SRA Enabling Programme

SRA Board Meeting – Public Session Carey Street, London 26

th

February 2009

Discussion items

SRA Enabling Programme - Blueprint

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Strategic imperatives

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Strategic capabilities

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Organisation and people

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Channels and customers

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Processes

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Capability roadmap

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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

these challenges will not necessarily be met by a proportionate increase in resources – Meeting 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

Request to Inform

The provision of information and documentation to any stakeholder

Application to Decision

The administration of requests to become a regulated individual or organisation. Includes requests to change registered details, approve waivers, record Continuous Professional Development etc.

Monitor to Enforce

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

Claim to Pay

The administration and approval of requests for compensation from the Compensation Fund or restitution of funds from the Statutory Trust Fund

Requirement to Standards

This includes the monitoring of legislation, review of policy and rules, policy development, consultation and communication of changes to policy

Invoice to Cash

Back office

Procure to Pay Record to Report Hire to Retire

Capability roadmap

Online and accessible Management Information Dependent on quality of existing data in legacy systems Qtr 1 Online registration, updates and payments Dependent on trustworthy security and effective definition of the services to meet the needs of the Profession Qtr 2

2009

Qtr 3 Online self-service Dependent on the effective development of services and marketing the use of the web to all stakeholders Qtr 4 Single view of all regulated customers Dependent on accurate data collection and clarity of data categories and relationships Secure fund management Dependent on a robust solution 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 Qtr 1

2010

Qtr 2 Qtr 3 Single source of documentation Dependent on accurate, agreed, and adhered to data classification, retention and deletion strategies Qtr 4 Automated risk assessment and designation Dependent on ability to automate the identification of risk levels from numerous indicators and disparate factors Delivered incrementally and built logically based on our understanding of the business need and benefits

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

Checkpoint Indicators

Strategic requirements Business impacts Financial impacts Benefits management Implementation plans [The content of each of these indicators has still to be specified in more detail]

Programme Review point A

On-going strategic assessment

Programme Review point B

Business justification High-level, qualitative summary Quantitative assessment

Project Review point C

Delivery strategy

Project Review point D

Detailed design readiness for implementation Detailed assessment with accompanying evidence / quantitative models Carried over and reconciled with previous Review point.

Programme next steps

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

Questions