i An Garda Síochána Corporate Governance Framework 0 2016
Contents Table of Contents Foreword by the Commissioner... 1 Introduction... 2 Governance Principles... 4 Overview of Governance Framework... 7 Chapter 1 Overview of An Garda Síochána...... 8 Mission and Vision of An Garda Síochána... 8 Security... 9 Tackling Crime... 9 Policing Communities... 9 Public Safety... 9 Supporting Victims of Crime... 9 Reduce Re-Offending... 9 Roads Policing... 9 Domestic & Sexual Violence... 9 Innovation & Efficiency... 10 Justice Reform... 10 Values, Behaviours and Culture... 10 Code of Ethics for An Garda Síochána... 11 Ethics in Public Office... 11 Code of Standards and Behaviour for Civil Servants... 11 Annual Returns of Statements of Interest... 11 Statements of Material Interest... 12 Protected Disclosures... 12 Organisational Structures... 13 Garda Executive... 16 Senior Leadership Team... 16 Organisation Structure... 17 Strategic Planning, Decision Making and Performance Management... 18 Annual Policing Plan... 18 Regional, Divisional and District Business Plans... 19 Annual Report... 19 Targeted Operations... 19 1
Contents Section 23 Report... 19 Performance Management... 20 Internal Communications... 20 Engagement with External Stakeholders... 21 Freedom of Information... 22 Data Protection... 22 Review of Effectiveness of Governance Framework... 22 Chapter 2 Senior Management Roles and Assignment of Responsibilities... 23 The Government... 23 The Minister for Justice & Equality... 24 The Secretary General of Justice & Equality... 24 The Garda Commissioner... 24 The Garda Commissioner ( Accounting Officer)... 26 Deputy Commissioner, Policing and Security... 27 Deputy Commissioner, Governance and Strategy... 27 The Chief Administrative Officer... 27 Roles of Assistant Commissioners and Executive Directors... 28 Chief Superintendents... 29 Divisional Chief Superintendents... 29 Specialist Chief Superintendents... 29 Responsibility Matrix (Chief Superintendents)... 30 Principal Officers... 32 Responsibility Matrix(Principal Officer)... 33 Governance Framework The Department of Justice and Equality and An Garda Síochána... 33 The Policing Authority... 34 Governance Meetings with the Policing Authority... 35 Relationship with the Minister... 35 Leadership and Organisational Capacity/Capability... 35 Responsibilities of all Staff... 35 Assignment of Senior Management Roles and Responsibilities... 37 CHAPTER 3 Garda Executive, Senior Leadership Team & Governance Boards... 38 Garda Executive... 38 Senior Leadership Team... 38 Management Board Information/Documentation... 39 Support to Garda Executive... 39 Internal Ad Hoc Working Groups and Management Structures... 39 2
Contents Governance Across Organisational Boundaries... 40 CHAPTER 4 Audit, Assurance and Compliance Arrangements... 41 Audit and Assurance Arrangements... 41 Financial Control Environment... 41 The Finance and Services Directorate... 42 Financial Management... 42 Procurement... 43 Transport Section... 43 Estate Management... 43 Overview of Financial Management Procedures... 44 Garda Finance Code... 44 Devolved Budgeting Allocation and Oversight... 44 Delegated Sanction thresholds to the Garda Commissioner... 44 Public Spending Code... 44 Service Level Agreements... 45 Anti-Fraud Policy... 45 Appropriation Accounts... 45 Public Reporting Requirements... 46 Prompt Payments Act... 46 Purchasing Order Reporting... 46 Joint Garda/Justice Resources Oversight Group... 46 Independent Audit Committee... 47 Garda Internal Audit Section (GIAS)... 48 Role of Garda Internal Audit Section... 48 Garda Professional Standards Unit... 49 The Roles and Functions of the Garda Professional Standards Unit... 49 Risk Management... 50 Risk Management Office... 51 Risk and Policy Governance Board... 51 CHAPTER 5 Bodies under the aegis of An Garda Síochána... 52 External Governance and Oversight of Bodies Under the aegis of An Garda Síochána... 52 Bodies Under of the aegis of An Garda Síochána... 52 Appendices... 53 Appendix A Garda Charter Working with our Communities... 53 Appendix B Terms of Reference - Garda Executive... 55 Appendix C Terms of Reference - Senior Leadership Team... 57 Appendix D Terms of Reference - Risk & Policy Governance Board... 59 Appendix E Charter - Garda Audit Committee... 61 Appendix F Charter - Garda Síochána Internal Audit Unit... 69 3
Contents Appendix G Terms of Reference Resource Allocation & Deployment Governance Board... 73 Appendix H Terms of Reference Training & Capability Development Governance Board... 75 Appendix I Terms of Reference Transformation Governance Board... 78 4
Introduction Central to maintaining an effective democracy is a professional policing and security service with robust governance practices and structures. An effective governance framework defines roles and responsibilities, adds value, enhances reputation, and provides assurances and confidence in the organisation. Corporate reputation benefits substantially from increased transparency and accountability delivered through robust and clearly visible governance and risk management structures. An Garda Síochána has commenced the development of a corporate governance structure that will ensure the organisation reflects best practice legally, ethically and professionally. Governance for An Garda Síochána must facilitate our primary purpose; delivering a high quality and effective policing and national security service. The governance arrangements have recently been re-defined with the introduction of the Policing Authority. An Garda Síochána will be transparent in its actions, open, and demonstrably accountable. We will develop a clear framework for governance and decision-making. Corporate Strategy, Policing Plans and the exercise of authority will be underpinned by the clear definition of functions, roles and responsibility. Decision-making and how decisions are reached will be transparent and rigorous; supported by good quality information and advice. We will introduce a Policy Management Framework that will define how An Garda Síochána develops, implements, monitors and reviews policy. It will enable a better understanding of and access to, policy throughout the organisation, it will strengthen governance at all levels giving members of the public far greater access to the majority of our policy documents. This will support the Commissioner by providing a structured approach to the development, implementation and evaluation of policy thus providing the basis for a more accountable and effective police service. 2
Introduction We have introduced a number of governance boards that reflect the recommendations of the Garda Inspectorate. These boards will drive governance across the organisation and will ensure oversight, accountability and compliance. In addition to the findings of other oversight bodies, these boards will be informed by the findings of Garda Internal Affairs, Garda Internal Audit and the Garda Professional Standards Unit in order to provide consistency in delivering a professional and ethical policing service. We will re-align the positioning of these units to streamline governance and accountability mechanisms within the organisation. This work will be further enhanced by the advice of our independent Audit Committee. 3
Governance Principles Governance Principles 1 Good governance supports a culture and ethos which ensures behaviour with integrity, a strong commitment to ethical values, and respect for the rule of law. 2 Good governance helps to define priorities and outcomes in terms of sustainable economic and societal benefits and to determine the policies and interventions necessary to optimise the achievement of these priorities and outcomes. It means implementing good practices in transparency, reporting, communications, audit and scrutiny to deliver effective accountability. 3 Good governance means developing the Organisation s capacity, including the capability of the leadership team, management and staff.. 4 Good governance means managing risks and performance through robust internal control systems and effective performance management practices. 5 Good governance ensures openness, effective public consultation processes and comprehensive engagement with domestic and international stakeholders. 4
The following table outlines the environment within which An Garda Síochána operates and the context of its governance arrangements: An Garda Síochána and Accountability The Minister for Justice and Equality is in charge of the Department and is responsible to the Oireachtas for all elements of the exercise of his/her departmental responsibility. The Minister is accountable to the Oireachtas for policing and security matters, including the matters relating to An Garda Síochána, the Policing Authority, the Garda Síochána Ombudsman Commission and the Garda Síochána Inspectorate. The Secretary General of the Department of Justice and Equality is responsible and accountable for managing the Department, providing advice to his/her Minister, and monitoring and implementing Government policies appropriate to the Department in accordance with the Public Service Management Act 1997. The functions of the Garda Commissioner are set out in Section 26 of the 2005 Act and include: o directing and controlling An Garda Síochána; o carrying on and managing and controlling generally the administration and business of An Garda Síochána, including by arranging for the recruitment, training and appointment of its members and civilian staff; o advising the Minister on policing and security matters; o assisting and cooperating with the Policing Authority in order to facilitate the performance by the Authority of its functions; o performing any other functions that are assigned to him or her by or under the Act. In performing her functions, the Garda Commissioner must have regard to the following matters; o The objective of promoting effectiveness, efficiency and economy in An Garda Síochána; o The priorities and performance targets in operation under section 20 and 20A at the relevant time; o Any relevant policies of the Minister or the Government; o The strategy statement in operation under section 21 at that time; o The annual policing plan prepared under section 22; o Any directive issued under section 25; o The policing principles. The Garda Commissioner also has specific functions and duties under the 2005 Act, including: o The Appointment of persons to the ranks of Garda, Sergeant and Inspector and, subject to safeguards (including the requirement for the consent of the Authority), their dismissal; o The appointment of Civil Service staff; 5
o Informing the Authority and, as the case may be, the Minister of measures taken to achieve the objectives of the policing and security priorities and performance targets determined by the Authority and the Minister respectively, and the outcome of those measures; o Preparing and submitting a strategy statement every 3 years, or less if directed by the Authority, to the Authority; and o Preparing and submitting 3 year review reports to the Authority. The Garda Commissioner is accountable under the 2005 Act to the Minister for the performance of the Commissioner s functions and those of An Garda Síochána. The Garda Commissioner is the Accounting Officer in relation to the appropriation accounts of An Garda Síochána for the purpose of the Comptroller and Auditor General Acts 1866 to 1998. The Policing Authority is an independent body established under the Garda Síochána (Policing Authority and Miscellaneous Provision) Act, 2015. Its functions, powers and duties are set out therein. The main function of the Authority is to oversee the performance by An Garda Síochána of its functions relating to policing services. Legislation is a key driver of governance arrangements in An Garda Síochána and in Civil and Public Service Organisations. There is also a wide variety of authoritative guidance that outlines much of the governance obligations of organisations. All employees have an important role to play in committing to the good governance of their organisations through the application of this framework in the performance of their duties. 6
Overview of Governance Framework This Governance Framework is structured around a number of chapters setting out the core elements that will be adhered to by An Garda Síochána in redefining its governance arrangements, as follows: 11 1 2 31 41 Overview of An Garda Síochána Senior Management Roles and Assignment of Responsibilities Garda Executive and other Governance Structures Audit, Assurance and Compliance Arrangements 51 1 Bodies under the Aegis of An Garda Síochána It is intended that this will be a living document, it is envisaged that these key areas of governance will be further developed over time as the governance agenda, needs of An Garda Síochána and those of our stakeholders evolve. 7
Overview of An Garda Síochána 1 The purpose of this chapter is to provide an overview of An Garda Síochána, its mission Core Elements and values, of Governance its senior management Framework structures, business planning process and how it engages with its many stakeholders. Core Elements The Mission and Vision of the An Garda Síochána; Values, Behaviours and Culture; Organisation Structures; Strategic Planning, Decision Making and Performance Management; Internal communications arrangements; Engagement with external stakeholders; and Review of effectiveness of the Framework. The Mission and Vision of An Garda Síochána Vision: To be a beacon of 21 st century policing and security. Mission: To deliver professional policing and security services with trust, confidence and support of the people we serve. An Garda Síochána is a large organisation with 12,793 Garda Members, 2094 Civilian staff and 863 Garda Reserve members. There are 6 Garda Regions, 28 Divisions, 96 Districts and 564 Garda Stations. In addition, there are a number of national, regional, specialist and administrative units, all working together to achieve the objectives of the Organisation. The functions of An Garda Síochána are set out in the Garda Síochána Act 2005. Sec 7 (1) states that the function of the Garda Síochána is to provide policing and security services for the state with the objective of; 1. Preserving peace and public order 2. Protecting life and property 3. Vindicating the human rights of each individual 4. Protecting the security of the State 5. Preventing Crime 6. Bringing criminals to justice by detecting and investigating crime, and 7. Regulating and controlling road traffic and improving road safety 8
The priorities for An Garda Síochána as set in the 2016 Policing Plan are as follows: Security To Protect the State and the people against terrorism in all its forms. Tackling Crime To combat serious and violent crime in all its forms, in particular organised and cross-border crime including human trafficking, as well as burglary, drug related crime, white collar crime and crimes against businesses and agriculture. Policing Communities To provide a visible, mobile and responsive policing service which meets the needs of both rural and urban communities. Public Safety To provide effective policing that ensures the public safety of our town and city centres, supports a safe and vibrant night-time economy and tackles anti social behaviour. Supporting Victims of Crime To support the needs of victims of crime in a manner that treats them with dignity and keeps them informed about the progress of cases relevant to them; and to generally support measures aimed at implementing the EU Directive on Victims Rights and Criminal Justice (Rights of Victims) legislation. Reduce Re-Offending To support a targeted, interagency approach to reduce recidivism, tackle serial offenders; including continued development of the Diversion Programme for young offenders. Roads Policing To reduce the number of deaths and serious injuries on our roads arising from collisions and from pedestrians failing to take appropriate care and continue to implement the recommendations of the Garda Inspectorate Report on the Fixed Charge Processing System. Domestic and Sexual Violence To vigorously work to prevent domestic, sexual and gender-based violence, and to effectively tackle such violence when it occurs; with a view to ensuring timely responses in all cases. 9
Innovation and Efficiency To continue to maximise the efficient and effective use of personnel and other resources; to oversee the implementation of reforms and development of new ICT systems taking into account the recommendations of the Garda Inspectorate and adhere, in so far as possible to budgetary targets across the organisation. Justice Reform To implement the policing and security elements of the Government Justice Reform Programme including support for the work of the new independent Policing Authority. Values, Behaviours and Culture An Garda Síochána s values as set out in the 2016-2018 Strategy Statement underpins everything the organisation does; they are described as follows: Values o o o o o o Service Delivering pro-active, responsive and impartial policing and security services Honesty Being honest, ethical and adhering to the principles of fairness and justice Accountability Accepting individual responsibility and ensuring public accountability Respect Having respect for people, their human rights and their needs. Professionalism Providing a professional policing service to all communities. Empathy Demonstrating empathy through the human qualities of compassion, understanding and tolerance An Garda Síochána has also adopted the Civil Service values of honesty, impartiality and integrity and behaviours outlined in the Civil Service Code of Standards and Behaviour. The Civil Service Renewal Plan (www.per.gov.ie) describes the values of the Civil Service as encompassing: A deep-rooted public service ethos of independence, integrity, impartially, equality, fairness and respect; A culture of accountability, efficiency and value for money; The highest standards of professionalism, leadership and rigour. 10
Code of Ethics for An Garda Síochána One of the functions of the Policing Authority is to develop a Code of Ethics for An Garda Síochána. A draft Code developed by An Garda Síochána was shared with the Policing Authority. We will continue to support the Authority in this work. Ethics in Public Office The Standards in Public Office Commission (www.sipo.gov.ie) publishes guidelines under the Ethics in Public Office Acts, 1995 and 2001 (the Ethics Acts) for prescribed public servants as well as office holders (i.e., Ministers, Ministers of State, etc.) to ensure compliance by them with the requirements of the legislation. The guidelines provide information on the steps that public servants need to take in order to comply with the requirements of the legislation. Public servants may seek advice from the Standards in Public Office Commission concerning any provision of the legislation or the application of any such provision in any particular case. Code of Standards and Behaviour for Civil Servants The Standards in Public Office Commission (www.sipo.gov.ie) produces the Civil Service Code of Standards and Behaviour (drawn up under s10 of the 2001 Act in September 2008) which forms a part of the terms and conditions of service of all civil servants. The Code underpins the rules in many areas including in relation to impartiality and confidentiality, civil servants and politics, behaviour at work, improper use of influence, and the acceptance of gifts, hospitality, payment for outside work and appointments outside the Civil Service. A copy of the Code is given to every appointee who must certify in writing that they have read it. An Garda Síochána will develop an internal Code of Conduct for all staff in tandem with the development of the Code of Ethics. Annual Returns of Statements of Interest An Garda Síochána is committed to having a strong and effective framework for the management of conflicts of interest and standards of conduct of public officials so as to provide assurance as to the quality and efficacy of its governance standards. The Garda Commissioner therefore expects all staff to meet the objectives of the Ethics in Public Office Acts which provide for disclosure of interests that could materially influence a designated person in relation to the performance of their functions. The 11
Acts covers senior civil servants working in An Garda Síochána as well as other designated persons, designated directorships and designated positions of employment in public bodies. The Commissioner is required to seek an annual disclosure of registerable interests by holders of designated positions. The Executive Director of Finance and Services is responsible for seeking returns on behalf of the Commissioner. Statements of a Material Interest Where an official function of a designated position of employment falls to be performed and a person who occupies that position or a 'connected' person (e.g. a relative, civil partner or a business associate) has a material interest in the matter, the person must not perform the function and must furnish a statement of the facts to the Garda Commissioner. If the person intends to perform the function, because there are compelling reasons to do so, he / she must furnish a statement of the compelling reasons to the Garda Commissioner. Statements of persons who occupy designated positions of employment are not furnished to the Standards in Public Office Commission. Protected Disclosures The Protected Disclosures Act 2014 became law on the 8 th July 2014 and came into operation on the 15 th July 2014 by virtue of the Protected Disclosures Act 2014 (Commencement) Order 2014 (S.I. 327 of 2014). An Garda Síochána operates a policy on Protected Disclosures in accordance with the Act. The policy outlines the processes and procedures in place for staff to raise concerns regarding possible wrongdoing in the workplace. All staff are encouraged to raise concerns internally so that issues can be dealt with in an appropriate manner. 12
Organisational Structures One of the defining features of An Garda Síochána is its unique role in providing both a policing and security service. This provides many advantages which continue to be leveraged to ensure the protection of communities, public safety and the security of our state. This differentiates our organisation from many other police services in that we deal with all aspects of policing and security. Our geographic presence ensures close contact with communities nationwide. This must be maintained. Given the nature of the service we provide and the geographical and cultural context in which we operate, it is difficult to identify a comparable policing service. However, we have looked at modernisation programmes in other police services and public and private bodies, and have taken some important learnings such as the need for organisational re-design and re-structuring. One of the key lessons we have learnt from these organisations, and from our own experiences in amalgamating Districts and Divisions, is to ensure such major changes do not jeopardise the close relationship we enjoy with the community. Some of the organisations who introduced critical re-structuring programmes subsequently had to reverse the changes made because of the reduction in the policing service provided and the negative impact these changes had on public confidence. We are also conscious that An Garda Síochána may not be able to take a big bang approach to restructuring while also downsizing management. Instead, we believe the first step is to re-design our organisational structure and then assess the impact of this change before deciding on the appropriate numbers of personnel required in Divisions and Districts. In re-designing our organisational structure, the main requirement is to ensure the capacity and capability at all levels to continue to deliver a responsive, agile and flexible policing service with the appropriate levels of effective leadership, governance and accountability. 13
We will also create a structure that can meet current, future and emerging threats and challenges. In particular, the challenges posed by serious and organised crime, domestic and international terrorism, cyber and economic crime, and the delivery of an effective community policing service to local communities. A fundamental element of our philosophy is maintaining the trust and support of the community. We will introduce a structure that not only embodies the principles of corporate governance, but delivers an effective policing and security service to the communities we serve. It is vital that the Regional, Divisional and District Officers involvement with the local areas and communities is maintained. This will be assisted by providing them with additional civilian support staff and structures in the areas of Human Resources, Finance and specialist support capability at Regional and Divisional Level. Regional Assistant Commissioners will be accountable for all aspects of policing and security in their area of responsibility including operational, financial administration and performance. The devolution of responsibility and accountability to each Region will enable more effective decision-making. In addition, they will be responsible for overseeing the implementation of the modernisation programme and will champion a specific policy area. The role and functions of Garda Headquarters will be restructured to provide greater oversight and governance, while more responsibility and accountability will be devolved to the six Regions. Garda Headquarters will monitor policing operations, and consider performance and governance throughout the organisation. A Corporate Services section will streamline the administrative processes between Headquarters and the Regions. We will re-structure the role and function of each Division creating Divisional Management Teams, which will incorporate a greater focus on community engagement and public safety at District level, while streamlining the role of crime investigation, roads policing, performance and standards. This will enable greater governance and oversight for each Division and reduce the amount of time spent on paperwork. Superintendents will be able to concentrate more on the delivery of local and 14
responsive policing, focusing on their leadership role within the District to maintain the standards and quality of operations. As part of our workforce planning we will identify roles and functions that can be undertaken by appropriately skilled professionals. We will work with other government departments to ensure that as many Gardaí as possible remain on operational duties. We do not simply want to replace Gardaí with civil servants. We want to reduce the administrative and bureaucratic burden on all of our people through investment in technology, greater digitisation and further automation. Our objective is to become a more streamlined, efficient organisation. In 2007 the report of the Advisory Group on Garda Management and Leadership Development outlined the importance of clearly spelling out our roles, authorities and relationships. In addition, it said that delegation downward through the organisation should be matched with accountability upwards, that there should be performance measurement and appraisal at all levels, and that proper arrangements should be made for training and staff development to prepare them for their new or changed roles. The second phase of the Organisation Structure and Design Initiative will see the organisation s new structure, processes and procedures reviewed, and any changes required made, to ensure the organisation is equipped to operate effectively into the future in line with the overall vision and strategic direction of the organisation. A new organisational structure, as set out below, has been developed to enable An Garda Síochána provide an accountable policing service that meets the needs and expectations of a modern society. It outlines the key functions of the Garda Executive and the Senior Leadership Team required to support the Garda Commissioner and the Organisation. 15
The Garda Executive comprises: The Garda Commissioner Deputy Commissioner Policing & Security Deputy Commissioner Governance & Strategy The Chief Administrative Officer The Senior Leadership Team will comprise of: The Garda Executive Assistant Commissioner Dublin Metropolitan Region Assistant Commissioner Northern Region Assistant Commissioner Southern Region Assistant Commissioner Eastern Region Assistant Commissioner South Eastern Region Assistant Commissioner Western Region (Vacant) Assistant Commissioner Special Crime Operations Assistant Commissioner Crime, Security and Intelligence Assistant Commissioner Community Engagement & Public Safety (Vacant) Assistant Commissioner Roads Policing & Major Event/ Emergency Management (Vacant) Assistant Commissioner Governance & Accountability (Vacant) Assistant Commissioner/Executive Director Legal & Compliance (Vacant) Assistant Commissioner Executive Support & Corporate Services Executive Director Strategy & Change Management (Vacant) Executive Director Information & Communications Technology Executive Director Human Resources & People Development Executive Director Finance & Services The Chief Medical Officer 16
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Strategic Planning, Decision Making & Performance Management Strategic planning is an integral part of the effective operation of An Garda Síochána. The three-year Strategy Statement, informed by the Programme for Government outlines high level priorities which are agreed by the Minister. The Strategy is also informed by the views of the key stakeholders, the general public and many other organisations which are sought as part of an extensive consultation process undertaken as part of the development of the Strategy. An Garda Síochána is currently working with the Policing Authority on the development of the 2016-2018 Strategy Statement. The business planning framework must be flexible to accommodate emerging priorities and provide for an integrated approach to top down planning within the organisation. This is achieved through the development of the following: Annual Policing Plans Regional, Divisional and District Policing Plans; and Targeted Operations Progress against business plans is monitored at national, regional and local level through: Weekly meetings of the Garda Executive Fortnightly Senior Leadership Team management meetings Bi-annual regional reviews conducted by Deputy Commissioners and the Chief Administrative Officer Weekly Performance Accountability Framework (PAF) meetings Annual Report Section 23 Report Annual Policing Plan The Annual Policing Plan is developed by the Garda Executive and includes Strategic Priorities, Justice Reform initiatives and Transformation initiatives. The plan provides clarity for managers and aids the strategic targeting of resources. The Policing Authority, with the consent of the Minister approves the Annual Policing Plan. The Garda Commissioner provides quarterly progress reports on the implementation of the plan to the Policing Authority. 18
Regional, Divisional and District Business Plans Regional business plans are the responsibility of Assistant Commissioners and Executive Directors, Divisional plans are the responsibility of Principal Officers and Chief Superintendents and District plans are the responsibility of Superintendents and Assistant Principals. These plans must reflect the strategic objectives of the national plans setting out how they will be implemented and should include measures and targets where appropriate. Progress is monitored through the weekly PAF meetings. Annual Report The Garda Commissioner prepares an annual progress report which is presented to the Policing Authority. The Annual Report outlines the main achievements, and new developments during the year as set out in the Strategy Statement. Progress updates for the Annual Report are provided from Business Units and Divisions across An Garda Síochána. Targeted Operations An Garda Síochána regularly plan and implement targeted operations. Plans are developed, implemented and monitored by individual Assistant Commissioners, or there may be a collaborative approach depending on the nature and scope of the operation. Progress is monitored at national level by the Garda Executive and the Senior Leadership Team, and at local level through weekly PAF meetings. Section 23 Report The three year review report of An Garda Síochána is produced in accordance with Section 23 of the Garda Síochána Act, 2005. This report reviews the efficiency and effectiveness of the management and deployment of resources available to An Garda Síochána over a three year period with the most recent (1 April 2012-31 March 2015) presented to the Minister in 2015. Future Section 23 reports will be presented to the Policing Authority. 19
Performance Management Individual goal setting is a key part of business planning. An Garda Síochána has piloted two performance management systems: 1. Performance Accountability and Learning Framework (PALF) for Garda members. 2. Performance Management Development System (PMDS) for Civil Servants. Following the pilot of PALF a review was conducted comprising focus groups, questionnaire, analysis of issues and meetings, as well as review by an independent assessor. Following this, PALF was introduced on a phased basis in late 2014 and is being extended across the country. The PMDS system was also piloted in An Garda Síochána. The review of the pilot has identified a number of issues that need further consideration before PMDS can be extended across the organisation. Internal Communications Arrangements An Garda Síochána values the views of all staff and understands the importance of communications in engaging with and keeping staff informed of progress on organisational objectives. The Director of Communications has overall responsibility for An Garda Síochána s internal and external communications. The Office of Corporate Communications has been established to develop a Corporate Communications Strategy which will enhance existing communications activities. This strategy will include the development of an internal communications strategy which is underway and will be completed later this year. An Garda Síochána s internal Portal is an integral part of internal communications it displays bulletins and newsletters and is updated regularly keeping staff informed on a wide variety of organisational matters. The Garda Commissioner holds bi-annual management conferences with the Senior Management Team, Chief Superintendents and Principal Officers. These conferences are also extended to Superintendents and Assistant Principals as required. All senior managers are expected to communicate business objectives and new developments to staff through weekly PAF meetings. 20
The Strategic Transformation Office has developed a communications plan to keep all staff informed as the organisation progresses through the transformation programme. A network of six dedicated Superintendents has been established to work as part of the Strategic Transformation Office to progress the implementation of transformation projects at regional level. This group liaises regularly with staff on the ground, providing updates through regular briefing sessions at local level where valuable feedback is captured and communicated back to the central office where issues raised can be addressed and resolved. Engagement with External Stakeholders An Garda Síochána engages regularly with key stakeholders such as the Department of Justice and Equality, The Policing Authority, The Garda Inspectorate, The Garda Síochána Ombudsman Commission and other Government Departments and Agencies. The community based activities of An Garda Síochána also ensure daily contact with the public, communities and many voluntary groups across the country which involves direct engagement through Joint Policing Committees and other fora. An Garda Síochána is committed to providing the best service it can to the people it serves and in doing so will always treat people with dignity and respect. Our commitments to our customers are outlined in The Garda Charter - Working with our Communities Appendix (A). The organisation is also committed to reviewing and improving its service, we do this by consulting with our customers through Public Satisfaction Surveys, the results of which feed into our policies and help us to improve the services we provide. An Garda Síochána will make every effort to accommodate persons who wish to conduct their business through Irish or any other language as required. The Garda Press Office is the main point of contact for media seeking information about Garda operations, missing person appeals, fatal road accidents and a wide range of other information concerning the activities of An Garda Síochána. An official presence is maintained by the Garda Press Office on social media sites including Facebook, Twitter and Flickr. 21
While many members of An Garda Síochána communicate informally with our customers there are occasions when formal communication is most appropriate e.g. communications with key stakeholders including the Minister, the Policing Authority etc. Communications protocols are agreed where necessary and reviewed and revised as required. Freedom of Information An Garda Síochána is committed to being open, accountable and transparent regarding the services we provide for and to the public. The Freedom of Information Act 2014 (FOI Act 2014) enables members of the public to obtain access, to the greatest extent possible, consistent with the public interest and the right to privacy, to information in the possession of public bodies, and, accordingly, to provide for a right of access to records held by such bodies. The new FOI Act 2014 has been extended to bring under its remit the following administrative areas of An Garda Síochána: Human Resource Management Finance & Procurement FOI requests are processed by our staff working in the Freedom of Information Office which is located in the Civilian Human Resources Directorate in Athlumney House, Navan. Data Protection An Garda Síochána complies with the Data Protection Act 1998 and 2003. All staff are made aware of their legal obligations under the Acts and are required to comply with An Garda Síochána s Data Protection Code of Practice. Data Protection Access Requests made to An Garda Síochána by individuals seeking access to their personal data are processed at the Data Protection Processing Unit which is located in the Garda Central Vetting Unit in Thurles. Review of Effectiveness of Governance Framework The implementation of this framework will be reviewed annually by the Garda Executive. It will also be reviewed by the Garda Internal Audit Section and Garda Professional Standards Unit. 22
Senior Management Roles & Assignment of Responsibilities 2 The purpose of this chapter is to provide an overview of the roles of the senior managers in An Garda Síochána as well as the Government, Minister, Secretary General and the newly established Policing Authority. Core Elements An overview of the roles and responsibilities of the Government, Minister, the Secretary General and the Policing Authority; An overview of senior management governance roles and responsibilities, including those relating to the Garda Commissioner, the Accounting Officer, the Deputy Commissioners, the Chief Administrative Officer, Assistant Commissioners, Chief Superintendents and Principal Officers. How responsibility is assigned to Officers of An Garda Síochána and Civil Servants for the performance of their functions. The Government Under Article 28.2 of the Constitution, the executive power of the State must be exercised by or on behalf of the Government. Policing forms part of the executive power of the State, and this is reflected in the 2005 Act which reserves certain matters for the Minister and for Government. The Government therefore has certain specific functions under the 2005 Act, in particular powers of appointment, removal and dismissal in relation to the senior Garda ranks, the approval of the giving of directions by the Minister to the Garda Commissioner, and the approval of the making of regulations by the Minister. The Policing Authority established under the Garda Síochána (Policing Authority and Miscellaneous Provisions) Act 2015 will have a role in the appointment, removal and dismissal of senior Garda Ranks as outlined in section 8, 9 & 10 of the Act. The Department engages with Garda management on these issues as necessary, for example in preparing certain memoranda for Government and in the preparation of Garda regulations. 23
The Minister for Justice and Equality Under the 2005 Act, the Minister may: approve the determination and revision by the Policing Authority of priorities and performance targets for An Garda Síochána in performing its functions in relation to policing services; establish, and from time to time revise, priorities and performance targets for An Garda Síochána in performing its functions in relation to security services; consent to the approval by the Policing Authority of the Garda Strategy Statement; consent to the approval by the Policing Authority of the Annual Policing Plan; and with the approval of the Government, issue a written directive to the Garda Commissioner concerning any matter relating to the Garda Síochána. On all of these issues, the Department engages with Garda Management in order to ensure that decisions taken are properly informed and based on accurate information. The Minister is accountable to the Oireachtas for policing and security matters, including matters relating to An Garda Síochána Ombudsman Commission and the Garda Síochána Inspectorate. The Secretary General of the Department of Justice and Equality Under section 40 of the 2005 Act, the Garda Commissioner must account fully to the Government and the Minister through the Secretary General for any aspect of her functions. This includes the duty to provide, on request by the Secretary General, any document in the power or control of An Garda Síochána. The Garda Commissioner The functions of the Garda Commissioner are set out in Section 26 of the 2005 Act and include: 24
directing and controlling An Garda Siochána; carrying on and managing and controlling generally the administration and business of An Garda Siochána, including by arranging for the recruitment, training and appointment of its members and civilian staff; advising the Minister on policing and security matters; assisting and cooperating with the Policing Authority in order to facilitate the performance by the Policing Authority of its functions; performing any other functions that are assigned to him or her by or under the Act. In performing her functions, the Garda Commissioner must have regard to the following matters: the objective of promoting effectiveness, efficiency and economy in the Garda Siochána; the priorities and performance targets in operation under section 20 and 20A at the relevant time; any relevant policies of the Minister or the Government; the strategy statement in operation under section 21 at that time; the annual policing plan prepared under section 22; any directive issued under section 25; the policing principles. The Garda Commissioner also has specific functions and duties under the 2005 Act, including: the appointment of persons to the ranks of Garda, Sergeant and Inspector and, subject to safeguards (including for the requirement for the consent of the Authority), their dismissal; the appointment of Civil Service staff; (as outlined in section 17 of the Garda Síochána (Policing Authority and Miscellaneous Provisions) Act 2015 informing the Policing Authority and, as the case may be, the Minister of measures taken to achieve the objectives of the policing and security priorities and performance targets 25
determined by the Policing Authority and the Minister respectively, and of the outcome of those measures; preparing and submitting a strategy statement every 3 years, or less if directed by the Policing Authority, to the Policing Authority; preparing and submitting an annual policing plan to the Policing Authority ; and preparing and submitting 3 year review reports to the Policing Authority. The Garda Commissioner is accountable under the 2005 Act to the Minister for the performance of the Commissioner s functions and those of An Garda Síochána. The Garda Commissioner (Accounting Officer) Section 43 (1) of the Garda Síochána 2005 Act states that the Garda Commissioner is the Accounting Officer in relation to the appropriations accounts of An Garda Síochána for the purposes of the Comptroller and Auditor General Acts 1866 to 1998. The organisation is subject to audits by the Comptroller and Auditor General and the Commissioner as Accounting Officer is required to account to the Committee of Public Accounts in this regard. The gross annual budget for An Garda Síochána is approximately 1.5 billion. The budget is negotiated each year by the Department in Estimates discussions with the Department of Public Expenditure and Reform (DPER) and consults Garda management on its resource requirements as part of this process. The Department also advises Garda management on its delegated sanctions for expenditure and secures approval from the Department of Public Expenditure and Reform where expenditure requires specific sanction. The Department monitors Garda expenditure on a monthly basis, as part of a general oversight of expenditure across all the Votes in the Justice group, and Garda management participate in monthly meetings chaired by the Department on expenditure control. 26
Deputy Commissioner Policing & Security Deputy Commissioner Policing and Security has overall responsibility for the effective delivery of a national policing service focused on crime prevention and community safety, ensuring effective crime management and investigation and a victim centred policing service. The Assistant Commissioners in charge of Special Crime Operations, Crime Security & Intelligence, Community Engagement & Public Safety, Roads Policing & Major Event/Emergency Management and the six regional Assistant Commissioners report to Deputy Commissioner Policing & Security. Deputy Commissioner Governance & Strategy Deputy Commissioner Governance and Strategy is responsible for ensuring the highest professional standards, effective governance and oversight processes to enable delivery of an effective policing service and to provide critical leadership in the strategic reform and development of An Garda Síochána. He is also responsible for the development of a positive culture of openness, transparency and accountability. Assistant Commissioner Governance & Accountability, Assistant Commissioner/Executive Director Legal & Compliance, Assistant Commissioner Executive Support & Corporate Services and Executive Director Strategy & Change Management report to Deputy Commissioner Governance & Strategy. The Chief Administrative Officer The Chief Administrative Officer is responsible for leading and managing the organisation s administrative functions, including Human Resources, Training and Development, Information and Communications Technologies and Financial Management and Procurement. The Executive Directors for Information & Communications Technology, Finance & Services, Human Resources & People Development and the Chief Medical Officer report to the Chief Administrative Officer. 27
Roles of Assistant Commissioners and Executive Directors The roles and responsibilities of senior managers are currently being reviewed as part of the development of the broader organisation structure. The Garda Code outlines the specific roles and responsibilities of all Garda ranks including Assistant Commissioners and Chief Superintendents. The roles and responsibilities of senior civil servants are determined by the Garda Commissioner and are consistent with those outlined in the matrix below. These responsibilities sit within the overall management framework for the Civil and Public Service. Responsibility Matrix (Executive Director/Director) Management of An Garda Síochána Management of Resources Participate on the Garda Executive Board, Senior Leadership Team and Manage and lead staff and assign specific responsibilities; Governance Boards; Manage and lead overall performance, including Support the Garda Commissioner to PAF, HR and Operations; ensure that An Garda Síochána meets Ensure learning opportunities and continued its aims; development are identified for staff and managers; Report to the Garda Commissioner, where appropriate; Ensure the proper allocation and use of resources, including: Prepare relevant elements of the o effective financial management, Statement of Strategy and progress reports; o the provision of cost-effective public services; Agree overall business plans for An Garda Síochána; o compliance with all the financial and other obligations relevant to the post Contribute to the effective management Identify opportunities for reform and of risk in An Garda Síochána; improvements within Division. Deliver the outputs determined by the Minister and the Garda Commissioner; Provide status updates on Divisional Business Plan to the Garda Executive Board. Management of Policy Advice Ensure all advices are evidence based; Contribute to dialogue with other Departments and relevant stakeholders; Participate at EU and international fora; and provide policy advice through established structures for the Garda Commissioner. Management of Business Units Strategically plan in line with the strategic objectives of the organisation; Own and sponsor the area's agreed strategic objectives; Prepare Business Plans for the Division; Ensure effective management of risk in the Division; Manage the overall performance of the Division; Achieve objectives relevant to the area; Implement relevant policies decisions in accordance with Government/Ministerial decisions; Deliver the outputs determined by the Minister, the Policing Authority and the Garda Commissioner. 28