Timeliness - 85% of prosecution cases heard within 9 months of referral for prosecution

Transcription

1 Appendix 2 - Balanced Scorecard Review Performance Measure Glossary NOTE - Column to be added to list approval date for all KPI s following approval* Reference Directorate Department Responsible BSC/FTP/001 Fitness to Practise Casework John Cullinane Timeliness - 85% 1 of cases to be appropriately assessed within 17 weeks of receipt BSC/FTP/002 Fitness to Practise Case Examiners Oliver Carr Timeliness - 85% of cases to have substantive case examiner decision within 9 weeks of referral 95% of cases to clear triage in 25 days 85% of cases to be in the assessment queue within 14 weeks Work in progress level to be below steady state target Assessment resourcing: casework resourced to 85% of case capacity; max caseload post CE - 35 Quality measures: Peer review, audit, dip samples, QAG 90% of cases to have registrant comments back within 4 weeks of referral 90% of cases to have informant comments back within 6 weeks of referral 90% of cases to receive registrant's final comments within seven weeks of referral BSC/FTP/003 Fitness to Practise Prosecution (All) Jane Batalona Peter Day Jonathan Dillon BSC/FTP/004 Fitness to Practise Prosecution (ELPs) Peter Day Jonathan Dillon Timeliness - 85% of prosecution cases heard within 9 months of referral for prosecution Timeliness - 85% of prosecution cases (ELP s) heard within 9 months of referral for prosecution Prosecution disclosure within 98 working days of referral in 80% cases Prosecution disclosure by agreed disclosure date in 95% cases Hearings listed and completed within 190 working days of prosecution referral in 80 % of cases Actual hearing completed without adjournment in 80% of cases Lost and wasted hearing days below 20% Impact by Casework, IC/CE team and hearings. Success driven by more strategic approach to efficient case management e.g. fast track investigation of new allegations for joinder purposes and timely CE/IC/PCC decisions on interim case management issues such as Rule 10 referrals Prosecution disclosure within 98 working days of referral in 85% cases Hearings listed and completed within 190 working days of prosecution referral in 85 % of cases Actual hearing completed without adjournment in 85% of cases Value For Money demonstrated in contract management Lost and wasted hearing days below 20% BSC/FTP/005 Fitness to Practise Prosecution (ILPS, ELPs, CRT) Jane Batalona Peter Day Eleanor Poole Process adherence and robustness Composite measure (See further detail to right): Initial Interim Orders heard quickly. Review of Interim Orders and Resumed cases heard without loss of jurisdiction. 95 % initial interim order applications heard within 21 days of IO referral by Registrar or CE 100% of review interim order hearings heard before expiry of interim order 100% of High Court extension orders made before expiry of interim order 100% of resumed hearings heard within required time period 100% of case bundles delivered to panellists within 5 working days of the hearing 60% of interim order reviews held on the papers Impact from Casework /CRT with timely referral into ILPS and hearing preparation Impact from Hearings with listing 1 This would exclude on hold cases. 1

2 BSC/FTP/006 Fitness to Practise Prosecution (ILPS, ELPs, Jane Batalona CRT) Peter Day Eleanor Poole Process adherence and robustness 95% of cases requiring review are monitored appropriately and in accordance with standard operating procedures 95% of all registrants/representatives are contacted in writing within 5 working days of the Hearing/decision maker documentation becoming available 95% of all resumed, IOC and undertaking cases have reports submitted to the relevant legal team/decision maker 12 weeks, 6 weeks or 16 weeks prior to expiry of the order 95% of IOC and undertaking cases are reviewed within 40 days of identifying a serious breach of order/agreement 95% of all breach of suspension orders are referred to Illegal Practice within 2 working days BSC/FTP/007 Fitness to Practise Illegal Practice Francesca Keen Timeliness - 80% of the English and Welsh cases in the Illegal Practice team will have a charging decision made within 9 months of receipt of the complaint BSC/FTP/008 Fitness to Practise Illegal Practice Francesca Keen Cost - In 100% of cases which are listed by the IP team for prosecution in England and Wales a full costs award shall be sought 90% of enquiries into the IP team should have been subject to an initial review by the legal assistant within 3 working days of receipt by the team 90% of enquiries into the IP team should be assessed by the paralegal within 5 working days of receipt by the team In 90% of cases. from the point a case is opened in the team, the investigator allocated to it shall submit a request for legal advice within 10 weeks of the receipt of the complaint by the team In 90% of cases, a charging decision shall be made, in all English and Welsh cases, by the reviewing lawyer in each case within 15 working days of receipt of the request for legal advice from the investigator In 100% of prosecutions brought by the IP team in England and Wales where a decision has been made to charge, an information shall be laid at court within 3 months of the charging decision 90% of cases, where a decision has been made by the reviewing lawyer to close the case, should be closed and appropriate referrals made by the paralegal within 10 working days of the decision In 80% of cases prosecuted in England and Wales where there is a guilty outcome, the team will secure a costs award The IP team will prepare a schedule of costs to be presented at court in each IP prosecution in England and Wales The team shall annually review the hourly rates of staff members including, investigators, lawyers, paralegal and legal assistants to ensure appropriate recovery requests are being made BSC/FTP/009 Fitness to Practise Quality Assurance and Monitoring John Cullinane Jane Batalona Peter Day Francesca Keen Process adherence and robustness Composite process robustness measure from across the FTP process (See further detail to right) Triage/casework: - Peer review, audit, dip samples, clear performance management structure, QAG Prosecutions - Facts found in 80% of cases Illegal Practice - The Illegal Practice team will obtain a guilty outcome in 24 cases per year - All enquiries into the IP team will be subject to an initial review of the most appropriate disposal by the legal assistant. - All enquiries into the IP team should be triaged by the paralegal. - All enquiries that are brought to IP clinic will be considered for appropriate disposal, having regard to proportionality. - All cases, in which a request for charging decision is prepared, shall be reviewed in line with the two-stage test for prosecution and proportionality. 2

3 BSC/FTP/010 Fitness to Practise Prosecution (All) Lisa-Marie Roca Cost - Budget for legal costs for interim order, prosecution and resumed matters controlled (including monitoring of ILPS/ELPS split and external legal spending) BSC/FTP/011 Fitness to Practise Corporate Legal Lisa-Marie Roca 95% of Corporate Legal matters responded to within required time limits BSC/FTP/012 Fitness to Practise Corporate Legal Lisa-Marie Roca Reduction in number of Corporate Legal matters dealt with externally and in line with budget BSC/FTP/013 Fitness to Practise Corporate Legal Lisa-Marie Roca 90% positive feedback on corporate legal customer surveys 75% of referrals for prosecution are handled by ILPS. (Average 7 referrals per month sent externally) 100% initial interim order referrals handled in house (excludes interim order referrals on cases allocated to ELPS) 100% interim order hearings covered in house (excludes interim order hearings on ELPS cases) 60 % interim order review hearings held on the papers 100% resumed matters handled in house 80% resumed hearings covered in house 3 substantive hearings handled in house per month Annual time recording target met and productivity monitored (Lawyer-1236; Paralegal- 1030) Impact from Hearings: scheduling times/venue to maximise efficient use of in house advocate capacity Impact from casework, CRT, hearings in relation to hearing preparation to maximise efficient use of team capacity Support from HR with timely recruitment and performance management 95% of requests for advice confirming acknowledgement responded to within 1 day 95% of requests for advice receive a substantive response within 5 working days No. of cases open per month/no. of cases closed per month All members to meet chargeable target hours 100% of registration appeals presented by in-house advocates External spend within allocated budget for 16/17 90% positive feedback on customer satisfaction surveys Quarterly client department meetings to assess performance and develop continuous improvement BSC/FTP/014 Fitness to Practise Information Luke Whiting Rosemary Cairns BSC/FTP/015 Fitness to Practise Information Luke Whiting Rosemary Cairns BSC/FTP/016 Fitness to Practise Information Luke Whiting Rosemary Cairns 95% of DSI cases to be appropriately assessed within time limits 100% GDC staff receive regular training in respect of FOI/DPA and data security (Further detail of exact training arrangements to be added) The GDC effectively reports, records and learns from DSIs (Further detail of lessons learnt arrangements to be added) 95% of incidents to be reported to DSI within 1 working day of manager being notified 95% of FOI requests responded to within 20 working days 95% of Subject Access Requests responded to within 40 calendar days 95% of decisions upheld at internal review 95% of decisions upheld by ICO 100% GDC Mandatory training compliance 100% FOI/DPA/DSA training induction delivered to new starters within 1 month of start date Reduction in number of reported incidents relating to minors DSIs/casework related/specific types Reduction in serious incidents requiring self-reporting to the ICO Lessons learned reviewed at IG Board and disseminated to GDC ICO do not recommend mandatory further work 3

4 BSC/REG/001 Registration Registration Philip Higgs The average overall time taken for processing Registration applications is lower than: 1) The internal SLA 2) The statutory requirement BSC/REG/002 Registration Registration Philip Higgs The average time taken with days on-hold removed for processing Registration applications is lower than: 1) The internal SLA 2) The statutory requirement The overall average time taken to process all applications within each route UK Dentist 1: Internal SLA) 14 days 2: Statutory SLA) 90 days EEA Dentist 1) 60 days 2) 90 days Restoration 1) 14 days 2) 90 days UK DCP 1) 14 days 2) 90 days Overseas DCP 1) 80 days 2) days Specialist list 1) 90 days 2) N/A The average time taken with days on-hold removed to process all applications within each route UK Dentist 1: Internal SLA) 14 days 2: Statutory SLA) 90 days EEA Dentist 1) 60 days 2) 90 days Restoration 1) 14 days 2) 90 days UK DCP 1) 14 days 2) 90 days Overseas DCP 1) 80 days 2) days Specialist list 1) 90 days 2) N/A BSC/REG/003 Registration Registration Operations Jonathan Harris 85% of those calls presented to the Customer Advice and Information Team are answered BSC/REG/004 Registration Registration Philip Higgs 80% of respondents either strongly agreeing or agreeing with the statement I was satisfied with the customer service I received from the GDC. BSC/REG/005 Registration Registration Philip Higgs The amount in of application income collected vs the target amount in. BSC/REG/006 Registration Registration Philip Higgs The amount of applications processed vs the target amount. BSC/REG/007 Registration Registration Philip Higgs Placeholder measure composite measure to demonstrate performance in relation to Minimum Acceptable Productivity (MAPs) levels. BSC/REG/008 Registration Registration Operations Jonathan Harris Placeholder measure 100% of Registration Audits result in a pass rating BSC/REG/009 Registration PMO Tim Wright 85% or greater responses received in the positive sections of the PMO customer service survey This is a combined total of the UK Registration, DCP Assessment, Dentist Assessment and ORE respondents. Success is gaining as much income as possible, which is attributed to either meeting or exceeding the set target. Monthly targets exist for each application route, which are set each year by senior managers in Registration alongside Finance. A 5% caution rating has been applied to the expected income in Success is processing as many applications as possible, which is attributed to either meeting or exceeding the set target. Monthly targets exist for each application route, which are set each year by senior managers in Registration alongside Finance. A 5% caution rating has been applied to the expected income in MAPs is a performance management approach being implemented across the Registration directorate to set consistent performance target levels for each team. The MAPs are not yet in place for teams which means it is not fully possible to define this measure. The audits that will be taking place are not yet defined. Ad hoc surveys are currently run following specific initiatives/training. This will be redeveloped into a consistent survey with feedback to be gathered following all significant PMO interactions 4

5 BSC/REG/010 Registration Compliance David Platt Placeholder measure Compliance effectiveness measure to be developed following the repositioning of the team into second line risk defence activity BSC/REG/011 Registration Projects and Jenny Collard/Jag All projects and research outlined in the 2016 Registration Change Sahota operational plan are initiated and delivered in line with stakeholder expectations BSC/STR/001 Strategy Communications Lisa Cunningham Key opinion formers and stakeholders reflecting the improvement work at the GDC and reflecting this at conferences, in the trade press and in social media at least 6 instances per quarter BSC/STR/002 Strategy Communications Lisa Cunningham GDC proactively engages with stakeholders at meetings, events and conferences and this engagement is coordinated by the communications team to ensure spokespeople are speaking with one voice at least 24 instances per quarter BSC/STR/003 Strategy Communications Lisa Cunningham 12 newsletters to be published to internal staff on an annual basis to be opened by at least 40% of staff BSC/STR/004 Strategy Communications Lisa Cunningham The number of GDC Twitter account followers to increase by 5% per quarter Appropriate measure to be defined later in the year once the team have ceased to operate as a first line defence function primarily in FTP operational plan yet to be developed and signed off, but major activity will relate to initiatives captured in draft business plan This will be the principal measure of external stakeholder perception activity This will be the principal measure of external engagement activity This will be the principal measure of internal communications activity This will be the principal measure of social media activity BSC/STR/005 Strategy Standards Janet Collins All queries in relations to the GDC s Standards are answered in full within a 2 week timeframe BSC/STR/006 Strategy Standards Janet Collins The team attends stakeholder events in which we provide high impact on the outcomes/purpose of the events, or in which we improve our reputation and relationships by being there BSC/STR/007 Strategy Standards Janet Collins All projects and research outlined in the Policy & Research board signed off work plan are initiated, and in the projected timeframe and all GDC research is published and disseminated Success is meeting the timeframe answering period of 2 weeks (allowing for exceptions where necessary), and providing consistent advice/guidance Success could be measured in three dimensions the volume that we attend the GDC s impact in attending stakeholder events (are we actually gaining something from attending) attendance benefits GDC s reputation Projects outlined in work plan are realised Research provides meaningful impact on work Projects are carried out in timely fashion according to approximate work plan timing Research is disseminated and published Meeting projected quarterly timeframes and milestones Could use the research impact analysis template to assess how research is being used in the organisation, and what impact it has 5

6 BSC/STR/008 Strategy Policy and Quality Manjula Das Assurance Keeping stakeholders informed and involved in a timely manner. Attending meetings and events and contributing to developments. Raising awareness of developments at the GDC. 75% (TBC) attendance of specified meetings. Regular informed and involved attendance at key meetings with stakeholders including DSC, COPDEND, JCPTD, ABSTD, BADN, DHT, FEDCAR To note there may also be short term/one off meetings Where possible, resources permitting, attendance and involvement with students and registrants in collaboration with stakeholder groups Regular updates on website re developments Developments of other material as appropriate. Will list activity and share Delivery of education provider workshops BSC/STR/009 Strategy Policy and Quality Assurance Manjula Das Delivering all QA inspections according to agreed 2016/7 timetable on time and to a high quality. Deliver monitoring activity to Effective and efficient delivery of QA inspections and monitoring for 2016/7 Further quantifiable detail to be developed Publication of Annual Report of Education. Learning from experiences to inform future developments. BSC/STR/010 Strategy Policy and Quality Assurance Manjula Das Delivery of QA of specialty training, including process for internal review and improvement. Implementation of process and approval of specialty curricula including process for revision. Effective and efficient delivery of QA for specialty training Further quantifiable detail to be developed BSC/STR/011 Strategy Dental Complaints Service Hazel Adams Achieving 90% and above in the excellent and good categories for feedback received from both patients and dental professionals Success for DCS is to be the premier complaint resolution service, providing consistently exceptional service that exceeds expectations Consistent positive feedback from all stakeholders, patients, dental professionals, dental profession and other organisation s Increased awareness of the service BSC/STR/012 Strategy Dental Complaints Service BSC/FCS/001 Hazel Adams All enquiries and complaints acknowledged and progressed within agreed SLA (Composite measure with further SLA detail to be added to glossary) Finance Melanie Stewart Total organisational income is 100% or greater of budgeted level Success for DCS is to be the premier complaint resolution service, providing consistently exceptional service that exceeds expectations. Total income received by the GDC from all registrant types and other miscellaneous sources compared with budget BSC/FCS/002 Finance Melanie Stewart Total Fitness to Practise spend is within acceptable tolerance (-/+2%) of budgeted level Total amount spent by the FtP directorate is in line with budget since it may not be possible to fund expenditure greater than budget with existing income There is a risk that expenditure that is lower than budget could mean that performance objectives may not be met BSC/FCS/003 Finance Melanie Stewart Total organisational spend is within acceptable tolerance (-/+2%) of budgeted level Total amount spent annually by the GDC (excluding the FtP directorate) is in line with budget since it may not be possible to fund expenditure greater than budget with existing income. There is a risk that expenditure that is lower than budget could mean that performance objectives may not be met. 6

7 BSC/FCS/004 Finance Melanie Stewart The DB pension scheme funding position, where the value of the scheme s assets is compared to the value of its liabilities, is 100% or greater The GDC Defined Benefits pension scheme assets are sufficient to meet the scheme s liabilities and, where this fails to be the case, the scheme is fully funded and there will not be a call on the employer for further contributions BSC/FCS/005 Finance Melanie Stewart Internal financial reports to be submitted on or prior to the deadline in 10 or more months out of 12 Management accounts Issued to budget holders by the 5th working day of the month Finance performance report issued to EMT and F&PC by the 10th working day of the month (n.b. no performance report in January) BSC/FCS/006 Finance Melanie Stewart Composite timeliness measure for; associates fees and expenses, staff expenses, invoices and refunds (further detail to right) Fees: Fortnightly payroll, paid no more than 3 weeks from receipt of claim for fees (except those remunerated on a monthly basis) Expenses: Weekly payment runs, with claims paid at the next payment date after receipt of claim Invoices: 90% of invoices paid within 28 days of receipt Refunds: Payment made to registrant within 5 working days of receipt of request from Registration (or within 3 working days during ARF period) BSC/FCS/007 Finance Melanie Stewart 100% or greater of invoices have a valid purchase order number on them (in instances when a PO would be expected) These invoices should only relate to items where no PO would be expected such as rates BSC/FCS/008 IT Keith Geraghty Exceeding 95% compliance against IT Service Level Agreement Exceeding 95% customer satisfaction against submitted customer service surveys ( ed to requestor at point of service ticket closure) 95% compliance against IT Service Level Agreement 95% customer satisfaction against submitted customer service surveys BSC/FCS/009 BSC/FCS/010 IT Keith Geraghty Exceeding 99.7% uptime on each of the key IT systems Facilities Stephen Lilywhite Composite measure to aim for: 0 major breaches of health and safety, 0 serious accidents, 0 Improvement of Prohibition Notices issues by Health and Safety Executive 99.7% uptime across of all GDC Website, egdc, Dynamics CRM, and GDC Exchange 100% compliance for no breaches of Health and Safety / Health and Safety Notices or serious accidents) 80% re Monthly Health and Safety Report (this could include issues that take time to remedy such as building defects) BSC/FCS/011 Facilities Stephen Lilywhite Building lifts are available for 100% of time during the month (excluding scheduled maintenance events) This equates to no more than 8 hours per month per lift when lift is out of operation (outage). It should be expected that lifts may be out for a few hours each month for servicing Minimum number of lift trappings 1 per year Lifts do not breakdown more than once per month Lifts are only out of service a few hours per month 2 hours (per lift) Service visits are restricted to 2 hours per month 7

8 BSC/HRG/001 HR and Governance HR Sara Cairns To complete the recruitment campaign from start (date of online requisition) to finish (candidate appointed) within 6 weeks Keeping the average cost per hire below 2,500 for employee and middle managers Recruitment campaigns are completed within 6 weeks Average cost per hire is kept below 2,500 per employee 90% of roles to be recruited first time round For 90% of roles recruited first time round BSC/HRG/002 HR and Governance HR Sara Cairns Number of sickness days taken by employees being below national average of 7.9 days per annum BSC/HRG/003 HR and Governance HR Sara Cairns Natural turnover being below 4.3% (industry average) Overall turnover being below 11.9 % BSC/HRG/004 HR and Governance HR Sara Cairns To have an appropriate number of disciplinary cases and grievances (placeholder measure - exact metric and target level pending further EMT discussion) BSC/HRG/005 HR and Governance HR Sara Cairns Annual 360 feedback for staff shows average score of 4 or above for each of the 4 Staff Behaviour headings BSC/HRG/006 HR and Governance HR Sara Cairns Annual 360 feedback for managers shows average score of 4 or above for each of the 5 Leadership Behaviour headings BSC/HRG/007 HR and Governance HR Sara Cairns Quarterly pulse surveys around leadership behaviours show an average score 4 or above for the chosen Leadership Behaviour heading BSC/HRG/008 HR and Governance Governance Clare Mitchell 90% satisfaction level from EMT and Council members in relation to meeting support BSC/HRG/009 HR and Governance Governance Clare Mitchell Meeting costs are 100% or less than budgeted levels For the number of sick days taken per employee to be below national average (7.9 days) Natural turnover being below 4.3% (industry average) Overall turnover being below 11.9% 360 feedback exercises linked to annual appraisals show an average score of 4 or above for each of the staff behaviour headings For staff these headings are: Trust, respect & fairness; Collaborative working; Raising performance; A positive approach 360 feedback exercises linked to annual appraisals show an average score of 4 or above for each of the leadership behaviour headings For managers these headings are: Demonstrating trust & respect; Promoting collaboration; Raising performance; Clarifying the vision; Positive leadership Quarterly pulse surveys around leadership behaviours show an average score of 4 or above for the chosen Leadership Behaviour heading NB. Only one of the 5 leadership behaviour headings would be tested in the quarterly pulse surveys, rather than all 5 Council members and Executive advise that they feel appropriately informed to make decisions. Detailed discussions held during Council meetings. To include EMT, Committee & Council meetings 8

9 BSC/HRG/010 HR and Governance Governance Clare Mitchell No more than two sets of minutes each quarter being sent to director more than 4 working days after meeting. Providing minutes to directors on time ensures points discussed in meetings are sufficiently and correctly recorded, and can then be forwarded to the chair for further scrutiny. The proportion of minutes that are shared to directors on time after meetings Providing minutes to directors on time ensures points discussed in meetings are sufficiently and correctly recorded, and can then be forwarded to the chair for further scrutiny BSC/HRG/011 HR and Governance Governance Clare Mitchell 95% of papers to be shared in accordance to planned deadlines in advance of meetings Providing papers to Council, committee and EMT Board by agreed deadline ensures adequate time to consider content ahead of meeting 9