equality and human rights commission – board resource and performance report to end of may 2011
TRANSCRIPT
Equality and Human Rights Commission – Board
Resource and performance report to end of May 2011
ContentsOverview1. a) Overview of the current financial position
b) Overview of current performance Part I: Resources2. EHRC financial position
a) EHRC financial summaryb) Total Resource spend by directoratec) Capital spend (quarterly)d) Statement of financial positione) Discretionary spend: austerity tracker
3. Workforcea) Workforce current positionb) Workforce forward plans
Part II: Performance4. Operational performance: Delivery status by business plan objective
a-f) Deliverables and Milestone statusg) Major projects highlights and budget statush) Change control log
5. Key Performance Indicators Part III: Risk6. Key strategic risksAnnex7. Report legend
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1a. Overview of the current financial position
The Board is invited to note the following points:• Both the resource (£47.4m) and capital (£1.5m) forecasts for the year are consistent with the
budget.• Net expenditure to date is £6.5m, 13.7% of total resource budget. • The budget recognises that 45 staff will exit under the current voluntary redundancy scheme
by the end of June. The budget and forecast also includes £4.9m for a future exit scheme towards the end of the financial year.
• The high percentage of purchase orders raised after receipt of invoices (32%) potentially exposes the Commission to the risk of irregular expenditure and the understatement of contractual obligations which undermine the integrity of our management accounts and forecasts.
• The measures we put in place effective from the 28th of May 2010 have delivered savings of around 64% in our spend on travel, office supplies and conferences compared with the same period last year. We have also seen a reduction of 52% in consultancy and interim costs.
• the key risks outlined for 2011/12 are identified on slide 24.
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1b. Overview of current performance
The Board is invited to note the following achievements, the Commission has:• Entered into agreements with Thames Valley Police and Leicestershire Constabulary, regarding
stop and search powers.• Published ‘Human Rights at Home: guidance for social housing providers’ practical advice on how
the Human Rights Act relates to housing issues.• Launched our on-line digest of human rights guidance for public authorities or organisations
carrying out public functions, to positive feedback.• Made significant improvement in our management of and response to FOIs, with all responded to
on time following implementation of new procedures following notification of monitoring from the Information Commissioner.
The Board is invited to note the main risks to delivery are as follows:• The amber status of some of the major projects. For example due to delays in receiving evidence,
draft findings of the s31 assessment of HM Treasury are now forecast for September, one month later than planned
• The slow initiation of the four programmes, with programme boards established only for the Reform and Regulatory Reform programmes.
• Staff resource constraint identified as a key risk to delivery. • Improvement is still needed in the management and response to requests under the Data
Protection Act. Of the 6 requests due for response since 1st April 2011, only 4 have been responded to within the statutory deadlines.
2a. EHRC financial summaryKey points• Resource forecast remains at £47.4m• Capital forecast remains at £1.5m
Control Total
Current Status
Last Month
Resource G N/A Administration G N/A Capital G N/A Annually Managed Expenditure G N/A Estimate: Net Resource Requirement G N/A Estimate Cash Requirement G N/A
Forecast Spending (Full Year)
£ Budget ForecastChange on last
monthVariance
Resource
Of which Administration £38,000,000 £38,000,000 N/A N/A
Of which Programme £9,900,000 £9,900,000 N/A N/A
Income -£500,000 -£500,000 N/A N/A
Total Resource £47,400,000 £47,400,000 N/A N/A
Capital £1,500,000 £1,500,000 N/A N/A
Annually Managed Expenditure TBC TBC N/A N/A 5
2b. Total resource spend by group directorate
6* VES costs, which are phased towards year end
£m
Year to Date Full Year
Budget Actual Variance Budget ForecastMoveme
nt VarianceIncome: -£61,000 -£500,000 -£500,000 N/A N/AIncome sub total -£61,000 -£500,000 -£500,000 N/A N/A
Administration Expenditure: Administration Expenditure:Legal £376,000 £2,994,000 £2,994,000 N/A N/ARegulation £890,000 £7,084,000 £7,084,000 N/A N/AIntelligence and Engagement £601,000 £3,440,000 £3,440,000 N/A N/A
Corporate Management £2,020,000 £15,022,000 £15,022,000 N/A N/ACommissioners Office £216,000 £1,364,000 £1,364,000 N/A N/AScotland £248,000 £1,567,000 £1,567,000 N/A N/AWales £203,000 £1,259,000 £1,259,000 N/A N/AStatutory Committees £24,000 £335,000 £335,000 N/A N/AVoluntary Exit Scheme - £4,936,000 £4,936,000 N/A N/A
sub total £4,579,000 £38,000,000 £38,000,000 N/A N/AProgramme Expenditure: Programme Expenditure:
Grants £1,372,000 £6,217,000 £6,217,000 N/A N/A
Helpline £373,000 £2,214,000 £2,214,000 N/A N/A
Legal casework and mediation £268,000 £1,469,000 £1,469,000 N/A N/Asub total £2,012,000 £9,900,000 £9,900,000 N/A N/A
Total Resource £6,531,000 £47,400,000 £47,400,000 N/A N/A
2c. Capital spend (will be reported quarterly)
Key points• The Arndale refurbishment is on track to be completed by September in-line
with the plan.
• Payment of the first tranche of £500,000 will be made in July and the second tranche of £800,000 will be paid in August.
Spend by key project
Year to Date Full Year
Budget Actual Variance Budget Forecast Movement VarianceArndale Refurbishment
£23,000 £32,000 £9,000 £1,334,000 £1,334,000 N/A N/A IT Infrastructure
£0 £0 N/A £81,000 £81,000 N/A N/A CRM stakeholder
£0 £0 N/A £85,000 £85,000 N/A N/ATotal
£23,000 £32,000 £9,000 £1,500,000 £1,500.000 N/A N/A
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2d. Statement of financial position (quarterly to Home Office)
Key points
• This statement will be produced quarterly
£m June Sept
Dec Mar
Non-current assets
Current assets
Other
Receivables
Cash and cash equivalents
Total Assets
Current liabilities
Provisions
Trade and other payables
Current liabilities
Non current liabilities
Provisions
Trade and other payables
Non-current liabilities
Assets less liabilities
Taxpayers equity
General fund
Revaluation reserve
Government grant reserve
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2e. Discretionary Expenditure: austerity tracker
Spend by category £
May 2010/11
May2011/1
2
Variance % RAG
Rail fares £108,760 £38,896 £68,864 -66% G
Air fares £16,651 £3,205 £13,446 -81% G
Taxis £1,095 £632 £463 -42% G
Hotels £9,253 £12,922 £3,669 +40%
R
Subsistence £6,791 £280 £6,511 -95% G
Mileage claims £2,160 £478 £1,682 -78% G
Office supplies £40,061 £13,187 £26,874 -67% G
Conferences £4,808 £630 £4,178 -86% G
Consultancy and contingent labour
£1,547,629
£735,300
£812,329 -52% G
Total £1,737,207
£803,531
£933,676 -54% G
Key points • Following the introduction of a new travel policy there have been substantial savings in train and air fares of over 80% compared with the same period last year. Hotel expenditure increase reflects increase in overnight stays by staff.• The reduction in consultancy and contingent staff has saved over £0.8m
Overall reduction of almost £1m or 54% compared with 2010/11
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3a. Workforce (current position)
Key points• For illustrative
purposes
Workforce and turnover
Category Workforce plan for end March 2012
Year to Date
Actual April 2011
Actual May 2011
Variance Pressure/ (Headroom)
Permanent (P)
225 385.26 345.86 120.86
Interim and seconded (I)
15 34.62 33.6 18.6
Total 240 419.88 379.48 139.48
Turnover May (10-11 v 11-12)
2010-11 2011-12
1.95% 1.84%
Workforce Costs £
Spend by AreaYear to Date Full Year
Budget Actual Variance Budget Actual Variance P I P I P I P I P I P I
Legal Regulation Intelligence and EngagementCorporate ManagementCommissioners OfficeScotland
Wales
TotalFigures exclude grant funded posts
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3b.Workforce – forward plansFor illustrative purposes
By Directorate
Total workforce FTE – 2011/12
March 31st 2010Baseline
Maternity and seconded out as at end of May
Interims as at end of May
Approved vacancies to recruit as at end of May 2011
Actual FTE as at end of May
Total FTE as at end of May
Workforce plan projection to end of March 2012
Variance, pressure (headroom)
Legal
Regulation Intelligence and Engagement
Corporate Management
Scotland
Wales
Commissioners Office
Total11
4. Operational performance:business plan key objectives status
For illustrative purposes.
Objective
Deliverable RAG
Status
Full Year FTEs Issues/Risks
Budget Forecast Variance1. To make the equality act easier to understand
2. To promote human rights and raise awareness
3. To improve equality and human rights outcomes
4. To build our evidence base for effective regulation
5. To ensure that the economic recovery is fair and equal
6. To reform the Commission
7. Intelligence and Engagement
8. Corporate Services
Total12
4a. Objective: To make the Equality Act easier to understandFor illustrative purposes will be completed from next period.
Key points• Bullet point A• Bullet point B
Deliverable and milestones YTDBudget (£)
YTD Expenditure
(£)
Start Date
End Date
Forecast RAGStatus
1
2
3
4
5
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4b. Objective: To promote human rights and raise awareness
Key points• Bullet point A• Bullet point B
Deliverable and milestones YTDBudget (£)
YTD Expenditure
(£)
Start Date
End Date
Forecast RAGStatus
1
2
3
4
5
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4c. Objective: To improve equality and human rights outcomes for individualsKey points
• Bullet point A• Bullet point B
Deliverable and milestones YTDBudget (£)
YTD Expenditure
(£)
Start Date
End Date
Forecast RAGStatus
1
2
3
4
5
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4d. Objective: To build the evidence base for effective regulation
Key points• Bullet point A• Bullet point B
Deliverable and milestones YTDBudget (£)
YTD Expenditure
(£)
Start Date
End Date
Forecast RAGStatus
1
2
3
4
5
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4e. Objective: To ensure that the economic recovery is fair
and equalKey points• Bullet point A• Bullet point B
Deliverable and milestones YTDBudget (£)
YTD Expenditure
(£)
Start Date
End Date
Forecast RAGStatus
1
2
3
4
5
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4f. Objective: To reform the Commission
Deliverable and milestones YTDBudget (£)
YTD Expenditure
(£)
Start Date
End Date
Forecast RAGStatus
1 Deliver the 2012-15 strategic plan.
2 Deliver a new organisational design to support the strategic plan.
3 Deliver response to HMG announcement and implement any changes to powers duties and accountabilities that follow
4 Develop target operating model for implementation of the new organisational demand
5 Alternative sourcing plan agreed and ready for implementation
Key points• Bullet point A• Bullet point B
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4g. Major projects status (1)Ref Project RAG Activity and
achievements in the last month
Main activities/highlights in the next month
Issues facing the project
S001 Equality Act Codes and Guidance
Due:March–12Forecast:March– 12
• Response submitted to review on PSED in England.
• Draft PSED Code issued to GEO and OGDs for comment.
• Further and Higher Education (FHE) Code approved internally and submitted to DoE for cross-Government review.
• External authors appointed for guidance for Users of Schools and FHE.
• Laying of FHE Code before Parliament.
• Consultation on all PSED Codes running concurrently beginning 26th June.
• Publication of Tranche 1 guidance summary guidance.
• Meeting with GEO to agree next steps on June 6th.
• Publication of amended employment guidance.
YTD underspend against budget of £93,000
Further revision to timescales for drafting of PSED CoP with additional 2 week slippage on consultation due to revisions of key chapters GEO.
Completion of T1 guidance summary guidance delayed by 1 month to take account of feedback from Disability Committee.
S003 Disability Harassment Inquiry
Due:Sept – 11Forecast:Sept – 11
• 2nd draft of report• Receipt of Counsels opinion
on adverse findings.
• Approval of second draft of report.
• Letters drafted to public authorities on adverse findings.
Adverse findings letter to be sent w/c 20th June.
Options paper prepared for SMT.
Full year forecast spend is £14,000 above budget.
S004 Inquiry into Home Based Care
Due:Nov– 11Forecast:Nov – 11
• 100% of responses to call for evidence coded
• First area study completed - 22 interviews conducted
• 30% of focus group evidence coded
• 70% coding of focus group evidence
• Area studies• Targeted call for evidence
launched.• Sign-off procedure agreed
with SRO and Commissioner’s sub group set up to review findings.
One month delay on data gathering survey and analysis forecast completion July 2011. No spend to date.
Only 2 of 4 targeted authorities have agreed to participate in area studies.
Tight timescales for review and sign–off of final report.
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A
A
A
Ref Project RAG Activity and achievements in the last month
Main activities in the next month
Issues facing the project
S019 Human Trafficking Inquiry
Due:Sept – 11Forecast:Sept – 11
• Seminar on causes held in May, 50 targeted participants attended.
• Evidence gathering phase completed
• Draft findings and recommendations outline completed.
• Awarded report writer contract
• Agree Terms of Reference and timelines with report writer.
• Distribute draft report for Inquiry Commissioner and internal approval.
• Draft report to Regulatory Committee 23rd June.
YTD underspend against budget of £93,000
No significant risks or issues.
R001 Assessment of HM Treasury
Due:Nov – 11Forecast:Dec – 11
• Research tender out• Request for Counsel advice
submitted• Meeting held with HMT.• Oral evidence sessions
arranged• Draft assessment reviewed
with SRO and Director Public Policy
• Receipt of Counsel advice.• Briefings for oral evidence
sessions and sessions.• Continued assessment of
HMT information.
Delays to overall project timeline by 1-2 months due to delays to receipt of evidence
Project board agreed that oral evidence sessions will be replaced by a seminar.
Revised timeline prepared.
R005 Human Rights Review
Due:Dec – 11Forecast:Dec – 11
• Draft Part II chapters sent to Internal Review Board for discussion on 2nd June.
• RFQ launched for external academic advisor closing date 10th June
• Briefs completed for legal counsel
• Feedback on Part II from Sponsor Commissioners by 10th June
• External Review Board scheduled for 20th June
• Commissioning of external advisor
• Completion of Legal counsel work
• Drafting of HRR overview paper for July Board
Social analyst resource post 31st June
Proposed delay of second review Board to after summer recess limits time for report finalisation.
YTD £59,000 underspend relating to delay in procurement of external advice and stakeholder engagement
4g. Major projects status (2)
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G
A
G
.
Schedule impact Cost impact
S001
S001
.
.
S001.
.
S1.x
Ref Project Change
4h. Change control (For illustrative purposes)
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Financially controlled Commentary• For illustrative purposes will be completed next
period
Disciplined delivery
Measure Full year target
YTD actual
RAG Trend
% Admin variance
+/- 5% 0% N/A
% Programme variance
+/- 5% 0% N/A
% Capital variance
+/- 5% 0% N/A
Measure Full year target
YTD acrual
RAG Trend
% Success in legal actions
70% 100% G
% Success in Mediation cases
70% 100% G
% strategic and legal grant programme on track
100% 100% G
Commentary• There were 3 new legal actions in May. Total of 6
actions this year. Half related to disability, 1 to equal pay, 1 to race and 1 to gender.
• Notable successes include the Commission’s intervention in a test case around whether the state has a duty to carry out proper investigation when it may have contravened the right to life. The Supreme Court agreed with the Commission's argument that the ECHR should apply even where the death in question happened before the UK's Human Rights Act 1998 came into force in 2000.
5. Operational Key Performance Indicators
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Service delivery
Measure Full year target
YTD actual
RAG Trend
% Calls to helpline answered
85% 93% G
Unique Visitors to website
1.1m 0.18m G
% Complaints within 20 day service standard
90% 100% G
High performing organisationMeasure Full
year target
YTD actual
RAG Trend
FTE <250 380.8 A
days lost to illness
<10 1.6 G
% FOI on time
90% 100% G
DPA requests on time
90% 67% R
Commentary• Calls to the helpline have fallen with only 7,214
calls presented since April, representing a 20% decrease on 2010/11. 93% of calls were answered, consistent with performance last year. 42% of calls were employment related and 30% relate to goods services and facilities. Disability discrimination remains the largest issue at 42% of all calls.
• Visitors to the website have risen with over 175,000 visitors in April and May, an increase of over 40,000 compared with last year. The most popular area remains the advice and guidance section in relation to the Equality Act.
Commentary• Establishment of 421.4 comprising 380.8 FTE
permanent staff and 40.6 interim . • Turnover was 1.84% constant for the last 3
months• Days lost to illness was 1.6 per FTE compared or
2.5% of all working time • Substantial increase in the number of Freedom
of Information requests in the first two months of this year with 32 received (compared with 25 for the same period last year). Of these all were acknowledged within 2 days and all have been responded to within 20 days.
5. Operational Key Performance Indicators
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6. Strategic RisksIncludes high impact, high probability risks from the strategic risk register - for illustrative purposes actual content to be agreed
Risk of the ineffective relationships and arrangements with the GEO/Central Government adversely affecting the organisation’s ability to deliver its outcomes.
Risk priority 1. Score: 9Likelihood: 3Assessed impact: 3
Risk that the Commission is unable to achieve its outcomes due to a lack of a consistent and permanent leadership team.
Risk that external factors impact adversely on the effective delivery of the Commission’s mandate
A failure to develop and implement a shared vision in relation to the 2015 vision. A subset of this is the risk that the Reform Programme does not deliver the required outcomes for the Commission. Over reliance on interim staff to deliver the improvements needed in operational processes and control due to a lack of core competencies internally. In particular finance, procurement, people team, regulation, communications and corporate support
Failure to produce the critical deliverables in the business plan (2010/2011 and 2011/2012)
Failure to implement and maintain required improvements to the governance and internal control, leading to failure to adequately address issues of significant weakness.
Risk priority =2 Score: 9Likelihood: 3Assessed impact: 2.9
Risk priority 3. Score: 8.8Likelihood: 2.6Assessed impact: 3.4
Risk priority 4. Score: 8.7Likelihood: 2.9Assessed impact: 3
Risk priority 5. Score: 8.6Likelihood: 2.6Assessed impact: 3.3
Risk priority 6. Score: 7.8Likelihood: 2.5Assessed impact: 3.1
Risk priority =2. Score: 9 Likelihood: 3.1Assessed impact: 2.9
1
0
0
0
0
0
3
Risk priority Detail Actions Overdue
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Key Control Totals
Forecast within budget G
Needs careful monitoring A
Needs urgent attention R
Key Spend Year to Date and ForecastForecast 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 Programme: £9.9m Capital: £1.5m
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