C22(12) COUNCIL. GOC Business Plan KPIs and Core Activity Performance Indicators. Lead responsibility: Samantha Peters Chief Executive and Registrar

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1 C22(12) COUNCIL GOC Business Plan KPIs and Core Activity Performance Indicators Meeting: Public 25 April 2012 Lead responsibility: Samantha Peters Chief Executive and Registrar Status: for decision Contact details: Executive Summary The strategic Key Performance Indicators and the GOC s core activity Performance Indicators have been extracted from the Business Plan for review and decision by Council. These indicators have been discussed extensively by SMT and senior managers, and are recommended to Council for consideration and decision. The Key Performance Indicators The Key Performance Indicators which are set out on pages 2 to 4 of this paper have been modified from the version submitted to Council in the Business Plan draft in March 2012, and have separately defined success criteria, as well as the target levels of achievement by the end of the current Strategic Plan (2014). This recognises the fact that not all the criteria can be achieved by this time, however we have set target levels of achievement which are an achievable advance towards these goals. The Core Activity performance indicators The Core Activity performance indicators are set out on pages 5 to 13 of this paper. These performance indicators have been compared against the achievement levels monitored in the quarterly Performance Reports submitted to Council over the course of , as requested during the Council meeting in March The target performance levels have been reviewed by SMT and senior managers since the March meeting, and the target levels have been adjusted to reflect, in most cases, the improved performance levels achieved over the course of the first year of this Strategic Plan. In a number of cases however the target performance levels have remained the same as in the prior year, due to operational and resource issues. Paper Author: Samantha Peters April 2012 Page 1 of 14

2 In this second year of the GOC Strategic Plan, we now feel it operationally viable to extend our ability to measure performance through the use of surveys with a number of key groups Council, staff and stakeholders (including registrants) which will allow the hard measurement of our performance in areas where we do not have current capability, and after an initial period of baselining responses, will permit the establishment of performance targets in following years. These performance areas are specifically marked on the list of performance indicators. We plan to pilot these surveys in May and June, with the full survey reporting in November 2012, in time to be considered for the design of the Business Plan. Paper Author: Samantha Peters April 2012 Page 2 of 14

3 Key Performance Indicators C22(12) We will achieve the Vision through By We will have succeeded when At these target levels in 2014 (Strategic Aims) (Workstreams) (Success criteria) (KPIs) 1 Generating confidence through our quality assurance framework Our established QA programmes across all regulatory functions show i) compliance with process ii) improvements in efficiency iii) consistent quality of outcomes, to levels which are seen as appropriate by key stakeholders and recognised as such by independent audit 65% of stakeholders agree that our quality performance gives confidence that the GOC is an effective regulator Delivering effective, proportionate and fair public protection [M] 2 Protecting the public from harm from illegal practice 3 Ensuring the competence, performance and conduct of registrants Cases are closed because the illegal practice ceased without criminal proceedings Prosecutions are only pursued where public harm can be demonstrated Registrants are able to retain their registration each year, and CHRE Performance Review affirms that regulatory standards ensure professional competence 65% of cases 75% of prosecutions >95% (factor in demographic change) 4 Ensuring visibility, accessibility and responsiveness to the public at the point of need Members of the public have clear and easy access to the GOC to i) register a complaint ii) verify registration details iii) clarify expected standards of professional service from registrants, and are satisfied with the level of responsiveness from the GOC 70% of members of the public who have contacted the GOC are satisfied with access to and responsiveness of GOC Paper Author: Samantha Peters April 2012 Page 3 of 14

4 C22(12) We will achieve the Vision through By We will have succeeded when At these target levels in 2014 (Strategic Aims) (Workstreams) (Success criteria) (KPIs) 1 Developing evidence based intelligence from operational and external sources Our new CRM system and other information gathering programmes deliver useable information which is regularly used in policy and planning decisions 80% of policies are developed on the basis of such evidence Basing our policy and regulatory practice on sound evidence [K] 2 Establishing comprehensive policies and strategies The GOC's policies and strategies cover situations in a manner which satisfies the needs of the public, registrants and other stakeholders i) CRM monitoring of enquiry handling shows high levels of enquiries covered by existing policies ii) Stakeholders are satisfied with the coverage of our issues register and position statements 3 Setting clear, measurable, riskassessed goals All GOC's policies and target goals are supported by evidence, formulated with impact objectives, and evaluated 80% of policies and goals achieve their impact objectives Supporting our staff, Council and committees to deliver our organisational goals 1 Building a strong learning and teamwork based culture 2 Ensuring the appropriate resources to deliver strategies and plans Our internal surveys show our people believe the GOC demonstrates a shared working culture and common Vision The business plan is delivered on time and to budget 80% of staff surveyed confirm the GOC demonstrates this 80% of projects and BAU changes are implemented on time and to budget [P] 3 Supporting and developing our people to add value Our people have clarity about organisational and personal goals, and develop their skills towards their objectives 100% of staff have annual appraisals and personal development plans. Paper Author: Samantha Peters April 2012 Page 4 of 14

5 We will achieve the Vision through By We will have succeeded when At these target levels in 2014 (Strategic Aims) (Workstreams) (Success criteria) (KPIs) Ensuring systems and processes are efficient and cost effective [E] 1 Modernising our information management into a single integrated framework 2 Reviewing and improving our complaints management as an end to end process 3 Optimising value for money The CRM system is in place and feedback shows that staff are using the system appropriately and consistently, and it enables them to deliver greater efficiency and service quality We are delivering our end to end complaints process within annual budget, whilst managing appropriate levels of quality and legal risk Our position measured within the Regulation benchmarking network across all functions is in the top quartile of adjusted performance, at target levels of delivery effectiveness, or we have plans in place to improve to that position 90% of target operational information is being captured on the CRM system As a transitional measure, the end to end complaints process will take up to 18 months. KPI to be reviewed in November Top quartile of benchmarked regulators for value for money C22(12) 4 Ensuring open, transparent and robust governance Key stakeholders, including staff, believe the GOC exhibits open, transparent and robust governance; and the GOC are compliant with CHRE governance standards (to be published) CHRE and other stakeholders are satisfied with GOC governance arrangements 5 Delivering a seamless service to the public and registrants Registrants use GOC's online functionality on more than one occasion over a twelve month period, and registrants and public polled are satisfied with GOC service 80% of registrants use GOC online in any year; and 90% of those polled are satisfied with GOC service overall 6 Implementing strategies and projects in time and to budget Projects are delivered on time and to budget 80% of projects and BAU changes are implemented on time and to budget Engaging and working effectively with stakeholders [S] 1 Developing targeted and purposeful relationships across all stakeholder groups 2 Influencing policy to ensure sound regulation and effective public protection Stakeholder groups believe the GOC is an effective regulator, and Memoranda of Understanding are agreed and delivered GOC can demonstrate influence with relevant stakeholders, and is viewed as an authoritative commentator on professional regulatory issues 80% of stakeholders are satisfied Number of changes in stakeholders' policies/ legislation which reflect GOC input Paper Author: Samantha Peters April 2012 Page 5 of 14

6 Core Activity Performance Indicators C22(12) Registration Activity Processing applications for registration, retention and restoration of optometrists, dispensing opticians, students and bodies corporate. Maintaining and updating the GOC s registers. Providing registration information to stakeholders General performance of Registration Average number of working from receipt of application to process registration applications Average number of working from receipt of application to process restoration application Registrants completing retention applications online Number of successful appeals against registration decisions Percentage of requests for applications for registration processed within one working day Average number of working from month end to distribution of amendment lists Average number of working from receipt of Letter of Good Standing (LGS) or Certificate of Current Professional Status (CCPS) application to process request Meet or improve on all CHRE performance review standards for Registration New survey metrics* Stakeholders Staff Council Targets 3 10 Apr Jun Jul Sep Oct Dec Jan Mar % 86% 98% NA 97% % 78.6% 39.9% 29.7% 36.9% 2 1 day Yes LGS: 3, CCPS Paper Author: Samantha Peters April 2012 Page 6 of 14

7 Fitness to Practise Activity Investigating complaints about a registrant s fitness to practise for consideration by the Investigation Committee Preparing cases for a formal hearing before the Fitness to Practise Committee Producing third annual FtP report General performance of FtP Legal Compliance Investigation and Prosecution of criminal offences under Part 4 of the Opticians Act Percentage of cases prepared to consideration by the Investigation Committee within nine months of receiving the complaint New survey metrics* Staff Council Stakeholders Targets C22(12) Apr Jun 2011 Jul Sep 2011 Oct Dec 2011 Jan Mar % 100% 98% 97% 96% Positive CHRE Initial Stage Audit Yes Percentage of cases where notice and other documents have been served on the Hearings Manager within seven months of the referral of 80% 100% 89% 83% 82% the case by the Investigation Committee S29 referrals by CHRE Learning Points Letters with issues that are simple to address TBA Positive feedback from stakeholders about the Annual Report Meet or improve on all CHRE performance review standards for Fitness to Practise Positive engagement with industry, publication of joint guidance. GOC to decide within 12 months of receiving a complaint whether it is appropriate to commence a private prosecution Yes TBA 95% 98% 98% 98% 95% Paper Author: Samantha Peters April 2012 Page 7 of 14

8 Activity Education and Standards Processing applications for registration from EU and non EEA applicants Conduct Accreditation and QA Visits to training institutions and awarding bodies Maintain an effective Scheme for CET Maintain a set of standards of competence and conduct which reflect current practice and protect the public General performance of Education & Standards Percentage of applications processed within the statutory timescales (two months) Average time to process EU and non EEA Applications: 100% within two months; 85% within one month Percentage of education visits conducted as scheduled: No successful challenges to our accreditation decisions Percentage of registrants on target to meet their CET requirement: Less than 2% of registrants removed from Register for CET failure No Standards needing to be changed as a result of a challenge to or failure to justify standards of competence or conduct Meet or improve on all CHRE performance review standards for Standards and Education New survey metrics* Stakeholders Staff Council Targets C22(12) Apr Jun Jul Sep Oct Dec Jan Mar % 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% % 68% 68% 68% 63% <2% NA NA NA NA 0 Yes Paper Author: Samantha Peters April 2012 Page 8 of 14

9 C22(12) Strategy & Policy Activity Leading development, oversight and reporting of performance against the GOC s Strategic and Business Plans, including identification of key strategic opportunities and risks. Effective and transparent Council monitoring of Strategic and Business plans is facilitated. Strategic risks are also facilitated Key GOC stakeholders agree that the GOC is an effective regulator (specific targets and standards to be determined in a stakeholder survey) The GOC receives good reports from the CHRE performance review process, showing improvement in key areas New survey metrics* Stakeholders Staff Council Targets Yes Apr Jun Jul Sep Oct Dec Jan Mar Providing Council with advice on key strategic and policy issues affecting the GOC, through preparing and presenting research, consultations and analysis. Council members consider that GOC policy advice is high quality and supports informed and evidence based decisions. Leading the GOC s public affairs work contributing to policy development and engaging with stakeholders in UK, European and international forums and processes. Supporting and advising Council members on devolved administration issues Key GOC stakeholders agree that the GOC is an effective contributor to national and international policy (specific targets and standards to be determined in a stakeholder survey) Council members consider that they are effectively supported to respond to issues affecting the devolved administrations Paper Author: Samantha Peters April 2012 Page 9 of 14

10 C22(12) Activity Communications Using proactive and reactive media relations to promote all key developments to registrants, and manage our profile through media monitoring Supporting the development of effective relationships with key political stakeholders, and communicating with them appropriately, in order to influence public policy in healthcare regulation. Percentage of news coverage which is positive or neutral about the GOC (calculated according a points system based on content analysis). Percentage of stakeholders who see the GOC as an efficient and effective regulator (specific targets and standards to be determined in an annual stakeholder survey). New survey metrics* Stakeholders Staff Council Targets 97% positive plus neutral Apr Jun Jul Sep Oct Dec Jan Mar % positive plus neutral 26% positive 67% neutral 26% positive 67% neutral 10% positive 89% neutral Supporting the development of strong relationships with all key stakeholders, mapping those relationships and initiating multi way communications appropriate to each group. Percentage of stakeholders who believe that our policy decisions are well informed (specific targets and standards to be determined in an annual stakeholder survey) Expressing the vision, mission and personality of the GOC using a wide variety of communications channels appropriate to each audience Percentage of stakeholders who have a good knowledge of the GOC and its work (specific targets and standards to be determined in an annual stakeholder survey) Paper Author: Samantha Peters April 2012 Page 10 of 14

11 C22(12) Governance Activity New survey metrics* Stakeholders Staff Council Targets Apr Jun Jul Sep Oct Dec Jan Mar Management of all aspects of Council and Committee member recruitment, appointment, induction, appraisal, and Council and Committee evaluation. Percentage of members agreeing that they are effectively supported in their appointments (based on annual survey target to be determined) Effective governance of the GOC, ensuring maintenance with best practice guidance and compliance with the GOC s governing framework. All variations from governance process to be reported and reviewed, and the process modified as appropriate 100% Effective decision making process including the management of Council and committee agendas and provision of meeting support Percentage of members agreeing that they are effectively supported in their appointments (based on annual survey target to be determined) Paper Author: Samantha Peters April 2012 Page 11 of 14

12 Human Resources Activity Managing coordinated recruitment, including staff, Council and Committee members, FtP panellists and case examiners; staff appraisal, development and objective setting processes Maintaining oversight of HR performance and policies, and providing support and advice to staff on HR and personal issues. Finance Formulating the GOC budget, reporting progress to budget holders and Council, and accounting for the funds at the year end. Supporting internal clients with advice and challenge on the financial implications of policy or operational proposals 100% of staff completing the appraisal and objective setting process within agreed timeframe. New survey metrics* Stakeholders Staff Council Targets 100% 100% of recruited positions filled 100% 100% of staff completing relevant training in accordance with priorities identified by the Senior Management Team by Staff feel valued and supported to deliver their work Staff feel trust about and commitment to the organization +/ 5% or less variance from expected income and expenditure budgets % variance from reserves and contingency funds target (target to be established) GOC staff consider that the Finance Department provides valuable and effective advice on financial issues Key GOC stakeholders consider that the GOC is financially sound and effectively managed 100% TBA TBA C22(12) Apr Jun Jul Sep Oct Dec Jan Mar Paper Author: Samantha Peters April 2012 Page 12 of 14

13 C22(12) IT Activity Managing the GOC s IT systems, resolving technical issues and providing IT support for staff. Facilities Managing GOC facilities and maintaining a safe and secure office environment for staff and visitors. Staff consider that the GOC s IT systems are reliable and fit for purpose (targets to be established) Number of disruptions to the GOC website and other IT services (targets to be established) Staff consider that the GOC s offices are fit for purpose (targets to be established) New survey metrics* 2012 Stakeholder Targets 13 Counci Staff l s TBA Apr Jun 2011 Jul Sep 2011 Oct Dec 2011 Health and safety incidents reported Jan Mar 2012 *New survey based metrics: Staff survey: Stakeholder survey (including registrants): Council survey: Pilot survey May to establish baseline to be met by 2013/14, moving to annual survey reporting in November Pilot survey June to establish baseline to be met by 2013/14, moving to annual survey reporting in November Annual survey to report in November Paper Author: Samantha Peters April 2012 Page 13 of 14

14 C22(12) Action Council are invited to discuss the organisational KPIs and core activity performance indicators and agree any forward action on these. Samantha Peters Chief Executive April 2012 Paper Author: Samantha Peters April 2012 Page 14 of 14