Attachment 1
LOCAL PROBATION BOARDS IN ENGLAND AND WALES
BACKGROUND TO
THIS PAPER
This paper was requested by Martin Narey, Chief
Executive of the National Offender Management Service (NOMS),
following a discussion about local probation boards with PBA Chair
John Raine and Chief Executive Martin Wargent. The aims of the
paper are to:
— Set out the context of establishing
local probation boards.
— Summarise boards' aims, statutory
duties and ways of working.
— Describe the current position in
relation to the size and membership of boards.
— Provide some information on the costs
of operating boards.
— Set out the PBA's position on board
size and judicial membership specifically.
The paper has been approved by the PBA Board
of Directors.
LOCAL PROBATION
BOARDS
Aims and duties
Local probation boards were established by the
Criminal Justice and Courts Services Act 2000 as a vital part
of the new National Probation Service (NPS) for England and Wales.
Boards are bodies corporate and came into being on 1 April 2001.
Boards have the following overall aims:
— The reduction of re-offending.
— The protection of the public.
— The proper punishment of offenders.
— Ensuring offenders' awareness of
the effects of crime on victims and the public.
— The rehabilitation of offenders.
In achieving these aims, the duties placed upon
Boards by the Act and the regulations that flow from it are:
— Ensuring the provision of assistance
to the courts in determining sentencing and other decisions relating
to offenders.
— Ensuring the supervision and rehabilitation
of offenders.
— Ensuring the giving of effect to
"community orders".
— Ensuring the supervision of offenders
released from prison on licence.
— Ensuring the provision of accommodation
for offenders in approved premises.
— Where appropriate, making arrangements
with organisations and individuals for the provision of services.
— Ensuring the co-operation with other
organisations or individuals in the Area who are concerned with
the prevention or reduction of crime or with giving assistance
to the victims of crime.
— Where appropriate, giving grants
or other financial assistance in relation to the provision of
services.
— Where appropriate, making arrangements
with other boards in relation to the provision of services.
Boards therefore govern the work of the probation
service at the local (Area) level. They employ probation service
staff; represent the interests of, and involve local communities
in, the work of the service; forge partnerships and alliances
with other sectors and criminal justice agencies; and raise public
awareness of community sentences for offenders as an effective
alternative to custody. The 2000 Act recognised the importance
of securing the understanding, support and confidence of local
people in the work that probation carries out in the safe and
effective management of offenders in the community.
A local board works towards achieving its aims
and fulfilling its duties through systems and processes such as:
— Establishing the strategic direction
of its Area, within the policy and resources framework determined
by the Home Secretary.
— Preparing an annual Area plan and
budget, in a national format based on the European Excellence
Model (EEM), which contains both national and local priorities
and takes account of national performance measures set by the
NPD; the plan is submitted to the Director General of the NPS
for agreement.
— Contracting with other organisations
for the provision of services eg employment, education and training
for offenders.
— Within the context of the National
Negotiating Committee (NNC) for the probation service, being a
good employer.
— Meeting collectively as a Board (as
required by the regulations flowing from the Act) at least four
times, and as far as practicable, ten times a year and to hold
these meetings in public.
— Monitoring and assessing the Area's
performance against the annual plan so as to ensure continuous
improvement of performance.
— Via a statutory audit committee,
review the financial management and probity of the board.
Size and membership
The Act and its regulations provide for a board
size of seven to 15 members, for an initial term of office of
three years, and comprising an intended membership of:
— A chief officer, who is also the
only executive member of the board.
— A Lord Chancellor's appointee, being
a judge of the High Court, a Circuit judge or a Recorder.
— Other members including, where practicable,
four magistrates and two elected members of local authorities
from within the Area, with the balance drawn from people living
or working in the local Area.
The Home Secretary decided at the time that
all boards should initially have 15 members. After the first two
years, Ministers reviewed the arrangements and agreed that all
boards would continue with 15 places. Ministers also agreed that
existing board members, including chairs, may be re-appointed
for one further term without taking part in an open competition
subject to an assessment of satisfactory performance and to meeting
competency requirements. The PBA played an active part in revising
the existing competency framework so as to provide a proper and
robust basis for the re-appointment process.
Probation boards, in concept and practice, represent
a unique form of local governance. Although, unlike say local
councillors, Board members are not elected they are selected in
open competition and carry the authority of being Ministerial
appointees. Collectively, they seek to be representative of the
communities they serve. The proper behaviour of board members
is defined by a national code of conduct, issued from the NPD
by the direction of the Secretary of State in April 2003, which
includes the Seven Principles of Public Life, and in addition
requirements such as the recognition and valuing of diversity.
REMUNERATION AND
COSTS
The rates of annual remuneration for board chairs
range from £15,400 to a maximum of £27,500, dependent
upon Area size, although the upper end of the scale only applies
to London. Other board members receive an hourly rate of £15.40.
These rates have risen only once since boards were established
and the current levels, which represent a 10% increase on the
original 2001 rates, were applied from 1 April 2004 following
a review by the National Probation Directorate (NPD). The overwhelming
majority of board chairs were effectively subjected to a reduction
in remuneration in real terms, since the 10% increase did not
consolidate the element paid to chairs appointed in April 2001
in lieu of a pension contribution.
A PBA study in March 2003 found the average
cost of running a probation board to be £53,400, including
board members' remuneration and expenses, which represented an
average of 0.7% of an Area's total budget. Whilst not all boards
used the same basis for costing their activities, this data provides
a useful indication of board running costs.
PBA POSITION STATEMENT
ON THE
SIZE AND
JUDICIAL MEMBERSHIP
OF LOCAL
PROBATION BOARDS
Board size
The PBA's experience to date is that the current
board size is generally appropriate and that any statutory reduction
in size could not be justified, due to the following factors:
— The nature and breadth of the roles
and responsibilities placed upon boards by the Act.
— The critical importance of a board
membership which is representative of the diversity (in its broadest
sense) of the local Area, so that a board can be effective in
its critical role in local community engagement.
— In their role as employers the need
for boards to have a sufficient number of members who are skilled
and experienced in employee relations matters so as, for example,
to hear staff disciplinary and grievance cases and to ensure that
the different stages of such processes can be sustained.
— The additional requirements for Boards
of becoming a pivotal part of the National Offender Management
Service (NOMS), such as moving the service towards an offender
management model and extending their commissioning function.
— The cost effectiveness of boards
in their current form.
— The view taken by Ministers only
last year that board size should be maintained at 15 members,
which has recently been reaffirmed by the Director General of
the NPS.
However the PBA recognises that some local discretion
over the size of boards might be appropriate, although this should
not be to the detriment of boards' performance and in particular
with regard to local community engagement. As HM Inspectorate
of Probation's report of 2003, "From Aspirations to Reality—An
Inspection of the Governance of Probation Areas by Probation Boards",
concluded:
"The demands from the Government to develop
a strong NPS within an effective correctional services structure
will inevitably continue to make it difficult for a specific dimension
to be brought to the work that reflects the needs of the local
community. A persistent theme from this inspection is that, by
adopting a particular view of how effective performance is best
achieved, the NPS may be in danger of becoming overly centralised
with too little room for manoeuvre being given to probation areas
and their Boards. The challenge for both Boards and the NPD is
to ensure such local considerations do not get lost within the
framework of national developments and, as part of this, for Board
members to be a key part of the process of the NPS being linked
to the communities it serves. This means that if Boards are to
develop their potential, the local dimension still needs to be
given greater scope and encouragement".
Schedule 1 to the 2000 Act states that there
should be a minimum board membership of seven—chair, chief
officer and five other members. The Local Probation Boards (Appointment)
Regulations 2000 (SI 2000 No 3342) state that a local probation
board shall have a maximum of 15 members. Taken together, these
therefore provide the potential for variations in board size between
Areas.
Equally we do not believe there is a case for
increasing the size of boards: the former 54 probation committees,
which preceded boards and could have as many as 50 members, were
generally recognised as typically being too large to be fit for
purpose.
Judicial membership
The PBA understands that there is significant
variation in boards' experiences of the contribution made by judicial
appointees. Such experiences vary typically from a Judge being
a full and active board member, both within and outside of board
meetings, to other Judges being unclear or uncomfortable about
their role. In a few cases, whilst an appointment was made initially,
the judges involved subsequently withdrew within a few months
and have not been replaced. Clearly, a Judge can be a real asset
to a board, serving as an effective conduit with a critical stakeholder
group of the probation service.
The possibility of judges feeling compromised
as full members of probation boards was anticipated when boards
were being established in 2001. The PBA undertook a survey with
a view to seeking a clear statement from the then Lord Chancellor's
Department and the Home Office on the role of judges on probation
boards. Despite our persistent efforts, discussions between the
National Probation Directorate and the LCD did not come to fruition
and we would be keen to make a renewed effort to resolve this
issue with the Department for Constitutional Affairs.
Mike Caldwell
Governance Manager
September 2004
1. BOARD MEMBERSHIP COMPETENCY FRAMEWORK
COMPETENCIES
What are they?
Competencies are descriptions of performance
that reflect how Board Chairs and Board Members should perform
their role, and be proficient at demonstrating that they are effective
in various aspects of their roles. They are observable behaviours
that are made up of the following three elements:
When these are applied effectively, the work
performance, which results, is described as competent.
Five Core Competencies have been developed
to reflect the behaviours applicable to Chairs and other Board
members in the National Probation Service (excluding Chief Officers
and judicial appointees). Each competence consists of key sub-competencies.
These are categorised as follows:
|
| Corporate Responsibility | — Governance
— Whole Organisation Understanding
— Conduct
|
| Organisational Excellence | — Champions Change
— Personal Responsibility
— Performance Management
|
| Valuing and Enabling Diversity | — Leadership
— Personal Values
|
| Ambassador | — Community
— Staff
— Partnership
|
| Working with People | — Meeting skills
— Team Work
— Communication
— Developing others
|
|
Details of the behavioural statements that underpin these sub-competencies
are described in sections 2 to 6.
Why are they important?
For the review of performance to be worthwhile and accurate,
it is important to understand the behaviours that are required
of board chairs and members and reflect how these behaviours can
be used to effectively drive the National Probation Service towards
meeting organisational strategy, ie A New Choreography,
Achieving through People HR Strategy, and the Diversity Strategy,
The Heart of the Dance. The use of competencies will help
to review whether board chairs and members are exhibiting the
behaviours that are key to the National Probation Service's success.
The two main benefits are:
— To ensure that individuals in different Areas
have a common understanding—for example, of what merits
good communication or what it means to be an effective leader.
— To ensure a high level of consistency when
assessing performance—all Appraisers will know what good
performance should look like and will know what needs to be reviewed
and what can be ignored.
They are a useful tool, that can reduce subjectivity and
be used to give board chairs and member's clear focus on areas
that require improved performance. This will then allow the introduction
of learning, to address the development needs of board chairs
and members.
2. CORPORATE RESPONSIBILITY
Being Collectively responsible and accountable for
leadership, direction and control of the Area
|
| Board Members and Chairs
| Chairs |
|
| Governance: | —Accept responsibility as employer and be accountable for decisions made by the board
—Demonstrate ability to identify and manage risk
—Appreciate the importance of robust assurance and audit and the link to performance improvement
—Ensure proper use of resources and value for money
—Scrutinise key issues and challenge where appropriate
| —Demonstrate leadership in the formulation and development of Board structure, Governance and decision making processes
—Maintain the Board's focus on meeting objectives and on the management of risk to their achievement
|
Whole
Organisation
Understanding:
| —Demonstrate a broad understanding of the work of Probation and how it impinges on victim, offender and the community
—Understand and value the role and inter-relationship of the component parts of the NPS
—Understands the strategic objectives of the NPS and ensures that local plans and policies accord with them
| —Understand and value the role and inter-relationship of the component parts of the NPS and the Criminal Justice system
—Encourage participation in the formulation of National Policy through consultation
|
| Conduct: | —Demonstrate and promote high standards of integrity and propriety
—Recognise the distinction between board responsibilities and those of the Chief Officer
| —Establish a proper relationship of openness and trust with the CO and Board members
—Maintain high standards of integrity and propriety through leadership and example
|
|
3. ORGANISATIONAL EXCELLENCE
Lead the Service as it strives for organisational excellence
through continuous improvement
|
| Board Members and Chairs
| Chairs |
|
| Champions Change: | —Scrutinise information to identify areas that would benefit from change
—Contribute to the formulation of strategies and policies to effect change
—Demonstrate leadership in supporting and promoting the implementation of change
—Contribute to the review of Board processes to ensure that they are fit for the purpose in driving organisational excellence
| —Lead the drive for organisational excellence
|
| Personal responsibility: | —Act as a role model in driving forward (and supporting staff through) change
—Demonstrate a commitment to the values and changing culture of the organisation
—Recognise the impact of his/her behaviour and be willing to change to achieve results if necessary
| —Support members and staff through the process of change
|
| Performance Management: | —Understand the performance monitoring process and be able to define the information needed for the monitoring role of the Board
—Provide direction and support to enable the Service to achieve high standards
—Identify and focus on critical priorities to ensure continuous improvement
| —Maximise opportunities for identifying and incorporating best practice
|
|
4. VALUING AND ENABLING DIVERSITY
Understand and appreciate the impact that valuing and
managing difference can make to organisational effectiveness
|
| Board Members and Chairs
| Chairs |
|
| Leadership: | —Respect and value the contributions of all individuals within the Service
—Use appropriate information to ensure that service delivery meets the diverse needs of service users
—Scrutinise and monitor recruitment, retention, training and advancement strategies to ensure that they are fair and effective
—Critically examine and challenge policies and practice to ensure that their application and outcomes reflect the value the Board places on diversity
| —Set a clear example of commitment to valuing diversity in all aspects of the Board
|
| Promoting Equal Opportunity | —Ensure the Board discharges its legislative responsibilities in relation to diversity
| —Demonstrate accountability in respect of the Board discharging its legislative responsibilities
|
| Personal Values: | —Challenge inappropriate behaviour
and language
| —Create and maintain a culture that expects appropriate behaviour and language at all times
|
|
5. AMBASSADOR
Promote and represent the Board and the Service both
internally and externally
|
| Board Members and Chairs
| Chairs |
|
| Community | —Demonstrate knowledge and understanding of local communities and their service delivery needs
—Make opportunities to positively promote the role and work of the service
| —Ensure that the Probation Service is visible and has a proper profile within the area
|
| Staff | —Engage with staff, listen to their views and promote the work of the Board
| |
| Partnership | —Represent the Board with partners and key stakeholders when required
| —Lead effective representation of the board with key Criminal Justice Agencies, the community, local politicians, NPD and the Home Office and to give feedback to the board
|
|
6. WORKING WITH PEOPLE
Achieving results through effective communication and
team working
|
| Board Members and Chairs
| Chairs |
|
| Meeting Skills | —Thorough preparation undertaken prior to all meetings and events
—Demonstrate Active Listening and presentation skills
—Demonstrate judgement, coupled with effective analytical and decision-making skills
| —Demonstrate excellent chairing skills
|
| Team Work | —Be able to convey own point of view clearly and persuasively without dominating the team
—Provide and accept regular feedback to improve the effectiveness of individuals and the team
| —Make best use of Board members' skills, knowledge and experience
|
| Communication | —Communicate in a way that is clear, relevant and concise
—Provide written work or reports that are clear and succinct
| |
| Developing Others | —Promote and support a learning and development culture within Area
—Take responsibility for self-development
| —Ensure the Board members have appropriate learning and development opportunities
—Conduct effective appraisal of and review meetings with individual Board Members
—Effectively manage performance of Board members
|
|
|
