Presentation on theme: "Equality and Human Rights Commission Resource, Performance and Risk Report Period 4, July 2011 Authors: Philip Mabe, Linda Wike."— Presentation transcript:
Equality and Human Rights Commission Resource, Performance and Risk Report Period 4, July 2011 Authors: Philip Mabe, Linda Wike
Contents Overview 1. a) Overview of the current financial position b) Overview of current performance c) Forward look d) Issues and mitigating actions Part I: Resources 2. EHRC financial position a)EHRC financial summary b)Resource spend by group directorate – key points c)Total Resource spend by directorate d)Capital spend (quarterly) e)Statement of financial position f)Discretionary spend: austerity tracker 3. Workforce a)Workforce current position b)Workforce forward plans c)Workforce key financial points Part II: Performance 4. Operational performance: Delivery status by business plan objective a-f) Deliverables and Milestone status g) Major projects highlights and budget status h) Key projects budget status i) Change control log 5.Key Performance Indicators Part III: Risk 6.Strategic and financial risks a) Key strategic risks b) Financial and procurement risks 7. Report legend 2
3 1a. Overview of the current financial position The Board is asked to note the following points on the Commissions financial position: Net resource expenditure, excluding capital, to date is £12.6m against a year to date phased budget of £14.1m. The underspend arises principally in relation to the workstreams. Both the resource (£47.4m) and capital (£1.5m) forecasts for the year are consistent with the budget whilst a detailed review of the full year forecast is undertaken. The current resource forecast assumes both a voluntary exit scheme in the last quarter and a significant increase in the rate of expenditure during the rest of the year as major deliverables are completed. Capital expenditure to date is £1.1m, which has wholly been incurred on the refurbishment of Arndale House. The last phased payment to the contractors is due and the capital budget of the refurbishment of £1.3m will be spent in full. Our austerity tracker in section 2f shows that the measures we put in place effective from the 28th of May 2010 have now delivered savings of around £2.7m or 58% in our discretionary expenditure compared with the same period last year. The £73k budget reduction associated with the pay remit has not yet been reflected in the financial results.
4 1b. Overview of current performance The Board is asked to note the highlights of Commissions performance in July; specifically the Commission has: Submitted its shadow report on the UKs compliance with CERD for the UKs examination in August. Launched new online public sector human rights resources bringing together a range of practical guidance covering different sectors and themes. Published report on equality and diversity in careers education and guidance which shows an aspiration gap for some young people particularly disabled people, women and ethnic minorities. Sought permission to intervene in four cases at the European Court of Human Rights all involving religious discrimination in the workplace. Published research of PCTs and SHAs performance in relation to the previous public sector equality duties which includes recommendation for health bodies in advancing equality. Published research on how the equality duties have helped schools to improve educational outcomes, which also highlights that only 38% of schools were aware of the new equality duty Completed the next step in the development of the Measurement Frameworks with publication of the research report on development of a set of indicators for children and young people. Published the construction Industry research report sent to stakeholders on 14 th July with positive response in leading trade press. Raised issues about the correct approach to community care across a number of media channels following the judgment in the case of R(MacDonald) v Kensington and Chelsea Council the Supreme Court ruled the Council was justified in withdrawing funding for night care from an elderly woman. Agreement with Childrens Commissioner on collaborative working including on Dunsford recommendations, with plans to operationalise a co-regulatory approach where appropriate. Commenced review of Care Quality Commission Memorandum of Understanding and have separately agreed a plan of action in relation to Winterbourne View. Implementation of action plan on Dale Farm agreed at Regulatory Committee including work with Basildon Council, Gypsy and traveller community, DCLG, and UN and Government task force. Evidence gathering for S31 assessment of HM Treasury at a peak including evidence sessions. Responses for Welfare Reform Bill and Education Bill.
5 1c. Forward look (Next Quarter) The EHRC has some very significant deliverables in the course of the next quarter. This period will see the completion of three section 16 inquiries with significant public impact. It will also see the finalisation of the Commissions work on fairness in financial decision-making. In the next quarter the Commission will: Submit proposal to HO/GEO for EHRC transformation and proposed approach to senior management organisational design. Publish Sex and Power - a research report on gender equality issues on 18 th August. Publish the privacy report on the inadequacy of regulatory regime for protecting privacy in August. Publish the report of the Disability Harassment Inquiry on September 12 th and commence the consultation on its recommendations Launch citizenship and human rights teaching materials to secondary schools for the start of the new term Make compliance easier by publishing summary versions of non statutory guidance for the public sector equality duty. Publish the report of the inquiry into the human rights of older people receiving home care Publish the report of the inquiry into human trafficking in Scotland Publish the report of the Section 31 assessment of the Treasury in the spending review Publish the report of the Section 31 assessment into the Scottish Government (Better Policy, Better Lives) Receive the judgment of the High Court on the challenge to the guidance to security service in relation to torture (expected in October) Make a submission on behalf of the European Group of NHRIs to European governments on the reform of the European Court of Human Rights.
6 1c. Forward look (2) In the next quarter the Commission will: Launch joint guidance into human rights and residential care with the Care Quality Commission. Submit its pay remit to the Home Office in August. Make a submission in New York on behalf of the European Group of NHRIs to the State Parties meeting on progress in relation to the Convention of the Rights of People with Disabilities Submit the Commissions views to the European Court of Human Rights in the religious cases of Eweida and others. Lay its annual report and accounts before Parliament.
7 1d. Issues and Corrective Action The Board is invited to consider the current issues: Delay to reform programme – On-going discussion with the HO/GEO regarding the CEOs proposals for the Commissions transformation. Ministers will be expressing their views on the Governments consultation on EHRC Reform and we await these to inform HO/GEO approval of the Commissions plans. The Commission will be working with colleagues at HO/GEO to co-ordinate proposals for a new OD, recruitment to new roles, reduction of interims, the 2011/12 pay remit, new procurement delegations, the inter-dependencies of these issues, HO/GEO approval processes and the implications for the Commissions A rated NHRI status. The HO/GEO will shortly be issuing a revised framework agreement for review and sign off by the Commission. This is likely to reflect changes to EHRC delegations as a consequence of the Government spending controls and delegated authority from the HO for procurement and recruitment. A subsequent revision to the Framework Agreement might be needed to reflect any changes to the Commissions powers and duties as a consequence of the Public Bodies Reform Bill and the Governments response to the public consultation on EHRC reform. These are significant matters for deliberation by the Board. Risk of qualification of accounts following the Home Offices refusal to give retrospective approval to prior year procurement by single tender action. Recent adverse press coverage in relation to procurement cards, staff numbers and comments made by Housing and Planning Minister about human rights in social housing.
2a. EHRC financial summary Key points Resource forecast is £47.4m, in line with the budget. Capital forecast remains at £1.5m. No AME budget has been allocated to the EHRC, this will be managed centrally by the Home Office. Budget reduction of £73k arising from breach of pay remit will be reflected next month. Control Total Current Status Last Month ResourceG G AdministrationG G CapitalG G Annually Managed ExpenditureG G Estimate: Net Resource RequirementG G Estimate Cash RequirementG G Forecast Spending. (Full Year) £000sBudgetForecast Change on last month Variance Reason for variance Resource Administration£38,000 £39£0 Programme£9,900 £39£0 Income-500 0£0 Total Resource£47,400 £78£0 Capital£1,500 0£0 Annually Managed ExpenditureNIL(£1,116) NIL(£1,116) 8
2b. Total resource spend by group directorate 9 Notes: 1. Movement in forecast since last month 2.Transformation costs are phased towards year end £000s Year to DateFull Year BudgetActualVarianceBudgetForecast Movement 1 Variance Income Revenue -£170-£196£26-£500 £0 - Income Programme 00£0 - - Income sub total -£170-£196£26-£500 £0 - Administration Expenditure: Legal £1,007£760£247£3,378 £54£0 Regulation £2,559£1,877£682£7,083 -£27£0 Intelligence and Engagement £1,164£1,131£33£3,440 -£56£0 Corporate Management £4,578£4,393£185£14,579 £118£0 Commissioners Office £482£443£39£1,364 -£7£0 Scotland £501£473£28£1,567 -£12£0 Wales £436£397£39£1,258 -£14£0 Statutory Committees £58 £0£335 £0 Transformation 2 00£0£4,996 -£17£0 Administration sub total £10,785£9,532£1,253£38,000 £39£0 Programme Expenditure: Grants £2,050£2,047£3£6,217 £0 Helpline £754£732£22£2,184 £39£0 Legal casework and mediation £638£514£124£1,499 £0 Programme sub total £3,442£3,293£149£9,900 £39£0 Total Resource £14,057£12,629£1,428£47,400 £78£0
2c. Resource spend by group directorate – Key points Resource summary Net expenditure for the year to date is £12.6m, an under spend of £1.4m (10.2%) in comparison to the total resource budget for the year to date. Resource - administration Administration expenditure is £1.3m under budget. Of this £1.1m is associated with the workstreams. Most significant areas of under spend by value are: –Regulation: £0.65m (59% of the total under spend) in relation to the Codes and Guidance project and development of regulatory tools and standards. –Legal: £0.25m associated with legal enforcement and slow initiation of the Human Rights programme. Resource – programme Year to date underspend of £0.15m (4%), which includes savings in relation to the mediation services contract and reflects the low number of legal cases taken to date 10
2d. Capital spend Key points Capital spend for the year to date is £1.1m, which has been incurred on the refurbishment of Arndale House. Further staged payments to contractors are due and it is anticipated that the capital budget of £1.33m for the refurbishment will be spent in full. Total capital budget for the year is £1.5m. Spend by key project £000s Year to DateFull Year BudgetActualVarianceBudgetForecast Movement in Period Variance Arndale Refurbishment £887£1,110-£223£1,334 £0 IT Infrastructure £40 £81 £0 CRM stakeholder 1 £85£0£85 £0 Total £976£1,110-£134£1,500 £0 11 Note: 1. CRM expenditure is assumed to be capital, this position will be reviewed when the project is completed in order to ensure compliance with accounting standards.
2e. Statement of financial position (Quarter 1) 12 £000sMarch 2011June 2011Sept 2011Dec 2011Mar 2012 Non-current assets: Property, plant and equipment £2,012£2,147 Intangible assets £223£197 Total non-current assets £2,235£2,344 Current assets: Receivables £1,572£1,383 Cash £5,487£4,006 Total current assets £7,059£5,389 Total assets £9,294£7,733 Current liabilities: Provisions £1,619£1,652 Payables £6,732£6,949 Total current liabilities £8,351£8,601 Non-current assets less net current liabilities £943-£868 Non-current liabilities: Payables £247£277 Pension Liabilities £1,444 Provisions for liabilities and charges £1,850£1,693 Total non-current liabilities £3,541£3,414 Assets less liabilities -£2,598-£4,282 Taxpayers' equity: General fund -£2,776-£4,460 Revaluation reserve £178 Total tax payers equity -£2,598-£4,282
2f. Discretionary Expenditure: austerity tracker Key points The reduction in consultancy and contingent staff has saved over £2m compared with the same period last year. New travel and subsistence policy, including a ban on first class travel have saved almost £0.18m compared to the same period last year. Overall reduction of £2.7m or 58% compared with same period in 2010/11 13 Spend by category £YTD Variance%RAG 2010/112011/12 Consultancy£369,534£1,892 £367,642 99%G Contingent Labour£3,319,908£1,516,205 £1,803, %G Overseas Expenses£0£55 -£55 -G Planes, Trains & Autos£208,360£113,939 £94, %G Hotels£37,280£30,341 £6, %G Subsistence£9,809£2,346 £7, %G Mileage Claims£3,859£2,164 £1, %G Taxis£74,790£4,730 £70, %G Office Overheads £91,821£28,242 £63, %G Printing & Publications £89,677£34,130 £55, %G Training & Recruitment £304,077£105,021£199,056290%G Conferences £110,377£67,215 £43, %G Hospitality £2,660£398 £2, %G Catering Services £15,604£5,866 £9, %G Total£4,637,755£1,912,543£2,725,212242%G
3a. Workforce (current position) Workforce and turnover CategoryWorkforce plan at end March 2012 Year to Date Actual as at 1 st April 2011 Actual as at 31 st July 2011 Variance Employees / staff on EHRC payroll 2 Subject to new OD plans Interim Total Total with vacancies Annualised Staff Turnover 2010/112011/12 9.7%7.3% 1 Spend by Area Year to DateFull Year BudgetActualVarianceBudgetForecast £000s Staff Pay Contingent Labour Staff Pay Contingent Labour Staff Pay Contingent Labour Staff Pay Contingent Labour Staff Pay Contingent Labour Legal £1,072,828-£1,057,845-£14,983-£3,133, Regulation £1,491,625£236,557£1,452,950£236,172£38,675£385£4,238,156£473,052£4,238,156£473,052 Intelligence and Engagement £1,454,752£287,081£1,417,915£287,020£36,837£61£4,210,945£570,745£4,210,945£570,745 Corporate Management £1,244,397£1,019,424£1,217,226£992,189£27,171£27,235£9,162,563£2,117,245£9,162,563£2,117,245 Commissioners Office £458,883-£417,661-£41,222-£1,268, Scotland £429,147-£423,980-£5,167-£1,244,388- Wales £397,406-£382,373-£15,033-£1,143, Statutory Committees £5,000-£18,242--£13,242-£24, Total £6,554,038£1,543,062£6,388,192£1,515,381£165,846£27,681£24,425,728£3,161,042£24,425,728£3,161,042 1 Excludes 45 VES scheme leavers who left at the end of June Based on Cabinet office guidelines for FTE calculations 3 Excludes vacancy FTE 14
3b.Workforce – forward plan By Directorate Total workforce Baseline Total 2 Employees / staff on EHRC payroll 2 InterimsTotal 3 SMT approved vacancies to recruit 4 Total Including Vacancies Workforce plan projection Variance, pressure/ headroom as at 1st April 11 as at 31 st July 11 To end of Mar-12 Legal Subject to new OD plans Regulation Intelligence & Engagement Corporate Management Scotland Wales Commissioners Office 1513 Total Excludes 45 VES scheme leavers who left at the end of June Based on Cabinet office guidelines for FTE calculations 3 Excludes vacancy FTE 4 Excluding vacancies approved to be recruited to replace interims
3c.Workforce – Key financial points Staff pay, core and associated costs Year to date under spend is £0.17m due to delays in staff recruitment and staff returning from maternity leave later than the budget assumptions. The full year forecast is consistent with the budget. Contingent labour Year to date under spend on interim and agency staff is £0.03m. This is mainly due to holidays not being recognised in the budget. The full year forecast is consistent with the budget. 16
4.Operational performance: business plan key objectives status Objective Deliverable RAG Status Full Year £ Direct FTEs BudgetForecastVariance 1. To make the equality act easier to understandA 2, To promote human rights and raise awarenessG 1, To improve equality and human rights outcomes Administration Programme G 4,208 4, , To build our evidence base for effective regulationG 4, To ensure that the economic recovery is fair and equalG 1, To reform the CommissionG 7,538 - Subtotal 31,693 Corporate Management 6,843 6,843 - Overheads 9,364 - Income (500) - Total 47,40047, Budget reduction of £73k arising from breach of pay remit will be reflected next month
4a. Objective: To make the Equality Act easier to understand Deliverable and milestones Start Date End Date StatusRAG 1 Highlights, risks and issues 1. Support public bodies to protect and promote equality as employers and through services they deliver through production of concise, easy to follow guidance and Codes of Practice. 1.1 Submit analysis of the responses to the consultation to GEO and revise Codes of Practice in light of those responses (S1.3) Apr 2011 Sept 2011 March 2012 A Laying the FHE Code of Practice before Parliament delayed until after summer recess to enable review by Scotland and Wales government. Drafting of Schools Codes of Practice on-hold as dependent on outcome of DfE consultation on Auxiliary Aids, scheduled for Q3 2011/12. Further delays to PSED Codes of Practice due to revisions of the specific duties in England and Scotland. 1.2 Publish revised practical, plain English guidance on the new public sector Equality Duty Specific Duties (S1.3) Sep 2011 March 2012 A Guidance for Wales finalised and published. Re-drafting of guidance for England (and non- developed bodies in Scotland and Wales) started. Re-drafting of guidance for Scotland is dependent on the Scottish government regulations. 2. Support business, particularly SMEs, to create fairer, more inclusive work places 2.1 Hold a series of confidence building events with SMEs to improve their understanding of how to comply with key provisions in the Equality Act (E1.4) Apr 2011 Mar 2012 In progress G Planning of first event in Midlands progressing with content being produced, based on a myth busting approach, covering the A-Z of the Equality Act for SMEs and Employment Codes of Practice. 3 Evaluate the impact of the Act and of our guidance 3.1 Report on evaluation of the effectiveness of existing Codes of Practice and guidance (S1.4) Dec 2011 Mar 2012 In progress A Approach agreed with Regulatory Committee in July and evaluation project is now being developed 3.2 Contribute to the evaluation of the effectiveness and awareness of the Act with GEO (S1.7) Apr 2011 Dec 2011 In progress G Analysis of usage through surveys and website hits progressing well As assessed by the project manager or SRO
4b. Objective: To promote human rights and raise awareness 19 Deliverable and milestonesStart Date End Date StatusRAG 1 Highlights, issues and risks 1. Promote the practical value of the Human Rights Act 1.1 Develop and implement a strategic influencing and communications plan for human rights and the Human Rights Act to enable informed public debate (S7.1) Apr 2011 Jun 2011 Delayed A Communications plan developed and being refined for approval by SMT in September. 1.2 Submit report and oral evidence to Bill of Rights Commission on the EHRCs position (S8.1) Apr 2011 Dec 2012 In progress G Consultation of the Commission on a Bill of Rights was launched on 5 th August and will run until 11 th November. 2. Improve public service delivery 2.1 Pilot a human rights 'health check' tool for public authorities and civil society organisations to appraise human rights compliance and performance and measure uptake (S11.3) Sept 2011 Mar 2012 Risk of Delay A Pilot for the health check tool scoped which reflects initial consultation with stakeholders. Review begun of existing tools and approaches. Discussions held with Scottish Human Rights Commission on their impact assessment tools 3. Contribute evidence to setting human rights standards at home and abroad 3.1 Submit authoritative reports to the UN on UK compliance with treaty obligations in-line with UN Committee examination timetable (S9.1) 3.2 Develop and implement action plan in relation to the Universal Periodic Review (S9.3) Apr 2011 Mar 2012 Sept 2011 In progress GGGG Submitted CERD shadow report on 25th July in advance of the UK's examination on the 23rd August. Working group established and communication strategy developed. Preliminary discussions held with MoJ and Scotland and Northern Irish NHRIs. 4. Provide authoritative advice on human rights 4.1 Complete and publish citizenship and Human Rights course materials for secondary schools to develop young people as human rights 'auditors' of the future (S11.7) Apr 2011 Sept 2011 In progress G Good progress, testing and piloting of resources in 5 schools, 5 regional training events and on ITET courses in 3 universities completed. On track for completion in September.
4c. Objective: To improve equality and human rights outcomes 20 Deliverable and milestones Start Date End Date Status RAG 1 Highlights, issues and risks 1. Increase the success rate of the use of our legal powers to protect the rights of individuals 1.1 Conclude significant test cases with a 70 per cent success rate that clarify and define existing interpretation of equality and human rights legislation (S2.1) Apr 2011 Mar 2012 In Progress G Five new legal actions in July, bringing the total to % success rate in completed cases to date. 2. Complete existing inquiries and investigations and follow up to previous inquiries to ensure improvements in relevant industries and sectors 2.1 Complete s16 Inquiry into disability related harassment and launch report of findings and recommendations (S3.1) Apr 2011 Sept 2011 In Progress G 2.2 Complete s16 Inquiry into the home care of older people to increase awareness through publication and promotion of findings and recommendations (S4.1) Jul 2011 Mar 2012 In Progress G Tight timescales remain for review and sign–off. 2.3 Complete s16 Inquiry into human trafficking in Scotland to increase awareness through promotion of findings (S19.1) Apr 2011 Mar 2012 Risk of delay A Delay of 6-8 weeks against plan date to enable adverse findings to be shared. Final report will be published by end November/early December subject delegation of sign-off from Board to Regulatory Committee 2.4 Complete formal review of progress against recommendations and improvement of baseline data (S5.1) - Financial Service Inquiry - Construction Service Inquiry - Meat and Poultry Inquiry Apr 2011 Jun 2011 G July Regulatory Committee have approved terms of reference for meat and poultry inquiry review and agreed finance inquiry follow-up report. Meat and poultry review will start in September. Construction industry inquiry review will be completed in March 2012.
4d. Objective: Build the evidence base for effective regulation Deliverable and milestonesStart Date End Date StatusRAG Highlights issues and risks 1. Build and maintain a sophisticated centre of intelligence on equality on equality and human rights 1.1 Create a new integrated intelligence function and intelligence hub (R6.3) a) Scope information sources and gaps and infrastructure requirements b) Pilot intelligence hub c) Review requirements and commissioning. Apr-11 Jun-11 Oct-11 Sept-11 Dec -11 In Progress A First stage of the creation of an intelligence hub has taken place with the merger of the research and foresight teams under single management. Audit of existing internal data sources and systems is nearly complete. Annual cycle of data and intelligence requirements of the Commission also analysed. These will form the basic infrastructure of the new hub. 1.2 Finalise and populate our measurement frameworks for equality, human rights and good relations (R4.1) Apr -11Mar-12 At risk A The Childrens Measurement Framework indicators finalised and published. Human Rights Measurement framework has been delayed until after the HRR publication to inform the framework priorities. Resource constraints identified as key risk to delivery. 1.3 Publish our first Human Rights Review looking at the evidence base for human rights (R5.1) Apr-11Dec-11 In progress G Some slippage to deliverables but these are recoverable and the review is on track to meet planned launch date of 10 th December 2. Increase the transparency and objectivity of our regulatory processes 2.1 Establish a Regulatory Decision Unit to provide a clear and transparent process for our regulatory decisions (R6.4) Apr-11Sept-11 In progress G 2.2 Build evaluation and impact assessment into regulatory interventions and follow-up including the Disability Harassment Inquiry (DHI) and Home Care for Older People Inquiry (R4.2) 2.3 Introduce use of cost benefit analysis into regulatory interventions including the DHI and Home Care for Older People Inquiry (R4.3) Apr- 11 Jul-11 On- going In progress G Scoping proposal submitted to GD Regulation. Approach to evaluation has been developed for SMT and Regulatory Committee approval. DHI recommendations have been revised to ensure they are measurable and initial scoping of the s20 investigation into Sports Direct has started. 21
4e. Objective: Ensure that economic recovery is fair and equal Deliverable and milestonesStart Date End Date StatusRAGHighlights, issues and risks 1. Understand the impact of public spending decisions and ensure their effects are spread evenly across society 1.1 Complete S31 assessment of HM Treasury and report on findings and recommendations (R1.1) July 2011 TBCIn progress G Delay to receipt of evidence, deadline of November is challenging. 2. Monitor how public bodies fulfil their new duty innovatively make progress on equalities 2.1 Monitor and assess public bodies compliance with the equality duty (R2.1) Apr 2011 Mar 2012 In progress G No risks or issues reported. 3. Establish partnerships with regulators and inspectorates to monitor and increase implementation of the equality duty 3.1 Review and continued implementation of our MOU with the Care Quality Commission (CQC). 3.2 Exchange of letters with the UK Borders Agency agreeing partnership working arrangement 3.3 Equality and human rights integrated in Ofsted inspection framework and action on bullying and other priorities measured. Mar 2011 Sept 2011 Sept 2011 Mar 2012 In progress GG GGG G Review of MOU with CQC re-scheduled for August. Joint guidance developed and will be published in September Partnership arrangements with UKBA is will be considered by the Regulatory Committee in September Build employers, particularly SMEs confidence in creating fair and inclusive workplace. 4.1 Develop standards with private sector enabling organisations to embed equality, diversity and human rights into doing business (E1.1) Apr 2011 Sept 2011 Risk of delay A Certain private sector business plan milestones underpinning this work have missed their delivery dates in Q1 due to resource constraints. Detailed planning in train by SRO to mitigate. 5. Narrow pay gaps and break down barriers to the workplace for a range of groups making progress as our economy grows 5.1 Develop and promote guidance to support voluntary approach to reporting data about pay and grading of men and women (E2.1) Apr 2011 Sept 2011 In progress G Regulatory Committee will sign off report in September. 22
4f. Objective: To reform the Commission Deliverables and milestonesStart Date End Date StatusRAGHighlights,issues and risks 1. Deliver the strategic plan 1.1 Phase 1: Consult on the Strategic Plan and respond. (F1.3) 1.2 Phase 2: Consult on draft strategic aims & respond (F1.4) 1.3 Phase 3: Publish and consult draft Strategic Plan for (F1.5) Jun 2011 Sept 2011 Feb 2012 Sept 2011 Dec 2011 Mar 2012 In progress Not yet started G Consultation on Strategic Plan complete, with 65 responses. Phase 2 preparation re-scheduled for October launch. 2. Deliver a new organisational design (OD) to support the strategic plan, meeting all obligations and requirements of good practice for consultation and transition 2.1 Publish final Organisational Design and recruit to all posts (F3.1) 2.2 Complete VE/VR/CR processes (F3.1) Apr 2011Mar 2012 In progress G Current plan being re-scoped on basis of proposals which are currently with HO, including senior level OD and VE/VR proposals 3. Deliver response to HMG consultation and implement any changes to powers, duties and accountability which follow 3.1 Respond to HMG announcement, agree implementation plan (F2.3) 3.2 Deliver smooth operational transition for helpline and grants (F2.3) Dec 2011 Mar 2011 In progress G Commissions response to government consultation submitted. Awaiting Government response to consultation. 4. Develop target operating model for implementation with new OD 4.1 PPM methodology and training programme implemented 4.2 Intelligence and information strategy agreed 4.3 New technology strategy agreed (F3.4) Jun 2011In progress A Initial PPM workshops underway, though full methodology not yet signed off Intelligence Hub under development Technology Strategy awaiting appointment to ICT Director post. 5. Alternative sourcing plan agreed and ready for implementation 5.1 Forward plan on future sourcing agreed for implementation (F5.1) Sept 2011In progress G Initial report on target for SMT submission in September
4g. Major projects status (1) Project End Date Forecast RAG / Trend Main achievements in the last month Main activities in the next month Issues facing the project Equality Act Codes and Guidance Mar-12 A Agreed PSED Code of Practice text with GEO and the general duty section shared with OGDs. First draft of PSED procurement guidance produced. Internal review of FHE guidance for providers and users. FHE Code submitted to Scotland and Welsh Governments for review. FHE Code to be re-submitted for Ministerial approval and laying. Meeting with DfE on Schools Code to clarify position on auxiliary aids and ensure guidance for providers does not overlap and agree timetable. Drafting of Education guidance Sign-off of pre-consultation draft of PSED Code. FHE Code not laid before recess as planned because neither the Welsh or Scottish Governments had been consulted as part of the cross-government review. Scope of peer review of Education guidance increased. Year to date spend of £61k against phased budget of £215k and full year budget of £644k. Disability Harassment Inquiry Sep -11Sept-11 G Inquiry into Home Based Care Mar -11Nov -11 G Disability Committee briefed. Report author appointed. Evidence day held with researchers and author Commissioners meeting. 4 key targeted calls for evidence issued. General call for evidence and focus groups information coded. 60 follow-up interviews held. Completion of evidence coding and analysis. Additional interviews with local authorities to plug evidence gaps. Continuation of targeted calls for evidence, drafting of questionnaires and sign off. First draft of final report completed Continued stakeholder engagement to limit negative impact of interim findings. Write-up of analysis of 2 surveys Third area study has not yet started as the authority has re-evaluated participation given recent publicity. Sign off of remaining 16 targeted calls for evidence Tight timescales for review and sign–off of final report. 24
4g. Major projects status (2) ProjectEnd Date Forecast RAG / Trend Activity and achievements in the last month Main activities/ highlights in the next month Issues facing the project Human Trafficking Inquiry Mar -11Nov-11 A Inquiries draft findings reduced to ten reflecting feedback from SMT and Commissioners Legal opinion commissioned on the draft findings. Final versions of full and summary report produced. Legal opinion received Offer relevant parties opportunity to make written representation on adverse findings. Progression of launch arrangements Delay against plan of 6-8 weeks to enable adverse findings to be shared with bodies. Final report will be published in late November/early December, subject to delegation of sign-off from Board to Reg. Committee. Assessmen t of HM Treasury Nov -11TBC G All oral evidence sessions with govern departments completed and transcripts shared Letters sent outlining agreed actions. Initial findings discussed at project board on 22 nd July and Regulatory Committee on 28 th July. Additional oral sessions held with GEO, ODI, CLG. Stakeholder and government seminars Counsel opinion sought on 3 key measures in spending review. Advice procured on VFM Draft report from NIESR. Report writing began Evidence gathering timetable is under tensions. YTD underspend of £15k (33%) as a result of failure to procure experts on retainer., full year forecast remains at £94k in-line with budget as additional funds allocated to cover Legal Counsel advice. Human Rights Review Dec -11 G Synopsis provided to Board on 14 th July. First round of inputs from academic advisor and legal counsel. Regional and national roundtables concluded. Draft of Part I completed Part I completed and initial draft of Part III for review and feedback. Expert panel to be held on 11 th August. YTD underspend of £80k, full year forecast remains at £220k in-line with budget Expenditure deferred due to changes in stakeholder engagement plan. Advisor and legal counsel costs will be incurred from August. Final approval by Chair and Sponsor Commissioner planned for October; 1 month later than original plan. 25
. Schedule impactCost impact S S1.x RefProjectChange 4i. Change control None reported 26
Measure10/11 outturn Full year target YTD actual RAGTrend Disciplined delivery: delivery of high-impact interventions and grant funded programmes Total number of new strategic legal actions 66TBC12N/A Success rate of completed strategic legal actions 87%70%75%G Total number of pre-enforcement actions allocated for consideration 157TBC31N/ANo update Total number of S27 cases referred to the Conciliation Service A % of S27 cases concluded resulting in full and final settlement 86%70%77%G % of satisfactory monitoring reports received from grant recipients [of those received] 100% G 5. Operational Key Performance Indicators Delivery of high impact interventions and grant funded programmes Commentary 5 legal actions in July, compared with 1 in June and 3 in May bringing the total for the year to 12. Reduction in legal success rate. Notable unsuccessful action was the McDonald case, the outcome of which means that older people's rights to privacy, autonomy and dignity may be put at risk by local authorities decisions. Of 4 reported concluded cases to date 3 were successful. No update on pre-enforcement actions. 3 new mediation cases in July bring the year to date to 17. Of 13 mediation cases concluded 10 were successful, defined as a full and final settlement. All strategic grant monitoring reports have been received by the May deadline. Legal grant reports are due by end of July, of the those reports received to date 90% have met their delivery targets. 27 Note: These measures were set as part of the strategic plan and targets refreshed in April These will be reviewed and agreed by SMT prior to the next quarterly review.
Measure10/11 outturn Full year target YTD actual RAGTrend Delivering excellence in advice, guidance and information % of letters and s answered within 5 days service standard 95%85%98%G % of all calls presented to the helpline service answered 84%85%96%G Number of calls to the specialist legal advice line 118>1208R Number of unique visitors to website 1m>0.8m0.34G Number of visitors to the website 1.4m>1.1m0.47G Number of complaints received 72<7523G Number of complaints acknowledged within 5 working days 68%90%93%G Number of complaints responded to within 20 working days 91%90%96%G 5. Operational Key Performance Indicators Delivering excellence in advice, guidance and information Commentary: There were 3,861 calls to the Helpline in July, of these 3,397 were answered. Year to date the service has handled 13,217 calls – 25% less than the same period last year. In July there were 4 new complaints, bringing the year to date total to 23, of these the majority relate to the Helpline service and legal casework. The Specialist Legal Advice line received 3 calls in July bringing the year to date total to 8. There were 51 in the same period last year. Website visits shows a slight decline to 77,000 unique visitors this month compared to 90,000 in June. The most visited area of the website remains our advice and guidance section. Our news item on reasonable accommodation in relation to religion and belief was viewed over 4,300 times. 28
10/11 outturn Full year target YTD actual RAGTrend Authoritative and responsive: high performing organisation Number of Freedom of Information (FoI) requests received 150<15072R % of FoI requests responded to within the statutory deadliness 86%>90%99%G Number of Data Protection Act requests 38<4011G % Data Protection Act requests responded to within the statutory deadlines 78%90%78%A Complaints upheld by the Information Commissioners Office 1.4%<2%0G % staff attendance at training events 82%90%94%G % of staff satisfied that the training objectives were met 97%80%75%G % staff turnover excluding VES 9.7%10%1.76%G Staff days lost to illness per FTE 11<93.3G 5. Operational Key Performance Indicators Authoritative, responsive and high performing organisation Commentary: 19 new FOI requests this month bringing the total to date to 72 compared with 50 in the same period last year. All have been responded to within statutory deadline; a significant improvement on last years performance. Feedback from the ICO is expected in September. 2 new DPA requests in July, the total now 11. The one due for response in July, was responded to within the statutory deadline. YTD performance stands at 100%. No training course held in July and learning and development budget now devolved to Directorates. Turnover for the year is low. Excluding VES leavers it stands at 1.76%, however if VES leavers are included the figure is 10.2%. 29
6. Strategic Risks Includes high impact, high probability risks based on the strategic risk register as at the end of August Risk of the ineffective relationships and arrangements with the HO/GEO/Central Government adversely affecting the organisations ability to deliver its outcomes. Risk priority: =1 Impact: High Likelihood: High Failure to reform the EHRC. Risk that the Commission is unable to achieve its outcomes due to a lack of a consistent and permanent leadership team. Failure to develop a Strategic Plan Risk that external factors impact adversely on the effective delivery of the Commissions mandate Failure to achieve the critical deliverables in the business plan 2011/12 Over reliance on interim staff Risk priority: 2 Impact: High Likelihood: High Risk priority: 3 Impact: High Likelihood: High Risk priority: 4 Impact: High Likelihood: High Risk priority: 5 Impact: High Likelihood: High Risk priority: 6 Impact: High Likelihood: High Risk priority: =1 Impact: High Likelihood: High Risk priorityDetail 30
6a. Financial and procurement risks Key risks to 2011/12 finances are set out below. These risks have not been factored into forecasts. If they crystallised, they would contribute to an (under)/over spend. Value Likelihood Proximity Delegated financial authority: Working with Home Office on the introduction of Home Office spending controls. Financial delegations received and procurements delegations still awaited. Mitigation: Close working with the Home Office Retrospective POs: Incidence of retrospective POs in July is 23% hence potential understatement of actual financial commitments which undermines -reporting. Mitigation: All instances of retrospective POs reported to SMT Programme expenditure start-up. Limited information available from programme boards on plans and profiled spend. Mitigation: Boards to provide plans Significant under spend High March 2012 Value Likelihood Proximity Significant under spend Medium March 2012 Value Likelihood Proximity £1m over spend Medium March 2012 Voluntary Exit: Agreement awaited for voluntary exit scheme that is budgeted to reduce staff numbers by 100 in March Mitigation: Defer reduction to next year Value Likelihood Proximity £5m under spend Medium March
Key Control Totals Forecast within budgetG Needs careful monitoringA Needs urgent attentionR Key Spend Year to Date and Forecast Forecast spend remains unchanged since last month Forecast spend increased since last month Forecast spend decreased since last month Variance above 5% (under)/over budget 7. Report legend Financial control totals for the EHRC are: Resource:£47.4m Of which Administration: £37.5m Capital:£1.5m 32