Equality and Human Rights Commission

Authors: Philip Mabe Linda Wike Document classification: Restricted

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Contents

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1a. Overview of the current financial position

The Board are asked to note the following:

• Year to date net resource expenditure of £32.1m is 68% of the full year budget.• The Home Office has advised as part of the supplementary estimates process, the

Commissions budget is to be reduced by £0.9m from a baseline of £47.3m.• Full year resource forecast has been reduced this month by £1.0m. The forecast

includes significant expenditure during February and March i.e. Voluntary exit costs of £4.7m and £1.0m associated with the buy-out of the Fox Court lease.

• Full year resource forecast at January is £45.5m, showing an underspend of £1.8m (£0.8m in December) against the full year original budget of £47.3m.

• Delivering the full year forecast will be a challenge given optimistic forecasts of expenditure in February and March which is not supported by procurement pipeline.

• Contingent labour costs within the forecast reflect the reduction in the number of interims, which is an over achievement on the plan presented to the Home Office Consultancy and Contingent Labour Board (CCLB).

• Capital expenditure to date is £1.4m, mostly incurred on the refurbishment of Arndale House, Manchester.

• Our austerity tracker in section 2f shows that the measures we put in place effective from the 28th May 2010. These have delivered savings of around £3.0m or 40% in our discretionary expenditure compared with the same period last year. This includes over £0.3m of savings on consultancy.

• The key risks for are identified in section 6.

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1b. Overview of current performance The Board is asked to note that in January the Commission has :

• Launched the second phase of the 2011/12 voluntary exit scheme to all staff with planned exit date of 31st March 2012.

• Completed and published our updated non statutory public sector equality duty guidance• Obtained Resources Committee approval for the business case for outsourcing corporate support services to Home

Office. • Published a range of equality information on the 31st January, to demonstrate how we are meeting the public sector

equality duty. • Completed first stage of senior level restructuring completed with appointment of new transitional leadership team.• Successfully intervened in the Employment Appeal Tribunal case of Bivonas LLP v Bennett which upheld that the law

firm Bivonas discriminated against lawyer Mr Bennett on the basis of sexual orientation.• Funded the first age discrimination cases heard at the Supreme Court. The cases of Homer v Chief Constable of West

Yorkshire and Seldon v Clarkson, Wright and Jakes where the Commission argued that an exception to the law banning age discrimination in employment needs clarification.

• Successfully defended Court of Appeal case of Preddy and Hall v Bull, Mr and Mrs Bull appealed against the County Court’s decision that Mr Preddy and Mr Hall were discriminated against on grounds of sexual orientation when they were refused a double room because of the owners’ Christian beliefs.

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1c. Forward look

The Board is asked to note the work scheduled for completion during the final quarter, in which the Commission will:

• Publish the report of the Section 31 assessment of the Treasury in the spending review. • Launch the Human Rights Review.• Publish our 2012-15 strategic plan.• Finalise the Further and Higher Education Voluntary Codes of Practice. • Report on findings on evaluation of how well public bodies have responded to the new

requirements of the public sector equality duty in relation to publication of equality information.

• Complete review of the extent to which relevant bodies have implemented the recommendations from our inquiry into recruitment and employment practices in the meat and poultry processing industry.

• Conclude legal grants programme, following Home Office/GEO confirmation of no transitional arrangements.

• Employment tribunal case of Musa v Royal Mail explores treatment by a union of a person making discrimination complaints against union members, decision is expected in February.

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1d. Issues and Corrective Action

The Board is asked to consider the following issues identified in relation to delivery performance :• The delays on deliverables within the work programme and resultant forecast underspend of

£1.8m (40% of budget).• Delivery constraints in the final quarter as a result of sickness absence.• At the Quarterly review with the Home Office it was agreed that a RAG status would be

provided for all activities and the proposed definitions are provided in Section 8.• The GEO have indicated that Ministers are unwilling to lay the remaining six Codes of Practice

and have expressed reservations about their value and potential regulatory burden. We have written to GEO setting out our position which is to publish as voluntary codes of practice.

• The loss of the Hook v British Airways and Stott v Thomas Cook case where the Court of Appeal dismissed their claims for compensation. The ruling means that disabled people cannot seek compensation for injury to feelings if they are discriminated against during a flight (potential claim of ~£60k of costs against Commission)

• The Commission has yet to receive confirmation of its 2012/13 funding and faces significant uncertainty regarding funding reductions in future years. This has impacted on our ability to develop our strategic and business plans.

• 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 is due to be notified of the appointed helpline provider on February 17 th, we will commence discussions on transition arrangements immediately and also start the statutory consultation under TUPE. The proposed date of transfer is June 1st.

• 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, which will be presented to the next Board.

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2a. EHRC financial summaryKey points• Overall resource forecast is £45.5m

(Budget £47.3m) and capital forecast is £1.4m (Budget £1.5m)

Control Total

 Current Status  

Last Month

       Resource G   G     Administration G   G       Capital G   G       Annually Managed Expenditure G   G       Estimate: Net Resource Requirement G   G       Estimate Cash Requirement G   G

Forecast Spending. (Full Year)

  £000s Budget Forecast Change on last month Variance   Reason for variance

Resource        

Administration £37,927 £36,551 -£664 £1,376

Programme£9,900 £9,517 -£383 £383

Income -£500 -£577 £26 £77

Total Resource £47,327 £45,491 -£1,021 £1,836

Capital £1,500 £1,369 -£93 £131

Annually Managed Expenditure £0 -£1,116 £0 £1,116

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2b. Total resource spend by group directorate

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£000s

Year to Date Full Year  

Budget Actual Variance Budget Forecast Movement1 VarianceAdministration Expenditure: Administration Expenditure:

Legal £2,175 £3,087 -£912 £3,379 £3,873 £59 -£494Regulation £4,641 £4,408 £233 £7,084 £5,674 -£658 £1,410Intelligence and Engagement £2,751 £2,734 £17 £3,439 £3,276 -£122 £163Corporate Management £11,141 £10,989 £152 £13,636 £13,846 -£840 -£210Commissioners Office £1,080 £1,076 £4 £1,364 £1,263 -£22 £101Scotland £1,196 £1,193 £3 £1,567 £1,483 £10 £84Wales £952 £948 £4 £1,258 £1,193 -£3 £65Statutory Committees £185 £171 £14 £335 £280 £0 £55Transition £14 £97 -£83 £5,865 £5,663 £912 £202Income -£480 -£457 -£23 -£500 -£532 £26 £32

Administration sub total £24,589 £24,246 £343 £37,427 £36,019 -£638 £1,408

Programme Expenditure:       Programme Expenditure: Grants £5,152 £4,908 £244 £6,217 £6,097 -£119 £120Helpline £1,761 £1,758 £3 £2,184 £2,118 £13 £66Legal casework and mediation £2,201 £1,143 £1,058 £1,499 £1,302 -£277 £197Income £0 £0 £0 £0 -£45 - £45

Programme sub total £8,180 £7,809 £371 £9,900 £9,472 -£383 £428Total Resource £32,769 £32,055 £714 £47,327 £45,491 -£1,021 £1,836

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2c. Resource spend by group directorate – Key points

Resource summary• YTD administration expenditure at £24.2m is 67% of the full year forecast and the full year

forecast under spend is £1.4m.• Full year programme forecast expenditure shows £0.4m underspend due to early termination

of grants and reduction in legal costs.Resource - administration • YTD workstream expenditure is £1.8m approximately 40% of the full year budget of £4.5m;

with only £0.2m incurred in the last period. • The full year workstream forecast is £2.5m underspend of £2m. The forecast assumes £0.7m

expenditure in the last 2 months of the year. • The biggest underspends in the full year forecast are:

• Implementation of the Equality Act (£0.4m), associated with the Government sign off of the Codes

• Setting Human Rights standards in Britain (£0.2m), associated with the development of the Human Rights Health check tool

• Narrowing pay gaps (£0.1m), as a result of the Government decision to follow voluntary pay reporting

• Development of Regulation Directorate and regulatory tools and standards (£0.35m), as a result of re-scoping and revised timelines for the change programme

• Other underspends are spread consistently across other workstreamsResource – programme• Full year programme forecast expenditure shows £0.4m underspend due to early

termination of grants and reduction in legal costs.

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2d. Capital spend

Key points• Year to date capital expenditure is £1.4m, which has been incurred on the

refurbishment of Arndale House. • The full year forecast capital expenditure of £1.4m now reflects the

cancellation of video conference upgrade and the reclassification of some expenditure to resource.

Spend by key project

£000s

Year to Date Full Year

Budget Actual Variance Budget ForecastMovement in  Period Variance

Arndale Refurbishment £1,338 £1,368 -£30 £1,334 £1,369 £31 -£35

IT Infrastructure £0 £0 £0 £81 £0 -£7 £81

CRM stakeholder £0 £0 £0 £85 £0 -£39 £85

Furniture £0 £1 -£1 £0 £1 £0 -£1

Total £1,338 £1,368 -£30 £1,500 £1,369 -£93 £131

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2e. Statement of financial position£000s Mar-11 Jun-11 Sep-11 Dec-11 Mar-12

Non-current assets:          

Property, plant and equipment £2,012 £2,147 £2,807 £2,399 Intangible assets £223 £197 £172 £80 Total non-current assets £2,235 £2,344 £2,979 £2,479 £0Current assets:         

Receivables  £1,572 £1,383 £1,160 £1,112 

Cash  £5,487 £4,006 £1,890 £1,598 

Total current assets £7,059 £5,389 £3,050 £2,710 £0Total assets £9,294 £7,733 £6,029 £5,189 £0Current liabilities:         Provisions £1,619 £1,652 £1,812 £1,945 Payables  £6,732 £6,949 £5,214 £5,518 

Total current liabilities £8,351 £8,601 £7,026 £7,463 £0

Non-current assets less net current liabilities £943 -£868 -£997 -£2,274 £0

Non-current liabilities:         

Payables  £247 £277 £308 £272 Pension Liabilities £1,444 £1,444 £1,423 £1,328 Provisions for liabilities and charges £1,850 £1,693 £1,297 £1,338 Total non-current liabilities £3,541 £3,414 £3,028 £2,938 £0Assets less liabilities -£2,598 -£4,282 -£4,025 -£5,212 £0

Taxpayers' equity:         

General fund -£2,776 -£4,460 -£4,200 -£5387 Revaluation reserve £178 £178 £175 £175 Total tax payers equity -£2,598 -£4,282 -£4,025 -£5,212 £0As with other NDPBs, our Annual Report and Accounts includes a Going-Concern statement of support from our sponsor department.

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2f. Discretionary Expenditure: austerity tracker Key points

•The reduction in consultancy and contingent staff has saved over £2.6m 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.•People team are preparing a new policy to cover taxi expenses for Commissioner’s and staff

Spend by category £s YTD YTD Variance % RAG 2010/11 2011/12      

Consultancy £377,125 £33,284 £343,841 91% G Contingent Labour £5,521,824 £3,283,640 £2,238,184 41% G Overseas Expenses £0 £696 £0 N/A R Planes, Trains & Autos £390,261 £295,042 £95,219 24% G Hotels £76,805 £75,543 £1,262 2% G Subsistence £7,239 £8,033 -£794 -11% R Mileage Claims £8,494 £7,331 £1,163 14% G Taxis £45,931 £13,572 £32,359 70% G Office Overheads £149,230 £85,694 £63,536 43% G Printing & Publications £117,263 £110,941 £6,322 5% G Training & Recruitment £394,619 £251,815 £142,804 36% G Conferences £248,518 £203,766 £44,752 18% G Hospitality £242 £769 -£527 -218% R Catering Services £24,646 £17,186 £7,460 30% G

Total £7,362,197 £4,387,312 £2,975,581 40% G

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3a. Workforce (current position)

Workforce and turnover

Category Workforce plan at end March 2012(Subject to new OD )

Year to Date Actual

as at 1st April 2011

as at 31st Jan 2012

Variance

Employees / staff on EHRC payroll2 415.8 355.7 -60.1Interim 34.6 17.4 -17.2

Total FTE   450.4 373.1 -77.3Total with vacancies 461.9 386.1 -75.8

Annualised Staff Turnover 1

2010/11 2011/12

8.12% 6.4%1

  FY Budget staff and interims: £27,513

Spend by Area Year to Date Full YearForecast  Actual Variance Budget Forecast 

£000s  Staff Pay Contingent Labour

Staff Pay Contingent Labour

Staff Pay Contingent Labour

Staff Pay Contingent Labour

Staff Pay Contingent Labour

Legal £2,535,628 0 £2,540,413 0 -£4,785 £0 £2,971,141 0 £3,044,374 0Regulation £3,278,714 £443,482 £3,251,939 £440,128 £26,775 £3,354 £4,235,635 £473,052 £3,852,335 £477,676Intelligence and Engagement £3,321,304 £588,400 £3,317,464 £583,780 £3,840 £4,620 £4,210,945 £570,745 £3,973,716 £672,403Corporate Management £3,280,276 £2,289,069 £3,265,414 £2,240,801 £14,862 £48,268 £4,204,472 £2,022,300 £3,963,855£2,655,588Commissioners Office £1,025,606 0 £1,024,181 0 £1,425 £0 £1,268,747 £0 £1,196,744 £0Scotland £1,012,050 0 £1,009,232 0 £2,818 £0 £1,244,388 £0 £1,205,816 £0Wales £914,830 0 £911,036 0 £3,794 £0 £1,143,702 £0 £1,089,424 £0Statutory Committees £53,751 0 £52,783 0 £968 £0 £24,000 £0 £70,293 £0Transition3 £0 0 £0 18931 £0 -£18,931 £5,049,698 £94,945 £4,926,650 £18,931Total £15,422,159 £3,320,951 £15,372,462 £3,283,640 £49,697 £37,311 £24,352,728£3,161,042 £23,323,207£3,824,598

1 Excludes 41.2 FTEs / 45 leavers who left at the end of June 2011 under the VES scheme2 Based on Cabinet Office and ONS guidelines for FTE calculations 3. Transition staff forecast includes VES/VER costs4. Include pay remit budget reduction of £73k

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3b.Workforce – forward plan

By Directorate

Total workforce 

Baseline Total 1

April

Total1

Prior month

Employees / staff on

EHRC payroll1

Interims Total 

Current month 

SMT approved vacancies to recruit2

Total Including Vacancies

Workforce plan projection

Variance, pressure/ headroom

FTEsas at 1st April 11

as at 31st Dec 11 as at 31st January 12 To end of 

Mar-12

Legal 69.6 58.1 57.9 0.4 58.3 58.3

Subject to new

OD

Subject to new

OD

Regulation 62.9 51.9 49.1 3 52.1 52.1

Intelligence & Engagement

135 120.5 118.6 2 120.6 2 122.6

Corporate Management

74.9 86.3 71.1 12 83.1 9 92.1

Scotland 31.1 26.1 26.1 26.1 26.1

Wales 27.3 23 23.0 23 23

Commissioners Office 15 10 9.9 9.9 2 11.9

Total 415.8 375.9 355.7 17.4 373.1 13 386.1

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3c.Workforce – Key financial pointsStaff pay, core and associated costs • Changes in timescales for the organisational redesign have resulted in delays to planned

recruitment to vacancies. The forecast full year under spend against budget will be ~£1.03m.

Contingent labour• The full year forecast shows an overspend of £0.66m against budget, which was based on the

planning assumption that all interims would exit the Commission by September. The full year forecast expenditure shows a faster reduction in interims than was submitted in the plans to the Home Office CCLB.

Labour turnover• Annualised staff turnover is 6.4% for the last 12 months compared with 8.12% for the previous 12

months (excluding the 41.2 FTE VES leavers in June 2011).• We expect annualised turnover to remain lower following the launch of the Phase 2 VE scheme

and pending the implementation of the new Organisational Design.• Total workforce, excluding vacancies, has reduced by 77.3 FTEs (which includes 17.2 FTE interim

leavers and 41.2 FTE voluntary exit scheme leavers) in the period since April 2011. Reductions will continue over the next few months with the current VES scheme and planned exits of interims and staff on fixed term contracts at the end of March 2012.

• 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.

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4a.Operational performance: business plan key objectives status

The Board is asked to note the overall RAG status of the business plan objectives.

ObjectiveDeliverable

RAG Status

Full Year £000

Budget Forecast Variance

1. To make the equality act easier to understand G 2,792 2,216 576

2. To promote human rights and raise awareness G 1,910 1,545 365

3. To improve equality and human rights outcomesAdministrationProgramme

G4,208

4,893 -685

9,900 9,517 383

4. To build our evidence base for effective regulation G 4,337 3,780 557

5. To ensure that the economic recovery is fair and equal A 1,008 741 267

6. To reform the Commission A 7,538 7,115 423

Subtotal 31,693 29,807 1,886

Corporate Management 6,770 7,142 -372

Overheads 9,364 9,128 236

Income -500 -577 77

Total 47,327 45,500 1,827

1 Includes budget reduction of £73k arising from breach of 2009/10 pay remit.

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4b. Objective: To make the Equality Act easier to understand

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4c. Objective: To make the Equality Act easier to understand

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4d. Objective: To promote human rights and raise awarenessDeliverable and milestones Plan 

Start Date

Plan End Date

Forecast end date

RAG 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

Jun2011

Achieved G • Tender process completed with the appointment of a contractor to undertake focus groups with the public sector. The time line for activities being scoped and agreed.

• Final interviews underway to appoint a contractor to complete focus groups with the general public

1.2 Submit report and oral evidence to Bill of Rights Commission on the EHRC’s position (S8.1)

Apr 2011

Dec2011

AchievedNov 2011

G • Commission’s response to the Bill of Rights consultation submitted.

• Timetable for further submissions to Bill of Rights Commission being developed for agreement by the Board.

• Economic, Social and Cultural Rights Conference has now taken place.

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4e. Objective: To promote human rights and raise awareness

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4f. Objective: To promote human rights and raise awareness

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4g. Objective: To improve equality and human rights outcomes Deliverable and milestones Plan 

Start Date

Plan End Date

Forecast end date

RAG 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% success rate that clarify and define existing interpretation of equality and human rights legislation (S2.1)

Apr2011

Mar 2012

Mar 2012

A • 1 new legal action in January 2012, bringing the total year to date to 25. Success rate of 61%.

• The hearing in the case of Musa went ahead as scheduled and a decision is awaited – currently expected towards end of February.

2. Complete existing inquiries and investigations and follow up to previous inquiries to ensure improvements in relevant industries2.1 Complete s16 Inquiry into disability

related harassment and launch report of findings and recommendations (S3.1).

Apr 2011

Sept 2011

July 2012

G •DHI report launched•The development of the ‘Manifesto for Change’ structure and project plan have been agreed as has the stakeholder engagement strategy. For delivery in

2012/13•The Disabled Peoples User Led Organisation (DPULO) consultation event successfully delivered significant participation from sector leads and CEOs.

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 • Home Care Inquiry continues to receive positive media coverage following its successful launch in November.

• Support is being provided to Baroness Greengross's amendment to the Health & Social Care Bill to extend the HRA definition of public function to cover private and voluntary home care providers.

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4h. Objective: To improve equality and human rights outcomes

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4i. Objective: Build the evidence base for effective regulation

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4j. Objective: Build the evidence base for effective regulation

Deliverable and milestones Plan Start Date

Plan End Date

Forecast end date

RAG Highlights, issues and risks

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

Achieved Dec 2011

G • Regulatory Decisions Pathways now established and progressing well.

• Further refinement of the process will be the subject of a discussion paper due for consideration by SMT in mid February.

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 • The recommendations and outcome measures of the Disability Harassment and Home Care inquiries have been reviewed. A practical template for economic appraisal will be developed.

• Research commissioned on evaluating the comparative use of regulatory powers including the evaluation of the effectiveness of enforcement powers began in January.

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

Mar2012

G

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4k. Objective: Ensure that economic recovery is fair and equal

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4k. Objective: Ensure that economic recovery is fair and equal

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4l. Objective: Ensure that economic recovery is fair and equalDeliverable and milestones Plan 

Start Date

Plan End Date

Forecast end date

RAG Highlights, 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)

Sept2011

Mar 2012

Mar 2012

Mar 2012

A

G

• We are still awaiting the Chief Inspector of UK Border Agency (ICIUKBA) response to our letter setting out proposals for collaboration which was expected in early January. a follow-up letter has been sent on 2nd February.

• Ofsted has confirmed no regression on equality with removal of the limiting judgement and that evidence on all protected strands will form part of inspection judgements.

• A thematic review of bullying in schools will be published March as part of Government’s Measuring Progress on bullying initiative.

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4m. Objective: Ensure that economic recovery is fair and equal

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4n. Objective: To reform the Commission

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4o. Objective: To reform the Commission

Deliverables and milestones Plan Start Date

Plan End Date

Forecast End Date

RAG Highlights, issues and risks

4. Develop target operating model for implementation with new OD

4.1 PPM methodology & training implemented4.2 Intelligence & information strategy agreed4.3 New technology strategy agreed (F3.4)

Jun 2011 TBD R • New Change Board established and governance structure agreed.

• New transitional leadership team now involved in developing our new operating model and ways of working

5. Alternative sourcing plan agreed and ready for implementation

5.1 Forward plan on future sourcing of Corporate Services agreed for implementation (F5.1)

Phase 2Sept 2011

Phase 1Dec 2011

Achieved

Phase 2 Mar 2012

G

A

• Outline business case presented to SMT and Resources Committee and approval received for outsourcing corporate support services through shared services with the Home Office in principal.

• Working with Home Office to pilot use of Estates management shared services in Q1 2012/13.

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5a. Major projects status

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Project Main achievements in the last month

Main activities in the next month Issues facing the project

Inquiry into Home Based Care

End date: Mar - 12

Completed Nov 11

RAG: G

Trend:

• Content for guidance on commissioning agreed with author and project reference group.

• Final advisory group meeting took place on 16 January 2012

• Parliamentary briefing and work supporting Baroness Greengross's amendment to the Health & Social Care Bill.

• Selection of author for older people’s guidance

• Further HCI follow up planning

• First draft of guidance on Commissioning

• First draft of guidance for older people.

5b. Major projects status

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5b. Major projects status

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Project Main achievements in the last month

Main activities in the next month Issues facing the project

Disability Harassment Inquiry

End date: Sep - 11

MANIFESTO FOR CHANGEForecast : July 12

RAG: N/A

Trend N/A

• Delivered Disabled Peoples User Led Organisations (DPULO) conference held with 91 attendees including 10 sector leads and 22 DPO chief executives

• Sector engagement strategy underway (85% completed).

• Follow up report – Manifesto for change report drafted

• Wales team have met with the Deputy Minister for Children & Social Services in relation to the Social Services Bill.

• Wales team have met with key representatives in the Welsh Government to discuss how mandatory possession orders in social housing could be extended from Anti Social Behaviour to cover disability related harassment.

• Follow-up plan for DPULO event – online consultation evaluation and production of toolkit.

• Strategy to engage Education and Local Government sectors in place.

• Commission legal opinion: a) Amendment to section 146, b) On providing greater protection for victims in court

• Developing the strategy for an Impact assessment of selected inquiry recommendations.

• Engagement with the Welsh Deputy Minister, officials and other interested organisations to influence the shape of the Social Services Bill in Wales White paper.

• A strategy is being put in place to increase response rate to lessons learned questionnaire before further evaluation.

• Review being undertaken to strengthen sector engagement where needed.

• Impact of localism and commissioning in particular in respect of agreements currently being reached with authorities.

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5c. Major projects status

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Project Activity and achievements in the last month

Main activities/ highlights in the next month

Issues facing the project

Assessment of HM Treasury

End date: Mar-12

Forecast : Mar-12

RAG A

Trend

• Further legal advice obtained from James Goudie QC in relation to HM Treasury comments on draft report. Report revised in light of these.

• Draft report with Lead Commissioner for sign off.

• Make amendments and send to HM Treasury

• Chair to brief chief secretary to the Treasury

• Comments back off HM Treasury

• Edit report and report circulated for sign off

• Launch

• Tight timeline for agreement and delivery of report

5d. Major projects status Project Activity and achievements in the

last monthMain activities/ highlights in the next month

Issues facing the project

Human Rights Review

End date: Dec - 11

Forecast : Mar - 12

RAG: A

Trend:

• Re-drafting process underway and two new chapters completed in the new format.

• Passed to external QA 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

• Publication now re-scheduled for early March

• Responses from MoJ etc incorporated into the latest drafts and near final copy is now in place

• Filming for launch package signed off

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Measure 10/11 outturn

Full year target

YTD actual

RAG Trend

Disciplined delivery: delivery of high-impact interventions and grant funded programmes

Total number of new strategic legal actions 66 70 25 R

Success rate of completed strategic legal actions 87% 70% 61% A

Total number of pre-enforcement actions allocated for consideration

157 160 71 R

Total number of S27 cases referred to the Conciliation Service 59 60 35 R

% of S27 cases concluded resulting in full and final settlement 86% 70% 72% G

% of satisfactory monitoring reports received from grant recipients [of those received]

100% 100% 100% G

6a. Operational Key Performance Indicators Delivery of high impact interventions and grant funded programmes

Note: These measures were set as part of the 2009-12 strategic plan and targets refreshed in April 2010.

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Measure 10/11 outturn

Full year target

YTD actual

RAG Trend

Delivering excellence in advice, guidance and information

% of letters and emails answered within 5 days service standard

95% 85% 98% G

% of all calls presented to the helpline service answered 84% 85% 93% G

Number of calls to the specialist legal advice line 118 >120 29 R

Number of unique visitors to website 1m >0.8m 0.98 G

Number of visitors to the website 1.4m >1.1m 1.3 G

Number of complaints received 72 <75 40 G

Number of complaints acknowledged within 5 working days 68% 90% 97% G

Number of complaints responded to within 20 working days 91% 90% 94% G

6b. Operational Key Performance Indicators Delivering excellence in advice, guidance and information

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10/11 outturn

Full year target

YTD actual

RAG Trend

Authoritative and responsive: high performing organisation

Number of Freedom of Information (FoI) requests received 150 <150 136 R

% of FoI requests responded to within the statutory deadlines 86% 100% 98% G

Number of Data Protection Act (DPA) requests 38 <40 30 G

% DPA requests responded to within the statutory deadlines 78% 100% 100% G

Complaints upheld by the Information Commissioners Office 1.4% <2% 1 G

% staff attendance at training events 82% 90% 76% A

% of staff satisfied that the training objectives were met 97% 80% 91% G

% staff turnover excluding VES 9.7% 10% 6.4% G

Staff days lost to illness per FTE 11 <9 10.51 G

6c. Operational Key Performance Indicators Authoritative, responsive and high performing organisation

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7a. Strategic Risks Includes a summary of the detailed risk register as at the end of 10th February, which will be reviewed at the next ARC meeting.

Lack of Strategic Plan & Business Plan• Inability to define objectives or allocate resources • Disruption arising from transition to and appointment of new Board

Risk 1. Rating 21Likelihood: MAssessed impact: VHBRAG: Black

Change Programme:• Lack of money / resource to deliver programme• Impact on morale & productivity of delay• Departure of staff • Difficulty of recruitment

Inability to deliver Operational objectives• Operational impact of risk 1• Non-compliance with Governance framework

Application of powers:• Response to Consultation• New Framework document undermines NHRI status• Relationship with wider Government

Uncertainty of funding • 2012/13 funding not agreed• Funding reductions in future years• Current year potential under spend

Risk 3. Rating 21Likelihood: MAssessed impact: VHBRAG: Black

Risk 4. Rating 21Likelihood: MAssessed impact: VHBRAG: Black

Risk 5 Rating 24Likelihood: HAssessed impact: VHBRAG: Black

Risk 2. Rating 21Likelihood: MAssessed impact: VHBRAG: Black

Risk Detail

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Trend

Mitigating Actions

1. Clarity of funding to be sought from GEO urgently2. Financial modelling for 2012/13 and beyond to be risk based and key assumptions agreed by SMT and Board3. Active engagement in HO Zero Based Review4. Continued strengthening of financial forecasting

1 Analysis of FD in submission to Board to ensure potential impacts minimised2. Networking with wider Government contacts . Attendance at inter-departmental meetings. 3. Involvement of Chair/Comns in influencing people

1. Business Plan deliverables for 2012/13 to be achievable in terms of resources available 2. Agreement with HO/GEO re effective delivery by HO of corporate services through shared services agenda3. Operating model developed as integral part of change

1. One off change expenditure ring fenced in 12/13 budget2. Communication strategy and plan for employees and other stakeholders3. programme governance, risk and issue management4. Planned recruitment, ongoing redeployment

1. Preparation of strategic plan/business plan for Board 2.Improvements to resource planning & financial monitoring 3. Close liaison with new Chair/GEO during process4. New Board to be engaged early in plans for 2013/14

7b. Financial and procurement risks

Value

LikelihoodProximity

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 December is 17% 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

Significantunder spendHighMarch 2012

Value

LikelihoodProximity

Significant under spendMediumMarch 2012

ValueLikelihoodProximity

£0.25m under- spendMediumMarch 2012

Voluntary Exit: Agreement awaited for voluntary exit scheme that is budgeted to reduce staff numbers by 75 in March 2012.Mitigation: Opportunity to utilise surplus funds to close out redundant property leases.

ValueLikelihoodProximity

£1.0m under-spendMediumMarch 2012

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Early termination of leases: Potential underspend if unable to terminate lease of vacant premises before 31 March 2012 Mitigation: Regular dialogue with DWP (landlord) to seek termination

ValueLikelihoodProximity

£1.0m under-spendMediumMarch 2012

Key Control Totals (RAGS)  

Forecast within budget G

   

Needs careful monitoring A

   

Needs urgent attention R

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: £47.33m Of which Administration: £37.93m Capital: £1.5m

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Objective RAGS  

Delivered on schedule and on budget G

 

Due date passed. Recovered this financial year. Risk of over/underspend

A

   

Significant delay. Will not be delivered this financial year. Significant over/underspend

R