Wales. Probation Trust

Transcription

1 Health, Wellbeing and Local Government Committee HWLG(3) p3: 29 April 2010 Wales Probation Trust - Annex 1 - Business Plan Wales Business Plan and Organisational Development Plan 2010/ /13 Probation Trust Delivering Local Probation Services for the People of Wales BUSINESS PLAN AND ORGANISATIONAL DEVELOPMENT PLAN 2010/ /13

2 1. The Planning Context 1.1 The National Offender Management Service Agency The National Offender Management Service (NOMS) Agency was launched as an executive agency of the Ministry of Justice in July The Agency was established to join up prison and probation services to enable offender management to be delivered more effectively and to strengthen and streamline commissioning. The Agency is therefore responsible for commissioning and delivering adult offender services in England and Wales. The Agency has the key role of influencing other Government Departments in order to address the needs of offenders, and in providing sentencers with information on the costs and benefits of sentence options In the English regions and Wales, the Agency Director General and his Chief Operating Officer delegate responsibility to ten Directors of Offender Management (DOMs). Their role is to allocate resources in accordance with offenders needs, sentencers demands and public protection requirements, ensuring efficiency and effectiveness The Director of Offender Management (DOM) in Wales will monitor the performance of the Wales Probation Trust against the requirements of the Trust Contract with the aim of improving efficiency and effectiveness year on year The NOMS strategic and Business Plans to set out the Strategic and delivery context, identifying three significant challenges; Demand for offender management services is increasing. We are increasing prison capacity and modernising the estate to meet these demands but aligning the supply and demand of resources across prison and probation will remain critical to delivering an efficient, effective system. There are tight funding constraints for other activity after we factor in the increase in capacity. This means that we all need to plan how to achieve our goals with limited resources. We must work to improve efficiency and effectiveness in all areas. We must improve performance and public confidence by devolving decision making to the lowest level possible to support efficient and effective delivery. This will mean providing more responsibility and accountability to the frontline to make the decisions that will best support local needs and reflect community concerns. 1.2 Criminal Justice Strategies and Plans The Home Office Crime Strategy, Cutting Crime: A New Partnership , July 2007, encourages a holistic approach to tackling crime from prevention through to rehabilitation. The key areas are; Stronger focus on serious violence Continued pressure on anti-social behaviour Renewed focus on young people New national approach to designing out crime THE PLANNING CONTEXT

3 Continuing to reduce reoffending Greater sense of national partnership Freeing up local partners, building public confidence This strategy is supported by the Criminal Justice Strategic Plan produced in November 2007 by the Office for Criminal Justice Reform on behalf of the Home Office, Ministry of Justice and the Attorney General s Office, entitled Working Together to Cut Crime and Deliver Justice. The vision for 2011 is of a Criminal Justice System which; is effective in bringing offences to justice, especially serious offences; engages the public and inspires confidence; puts the needs of victims at its heart; and has simple and efficient processes A key aspect of the Criminal Justice Strategic Plan relates to how Local Criminal Justice Boards and Community Safety Partnerships can work efficiently and effectively at a local level to deliver justice and reduce reoffending. The Cross Government Public Service Agreement (PSA) targets directly relevant to protecting the public and reducing reoffending are: PSA 13 : Improve children s and young peoples safety. Ensuring that there are strategies in place to ensure childrens safety whilst in custody. PSA 16: Increase the proportion of socially excluded adults in settled accommodation and employment, education or training. PSA 23 : Make communities safer: Priority Action 1: Reduce the most serious violence, including tackling serious sexual offences and domestic violence. Priority Action 2: Continue to make progress on serious acquisitive crime through a focus on the issues of greatest priority in each locality and the most harmful offenders particularly drug misusing offenders. Priority Action 3: tackle the crime, disorder and anti-social behaviour issues of greatest importance in each locality, increasing public confidence in the local agencies involved in dealing with these issues. Priority Action 4: reduce reoffending through the improved management of offenders; o Protect the public; o Reduce re-offending; o Manage the sentence. PSA 24: Deliver a more effective, transparent and responsive Criminal Justice System (CJS) for victims and the public; Indicator 1: Improve the efficiency and effectiveness of the CJS in bringing offenders to justice; Indicator 2 : Improve public confidence in the fairness and effectiveness of the CJS; Indicator 3 : improve the victim satisfaction with the Police; and victim and witness satisfaction with the CJS; Indicator 4 : provide consistent collection, analysis and use of good quality ethnicity data to identify and address race disproportionality in the CJS; Indicator 5 : recover 250m in criminal assets (by 2009/10). THE PLANNING CONTEXT

4 PSA 25: Reduce the harm caused by alcohol and drugs ensuring that offenders get referred for drug and alcohol treatment where applicable. PSA 26: reduce the risk to the UK and its interests overseas from international terrorism via work to counter the risks posed by extremists Achievement of these targets supports the wider Ministry of Justice Departmental Strategic Objectives (DSOs). The Ministry of Justice has four DSOs which specify the outcomes to be achieved by 2011, two of which are directly related to offender management and interventions: DSO 3: Protecting the public and reducing re-offending: Reducing re-offending; Protecting the public; Increasing the efficiency and effectiveness of service delivery; and Through work to counter the risks posed by violent extremist offenders; DSO 4: A more effective, transparent and responsive Criminal Justice System for Victims and the public: Increasing the efficiency and effectiveness of the CJS; Increasing the transparency of the CJS so that it inspires confidence in local communities; and A more responsive CJS that has the needs of victims and witnesses at its heart The NOMS National Commissioning and Partnerships Framework sets out the commissioning strategy for achieving the priorities set out above. The strategy will ensure that NOMS can deliver the requirements of the court and statutory obligations, deliver the prison capacity programme and protect the public. Additional emphasis will be placed on getting the right service for the individual offender and improving equality of access. This will be achieved by effective targeting of resources and increasing capacity and capability through strategic alliances with voluntary/third sector partners The Current NOMS Cymru Commissioning and Business Plan, identifies four offender groupings in Wales to target as priorities; High and very high risk of harm (OASys risk of harm analysis definition) Indeterminate Public Protection (IPP) offenders in custody Prolific and priority offenders (PPO s) Women Offenders In addition to these offender groupings NOMS Cymru s Commissioning priorities include; Collaborative work across agencies for substance misuse interventions, with a prticular focus on addressing alcohol related violent offending; Addressing domestic abuse related offending through delivering integrated delivery options for offenders in the community and developing appropriate integrated interventions for those in custody; Delivering an expansion programme for custodial places in Wales; Designing and piloting focussed intensive community supervision and control programmes for specific courts to consider as sentencing option; THE PLANNING CONTEXT

5 Reviewing MAPPA arrangements and co-ordination across prisons and probation and enabling statutory and other parter agencies responsibility deployment; Developing sentencing options for courts to consider for women offenders as an alternative to short term prison sentences; Continue to work towards reducing the numbers of Welsh prisoners having to serve their sentences in English prisons; Support local commissioning by our providers for services to meet local need where appopriate The Third Sector Action Plan drives forward the MoJ Third Sector strategy for England and Wales. There are four drivers for this: Enabling voice and campaigning Strengthening communities Transforming public services Encouraging social enterprise The key aim is to maximise the third sector s contribution as service providers, campaigners and advocates of service users and communities, and their role in supporting and involving volunteers. Also linked to the consultation is the Home Office Action Plan for Tackling Violence Saving Lives, Reducing Harm, Protecting the Public. The objectives of the plan are to address gun and knife crime, work in investigating and prosecuting rape, spread good practice in domestic violence and create measures to reduce prostitution and human trafficking. The plan further strengthens inter-agency work and the ability to share information In November 2005, three reducing reoffending alliances were launched to assist with informing, consulting and involving specialist organisations and particular communities in the work to reduce reoffending: The Corporate Alliance which seeks to engage employers who are already working with offenders to ask others to get involved so that more offenders find sustainable jobs; The Faith and Voluntary and Community Sector Alliance which aims to build on the skills and knowledge of local organisations which work with offenders in prison and the community; The Civic Society Alliance which aims to work closely with local Government, local organisations and communities promoting the business case for so doing. 1.3 The Trust Context in Wales The Offender Management Act 2007 has afforded the four Probation Areas/Trusts in Wales the opportunity to form the Wales Probation Trust. There has been a logical progression toward forming a unified Probation organisation in Wales over the years and the decision to apply for Wales Probation Trust Status is based on a clear business case and on the experience of the two First Wave Trusts in Wales since April The Better Together Project also provided transformational impetus for a Wales Probation Trust identifying as it did the ways in which operational and support services could be configured differently to deliver efficiencies, effectiveness and economies of scale. THE PLANNING CONTEXT

6 1.3.3 In essence the business case for the Trust is as follows; Greater financial viability Better local community focus Improved and sustained performance Increased procurement and revenue generation Leaner governance and management structures Removal of replication and inconsistency Increased public confidence Efficient and cost effective support services Reprofiled and flexible workforce Better strategic direction and planning The headline statement on rationale and benefits is that the Wales Probation Trust can most economically and sustainably achieve the Secretary of State s objective of delivering probation services namely; TO: BY: Deliver adult Offender Management Services in custody and in the community, effectively and efficiently Developing streamlined systems and structures and maximising the use of Commissioning to give a local focus to work SO THAT : The Ministry of Justice departmental strategic objective of protecting the public and reducing reoffending is met The vision for the new Trust is encapsulated in these statements; A new Probation organisation in Wales which delivers punishment and rehabilitation, contributing to the reduction of reoffending, thus ensuring safer local communities and fewer victims. A stronger publicly accountable organisation where all services are delivered with decency, diversity is valued, equality is promoted and compliance with the Welsh Language Act 1993 is evident. A unified Probation organisation which has a primary business focus on local delivery, supported by an integrated leadership and governance structure. An organisation of which staff can be proud and which earns public support and confidence, and which is the voice of Probation in Wales. An effective provider and commissioner of probation services, working purposefully in partnership with NOMS Cymru and public, private and community sector organisations. 1.4 Planning Assumptions In any planning context facts and figures are critical and data about Probation in Wales is set out in Appendix 1, 2 and 3. THE PLANNING CONTEXT

7 1.4.2 Planning in the Wales Probation Trust has to sit within the wider Criminal Justice Context, as set out in paragraphs , and alignment to achieve corporate business objectives is assumed to be fundamental; Ministry of Justice Corporate Plan National Offender Management Service Strategic and Business Plans to NOMS Cymru Commissioning and Business Plan Wales Probation Trust business plan and organisational Development plan 2010/11 to 2012/13 Local Delivery Unit, Intervention and Business Development Unit and Support Unit action plans 2010/11 to 2012/13 Individual Board Member and Staff Member annual objectives A number of key assumptions underpin the Business Plan and Organisational Development Plan and these are grouped as follows; (1) Financial Assumptions Financial resources will reduce and will require efficiency savings, economies of scale and the maximisation of value for money There is potential revenue income from the European Social Fund 2009/15 Frontline delivery will be safeguarded when making financial decisions Interventions and Business development will be a driver for market expansion Collaboration is key to maximising the use of resources (2) Service delivery assumptions There will be an increased demand for services from the Courts and Parole Board Workloads and caseloads will increase linked to the recession and increases in crime (5%) Resources will follow risk Work to reduce reoffending will become harder as unemployment rises in the general population THE PLANNING CONTEXT

8 Local Delivery Unit resourcing will be the building block of financial planning Interventions will be commissioned internally and externally Working practices (e.g from the Specification, Benchmarking and Costing Programme) will change. (3) Workforce Assumptions Support Services will be reconfigured to achieve efficiencies and costeffectiveness Operational services will be reconfigured to maximise the use of resources and the reduction of reoffending Tackling absence and poor performance will be integral to maximising productivity and supporting workforce morale Learning and development of Board Members, managers and staff will be a major priority. (4) Corporate assumptions Account will be taken of the principles and legislative requirements of equality and diversity and of the Welsh Language Act 1993 External expertise will be sought as needed to innovate and achieve business objectives Opportunities to be a provider and/or a commissioner of services will be taken The involvement and engagement of Trade Unions in the corporate life of the organisation is essential Financial, Business and Commissioning Skills will need to be developed in Leadership, Governance and Management roles Critical success factors for the business plan and organisational development plan can be described as follows; Key stakeholder engagement Identification of key constrains Inclusion of performance targets by which to measure success and progress Support of the Plan, Act Review, Improve (PARI) approach to continuous improvement Meeting the needs of the commissioner. THE PLANNING CONTEXT

9 2. Statement of purpose, Vision, Values and Business Philosophy 2.1 Statement of Purpose The overarching aims of the Wales Probation Trust are set out in the Offender Management Act 2007; The protection of the public The reduction of reoffending The proper punishment of offenders Ensuring offenders awareness of the effects of crime on the victims of crime and the public The rehabilitation of offenders The Wales Probation Trust works to reduce re-offending and contributes to developing safer communities by ensuring that we: Carry out our primary responsibility for offender management in working with the courts to deliver high quality assessments Deliver any punishment ordered by the court Reduce the impact and frequency of harm caused to the public through the comprehensive risk management of offenders Use effective and tested interventions which are successful in reducing re-offending Develop each individual offender s potential to make a positive contribution to society Work in partnership with others to achieve common goals which support safer communities and social inclusion. 2.2 Vision Public Protection, reduced reoffending and improving public confidence in the Criminal Justice System is at the heart of our vision; a society with fewer victims, living in safer communities, where offenders are properly punished for their crimes. It is a society in which the rule of law is fairly and equally applied to and for all sections of our diverse communities. Those communities will have confidence in the Wales Probation Trust and will see the development of an excellent organisation with highly skilled, well motivated staff who, in partnership with others, are making a real difference to the safety of their communities Our vision is therefore to make Wales a safer place by; Achieving a reduction in reoffending through the efficient and effective management of offenders Promoting positive change in the lives of all those who we work with Working with partners to ensure that together we deliver what is needed in the most efficient and effective way Engaging with local communities to increase public confidence, recognising local priorities Wales Probation Trust will be a successful provider of probation services recognised for its effective supervision of offenders, operating in partnership with organisations based in local communities, to protect the public, reduce reoffending and increase social inclusion. STATEMENT OF PURPOSE, VISION, VALUES AND BUSINESS PHILOSOPHY

10 2.3 Values In delivering probation services we will; Respect and value individuals Be open, fair, honest and decent Believe in our ability to make a positive difference Incorporate equality and diversity in all that we do Empower and motivate staff Work collaboratively with others Embrace change and innovation Deliver good value for money. 2.4 Our Business Philosophy Our Business philosophy incorporates the following dimensions; A commitment to enhancing public confidence by managing risk effectively, delivering the sentences of the courts, engaging with victims and being visible in local communities in partnership with the Local Criminal Justice Board (LCJB) and Community Safety Partnerships (CSPs). A commitment to full participation in the Multi-Agency Public Protection Arrangements (MAPPA). A commitment to deliver the performance requirements of the contract with the Director of Offender Management for Wales is central to our operation as a business. However, the targets in the contract do not fully describe the goals of the Trust and so we will continue to monitor both quantitative and qualitative data on those areas that are not addressed by the contract targets. We will use this monitoring, along with external benchmarking, to inform our actions and to ensure diversity and human rights, employee relations and well being, and service user involvement. Recognition that as an organisation we are both a provider and commissioner of services and we need to ensure that there are clear and transparent governance arrangements around these two roles. Openness to developing relationships with new potential partners and a commitment to developing assistive relationships with significant others, particularly the Welsh Assembly Government, Local Authorities, Police, Registered Social Landlords (RSLs), Social Enterprises and the private sector, including local Small and Medium size Enterprises. Commitment to partnership working with third sector bodies to widen the available portfolio of interventions. Emphasis on joint commissioning and pooling of resource streams adopting a collaborative, rather than a competitive philosophy, in line with Welsh Assembly Government policy. A Commitment to enhance service user influence on service provision and its development. An emphasis on growing volunteering capabilities both directly and indirectly with partner agencies. A Focus on using external funding to trigger additionalities (e.g EU Competitiveness and Convergence Funding, Big Lottery and Welsh Assembly Government funding streams.) A commitment to Equality and Diversity to the Welsh Language and the development of our capability to deliver services in the language of choice. STATEMENT OF PURPOSE, VISION, VALUES AND BUSINESS PHILOSOPHY

11 3. Strategic Priorities 3.1 Core Business The Business of the Wales Probation Trust is primarily to prepare reports for the Courts and Parole Board and to supervise adult offenders subject to Community Orders and prison licences. The Trust expects to prepare approximately 16,000 Pre Sentence reports per annum, rising by 5% year on year, and to supervise approximately 15,000 offenders at any one time (also rising by 5%). Victim Cases will number about 1,200, with this area of work being subject to a Best Value review. 3.2 Key Strategic Priorities The Wales Probation Trust has six key strategic priorities that are critical to success in 2010/13. These are; (1) Protecting the public and reducing reoffending (2) Service Delivery and Performance (3) Business Development and resource management (4) Commissioning and Partnership working (5) Diversity and an effective, flexible workforce (6) Stakeholder engagement The matrix overleaf sets out each strategic priority, with an outline of the baseline, deliverables and key action points. The model below provides a visual overview of the core business of the Trust, supporting functions and methods of delivery. P R O F I L E & C O M M U N I C A T I O N Prevention and Rehabilitation Governance & Leadership Offender Management PUBLIC PROTECTION Enterprise, Commerce and Innovation Human Resources, Learning and Development, Diversity Operational & Support Services Core Probation Business Different Delivery Models Interventions Develop Business Capacity & New Business Finance, ICT & Estates REDUCED REOFFENDING Partnerships, Commissioning and Social Enterprise Management S T A K E H O L D E R E N G A G E M E N T STRATEGIC PRIORITIES

12 4. Organisation Design and Business Model 4.1 The Organisation Design for the Wales Probation Trust has been constructed to meet certain criteria which in summary are; Affordability Resources into frontline delivery Creation of Local Delivery Units for Offender Management Services Internal and External Commissioning of Interventions Lean Governance and Management Integrated Support Functions. 4.2 An Organisation Design Plan is appended and describes the structures for Senior Management, Offender Management, Interventions, Partners and Commissioning, the Directorate of Resources and Governance, (Appendix 4). This includes a note on Governance and Leadership. To support delivery of the business model other key documents have been drafted and these include a Trust Learning and Development Plan and a Communications and Public Relations Strategy and Policy. 4.3 The Organisation Design Plan contains detailed costings along with comparative staffing profiles between 2009/10 and 2012/13.Charts of the current four structures in Wales Probation Areas/Trusts are evidenced. 4.4 The Business Model for the Wales Probation Trust is based around the concepts of: Core Probation Business; delivering the Secretary of State s contract with the Trust; Commissioning and Partnership working; Securing interventions from the statutory, private and third sector that represent best value and being a provider commissioned by others to deliver services that protect the public and reduce reoffending; Stakeholder requirements; Responding to stakeholder needs and delivering quality services effectively, efficiently and economically; Capacity and capability; Developing the organisation to respond to new and changing markets with enterprise and innovation. 4.5 A framework and strategy for commissioning have been prepared, (Appendix 5 & Appendix 6) which outlines the Trust s plans to base all Commissioning on a Best Value approach, at which ever level; Commissioning National Regional/ Wales Local Develop policy, set priorities, Framework and objectives. Commission national services Strategic reducing reoffending overview, commissioning lead providers and prisons Deliver core OM and Commission most interventions Procurement Purchasing of services at the best level of aggregation to balance efficiency/ VfM and effectiveness ORGANISATIONAL DESIGN AND BUSINESS MODEL

13 4.6 The Trust does not anticipate reviewing offender management services within the planning horizon, partly because we believe that the changes to the LDU model outlined in this application cannot be assessed until the model has had time to settle through its early iterations. It is possible that any or none of our non offender management services could be completed in the planning horizon of this business plan, which would obviously have a significant impact on the service design and the financial breakdowns provided. 4.7 We intend to take a targeted approach. This approach will be shaped by the NOMS Agency of Best Value Framework and also in consultation with major stakeholders, particularly NOMS Cymru, staff and partners, to consider which of our operations to test. The main criteria for testing will be anticipated increases in benefits. Those where an initial benchmarking exercise, supported by the specification, benchmarking and costing work, indicates major gains, will be those completed first. At current time the national framework has identified Victim Liaison and Unpaid work as the first areas for review. The Trust will deploy the NOMS Best Value Guidence Pack ten Elements of a Value Test as set out below. The Organisation Design has built in the required ethical walls, to ensure a clear seperation between commissioning and provider functions, by seperating Directorates on Local Delivery, Interventions and Business Development and Resources. Clear output specification Consultation with alternative providers Draw up and evaluate improvement plans Elements of a Value Test Select a service to value test Benchmark performance and cost Opportunities for collaboration and sharing best practice Transparency in business decisions Conclusion/ Recommendation Consultation and challenge with existing providers Challenge current service delivery models Competition, where appropriate 4.8 During the Transition to Trust phase there will be an organisational design workshop held, led by the National School of Government, to shape and determine the optimal design for service delivery and the infrastructure required to support the business. ORGANISATIONAL DESIGN AND BUSINESS MODEL

14 5. Organisational Performance and Targets 5.1 The Wales Probation Trust will receive performance targets for 2010/11 in due course. To give an outline of how those performance targets may look details are contained, at the end of this section, of the current individual Area/ Trust Performance targets totalled into a Wales-wide figure using the Integrated Probation Performance Framework. 5.2 A Performance Management Framework (PMF) has been written and will be implemented from 1 st April This is set out in Appendix 7 and features in Domain 2 of the Trust Application. The PMF explains the Trust s approach to Performance Management Systems, Accountability, Quality, Performance Monitoring and Reporting, and how the Framework will be further developed.underpinning how we see the PMF and its use is the following model which sets out the continuous flow of planning, reviewing, acting and improving. 1. This is where we want to go 2. Here s what needs to be done 3. These are the resources needed Set out what we want to achieve Translate it into something meaningful for different levels of our organisation Identify and provide resources PLAN 8. How did we do? What did we do well and what should we do differently Analyse and review PLAN ACT REVIEW IMPROVE 4. This is what people must do Clarify responsibility 7. Have we done it? Monitor 6. Getting it done Take action 5. This is where the buck stops Clarify accountability 5.3 The Trust will develop a Performance Hub which will have sections to incorporate all Wales, LDU, Team and individual data. Information will be available to practitioners as well as senior and middle managers and Case Administrators. It will contain handy hints for practitioners to ensure they are recording in such a way that they maximise their performance and contribution to team, LDU and Wales Targets. A monthly full Performance Report will be available to every LDU Head within 10 working days of the end of the month. This will be particularly important to ensure that performance is maintained at a local level as the transition into a new oeganisation occurs. We will have to ensure that any potential dips in performance are managed out by close and timely scrutiny of target attainment and remedial action as appropriate. ORGANISATIONAL PERFORMANCE AND TARGETS

15 5.4 The EFQM Excellence Model will be used to ensure continuous improvement.the Model has been used to good effect by all Areas/Trusts in Wales since 2001, with an annual self assessment process using the nine criteria. The Trust will continue to use the European Excellence Model self assessment process at both the whole organisational level and at the Local Delivery Unit Level. This will assist with embedding the performance culture and the Trust s approach to continuous learning, development and improvement. The aspiration is to attain an externally validated score of points to allow the Trust to compete for a European Excellence Award. 5.5 A balanced scorecard approach to performance management will be adopted to ensure that financial, customer, business processes and learning and growth perspectives are syncronised as with the Kaplan and Norton Model. Outlined below is our current overview of performance management. 5.6 The Trust will contribute to the further development of the Integrated Probation Performance Framework and the focus on drivers which are outcome based rather than input based. The outcomes seen as most important which also relate to the Offender Management Inspection Programme (OMI2), are; Minimised seriousness of reoffending Reduced frequency of reoffending Value for money delivered Offender needs relating to risk of reoffending addressed Victims risk, needs and rights addressed The organisation will strive to embed high performance across its LDUs and Interventions Clusters so that these outcomes can be well evidenced and externally validated. CONSULTATION P E R F O R M A N C E Divisional Targets Team Targets Performance Report BUSINESS PLAN BUSINE Business Plan Action Plan SLT Individual Responsibilities Team Managers via Team Plan A C C O U N T A B I L I T Y Individual Targets Individuals via Supervision and Appraisal Trust Learning and Development Plan Financial Outturn BUDGET Financial Governance ORGANISATIONAL PERFORMANCE AND TARGETS

16 Wales Performance Targets PUBLIC PROTECTION Target Reference No OM 21 IPPF01 IPPF Indicator Dyfed Powys Gwent North Wales South Wales WALES Reducing Reoffending NS Public Protection OM 15 Parole Assessment Reports OM 04 Licence Recall Requests OM 08 Tier 2 & 3 OASys Timeliness OM 35 Tier 4 & PPO OASys Timeliness OM 14 OM Phase 2 & 3 OASys Assessments OM 16 Risk Management Plan Timeliness To achieve a positive statistically significant difference between predicted and actual rates of reoffending 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 90% 2. OFFENDER MANAGEMENT

17 Target IPPF Indicator Dyfed Powys Gwent North Wales South Wales WALES Reference No IPPF 03 NS Offender 90% 90% 90% 90% 90% Management OM 20 Orders/Licences 70% 70% 70% 70% 70% Successfully Completed OM 17 Accommodation 80% 75% 75% 70% 73.8% at Termination OM 31 Appointments 85% 85% 85% 85% 85% Attended OM 3 End to End 60% 60% 60% 60% 60% Enforcement OM 1 Court Report 90% 90% 90% 90% 90% Timeliness (exc RIC) OM 02 RIC PSRs for 90% 90% 90% 90% 90% Magistrates Courts OM 05 Enforcement 90% 90% 90% 90% 90% OM 07 Victim Contact 90% 90% 90% 90% 90%

18 3. INTERVENTIONS Target IPPF Indicator Dyfed Powys Gwent North Wales South Wales WALES Reference No IPPF 02 NS Interventions 90% 90% 90% 90% 90% INT 13 INT 14 INT 03 (INT 15) INT 04 INT 07 (INT 16) Sex Offender Programme Performance Domestic Violence Programme Performance Accredited OBP Performance (exc SOTP & DV) OBP Starts (relevant criteria) ATR Completions 4 (77%) 20 (67%) 115 (65%) 13 (77%) 20 (67%) 180 (65%) 20 (77%) 30 (67%) 200 (65%) 25 (77%) 40 (67%) 410 (65%) 62 (77%) 110 (67%) 905 (65%) 80% 80% 80% 80% 80% 6 (40%) 25 (40%) 10 (40%) 40 (40%) 81 (40%) INT 17 DRR Completion 45% 45% 45% 45% 45% Rate INT 12 DRR Starts INT 06 DRR Completions INT 05 (INT18) UPW Completions 375 (73%) 538 (73%) 750 (73%) 1318 (73%) 2981 (73%)

19 Target Reference No!NT 11!NT 08 INT 09 IPPF Indicator Dyfed Powys Gwent North Wales South Wales WALES UPW Standdowns Sustained Employment Employment at Termination 1.0% 2.5% 2.5% 1.5% 1.9% % 40% 40% 40% 40% 4. ORGANISATIONAL CAPABILITY, RESOURCE USE AND STRATEGY Target IPPF Indicator Dyfed Powys Gwent North Wales South Wales WALES Reference No IPPF 08 Sickness 10.5 days 10.5 days 10.5 days 10.5 days 10.5 days Absence IPPF 10 Budget Outturn % % % % % IPPF 14 Staff Diversity 95% 95% 95% 95% 95%

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21 6. Financial Planning 6.1 Financial Viability A financial evaluation of the current four Probation Areas/Trusts in Wales has been undertaken, forming a critical part in writing Domain 3 of the Trust application. This was vital in terms of assessing the future viability of the Wales Probation Trust and its ability to deliver the business over the next three years, and beyond. The assessment made is that there is a sound track record of financial management, that this can be taken forward successfully within the new organisation and that, by detailed and careful financial planning in a period when the core revenue grant will reduce, the Wales Probation Trust is financially viable. The assessment also established that merging into a Wales Probation Trust was significantly more viable financially than any of the other eleven potential Probation Trust Configurations in Wales, as set out in the Business Case for the Trust. 6.2 Financial Projections There have been detailed budget plans drawn up as part of the Wales Probation Trust Project and these are at Appendix 8a. They set out; A summary budget for 2009/10 as a baseline Comparator budgets for 2010/11, 2011/12 and 2012/13 Expenditure over the period 2010/13 on Corporate HQ, offender management, interventions, support services and transition costs Superannuation costs and National Insurance costs. Scenario Planning Assumptions (Appendix 8b). 6.3 Financial Strategy Part of assessing financial viability and making financial projections has entailed an examination of historical financial performance, financial assumptions, staffing resource requirements and expenditure on other major budget heads such as Estates and ICT where there are National Contracts in place. To assist with business planning and organisational development planning therefore a set of draft documents have been prepared; A workforce plan, which incorporates a Resource Allocation Model and an example of effects emanating from a +/- 5% variation (Section 7 of the Business Plan) An Estates Strategy An ICT Strategy A Commissioning Framework and Commissioning Strategy A Procurement Strategy Standing Financial Instructions A Scheme of Delegation A Business Risk Register which specifies the level of financial risk attached to each identified risk A Business Risk Policy FINANCIAL PLANNING

22 An overview of strategic direction is given in a Wales Probation Trust Financial Strategy which is at Appendix 9. This sets out : An overview; previous history; Strategic Resource Planning; Financial planning assumptions; Transition Costs; Salary levels and costs; Superannuation and National Insurance Costs; Estates and ICT Costs; VAT; Revenue generation and the European Social Fund; Best Value and Commissioning; and efficiency savings. 6.4 Estates Strategy Particular attention will be given to implementing the Trust s Estates Strategy to ensure that Local Delivery is well supported at cost-efficient rates. There is the potential to reduce the Estate by 4061 square metres in the medium term, releasing funding to frontline service delivery. The Estates Strategy is at Appendix Financial Overview It is essential for a successful merger that there is a tested alignment across the operational work of the Trust, its staffing and its income. Summary sheets have been prepared to collate this information for a comprehensive read across and details can be found in the Financial Strategy and in the Workforce Plan. Headlines are given below to give a financial overview; 2008/ / / / /13 Budget 57,906,000 56,381,000 51,783,000 48,604,000 48,604,000 Staff 1, , , Reduction in Budget (from 2008/09) Total Reduction in Staff - Temporary Contracts - Number of staff: attrition - Number of staff: anticipated retirement - Number of staff: voluntary redundancy Staff Appointments (Permanent and Temporary) Transitional Costs restructuring Transitional Costs pay protection 1,525,000 6,123,000 9,302,000 9,302,000 (104) (53) (3.3) - (49) (2) - (1) (11) (11) (11) (10.67) (24) (10) (10) (19) (20) (30) ,000,000 1,200, , , ,000 FINANCIAL PLANNING

23 SALARY COSTS 2009/ / / /13 OM 24,030,494 20,724,749 21,553,739 22,415,819 Interventions 5,826,415 4,875,681 5,070,708 5,273,537 Area Budgets 897, , , ,370 Support Services 3,008,796 2,032,257 2,113,541 2,198,083 Support Services as a % 8.7% 6.8% 7.1% 7.1% PROJECTED WORKLOAD 2009/ / / /13 One Caseload by Tier Two Three Four FINANCIAL PLANNING

24 7. Workforce Planning 7.1 Transition to Trust Merging four workforces into the Wales Probation Trust will require major attention in the Transition to Trust Project. The Human Resources, Learning and Development and Diveristy Transition workstream will address this via several strands of action as set out in the Transition and Merger Plan, (Section 8 of the Business Plan). 7.2 Future Workforce In terms of modelling the workforce over the next three years a workforce plan has been written, cross referencing with financial planning, to ensure affordability, and cross referencing with the organisation design planning, to ensure delivery of the business. The Workforce Plan, at Appendix 11, sets out the context, general principles, consultation, staff review and development and resource allocation. A three year approach is taken to scoping out; Future workforce requirements Recruitment and retention issues Training and development issues. Staffing levels 2009/10 to 2012/13 are outlined and the draft Resource Allocation Model is presented along with an account of what a +/- 5% variation would represent. In terms of general strategic priorities for Human Resources the Trust endorses NOMS approach to three themes, namely, Innovation and Transformation, Stakeholder and Partner Management and Operational Exellence. 7.3 Transition and Merger There will be a reprofiling of the workforce over the period 2009/13 to ensure that the Wales Probation Trust is financially sound and frontline services are delivered. This means that the current Probation Area/Trusts will be budgeting for staff reductions and that over 2010/13 costs of staffing reprofiling are met. The figures for this are in the Financial Strategy and the 2010/13 budget profiles. Overall the approach to reprofiling the workforce is to use attrition, redeployment, early retirement and voluntary redundancy in the first instance. Other redundancies may then ensue, linked to posts affected by restructuring, Best Value reviews and implementation of the Specification, Benchmarking and Costings Programme. 7.4 Learning, Development and Capability Reprofiling the workforce and having capable Governance and Leadership in the new organisation will be critical to its success. The role of Learning and Development is therefore critical for ensuring that staff and Board Members have the appropriate skill sets. The Trust has undertaken an initial audit of Local Leadership Capability in Wales and has written a Trust Learning and Development Plan which sets out a prioritised schedule. Particular attention will be given to implementing the new Probation Qualifications Framework. WORKFORCE PLANNING

25 8. Transition and Merger Planning 8.1 Planning Background There is extensive experience in Probation Areas/Trusts in Wales in relation to transition, merger and organisational change. In 2001 five of the seven Probation Services in Wales were subject to amalgamation and in 2008 two Probation Areas became First Wave Trusts and played their part in the NOMS learning year to assist in developing the Probation Trusts Programme. The lessons from all this experience of change management is that thorough and robust planning has to be undertaken within a framework of Governanace and due diligence. 8.2 Governance, Leadership and Consultation Experience has also taught that Consultation with internal and external stakeholders about transition and merger planning is critical to success. In particular, the involvement of Chairs, Board Members, Managers and Trade Unions is essential for ownership of the whole process of moving into a new organisation. They are the people who can carry the vision, lead from the front, trouble-shoot and problem solve. A section of the Wales Probation Trust paper on Governance and Leadership; structures and processes, located in the Organisation Design Plan, references advice from a Harvard School Review, 2006, on mergers and why they fail. Turning these into Mergers and why they succeed attention will be paid to the following; Establishing guiding principles Setting ground rules Working on the detail Making finances explicit in planning Ensuring good stakeholder outreach Building cultural connectivity Being bold Sharing information Avoiding a non-corporate agenda Our assessment of achieving success, by planning actions to mitigate risks, is as follows; The guiding principles of the merger are to achieve the same outcomes as each of the existing organisations is already seeking to advance. The aims of any Probation Trust are, in general terms, spelt out by the Offender Management Act This merger has the advantage of merging organisations that are in the same business, have a set of common standards and are already used to working with each other. These aims are translated in this Business Plan into a set of actions for the next three years. These will be owned by the Trust Board, Senior Leaders and shared with all staff and stakeholders While it is acknowledged as a result of the Better Together Project that there are differences between the existing organisations, there is significantly more commonality than difference, and the Better Together project has given us a head start in identifying options for unifying practice, many of which have been incorporated within this Plan. TRANSITION AND MERGER PLANNING

26 8.2.3 The full plan for the Transition to a merged Trust, which involves two simultaneous changes, merger and Trust, is being developed using agreed project management protocols (PRINCE2). Planning is underway and will be fully developed in the months immediately after the submission of the Trust bid and will continue into the first two years of the new Trust. The Trust will ensure that the plan is sufficiently detailed and is managed by staff that are fully trained. There will also be regular governance reviews of the benefits realisation from the project. Set out overleaf is an overview of the Wales Probation Trust Project Structure for Transition The Trust and its composite parts have a good history of consultation and involvement with the full range of stakeholders and there is a commitment, specifically around the transition process to full engagement with stakeholders along with a communication strategy to assist in achieving this The outline budgets that are included in this plan will be regularly monitored and updated through the life of the project and the ongoing Trust. These financial budgets and the results will be available for Board and public scrutiny A key part of the changes we seek to make is the need to move the locus of financial delegation to local managers. The plans to create Local Delivery Units include far greater levels of local responsibility for finance which will enable the Trust to make the link between operational peformance and budgets that is currently lacking The Trust will perform benefits realisation exercises to ensure that the project meets its performance and financial targets and this will be shared with all stakeholders The Trust will also implement a comprehensive phased review programme of all key operations that uses the principles and methodology of Best Value to rigorously and transparently ensure that the chosen mechanisms are the best options and will embrace whatever change is necessary to ensure that the public gets the best service possible The Trust will be better able to represent the needs of the organisation both in Wales and with the NOMS agency, because it will speak with a single voice. At the same time the organisation of the Trust in to Local Delivery Units will mean that the specfic needs and nuances of local will be recognised and honoured The creation of a single Wales Trust is a bold venture. We have identified the risks, and assessed them,and have also put in processes to manage them. We have established that the risks do not outweigh the rewards. TRANSITION AND MERGER PLANNING

27 8.3 Transition and Merger Plan The Transition from four to one will require careful project management and stong leadership to ensure that benefits are fully realised and risks are fully managed. There are risk registers for both the Transition Project and the new Trust and a Benefits realisation exercise will be scheduled in 2011/12. A Transition and Merger Plan has been written as part of the Wales Probation Trust Project and this will steer work for the rest of 2009/10 and into 2010/11. It is at Appendix 12 and explains underpinning principles, the approach being taken, Transition Governanace, Accountability and Vision and setting up Transition Arrangements including the Project Team and six workstreams to cover; Governance and legal issues Communications and corporate identity Human Resouces, Learning and Development and Diversity Finance, ICT and Estates Planning, Performance, Quality and Information Operational Service Delivery issues. 8.4 Plan Implementation A gantt chart has been written to support implementation of the plan as has a Wales Probation Transition to Trust Project risk register for 2009/10. The Probation Areas/ Trusts in Wales commenced initial work on implementing the Transition and Merger Plan in Summer 2009 to ensure that available time, this side of 1 st April 2010, is maximised to prepare for the new Trust. This work is overseen by the Wales Probation Partnership Board and the Wales Probation Trust Transition Project Board. TRANSITION AND MERGER PLANNING

28 9. Organisational Development Plan 9.1 Introduction Merging four Probation Areas/Trusts in Wales to form the Wales Probation Trust will be a challenging undertaking. During the Wales Probation Trust Project work has commenced across a broad spectrum of transition and merger workstreams with several documents being drafted on key areas of business. This has been important given the timeframe between now and 1 st April 2010 and the size of the merger We see transition and merger as an evolutionary process, lasting well beyond vesting day. The Transition and Merger Plan identifies four phases covering the period July 2009 to April However, there will be issues that will continue beyond the first year of the Trust and so this Organisational Development Plan encompasses the period 2009/ Framework Since 2001 the Wales Probation Areas/Trusts have used the European Foundation for Quality Management (EFQM) Excellence Model as their major tool for learning, innovation and continuous improvement. This has been successful in terms of internal organisational development, individually and severally, and in terms of external benchmarking. The Areas/Trusts have twice submitted for a Wales Quality Award and have twice won the Public Sector Prize. Indeed, the intention is to enter a Wales Probation Trust Wales Quality Award submission in 2010 following a European Excellent Model (EEM) self assessment in the new organisation The sections of the organisational development plan therefore pick up on organisational capability themes from Domain 4 of the Trust Application and mirror the nine criteria in the EFQM Excellence Model, considering the period 2009/13 and; How the situation looks now What we plan to do What future success will look like ENABLERS RESULTS LEADERSHIP PEOPLE POLICY AND STRATEGY PROCESSES PEOPLE RESULTS CUSTOMER RESULTS KEY PERFORMANCE RESULTS PARTNERSHIPS & RESOURCES SOCIETY RESULTS INNOVATION AND LEARNING ORGANISATIONAL DEVELOPMENT PLAN