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Equality and Human Rights Commission Resource, Performance and Risk Report Period 7, October 2011 Board Version (final version to be shared with Home Office)

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Presentation on theme: "Equality and Human Rights Commission Resource, Performance and Risk Report Period 7, October 2011 Board Version (final version to be shared with Home Office)"— Presentation transcript:

1 Equality and Human Rights Commission Resource, Performance and Risk Report Period 7, October 2011 Board Version (final version to be shared with Home Office) Authors: Philip Mabe, Linda Wike Document classification: Restricted 1

2 Contents Overview 1. a)Overview of the current financial position b)Overview of current performance and mid-year business plan deliverables forecast 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 c)Total Resource spend by directorate - key points d)Capital spend (quarterly) e)Statement of financial position f)Discretionary spend: austerity tracker 3. Workforce a-c) Workforce current position, forward plans and key financial points Part II: Performance 4. Operational performance: Delivery status by business plan objective a ) Business plan key objectives status b-o)Objective status by business plan theme 5. Major Project status and change control log a-d)Major project status g)Change control log 6. Operational Key Performance Indicators (KPI) a-c)KPI against target and actual Part III: Risk and reputation 7. Strategic, financial Risks and reputational management a) Key strategic risks b) Financial and procurement risks c) Reputational report management summary 8. Report legend 2 Restricted

3 3 1a. Overview of the current financial position The Board are asked to note the following: Year to date net resource expenditure of £23.5m is 50% of the full year budget. Resource forecast for October remains at £46.5m, showing an underspend of £0.9m against budget. Following a review by the Group Director of Legal, the forecast for legal casework has been increased by approximately £0.6m. The SMT has agreed improved financial controls. The issues and improvement actions have been reported to the Resources and Audit and Risk Committees. The forecast for transformation costs has reduced by £1.2m, the principal reduction being in the estimate of 2011/12 exit costs reflecting the focus on the senior management restructure. Contingent Labour costs included within the forecast are consistent with the plan presented to the Home Office Consultancy and Contingent Labour Board ( CCLB). Capital expenditure to date is £1.38m, mostly being incurred on the refurbishment of Arndale House. Our austerity tracker in section 2f shows that the measures we put in place effective from the 28th of May 2010 have delivered savings of around £2.8m or 186% in our discretionary expenditure compared with the same period last year. The key risks for 2011/12 are identified in section 6. Restricted

4 4 1b. Overview of current performance The Board is asked to note that in October the Commission has: Submitted our response to the Bill Of Rights consultation on the 11 th November. Published guidance in conjunction with the Care Quality Commission for care inspectors on equality and human rights. Met with the Joint Committee on Human Rights (JCHR) to discuss the plans for the Commissions reform, strategic plan and progress on our Inquiries. Published the report of the Section 31 assessment into the Scottish Government (Better Policy, Better Lives). Launched the Digital Accessibility: Web Essentials accredited course, developed in conjunction with market leaders, at a parliamentary reception hosted by Microsoft Received confirmation from the Home Office in early November for the continuation of the Strategic Grants funding into 2012/13. Begun formal review of the progress made by the Meat and Poultry processing sector in improving employment practices following on from our Inquiry on the treatment of agency and migrant workers. Written to 41 police forces in England requesting data on how s60 stop and search powers are being used following a threefold increase in the last 2 years. Published research highlighting how public authorities can improve the way they tackle targeted violence. Hosted Fairness, Justice and Human Rights: Realising Economic, Social and Cultural Rights in the UK, a human rights symposium in partnership with Just Fair, Law Society of England and Wales and the Human Rights Centre (University of Essex). Secured Home Office approval for: proposed changes to the senior level organisational design and has undertaken the 30 day consultation which closed on the 11 th November. a Voluntary Exit Scheme and Voluntary Redundancy Scheme in 2011/12; the process of appointing a Change Director in support of our transformation programme Obtained Ministerial approval for our unqualified 2010/11 annual report and accounts. Restricted

5 5 1c. Forward look (Third Quarter) The Board is asked to review work scheduled for completion during the third quarter: Publish and launch report of the inquiry into the human rights of older people receiving home care on the 23 rd November. Publish and launch the report of the inquiry into human trafficking in Scotland on the 28th November. Publish the report of the Section 31 assessment of the Treasury in the spending review on the 19 th December. Submission to the Universal Periodic Review of the United Nations in advance of the State examination in May Publish summary versions of non statutory guidance for the public sector equality duty in January. Outcome of the appeal in the case of Preddy and Hall v Bull which was reserved on November 8 th. Launch of Equality guidance for local Government procurement officers December. Laying of our annual report and accounts before Parliament on 24th November. Restricted

6 1d Issues and Corrective Action (1) The Board is asked to note the following issues: The Commission is still awaiting formal confirmation of its procurement delegations. Engagement with Home Office/GEO is continuing as part of developing the Framework Agreement. As a result of the move towards using Home Office contractual arrangements and the transition of the Helpline service to another provider, the Commission has sought Home Office approval for two Single Tender Actions (STA)s in excess of £50k. Approval has been received for one of these STAs. –The first related to the extension of a contract with SITEL for publications, covering the period while we transfer to new Home Office contractual arrangements. Delays in the transfer to Home Office arrangements, which is now complete, have led the Commission to incur costs in excess of £50k. Without approval such payments would be deemed irregular. The Commission is awaiting Home Office approval of the STA. – The second STA related to the extension of a contract with Oracle for software to support the Helpline. The Home Office advised they had been delayed in establishing a replacement for the Helpline. The STA was required to cover the extended period arising from the delay. Approval has now been received. The Commission currently has no technical support for its financial systems following the expiry of a contract. We had been advised that we could obtain support from a supplier to the Home Office, through a HO contract, however Logica have declined to provide the service leaving us without technical support. The Home Office have agreed that we should run a competition for the service and we are doing so urgently. The Commission submitted two requests for approval by the Home Office Consultancy and Contingent Labour Board (CCLB). –The first relates to consultancy expenditure to develop a National Equality Standard. A revised business case is expected to be submitted shortly by the GEO to the Permanent Secretary of the Home Office for final approval. –The second for additional leadership capacity to support the Change Programme which has been approved by the CCLB. 6 Restricted

7 1d. Issues and Corrective Action (2) When the Commissions 2010/11 accounts are laid before Parliament, the Comptroller and Auditor General is expected to comment adversely on the Commissions dependency on interim staff and its need to continue to develop a culture of compliance. The Commission is still awaiting ministerial views on the governments consultation on the EHRC reform to inform the development of our strategic plan and organisational change agenda. The Commission continues to work with the Home Office to agree the timetable for the transfer of the Helpline, the Home Office have now gone out to tender for the service. The SMT has agreed improved financial controls over legal casework. These have been reported to the Resource and Audit and Risk Committees. Working with the Home Office to understand the legal position relating to procurement of shared services. 7 Restricted

8 2a. EHRC financial summary Key points Overall resource forecast remains at £46.5m which includes an increase of £0.6m for legal casework and a reduction in transformation costs of £1.2m. 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) £000sBudget 1 Forecast Change on last month Variance Reason for variance Resource Administration £38,000£37,087£26£913 Programme £9,900£9,947£39-£47 Income £34 Total Resource £47,400£46,500-£3£900 Capital £1,500£1,465-39£35 Annually Managed Expenditure £0-£1,116£0£1, Budget reduction of £73k arising from breach of 2009/10 pay remit has not yet been formally notified. Restricted

9 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 administration -£285-£319£34-£500-£534-£68£34 Income Programme £0 - Income sub total -£285-£319£34-£500-£534-£68£34 Administration Expenditure: Legal £1,750£2,173-£423£3,379£3,704£598-£325 Regulation £3,712£3,186£526£7,084£6,206£132£878 Intelligence and Engagement £2,059£1,990£69£3,439£3,311-£70£128 Corporate Management £7,908£8,141-£233£13,636£14,827£652-£1,191 Commissioners Office £763£770-£7£1,364£1,286£1£78 Scotland £908£839£69£1,567£1,484-£16£83 Wales £755£669£86£1,258£1,185-£49£73 Statutory Committees £144£103£41£335£273-£9£62 Transformation £298£5,938£4,811-£1,213£1,127 Administration sub total £18,299£17,873£426£38,000£37,087£26£913 Programme Expenditure: Grants £3,704 £0£6,217£6,216£0£1 Helpline £1,294£1,243£51£2,184£2,156-£27£28 Legal casework and mediation £1,102£1,035£67£1,499£1,575£66-£76 Programme sub total £6,100£5,982£118£9,900£9,947£39-£47 Total Resource £24,114£23,536£578£47,400£46,500-£3£900 Restricted

10 2c. Resource spend by group directorate – Key points Resource summary YTD and the full year forecast programme expenditure remains broadly consistent with the budget. YTD administration expenditure is 38% of the full year budget and the full year forecast under spend remains at £0.9m. Resource - administration YTD workstream expenditure is approximately 40% of the full year budget of £4.9m. The forecast full year under spend is approximately £0.6m. Most significant areas of workstream underspend by value are: –Implementation of the Equality Act (£0.3m) –Development of regulatory tools & standards (£0.17m) –Monitoring & assessing public bodies (£0.12m) –Setting human rights standards in Britain (£0.1m) 10 Restricted

11 2d. Capital spend Key points Capital spend for the year to date is £1.38m, of which £1.3m has been incurred on the refurbishment of Arndale House. Spend by key project £000s Year to DateFull Year BudgetActualVarianceBudgetForecast Movement in Period Variance Arndale Refurbishment £1,334 £0£1,334 £0 IT Infrastructure £00 £81£46£0£35 CRM stakeholder 1 £46 £0£85 £0 Total £1,380 £0£1,500£1,465£0£35 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. 11 Restricted

12 2e. Statement of financial position (Second Quarter) £000sMar-11Jun-11Sep-11Dec-11Mar-12 Non-current assets: Property, plant and equipment£2,012£2,147£2,807 Intangible assets£223£197£172 Total non-current assets £2,235£2,344£2,97900 Current assets: Receivables£1,572£1,383£1,160 Cash£5,487£4,006£1,890 Total current assets £7,059£5,389£3,05000 Total assets£9,294£7,733£6,02900 Current liabilities: Provisions£1,619£1,652£1,812 Payables£6,732£6,949£5,214 Total current liabilities £8,351£8,601£7,02600 Non-current assets less net current liabilities £943-£868-£99700 Non-current liabilities: Payables £247£277£308 Pension Liabilities £1,444 £1,423 Provisions for liabilities and charges£1,850£1,693£1,297 Total non-current liabilities £3,541£3,414£3,02800 Assets less liabilities-£2,598-£4,282-£4,02500 Taxpayers' equity: General fund-£2,776-£4,460-£4,200 Revaluation reserve£178 £175 Total tax payers equity-£2,598-£4,282-£4,02500 As with other NDPBs, our Annual Report and Accounts includes a Going-Concern statement of support from our sponsor department. 12 Restricted

13 2f. Discretionary Expenditure: austerity tracker Key points The reduction in consultancy and contingent staff has saved over £2.3m compared with the same period last year. Our new travel and subsistence policy, which includes a ban on first class travel, has saved almost £0.13m compared to the same period last year. Although expenditure on taxis has substantially reduced, it still remains high, and the SMT is further reviewing the Commissions policy on the use of taxis Spend by category £sYTD Variance%RAG 2010/112011/12 Consultancy £374,719£30,884 £343,835 92% G Contingent Labour £4,557,075£2,541,711 £2,015, % G Overseas Expenses £0£504 -£504 -0% R Planes, Trains & Autos £281,617£197,780 £83, % G Hotels £54,976£54,070 £ % G Subsistence £17,428£5,503 £11, % G Mileage Claims £6,552£4,587 £1, % G Taxis £40,614£7,653 1 £32, % G Office Overheads £116,725 £61,122 £55, % G Printing & Publications £90,240 £78,506 £11, % G Training & Recruitment £344,934£160,853£184,081214% G Conferences £166,617 £102,365 £64, % G Hospitality £1,646 £524 £1, % G Catering Services £15,884 £11,280 £4, % G Total £6,068,734£3,257,342£2,811,685186% G 13 Restricted 1. Note – excludes taxi costs associated with reasonable adjustments

14 3a. Workforce (current position) Workforce and turnover CategoryWorkforce plan at end March 2012 (Subject to new OD ) Year to Date Actual as at 1 st April 2011 as at 31 st Oct 2011 Variance Employees / staff on EHRC payroll Interim Total FTE Total with vacancies Annualised Staff Turnover 2010/112011/ %7.0% 1 FY Budget staff and interims: £27,586 Spend by Area Year to DateFull Year ForecastActualVarianceBudgetForecast £000s Staff PayContingent Labour Staff PayContingent Labour Staff PayContingent Labour Staff PayContingent Labour Staff PayContingent Labour Legal£1,745,4020£1,750,8480-£5,446£0£2,971,1410£3,022,716 0 Regulation£2,500,441£445,819£2,398,772£394,245£101,669£51,574£4,235,635£473,052£3,982,334 £463,965 Intelligence and Engagement£2,454,685£491,899£2,348,530£468,700£106,155£23,199£4,210,945£570,745£4,009,712£684,502 Corporate Management£2,278,506£1,767,053£2,293,099£1,678,766-£14,593£88,287£4,204,472£2,022,300£4,041,812£2,755,982 Commissioners Office£730,8020£734,5480-£3,746£0£1,268,747£0£1,216,987£0 Scotland£734,8620£717,7760£17,086£0£1,244,388£0£1,209,234£0 Wales£676,3580£646,2640£30,094£0£1,143,702£0£1,092,235 Statutory Committees£27,9100£35,6610-£7,751£0£24,000£0£71,461£0 Transition 3 £00 0 £5,122,698£94,945£4,110,000£0 Total£11,148,966£2,704,771£10,925,498£2,541,711£223,468£163,060£24,425,728£3,161,042£22,756,491£3,904,449 1 Excludes 41.2 FTEs / 45 leavers who left at the end of June 2011 under the VES scheme 2 Based on Cabinet Office and ONS guidelines for FTE calculations 3. Transition staff forecast includes VES/VER costs 14 Restricted

15 3b.Workforce – forward plan By Directorate Total workforce Baseline Total 1 April Total 1 Prior month Employees / staff on EHRC payroll 1 InterimsTotal Current month SMT approved vacancies to recruit 2 Total Including Vacancies Workforce plan projection Variance, pressure/ headroo m FTEs as at 1st April 11 as at 30 th Sept 11 as at 31st October 11 To end of Mar-12 Legal Subject to new OD Regulation Intelligence & Engagement Corporate Management Scotland Wales Commissioners Office Total Based on Cabinet office guidelines for FTE calculations 2 Excluding vacancies approved to be recruited to replace interims. 15 Restricted

16 3c.Workforce – Key financial points Staff pay, core and associated costs Year to date under spend is £0.22m as a number of vacancies are held pending recruitment. This trend is expected to result in a full year under spend of £1.7m against budget. Contingent labour The year to date under spend on interim and agency staff is £0.16m. This is mainly due to holidays not being recognised in the budget. The full year forecast shows an overspend of £0.74m against budget. The increase is due to a planning assumption that all interims would exit the Commission by September. The full year forecast expenditure is consistent with the plans for the reduction of interims submitted to the Home Office CCLB. Labour turnover Excluding the 41.2 FTE VES leavers in June 2011, annualised staff turnover is 7.0% for the last 12 months compared with 10.57% for the previous 12 months We expect annualised turnover to remain low pending the implementation of the new Organisational Design. Total workforce, excluding vacancies, has reduced by 62.5 FTEs in the period since April Reductions will continue over the next few months with planned exits of interims and staff on fixed term contracts. The increase in Corporate Management staff numbers since April includes the formal transfer in of Legal Grants staff and the establishment of the Reform team. 16 Restricted

17 4a.Operational performance: business plan key objectives status The Board is asked to note the overall RAG status of the business plan objectives. Objective Deliverable RAG Status Full Year £000 BudgetForecastVariance 1. To make the equality act easier to understandA 2,7922, To promote human rights and raise awarenessG 1,9101, To improve equality and human rights outcomes Administration Programme G 4,2085, ,9009, To build our evidence base for effective regulationG 4,3373, To ensure that the economic recovery is fair and equalA 1, To reform the CommissionA 7,5386,0981,440 Subtotal 31,69329,8971,796 Corporate Management 6,8437,941-1,098 Overheads 9,3649, Income (500)(466)(34) Total 47, , Budget reduction of £73k arising from breach of 2009/10 pay remit has not been included. 17 Restricted

18 Deliverable and milestonesPlan Start Date Plan End Date Forecast end date RAGHighlights, issues and risks 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 Sep 2011 Into 2012/13 R Delivery of the Codes of Practice will extend into 2012/13. GEO capacity to review products has been constrained by the commitment to laying the English SD regulations and input into the Red Tape Challenge (RTC) review. The laying of the Further and Higher Education Code of Practice been delayed to January 2012 pending the outcome of the RTC. 1.2 Publish revised practical, plain English guidance on the new public sector Equality Duties (S1.3) Sep 2011 Mar 2012 TBD A Working with the GEO to ensure approval of the PSED Code of Practice by the Secretary of State for Education at the cross government sign off stage early in the new year. This will centre on plain English revisions to the non-statutory guidance for schools. 4b. Objective: To make the Equality Act easier to understand 18 Restricted

19 Deliverable and milestonesPlan Start Date Plan End Date Forecast end date RAGHighlights, issues and risks 2. Support business, particularly SMEs, to create fairer, more inclusive work places 2.1 Hold a series of confidence building events with SMEs to help improve their compliance with key provisions in the Equality Act (E1.4) Apr 2011 Mar 2012 G Continued roll out and promotion of guidance on employment and the Equality Act 2010 to SMEs. Event planned on 2 nd December for SMEs to share experiences and views of working with the Equality Act. 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 G On track, on-line feedback survey launched and results of analysis will be available for reporting in January. 3.2 Contribute to the evaluation of the effectiveness and awareness of the Act with GEO (S1.7) Apr 2011 Dec 2011 TBD A Evaluation being scoped, proposed activities include baseline survey of pre-employment health questionnaires. 4c. Objective: To make the Equality Act easier to understand 19 Restricted

20 4d. Objective: To promote human rights and raise awareness Deliverable and milestonesPlan Start Date Plan End Date Forecast end date RAGHighlights, 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 TBD A Influencing and communication strategy work plan agreed and signed-off including the core messages which have been subject to consultation. The public influencing plan is being further translated into discrete project activities. 1.2 Submit report and oral evidence to Bill of Rights Commission on the EHRCs position (S8.1) Apr 2011 Dec 2011 Nov 2011 G The Commissions response to the Bill of Rights consultation submitted on 11 th November A further submission will be made on additional rights following the Board meeting on the 27 th November. Economic, Social and Cultural Rights Conference has now taken place. It was well attended with a diverse range of views being noted and exchanged. 20 Restricted

21 Deliverable and milestonesPlan Start Date Plan End Date Forecast end date RAGHighlights, issues and risks 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 TBD A The health check tool for public authorities is on hold subject to consideration of a similar tool being developed by the Scottish Human Rights Commission. Human Rights guidance is being developed for: Home care services Adoption Generic guide on the HRA for public bodies 21 4e. Objective: To promote human rights and raise awareness Restricted

22 4f. Objective: To promote human rights and raise awareness Deliverable and milestones Plan Start Date Plan End Date Forecast end date RAG Highlights, issues and risks 3. Contribute evidence to setting human rights standards at home and abroad 3.1 Submit authoritative reports to the UN on the UKs compliance with treaty obligations in-line with UN Committee examination timetable (S9.1) Apr 2011 Mar 2012 Mar 2012 G CAT: State Report has now been received, reviewed and analysed. Roundtable discussion event arrangements with first-tier stakeholders, progressing well. CERD: Arrangements are being made to follow- up the concluding observations with the Race Minister at DCLG CEDAW: External advisory meeting held on 5 th October, attended by range of experts and key stakeholders, chaired by Commissioner Kay Carberry. Women only services research specification drafted and awaiting approval. 3. Contribute evidence to setting human rights standards at home and abroad 3.2 Develop and implement action plan in relation to the Universal Periodic Review (UPR) (S9.3) Apr 2011 Sept 2011 TBD A Consultation and awareness raising complete (not including Scotland). Delivery plan for UPR approved by Regulatory Committee. 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 Achieved G Equal Rights, Equal Respect key stage three, equality and human rights teaching resources launched on the 28th September. Webinar (on-line seminar and training event) took place on 2 nd November 2011, to a very high standard, with high numbers of participants. 22 Restricted

23 4g. Objective: To improve equality and human rights outcomes Deliverable and milestonesPlan Start Date Plan End Date Forecast end date RAGHighlights, 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% success rate that clarify and define existing interpretation of equality and human rights legislation (S2.1) Apr 2011 Mar 2012 Mar 2012 G 2 new legal actions in October, bringing the total to 20. Outcome of the appeal in the Preddy and Hall v. Bull which was reserved on November 18 th. 2. Complete existing inquiries and investigations and follow up to previous inquiries to ensure improvements in relevant industries 2.1 Complete s16 Inquiry into disability related harassment and launch report of findings and recommendations (S3.1). Apr 2011 Sept 2011 Achieved G DHI report launched in September to significant positive media attention. 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) Mar 2012 Mar 2012 G On schedule to launch findings on the 23 rd November. Steps are being taken to maximise buy in to inquiry recommendations from Advisory Board members and key stakeholders. 23 Restricted

24 4h. Objective: To improve equality and human rights outcomes Deliverable and milestones Plan Start Date Plan End Date Forecast end date RAGHighlights, issues and risks 2. Complete existing inquiries and investigations and follow up to previous inquiries to ensure improvements in relevant industries 2.3 Complete s16 Inquiry into human trafficking in Scotland to increase awareness through promotion of findings (S19.1) Apr 2011 Mar 2012 Nov 2012 G Launch of final report on track for the 28 th November. 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 Mar 2012 GGGGGG Review completed. Forecast end dates timeframes reflect the scoping and delivery of the follow-up work. No significant risks to delivery have been identified As above Questionnaire issued to re-survey the industry to measure improvements in employment practice. 24 Restricted

25 4i. Objective: Build the evidence base for effective regulation Deliverable and milestones Plan Start Date Plan End Date Forecast end date RAGHighlights, 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 2011 Jun 2011 Achieved GAGGAG Research and Foresight teams now merged although staff exits in foresight and commitments to the Human Rights Review have inhibited progress. New ways of working being piloted and training programme established to advance matrix working. Jun 2011 Sept 2011 Nov 2011 Oct 2011 Dec Finalise and populate our measurement frameworks for equality, human rights and good relations (R4.1) Apr 2011 Mar 2012 Mar 2012 A Contracts being tendered for population of measurement frameworks, initial response from market has been poor and it may be necessary to re-tender. 1.3 Publish our first Human Rights Review looking at the evidence base for human rights (R5.1) Apr 2011 Dec 2011 Jan 2012 A Decision taken to delay publication of Human Rights Review to January 2012 to enable better cross departmental engagement. 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 2011 Sept 2011 Mar 2012 G All regulatory decisions are now going through the Regulatory Decisions Pathways (RDP). Compliance and Enforcement policy being revised to reflect the new RDP process. 25 Restricted

26 4j. Objective: Build the evidence base for effective regulation Deliverable and milestonesPlan Start Date Plan End Date Forecast end date RAGHighlights, issues and risks 1. Build and maintain a sophisticated centre of intelligence on equality on equality and human rights 2.2 Build evaluation and impact assessment into regulatory interventions and follow-up including the Disability Harassment Inquiry (DHI) and Home are for Older People Inquiry (R4.2) Apr 2011 On- going Mar 2012 G DHI recommendations on criminal justice, education and safety are being subjected to economic assessment and impact analysis. A practical template for economic appraisal is being developed and piloted. Research proposals for evaluating the comparative use of regulatory powers and added value developed and are in the process of being put to tender 2.3 Introduce use of cost benefit analysis into regulatory interventions including the DHI and Home Care for Older People Inquiry (R4.3) July 2011 On- going Mar 2012 G 26 Restricted

27 4k. Objective: Ensure that economic recovery is fair and equal Deliverable and milestones Plan Start Date Plan End Date Forecast end date RAGHighlights, 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 Dec 2011 A Planned publication date revised to the 19 th December to incorporate HMT feedback on draft report and ensure quality assurance of the final report and recommendations. On schedule but rated as amber due to challenging timescales. 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 (R2.1-4) Apr 2011 Mar /13 A The Commissions first systematic monitoring across the public sector in England will take place in February This will assess which public bodies have met their obligations to publish equality data by the end of January to demonstrate compliance. This work will continue in 2012/ 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). Mar 2011 Sept 2011 Dec 2011 G Joint CQC/EHRC equality and human rights guidance published on 10 th October and promoted to inspectors at four CQC regional days, with a very positive response. Negotiations on the review of the MoU have started and proposals include a joint review of the CQCs approach to risk- based regulation and taking forward lessons of the DHI, Home Care Inquiry and Winterbourne View 27 Restricted

28 4l. Objective: Ensure that economic recovery is fair and equal Deliverable and milestones Plan Start Date Plan End Date Forecast end date RAGHighlights, issues and risks 3. Establish partnerships with regulators and inspectorates to monitor and increase implementation of the equality duty 3.2 Exchange of letters with the UK Borders Agency agreeing partnership working arrangement (R3.2) 3.3 Equality and human rights integrated in Ofsted inspection framework and action on bullying and other priorities measured (R2.6) Sept 2011 Mar 2012 AGAG Proposals for collaborative working with UKBA and a draft letter to the Chief Inspector approved by the Regulatory Committee. Forecast end date now Q4 as potential collaboration extended to include enforcement action, information sharing, communications and training. Project on track to deliver objective. 28 Restricted

29 Deliverable and milestonesPlan Start Date Plan End Date Forecast End date RAGHighlights, issues and risks 4. 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 Mar 2012 A Decision taken to establish an external stakeholder group to oversee the business leaders summit may delay its delivery into the next financial year. 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 Mar 2012 A There is a risk that significant components of this work, particularly on research, will need to start in the next financial year. A GEO/EHRC policy and research workshop will be held to co-ordinate respective areas of work in relation to narrowing the pay gap. 4m. Objective: Ensure that economic recovery is fair and equal 29 Restricted

30 4n. Objective: To reform the Commission Deliverables and milestones Plan Start Date Plan End Date Forecast End Date RAGHighlights, 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 (F1.3) 1.3 Phase 3: Publish and consult draft Strategic Plan for (F1.3) Jun 2011 Sep 2011 Feb 2012 Sept 2011 Dec 2011 Mar 2012 Complete Dec 2011 Mar 2012 GAGA Phase 1 consultation completed and response published on 17 th October. Phase 2 launched on 11th October. Stakeholder event in partnership with Arts and Humanities Research Council and Human Rights Consortium at University of London held on 24 th October. Consultation with Joint Committee on Human Rights completed 2 nd November 5 stakeholder focus groups completed Commissioner seminars being organised for Nov/Dec 2. Deliver a new organisational design (OD) to support the strategic plan, meeting all requirements of good practice for consultation 2.1 Publish final Organisational Design and recruit to all posts (F3.1) 2.2 Complete VE/VR/CR processes (F3.5) Apr 2011 Mar 2012 AAAA Consultation on senior level OD commenced on the 13 th October, with implementation by 1st April Early consideration of organisational wide OD on appointment of SMT in Q4. Home Office and Cabinet Office have approved VE S /VER scheme in 2011/12 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 (F3.2) Dec 2011 Mar 2012 GAGA Awaiting Government response. Working with GEO to prepare for transitioning of Helpline to another provider. GEO announced project slippage into early 2012/13, possibly August Awaiting HO/GEO decision on continuation of some grants funding for Working with GEO to manage the cessation of the majority of the 31 st March 2012 (pending Ministerial decision) 30 Restricted

31 4o. Objective: To reform the Commission Deliverables and milestonesPlan Start Date Plan End Date Forecast End Date RAGHighlights, issues and risks 4. Develop target operating model for implementation with new OD 4.1PPM methodology & training implemented 4.2 Intelligence & information strategy agreed 4.3 New technology strategy agreed (F3.4) Jun 2011TBD R New Change Board established and governance structure agreed Operating model work will be established as part of change programme 5. Alternative sourcing plan agreed and ready for implementation 5.1 Forward plan on future sourcing of Corporate Services agreed for implementation (F5.1) Sept 2011 Completed G Phase 2 commenced with 3 sub-projects established: efficiency, requirements and pre-transition. Working with Home Office to establish governance and co-ordinated approach to shared service provision. 31 Restricted

32 5a. Major projects status ProjectMain achievements in the last month Main activities in the next monthIssues facing the project Equality Act Codes and Guidance End date Mar -12 Forecast Q1 2012/13 RAG: R Trend Amendments made to draft PSED Code of Practice following counsel review. Analysis of peer review responses to the Further and Higher Education and Schools users guide completed. Revisions of schools Code of Practice started to reflect consultation responses (excluding auxiliary aids) Amendments to PSED guidance to reflect GEO feedback. Decision on PSED sector specific kits England PSED Code of Practice submitted to GEO for review. Final general duty chapters sent to Scotland and Wales. Completion of post-consultation reviews of Schools Code of Practice Working draft of Schools Code of Practice to be sent to DfE and Scottish Government for comment. Consultation on the PSED Code of Practice scheduled for January following the announcement of the red tape challenge review outcome. The English PSED guidance is delayed by 6 weeks due to capacity issues at GEO for the review the drafts. Consultation date on the PSED Code of Practice now January 2012, mainly because of legal questions. EHRC resource constraints and the complexity of some of the issues raised mean that the post peer-review revisions to the School (user) guidance will commence after revisions to the School Codes of Practice. 32 Restricted

33 ProjectMain achievements in the last month Main activities in the next monthIssues facing the project Inquiry into Home Based Care End date: Mar - 12 Forecast: Nov - 11 RAG: G Trend: Report signed off on 2 nd November Commissioners and SMT comments incorporated. Follow-up PID completed, reviewed and approved. Inquiry launched on 23 rd November Follow up work started, including promotion of findings and recommendations. Low risk that some Advisory Group member or other external bodies will publically disagree with one or more of the reports recommendations. 5b. Major projects status 33 ProjectMain achievements in the last month Main activities in the next monthIssues facing the project Disability Harassment Inquiry End date: Sep - 11 Forecast :Sep - 11 RAG: N/A Trend N/A Report published and launched with significant positive coverage. Some indications that sentencing guidelines may be revised as a result. Continuation of follow up work including engagement on the recommendations and production of Manifesto for Change. None identified. Restricted

34 5c. Major projects status ProjectActivity and achievements in the last monthMain activities/ highlights in the next month Issues facing the project Human Trafficking Inquiry End date: Mar -12 Forecast : Nov-11 RAG: G Trend Considered written representations received from organisations the Inquiry makes adverse findings against and made appropriate changes made to the report. Received penultimate draft of the produced final report of the Inquiry. Briefed key stakeholders and key media contacts on the final report and forthcoming launch. Finalisation of programme for launch for 28 th November, with over 250 invitations sent. Launch of the final report of the Inquiry on the 28 th November. Secure positive media coverage of the launch. Receive messages of support from key stakeholders when launching the Inquiry. Arrange 1:1 meetings between Baroness Kennedy and key stakeholders around the launch. Minimal risks identified, however it is: (a) important to maintain the confidentiality of final report up to the launch thereby observing section 6 of the Equality Act 2006, (b) to keep good relations until then with key stakeholders through dialogue and sharing only relevant findings and recommendations. 34 Restricted ProjectActivity and achievements in the last monthMain activities/ highlights in the next month Issues facing the project Assessment of HM Treasury End date: Mar-12 Forecast : Dec-11 RAG: A Trend: Met with HM Treasury to discuss initial findings Draft report submitted to SMT. Contract signed with external provider for Value for money report. Submit report to Chair and make amendments Send report to Danny Alexander Update to the Board Finalise report and secure sign off prior to publication and launch Internal review and approval process amended and launch date revised to 19 th December to ensure strong quality assurance of findings and report.

35 5d. Major projects status ProjectActivity and achievements in the last month Main activities/ highlights in the next month Issues facing the project Human Rights Review End date: Dec - 11 Forecast : Jan - 12 RAG : A Trend: Re-drafting process underway and two new chapters completed in the new format. Passed to external quality assurance and MoJ Additional writing/editing capacity commissioned. Good practice case studies being researched and drafted Completion of chapters and process through internal approvals Finalisation of case studies Consultation on content across government Review of launch strategy. Decision taken to delay Human Rights Review publication to allow for better cross government engagement 35 Restricted

36 None Deliverable timelines have been refreshed for delivery Q4 and later. Schedule impactCost impact S001 £20,000 None F005 RefWorkstreamChange Codes of Practice and Guidance S001 Evaluation of Equality Act provision on pre-employment questionnaires, cost increase for risk. 5g. Change control Amendment of deliverables and timelines for F005 Infrastructure Programme Change control requests agreed by SMT for noting by Board. 36 Restricted

37 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 66TBC20N/A Success rate of completed strategic legal actions 87%70%N/A Total number of pre-enforcement actions allocated for consideration 157TBC62N/A Total number of S27 cases referred to the Conciliation Service R % of S27 cases concluded resulting in full and final settlement 86%70%67%G % of satisfactory monitoring reports received from grant recipients [of those received] 100% G 6a. Operational Key Performance Indicators Delivery of high impact interventions and grant funded programmes Commentary 2 new legal actions taken in October, compared with 3 in September bringing the total for the year to 20 (note this includes appeals being counted as new cases) Assessment of legal actions success rate is being compiled. 6 new pre-enforcement actions in October compared to 7 in September, bringing the total year to date to new mediation cases in October bringing the year to date total to mediation cases concluded in October, of these 2 reached full and final settlement, 1 had no settlement, 1 client stopped contacting the service and another later refused the service. In total 27 mediation cases have been concluded this year and of these 18 achieved full and final settlement. Note: These measures were set as part of the strategic plan and targets refreshed in April Restricted

38 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%94%G Number of calls to the specialist legal advice line 118>12019R Number of unique visitors to website 1m>0.8m1.1G Number of visitors to the website 1.4m>1.1m0.64G Number of complaints received 72<7532G Number of complaints acknowledged within 5 working days 68%90%96%G Number of complaints responded to within 20 working days 91%90%97%G 6b. Operational Key Performance Indicators Delivering excellence in advice, guidance and information Commentary: There were 3,682 calls to the helpline service in October, slightly up from 3604 in September. 93% of calls received were answered, compared with 91% in September and 94% year to date. In October the Helpline service handled s and letters, year to date 98% have been responded to within our service standard of 5 days. The specialist legal advice line received 4 calls in October, bringing the year to date total to 19. There were 74 calls to the service in the same period last year, the decline is due to the service not being marketed or resourced to the level it was previously. In October there were 4 new complaints, relating to advice provided by the Helpline. Total complaints to date this year is 33. All but 1 complaint have been responded to within the service standard of 20 days. There were over 119,000 visitors to the website in October, an increase of over 29,000 compared to September bringing the year to date total to 640,000, over 100,000 more than the same period last year. Our Hidden in Plain Sight report was the most viewed page in the month. 38 Restricted

39 10/11 outturn Full year target YTD actual RAGTrend Authoritative and responsive: high performing organisation Number of Freedom of Information (FoI) requests received 150<150108R % of FoI requests responded to within the statutory deadlines 86%100%98%G Number of Data Protection Act (DPA) requests 38<4018G % DPA requests responded to within the statutory deadlines 78%100%86%A Complaints upheld by the Information Commissioners Office 1.4%<2%0G % staff attendance at training events 82%90%71%R % of staff satisfied that the training objectives were met 97%80%91%G % staff turnover excluding VES (Financial Year) 9.7%10%4.04%G Staff days lost to illness per FTE 11<95.8A 6c. Operational Key Performance Indicators Authoritative, responsive and high performing organisation Commentary: 9 new FOI requests in October compared to 11 in September. Of the 13 due for response in the month all were acknowledged within statutory deadline. Total requests to date are high at new Data Protection requests in October; bringing the year to date total to 18, 86% have been responded to within the statutory deadline. 212 staff have attended 33 corporate training events this year attended. Training includes phase 3 of the performance management programme. The learning and development budget has been devolved to the directorates. Year to date since April staff turnover for the year is low at 4.04% excluding VES leavers. There was an increase in the days lost to illness in October with 5% of all working days lost compared to an average of 3.5% in the first 6 months of the year. 39 Restricted

40 7a. Strategic Risks Includes a summary of the detailed risk register as at the end of October, which was reviewed by the Audit and Risk Committee at its meeting on the 10 th November. Risk of the ineffective relationships and arrangements with the HO/GEO/Central Government adversely affecting the organisations ability to deliver its outcomes. Risk 1. Score: 7.91 Likelihood: 2.26 Assessed impact: 3.50 Risk that external factors impact adversely on the effective delivery of the Commissions mandate. Commission does not have the necessary powers and duties to undertake its role as an NHRI and EU equality body. Failure to reform the EHRC Failure to develop a Strategic Plan Over reliance on interim staff Risk 3. Score: 7.50 Likelihood: 2.50 Assessed impact: 3.00 Risk 4. Score: 6.93 Likelihood: 2.17 Assessed impact: 3.20 Risk 5. Score: 6.34 Likelihood: 2.00 Assessed impact: 3.17 Risk 6. Score: 6.05 Likelihood: 2.14 Assessed impact: 2.83 Risk 2. Score: 8.50 Likelihood: 3.00 Assessed impact: 2.83 Risk priorityDetail 40 Restricted Actions overdue

41 7b. 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 cumulatively to October is 21% hence potential understatement of actual financial commitments which undermines reporting & forecasting. Mitigation: All instances of retrospective POs reported to SMT. Withdrawal of financial delegation. 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 £1.8m over spend Medium March 2012 Voluntary Exit: Agreement awaited for voluntary exit scheme that is budgeted to reduce staff numbers by 75 in March Mitigation: Opportunity to utilise surplus funds to close out redundant property leases. Value Likelihood Proximity £0.8m under spend Medium March Restricted

42 Introduction This cover the period between July and September There were 975 articles during this period. 365 articles were favourable, 482 were neutral in tone and there were 128 unfavourable articles. Key drivers of coverage The Hidden in Plain Sight report points to systematic institutional failure to recognise and deal with the issue. Stephen Otter, Chief Constable of Devon and Cornwall police, is quoted in Disability Law Service, suggesting that police need to learn from the report.. A report from the Commission warns that current privacy laws are failing to stop breaches of data privacy and are not keeping pace with the growth in data collection. The Commissions proposed interventions in cases involving alleged religious discrimination generated significant coverage in LBGT and Christian media. Focus areas Equality/Discrimination issues were discussed in almost two- thirds of coverage (65%), a huge increase on last quarter where this focus area comprised 33% of all articles. 34% of Equality/Discrimination coverage was favourable, a key driver being a suggestion by the EHRC who say that judges have interpreted the law too narrowly in high-profile religious discrimination cases and that it is planning to intervene after four claims were taken to the European Court of Human Rights. Unfavourable Equality/Discrimination coverage (72 articles) continued to include criticisms from religious groups. The Commissions commitment to protect religious liberty was called into question by Christian, The publication notes that the Commissions reputation among Christians is already low following a number of anti-Christian interventions. Message delivery 48% of coverage this quarter delivered at least one message, compared to 59% of coverage last quarter. An authoritative and responsive organisation was delivered in 35% of coverage (337 articles), particularly within coverage about the Hidden in Plain Sight Report. Calls for the Commission to publish regular progress reports, as well as the positive reaction to the study into disability harassment, helped deliver this key message. Delivery of the message Provides value for money has so far been low, featuring in less than 1% of articles this quarter. This does, however, present an opportunity to the EHRC to further explain that work is done on an ever decreasing budget, countering potentially unfavourable comments about the organisations funding. Reach and frequency Coverage reached 71% of UK adults an average of 10.7 times this quarter, compared with 61% and 9.9 exposures during the last reporting period. SME Employers were the highest reached key audience, with 78% of this audience being exposed to EHRC coverage an average of 12.7 times during the quarter. Research demonstrates that this audience is twice as likely than the national average (UK adults) to read The Times and The Daily Telegraph, two publications that ran a large volume of coverage about the EHRC, 10 and 21 pieces respectively. 7c. Reputation Management (i): Summary Restricted 42

43 43 7c (ii): Reputation Management: Volume and favourability Figure 1a: volume and favourability of coverage over time, broken down by week. Figure 1b: percentage breakdown of coverage by favourability. EHRCs criticism of judges interpretation of the law in high – profile religious discrimination cases drove the high volume of favourable coverage during this week. Two key stories contributed to this peak in coverage volumes, with the EHRCs concerns over data privacy issues driving positive coverage. The call for the number of women on FTSE100 company boards to be made equal with men was also a prominent story. Figure 1c: volume and favourability of parliamentary mentions. Please note: awaiting on July and August Figures.

44 44 7c (iii): Reputation Management: Focus areas Figure 4: volume and favourability of coverage, broken down by focus areas. A report published by the EHRC says that women continue to be passed over for top jobs, and that at the current rate of improvement it will take 70 years for the number of men and women on FTSE100 boards to be equal. This story was syndicated across numerous publications, including regional and national titles. The Independent suggests that the report is especially pertinent because the deadline imposed by Lord Davies to demonstrate methods companies will use to attract more women to sit on their boards is approaching. The article notes that it is important that the issue is tackled through an increase in flexibility in the work place as well as pay audits to ensure equal pay for men and women. Please note: an article can include more than one focus area. Calls have been made for the EHRC to be abolished from the think tank Civitas, which accuses the Commission of promoting a false and petty complaints culture. The Daily Mail says this is a fresh blow to the quango which has suffered a series of financial scandals and high- profile resignations.

45 45 7c (iv): Reputation Management: Messages Message delivery: As a guide, a message delivered in 0%- 5% of items is weak, 6%-20% is fair, 21%-40% is good and anything over 41% is excellent delivery. Figure 7a: number of deliveries of each message. This is an indication of the overall quantity of message delivery. Figure 7b: percentage of fully analysed coverage to feature each message. This is an indication of the overall quality of message delivery.

46 46 7c (v): Reputation Management: Reputation drivers Figure 8: volume of articles to feature each reputation driver. Thought leadership coverage was driven largely by reports published by the EHRC and comments that judges are too narrow with their interpretation of the laws in high-profile discrimination cases. The EHRCs involvement with the residents of Dale Farm – the countrys largest traveller site – was a key discussion point during the quarter and helped drive deliveries of social engagement. Trevor Phillips took part in talks with councillors, local residents and travellers in an attempt to find a solution which would avoid the eviction of travellers from the Dale Farm site. Please note: an article can include more than one reputation driver.

47 47 7c (vi): Reputation Management: EHRC visitor traffic Figure 15a: number of web visitors. Please note: figures provided by EHRC Figure 15b: total reach of EHRCs direct marketing strategy. Please note: figures provided by EHRC

48 48 7c (vii): Reputation Management: Social media data Figure 16a: volume of top social media sites to mention EHRC Figure 16b: total volume of EHRC social media coverage, broken down by week A large number of online commentators mirrored the news in mainstream media of calls for the EHRC to be abolished from the think-tank Civitas. 28 tweets post a link to a BBC Online article that states the EHRC contributes very little to meaningful equality. The Hidden in Plain Sight report gains a large amount of momentum on social media platforms, with many blogs and tweets linking to the EHRC web page for the inquiry into disability-related harassment.

49 Key Control Totals (RAGS) 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 8. Report legend Financial control totals for the EHRC are: Resource:£47.4m Of which Administration: £37.5m Capital:£1.5m 49 Restricted


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