Finding Common Ground: Governance Management of Police Services A Handbook for Police Executives

Transcription

1 Management of A Handbook for Police Executives Prepared for Participants in the Executive Workshop on Management by the Canadian Police College Calgary, Alberta November, 2006 Andrew Graham, 2006

2 The following ideas and suggestions arose in discussions and presentations at a series of workshops on governance issues offered as part of the Police Executive Centre program for police executives organized by the Canadian Police College. As well as police executives, these workshops included members of Police Service Boards. This material was prepared by Andrew Graham, School of Policy Studies, Queens University, Kingston who is responsible for any errors that may occur. I want to acknowledge the invaluable contributions of our workshop participants and presenters. Leadership from the Police Executive Centre at the College has been exceptional in this field. Andrew Graham,

3 What s In the Handbook è Part 1: What is and Why is It Important? è Part 2: Practicing Good è Part 3: Advice to Colleagues: A Checklist è Part 4: Action Plan Items: A To Do List Andrew Graham,

4 Part 1: What is and Why is It Important? Andrew Graham,

5 Is the system by which organizations are directed and controlled. Andrew Graham,

6 and q "" means different things to different people q Not all "buy in to" or tie in the practical benefits of "good governance it needs to be focused on in order to get it: it doesn t just happen q Key is practice, not theory... q To succeed, governance must be "winwin", must serve individual's, team's and organization's performance Andrew Graham,

7 Police governance has a firm legal foundation q Accountability : Police Service bound to account (report) for activities and decisions q Direction and Control : Police Service to follow Board orders to carry out actions not related to specific investigations q Board oversight is extensive in law; often less so in practice Andrew Graham,

8 Police governance has a firm legal foundation q Police oversight a keystone of democratic society q In Canada, the laws differ, but the principles are the same q Municipal police Services are generally highly accountable to external Boards and Commissions q Section 5. RCMP Act: the Commissioner of the Royal Canadian Mounted Police, under the direction of the Minister, has the control and management of the force Andrew Graham,

9 The Great Divide or is it? Policy and Operations q Generally, policy direction comes from the Board or overseer while operations is in the hands of the Police Service q Interpretations can vary and do q Clear that investigative powers and responsibilities rest solely with the Police Service q Even here the fallout of individual acts can become more general and lead to policy concerns or legitimacy concerns for the Service as whole then the Board has an interest Andrew Graham,

10 Board & Police Jurisdictions Never all one way or the other Authority Criminal Investigation Special Areas General Policy Special Operations Accounta bility Police H H L H L Board L L H L H H = High lead L = Low lead D = Depends Andrew Graham,

11 Some Examples of Policy and Operations POLICY OPERATIONS Direct Oversee & direct Issue instructions Give orders Budgetary & planning Policy Service policy Administrative policy Investigative policy Human resources Management systems Operations (not defined) Andrew Graham,

12 It means we should know... q Who leads q Who provides stewardship q Who manages q Recognize this as a dynamic process that shifts from time to time Andrew Graham,

13 Ultimately governance defines... Who is responsible for what and how do we ensure accomplishment and accountability?

14 It enables... q Smooth, clear lines of responsibility and accountability q Working together effectively - strengthening and improving the working relationships of q management q executive q board q municipality q community q province Andrew Graham,

15 It enables... q Agreement on objectives, expectations and results q Accomplishment of mandates Andrew Graham,

16 Why Focus on? What do you have to gain from enhanced governance? q Clarity on roles: faster, more robust decision-making q Clarity on accountability: tie in to measures of success and incentives q Clarity on priorities and resourcing: what to stop, start, grow, shrink... cookie jar: you have to let go of something to grasp something better Andrew Graham,

17 Why Focus on? What do you have to gain from enhanced governance? q Clarity on organization s interests: each governance team member contributes unique view, experience and wisdom q Board members and executives become more strategic: as view moves up, so silo walls begin to blur Andrew Graham,

18 Board's Roles and Responsibilities q Leader: q setting the strategic direction and empowering service management q Steward: q shepherding public resources and make sure they are focused on results Andrew Graham,

19 Board's Roles and Responsibilities q Monitor: q evaluating performance measures and holding service management accountable q Reporter: q to government, stakeholders and beyond Andrew Graham,

20 What is the relationship? It is a business relationship! q Understand the roles and responsibilities q Not the buddy system q Not a contest q Mutual respect q Mutual trust q Co-operation Andrew Graham,

21 The relationship cont d. It is a business relationship! q Procedural q Decision making q Board / Chair / Chief / Police Executive q Documentation q Written policies q Records q minutes q Reporting q Forma / informal q Communication q No surprises q policy Andrew Graham,

22 The relationship cont d. It is a business relationship! q Performance Evaluation and feedback q Pre-established (part of contract). q Mutually agreed upon q Do it and move on. q Salary and Benefits q Pre-established (part of contract) q Mutually agreed upon q Do it and move on. Andrew Graham,

23 Part 2 Practicing Good Andrew Graham,

24 Board Expectations q Board members expected to have a high level of trust and confidence in the police operations through the development of a strategic direction, comprehensive business plan, strong procedural / policy base, and effective audit processes. q Such trust has to be earned by Chief Andrew Graham,

25 Board Expectations q Board requires strong communication processes both verbal and written i.e. in addition to standard reports the inclusion of ad hoc reports such as divisional reports by command staff information is vital to Board competency Andrew Graham,

26 Board Expectations q Board must ensure that communication is professional and boundaries are set between the Board and the Administration the development of more personal relationships can become problematic Andrew Graham,

27 Importance of Board Policy Policy is the vehicle through which a board gives substance to the governance framework. Policy creates the context and influences the behaviour of the entire organization. It is the vehicle through which the board expresses itself on matters critical to the effective planning and operation of the police department. A well-developed and organized commitment to policy development is critical to the success of the organization. BC Division, 2002 Andrew Graham,

28 Chief s Role q Chief acts as a barometer for the community and effectively communicates the issues to the Board (does not translate into the members of the board being involved in the day-to-day operations of the service) Andrew Graham,

29 Chief s Role q Chief provides the horizon view of what events, legislation or standards have the potential to impact the service especially in the area of budget and future cost implications (capital and operations expenses) Andrew Graham,

30 Chief s Role q Ensures that ongoing educational opportunities are maximized through joint attendance at conferences, seminars, etc. Andrew Graham,

31 Chief s Role q Regularize the sharing of information through the Board secretary/ administrative assistant/executive director in order to facilitate a strong wellinformed Board and Administration Andrew Graham,

32 Police, Politics and the Board q Chief must be cognizant of individual agendas q Board composition will result in political maneuvering whether it be along party lines, or community allegiances Andrew Graham,

33 Police, Politics and the Board q Budget deliberations and contract negotiations will often impact on the relationships between the municipal representatives and other Board members due to the financial implications of Board budgets in reference to the larger municipal budget Andrew Graham,

34 Part 3: Advice to Colleagues: A Checklist In each workshop, participants are asked to identify practices that they see as necessary to have good governance this is a distillation of their ideas and thoughts for other practicing in the field Andrew Graham,

35 Checklist q Board authority may be far greater than mere policy role: be aware of how this might play out q Know your Police Act, Regulation, and special areas (Shirose, etc.). q Historical context of the law respecting police Independence useful for understanding current status of police authority in Canada. Andrew Graham,

36 Checklist q Municipal are generally highly accountable to external Boards and Commissions: however, they are not accountable to everyone: need clear lines of accountability defined q Isolate and categorize issues in the context of accounting or direction and control: develop a regular pattern of informing and advising the Board Andrew Graham,

37 Checklist q Beware the simplistic notion of Board authority over policy to the exclusion of governance interventions in matters of macro importance for effective and efficient policing or with respect to civil liability for the municipality. q Retain seasoned experts in the policing (law) field and not general consultants and practitioners as legal advisors. Andrew Graham,

38 Checklist q The Police Service and Board can gain support by publicly demonstrating they are working together e.g. community meetings good value in bringing Board and Police exec to their own communities Andrew Graham,

39 Checklist q Board needs to ensure that whatever is done does not diminish the capacity of Executive to manage Service operations. q Although individual Board member shelf life is short, the Board will be here for a long time: Board has to focus on how train new Board members, bring them up to date quickly and ensure that they have the historical context of previous decisions before re-inventing the wheel: training manual, standard familiarization procedures, good record keeping. Andrew Graham,

40 Checklist q Its critical that the Chief understands where the Board is coming from and the Board s relationship with the community: this will require some common platforms: q An agreed to business or strategic plan for the Service = strategic framework q Adequate in-camera or informal discussions with the Chief = informal guidance q A regularized, formal objective setting and appraisal process for the Chief = formal guidance Andrew Graham,

41 Checklist q Managing the grey there s a skill required in asking and answering questions often the other side simply needs to get the words out and is seeking to understand, but at the end of the day roles need to be respected Andrew Graham,

42 Checklist q Get ahead of the curve figure out what you need to do to get there and stay there - identify the issues figure out what s going to be happening in the future Andrew Graham,

43 Checklist q The most important things for Board members and police executives in governance are to: q Know each others role and your role within it, responsibilities and limitations q Understand that it s a legal relationship, not a social one understand environment and dynamics q Setting the boundaries and q Communication protocols clearly defined Andrew Graham,

44 Checklist q Legal framework terms of reference, Police Acts: know what these are q Training new player orientation, ongoing training and review, history component for police and Boards q Evaluation and review of Chief, Board, and Chair Andrew Graham,

45 Checklist q Policies: Board needs to develop these across the span of its direction and control: there should be a consistent source for policy decisions q Develop a board governance audit to assess its performance: this includes both third party audit and self auditing through board member surveys q Identify policy and performance gaps on a regular basis q Hold chief/board workshops Andrew Graham,

46 Checklist q Ensuring Board members are confident in holding Chief accountable on full range of Police Service activities q Develop a protocol for the management of emergency situations to define Board members expectations for receiving information and their role (if any) in the public management of the event Andrew Graham,

47 Checklist q Ensuring that the Board finds ways to assist the Chief in carrying our his/her duties q Board should organize regular meetings with council (s) outside the context of the budget process to develop better understanding and communication Andrew Graham,

48 Checklist q Ensure the Board has a reasonable balance of in-camera and public meetings that it uses in a consistent manner q Board should rotate the location of its public meetings to increase accessibility q Board should develop a formal way of assessing community needs: surveys, focus groups, targeted interaction with communities Andrew Graham,

49 Checklist q Having robust performance measures and credible monitoring of them during the year and not just at planning time q Develop an overall governance framework here is how we work effectively q Develop a Board training manual Andrew Graham,

50 Checklist q Focus on time management needs of Board members be flexible for meetings and retreats q Forecast and communicate a calendar of commitments: q Reports q Conferences q Meetings q Budget q Performance reviews Andrew Graham,

51 Checklist q Clarify expectations of Board to the Chief do not leave it unspoken q Define reporting expectations of the Chief q Set objective annually q Focus on means to get resources to equip the Board for proper governance: Province, Associations, municipality q Incorporate governance review in strategic planning sessions Andrew Graham,

52 Checklist q Examine private sector governance practice to learn what might be useful for the public sector q Explore the possibility of external advice on financial data and performance q Role of the Executive Director: to serve the board and not replace it: has key roles in policy interpretation, finding expertise, Board continuity and building information communications Andrew Graham,

53 Checklist q Have a review of performance and audit when Board Chair or Chief changes q Create means for review and accountability for all aspects of Police Service performance and budget no hidden zones in expenditures. Andrew Graham,

54 things that work: q Written Board policies distinct from Service s policies and procedures q Meeting procedures q Structured formal reports q Joint planning sessions q Involve more than just senior administration q Sharing media releases q No surprises Andrew Graham,

55 Things that work cont d. q Established budget creation and reporting procedures q Established police discipline reporting / oversight procedures q Creating access for Board to personnel in open situations (e.g., ride-alongs, promotion ceremonies, Board presentations) q Tight fiscal management Andrew Graham,

56 Things that work cont d. q Tracking system for outstanding items / obligations / reports q Media relations / proactive reports (e.g., Statistics Canada, etc.) q Educating the organization in the need for and process of governance Andrew Graham,

57 Things that don t work well q Off the record conversations / reports q Chief reporting to the Chair in a subordinate role as opposed to a information / coordination role q Waiting for problems to get better before reporting to the Board q Inviting the Board to take a role in administrative decisions as opposed to requesting input / feedback Andrew Graham,

58 Things that don t work well cont d. q Protracted salary, etc. negotiations between Chief and Board (selfinterest) q Use of informal and / or ad hoc performance evaluation q Exclusion of senior executive from formal contact with the Board q Social and / or off-line relationships between Board and Chief, senior executive and / or members of the Service Andrew Graham,

59 Things that don t work well cont d. q Poor fiscal management q Boards do not tax (only elected officials have this authority) and so must go to the elected body for their funds. Over expenditures, surprises and poor planning create problems. q Political leveraging q Chiefs are appointed not elected; therefore, care must be exercised when commenting on or becoming involved in: law-making, acquiring resources, establishing social policy, etc. q Accumulation of circular reports q Will report back / further (these rapidly build up) Andrew Graham,

60 Things that don t work well cont d. q Playing the Board off against the rank and file ( good guys / bad guys ) q Board going around the Chief and senior executive to curry favour with frontline personnel q Pitting the Board against Council for money and resources q Chief going around the Board to Council Andrew Graham,

61 The Big Four of Effective q Leadership q Direction q Planning q Recruitment q Stewardship q Responsibilities q Relationship with Chief q Risk-Control Andrew Graham,

62 The Big Four of Effective q Monitoring q Accountability q Performance Evaluation q Performance Measurement q Audit q Reporting q Reporting to: Council, Public, Media q Communications Planning q Education/ Innovation Andrew Graham,

63 What is Success for a Police Service Board/ Commission? q Police Service has a positive Community Profile q Board manages events in a positive manner takes the heat where necessary q Supports the role of the Chief q Ensures corrective processes q Monitors and translates community concerns q Safe community and quality of life Andrew Graham,

64 What is Success for a Police Service Board/ Commission? q Board operates in a professional manner q Effective management of public resources q Diverse service q Sound policies q Creates successful leadership Andrew Graham,

65 Part 4 A To Do List Andrew Graham,

66 q Taking the information to the board reporting - investing in good governance means q information q time q feedback q Streamline better process finance budget: focus on improving financial planning q Budget to council: ensure it is presented by a board member q Support to the board to hire an executive director or administrative support - not the Chief s secretary: governance is not free. Andrew Graham,

67 q Roles needed to support the Board: q Policy writer q Administration q Research q A handbook for the commissioner/ board member q Way to ensure that the board does not deviate from the their agenda: make sure there are rules for time use: Andrew Graham,

68 q Action plan sticking to it q Structure to be followed q BF s/follow-up to we use them q Evaluation q Who set the agenda is it send out to the members? q Procedures for setting agenda Andrew Graham,

69 q Agenda should be done 2 weeks in advance before the meeting q Should have strategic discussion 10 minutes each meeting q Yellow carding make sure that basic governance rules are well publicized in a simple form see next slide. q There needs to be a separate package for the chair handbook Andrew Graham,

70 The Yellow Card of Good A Special Thanks to Brian Malone Oo the Saint John Police Force for this great idea! Andrew Graham,

71 q Annual off-site with Chair, Board Members Chief of Police q Making it different guest speakers - q Ongoing training for members catalogue of opportunities q Set out policies for training q Self-training is also important obligation to keep up to date. Andrew Graham,

72 q Board members role should be mandatory orientation q Budget in the municipality for the boards q Boards should have two roles q deliberative q strategic budget administration Andrew Graham,

73 q Watch the environment need to plan q Regularly do environmental scans q Understand who are the key actors and what are the key trends and monitor them q Chief s briefing a regular part of Board business Andrew Graham,

74 q Communication between the boards, chief and the police officers is everything q Board chair and chief respond to the media q Executives should also have training to understand the members role q Does the board see the world differently then the chief (they should) q Media will keep you on your toes get the information they want Andrew Graham,