Oversight, scrutiny and review workstream report

Appendix 3 - Draft proposals for oversight of ethical considerations in policing

Ethics Triage

Criteria

• Does the change or current practice present any equality, human rights or privacy challenges
• Is the change novel in Scottish policing?
• Have any other forces experienced challenges with their current practice or when adopting such a change?
• Will the change or does the current practice impact or effect the personal life of an individual?
• Will the change or does the current practice have any ethical, reputational or public confidence impacts?

If the answer to any of the above questions is 'yes' then the appropriate governance route outlined below should be followed.

Scale and Activities

What is the scale of the potential ethical 'implications'?

Small

• Impact Assessments
• Engage representative organisations
• Engage SPA officers

Medium

• Impact Assessments
• Ethics advisor panel (with SPA officer in attendance)
• Public engagement
• Engage representative organisations

Large

• Impact Assessments
• Ethics advisor panel (with SPA officer in attendance)
• External reference group
• Public consultation
• Engage scrutiny convenors
• Inform Criminal Justice Committee

If this contains data ethics considerations please also follow data ethics framework

Scale and Governance

Small

• Police Scotland follow existing governance mechanisms
• Wherever possible publish on SPA/PS website

Medium

• PS Governance
• SLB
• Authority meeting

Large

• Independent data ethics group
• PS Governance
• SLB
• Authority meeting

All of the above would also involve HMICS engagement.

Quantifying the implications – Opportunities and Threats

Ethical Implications Assessment (Large, Medium, Small)

• A product/tool which has been created to understand the opportunity and threats associated with a proposed change in a range of identified implications areas relevant for policing.
• The assessment is worked out by selecting an opportunity statement and a threat statement for each implications area which most relates to the proposed change.
• The totals of both the opportunity score and threat score are calculated to determine an overall ethics implications score.
• The ethics score determines what the most appropriate action to take is (depending on the thresholds).

Each of the following should be scored out of 3 for both opportunity and threat:

• Equality
• Human rights
• Data ethics
• Novelty factor
• Imapact on individuals
• Ethical challenges
• Environmental consideration
• Legal
• Reputation
• Public confidence/interest

Example Equality Assessment

OP1:

• Change will have no adverse impact on any of the protected characteristics identified in the Equality Act 2010

OP2:

• Presents itself as a positive opportunity to promote equality;
• Actively upholds or protects protected characteristics within Equality Act 2010

OP3:

• There are opportunities to reduce inequalities of outcome;
  • either caused by socio-economic disadvantage (Faiers Scotland Duty),
  • or discrimination based on protected characteristics

TR1:

• Potentail indirect and/or low adverse impact on the lives of people with protected characteristics;
• Evidence of 1-2 protected characteristics implicated

TR2:

• Potential direct impact on the lives of people with protected characteristics;
• Potential adverse impact on equality of opportunity and/or good relations;
• Differential treatment or discrimination of individuals may occur (whether intentional or not) as a result - relates to unconscious bias;
• Evidence of 3-5 protected characteristics implicated

TR3:

• Will have a direct and/or major impact on the lives of people with protected characteristics;
• Change is likely to effect a large number of people or a community (potentially in just one protected characteristic e.g. gender) in a disproportionate way;
• Implementation could lead to harassment or victimisation (whether it be direct or indirect);
• Evidence of 6-9 protected characteristics implicated

The 5 case model and business case assurance

Strategic Case - Demonstrates how the BC provides strategic fit with existing projects and programmes, as well as the organisation as a whole

Economic Case - Considers whether the BC provides best public value to society, including wider social & environmental effects

Commercial Case - Requires justification as to how the preferred option will result in viable procurement between service providers and the public sector

Financial Case - Assesses whether the business case is affordable and able to be funded

Management Case - Considers whether there are suitable arrangements in place to ensure the delivery, monitoring and evaluation of the scheme

Ethics Case?

Whilst the current Framework is comprehensive and considers wide-reaching implications of business cases, there is currently limited opportunity within it to assess the ethical implications of a business case. We are suggesting the addition of a 6^th Case – The Ethics Case

A proposal for a 6^th Ethical Case

Whilst the current Framework is comprehensive and considers wide-reaching implications of business cases, there is currently limited opportunity within it to assess the ethical implications of a business case. We are suggesting the addition of a 6^th Case – The Ethics Case.

Ethics Case

Describing what is required in the '6^th Case' could also help inform Ethical Considerations for:

• Strategy
• Police
• Practice