Performance report Qtr3 2017/18 February 2018

Contents Slides Executive summary 2-3 Strategic KPIs and benefits 6-12 Key projects update 14-15 Operational KPIs 17-18 User feedback 20-22 Finance report Appendix

Executive summary Strong performance throughout the third quarter with most operational and strategic KPIs meeting expectations. Work on benefits throughout the HRA continues with baseline data being recorded. This work has informed the business planning process for 2018/19 and will be reflected in a new organisational balanced scorecard. HRA Approvals timelines continue to reflect improvement although some variability in the monthly KPIs demonstrates vulnerability in the service due to tight resourcing. Ethics service again continues to meet its mandatory targets. Some improvement to PR timelines, although these still remain slightly outside target. Again, targets particularly susceptible to staffing levels. Our ambition is to move from being a good organisation to a great organisation. The quality of research in the UK is high, we punch above our weight, but we can do better – we have not yet managed to capitalise on the advantages that we should have through our comprehensive national health services. HRA has made considerable progress but we still have a significant amount to do Public confidence is crucial, but so is funder/sponsor confidence, researcher confidence and clinical confidence – we want all of them to invest in the UK’s research enterprise, whether it is their bodies and time, their money, their careers, of their clinical reputations. Only if we have confidence will we be able to create the virtuous circle that we seek in which health research is a collaborative exercise in which participating in the research enterprise is part of the normal expectations of those involved in health services because they appreciate that the care they get today is built on yesterday’s research and their contributions to today’s research is their legacy to the future care for their families. Because the driver for this vision is to improve health – this is not to deny the important of the contribution that health research makes to the wealth of the UK nations, but this is secondary to the goal of health improvement and is a means to achieve it. So the model that underpins the vision is that research and care are complementary and not in opposition….. www.hra.nhs.uk | @HRA_Latest 

Executive summary Strategic KPIs Key achievements include full roll out of joined up validation pilot, continued improvements to approvals timelines and getting it right first time as well as strong staff survey results. Operational KPIs Mostly a strong performance throughout the HRA more than meeting expectations as in previous months Stretch targets removed in most cases to focus on core delivery during period of transformation. Improved KPIs developed for learning and development provision Projects Business case approval for HRA digital transformation achieved (Jan18) Notable progress being made on SIP and rationalisation of transformation programme governance arrangements Our ambition is to move from being a good organisation to a great organisation. The quality of research in the UK is high, we punch above our weight, but we can do better – we have not yet managed to capitalise on the advantages that we should have through our comprehensive national health services. HRA has made considerable progress but we still have a significant amount to do Public confidence is crucial, but so is funder/sponsor confidence, researcher confidence and clinical confidence – we want all of them to invest in the UK’s research enterprise, whether it is their bodies and time, their money, their careers, of their clinical reputations. Only if we have confidence will we be able to create the virtuous circle that we seek in which health research is a collaborative exercise in which participating in the research enterprise is part of the normal expectations of those involved in health services because they appreciate that the care they get today is built on yesterday’s research and their contributions to today’s research is their legacy to the future care for their families. Because the driver for this vision is to improve health – this is not to deny the important of the contribution that health research makes to the wealth of the UK nations, but this is secondary to the goal of health improvement and is a means to achieve it. So the model that underpins the vision is that research and care are complementary and not in opposition….. www.hra.nhs.uk | @HRA_Latest 

Strategic KPIs and Benefits

User experience – KPIs being recorded Theme Description Measure Update Service delivery Improve end to end timelines Full elapsed time for a valid application to receive HRA approval from receipt Evidence shows improvements have been made since introduction of HRA Approval. (see following slides) Guidance and advice Increase the number of applications which are ‘right first time’ Reduction in number of applications received with missing documentation Digital transformation business case approved. Data being collated – some improvement. (see following slides) Satisfaction Customer experience remains strong 75% or greater satisfaction score at 7 and above 75% users scored 7 and above out of 10 in Qtr3

User experience HRA Approval Timelines in Calendar days from REC final decision to HRA Approval by month of Approval HRA Approval timelines from final REC FO have seen significant decreases from November 2016 to March 2017 where most study types have seen a levelling off through to June 2017, with the exception of Non-REC studies timelines which have more recently seen a decrease from September 2017. This is the result of collaborative working between Assessor and REC teams on joint approvals and changes in ways of working around end stage approvals and issue of HRA Approval letter. The trend reversed in January due to the holiday season.

User experience Median Timelines from Submission to HRA Approval Median timelines from submission have remained relatively consistent, with the only major change in REC Commercial studies dropping an average of ~10days in the past 4 months. The trend reversed in January due to holiday period.

REC Validated Submissions User experience   Oct-17 Nov-17 Dec-17 Submissions REC Validated Submissions Missing HRA docs. Percent missing Data not captured- Oct-17 Data not captured- Nov-17 Data not captured- Dec-17 Non-commercial (REC) 173 181 65 36% 4 155 145 52 12 132 130 40 31% 13 Commercial (REC) 76 75 23 5 21 28% 2 56 50 18 Non Commercial (REC-PR) 109 98 32 33% 127 105 38 6 88 72 20 11 Commercial (REC-PR) 9 7 78% 10 56% 1 Non REC 36 25% 60 22 37% 41 44% Some improvement achieved in ‘getting it right first time’ although insufficient data to give certain trends. Significant effort has been made to communicate how to ‘get it right first time’ through social media. Changes have also been made to the checklists in IRAS. Further efforts are being made to ensure non-commercial sponsors support applicants in submitting valid applications.

HRA operating model Theme Description Measure Update Financial performance Reduction in the unit cost of processing each application 5% reduction in baseline (16/17) Proportionality review complete; RS business case approved; Pilot project to reduce costs of processing member expenses Forecasting Enhancing HRA forecasting tools to deliver a balanced I&E Forecasting to be within 4% range of forecast target Improved business intelligence reporting (oracle / SBS) Rationalisation of cost centres to increase business partnering value Forecast within target range Estates Improve facilities utilisation and cost effectiveness Achieve 8sqm/desk industry benchmark Work towards 8:10 desks / staff member Shared space at SKH improved desk utilisation by 20% Cost sharing arrangements with NHS BT in Newcastle saved £35k to health. 8.3sqm/desk; 8.8 WTE: 10 desks

Our people Theme Description Measure Update Development Our commitment to developing our people Our ability to respond to user needs 100% eligible people have had an appraisal >50% of our people have an opportunity to interact outside of HRA 94% at the end of December Wellbeing Sickness absence – vital to HRA success that we create and support a healthy working environment <1,500 lost days/annum (2.2%) 775 FTE (52% of target, 75% through the year) Engagement Strong engagement – resulting in a more productive organisation 80% from staff survey 78% (compared to benchmark 67%, py 78%) IT Providing the tools to enable our people to perform well 10% improvement on 2017 50% (compared to benchmark 59%, py 53%)

Leadership and transparency Theme Description Measure Update Strategic stakeholder engagement Increased participation on strategic decision making groups Our ability to respond to user needs HRA executives spend at least 20% of their time engaging with key external stakeholder groups More people aware of HRA Methodology agreed. Base line recorded from Feb18 Director of Policy appointed. Transparency Our ability to demonstrate publication of research findings and improve visibility of research tbd Digital transformation will support ability to share data. Metrics to be determined as part of 2018/19 business planning process

Key projects summary

PMO programme – major projects Code Programme/Project PM SRO Priority Report Received Start Date End Date Board Business Case Project Brief PID Benefits Plan Plan Resource Profile Prod Quality Reg Financial Variance RAG Status Milestones Risks Issues Overall X00601 Service Improvement Programme KG IC H Y Feb 17 31/03/19 SIP Board   D P037 SIP HRA Approval MC JM Started P039 SIP HRA Approval - Amendments Not Started P040 SIP HRA Approval - Integrated Process NE 21/08/17 P041 SIP HRA Approval - Proportionality AH 14/08/17 P042 SIP HRA Approval - Get it right first time SB P003 PIER AHo P034 SIP Corporate RA KW 12/09/17 P043 Resource Management CM 01/09/17 16/03/18 P035 SIP Analytics GCP N P036 SIP Customer Support P001 Website Redevelopment NF 01/04/16 01/10/17 SLT/WRB P002 Research Systems Infrastructure Migration CK 10/01/17 Complete RSB N/A X00024 Future Services Programme MH 28/03/17 01/04/20 ? P005 Rollout of Pharmacy and Radiation Technical Assurances CC Comment P010 EU Clinical Trials Regulation P017 Four Nations NHS/HSC Compatibility – England P022 General Data Protection Regulation BD TA P023 Social Care Research Regulation M P024 Joint HRA & HTA Public Dialogue P030 Assurance Mapping JMa ST P032 UK Wide Policy Framework

Programme highlights to Dec Website fully launched and new suite of KPIs measuring benefits being monitored Transformation programme: Joined up validation roll out in progress; revised initial assessment letter IRAS verification tool being developed; Proportionality review draft report; Workforce board draft terms of reference produced; Business case for research systems transformation submitted Approval timelines remain significantly improved on 2016 performance

Operational KPIs

Ethics service Service meeting KPIs is almost all areas. Ethics service is working with individual Ethics committees where issues have been identified with proportionate reviews to Address KPIs being slightly outside timelines. Other factors impacting speed of Improvement include vacancies, cover arrangements, member availability.

Learning and development New suite of KPIs developed for learning and development this year. Significant increase in person hours and number of people participating in HRA organised learning following promotion of plan for staff and also attendance at national days for Chairs and members. Collaborative events include those jointly delivered with MRC and NHS BT.

User feedback

Quarter 3 summary 71% of users scored 7 and above out of 10 in October 69% of users scored 7 and above out of 10 in November 85% of users scored 7 and above out of 10 in December Excellent feedback received for majority of services.

Overall satisfaction with HRA

Satisfaction by different HRA service (December 2017)

Finance report P10 provided as an attachment