SRA Enabling Programme

SRA Board Meeting – Public Session

Carey Street, London26th 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 ImperativesDrivers 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 CapabilitiesOrganisation 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 Decision Monitor to Enforce Claim 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 Cash Record to Report Hire to RetireProcure to Pay

Capability roadmap

Delivered incrementally and built logically based on our understanding of the business need and benefits

Qtr 1 Qtr 2 Qtr 3 Qtr 4 Qtr 1 Qtr 2 Qtr 3 Qtr 4

2009 2010

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 paymentsDependent on trustworthy security

and effective definition of the services to meet the needs of the Profession

Online self-serviceDependent 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 Review point B

Business justification Delivery strategy Detailed design readiness for implementation

Strategic requirements

Business impacts

Financial impacts

Benefits management

Implementation plans

High-level, qualitative summaryQuantitative assessment

Detailed assessment with accompanying evidence / quantitative modelsCarried over and reconciled with previous Review point.

Programme Review point A On-going strategic

assessment

Project Review point C

Project Review point D

Checkpoint

Indicators

[The content of each of these indicators has still to be specified in more detail]

Programme next steps

SRA Board Review Blueprint

IT Exec Approve Business Case and Blueprint

Management Board Approve Business Case

Council Approve Business Case

Activities February March April

26th February

12th March

25th March

29th April

Questions