Equality and Human Rights Commission – Board Resource and performance report to end of May 2011

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

13

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



YTD Expenditure

(£)

Start Date

End Date

Forecast RAGStatus

1

2

3

4

5

14

4c. Objective: To improve equality and human rights outcomes for individualsKey points

• Bullet point A• Bullet point B


YTD Expenditure

(£)

Start Date

End Date

Forecast RAGStatus

1

2

3

4

5

15

4d. Objective: To build the evidence base for effective regulation



YTD Expenditure

(£)

Start Date

End Date

Forecast RAGStatus

1

2

3

4

5

16

4e. Objective: To ensure that the economic recovery is fair

and equalKey points• Bullet point A• Bullet point B


YTD Expenditure

(£)

Start Date

End Date

Forecast RAGStatus

1

2

3

4

5

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4f. Objective: To reform the Commission


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


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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.

19

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)

20

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


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


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 =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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Documents

Equality and Human Rights Commission – Board Resource and performance report to end of May 2011