ppo business plan 2015-16 - amazon s3 … · this business plan sets out the objectives for my...

Prisons and Probation Ombudsman: twenty years of independent investigations

PPO Business Plan 2015-16

PPO Business Plan 2015‐16

Contents

Ombudsman’s Foreword ............................................................ 2

Statement of Purpose................................................................. 4

Our Vision ................................................................................... 4

Our Values .................................................................................. 4

Role and Function....................................................................... 5

Resources.................................................................................... 5

The Plan ...................................................................................... 6

Business Plan 2015‐16 ................................................................ 7

Communications Plan 2015‐16................................................. 14

Equality & Diversity Plan 2015‐16 ............................................ 18

Learning & Development Plan 2015‐16.................................... 19


Ombudsman’s Foreword

This business plan sets out the objectives for my fourth year as Ombudsman. It reflects the commitment to consolidate further the progress made in the preceding three years and prepare for the challenges of the next strategic planning period 2016‐20. The plan sets out our detailed programme of work for 2015‐16 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. 2014‐15 has been a difficult year for all those involved with prisons. This has had the consequence of increasing demand on my office. Numbers of complaints for investigation have risen as regimes have shrunk, policies have been toughened and legal aid reduced. Deaths in custody have also continued to rise, with still tragically high numbers of self‐inflicted deaths and steadily rising numbers of natural cause deaths as the prison population rapidly ages. In the circumstances, the performance of my staff over the year has been worthy of commendation. I am particularly pleased that, in 2014‐15, we again far surpassed our 70% target to deliver fatal incident investigation reports on time. This 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 delivered on time). Moreover, our stakeholder surveys suggest that our fatal incident investigations are also recognised for improved quality as well as better timeliness, this is an exceptional achievement. Significant progress has also been made in our complaints investigation performance, focused particularly on eradicating a significant historic backlog. With new ways of working and sheer hard work, the backlog of unallocated cases was finally eradicated at the end of January 2015. These cases are now all allocated and are being investigated, oldest first. New cases are now being dealt with on target and overall timeliness has begun to improve. Again, stakeholder and complainant surveys suggest increased recognition of our improvements. There is much more to do, but this too was an immense achievement.

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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 in 2014‐15 and has been well‐received by stakeholders and external commentators alike. One further innovation last year was the holding of a series of well‐attended learning lessons seminars for operational staff intended to galvanise action on our recommendations. These seminars were positively received and will be repeated in 2015‐16, resources allowing. We have improved many aspects of the way we work, but can do more to streamline our casework processes and improve efficiency. This is essential as in 2015‐16, we will have to do more with less. In particular, I hope that in the coming year we can replace our pitiful IT with an affordable solution by working together with the Parole Board. 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 reaffirmed their support for placing my office on a statutory footing, no legislative opportunity was found and I will now need to raise the issue with the next Government. In the meantime, I will endeavour to ensure that a review of our terms of reference reinforces the independence of my office. The key deliverables for 2015‐16 set out in this plan are challenging, particularly given the difficult economic context and continued growth in demand, but 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 2015

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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.

Our Vision To carry out independent investigations to make custody and community supervision safer and fairer.

Our Values We are: Impartial: we do not take sides Respectful: we are considerate and courteous Inclusive: we value diversity Dedicated: we are determined and focused, and we Act with integrity: we are honest and fair

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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 also 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 three main investigative duties:

complaints made by prisoners, young people in detention, offenders under probation supervision and immigration detainees

deaths of prisoners, young people in detention, approved premises’ residents and immigration detainees due to any cause

using the PPO’s discretionary powers, the investigation of deaths of recently released prisoners or detainees.

Resources The work of the PPO is demand led; the office responds to all eligible complaints and 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 2015‐16 from the MoJ is £5.52 million, unchanged from the preceding year with no allowance for inflation. In addition, Home Office Immigration Enforcement provides £109,000 for the fatal incident and complaint investigations emanating from the immigration detention estate.

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The Plan The business plan is divided into 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.

Strategic Objectives

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.

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Business Plan 2015‐16 Objective 1: 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. Deliver revised PPO Terms of Reference that enhances our independence and clarifies our remit and operational scope by end March 2016

Agreed ToR [as endorsed by Ministers and the PPO]

Ombudsman

3. Ensure an appropriately funded extension of the PPO’s remit to include the investigation of:

serious self‐harm incidents in prison

custody deaths of transferred prisoners to

secure mental health facilities

Agreed additions to ToR [as endorsed by Ministers and the PPO]

Ombudsman/ Deputy Ombudsmen

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

Improved response to independence question in annual stakeholder survey to be conducted by November 2015

Head of Learning Lessons

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Business Plan 2015‐16 Objective 2: 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 2016

Delivered to time and quality [as measured by the project plan for the redesign process and endorsed by the PPO]


2. Improve the quality and consistency of investigation reports through the development of report templates, better knowledge management and other innovations by end March 2016

Delivered to time and quality [as measured by the project plan for the redesign process and improved 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 of necessary paperwork

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 20 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



6. Ensure that 100% of cases in the investigation “queue” (ie allocated backlog cases) have their investigations completed before end March 2016

Delivered to time and quality [as indicated by management information and endorsed by the PPO


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Fatal incident investigations

7. Complete investigations into self‐inflicted deaths and distribute the draft report for consultation within 26 weeks of initial notification


Deputy Ombudsman: Fatal Incidents

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



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



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Business Plan 2015‐16 Objective 3: Improve our influence through the identification and sharing of lessons learned from our investigations.


1. Improve the impact of investigation recommendations by challenging rejected recommendations and following up progress

High acceptance rate of PPO recommendations, with preparation of appropriate action plans by the investigated bodies; PPO challenge and, where appropriate, escalation of all rejected recommendations; high implementation rate of PPO recommendations as measured by HMI Prisons on the PPO’s behalf during their inspections; and high implementation rate of PPO recommendations as evidenced during PPO thematic fieldwork


2. Hold three Learning Lessons seminars for operational staff from services in remit by end March 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 complaints investigations on:

Complainant feedback

Stakeholder feedback

Staff background survey

Post‐investigation feedback

Segregation

New psychoactive substances

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

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Bereaved families feedback

Early days in custody

Mental health issues in deaths

Ineligible complaints

Complaint process in prisons (with HMI Prisons)

Assaults

Rule 39 complaints

Comparison of complaints in public and private prisons

4. Conduct a full joint thematic with HMI Prisons on redress by end March 2016

Delivered to time and quality [as measured by the respective project plan timelines and the PPO’s and HMCIP’s endorsement]

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

5. Respond to relevant Government and operational policy consultations by March 2016, including:

NOMS review of the implementation of suicide prevention procedures;

The Harris Review

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

Ombudsman\Policy Officer\Head of Learning Lessons

6. Identify topics for learning lessons analysis 2016‐17 through internal and external consultation on themes by January 2016


Ombudsman/Head of Learning Lessons

7. Improve rates of positive feedback on the PPO’s performance through post‐investigation and annual surveys of complainants and other stakeholders. Publish the feedback findings and related actions on the PPO website by March 2016


Deputy Ombudsmen/Head of Learning Lessons

8. 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

9. Produce an annual report for April 2014 to March 2015 for publication in September 2015

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

Ombudsman/ Deputy Ombudsmen/ Head of Learning Lessons

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Business Plan 2015‐16 Objective 4: Use our resources efficiently and effectively.


1. 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

2. Conduct a staff engagement survey by November 2015

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

Ombudsman/ Deputy Ombudsman: Learning Lessons & Strategic Support

3. Devise an action plan in response to concerns raised in the staff engagement survey by March 2016

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

Ombudsman/ Deputy Ombudsman: Learning Lessons & Strategic Support/Staff Survey 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 2016


Ombudsman / Deputy Ombudsman: Learning Lessons & Strategic Support

7. Deliver a replacement case management system which supports an efficient and effective investigation process by March 2016


Deputy Ombudsman: Learning Lessons & Strategic Support

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8. Produce a business plan for the PPO 2016‐17 by March 2016


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 2016


Deputy Ombudsman: Learning Lessons & Strategic Support

10. Devise a methodology to assess the affordability and deliverability of objectives by end March 2016


Deputy Ombudsmen

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Communications Plan 2015‐16

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. 1. Objective One To consolidate and standardize our communications output, refreshing our brand and identity, ensuring the transition from old to new runs as smoothly as possible.

Key Deliverable Measure of Success Lead Delivery Date 1. Refresh PPO branding:

logo, reports, presentations, letterheads

Learning Lessons publications

Design and layout of Annual Report

Delivered to time and quality +

improved brand recognition

Increased downloads, more media coverage

More engagement by stakeholders, increased citations.

Comms Officer Head Of Learning Lessons Ombudsman

July 2015 August 2015 August 2015

2. Ensure smooth transition from the old materials to the new

Delivered to time and quality, with full buy‐in and staff participation.

Comms Officer Deputy Ombudsmen

September 2015

2. Objective Two 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 2016

2. New stakeholder data sets:

IMBs

Coroners

Parliamentarians

Services in remit

Information Providers

Accurate, contemporary data, improved access to key stakeholders, proven ability to evaluate stakeholder engagement with key PPO outputs.

Comms Officer May 2015 May 2015 September 2015 November 2015 December 2015

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3. Changes to PPO website:

Reorganised home page

Improved accessibility

National Recommendations Database;

Dedicated online FoI section.


More information downloads.

Increased page views.

Citations in media and by stakeholders.

Reduced number of repeated FoI requests.

Comms Officer

November 2015 June 2015 July 2015 December 2015

4. Targeted information campaigns:

advocates (complaints eligibility)

IMBs (under‐represented groups)


Increased eligibility rate, advocates own updated materials.

Evidence of action by IMBs, complaints up amongst women and Young People

Comms Officer July 2015 August 2015

5. 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

February 2016 February 2016

6. Create and manage communications and events plan for the next Learning Lessons seminars.

Successful delivery of three seminars, positive feedback, strong attendance.

Comms Officer/ Head of Learning Lessons

Seminar dates TBC

7. Contact and subsequent meetings with influencing stakeholder communications teams.

Clear channels established for distribution of published materials.

Comms Officer January 2016

8. New information for services in remit:

Re‐branded notices.

More effective use of Investigator visits.

Information packs for officer inductions.

More efficient FIIs due to improved information provision by officers; increased eligibility rate for complaints; increased cooperation between officers and PPO.

Comms Officer/ Deputy Ombudsmen: Fatal Incidents and Complaints

November 2015

9. Improved liaison with Coroners, including Ombudsman’s annual letter to Coroners and input to Chief Coroner’s training event.

More Coroners participating in Stakeholder Survey; improved feedback.

Ombudsman/Deputy Ombudsman: Fatal Incidents

March 2016

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3. Objective Three. To improve distribution and visibility of all PPO external publications.

Key Deliverable Measure of Success Lead Delivery Date

1. New materials

New complaints posters and leaflets

New Families booklet

Leaflets on PPO processes – for services and Coroners

Improved eligibility rate – especially from under‐represented groups.

Improved family feedback.

Increased eligibility rates, improved complainant and stakeholder feedback

Comms Officer

August 2015 September 2015 November 2015

2. Launch social media to publicise Learning Lessons – Twitter.

500 followers after 6 months. Evidence of downloads and sharing of publications through social media.

Comms Officer July 2015

3. Communications plan for publicity, distribution and launch of the Annual Report.

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

Press Officer/ Comms Officer

September 2015

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


1. New materials

New complaints posters and leaflets

New Families booklet

Leaflets on PPO processes – for services and Coroners

Improved eligibility rate – especially from under‐represented groups.

Improved family feedback.

Increased eligibility rates, improved complainant and stakeholder feedback

Comms Officer August 2015 September 2015 November 2015

2. Ensure Learning Lessons publications placed in prison libraries.

Confirmed receipt. Comms Officer November 2015

3. Create foreign language web pages:

How to complain

Information for families

Delivered to time, quality, and budget. Evidence of sustained web traffic to new pages.

Comms Officer September 2015

4. Re‐word eligibility letters.

Improved complainant feedback on our handling of complaints.

Assessment Team Manager

June 2015

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5. Objective Five To improve internal communications and encourage engagement among PPO staff.


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:

Fortnightly newsletter – PPO Pulse

Yammer;

standard meeting minutes;

Senior Leaders Forum;

Internal Learning Lessons seminars.

Improved scores and participation in Staff Engagement Survey; increased cross‐office understanding through social media groups and debate.

Comms Officer Comms Officer Policy Officer Ombudsman Head of Learning Lessons

May 2015 May 2015 July 2015 September 2015 March 2016

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Equality & Diversity Plan 2015‐16 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

Ensure equality and diversity is discussed at all team meetings and provide equality and diversity updates at full staff meetings.

EDG members Quarterly

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

Research Officer Quarterly

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

Research Officer\EDG members

March 2016

Undertake monitoring of new internal policies and processes to ensure fair and equitable application.

Research Officer\EDG members

March 2016

Undertake analysis of complainants’ protected characteristics and the coverage of diversity issues to ensure fair and equitable access and treatment by the PPO and services in remit.

Research Officer March 2016

Undertake analysis of fatal incidents to identify any protected characteristics and coverage of diversity issues to ensure fair and equitable treatment by the PPO and services in remit.

Research Officer March 2016

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

EDG Secretariat / Ombudsman

March 2016

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

March 2016

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

Ombudsman / EDG Secretariat/ Head of Learning Lessons

March 2016

Maintain profile of equality and diversity matters across the PPO.

EDG members March 2016

Review the calendar of events and hold 3 events celebrating diversity within the office and in our work.

Nominated EDG members

July 2015 November 2015 March 2016

Review and publish survey of staff backgrounds.

Research Officer June 2015

18


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Learning & Development Plan 2015‐16 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 list describes the learning priorities for the whole office for 2015‐16:

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

ongoing investigative skills and Plain English training for new investigators

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

training on the new MoJ Attendance Management policy This learning will be supplemented by the following core development provision:

induction

3 full staff meetings

team meetings

individual one to one meetings. And mandatory e‐learning on:

unconscious bias

disability awareness

equality and diversity

information assurance and the security classification system

basic health and safety.

For further information on this and all other PPO publications

please contact:

Prisons and Probation Ombudsman

PO Box 70769

London SE1P 4XY

e [email protected]

t 020 7633 4100

All publications are available online at www.ppo.gov.uk

Please e-mail [email protected] to join our mailing list

© Crown copyright 2015

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