performance management & accountability...

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Junaid Gharda

Glynn Dixon

5/1/2016

Performance Management & Accountability Framework

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Performance Management & Accountability Framework

Contents

Purpose………………………………………………………………………………….....

Introduction………………………………………………………………………………... Page 2

Performance Monitoring and Levels of Accountability……………………………….. Page 4

Performance Meeting & Report Structures……………………………………………. Page 5

Public Performance Meeting, TOR (Terms of Reference)…………………………… Page 6

Ethics, Transparency & Audit Panel, TOR…………………………………………….. Page 7

Safer Neighbourhood Panel, TOR……………………………………………………… Page 8

Strategic Executive Group Meeting, TOR……………………………………………... Page 9

Confidential Inquiry Session, TOR……………………………………………………… Page 10

Police and Crime Commissioner & Chief Constable, One to One, TOR…………… Page 11

Local Meetings and SDU Meetings, TOR……………………………………………... Page 12

ETAP Dip Sampling & Scheduled Reviews, TOR……………………………………. Page 13

Operational Workgroups / Meetings……………………………………………………. Page 14

Performance Planning Cycle Overview………………………………………………… Page 15

Performance Escalation Overview……………………………………………………… Page 16

Performance Monitoring Tools………………………………………………………….. Page 17

Summary…………………………………………………………………………………... Page 18

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Purpose

To set out the arrangements by which the Police & Crime Commissioner holds the Chief

Constable to account in reducing crime and keeping communities safe and reassured.

Introduction

When elected to office the PCC took a radical step by removing all targets from policing in

Staffordshire. This did not however remove the monitoring of performance and holding the Chief

Constable to account through various mechanisms and forums. This document aims to bring

together all of those measures and set out the formal framework by which the PCC and

Staffordshire Police Force will discharge those functions.

The Performance & Accountability Framework will explain the forums and mechanisms, which will

be used not only to monitor the police, but also bring together, relevant measures of other criminal

justice agencies within the strategic objectives of the PCC’s Police and Crime Plan. Some of these

performance measures will have numeric value and some will be qualitative with narrative detail.

Effective performance management is critical to the success of any Public Service. Public

Services are faced with an immense and complex range of challenges, from sources such as

government, locally driven agendas and corporate strategy. All of which rely on effective

performance management and measurement for their success. An appropriately built performance

management framework will help the delivery and achievement of those priorities and strategic

objectives.

Osborne and Gaebler identified in 1992 (Reinventing Government), that there are 7 enablers that

demonstrate the need to have an effective performance management framework:

Osborne & Gaebler: Reinventing Government 1992

What gets measured gets done

If you don’t measure results, you can’t tell success from failure

If you can’t see success, you can’t reward it

If you can’t reward success, you are probably rewarding failure

If you can’t see success, you can’t learn from it

If you can’t recognise failure you cannot correct it

If you can demonstrate results, you can win public support

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An effective Performance Management and Accountability Framework will help with:

Managing and motivating teams

Prioritising workload within the resources available

Achieving priorities and, by extension, those of the local community

Demonstrating value for money and commitment to protecting the public purse

Providing quality services and improved satisfaction for users and the local community It will also form a basis for commitment to the continuous improvement of the services delivered to the public, which is best demonstrated by the Deming PDCA Cycle:

As previously stated with the removal of targets by the PCC, the challenge to performance needs to be effective and driven at 3 levels, Strategic, Business and Operational. Generating questions as seen below, at all 3 levels that require transparent answers: Strategic:

Are the organisational objectives that were promised being delivered?

Is positive movement towards the identified goals occurring?

Is positive movement towards the identified goals occurring quickly enough?

Business:

How is it assured that the business objectives are set and met to support the organisational objectives?

Is it possible to do better?

Is value for money being achieved?

What is an acceptable level of quality across the services?

What is being measured and how does it support the objectives?

How is quality of service and achievement of key objectives encouraged? Operational:

Are business objectives being met?

Is the specified level of quality being achieved?

Can efficiency improve?

Can effectiveness improve?

Can financial performance improve?

How are teams and individual staff performing?

Continuous Improvement

PLAN

DO

CHECK

ACT

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Performance Monitoring & Levels of Accountability

Performance management is about organisational activity not just service specific actions. In this

way a Performance Management & Accountability Framework helps eliminate silo working and

enables staff to work better together across service areas to meet common and shared goals.

Effective Performance Management & Accountability Framework relies on having the right

information at the right time for the right reason. Poor control of the framework and poor

information will lead to inconsistency and duplication of effort and ultimately will lead to poor

decision making. The framework must not become overly onerous outweighing the outcomes that

can be gained by the process. It should be seen as a positive tool to evaluate, plan and improve.

This document aims to identify key milestones in performance management at an organisational

level to allow for appropriate planning and reporting at each level of the framework. It will also

identify Terms of Reference for each meeting or review and the structure that each of these will

take.

The below table details the differing levels of accountability and at what level performance will be

monitored.

Level 3 – Public Accountability

Description The obligation of the Police & Crime Commissioner to be answerable to the communities of Staffordshire in an open public forum for holding the Chief Constable to account for the operation of Staffordshire Police Force.

Purpose Ensuring that the PCC is demonstrating the primary role of holding Staffordshire Police to account and ensuring that the force provides value for money whilst meeting the priorities and needs of the people of Staffordshire.

Benefits Provides transparency and confidence to the communities that Staffordshire Police is fulfilling its role of keeping the communities of Staffordshire safe and reassured.

Outcome Clear demonstration of Staffordshire Police being effectively challenged and tested to deliver the best possible service directly to the public.

Level 2 – Force Level Scrutiny

Description This will test areas of Staffordshire Police in a way that would not be possible in a public forum.

Purpose To examine key activity at a strategic level allowing the PCC to take a detailed, searching approach with consideration of all relevant issues.

Benefits Allows full exposure of topics and enables the PCC and Staffordshire Police to have a full and frank discussion in an unfettered confidential environment, without compromising operational detail.

Outcome Staffordshire Police is effectively challenged and operational activity is driven by legitimate lawful policy and culture.

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Level 1 – Local Monitoring

Description The detailed gathering and review of all relevant data and information across Staffordshire Police and relevant Criminal Justice agencies, for any issues that are demonstrating a change in trend or are inferring an impact on another area.

Purpose To gain a detailed understanding of areas where there are matters of concern affecting the effective and efficient operation of Staffordshire Police and related Criminal Justice Services

Benefits Ensure that the PCC is able to challenge Staffordshire Police and relevant Criminal Justice agencies about areas of concern and seek evidence that improvements are being made in an effective and timely manner.

Outcome Improvements are made to systems and operational activity in a timely manner also that significant issues are escalated to the appropriate level for further attention.

Both the Office of the Police and Crime Commissioner and Staffordshire Police are committed to

the continuous improvement cycle, as demonstrated by the signed membership to the

Performance & Accountability Framework.

Police and Crime Commissioner: Matthew Ellis

Staffordshire Police Chief Constable: Jane Sawyers

Performance Meeting and Report Structures

Meetings

Will be a forum for respectful discussion without fear of blame

Planned in advance and for a clear purpose (See Terms of Reference)

Well attended and appropriately represented (Quorate)

Decision records kept and tracked, recorded with an updated action log

Interdependencies managed with timely communications

Attendees must be prepared to be respectfully challenged and be confident to refer for

additional scrutiny should this be justified

Attendees must not rely on the circulation of minutes for actions assigned to them & must

make note at that point in time and take action as soon as is practicably possible

Presented Reports and Information

Will be presented in a format agreed by the represented parties

Consistent in recording and presentation styles

Assessed for validity prior to submission for circulation

Will be circulated for efficiency purposes prior to the meeting, to the represented parties as

outlined in the Terms of Reference

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Terms of Reference

Mechanism Title: Public Performance Meeting


Frequency 4 times per year

Required Attendance: Staffordshire Police Chief Constable Senior Executive Members and/or Senior Officers as appropriate Police and Crime Commissioner Chief of Staff Other OPCC Personnel as appropriate Criminal Justice Agencies as appropriate A member of the Ethics, Transparency and Audit Panel (ETAP)

Required Preparation: Papers will be prepared and published on the website of the OPCC seven days before the

meeting Preparation by Staffordshire Police Force and Criminal Justice Agencies will take place well in

advance and arrive fully prepared for their respective roles in the scrutiny process. ETAP member to provide an overview of the scrutiny work that has taken place, along with

key findings and recommendations.

Format: Open meeting at which the PCC will chair a challenge session holding the Chief Constable to

account for Performance. The meeting will be held in a building with accessibility to the public with sufficient space for

the public to attend. The meeting will be conducted on a live webcast and will be available on-line afterwards. Minutes will be taken and published on the PCC website. The meeting will evolve overtime to examine related criminal justice agencies such as Crown

Prosecution Service and Her Majesty’s Courts and Tribunal Service. There will be no limit to the scope of this meeting with the exception that sensitive and

confidential operational matters will not be discussed.

Escalation: Issues identified will be reverted to the Senior Executive Group meeting between the Chief of

Staff, Crime Commissioner, PCC Representative as appropriate, Chief Constable and The Force Executive Team.

Enhanced level Public Level monitoring until ownership and improvement is established.

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Terms of Reference

Mechanism Title: Ethics, Transparency & Audit Panel


Frequency Every 2 months

Required Attendance: Chair or Deputy Chair of the ETAP At least 4 members

Required Preparation: All panel members vetted for the use of Force Systems. Work plan is to be circulated prior to the meeting. Members are to prepare an update for their areas of work.

Format: An extensive Terms of Reference for this mechanism can be obtained from the OPCC. An independent body appointed by the PCC to provide assurance to the PCC and also the

Chief Constable around decisions, policies and processes of both organisations. The panel fulfil a statutory role in relation to audit functions alongside independent reviews. The responsibilities of the panel are:

a) Governance and Regulatory Framework b) Financial Reporting c) Risk Management and Insurance d) Internal Audit e) External Audit f) Transparency g) Ethics and Professional Standards h) Other as required

Demonstration of adherence to The Seven Principles of Public Life (Nolan Principles) a) Selflessness b) Integrity c) Objectivity d) Accountability e) Openness f) Honesty g) Leadership

This mechanism is formally recorded with actions logged.

Escalation: Direct referral of issue to the Head of Policy, Performance and Assurance and Chief

Constable. The Head of Policy, Performance and Assurance will escalate to the Chief of Staff and Crime

Commissioner as necessary.

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Terms of Reference

Mechanism Title: Safer Neighbourhood Panels


Frequency Quarterly

Required Attendance: Panel Chair Elected political representatives from the area (no more than one third of the total panel) Local residents (at least half of the panel) Representatives of the business community Magistrates LPT Commander

Required Preparation: Paperwork for meetings will be circulated at least 7 days prior to the meeting Reports following the meeting will be circulated within 14 days of completing any review

Format: An extensive Terms of Reference for this mechanism can be obtained from the OPCC. The Police and Crime Commissioner (PCC) has pledged that Staffordshire will be the most

open and transparent police force in the country. This approach helps to deliver greater confidence and more credibility in policing and allows a greater responsiveness to local needs and issues that would not occur to the same extent without such an approach.

The Safer Neighbourhood Panel will provide an independent oversight of local policing, to ensure that it is responsive to local needs and local issues.

The Panel will act as a critical friend and scrutiny function in relation to local policing plans and police activity.

The LPT Commander will be responsible for reporting back to the Panel (and OPCC) with actions taken/not taken and with reasons.

The panel will provide the PCC with an objective view of the policing service provided in the local area.


Escalation: The panel will escalate any concerns to the PCC at the earliest opportunity who in turn will

raise with the Force at the appropriate level.

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Terms of Reference

Mechanism Title: Strategic Executive Group Meeting


Frequency Monthly

Required Attendance: Police and Crime Commissioner Chief of Staff Member of the Policy, Performance and Assurance Team OPCC Executive Team & Force Executive Team

Required Preparation: Paperwork for meetings will be circulated at least 3 days prior to the meeting Reports need to be read prior to the meeting to allow for informed discussion

Format: An extensive Terms of Reference for this mechanism can be obtained from the OPCC. SEG is the highest level board meeting held between the OPCC and Staffordshire Police,

which provides a forum for review of key issues affecting the force. There are a number of standing agenda items, with others added as required. It is important that non standing agenda items are raised in a timely manner with sufficient

time for SEG to make considered decisions. The Chief of Staff along with the Policy, Performance and Assurance team will build an

agenda that reflects strategic objectives and further issues for consideration. The group should meet with the purpose of making decisions, receiving presentations and

identifying future work. Proposals are to be rigorously discussed and challenged by the group before decisions are

made. It is recognised that some matters bought before the group will be dry and technical, but

members should give due attention to all matters and remind themselves of the key role they have in taking strategic decisions.


Escalation: SEG is the highest level attainable internally in relation to Force Performance and

Accountability based issues, which contain the key decision makers for resolution. Escalation from this point would take the form of a Formal Improvement Notice issued to the

Force detailing the intent to move to Level 3 – Public Accountability, allowing for public scrutiny and challenge.

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Terms of Reference

Mechanism Title: Confidential Inquiry Session


Frequency Monthly (Not to coincide with Public Performance)

Required Attendance: Police and Crime Commissioner Chief of Staff Member of the Policy, Performance and Assurance Team Chief Constable Senior Executive Members and/or Senior Officers as appropriate

Required Preparation: OPCC to produce a themed, criteria lead schedule 3 monthly in advance of the planned

sessions. The Force is to provide relevant information in relation to the identified theme and qualifying

criterion, 7 days in advance of the session.

Format: These sessions are regular in depth thematic reviews. Information submitted will provide the opportunity for a full and frank discussion around

performance and assurance. ETAP reports/reviews may be used to support challenging and hold the Force to account to

ensure the public are receiving the best possible service. Follow up sessions will be agreed to continue in a format that best fits the particular theme. Fact finding may need to be undertaken to allow future discussions and this may take the form

of airing the matters at Public Performance Meeting, Forwarding for discussion at the fortnightly meeting between the PCC and the Chief Constable, put forward for ETAP examination or simply an updated report back at a later session.


Escalation Matters not resolved will be forwarded to the Strategic Executive Group for action.

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Terms of Reference

Mechanism Title: Police & Crime Commissioner & Chief Constable, one to one session


Frequency Fortnightly

Required Attendance: Police and Crime Commissioner Chief Constable

Required Preparation: A short agenda produced by the OPCC at least 2 days in advance of the session.

Format: Current issues and emerging themes are discussed. Items not on the agenda can also be discussed as required. The meetings are not formally recorded but actions arising from them will be communicated to

those individuals required. Items discussed can be taken forward to any appropriate forum as necessary, this could be

through ETAP to examine, SEG for consideration, an individual to conduct research and report back or any other mechanism agreed by the PCC and Chief Constable.

Escalation: Matters of concern can be raised at Confidential Inquiry Sessions or Strategic Executive

Group as appropriate.

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Terms of Reference

Mechanism Title: Local Briefings & SDU Meetings


Frequency As Scheduled

Required Attendance: Member of the Service Development Unit Relevant Service Leads as applicable including Criminal Justice Member of the OPCC

Required Preparation: Paperwork for meetings will be circulated in advance of the meeting Reports need to be read prior to the meeting to allow for informed discussion

Format: Overview of the broad range of service areas and performance measurements. Daily briefings/conversations to look at trends or rising issues. This mechanism is formally recorded with actions logged.

Escalation: Matters arising will be reported to the Head of Policy, Performance and Assurance, for

consideration as to appropriate escalation route. Matters flagged at this stage may require additional ETAP examination or consideration at

Confidential Inquiry Session stage.

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Terms of Reference

Mechanism Title: ETAP Dip Sampling & Scheduled Reviews



Required Attendance: ETAP Members Relevant Service Leads as applicable including Criminal Justice

Required Outcome: Completed findings reports are to be forwarded onto the ETAP Meeting, Head of Policy,

Performance and Assurance and the Chief Constable or relevant member of the Force Executive as appropriate.

Format: Members of ETAP will conduct their field work in various ways, reviewing documents,

interviewing officers and staff, observing processes, meeting with relevant parties and whatever other mechanism the panel feel is appropriate for that particular review.

The Force will support ETAP by providing reports, computer records and other information as requested by the panel in an open and timely manner.

ETAP reviews and dip sampling should be recognised as aiming to improve performance, raise compliance levels and reduce complaints.

Reports are to be as wide reaching as felt necessary with recommendations made for improvement.

Final reports will be published on the PCC Website, with sensitive/confidential information redacted.

Escalation: Any findings that may demonstrate misconduct or raise very serious concern must be raised

immediately with the Performance Assessment Unit and the Head of Policy, Performance and Assurance.

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Terms of Reference

Mechanism Title: Operational Workgroups / Meetings



Required Attendance: Member of the OPCC team

Format: The OPCC will attend a range of meetings covering specific areas of activity, to provide an

immediate scrutiny and challenge. These meeting may form part of other structures but attendance and insight will provide a

richer picture of performance. There may be specific meetings or work groups convened by the OPCC to consider set areas

of activity. Any issues arising from these meetings can be explored by the OPCC with a view to taking

this forward/escalation to other forums.

Escalation: Dependent upon the nature or extent of the issue, addition to the fortnightly agenda for the

PCC and Chief Constable meeting may be required. Alternatively items may be considered for forwarding to Inquiry Sessions, ETAP reviews or

Safer Neighbourhood Panels.

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Performance Planning Cycle - Overview

This cycle does not include dates for Level 1 operational meetings, team meeting and briefs.

Those are to be captured at departmental level and appropriately recorded.

Mechanism

Level

Frequency

Public Performance Meeting

3 – Public Accountability

4 Times Per Year

Safer Neighbourhoods Panels


Quarterly

Ethics, Transparency & Audit Panel Meeting


Every 2 Months

Strategic Executive Group Meeting

2 – Force Level Scrutiny

Monthly

Confidential Inquiry Session


Monthly (not to coincide with Public

Performance)

Police and Crime Commissioner and Chief Constable One to One Session


Fortnightly

Local Briefings and SDU Meetings

1 – Local Monitoring

As Scheduled

ETAP Reviews and Dip Sampling


As Scheduled

Operational Workgroups / Meetings


As Scheduled

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Performance Escalation - Overview

LEVEL 3

Public

Accountability

Continued demonstration of failure to improve (against agreed

timescales) will result in the issue being part of scrutiny and challenge

in public sessions. Issue will remain as one for high level public

monitoring until there is clear sign of ownership and improvement.

Failure to resolve may result in the formal review of the Chief

Constables performance by the PCC

What Happens? Mechanisms

Public Performance Meeting – Highest level of public challenge,

with ability to directly hold Chief Constable to account

ETAP – Ability to carry out detailed scrutiny across any particular

aspect and report independently back to the PCC

LEVEL 2

Force Level

Scruitiny

LEVEL 1

Local

Monitoring

Lack of improvement/compliance in particular areas are raised as a

formal area of concern for the Force. This flags the issue for increased

monitoring and reporting, with a potential for formalised intervention.

Further analysis of linked issues with subject leads and analysis team

to explore challenges and understand the shift in performance

standards. Issues are identified through routine monitoring of

performance. OPCC members work alongside subject leads and

analysis team to agree a course of action and timescale for review.

SNP – Scrutiny and challenge at a local level with issues that are

specific to local communities, where findings are published

SEG – Meeting of Force and OPCC to ensure that issue is raised

formally.

Confidential Inquiry Session – Closed meeting where PCC is able

to delve deeper into issues to create a gap analysis

PCC & Chief Constable Meeting – Private meeting that focusses

on key areas of performance concerns that have been raised

OPCC Management Team Meeting – Opportunity to raise areas

of concern for local monitoring

USED

AC

RO

SS ALL A

REA

S

Performance

Measures &

Dashboard

Ongoing monitoring and assessment of indicators across policing

including management attendance at meetings and ETAP dip sampling.

Dashboard of alerts to help focus monitoring on key areas. OPCC

Performance function leading continued interaction with Corporate

Services, Intelligence and Service leads to understand context.

Weekly briefings to the Head of Policy, Performance and

Assurance with a monthly briefing to the OPCC Management

Team. Generating escalation where areas begin to move out of

normal variation, or where progress is not being made.

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Throughout each level of the Performance & Accountability Framework there are multiple means

that are used to measure, demonstrate and scrutinise performance. These are identified but not

limited to the following tools:

Item Description Owner

HMIC Reports Formally received external reports, which are published for the public to view detailing performance against specific genres.

HMIC

Delivering Our Mission Dashboard

Internal reporting mechanism that can focus on certain areas and give a statistical overview of performance for a specific function.

Police Force

Crime Commissioners Public Dashboard

Public facing transparent dashboard containing data derived from Police Force recording and reporting processes.

OPCC

Best Practice Guidance Issued to the Police Force identifying areas for potential improvement and makes recommendations for implementation of improved processes/actions. May contain performance data to allow for comparison with other Forces.

Regulatory/Issuing Body

Feeling the Difference Survey

Impartial and objectively gathered information derived from questionnaires. Generates data surrounding customer satisfaction and the public’s perception of the Police Force.

Staffordshire County Council Insight Team

HR Abstraction and Management Intervention Reports

Information generated from HR looking specifically at the Forces ability to effectively and efficiently manage their workforce.

Police Force

Complaints and Compliments

As recorded by the Professional Standards team.

Police Force

Financial Records Internal reporting that can focus on specific functions to give a financial overview of performance against budget.

Police Force

Partner Agency Reports Reports issued to the Police Force/Commissioners Office detailing partner agency performance or processes that can be affected by the performance or processes of the Police Force.

Partner Agencies

Staffordshire Smart Alerts

Community engagement tool. Police Force

Current tools used for monitoring purposes are identified in greater depth within the Performance

and Accountability Monitoring Schedule.

Examples of Performance Monitoring Tools

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Summary

It is envisaged that the Performance and Accountability Framework will adequately provide clear

and defined methods of escalation in relation to the scrutiny of the performance of the Police

Force.

Through the three identified levels of accountability, Local Monitoring, Force Level Scrutiny and

Public Accountability the Police and Crime Commissioner assisted by the Policy, Performance and

Assurance team will challenge and hold to account the Chief Constable on those matters of both

public and professional interest.

It is essential that the people whom we serve in Staffordshire feel the presence of their Police

Force in a positive manner and that they truly feel the difference of a transparent Performance and

Accountability Framework being in place.

As with any framework it is essential that it is reviewed in line with organisational changes to

structure and strategic objectives, updating, initiating and removing monitoring mechanisms as

required. It is not essential for mechanisms to be added to this framework before implementation,

service development and improvement mechanisms are the driver to change the framework not

vice versa.

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