Business Plan 2016/17

Transcription

1 Business Plan 2016/17

2 Crown copyright 2016 This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or Where we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned.

3 Contents Ombudsman s foreword... 1 Statement of purpose... 3 Role and function... 3 Resources... 4 PPO s planning framework... 4 Strategic objectives... 5 Business plan 2016/ Communications plan 2016/ Equality and diversity plan 2016/ Learning and development plan...18

4 Ombudsman s foreword This business plan sets out the objectives for my fifth and final year as Ombudsman. It reflects the commitment to consolidate further the progress made in the preceding four years and prepare for the challenges of a reduced budget at a time of unprecedented demand for our services. The plan sets out our detailed programme of work for and is intended to transform further the standing, performance, influence and efficiency of the organisation. The plan s deliverables are set out against these four strategic objectives has been another difficult year for all those involved with prisons. This has had the consequence of increasing demand on my office. Numbers of eligible complaints for investigation rose 5% and, tragically deaths in custody rose even more sharply, with a shocking 27% rise in self-inflicted deaths, steadily rising numbers of natural cause deaths as the prison population rapidly ages, and an unprecedented number of homicides. In the circumstances, the performance of my staff over the year has been worthy of great commendation. I am particularly pleased that, in , we again far surpassed our 70% target to deliver fatal incident investigation reports on time, in fact we completed every single initial report on time. Improved timeliness was one of my principal commitments to the Justice Select Committee on my appointment in 2011 (when only 14% of draft reports were on time). Moreover, our stakeholder and bereaved family surveys suggest that our fatal incident investigations are also recognised for improved quality as well as better timeliness. This is an exceptional achievement and needs to be sustained in Significant progress has also been made in our complaints investigation performance, focused particularly on eradicating significant historic backlogs. With new ways of working and sheer hard work, the backlog of unallocated cases has been eradicated and overall timeliness improved. Again, stakeholder and complainant surveys suggest increased recognition of our improved timeliness and quality. This too was an immense achievement and also needs to be sustained in the coming year. Another of my other key commitments on appointment was to introduce a new learning lessons agenda to support improvement in safety and fairness in custody by looking across individual investigations to identify broader themes. This work grew substantially Prisons and Probation Ombudsman 1

5 in and has been well-received by stakeholders and external commentators alike. The programme of work for is indicative as we have been awaiting the outcome of the budget process, but it will include a review requested by the Prisons Minister of the lessons from our investigations into the troubling rise in prisoner on prisoner homicides. In the search to support for improved safety and fairness in prison, last year saw the second series of well-attended learning lessons seminars for operational staff intended to galvanise action on our recommendations. These seminars were well received and will be repeated in the autumn of We have improved many aspects of the way we work, streamlining our casework processes and improving efficiency. We will have to do still more of this as in , as we are once again asked to do more with less. In particular, I expect in the coming year to begin work to replace our pitiful IT with an affordable solution by working together with the Parole Board. I anticipate that, over time, this new IT will allow us to generate further efficiencies, as well as greater effectiveness. Finally, while I do not believe the independence of mind of either I or my staff can reasonably be in doubt, it is incumbent upon me to continue to pursue reinforcement of my office s actual and visible independence. While Ministers have reaffirmed their support for placing my office on a statutory footing, no legislative opportunity has yet been found and I will continue to raise the issue, particularly now that there is to be a Prisons Bill. I will also insist that the MOJ conclude its much delayed review of my terms of reference, bringing them up to date but also reinforcing the independence of my office. The key deliverables for set out in this plan are challenging, particularly given the difficult economic context which has resulted in a 4.6% cut to my budget despite continued growth in demand. However, I am confident that we are well placed to build on our achievements, consolidate our improvements and deliver these objectives. The objectives will inform the work of all my staff and performance will be regularly reviewed against them. Nigel Newcomen CBE Prisons and Probation Ombudsman April Prisons and Probation Ombudsman

6 Statement of purpose The Prisons and Probation Ombudsman s office exists to carry out independent investigations into deaths and complaints. Our service covers prisoners, young people in detention, those supervised by probation and immigration detainees. The purpose of our investigations is to understand what has happened, to correct injustices and to identify learning for the organisations whose actions we oversee. Role and function The Prisons and Probation Ombudsman (PPO) is appointed by and reports directly to the Secretary of State for Justice. The Ombudsman s office is wholly independent of the services in remit, which include those provided by the National Offender Management Service, the National Probation Service for England and Wales; the Community Rehabilitation companies for England and Wales; Prisoner Escort Contract Service; the Home Office (Immigration and Enforcement); the Youth Justice Board; and those local authorities with secure children s homes. It is operationally independent of, but sponsored by, the Ministry of Justice (MoJ). The roles and responsibilities of the PPO are set out in his office s Terms of Reference (ToR). The PPO has two main investigative duties: complaints made by prisoners, young people in Young Offender Institutions and Secure Training Centres, offenders under probation supervision and immigration detainees deaths of prisoners, young people in Young Offender Institutions, Secure Training Centres and Local Authority Secure Children s Homes, approved premises residents and immigration detainees due to any cause The PPO also has the discretion to investigate deaths of recently released prisoners or detainees. Prisons and Probation Ombudsman 3

7 Resources The work of the PPO is demand led; the office responds to all eligible complaints 1 and investigates all deaths in remit. It is therefore difficult to predict the volume of work that will come into the office in any one period. This means the bulk of our budget pays for staff in order to support our operational delivery. Our allocated budget for from the MoJ is 5.27 million. In addition, Home Office Immigration Enforcement provides 143,000 for investigating complaints and deaths of immigration detainees. PPO s planning framework Strategic Plan sets the PPO agenda over the long term (3 to 4 years) Business Plan sets out the actions and outputs the PPO will deliver to meet the strategic aims Team Plans set out the ways in which PPO s teams will meet the Business Plan targets and objectives Personal Performance Plan sets out individuals work and development objectives. 1 Paragraph 15 of the PPO Terms of Reference states that the Ombudsman may decide not to accept a complaint otherwise eligible for investigation, or not continue any investigation, where it is considered that no worthwhile outcome can be achieved or the complaint raises no substantial issue. 4 Prisons and Probation Ombudsman

8 Strategic objectives The business plan is divided into the four strategic objectives which describe the activities of the PPO. Under each objective specific and time-bound deliverables are identified along with measures of success and accountabilities. Progress against the plan will be reviewed quarterly. PPO s strategic objectives are to: 1. Maintain and reinforce our reputation for absolute independence. 2. Improve the quality and timeliness of our investigations and resulting reports ensuring a robust and proportionate approach. 3. Improve our influence through the identification and sharing of lessons learned from our investigations. 4. Use our resources efficiently and effectively. Prisons and Probation Ombudsman 5

9 Business plan 2016/17 Objective One Maintain and reinforce our reputation for absolute independence. Key deliverable Measure of success Lead 1. Work with the Ministry of Justice to secure a statutory footing for the PPO at the next legislative opportunity Consideration by Parliament in the next relevant Bill with resultant change in law Ombudsman 2. Work with the Ministry of Justice to secure revised PPO Terms of Reference that enhance our independence and clarify our remit and operational scope by end September Increase stakeholders confidence in the office s independence Agreed ToR [as endorsed by Ministers and the PPO] Achieve a positive response to the independence question in stakeholder surveys to be conducted by March 2017 Ombudsman Head of Learning Lessons 6 Prisons and Probation Ombudsman

10 Business Plan 2016/17 Objective Two Improve the quality and timeliness of our investigations and resulting reports ensuring a robust and proportionate approach. Key deliverable Measure of success Lead 1. Apply a continuous improvement approach to the PPO investigation methodology and report production in order to deliver against target by end March Improve the quality and consistency of investigation reports through the development of report templates, better knowledge management and other innovations by end March 2017 quality [as endorsed by the PPO] quality [as measured through positive feedback through the surveys from stakeholders] Ombudsman/ Ombudsmen Ombudsman/ Ombudsmen: Complaints/Fatal Incidents Complaints investigations 3. Determine the eligibility of complaints within 10 working days of receipt 4. Provide a draft response to serious complaints (usually allegations of assault) within 26 weeks of accepting the complaint as eligible 5. Provide a substantive reply to all new complaints not identified as serious complaints within 12 weeks of accepting the complaint as eligible At least 80% delivered to time and quality [as indicated by management information and endorsed by the PPO] At least 70% delivered to time and quality [as indicated by management information and endorsed by the PPO] At least 60% delivered to time and quality [as indicated by management information and endorsed by the PPO] Ombudsman: Complaints Ombudsman: Complaints Ombudsman: Complaints Fatal incident investigations 6. Complete investigations into selfinflicted deaths and distribute the initial report for consultation within 26 weeks of initial notification At least 70% delivered to time and quality [as indicated by management information and endorsed by the PPO] Ombudsman: Fatal Incidents Prisons and Probation Ombudsman 7

11 7. Complete investigations into deaths due to natural causes and distribute the draft report for consultation within 20 weeks of initial notification At least 70% delivered to time and quality [as indicated by management information and endorsed by the PPO] Ombudsman: Fatal Incidents 8. Finalise all fatal incident investigation reports within 12 weeks of issue of the draft report At least 70% delivered to time and quality [as indicated by management information and endorsed by the PPO] Ombudsman: Fatal Incidents Validation of investigation quality 9. Improve rates of positive feedback on the PPO s investigation performance through post-investigation and annual surveys of complainants and other stakeholders. Publish the feedback findings and related actions on the PPO website by October 2016 Fatal incident investigations quality [as endorsed by the PPO] Ombudsmen/Head of Learning Lessons 8 Prisons and Probation Ombudsman

12 Business Plan 2016/17 Objective Three Improve our influence through the identification and sharing of lessons learned from our investigations. Key deliverable Measure of success Lead 1. Undertake a programme of work to increase the implementation and impact of investigation and thematic recommendations by March High acceptance rate of recommendations, with appropriate action plans put in place by the investigated bodies; PPO challenge and, escalation of rejected recommendations or inadequate responses; high implementation rate of PPO recommendations as measured by HMI Prisons and IMBs on the PPO s behalf during their inspections and visits; and high implementation rate of PPO recommendations as evidenced during PPO fieldwork Ombudsman/ Ombudsmen 2. Hold three Learning Lessons seminars for operational staff from services in remit in September 2016 focused on sharing the learning from investigations of: quality [as endorsed by the PPO and participant feedback] Ombudsman/ Ombudsmen/ Head of Learning Lessons Self-inflicted deaths Natural causes deaths Complaints 3. Promote timely learning from individual investigations through the publication of themed Learning Lessons publications for both fatal incidents and complaint investigations on: quality [as measured by the agreed publication timelines and the PPO s endorsement] Ombudsman: Learning Lessons & Strategic Support/ Head of Learning Lessons Use of force (May) Dementia (July) Homicide (September) Transgender prisoners Probation complaints Prisons and Probation Ombudsman 9

13 Complaints from those under Respond to relevant Government and operational policy consultations by March Identify topics for learning lessons analysis through internal and external consultation on themes by January Deliver the PPO s communications action plan (see annex) 7. Produce an annual report for April 2015 to March 2016 for publication in September 2016 quality [as endorsed by the PPO] quality [as endorsed by the PPO] quality [as defined by stakeholder feedback and endorsed by the PPO] quality [as defined by the publication timelines and endorsed by the PPO] Ombudsman\Policy Officer\Head of Learning Lessons Ombudsman/Head of Learning Lessons Ombudsman/ All senior staff Ombudsman/ Ombudsmen/ Head of Learning Lessons 10 Prisons and Probation Ombudsman

14 Business Plan 2016/17 Objective Four Use our resources efficiently and effectively. Key deliverable Measure of success Lead 1. Make efficiencies in light of the financial allocation arising from the Spending Review by March 2017 Efficiency Plan designed and delivered. PPO continues to function effectively within budget limits Ombudsman/ Ombudsmen 2. Hold three full staff meetings in order to promote training and development and share learning across the office 3. Devise an action plan in response to findings of People Survey by February Deliver the PPO s equality and diversity action plan (see annex) 5. Deliver the PPO s learning and development action plan (see annex) 6. Negotiate appropriate budget allocations based on actual and anticipated changes to workload by March Deliver a replacement case management system which supports an efficient and effective investigation process by March 2017 quality [as measured by positive feedback on staff evaluation forms] quality [as measured by the level of response to the actions] quality [as measured through quarterly monitoring by the Equality and Diversity Group] quality [as measured through improved response to the staff survey on development opportunities] quality [as endorsed by the PPO] quality [as endorsed by the PPO] Ombudsman Ombudsman/ Ombudsman: Learning Lessons & Strategic Support/Staff Engagement Action Group Ombudsman/ Equality and Diversity Group Head of Strategic Support Ombudsman / Ombudsman: Learning Lessons & Strategic Support Ombudsman: Learning Lessons & Strategic Support Prisons and Probation Ombudsman 11

15 8. Produce the PPO Business Plan by March 2017 and Strategic Plan by March Review Memoranda of Understanding for all key stakeholders to ensure they promote effective joint working by end March Produce the PPO Strategic Plan 2017/2020 by March 2017 quality [as endorsed by the PPO] quality [as endorsed by the PPO] quality [as endorsed by the PPO] Ombudsman/ Ombudsman: Learning Lessons & Strategic Support Ombudsman: Learning Lessons & Strategic Support Ombudsman/ Ombudsman: Learning Lessons & Strategic Support 12 Prisons and Probation Ombudsman

16 Communications plan 2016/17 We must promote the work of the office, not only to improve our accessibility to the users of our service but also to share lessons with the purpose of improving practice. The following plan describes our priorities for improving communications through meaningful consultation with our stakeholders in the coming year. Some of these objectives are reflected in the main body of the business plan but progress against all objectives will be reviewed in-year. Objective One To improve communications and increase engagement with influencers, information providers, and the services in remit. Key Deliverable Measure of Success Lead Delivery Date 1. Ensure appropriate support to the Ombudsman and senior staff in representing and communicating the work of the office. Timely provision of high quality draft speeches, briefing, lines to take and other comms materials [as measured by Ombudsman endorsement, media citations and stakeholder responses] Policy Officer/ Comms Officer/Head of Learning Lessons/Press Officer March Develop engagement plan to build effective links with key stakeholders. 3. Targeted information campaigns: Probation services Advocates working on behalf of prisoners/secure trainees/detainees Stakeholders understand PPO s aims and, where appropriate, we work together to deliver common goals quality + Increase in eligible complaints amongst those under community supervision Information on PPO is easily accessible in CRC and NPS offices Increased evidence of engagement in stakeholder surveys Comms Officer April 2016 Comms Officer August Investigators influencing Services: Information toolkit for prison visits. Capture and storage information from visits Improved stakeholder relations: Better feedback and quality of information provided. Active database, evidence of crossoffice participation. Comms Officer/ Ombudsmen: FataI Incidents and Complaints June Devise and implement communications and events plan for the next Learning Lessons seminars. Successful delivery of three seminars, positive feedback, attendance up on Comms Officer/ Head of Learning Lessons September 2016 Prisons and Probation Ombudsman 13

17 Objective Two To improve distribution and visibility of all PPO external publications. Key Deliverable Measure of Success Lead Delivery Date 1. New materials Improved complainant and Comms Officer August 2016 Leaflets/digital publications on PPO processes for services and Coroners stakeholder feedback 2. Build on existing social media presence to publicise Learning Lessons Twitter followers after 12 months. Evidence of downloads and sharing of publications through social media. Comms Officer August Plan for the design, publication, distribution and launch of the Annual Report. quality. Confirmed receipt by Parliamentary and influencing groups of stakeholders. Increased media and social media coverage, web downloads. CommsOfficer/ Ombudsman/ Press Officer September Communications plan for publication of the Business Plan 2017/ Communications plan for publication of the Strategic Plan 2017/2020 Stakeholders and staff aware of the Plan. Stakeholders and staff aware of the Plan. Comms Officer January 2017 Comms Officer January Prisons and Probation Ombudsman

18 Objective Three To provide better, more accessible communications for our end users. Key Deliverable Measure of Success Lead Delivery Date 1. New materials Improved accessibility of Comms Officer April 2016 New Families booklet information for bereaved families. Improved family feedback. 2. Ensure Learning Lessons publications placed in prison libraries. Confirmed receipt. Comms Officer March Establish regular new visual and audio content to support Learning Lessons agenda 4. Seminar microsite on the main PPO site to house all L&D content for services in remit Downloads, engagement on social media. Some evidence that video and audio is in use as training tool for staff and information for prisoners and detainees. Engagement measured through downloads, testimonials, social media Comms Officer December 2016 Comms Officer July 2016 Objective Four To improve internal communications and encourage engagement among PPO staff. Key Deliverable Measure of Success Lead Delivery Date 1. Communications in support of the Staff Engagement Action Group (SEAG). Improved participation and better feedback in Staff Engagement Survey SEAG members/ Comms Officer September FSM. 2. Improved internal communications: Monthly newsletter PPO Pulse governance meeting minutes; internal Learning Lessons seminars. new quarterly scorecard recording office performance Improved scores and participation in Staff Engagement Survey; positive feedback from team meetings, exit interviews. Comms Officer Policy Officer Head of Learning Lessons March 2017 March 2017 September 2016 July 2016 Prisons and Probation Ombudsman 15

19 Equality and diversity plan 2016/17 The promotion and celebration of equality and diversity within the office is a stated priority of the Ombudsman, the aim being to embed equality and diversity in all aspects of the office s work. To this end we have a cross-office Equality and Diversity Group (EDG), chaired by the Ombudsman, which meets quarterly and drives the equality and diversity action plan. Action Lead Target Date Discuss equality and diversity at all team meetings and identify issues that need to be addressed by the senior management team. Team leaders/edg members Monthly Provide equality and diversity updates at full staff meetings. Attend and contribute to the quarterly meetings of the Human Rights Regulators, Inspectorates and Ombudsman (RIO) forum. Review diversity data from internal and external recruitment campaigns to ensure processes are fair and unbiased. Monitor internal policies and processes to ensure fair and equitable application. EDG to consider activity and data requirements relating to PPO s front line work. Produce end of year report to staff in relation to equality and diversity group progress against the action plan. Deliver diversity training to all new staff. Give due attention to equality and diversity issues in all investigations and publications. EDG members Head of Learning Lessons Head of Learning Lessons \EDG members Head of Learning Lessons \EDG members Head of Learning Lessons \EDG members EDG Secretariat / Ombudsman Head of Strategic Support Ombudsman / EDG Secretariat/ Head of Learning Lessons April, September 2016; January 2017 Quarterly April 2017 March 2017 July 2016 March 2017 March 2017 March 2017 Maintain profile of equality and diversity matters across the PPO. EDG members March 2017 Conduct analysis to review whether service users with different protected characteristics are treated fairly and equally by the PPO, and to look to identify improvements that could be made. Head of Learning Lessons \EDG members Quarterly 16 Prisons and Probation Ombudsman

20 Review the calendar of events and hold 3 events celebrating diversity within the office and in our work. Nominated EDG members July 2016 November 2016 March 2017 Prisons and Probation Ombudsman 17

21 Learning and development plan Individual training and development needs are identified during discussion between the line manager and their team member as part of the annual performance management review and appraisal process. There are also a number of cross-office learning and development opportunities that have been identified that are considered to be of benefit to the delivery of the office as a whole. The following table sets out the learning priorities for the whole office for : Action Lead Target Date Provide equality & diversity training for new staff as outlined in the equality and diversity action plan Head of Strategic Support Ongoing Provide Investigative Skills and Plain English training for new investigators and assistant ombudsmen Provide change management and leadership training for new and incumbent managers Promotion of the learning and development curriculum available through Civil Service Learning to support the minimum of 5 days of development per year for each member of staff Promotion of the learning and development opportunities offered through Capita Head of Strategic Support Head of Strategic Support Head of Strategic Support Head of Strategic Support Ongoing May 2016 April 2016 April 2016 Provide ongoing core development through: All staff Ongoing Induction 3 full staff meetings team meetings individual one to one meetings Mandatory information management and health and safety All staff March Prisons and Probation Ombudsman

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