SRA Enabling Programme SRA Board Meeting – Public Session Carey Street, London 26 th February 2009

Discussion items SRA Enabling Programme - Blueprint Strategic imperatives Strategic capabilities –Organisation and people –Channels and customers –Processes Capability roadmap Assurance Checkpoints and the approval process

Strategic Imperatives Drivers for change There are three key pressures for change: New legislative provisions – Introduction of the provisions within the Legal Services Act 2007, introduction of the Legal Services Board and the EU Services Directive will make challenging demands upon the SRA Better regulation – All stakeholder expectation is becoming more demanding with a need to become risk based, proportionate and able to deal with access to more services through self service and web based channels Requirement for efficiencies and increased effectiveness – Meeting these challenges will not necessarily be met by a proportionate increase in resources Our present position is untenable - systems, processes, ways of working and organisation structure are unable to meet these challenges.

Strategic Capabilities Organisation and people Although the purpose of the SRA is not expected to substantially change in the next three years the way that we deliver the regulatory service will. We must be: Customer orientated, delivered through process excellence Knowledge based Risk based and proportionate Agile, flexible and streamlined We expect additional workload across the organisation to be managed without a corresponding increase in resources. This will require the organisation to make significant efficiencies. This in turn will demand a change in skills and capability: Move from manual, routine to more complex and technical work Introduction of smaller hybrid teams, both up-skilled and cross-skilled Inference and interpretation skills (knowledge based) Understanding and evaluating risk (risk based)

Strategic Capabilities Customers, channels and services New customer structures (and associated individuals) Entity Based Regulation Alternative Business Structures New online channel: Online applications, renewals and updates….. Self service Reduction in use of existing channels: Reduce paper applications, claims and queries Reduce volume of queries and requests for information by improved self- help and publication of information Improved customer service: Smoother, faster process flow (fewer hand-offs) with transparent progress and decision rationale Single view of the customer having all information available to help contact centre staff

Strategic Capabilities Process Requirement to Standards Request to Inform Application to DecisionMonitor to EnforceClaim to Pay The provision of information and documentation to any stakeholder This includes the monitoring of legislation, review of policy and rules, policy development, consultation and communication of changes to policy The administration of requests to become a regulated individual or organisation. Includes requests to change registered details, approve waivers, record Continuous Professional Development etc. Proactive monitoring and risk assessment. Responding to complaints. The full investigation lifecycle of inspection, prosecution, enforcement action and intervention including the set- up of Statutory Trust Funds The administration and approval of requests for compensation from the Compensation Fund or restitution of funds from the Statutory Trust Fund Back office Invoice to CashRecord to Report Hire to Retire Procure to Pay

Capability roadmap Delivered incrementally and built logically based on our understanding of the business need and benefits Qtr 1Qtr 2Qtr 3Qtr 4Qtr 1Qtr 2Qtr 3Qtr Online and accessible Management Information Dependent on quality of existing data in legacy systems Single view of all regulated customers Dependent on accurate data collection and clarity of data categories and relationships Online registration, updates and payments Dependent on trustworthy security and effective definition of the services to meet the needs of the Profession Online self-service Dependent on the effective development of services and marketing the use of the web to all stakeholders Secure fund management Dependent on a robust solution Single source of documentation Dependent on accurate, agreed, and adhered to data classification, retention and deletion strategies Automated risk assessment and designation Dependent on ability to automate the identification of risk levels from numerous indicators and disparate factors Automation of case management Dependent on definition and agreement of the rules based workflows Predictive Business Intelligence Dependent on the capability developed to store derived knowledge and automate analysis

Programme Assurance Checkpoint process To ensure improved governance (oversight by TLS and SRA) with increased confidence in achieving a successful set of outcomes. To provide “go” – “no-go” decision points for the main investments within the programme associated with the major work-streams. The proposed assurance checkpoint process is designed to provide the main stakeholders with reassurance that:- The large investment is delivering value for money There is a transparent progress checking process The programme and work-streams are on track The benefits are being achieved and delivered The SRA are fully engaged in the programme and that they own the deliverables PA Consulting have proposed the Checkpoint process. They based it on the OGC gateway review approach. The content and format of the checkpoints will be independently assured.

Programme Assurance Control points

Programme next steps SRA Board Review Blueprint IT Exec Approve Business Case and Blueprint Management Board Approve Business Case Council Approve Business Case Activities FebruaryMarchApril 26 th February 12 th March 25 th March 29 th April

Questions