Surrey & Sussex Police Armed Policing Strategic Threat and Risk Assessment
  • Surrey & Sussex Police Public Order Strategic Threat and Risk Assessment

As detailed in the Code of Corporate Governance, I am responsible for the operation and review of the following policy:

  • 1057/2018 Business Continuity Management

I am responsible for ensuring that staff within my portfolio area adhere to the content and wording of these items. I can also confirm that all my departmental heads are aware of the Code of Corporate Governance for the Sussex Police & Crime Commissioner and the Chief Constable where all such policies are recorded.

  1. Sources of external assurance
  1. Business management

There are processes in place across my portfolio area ensuring governance arrangements are fit for purpose and that robust reviewing and monitoring mechanisms are in place which enables me to provide assurance to and be held accountable at the Organisational Reassurance Board (ORB) and the Force PEEL Board.

I have a framework of meetings supporting my portfolio, structured to report into my ACC Portfolio meeting. Its agenda includes:

  • Force Risks
  • Departmental Risks
  • Performance Risks
  • Organisational Risks
  • Her Majesty's Inspectorate of Constabulary and Fire & Rescue (HMICFRS) recommendations
  • Independent Office for Police Conduct (IOPC) recommendations and learning The other meetings that feed into my portfolio are
  • Command Oversight Board
  • 1-2-1s with Departmental Heads
  • Strategic Firearms Forum
  • Sussex Resilience Forum Executive Group and Delivery Group
  • Sussex Safer Roads Partnership Directors Group
  • Sussex Safer Roads Partnership Strategy Group
  • SEPOPS
  • Emergency Services Collaboration Programme Strategic Board
  • Emergency Services Collaboration Programme Delivery Group
  • Emergency Services Network Programme Board
  • Firearms Licensing Performance Scrutiny Meeting
  1. Reports & recommendations from other bodies

To ensure appropriate oversight of the rolling programme of inspections conducted Her Majesty’s Inspectorate of Constabulary and Fire & Rescue; advice and recommendations from the Independent Office for Police Conduct, and; audits conducted by our Internal Auditors, recommendations relevant to my portfolio are added to the Portfolio Risk Register. Current reports containing recommendations and/or areas for improvement relevant to this portfolio are:

  • Safer Sussex Roads Partnership, Internal Audit November 2018

As the generation and implementation of recommendations is a continual process, this list will be updated annually, upon completion of future statements of assurance for this portfolio.

  1. Portfolio Risk Register

The Portfolio Risk Register identifies all risks that are relevant to the portfolio and which may affect the delivery of its objectives. Each risk has an identified owner and details the control measures in place to address the risk. Risk Registers are maintained by both Surrey and Sussex Police forces. Risks associated with collaborated functions are reported into each force. Risks that are relevant to the Operations Command portfolio, and which may affect the delivery of its objectives, are reviewed on a regular basis at my portfolio meeting, scrutinised at both forces’ Organisational Reassurance Boards and reported into both forces’ Joint Audit Committees. Terms of reference and minutes of the Sussex Joint Audit Committee are published here:

https://www.sussex-pcc.gov.uk/the-pcc/transparency/audit-committee/

Terms of reference and minutes of the Surrey Joint Audit Committee are published here

http://www.surrey-pcc.gov.uk/transparency/key-responsibilities/

  1. Evidence Informed Policing & research projects

As a key element of improving our services, Sussex Police works with a range of academic partners to understand what works and introduce new approaches that have been rigorously evaluated. The following projects are governed through this portfolio:

  • Body Recovery from Inland Waterways Project. PS Lorna Dennison Wilkins, University of Dundee. 2012/2018. This work is ongoing and subject to review by end of
  1. Internal Controls

Controls have been identified that are designed to mitigate the risks identified within my portfolio. Responsibility for the effective implementation of each control has been delegated to a nominated lead. Through the governance arrangements within my portfolio, assurance has been obtained, along with evidence from each nominated lead that the controls have been tested and are operating effectively.

I confirm that all my departmental heads are aware of the force’s Corporate Governance Framework, which includes the Financial Regulations and Contract Standing   Orders.

  1. Control Weaknesses

Identified risks within my portfolio are reviewed by me on a regular basis. Those that are considered to be significant (red) are monitored on a regular basis through corporate meetings, including the Organisational Reassurance Board, chaired by the Deputy Chief Constable and regularly updated and considered at the Strategic Chief Officer Meeting, chaired by the Chief Constable. In some circumstances, an action plan is produced to provide a more focused approach to a specific risk / gap. Continuous review of the progress of action plans takes place through my portfolio meeting.

  1. Overall Assurance from Portfolio Lead

In my opinion, the internal control framework of ACC Operations and Contact is soundly based. All significant risks to the delivery of objectives have been identified and controls are in place to mitigate those risks.

Signed by:

Dave Miller EA557

ACC Surrey & Sussex Operations, Gatwick Airport Policing, FCCCD

Date:  09.07.20

  1. Deputy Chief Constable Review

I have reviewed the statements contained above and the copy of the Portfolio Risk Register.

Signed by:

Julia Chapman EA919 T/Deputy Chief Constable

Date: 11.07.20

1. Statutory obligations

All principal statutory obligations relating to my portfolio have been identified and are set out below:

  • Access to Medical Reports Act 1988
  • Children and Families Act 2014
  • Data Protection Act 1998
  • Data Protection Act 2018
  • Employment Act 1989, 2002, 2008
  • Employment Agencies Act 1973
  • Employment Relations Act 1999, 2004
  • Employment Rights (Dispute Resolution) Act 1998
  • Employment Rights Act 1996
  • Employment Tribunals Act 1996
  • Enterprise Act 2016
  • Equal Pay Act 1970
  • Equality Act 2010
  • European Communities Act 1972
  • Freedom of Information Act 2000
  • Health and Safety at Work, etc. Act 1974
  • Human Rights Act 1998
  • Immigration Act 2016
  • Immigration, Asylum and Nationality Act 2006
  • Local Government Pension Scheme
  • National Minimum Wage Act 1998
  • Part Time, Agency, Fixed Term, Flexible Working Regulations
  • Pension Schemes Act 1993
  • Pensions Acts 1995, 2004, 2008, 2014
  • Police (Complaints and Misconduct) Regulations 2012
  • Police Pension Regulations 1987, 2006, 2015
  • Police Regulations 2003, 2008
  • Policing and Crime Act 2017
  • Protection from Harassment Act 1997
  • Public Interest Disclosure Act 1998
  • Rehabilitation of Offenders Act 1974
  • Superannuation Act 1972
  • Trade Union Act 2016
  • Trade Union and Labour Relations (Consolidation) Act 1992
  • Trade Union Reform and Employment Rights Act 1993
  • Transfer of Undertakings (Protection o Employment) Regulations 2006
  • Tribunals, Courts and Enforcement Act 2007
  • Work and Families Act 2006
  • Working Time Regulations 1998

All principal statutory obligations relating to my portfolio have been identified, many of which are regulated and governed by statute. These include the areas around Employment Law, Equality, Human Rights and finance and payroll legislation pertaining to the employment of staff and officers. In addition, my portfolio is regulated and governed by Police Regulations.

The framework clearly sets out how the statutory obligations will be delivered. The principles of Corporate Governance outlined in the Code of Corporate Governance for the Sussex Police & Crime Commissioner and the Chief Constable have been consistently applied in the delivery of services within the portfolio. https://www.sussex-pcc.gov.uk/the-pcc/transparency/

  1. Portfolio

The following areas form my portfolio:

  • HR Service delivery
  • Employee Services
  • Learning and Professional Development
  • Shared Business Services
  • Performance and Reporting
  • Occupational Health and Wellbeing

Each area works to meet the objectives set by the Sussex Police & Crime Commissioner’s and Surrey Police & Crime Commissioner’s Police and Crime Plans, published here:

https://www.sussex-pcc.gov.uk/police-crime-plan/ https://www.surrey-pcc.gov.uk/

My portfolio covers the following areas of business:

  • HR Service delivery
    • HR Business partners
    • Workforce planning
    • Employee Relations
  • HR Strategy and Projects
    • Reward and recognition
    • Projects and Change
    • Recruitment Strategy
    • Talent Management
  • Learning and Professional Development
    • Training Delivery
    • Development and progression
    • Leadership development
    • Capability Development
  • Shared Business Services
  • Transactional Recruitment
  • Learning & Development administration
  • Pension advice
  • Purchasing
  • Accounts payable
  • Accounts receivable
  • Payroll
  • Finance Exchequer services
  • Performance and Reporting
    • FTE/Establishment and pay reporting
    • Business improvement and analysis of future workforce demand
    • Reporting transactional finance activity
  • Occupational Health and Wellbeing
    • Occupational Health Service
    • Wellbeing initiative
  • Force Champion for CPD

The Code of Corporate Governance sets out a series of overarching strategic policies and operational documents for the force.

I am responsible for the operation, review and evaluation of the following:

  • Job descriptions for Chief Officers
  • Chief Officers Benefits Policy
  • The Surrey & Sussex Police Promotion Processes
  • The Surrey & Sussex Officer and Staff Recruitment Processes
  • Surrey & Sussex Induction Scheme
  • Surrey & Sussex Performance appraisal system
  • Surrey & Sussex Workforce Strategy
  • Surrey & Sussex Police Wellbeing Strategy

As detailed in the Code of Corporate Governance, I am responsible for the operation and review of the following policy:

  • 950/2019 Unsatisfactory Performance and Attendance

I am responsible for ensuring that staff within my portfolio area adhere to the content and wording of these items. I can also confirm that all my departmental heads are aware of the Code of Corporate Governance for the Sussex Police & Crime Commissioner and the Chief Constable where all such policies are recorded.

  1. Sources of Assurance
    • Internal Audit. Satisfactory assurance. 2017
    • Officer Internal Audit. Satisfactory assurance. 2017
    • People Services Policies and Internal Audit. Satisfactory assurance. 2017/18
  • Accounts payable. Internal Audit. Adequate assurance. 2017
  • Accounts Internal Audit. Adequate assurance. 2017
  • EDexel
  • Periodic Pay Review (undertaken by Hays)
  • ‘Learning the Lessons’ process after significant employment
  1. Business management

Processes are in place throughout People Services to provide effective assurance. I hold Senior Management Team meetings on a fortnightly basis at which all Heads of Departments attend. The Heads of Departments hold their own team meetings to ensure that they are up to date with key issues and risks and are abreast of all future developments. In addition, I ensure oversight and review of Surrey / Sussex people policy through a monthly  ACO Senior Management Team meeting.  I chair a bi-monthly Capability, Capacity and Performance Board, a  Joint Wellbeing Board and a Delivery Plan Quarterly Review meeting to review our progress against the agreed deliverables for People Services. My Senior Management Team chair on my behalf the People Services  Operations and Leads meetings to build relationships, agree priorities, discuss service issues and people development.

Through these meetings I am equipped with the right information to ensure I can be held to account for People Services activities at Force-level meetings of Surrey Police and Sussex Police, including PEEL meetings, the Surrey Police and Sussex Police Organisational Reassurance Boards, Chief Officer Meetings, the Strategic Change Board and PCC Governance Board.

  1. Reports & recommendations from other bodies

To ensure appropriate oversight of the rolling programme of inspections conducted by Her Majesty’s Inspectorate of Constabulary and Fire & Rescue; advice and recommendations from the Independent Office for Police Conduct, and; audits conducted by our Internal Auditors, recommendations relevant to my portfolio are added to the Portfolio Risk Register. Current reports containing recommendations and/or areas for improvement relevant to this portfolio are:

 

As implementation of recommendations is a continual process, this list will be updated annually, upon completion of future statements of assurance for this portfolio.

  1. Portfolio Risk Register

The Portfolio Risk Register identifies all risks that are relevant to the portfolio and which may affect the delivery of objectives within the portfolio. Each risk has an identified owner and details the control measures in place to address the risk. Risk Registers are maintained by both Surrey and Sussex Police forces. Risks associated with collaborated functions are reported into each force. Risks that are relevant to the People Services portfolio, and which may affect the delivery of its objectives, are reviewed on a regular basis at my portfolio meeting, scrutinised at both forces’ Organisational Reassurance Boards and reported into both forces’ Joint Audit Committees. Terms of reference and minutes of the Sussex Joint Audit Committee are published here: https://www.sussex-pcc.gov.uk/the-pcc/transparency/audit-committee/

Terms of reference and minutes of the Surrey Joint Audit Committee are published here

http://www.surrey-pcc.gov.uk/transparency/key-responsibilities/

  1. Evidence Informed Policing & research projects

As a key element of improving our services, Sussex Police works with a range of academic partners to understand what works and introduce new approaches that have been rigorously evaluated. As at the date of this assurance statement no projects are governed through this portfolio.

  1. Home Office Police Transformation Fund Projects

The Police Transformation Fund is a significant funding source to incentivise and facilitate transformation in policing to invest in cross-force specialist capabilities, to exploit new technology and to improve the policing response to changing threats. As at the date of this assurance statement no projects are governed through this portfolio.

  1. Internal Controls

Controls have been identified that are designed to mitigate the risks identified within my portfolio. Responsibility for the effective implementation of each control has been delegated to a nominated lead. Through the governance arrangements within my portfolio, assurance has been obtained, along with evidence from each nominated lead that the controls have been tested and are operating effectively.

I confirm that all my departmental heads are aware of the force’s Corporate Governance Framework, which includes the Financial Regulations and Contract Standing  Orders.

  1. Control Weaknesses

Identified risks within my portfolio are reviewed by me on a regular basis. Those that are considered to be significant  (red) are  monitored  on  a  regular  basis through corporate meetings, including the Organisational Reassurance Board and regularly updated and considered at the Strategic Chief Officer Meeting, chaired by the Chief Constable. In some circumstances, an action plan is produced to provide a more focused approach to a specific risk / gap. Continuous review of the progress of action plans takes place through my portfolio meeting.

  1. Overall Assurance from Portfolio Lead

In my opinion, the internal control framework of the People Services Portfolio is soundly based. All significant risks to the delivery of objectives have been identified and controls are in place to mitigate those risks.

Signed by:

Adrian Rutherford

Director of People Services, Surrey and Sussex

Date:  07 July 2020

  1. T/Deputy Chief Constable Review

I have reviewed the statements contained above and the copy of the Portfolio Risk Register and Action Plan.

Signed by:

Julia Chapman

T/Deputy Chief Constable

Date 11.07.20

1.        Statutory obligations

All principal statutory obligations relating to my portfolio have been identified and are set out below:

  • Civil Contingencies Act 2004

  • Data Protection Act 2018

  • Equality Act 2010

  • Freedom of Information Act 2000

  • Health and Safety at Work, etc. Act 1974

  • Human Rights Act 1998

  • Police (Complaints and Misconduct) Regulations 2012

  • Police (Detention and Bail) Act 2011

  • Police Act 1996

  • Police and Crime Act 2009

  • Police and Criminal Evidence Act 1984

  • Police Regulations 2003

  • Code of Practice for Victims of crime

  • The Disclosure and Barring Scheme - Statutory Guidance issued under Protection of Freedoms Act 2012 and section 113b (4A) of the Police Act 1997 "before issuing an enhanced criminal Record certificate the Secretary of State must request any relevant chief officer to provide any information" Section 119(2) Police Act says that chief officers shall comply as soon as practicable with a request under the above section.

The framework clearly sets out how the statutory obligations will be delivered. The principles of Corporate Governance outlined in the Code of Corporate Governance for the Sussex Police & Crime Commissioner and the Chief Constable have been consistently applied in the delivery of services within the portfolio. https://www.sussex-pcc.gov.uk/the-pcc/transparency/

2.        Portfolio

The following areas form my portfolio.

  • Major Crime Team (collaborated with Surrey Police)

  • Cyber Crime Unit (collaborated with Surrey Police)

  • Serious & Organised Crime Unit (collaborated with Surrey Police)

  • Economic Crime Unit (collaborated with Surrey Police)

  • Surveillance Unit (collaborated with Surrey Police)

  • Intelligence and Tasking (collaborated with Surrey Police)

  • Forensic Investigations and Forensic Services (collaborated with Surrey Police)

  • Force Authorising Officers for Surrey Police and Sussex Police

Each area works to meet the objectives set by the Sussex Police & Crime Commissioner’s Police and Crime Plan and in the case of Specialist Crime Command, those objectives set by the Surrey Police & Crime Commissioner’s Police and Crime Plan, published here:

https://www.sussex-pcc.gov.uk/police-crime-plan/ https://www.surrey-pcc.gov.uk/

My portfolio covers the following areas of business:

  • Reactive Investigations

    • Homicide, Stranger Rape, Serious and Complex

    • Coronial Services (Professional Lead)

    • Kidnap & Extortion

  • Proactive Investigations

    • Cyber Crime

    • Serious & Organised Crime

    • Economic Crime

    • Surveillance

  • Intelligence and Tasking

    • CHIS

  • Contest Strategy

    • Special Branch - regional collaboration

  • Forensics

    • Digital Forensics

  • Crime Support

    • Covert Policing Authorities

    • Communications Data

    • Crime Review

    • Investigation Standards

The Code of Corporate Governance sets out a series of overarching strategic policies and operational documents for the force. None of the policies for which I am responsible for are contained within the Code of Corporate Governance.

I am responsible for the operation, review and evaluation of the following strategies:

  • Surrey & Sussex Police Joint Strategic Assessment 2019/20

  • Surrey & Sussex Police Joint Control Strategy 2019/20

  • Sussex Police Serious and Organised Crime Strategy

3.        Sources of external assurance

  • Investigatory Powers Commissioner’s Office (IPCO) Annual Inspection Report. This report, published following the February 2019 inspection, detailed high standards of compliance and best

4.        Business Management

Processes are in place throughout Specialist Crime Command to provide assurance. Senior Management Team meetings are held regularly to monitor performance. Monthly Finance and Human Resources Meetings are held to monitor financial and workforce matters (e.g. wellbeing and training compliance).

Through a robust framework of meetings, outlined below, to ensure there is corporate oversight of management activity. This includes compliance assessments, reviews of policy implementation, setting and monitoring of internal guidelines. I am Chair for the following:

  • Undercover Policing Management Board Meeting

  • Digital Investigation and Intelligence Oversight Board

  • Joint NICHE and MDT Governance Board Meeting

  • OCG Quarterly Disruption Meeting

  • ACC/DCS meeting

  • Bespoke Gold Groups

  • Tasking – Joint TTCG I attend the following:

  • Regional SOC SGG

  • South East Serious & Organised Crime Programme Board

  • South East Regional Contest Board I have oversight of the following:

  • Specialist Crime Command Weekly Management Meeting

  • Specialist Crime Tasking,

  • Forensics – SLT, FaHRM, Digital Forensics Gold Group, Performance Meeting

  • Major Crime SMT

  • Proactive Managers Meeting – D/Supt.

  • Interim Surveillance Deployment Meeting

  • Kidnap & Extortion Co-ordination Meeting

  • Regional Heads of Crime Meeting

  • Investigation Oversight Meeting

  • Sickness Management and Resource Meeting (SCC)

  • Surrey and Sussex Crime Review Meeting

5.        Reports & recommendations from other bodies

To ensure appropriate oversight of the rolling programme of inspections conducted by Her Majesty’s Inspectorate of Constabulary and Fire & Rescue; advice and recommendations from the Independent Office for Police Conduct; Investigatory Powers Commissioner’s Office, and; audits conducted by our Internal Auditors, recommendations relevant to my portfolio are added to the Portfolio Risk Register. Current reports containing recommendations and/or areas for improvement relevant to this portfolio are:

As the generation and implementation of recommendations is a continual process, this list will be updated annually, upon completion of future statements of assurance for this portfolio.

6.        Portfolio Risk Register

The Portfolio Risk Register identifies all risks that are relevant to the portfolio and which may affect the delivery of objectives within the portfolio. Each risk has an identified owner and details the control measures in place to address the risk. Risk Registers are maintained by both Surrey and Sussex Police forces. Risks associated with collaborated functions are reported into each force. Risks that are relevant to the Specialist Crime portfolio, and which may affect the delivery of its objectives, are reviewed on a regular basis at my portfolio meeting, scrutinised at both forces’ Organisational Reassurance Boards and reported into both forces’ Joint Audit Committees. Terms of reference and minutes of the Sussex Joint Audit Committee are published here: https://www.sussex-pcc.gov.uk/the-pcc/transparency/audit-committee/

Terms of reference and minutes of the Surrey Joint Audit Committee are published here

http://www.surrey-pcc.gov.uk/transparency/key-responsibilities/

  1. Evidence Informed Policing & research projects

As a key element of improving our services, Sussex Police works with a range of academic partners to understand what works and introduce new approaches that have been rigorously evaluated. As at the date of this assurance statement no projects are governed through this portfolio.

8.        Home Office Police Transformation Fund Projects

The Police Transformation Fund is a significant funding source to incentivise and facilitate transformation in policing to invest in cross-force specialist capabilities, to exploit new technology and to improve the policing response to changing threats. As at the date of this assurance statement no projects are governed through this portfolio.

9.        Internal Controls

Controls have been identified that are designed to mitigate the risks identified in 5 above. Responsibility for the effective implementation of each control has been delegated to a nominated lead. Through the governance and one to one processes within the portfolio, assurance has been obtained, along with evidence from each nominated lead that the controls have been tested and are operating effectively.

I confirm that all my departmental heads are aware of the force’s Corporate Governance Framework, which includes the Financial Regulations and Contract Standing Orders.

  1. Control Weaknesses

Identified risks within my portfolio are reviewed by me on a regular basis. Those that are considered to be significant (red) are monitored on a regular basis through corporate meetings, including the Strategic Change Board and ORB and regularly updated and considered at the Strategic Chief Officer Meeting, chaired by the Chief Constable. In some circumstances, an action plan is produced to provide a more focused approach to a specific risk / gap. Continuous review of the progress of action plans takes place through my portfolio meeting.

11.     Overall Assurance from Portfolio Lead

In my opinion, the internal control framework of the Specialist Crime Command is soundly based. All significant risks to the delivery of objectives have been identified and controls are in place to mitigate those risks.


Signed by:

Jon Savell

T/ACC Specialist Crime

Date: 25.07.2019

12.     Deputy Chief Constable Review

I have reviewed the statements contained above and the copy of the Portfolio Risk Register and Action Plan.

Signed by:

Jo Shiner

Deputy Chief Constable

Date: 25.07.2019