Performance report Qtr4 2018/19 Apr 2019

Contents Slides Executive summary 3 Strategic update: KPIs, benefits, and projects 4-16 Operational KPIs 18-28 Finance report Appendix - Incl in papers RAG Ratings On track, meeting milestones and KPIs Mostly meeting milestones and KPIs Issues being managed, some milestones / KPIs not met Significant issues, milestones / KPIs not met

Executive summary Overall Performance Strategic highlights Approvals: timelines consistently being met for all but non-rec studies 79% of applicants rate our overall service highly up 5% from Qtr3 Research Transparency Strategy Group set up Combined ways of working (CWOW) pilot well received. 40 applications. Mean approval of 42 days (79 days for non-CWOW CTIMPs) 4 Nations – Local Information Packs agreed and rolled out June 2019 Data-driven healthcare technologies - updated guidance on our website Phase 2 research IT systems business case approved Completed HRA Approval workforce changes Strategic challenges Complexities arising from interoperability and multi stakeholder engagement continue to impact on timelines for new IRAS development with associated resourcing implications Our ability to influence transparency agenda may be limited due to capacity / resourcing IT infrastructure replacement (future service programme) must be delivered by April 2020. HRA participates at FSP Board level to mitigate this risk. Target operating model delivery requirements balanced by Spending review economies create strategic resourcing challenges Championing research Easier to do research Proactive and strategic Technology Effective and adds value Finance Capacity

Strategic update KPIs, benefits and projects

Championing health and social care research Theme Description Measure Update Transparency Greater awareness of research registration, and in turn, increased rates of registration of clinical trials. Increase in awareness of the requirement to register clinical trials. Increase in registration rate for clinical trials. Baselines have been captured. Awareness of the requirement to register is 24% and the registration rate for clinical trials is 80%. Strategy Group set up. Public involvement Greater public involvement in research through increased applications for ethical review and increased participant numbers. Increase in applications reporting public involvement at ethical review. Increase in applications which have clearly involved patients, service users and the public in their development. Completion of public involvement series of blogs on the HRA website. Workshop with 'task & finish' group of REC members and public contributors for public involvement expectations project.

Championing health and social care research Science and Technology Select Committee published the HRA’s response to their report on research transparency, setting out our commitment to drive improvements Research Transparency Strategy Group set up Set of expectations for public involvement in research applications being developed New guidance for public co-applicants in research

Making it easier to conduct high quality research in the UK Theme Description Measure Update Streamlining processes for researchers Our ability to predict how long a particular type of application will take to process based on the quality of application and complexity of study. Percentage of studies approved within predicted timelines. Integrated Approval service will provide a more predictable timeline once fully implemented. Timelines are less variable and more consistent. HRA Approval report provides more analysis (appendix). The full elapsed time for a valid application to receive HRA approval from receipt date of original submission. Timelines within target range set. All Approvals timelines met for REC studies. Non REC studies – timelines remain outside 15 day target but significantly improved on 2017/18.

Making it easier to conduct high quality research in the UK

Making it easier to conduct high quality research in the UK Pharmacy Assurance – second phase of rollout announced, phase III oncology CTIMPs being accepted CWOW – pilot been running for 12 months, 40 applications received, mean approval of 42 days from submission to authorisation (79 days for non-CWOW CTIMPs) Four Nations - Local Information packs agreed – June 2019, brings UK wide consistency for researchers Guidance provided for health and social care researchers in the event of a no-deal Brexit IRAS guidance on ionising radiation exposures in research published

Making it easier to conduct high quality research in the UK Theme Description Measure Update Customer satisfaction Capturing customer feedback on a more regular basis for specific aspects of the service to establish their overall level of satisfaction. > 75% of applicants scoring the overall service at 7 or greater on a scale of 1-10. Percentage of applicants scoring overall service highly Qtr1 77% Qtr2 82% Qtr3 74% Qtr4 79% Advice and guidance Our ability to increase the number of application which are ‘right first time’. Reduction in the number of applications received by HRA with missing documentation. Significantly improved following introduction of verification tool in Spring 2018 – approximately 25% Qtr4 (down 5% from Qtr1).

Making it easier to conduct high quality research in the UK

Develop a pro-active, strategically focussed organisation Theme Description Measure Update Engagement Ensuring senior management are ambassadors for our engagement strategy and staff are encouraged to see engagement with external stakeholders as part of their work. HRA executives spending at least 20% of their time engaging with external stakeholder groups, managing relationships. >50% of our people have an opportunity to interact outside their direct HRA role with research community. 21% of executives time spent engaging with external stakeholder groups and managing relationships (Up from 20% in previous quarter). 45 staff members have had an opportunity to interact outside their direct HRA role with research community. Less due to reorganisation. HRA becomes more visible with positive reputation and is recognised as a key opinion leader. Stakeholder engagement survey. HRA Board agreed an outline engagement strategy for key policy areas (data-driven technology, public involvement, transparency).

Develop a pro-active, strategically focussed organisation Engagement strategy for key policy areas (data-driven technology, public involvement, transparency) being developed Supporting researchers – blog series complete Successfully recruited three Non-Executive Directors Executive visited all 65 research ethics committees during 2018/19

Capitalising on technological developments New IRAS development approaching completion of phase 1- CTIMPs and CWOW. Focus on completion of interfaces and handover Business case for phase 2 approved for 2019/20 eConsent system has been developed (Dr Harriet Teare) An updated Code of Conduct for the use of data-driven healthcare technologies published, with signposting to HRA information New devices procured to enable REC electronic review

Ensuring the HRA is governed effectively and provides value for the Taxpayer Theme Description Measure Update Cost utilisation Enhancing the HRA forecasting tools to deliver a balanced I&E position. Improving facilities utilisation and cost effectiveness. Our corporate services compare favourable with industry benchmarks. Divisional forecasts to be within 4% target range. Achieve 8sqm/fte industry benchmark. Costs equal to industry benchmarks. Forecast costs currently within target range (<1.5%). Currently 8:07sqm/fte. Subletting Manchester will reduce this to the benchmark. Calculations being developed as part of corporate SIP.

Ensuring the HRA is governed effectively and provides value for the tax payer Theme Description Measure Update Staff engagement Staff engagement. Our commitment to developing our people. Our commitment to supporting our people with the IT tools that they need. >80% from annual survey. 100% of our eligible people have had at least one appraisal within a 12 month period. 10% improvement on 2018 staff survey response for IT service. 70% (down 8% from previous year, but greater than benchmark of 67%) 93% of appraisals completed by December 2018. 8% improvement.

Ensuring the HRA is governed effectively and provides value for the Taxpayer The Service Improvement Programme has delivered a programme of corporate service improvement including automation of people processes (annual leave and expenses) Centralisation of estates management including facilities management nearing completion (FM procurement planned, regional office manuals in development; IT and equipment process rolled out) The rollout of Windows10 has been completed

Operational KPIs

Approvals service: KPI 1 1A HRA Approval Apr-18 May-18 Jun-18 Jul-18 Aug-18 Sep-18 Oct-18 Nov-18 Dec-18 Jan-19 Feb-19 Mar-19 1A Median days from date of application to approve Non-REC studies (Target 15) 15 13 17 23 12 21 16 20 14 22 1B Median days from date of REC conditions being met to approve REC-PR studies (Target 10) 3 1 7 5 2 1C Median days from date of REC conditions being met to approve Full-REC, non-Commercial studies (Target 25) 4 1D Median days from date of REC conditions being met to approve Full-REC, Commercial studies (Target 10) 8 KPI 1 HRA Approval Apr-18 May-18 Jun-18 Jul-18 Aug-18 Sep-18 Oct-18 Nov-18 Dec-18 Jan-19 Feb-19 Mar-19 1E Number of Applications received with missing documents 30% 28% 33% 29% 31% 26% 24% 27% 1Fa Full elapsed time for a valid Non-REC Study to receive HRA Approval 27 23 22 28 17 25 29 19 29.4287 20.5056 1Fb Full elapsed time for a valid REC PR Study to receive HRA Approval 42 40 44 47 41 37 38 43.8519 45.2551 1Fc Full elapsed time for a valid REC Study (Commercial Sponsor) to receive HRA Approval 98 86 83 102 92 90 104 85 90.0269 92.885 95 1Fd Full elapsed time for a valid REC Study (Non-Commercial Sponsor) to receive HRA Approval 76 77 78 84 82 97 83.6179 78.9924 88

Approvals service: KPI 1 1G Year on year improvement of the performance of HRA REC's and CAG Apr-18 May-18 Jun-18 Jul-18 Aug-18 Sep-18 Oct-18 Nov-18 Dec-18 Jan-19 Feb-19 Mar-19 1G Full ethical reviews complete in 60 days (Target 95%) 98.9% 99.7% 99.3% 99.2% 98.8% 99.0% 100.0% 98.6% 98.7% 1H Proportionate ethical reviews complete in 21 days (Target 95%) 84.3% 91.5% 85.2% 94.2% 90.8% 91.0% 92.7% 96.4% 90.9% 84.6% 92.3% 83.8% 1i Amendments to ethical review applications complete in 35 days (Target 95%) 97.9% 98.5% 99.1% 97.6% 98.3% 99.4% 95.0% 97.1% 96.9% 1J GTAC ethical reviews complete in 60 days (Target 100%) 75.0% 80.0% 1N All CAG Reviews and Amendments are completed within respective targets.   68.9% 90.5% 82% 73%

Ethical Reviews The target for PR ethical reviews was not met for the Manchester and Nottingham centres. This was due to staff vacancies and staff sickness in the Nottingham office and due to annual leave and staff working on handovers before they transferred to new roles in the Manchester office. For GTAC ethical reviews one application from the total of 8 applications was reviewed in 76 days (note: although the KPI target is 60 days, the statutory timeline for gene therapy studies under the CT Regulation is actually 90 days.

Research systems, quality and guidance: KPI 2 Maintaining System Performance (99% availability) Apr-18 May-18 Jun-18 Jul-18 Aug-18 Sep-18 Oct-18 Nov-18 Dec-18 Jan-19 Feb-19 Mar-19 2A IRAS availability (Target 99%)   100.0% 2B HARP availability (Target 99%) KPI 3 Quality Control and Audit Apr-18 May-18 Jun-18 Jul-18 Aug-18 Sep-18 Oct-18 Nov-18 Dec-18 Jan-19 Feb-19 Mar-19 3A Research Ethics Committes audit action plans submitted and accepted by QA within agreed timeframes (Target 100%)   100% 67% 83% 3B RECs to receive full accreditation at first audit (Target 50%) 75% 80% 29% 3C >75% of applicants scoring overall service highly 77% 82% 74% 79% KPI 5 Providing high quality advice and guidance Apr-18 May-18 Jun-18 Jul-18 Aug-18 Sep-18 Oct-18 Nov-18 Dec-18 Jan-19 Feb-19 Mar-19 5A Queries closed within in 4 working days (Target 90%) 93% 94% 97% 95% 96% 5B Queries closed within in 1 working day (Target 75%) 79% 84% 81% 83% 80% 74% 77% 86% 5C 80% of users rate their experience of online guidance as 7/10   66% 60% 65%

REC Audits Commentary There has been an improvement in the number of provisional accreditations recently as issues are being resolved around the constitution and membership documentation. This should continue to improve as the Support Division monitors constitution and membership is centralised.

Online guidance commentary The low scores for online guidance were associated with low scores given by respondents in other business areas. The linked free text comments mainly related to IRAS, complexity, repetition and disproportionality. Scores appear to reflect general dissatisfaction and do not provide clear reasons for low score of online guidance.

Learning, development and website: KPI 8 The HRA maximizes the value from the investment in training. Apr-18 May-18 Jun-18 Jul-18 Aug-18 Sep-18 Oct-18 Nov-18 Dec-18 Jan-19 Feb-19 Mar-19 8A eLearning User Satisfaction Score   75.78% 75.69% 74.10% 75.20% 8B Unique users of eLearning. 1143 1215 1267 298 8C Person-hours of learning delivered 2649.5 1946 2252 2184 8D Number of people participating in HRA-organised learning 1270 404 592 565 8E Number of people participating in collaboratively organised events 20 10 15 KPI 6 The HRA will effectively communicate using a wide range of communication tools Apr-18 May-18 Jun-18 Jul-18 Aug-18 Sep-18 Oct-18 Nov-18 Dec-18 Jan-19 Feb-19 Mar-19 6B Number of subscribers opening HRA Latest external newsletter   2330 3218 2357 2423 6C Unique page views to the news pages on our website 23442 17898 15706 16239 6D Number of Twitter followers 2831 3140 3468 3691 6E User satisfaction with website from researchers (% rating their experience as 7/10 or higher) 67% 66% 89% 72% 76% 57% 77% 74% 59% 54% 6F Percentage of staff accessing the intranet on a weekly basis #N/A 68%

FOI, complaints and finance: KPI 9 We work in a transparent way at all times, in line with our organisational values and our expectations of others. Apr-18 May-18 Jun-18 Jul-18 Aug-18 Sep-18 Oct-18 Nov-18 Dec-18 Jan-19 Feb-19 Mar-19 9A Complaints responded to within 25 days (Target 100%)   50% 100% 9C Valid FOI requests receive final response within 20 working days (Target 100%) 9D Valid FOI requests with qualified exemption and a public interest test closed within 40 working days (Target 100%) #N/A KPI 10 The HRA meets its requirements as a public body in making best use of public funds at all times. Apr-18 May-18 Jun-18 Jul-18 Aug-18 Sep-18 Oct-18 Nov-18 Dec-18 Jan-19 Feb-19 Mar-19 10A 95% of all invoices to paid within 30 days (BPPC Target) 100% 99% 10B 95% of value of all invoices paid within 30 days 10o Divisional forecasts to be within 4% of target range   0% 10P Achieve 8m2/desk industry benchmark 8.07 KPI 10 The HRA meets its requirements as a public body in making best use of public funds at all times. Apr-18 May-18 Jun-18 Jul-18 Aug-18 Sep-18 Oct-18 Nov-18 Dec-18 Jan-19 Feb-19 Mar-19 10G Mean cost of hotel/night in London (Target<= £115) £ £ 103.28 £ 104.14 £ 100.16 £ 108.43 £ 120.35 £ 108.65 £ 113.87 £ 125.11 £ 128.67 £ 88.87 £ 108.34 £ 93.85 10H Mean cost of hotel/night outside London (<=£75) £ £ 63.41 £ 63.60 £ 48.20 £ 57.99 £ 66.80 £ 59.34 £ 60.24 £ 61.63 £ 59.40 £ 61.60 £ 64.48 £ 65.86 10J Rail journeys booked using  Anytime tickets (Max 30%) 40% 39% 31% 44% 36% 35% 32% 57%

Anytime Rail Journeys Commentary For Feb and March 19 the increase in Anytime Rail journeys was high. This was related to: Activity around restructure of Approvals/Operations – pre implementation in April 2019 Activity around Research Systems consultation Continued activity around IRAS project work (PEGA)

Our people: KPI 11 The HRA has healthy, well motivated and engaged staff Apr-18 May-18 Jun-18 Jul-18 Aug-18 Sep-18 Oct-18 Nov-18 Dec-18 Jan-19 Feb-19 Mar-19 11A Short term sickness absence rate (Max 1%) 0.98% 0.69% 0.21% 0.23% 0.82% 1.30% 0.46% 0.39% 0.71% 0.75% 0.92% 11B Long term sickness absence rate (Max 3%) 1.62% 2.66% 0.65% 1.49% 1.80% 1.10% 1.32% 0.64% 1.43% 1.93% 1.50% 11C Monthly staff turnover remains within -1% - +1% of NHS Average of 0.9% 0.96% 0.00% 0.47% 1.90% 1.95% 3.52% 11Da Gender pay gap (Mean %)   7% 11Db Gender pay gap (Median %) 13% 11E 100% eligible people have an appraisal within 12 months #N/A 85 93 11F <2,200 lost days to sickness (FTE) 437 402 276 316 Gender pay gap included for first time – no target currently set for this metric. Increase in staff turnover linked to organisation change.

Finance report P12