POL00121640
POL00121640
Financial
Investigations
Partnership for
Recovery
POL00121640
POL00121640
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Compliance
You don’t have to be ill to get better.
@
Compliance. What's That All About
Then ?
Compliance Exercise.
A Model for Improvement.
Compliance Pre 4th October 2005.
Compliance Post 4 October 2005.
A Look Forward.
' [DateTime] 2 Presentation Title
. Any Questions.
Compliance What's That All About Then.
Compliance Exercise.
A Model for Improvement.
Compliance Pre 4th October 2005.
Compliance Post 4th October 2005.
A Look Forward.
Any Questions.
POL00121640
POL00121640
You don’t have to be ill to get better.
What is compliance.
A tendency to do what others want
(Collins English dictionary 2002)
What do you perceive compliance
as.
°?
* What do we want you to perceive
compliance as
* Your partner in raising and
' [DateTime] 3 Presentation Title
Compliance @
What is compliance.
A tendency to do what others want (Collins English dictionary 2002)
What do you perceive compliance as.
? (Question to group)
What do we want you to perceive compliance as
Your Partner in raising and maintaining professional standards.
POL00121640
POL00121640
Compliance @
You don’t have to be ill to get better.
Analysis of compliance to date
* Compliance consists of 34 mainly
quantitative assessments.
* Covering — file construction
,submission timescales, offender report,
discipline report, taped Interview record,
and committal bundles.
* Compliance has improved
standards.
' [DateTime] 4 Presentation Title
Analysis of compliance to date
Compliance consists of 34 mainly Quantitative assessments.
Covering - file construction ,submission timescales, offender report, discipline report, taped Interview record, and committal
bundles.
Compliance has improved standards.
It is important to note that compliance is in its embryonic stages and there is no implied criticism of compliance past
POL00121640
POL00121640
Compliance @
You don’t have to be ill to get better.
Exercise
Score
100%
Why?
Because the quantitative
assessment was to narrow.
Because there is no qualitative
assessment.
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' [DateTime] 5 Presentation Title
File to read as a team leader
Invite comments
File to read as compliance manager with compliance sheet.
Not the file is supposed to have been received within the 12 working days.
The file is a composite of errors and is not from one source or one person and no criticism of any person is implied.
Check scores
Ask why it passed compliance seek comment.
POL00121640
POL00121640
Compliance @
You don’t have to be ill to get better.
Analysis shows there are.
¢ Inconsistencies in quantitative standards
through out all stages.
¢ Inconsistencies in qualitative standards
through out all stages.
* Some lack of understanding of business
requirement and process.
¢ Failure to develop following identification
of improvement opportunities.
' [DateTime] 6 Presentation Title
Analysis shows there are still.
Inconsistencies in quantitative standards through out all stages.
Inconsistencies in qualitative standards through out all stages.
Some lack of understanding of business requirement and process.
Failure to develop following identification of improvement opportunities.
POL00121640
POL00121640
You don’t have to be ill to get better.
Compliance development.
Maintain and Improve quantitative
assessment.
Y 9on file construction (to eliminate
inconsistencies)
v¥Y 1on submission timescales
¥ 25 on offender report (dealing with new
statistical data requirements and
reporting of failures)
Y 30n tape recorded interviews
vY 17 on appendices (to eliminate
! [pateTime] a “ Presenjation T tle tet 1
Compliance @
Compliance development.
Maintain and Improve quantitative assessment.
9 on file construction
1 on submission timescales
25 on offender report
3 on tape recorded interviews
17 on appendices
18 on discipline reports
Total of 73 compliance checks
POL00121640
POL00121640
Compliance @
You don’t have to be ill to get better.
Compliance development.
Move to a more qualitative
assessment.
Yon file construction - accuracy-
detail.
¥ on offender report - chronological
reports-length or brevity-relevance-
accuracy.
Yon discipline reports - chronological
Compliance development.
Move to a more qualitative assessment.
on file construction - accuracy-detail.
on offender report - chronological reports-length or brevity-relevance- accuracy.
on tape recorded interviews - summary or transcription-questions and and supplementary questions
on discipline reports - chronological reports-length or brevity-relevance- accuracy.
POL00121640
POL00121640
Compliance @
You don’t have to be ill to get better
A model for improvement
' Advice help Support
I [DateTime] I 9 Presentation Title
A model for improvement
Advice help Support
Monitor
Evaluate
Review
POL00121640
POL00121640
Compliance @
You don’t have to be ill to get better
A model for improvement
Advice help Support
¢ Policies and standards.
¢ POLTD. Investigation circulars.
* Guidance notes.
¢ Feed back.
*« Work shops, ITM meetings, team
meetings and 1-2-1s.
* Coaching, Shadowing and direct support.
' [DateTime] 10 Presentation Title
Advice help Support
Policies and standards
POLTD. Investigation circulars
Guidance notes
Feed back
Work shops and ITM meetings
atteam meetings
POL00121640
POL00121640
Compliance @
You don’t have to be ill to get better
A model for improvement
Monitor
* Compliance checks covering-
* Quantitative assessment.
* Qualitative assessment.
' [DateTime] "1 Presentation Title
Monitor
Compliance checks
Quantitative assessment.
Qualitative assessment.
POL00121640
POL00121640
Compliance @
You don’t have to be ill to get better
A model for improvement
Evaluate
Strengths and weaknesses
identified within the area subject to
compliance.
At whole group level.
At team level.
At individual investigation manager
rime] 12 Presentation Title
Evaluate
Strengths and weaknesses identified within the area subject to compliance.
At whole group level
At team level
At individual Investigation Manager level
POL00121640
POL00121640
Compliance @
You don’t have to be ill to get better
A model for improvement
Review
The development need.
At whole group level.
At team level.
At individual investigation manager
level.
' [DateTime] 13 Presentation Title
Review
The development need
At whole group level
At team level
At individual Investigation Manager level
POL00121640
POL00121640
Compliance @
You don’t have to be ill to get better
A model for improvement
Advice help support
¢ Policies and standards.
¢ POLTD. Investigation circulars.
* Guidance notes.
¢ Feed back.
*« Work shops, ITM meetings, team
meetings and 1-2-1s.
* Coaching, Shadowing and direct support.
' [DateTime] 14 Presentation Title
A model for improvement
Advice help support
Policies and standards
POLTD. Investigation circulars
Guidance notes
Feed back
Work shops and ITM meetings
Attendance at team meetings
¢ GRO}
POL00121640
POL00121640
Standards
Compliance
You don’t have to be ill to get better
Rise
[DateTime] 15 ) Presentation Title
Best clip art I could find
POL00121640
POL00121640
Compliance @
You don’t have to be ill to get better.
Items Currently subject to central
compliance checks
*Offender file construction.
‘Timings of submissions for offender
reports.
*Offender report.
Tape summaries or transcriptions.
aitation Title
POL00121640
POL00121640
Compliance @
You don’t have to be ill to get better.
Items from 4 October 2005 subject to
central compliance checks
* Time specific case progress against case
category.
* Time specific case progress offender
reports.
¢ Offender file construction.
¢ Offender report.
* lape:summares OF anscriptions.
Items from 4th October 2005 subject to central compliance checks
Time specific case progress against case category.
Time specific case progress offender reports.
Offender file construction.
Offender report.
Tape summaries or transcriptions.
POL00121640
POL00121640
Compliance @
You don’t have to be ill to get better
Continued.
* Business reports both offender and
non offender reports. Specifically
relating to details of failures in
security, supervision, procedures
and product integrity.
¢ TOR forms.
¢ Non offender case closed.
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' [DateTime] 18 Presentation Title
Continued.
Business reports both offender and non offender reports. Specifically relating to details of failures in security, supervision,
procedures and product integrity.
TOR forms.
Non offender case closed.
Committal bundles.
POL00121640
POL00121640
Compliance @
You don’t have to be ill to get better
The future
How the compliance process could
assist you in raising and
maintaining professional standards.
© eateeeeeeeeeeeeeeeseeeeessess YOU Only have
to ask
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' [DateTime] 19 Presentation Title
The future
How the compliance process could assist you in raising and maintaining professional standards.
Qualitative compliance on tape-recorded interviews.
Quantitative compliance on Investigative processes,
Qualitative compliance on Investigative processes.
Qualitative compliance during offender inquiry.
Qualitative compliance during open inquiry.
Qualitative compliance during court processes
And so on and so on....... susseee¥OU ONly have to ask
POL00121640
POL00121640
Compliance @
You don’t have to be ill to get better
Any Questions
Presentation Title
I [DateTime] I 20
Told this job is the Poison Challis
Told every one will hate me
Told to try and be a friend to all the team leaders to keep them on side
So I've brought you all some sweets