business plan 2016/17 - prisons and probation ombudsman · this business plan sets out the...

Business Plan 2016/17

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PPO Business Plan 2016/17

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 2016/17 .......................................................................................................................... 6 Communications plan 2016/17 ............................................................................................................13 Equality and diversity plan 2016/17....................................................................................................16 Learning and development plan ........................................................................................................18


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 2016-17 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. 2015-16 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 2015-16, 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 2016-17. 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


in 2015-16 and has been well-received by stakeholders and external commentators alike. The programme of work for 2016-17 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 2016-17. 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 2016-17, 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 2016-17 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 2016

2 Prisons and Probation Ombudsman


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.




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.

Resources The work of the PPO is demand led; the office responds to all eligible complaints1 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 2016-17 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

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.


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.



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 2016

Agreed ToR [as endorsed by Ministers and the PPO]

Ombudsman

3. Increase stakeholders’ confidence in the office’s independence

Achieve a positive response to the independence question in stakeholder surveys to be conducted by March 2017

Head of Learning Lessons



Business Plan 2016/17 Objective Two

Improve the quality and timeliness of our investigations and resulting reports ensuring a robust and proportionate approach.


1. Apply a continuous improvement approach to the PPO investigation methodology and report production in order to deliver against target by end March 2017

Delivered to time and quality [as endorsed by the PPO]

Ombudsman/Deputy Ombudsmen

2. Improve the quality and consistency of investigation reports through the development of report templates, better knowledge management and other innovations by end March 2017

Delivered to time and quality [as measured through positive feedback through the surveys from stakeholders]

Ombudsman/Deputy Ombudsmen: Complaints/Fatal Incidents

Complaints investigations

3. Determine the eligibility of complaints within 10 working days of receipt

At least 80% delivered to time and quality [as indicated by management information and endorsed by the PPO]

Deputy Ombudsman: Complaints

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



Fatal incident investigations

6. Complete investigations into self-inflicted deaths and distribute the initial report for consultation within 26 weeks of initial notification


Deputy Ombudsman: Fatal Incidents



7. Complete investigations into deaths due to natural causes and distribute the draft report for consultation within 20 weeks of initial notification



8. Finalise all fatal incident investigation reports within 12 weeks of issue of the draft report



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


Deputy Ombudsmen/Head of Learning Lessons

Fatal incident investigations



Business Plan 2016/17 Objective Three

Improve our influence through the identification and sharing of lessons learned from our investigations.


1. Undertake a programme of work to increase the implementation and impact of investigation and thematic recommendations by March 2017.

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/ Deputy 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:

Self-inflicted deaths Natural causes deaths Complaints

Delivered to time and quality [as endorsed by the PPO and participant feedback]

Ombudsman/ Deputy Ombudsmen/ Head of Learning Lessons

3. Promote timely learning from individual investigations through the publication of themed Learning Lessons publications for both fatal incidents and complaint investigations on:

Use of force (May) Dementia (July) Homicide (September) Transgender prisoners Probation complaints

Delivered to time and quality [as measured by the agreed publication timelines and the PPO’s endorsement]

Deputy Ombudsman: Learning Lessons & Strategic Support/ Head of Learning Lessons



Complaints from those under 21

4. Respond to relevant Government

and operational policy consultations by March 2017


Ombudsman\Policy Officer\Head of Learning Lessons

5. Identify topics for learning lessons analysis 2017-18 through internal and external consultation on themes by January 2017


Ombudsman/Head of Learning Lessons

6. Deliver the PPO’s communications action plan (see annex)

Delivered to time and quality [as defined by stakeholder feedback and endorsed by the PPO]

Ombudsman/ All senior staff

7. Produce an annual report for April 2015 to March 2016 for publication in September 2016

Delivered to time and quality [as defined by the publication timelines and endorsed by the PPO]

Ombudsman/ Deputy Ombudsmen/ Head of Learning Lessons



Business Plan 2016/17 Objective Four

Use our resources efficiently and effectively.


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/Deputy Ombudsmen

2. Hold three full staff meetings in order to promote training and development and share learning across the office

Delivered to time and quality [as measured by positive feedback on staff evaluation forms]

Ombudsman

3. Devise an action plan in response to findings of People Survey by February 2017

Delivered to time and quality [as measured by the level of response to the actions]

Ombudsman/ Deputy Ombudsman: Learning Lessons & Strategic Support/Staff Engagement Action Group

4. Deliver the PPO’s equality and diversity action plan (see annex)

Delivered to time and quality [as measured through quarterly monitoring by the Equality and Diversity Group]

Ombudsman/ Equality and Diversity Group

5. Deliver the PPO’s learning and development action plan (see annex)

Delivered to time and quality [as measured through improved response to the staff survey on development opportunities]

Head of Strategic Support

6. Negotiate appropriate budget allocations based on actual and anticipated changes to workload by March 2017


Ombudsman / Deputy Ombudsman: Learning Lessons & Strategic Support

7. Deliver a replacement case management system which supports an efficient and effective investigation process by March 2017


Deputy Ombudsman: Learning Lessons & Strategic Support



8. Produce the PPO Business Plan 2017-18 by March 2017 and Strategic Plan 2018-21 by March 2017


Ombudsman/ Deputy Ombudsman: Learning Lessons & Strategic Support

9. Review Memoranda of Understanding for all key stakeholders to ensure they promote effective joint working by end March 2017


Deputy Ombudsman: Learning Lessons & Strategic Support

10. Produce the PPO Strategic Plan 2017/2020 by March 2017


Ombudsman/ Deputy Ombudsman: Learning Lessons & Strategic Support



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 2017

2. Develop engagement plan to build effective links with key stakeholders.

Stakeholders understand PPO’s aims and , where appropriate, we work together to deliver common goals

Comms Officer

April 2016

3. Targeted information campaigns: Probation services Advocates working

on behalf of prisoners/secure trainees/detainees

Delivered to time and 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 August 2016

4. 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 cross-office participation.

Comms Officer/ Deputy Ombudsmen: FataI Incidents and Complaints

June 2016

5. Devise and implement communications and events plan for the next Learning Lessons seminars.

Successful delivery of three seminars, positive feedback, attendance up on 2015.

Comms Officer/ Head of Learning Lessons

September 2016



Objective Two

To improve distribution and visibility of all PPO external publications.

Key Deliverable Measure of Success Lead Delivery Date 1. New materials

Leaflets/digital publications on PPO processes – for services and Coroners

Improved complainant and stakeholder feedback


2. Build on existing social media presence to publicise Learning Lessons – Twitter.

1000 followers after 12 months. Evidence of downloads and sharing of publications through social media.


3. Plan for the design, publication, distribution and launch of the Annual Report.

Delivered to time and quality. Confirmed receipt by Parliamentary and influencing groups of stakeholders. Increased media and social media coverage, web downloads.

CommsOfficer/ Ombudsman/ Press Officer

September 2016

4. Communications plan for publication of the Business Plan 2017/2018

Stakeholders and staff aware of the Plan.

Comms Officer

January 2017

5. Communications plan for publication of the Strategic Plan 2017/2020

Stakeholders and staff aware of the Plan.

Comms Officer January 2017



Objective Three

To provide better, more accessible communications for our end users.

Key Deliverable Measure of Success Lead Delivery Date 1. New materials

New Families booklet

Improved accessibility of information for bereaved families. Improved family feedback.

Comms Officer April 2016

2. Ensure Learning Lessons publications placed in prison libraries.

Confirmed receipt.

Comms Officer March 2017

3. Establish regular new visual and audio content to support Learning Lessons agenda

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.

Comms Officer December 2016

4. Seminar microsite on the main PPO site to house all L&D content for services in remit

Engagement measured through downloads, testimonials, social media

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



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.

EDG members April, September 2016; January 2017

Attend and contribute to the quarterly meetings of the Human Rights Regulators, Inspectorates and Ombudsman (RIO) forum.

Head of Learning Lessons

Quarterly

Review diversity data from internal and external recruitment campaigns to ensure processes are fair and unbiased.

Head of Learning Lessons \EDG members

April 2017

Monitor internal policies and processes to ensure fair and equitable application.


March 2017

EDG to consider activity and data requirements relating to PPO’s front line work.


July 2016

Produce end of year report to staff in relation to equality and diversity group progress against the action plan.

EDG Secretariat / Ombudsman

March 2017

Deliver diversity training to all new staff. Head of Strategic Support

March 2017

Give due attention to equality and diversity issues in all investigations and publications.

Ombudsman / EDG Secretariat/ Head of Learning Lessons

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.


Quarterly



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




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 2016-17:

Action Lead Target Date

Provide equality & diversity training for new staff as outlined in the equality and diversity action plan


Ongoing

Provide Investigative Skills and Plain English training for new investigators and assistant ombudsmen


Ongoing

Provide change management and leadership training for new and incumbent managers


May 2016

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


April 2016

Promotion of the learning and development opportunities offered through Capita


April 2016

Provide ongoing core development through: Induction 3 full staff meetings team meetings individual one to one meetings

All staff Ongoing

Mandatory information management and health and safety

All staff March 2017

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