GENERAL DENTAL COUNCIL Balanced Scorecard Report Review …

GENERAL DENTAL COUNCIL

Balanced Scorecard ReportReview of Q1 2018 Performance

Project Management Office

Balanced Scorecard ReportReview of Quarter 1 2018 Performance

Index

1.1 Executive Summary1.2 Key Performance Indicators – Dashboard1.3 Key Performance Indicators Referenced Sheet - Rationale For Priority Status1.4 RAG Summary and Performance Framework Links1.5 Tracking of Previous EMT Actions

Annex A – Full performance report

PROJECT MANAGEMENT OFFICEBALANCED SCORECARD REPORT – QUARTER 1 2018

Key Performance IssuesKey Performance Successes

1. Registration active processing time continues to be within target. Performance in the average overall processing times for UK Dentist and Restoration applications are outside of target but all average active processing times are within target. There was an increase of 19% for UK DCP applications compared against the previous quarter, however this route’s processing times remain within target. Customer satisfaction (91%) and call centre performance (98%) were both maintained from the previous quarter (see section 1.6Registration Performance Indicators – Process Dashboard).

2. Parts of the FTP process have either maintained performance from the previous quarter or improved. Eight of the 13 performance indicators within section 2.1 have improved performance. IAT timeliness has improved by 17% and is within the 20 day target. ILPS productivity has hit 100% for this quarter. Hearing days productivity has continued to decrease with 8% of days either lost or wasted. There has also been significant positive improvement across Case Examiner timeliness (PI/FTP/004) and prosecution timeliness (PI/FTP/009) with both performance indicators now just under their respective target levels. Caseloads at IAT and Assessment have also reduced this quarter (see section 2.1 FTP End-to-End Process – Performance Indicators Dashboard). The DCS has also performed strongly during Q1 and met each of its targets.

3. The organisation’s recruitment costs have significantly decreased in Q1 2018. Recruitment campaign costs decreased to an average of £998, which is largely due to 18 roles recruited internally and more emphasis on using new channels, engaging with candidates and reducing the need for recruitment agencies (see section 3.2 HR Performance Indicators – Recruitment).

1.1 Executive Summary

Actions Planned by EMTLooking Forward

1. Q2 2018 will be a seasonally busy period for a number of parts of the organisation. The 2019 budget and business planning development process will be launched across the organisation during the period. The seasonal peak of UK Dentist Graduate registrations will commence in May and run through to July, and the DCP annual retention fee collection will launch in June and run to the end of July.

2. Work will continue to progress to move part of the organisation to a Birmingham-based office by the end of 2018. The GDC's headquarters will remain at our Wimpole Street office but work will continue to select the building that operations will be based from within Birmingham. Work will take place over the quarter to begin to review and standardise processes as part of the training plan for new starters later in the year. The Dental Complaints Service will also move from Croydon into Wimpole Street as part of our aim to ensure effective use of our resources. This will happen in May 2018.

1. The EMT will continue to monitor FTP timeliness and will focus on improving timeliness performance indicators that are more than50% below target. Improvement work will be carried out as part of the FTP End to End Review, which has the objective of improving timeliness across the entire process.

2. To ensure the content of the balanced scorecard is fully aligned against budget performance and risk management, the EMT is exploring the ways that this overall picture can be presented. An examination of current reporting models is taking place to enable the EMT to understand the link between budget, performance and risk and the impact in each area of the organisation.

3. The EMT will continue to focus on a re-design of turnover and recruitment performance indicators to reflect the expected increased activity in each of these areas. The recruitment and turnover performance indicators will be split by directorate to provide greater oversight on how organisation functions are performing in respect of these areas. Further work will be carried out to provideincreased analysis on the journey that staff take from joining to leaving the organisation.

1. Several FTP timeliness performance indicators continue to be significantly below target. Four performance indicators are 50% or more below target: full case timeliness (PI/FTP/008) at 24%, investigation timeliness: receipt to Case Examiner decision (PI/FTP/005) at 13%, Assessment timelines: receipt to Assessment decision (PI/FTP/002) at 22% and Case Examiner timeliness: Assessment referral to Case Examiner completion (PI/FTP/003) at 10% (see section 2.1 FTP End-to-End Process – Performance Indicators Dashboard). Performance against IOC timeliness has also been under target for Q1 2018 due to reasons such as postponements due to registrant ill health, adjournment to provide a registrant the opportunity to attend and delays in information being received amongst other reasons (see section 2.4 Interim Orders Committee Timeliness).

2. Natural turnover remains above target at 5.3%. There were 21 leavers during Q1 2018 and 19 of these were voluntary resignations. Natural turnover has seen a steady increase from 3.1% over the past 12 months but remains consistent with Q4 2017. Following theannouncement that the GDC will move circa 90 staff to a Birmingham office by the end of 2018, it is expected that natural turnover will remain high as staff decide on their future with the organisation (see section 3.3 HR Performance Indicators – Resources).

3. There has been a rise in the number of non-serious data security incidents. There were 32 data security breaches reported this quarter, of which 53% were reported as significant. The 17 significant data security breaches reported equates to an increase of 113% in comparison to the previous quarter. Seven of these were caused by third parties, including Royal Mail, experts instructed in FTP matters and others. Most have been caused by relatively basic errors such as checking disclosures. Common issues have also included cases that have been handled by multiple Caseworkers as individuals are not as familiar with the case. A few incidents have also been due to a new Caseworker assuming the previous one did everything correctly with the consequence that they then cause a DSI (see section 3.6 Information Indicators).


KPI/FCS/001 - Organisational Income

THIS PERIOD: 105% to budgetPREVIOUS PERIOD: 103%

TARGET: 100%Further info: Annex A – 1.1

• Total income is higher than budgeted by £1.6m for this quarter. This is largely due to higher than budgeted Dentist ARF income (£1.6m).

• A 5% risk factor was included in the budget. However, 4% of the risk did not materialise.

1.2 Key Performance Indicators Dashboard

KPI/FCS/002 - FTP Expenditure KPI/FCS/003 - Non-FTP Expenditure KPI/HRG/004 - Staff Sickness KPI/HRG/005 - Natural Turnover

THIS PERIOD: 94% of budgetPREVIOUS PERIOD: 80%


• FtP expenditure is £209k lower than budgeted for the quarter. This is largely due to an underspend of £200k in Legal fees as there was a decline in the number of incoming cases as well as a delay at the casework stage.

THIS PERIOD: 86% of budgetPREVIOUS PERIOD: 89%


• Overall non-FtP expenditure is £832k lower than budgeted in this quarter.

• Non-FtP Legal & professional fees were £221k lower than budgeted.

• There was an underspend of £103k in Research & Engagement costs.

• Meeting fees were lower than budgeted (£85k).

THIS PERIOD: 2.63 average daysPREVIOUS PERIOD: 1.8 days

TARGET: Average within 2 daysFurther info: Annex A – 3.2

• There was a higher rate of staff sickness in comparison with Q4 2017, but if reviewed with comparable data in Q1 2017 the figures are very similar (2.76 days average).

THIS PERIOD: 5.3%PREVIOUS PERIOD: 5.5%

TARGET: Within 2.6%Further info: Annex A – 3.2

• 19/21 leavers in Q1 2018 were as a result of voluntary resignation.

• The natural staff turnover has seen a steady increase from 3.1% over the past 12 months but remains consistent with Q4 2017.

KPI/FTP/014 - IOC Timeliness - Registrar and Case Examiner Referrals

KPI/FCS/009 - GDC Website and Online Register Availability

KPI/FCS/010 - Dynamics CRM Availability

THIS PERIOD: 83%PREVIOUS PERIOD: 86%


• 8 of the 47 referrals made in Q1 2018 have not met the target. A detailed breakdown of the reasons for delay is listed on page 24 of this report.

THIS PERIOD: 100% availabilityPREVIOUS PERIOD: 100%

TARGET: 99.7%Further info: Annex A – 1.3

• 100% uptime was achieved with no issues recorded during the period. The availability of the GDC website and online register was continuously maintained.

THIS PERIOD: 100% availabilityPREVIOUS PERIOD: 100%

TARGET: 99.7%Further info: Annex A – 1.3

• 100% uptime was achieved with no issues recorded during the period. The system was continuouslyavailable for use in all GDC departments that process

their work through Dynamics CRM.

KPI/FTP/005 - Timeliness: From Receipt to Case Examiner Decision



• The volume of assessments made in Q1 2018 was high, which has reduced the overall caseload. The FTP Casework team has prioritised older cases in this period, as well as focussing on cases which arrived in 2018, so there was very little priority given to cases that would have met this target in Q1. The team expects to see a noticeable improvement in Q2 2018.

KPI/FTP/008 - FTP Timeliness: Overall Prosecution Case Length

KPI/FTP/006 - Proportionate Split of Internal/External Prosecution Referrals

KPI/FTP/025 - Serious Data Breaches



• This indicator is a combined metric that depends on performance throughout the entire process and improvement of each of the underpinning performance indicators will lead to improved performance in this indicator overall.

• This KPI result has improved marginally by 2% over the last quarter.

THIS PERIOD: 5 external referralsPREVIOUS PERIOD: 13 referralsTARGET: 21 or fewer referrals

Further info: Annex A – 2.1

• During Q1 2018, 5 external referrals were made compared to the budgeted level of 21.

THIS PERIOD: 1 breachesPREVIOUS PERIOD: 0 breach

TARGET: 0 breachesFurther info: Annex A – 3.6

• There was 1 serious incident that required reporting to the ICO in Q1 2018. This was an issue with a Rule 4 bundle which contained non relevant medical information regarding the informant and which was disclosed in error to the clinical adviser, registrant and their legal team. The ICO was notified of the matter and the GDC is awaiting a response.

FINANCIAL RESOURCES

TIMELINESS INTERNAL PROCESS


KPI/REG/004 - UK DCP Applications Average Active Processing Time

THIS PERIOD: 10 daysPREVIOUS PERIOD: 5 days

TARGET: 14 daysFurther info: Annex A – 1.5

• The number of applications received increased by 19% compared to Q4 2017.

• In response to more applications received and limited staffing, the overall and active processing times have taken longer.

KPI/REG/006 – Restoration Applications Average Active Processing Time

THIS PERIOD: 11 daysPREVIOUS PERIOD: 6 days

TARGET: 14 daysFurther info: Annex A – 1.5

• 369 applications were completed in Q1 2018, which is 7% lower than forecast.

• Compared to Q4 2017, 20% more restoration applications were received and 125% more applications were completed in Q1 2018.

Organisational Income Collected

Rationale for priority status: Seasonalinclusion of this measure following theQ4 Dentist ARF collection, to provokediscussion of whether the level ofincome collected has a bearing onplanned activity/performance for 2017.

1.3 Key Performance Indicators – Rationale For Priority Status

Forecast FTP Expenditure Forecast Non-FTP Expenditure Staff Sickness Natural Turnover

Rationale for priority status: Thedelivery of FTP activity within budgetedlevels is a key organisational priorityand is be included to provide ongoingboard visibility of cost control in thisarea.

Rationale for priority status: Thedelivery of Non-FTP activity withinbudgeted levels is a key organisationalpriority and is included to provideongoing board visibility of cost controlin this area.

Rationale for priority status: Sicknesslevels were above desirable levels forQ2/3 2016, therefore are included toprovide visibility of whether this trendis continuing or ceasing.

Rationale for priority status: Naturalturnover levels were above desirablelevels for Q3 2016, therefore areincluded to provide visibility ofwhether this trend is continuing orceasing.

UK Dentist Active Processing Time

Rationale for priority status: Seasonalinclusion as one of the Registrationtimeliness KPIs recognised to be mostat risk of being missed due to highvolumes of activity in this period (to bechanged on a quarterly basis).

Restoration Active Processing TimeFTP Interim Orders Timeliness: Registrar and

Case Examiner Referrals GDC Website and Online Register Availability Dynamics CRM Availability

Rationale for priority status: Seasonalinclusion as one of the Registrationtimeliness KPIs recognised to be mostat risk of being missed due to highvolumes of activity in this period (to bechanged on a quarterly basis).

Rationale for priority status: This KPIrelates to the question in the PSAdataset about IOC timeliness and isincluded to assist ongoing boardmonitoring of timeliness to support theattainment of standard four.

Rationale for priority status: Includeddue importance of GDC websiteavailability for public access to key GDCinformation, and in particular due tothe to fulfil the key statutory duty tokeep the GDC Register available to thepublic.

Rationale for priority status: Includeddue to importance of Dynamics CRMsystem availability due to the need forapproximately 200 members of staff tohave the system available to undertakework on key processes.

FTP Timeliness: From Receipt to Case Examiner Decision

Rationale for priority status: This KPIrelates to the question in the PSAdataset about casework timeliness andis included to assist ongoing boardmonitoring of timeliness to support theretention of standard six.

FTP Timeliness: Overall Prosecution Case Length FTP: Proportionate Split of Internal and External Legal Referrals Serious Data Breaches

Rationale for priority status: This KPIrelates to the question in the PSAdataset about full case timeliness andis included to assist ongoing boardmonitoring of timeliness to support theretention of standard six.

Rationale for priority status: Thismeasure has been identified as a keydriver of organisational cost and isincluded for ongoing scrutiny of costcontrol in this area.

Rationale for priority status: This KPIrelates to the question in the PSAdataset about ICO referrals and isincluded to assist ongoing boardmonitoring of data breach volumes tosupport the attainment of standardten.

FINANCIAL HR

TIMELINESS INTERNAL PROCESS


1.4 RAG summary and links with wider performance framework

Links to Strategic Risk

Work has been carried out to cross-reference the balanced scorecard key performance indicators with current live risks on the strategic risk register.

The key performance indicators have been mapped against current strategic risks to understand the RAG rating for each. This is being maintained and monitored as part of the GDC’s risk management framework.

Links to Business Plan

0

1

3

1

2

11

0

2

3

0

1

2

3

4

Financial Resources Timeliness InternalProcess

RAG Summary – Key Performance Indicators by Theme

Red Amber Green

7

11

15

4

15

97

4

11

20 0

20

4

1

0

5

10

15

20

Registration &CorporateResources

FTP OrganisationalDevelopment

Strategy

Direction of Travel Summary –Performance Indicators by Directorate

Improving Declining Maintaining Placeholder/Not comparable

0

97

0

8

3

7

3

26

10 9

5

1 03

1

0

10

20

30

Registration &CorporateResources

FTP OrganisationalDevelopment

Strategy

RAG Summary – Performance Indicators by Directorate

Red Amber Green Placeholder

At the end of Q1 2018, no projects from the 2018 business plan are at a status of complete and embedding, due to the fact the projects have not yet been delivered.

There will be work undertaken in the next quarter to develop detailed benefits realisation plans for key business plan projects. Once the projects are due to realise benefits, links will be drawn to key balanced scorecard performance indicators.


Actions Planned by EMT – Q2 2017 ReportActions Planned by EMT – Q1 2017 Report

1.5 Tracking of previous EMT actions

Actions Planned by EMT – Q4 2017 ReportActions Planned by EMT – Q3 2017 Report

1. A root/cause review of the Fitness to Practise process has been undertaken to understand and identify the variables that can determine the complexity of a case, as well as the skill set required by staff to progress each type of case. This review has produced a set of significant actions that will be undertaken between September 2017 and April 2018 to focus on improving performance in the timeliness of progressing cases that are received. The actions include a re-configuration of the structure of the Casework Teams and a project aimed at reducing the time taken to secure observations from parties in an FtP case which is anticipated to save 3-4 weeks in processing time. STATUS AS OF Q1 2018 – ON-GOING – THE CASEWORK TEAMS HAVE BEEN REARRANGED TO DEAL WITH DIFFERENT TYPES OF CASES TO MAKE US MORE EFFICIENT. THIS IS ALREADY HAVING A DEMONSTRABLE EFFECT FOR 2018 CASES. CHANGES TO THE RULE 4 PROCESS ARE BEING INTRODUCED IN APRIL 2018 TO FURTHER ENHANCE THE PROCESS. FURTHER CHANGES ARE LIKELY TO EMERAGE FROM THE END TO END REVIEW.

2. The EMT plan to review the turnover performance indicators included in the balanced scorecard to ensure that turnover in individual directorates is shown. A review of how turnover is reported will highlight any specific business critical areas that have had an increased percentage of staff leaving over any reported period. This will take place as part of a wider review of the Organisational Development directorate performance indicators to ensure that the measures in place are reflective of the directorate’s priorities. STATUS AS OF Q4 2017 – COMPLETE – FURTHER NARRATIVE HAS BEEN INCLUDED IN THE TURNOVER PERFORMANCE INDICATORS TO NOTE HOW TURNOVER IS OCCURING IN EACH AREA OF THE BUSINESS.

1. For the staff turnover measure, EMT will look to add more granularity to the key performance indicator. This will be to understand what good turnover looks like for different areas. As good turnover for one area may be bad for another. The EMT will revisit the target, and if appropriate reflect this differentiation in the scorecard measure to give a more nuanced account of the staff turnover figure. STATUS AS OF Q1 2018 – ON-GOING – FURTHER NARRATIVE HAS BEEN ADDED TO PROVIDE THE DIRECTORATE SPLIT OF TURNOVER TO KPI/HRG/005 – STAFF TURNOVER: NATURAL. FURTHER DISCUSSION WILL TAKE PLACE TO IDENTIFY HOW FURTHER GRANUALITY CAN BE ADDED.

2. The EMT to develop mitigations for the casework process and the impact it is having on the rest of the FTP process and to concentrate effort on improvements in this area, which should lead to further improvements on the other related FTP performance indicators. STATUS AS OF Q1 2018 – ON-GOING – SEVERAL CHANGES HAVE BEEN MADE TO THE FTP PROCESS SINCE THE START OF 2018 INCLUDING THE INTRODUCTION OF THE INITIAL ASSESSMENT TEAM, CHANGES TO THE CASEWORK TEAMS, PROCESS CHANGES FOR RULE 4, CORRALLING INTERIM ORDER AND ON HOLD CASES TO DEDICATED CASEWORKERS, AS WELL AS OTHER OPERATIONAL CHANGES. IMPROVEMENTS TO THE FTP PROCESS ARE BEING TAKEN FORWARD AS PART OF THE END TO END REVIEW.

1. EMT plan to approach the Department of Health (DH) for a discussion about their current capacity to consider amendments to the GDCs legislative rules. In particular, FTP timeliness in the early stages of the process is currently subject to delay due to current rules requiringmultiple informant observation points in the early stages (this is regarded to be out of step with other regulators who allow one opportunity for informant observations). A centralised repository of desired rules amendments is being collated by FTP team in liaison with the Strategy directorate to help inform discussions. STATUS AS OF Q1 2018 – ON-GOING – DISCUSSIONS WITH THE DH ON THE LEGISLATIVE FRAMEWORK ARE ON-GOING, PARTICULARLY IN RELATION TO THE IMPACT OF EU EXIT. THERE IS NO UPDATE FROM THE DEPARTMENT YET AS TO THE TIMESCALE FOR ANY LEGISLATIVE REFORM FOLLOWING THE CONSULTATION.

2. Additionally, within existing rules, the FTP team are exploring the possibility of a risk based approach towards expediting specific types of cases through the observations process in one go when the facts involved are very clear. This initiative is subject to legal advice and will be overseen by the Risk & Oversight Group. If progressed, clear process guidance will be developed (along similar lines to the IAT IOC expediting process introduced in 2016). STATUS OF Q1 2018 – ON-GOING – IN RESPONSE TO ISSUES RAISED IN THE PUBLIC CONSULTATION, FTP LEGAL AND THE STRATEGY DIRECTORATE ARE DRAFTING NEW GUIDANCE ON HOW CASE EXAMINERS’ DISCRETION TO SEEK ADDITIONAL INFORMANT COMMENTS SHOULD BE EXERCISED. THIS NEW GUIDANCE WILL GO TO EMT FOR APPROVAL AND KEY EXTERNAL STAKEHOLDERS WILL BE BRIEFED ON THE NEW APPROACH BEFORE IT IS ADOPTED.

3. EMT also plan to explore the possibility of developing Memoranda of Understanding with NHS Protect & the CQC to avoid the need for the GDC to open cases concurrently when they are being worked on by either of these bodies. This would help to reduce the number of GDC cases that become aged whilst on-hold awaiting NHS/CQC action. STATUS AS OF Q1 2018 – ON-GOING – DISCUSSION HAS TAKEN PLACE WITH NHS BUSINESS AUTHORITY AND THE CQC WITH FURTHER WORK TO TAKE PLACE OVER 2018. DEVELOPMENT OF MOU’S TO BE TAKEN FORWARD BY CORPORATE LEGAL ONCE POINTS OF CONTACT HAVE BEEN ESTABLISHED.


1. The EMT will continue to monitor the number of non-serious data security breaches that are committed. Actions will be established based on any reoccurring trends or themes from non-serous data security breaches that take place moving forwards. STATUS AS OF Q1 2018 – ON-GOING – THE EMT DISCUSS PERFORMANCE IN THIS AREA AT MONTHLY BOARD MEETINGS AND SET ACTIONS TO IMPROVE PERFORMANCE.

2. Following performance in December 2017 against PI/FTP/010 Prosecution Timeliness: Disclosure Time Taken being below target, the EMT will undertake analysis to understand what types of cases take the longest to disclose. The analysis will help identify the types of cases that are already in the earlier parts of the FTP stages that will likely require additional attention and action if they get to the Prosecution stage. STATUS AS OF Q1 2018 – ON-GOING – THERE ARE CASES WITH MULTIPLE PATIENTS OR WITNESSES, WHERE THE OLUME OF WORK IS GREATER. THESE ARE ALSO THE CASES WHICH HAVE FURTHER REFERRALS AT OTHER STAGES OF THE FTP PROCESS, GREATER COLLABORATION IS NEEDED BETWEEN THE TEAMS TO ENSURE THAT THESE CAN BE PRIORITISED AT THE EARLIER STAGES, IF APPROPRIATE. A LEARNING SESSION ON JOINDER CASES IS CURRENTLY BEING PLANNED BY THE SENIOR FTP LAWYERS FOR ILPS AND CASEWORK COLLEAGUES.

3. Following the announcement of the relocation of parts of the organisation to offices in Birmingham, a re-design of turnover and recruitment performance indicators will take place to reflect the expected increased activity in each of these areas. The recruitment and turnover performance indicators will be split by directorate to provide greater oversight on how organisation functions are performing in respect of these areas. STATUS AS OF Q1 2018 – ON-GOING – CONSIDERATION IS BEING GIVEN TO THE DATA THAT IS CURRENTLY HELD AND WHAT NEEDS TO BE COLLECTED TO ENSURE THAT A USEFUL SET OF MEASURES CAN BE CREATED THAT TELL THE STORY BETWEEN EACH TEAM, THE ESTATES WORK AND THE ORGANISATION AS A WHOLE.

ANNEX A – SECTION 1

Registration and Corporate Resources Directorate

Performance Indicators

1.1 Finance Performance Indicators1.2 IT Performance Indicators1.3 Registration Process Performance Indicators Dashboard1.4 Registration Process Dashboard Reference Information1.5 Registration Performance Indicators – Process Dashboard – Historic Tracking1.6 Supplementary Registration Performance Indicators1.7 Registration and PMO Customer Feedback and Audit Performance Indicators


REGISTRATION AND CORPORATE RESOURCES KEY PERFORMANCE INDICATORSSENIOR RESPONSIBLE OFFICER: GURVINDER SOOMAL

KPI/FCS/001 – Organisational Income

KPI/FCS/003 – Non-FTP Expenditure

KEY PERFORMANCE INDICATOR:

Total forecast GDC annual operating expenditure (excluding the FTP directorate), compared

with budget

CORPORATE STRATEGY LINK

Performance Objective 2:Management of resources/ efficiency

DESIRED OUTCOME

The costs of running organisationaloperations are proportionate and in linewith planned levels in order to deliverthe business as usual and business planinitiatives effectively.

PERFORMANCE INSIGHTS:• This KPI compares the year-to-date actual

results to the agreed budget. Overall non-FtP expenditure is £832k lower than budgeted in this quarter.

• Staffing costs were £316k lower than budgeted due to delays in recruiting to vacant posts.

• Non-FtP Legal & professional fees were £221k lower than budgeted. Commissioning of external legal advice by Corporate Legal has been less frequent than anticipated. There are timing differences with the spend on project costs, audit fees and pension advice.

• There is an underspend of £103k in Research & Engagement costs due to delays in initiating research projects and work on digital media.

• Meeting fees were lower than budgeted (£85k) due to timing differences.

ACTUAL PERFORMANCE

THIS PERIOD: 86%

PREVIOUS PERIOD: 89%

TARGET LEVEL: 100% to budget

Green when: 98% to 102%

Amber when:Below 98% OR 102.1%

to 105%

Red when: Above 105%


Total income received by the GDC from all registrant types and other miscellaneous sources compared

with budget.


Performance Objective 2: Management of resources/ efficiency

DESIRED OUTCOME

Total ARF income received by the GDC is sufficient to fund its operations.

PERFORMANCE INSIGHTS:

• Total income is higher than budgeted by £1.6m for this quarter. This is largely due to higher than budgeted Dentist ARF income (£1.6m).

• A 5% risk factor was included in the budget. However, 4% of the risk did not materialise.

ACTUAL PERFORMANCE

THIS PERIOD: 105%



Green when: 100% +

Amber when: 98% to 99.9%

Red when: 97.9% or lower

1.1 Finance Performance Indicators


Total forecast annual operating expenditure by the FTP directorate (inc FtP Commissioning) compared

with budget



DESIRED OUTCOME

The costs of running FTP operations areproportionate and in line with plannedlevels in order to deliver the business asusual and business plan initiativeseffectively.

KPI/FCS/002 – FTP Expenditure


• This KPI compares the year-to-date actual results to the agreed budget.

• FtP expenditure is £209k lower than budgeted for the quarter. This is largely due to an underspend of £200k in legal fees as there was a decline in the number of incoming cases as well as a delay at the FTP Casework stage.

• There was an overspend of £27k in meeting fees. FTP Hearings had a 92% utilisation rate of hearing days compared to the 82% that was budgeted. However, this overspend has been mitigated by the underspend in staffing costs which was due to delay in recruiting to vacant posts.

ACTUAL PERFORMANCE

THIS PERIOD: 94%




Amber when:Below 98% OR 102.1%

to 105%

Red when: Above 105%


The DB pension scheme funding position: the value of the DB

pension scheme’s assets compared to the value of its liabilities



DESIRED OUTCOME

The GDC DB pension scheme assets are sufficient to meet the scheme’s liabilities and, where this fails to be the case , the scheme is fully funded to avoid a call on the employer for further contributions.

PI/FCS/004 – Pension Scheme Funding Position

PERFORMANCE INSIGHTS:• The annual funding update as at 1 April 2017

was prepared by the pension scheme’s actuary.

• The update indicated that the defined benefit scheme’s deficit had increased from £0.5m to £2.4m since the previous update from 1 April 2016.

• This was primarily a result of the impact of worsening economic and market interest rate conditions on the valuation assumptions.

ACTUAL PERFORMANCE

THIS PERIOD: Deficit of £2.4m (93%)

PREVIOUS PERIOD: £2.4m (93%)

TARGET LEVEL: 100% or greater

Green when: Less than £2m shortfall

Amber when:Between £2m and £5m

shortfall

Red when:Greater than £5m

shortfall



PI/FCS/005 – Financial Reporting Timeliness

PI/FCS/007 – Invoices and Refunds Timeliness


Proportion of invoices and refunds that are processed in line with

recognised deadline


Performance Objective 2: Management of resources/efficiency

DESIRED OUTCOME

The Finance function provide aprofessional and timely accountingservice in respect of income collection,banking, payments and receipts ofinvoices and expenses through thepurchase and sales ledgers.

PERFORMANCE INSIGHTS:• In 2017, this KPI only measured invoices and

refunds paid on time. In 2018, the KPI will include suppliers paid on time as well, in order to reflect performance better.

• The overall Q1 performance for payment of invoices is below the target of 90%. In January, it was below target due to the annual accounts closure. However, in February and March, a target of 90% was achieved.

• The average days taken to pay the suppliers has come down from 90% to 81% due to the annual accounts closure which took place in January.

ACTUAL PERFORMANCE

THIS PERIOD:Invoices: 81%Suppliers: 90% Refunds: 97%

PREVIOUS PERIOD:86% -Invoices paid on time

76% - within time frame of refunds

TARGET LEVEL:90% processed within 30 days

Green when: 90% +

Amber when: 75% to 89%

Red when: 74% and lower


The number of reports that are submitted by Finance to budget

holders/Governance on or prior to deadline.



DESIRED OUTCOME

The Finance function is to provide aprofessional and timely accountingservice in respect of managementaccounts and related reports


• The Finance team has met all its reporting deadlines in the first quarter of 2018.

ACTUAL PERFORMANCE

THIS PERIOD:3 out of 3 Months within

deadline

PREVIOUS PERIOD: 3 out of 3

TARGET LEVEL:3 out of 3 months to

deadline

Green when: 3 out of 3 months

Amber when: 2 out of 3 months

Red when: 1 out of 3 or fewer



Proportion of associates fees &expenses and staff expenses that

are processed in line with recognised deadlines



DESIRED OUTCOME

The Finance function provide a professionaland timely accounting service in respect ofincome collection, banking, payments andreceipts of invoices and expenses through thepurchase and sales ledgers.

PI/FCS/006 – Fees and Expenses Payments Timeliness


• Performance against payment terms for associates fees & expenses continues to be above target.

• Any fees which were not processed on time were as a result of outstanding queries with the attendance forms.

• Any expenses which were not processed on time were as a result of queries with the submitted claims.

ACTUAL PERFORMANCE

THIS PERIOD:Fees – 98.5%, Expenses – 95.5%

PREVIOUS PERIOD :Fees – 98.5%, Expenses – 96%

TARGET LEVEL:95% processed within deadline

Green when: 95% +


Red when: 84% and lower

PI/FCS/008 – Adherence to Purchase Order Policy


Value of invoices where a purchase order has not been raised at the

point of commissioning the service/product



DESIRED OUTCOME

GDC purchasing policies are adhered bystaff members and purchase orders areraised in all instances when they arerequired.


• The target for this PI has been missed by £5.5k.

• There were instances with internal departments where purchase order policy was not adhered to:

o HR with 13 invoices totalling £77ko IT with 4 invoices totalling £27k.

ACTUAL PERFORMANCE

THIS PERIOD:£155.5k

PREVIOUS PERIOD:£70.5K

TARGET LEVEL:Less than £150k non

invoiced spend

Green when: Below £150k

Amber when:Between £150k and

£400k

Red when: Above £400k



PI/FCS/019 – Organisational Efficiencies


The actual realisation of planned organisational efficiencies in

comparison to budgeted levels


Performance Objective 2: Management of resources/ efficiency

DESIRED OUTCOME

The Finance function is to provide aprofessional and timely accountingservice in respect of managementaccounts and related reports.


• Overall efficiency savings for Q1 was in line with target of £1.6m.

• This is due to:o 91% (52 out of 57) new referrals to

prosecution were allocated to ILPS.o The implementation of Case Examiners

which delivered £0.7m savings in Q1.o £0.1m savings realised from replacing

stenographers with loggers.o £0.1m savings from Clinical advisors

replacing NCAS.o £0.2m savings in Hearings venue hire

costs due to a reduction in the number of external venues used.

ACTUAL PERFORMANCE

THIS PERIOD: 100%


TARGET LEVEL:For efficiency savings to be

equal to or greater than the budgeted level

Green when:Forecast yearly efficiency

savings at 100% or greater of budgeted level

Amber when:Forecast yearly efficiency savings at 95% to 99% of

budgeted level

Red when:Forecast yearly efficiency

savings at less than 80% of

budgeted level


ORGANISATIONAL INDICATOR



KPI/FCS/009 – GDC Website and Online Register Availability

KPI/FCS/011 – Dynamics CRM Availability

PERFORMANCE INDICATOR:

The proportion of time that the Dynamics CRM organisational

database is available.


Performance Objective 1: Improve performance across all functions

DESIRED OUTCOME

Key IT systems are reliable and maintainmaximum uptime to minimise businessdisruption. The central organisationaldatabase is available continuously with theminimum amount of disruption possible tostaff productivity.


• 100% uptime was achieved with no issues recorded during the period with the system continuously available for use in all GDC departments that process their work within Dynamics CRM.

ACTUAL PERFORMANCE

THIS PERIOD: 100%


TARGET LEVEL: 99.7% + availability

Green when: 99.7% to 100%


Red when: 0% to 96.99%


The proportion of time that the GDC website is available.



DESIRED OUTCOME

Key IT systems are reliable and maintain maximumuptime to minimise business disruption. The GDCwebsite (in particular due to the to fulfil the keystatutory duty to keep the GDC Register available tothe public) and FTP complaint web form) is availableto the public continuously with the minimum amountof disruption possible.


• 100% uptime was achieved with no issues recorded during the period and the availabilityof the GDC website and online register was maintained continuously.

ACTUAL PERFORMANCE

THIS PERIOD: 100%







The proportion of time that the eGDC website is available.



DESIRED OUTCOME

Key IT systems are reliable and maintain maximumuptime to minimise business disruption. The eGDC siteis available to applicants and registrants continuouslywith the minimum amount of disruption possible.

PI/FCS/010 – eGDC Site Availability PERFORMANCE INSIGHTS:

• 100% uptime was achieved with no issues recorded during the period and with the site available for applicants and registrants to make online service interactions.

ACTUAL PERFORMANCE

THIS PERIOD: 100%







The proportion of time that GDC Exchange Email is available.



DESIRED OUTCOME

Key IT systems are reliable and maintain maximumuptime to minimise business disruption. The GDCemail system is available continuously with theminimum amount of disruption possible to staffproductivity.

PI/FCS/012 – GDC Exchange Email Availability


• 100% uptime was achieved with no issues recorded during the period with GDC email available for all users continuously.

ACTUAL PERFORMANCE

THIS PERIOD: 100%






1.2 IT Performance Indicators

DEPARTMENTAL INDICATOR






PI/FCS/013 – IT Service Desk Timeliness


The proportion of IT support/development requests that

are processed within service level agreement timeframes.



DESIRED OUTCOME

The IT team provide timely and effective IT services toall GDC employees, which includes computerequipment, computer software and IT networks toconvert, store, protect, process, transmit, and securelyretrieve information.


• Performance has dropped for Q1 2018 with 93% processed within the service level agreement.

• 1,691 service desk requests were completed over this period, 101 less than Q4 2017.

• This performance indicator is a composite measure taking into account all IT service desk requests carried out across IT support, web and database services.

• Target response times range depending on the nature of the request - from 30 minutes for straightforward desktop issues to 20 days for complex change requests.

ACTUAL PERFORMANCE

THIS PERIOD: 93%


TARGET LEVEL:95% within

deadline





The proportion of customer survey feedback received in the ‘satisfactory’ category.


Performance Objective 2: Cost reduction/efficiency

DESIRED OUTCOME

The IT team provide a good level of customer servicein the effective provision of IT services to all GDCemployees, which includes computer equipment,computer software and IT networks to convert, store,protect, process, transmit, and securely retrieveinformation.

PI/FCS/014 – IT Customer Service Feedback


• 98% of users rated their service as good or very good thus remaining in target for Q1 2018.

• The IT customer survey operates in the manner of a ‘pulse’ survey – users are sent a link after every completed service desk request to enable that specific interaction to be assessed.

ACTUAL PERFORMANCE

THIS PERIOD: 98%


TARGET LEVEL: 95% satisfactory




1.2 IT Performance Indicators





PI/REG/001 & 002UK Dentist

THIS PERIOD 23 Calendar Days

PREVIOUS PERIOD13 Calendar Days

1.3 Registration Performance Indicators – Process Dashboard

KPI/REG/003 & 004UK DCP

KPI/REG/005 & 006Restoration

PI/REG/007 & 008EEA Dentist

PI/REG/009 & 010Assessed Dentist

PI/REG/011 & 012Assessed DCP

PI/REG/013 & 014Specialist

• The total number of applications completed was 59% below forecast. 32 applications were forecasted.

• Application processing times have increased despite fewer applications received, due to staff changes and applications being referred for additional checks, as well as the team waiting for pass lists from three universities.


PREVIOUS PERIOD 5 Calendar Days

17 applications received

13 applications completed

0 live applications at quarter end



• 926 applications were completed during Q1 2018, which was 10% above forecast.

• The number of applications received increased by 19% compared to Q4 2017.

• In response to an increase in the number of applications received and staffing levels, the overall and active processing times have increased.






THIS PERIOD 17Calendar Days


• 369 applications were completed in Q1 2018, which is 7% lower than forecast.

• Compared to Q4 2017, 20% more restoration applications were received and 125% more applications were completed in Q1 2018.








• 116 EEA Dentist applications were processed during Q1 2018, which was 13% higher than forecast.

• Processing times have increased compared to last quarter however there were 7% more applications completed compared to Q4 2017.








• 19 Dentist Assessment applications were completed which is 12 applications higher

than forecasted.ar• The total applications received

was 10 higher than the 52 applications received in Q4 2017.








• 8 applications were completed in Q1 2018, which was 25 applications below forecast.

• 107 applications were received, which is a 4% increase compared to the 103 applications received in Q1 2017.








• 55 applications were completed in Q1 2018, falling short of forecast by 1 application.






A.AverageOverall Processing Time

B.AverageActive Processing Time

C. C

on

text

ual

Me

asu

res Incoming

Processed

Work In Progress

D.Insights



PI/REG/001:The average overall time taken to process all UK

Dentist Applications

PI/REG/002:The average time taken with

days on-hold removed to process all UK Dentist

Applications

Average 0-14 Days

PI/REG/003:The average overall time

taken to process all UK DCP Applications


days on-hold removed to process all UK DCP

Applications


taken to process all Restoration Applications


days on-hold removed to process all Restoration

Applications

PI/REG/007:The average overall time taken to process all EEA

Dentist Applications


days on-hold removed to process all EEA Dentist

Applications


taken to process all Assessed Dentist Applications


days on-hold removed to process all Assessed Dentist

Applications


taken to process all Assessed DCP Applications


days on-hold removed to process all Assessed DCP

Applications


taken to process all Specialist List Applications


days on-hold removed to process all Specialist List

Applications

DES

CR

IPTI

ON

GREEN when:

AMBER when:

RED when:

DESIRED OUTCOME

PI/REG/001 & 002UK Dentist

PI/REG/003 & 004UK DCP

PI/REG/005 & 006Restoration

PI/REG/007 & 008EEA Dentist

PI/REG/009 & 010Assessed Dentist

PI/REG/011 & 012Assessed DCP

PI/REG/013 & 014Specialist

Applications to join the register are accurately assessed within the correct outcome made in a timely fashion to provide a prompt outcome for the applicant in line with the internally set service level agreement.

Performance Objective 1 & 2: Highly effective regulator and management of resources.

Corporate Strategy Link

Average 15 - 90 Days

91 Days (Statutory time limit level) +

Average 0-60 Days



Average 0-80 Days


121 Days (Statutory Time Limited Level) +

Within 14 Calendar Days Within 60 Calendar Days Within 80 Calendar DaysTARGETLEVEL:

Average 0-14 Days



Within 14 Calendar Days

Average 0-14 Days




Average 0-60 Days




Average 0-80 Days




1.4 Registration Performance Indicators – Process Dashboard Reference Sheet





1.5 Registration Performance Indicators – Process Dashboard – Historic Tracking

.

PI/REG/015 – Call Centre Availability PI/REG/017 – Registration Applications Processed


The year to date number of additions to the Register compared

to budgeted levels.


Performance Objective 1 & 2: Highly effective regulator and management of resources

DESIRED OUTCOME

Volume of applications coming in to the GDCremains in line with the levels expected whenthe budget is set to help maintain expectedincome position. Once arrived, applicationsare processed at the rate expected to maintainproduct processing expectations.


• The volume of applications processed remains above budget for Q1 2018 by 4%.

• 1,506 applications were completed against the 1,472 forecast:

o 61% of applications completed were UK DCP applications.

o 1% were UK Dentist.o 25% were Restoration.o 9% were EEA Dentist and Non-EEA

Dentist.o 4 % were Specialist.o 1% was Overseas DCP.

ACTUAL PERFORMANCE

THIS PERIOD: 104% to budget


TARGET LEVEL:100% of expected

registrations

Green when: 95% +

Amber when: 85% and 94%

Red when: 84% or less


The proportion of inbound calls from members of the public that are answered by the Customer Advice and Information Team

(CAIT).



DESIRED OUTCOME

The majority of customer service calls can beanswered by CAIT in a timely fashion prior tothe caller ceasing to wait in the call queue.


• 12,842 out of 13,116 offered calls were handled during Q1 2018.

• The number of calls received has reduced by 3% since Q4 2017.

ACTUAL PERFORMANCE

THIS PERIOD: 98%


TARGET LEVEL:85% + calls are

answered

Green when: 85% +


Red when: 64% or lower

1.6 Supplementary Registration Performance Indicators

PI/REG/019 – Minimum Acceptable Productivity


The proportion of all Registration staff reaching minimum acceptable

productivity (MAP) targets.


Performance Objective 1 & 2: Highly effective regulator and management of resources.

DESIRED OUTCOME

Team member productivity is high, supportingwider objectives to process volumes ofincoming work in a timely fashion.


• All of the UK Registration team members met their relevant MAP during Q1 2018. The team completed 1,308 applications during the period and had 461 live applications at the quarter end.

• Currently, MAPs are only reportable for the UK Registration area but development is ongoing to ensure a robust set of MAPs are live and monitored for both DCP and Dentist Casework teams in 2018.

ACTUAL PERFORMANCE

THIS PERIOD: 100%


TARGET LEVEL:95%+ of staff

meeting MAP's

Green when: 95%+









Combined % of respondents either strongly agreeing or agreeing with the statement “I was satisfied with

the customer service I received from the GDC”.



DESIRED OUTCOME

Recent applicants, registrants andOverseas Registration Examinationcandidates are satisfied with thecustomer service that they have receivedfrom the GDC.

PI/REG/016 – Registration Customer Satisfaction


• 91% of 346 respondents were positive about the Registration department’s customer service supplied throughout the application process during the quarter.

ACTUAL PERFORMANCE

THIS PERIOD: 91%


TARGET LEVEL: 80% or above

Green when: 80% +



1.7 Registration and PMO Performance Indicators – Customer Feedback and Audit







The proportion of Registration applications that pass audit

inspection.



DESIRED OUTCOME

All registration applications are processed inline with recognised standard operatingprocedures, and adhere to process and qualitycontrol standards. The accuracy and ofintegrity of the register is maintained and onlythose who demonstrate suitable character,health and qualifications are registered.

PI/REG/018 – Registration Audit Pass Rate


• No audits of internal Registration processes were carried out during Q1 2018 as the Dentist CPD Audit 2011-2015 cycle was being carried out.

ACTUAL PERFORMANCE

THIS PERIOD: N/A


TARGET LEVEL: 90% pass rate

Green when: 90% and 100%




The proportion of people that rate an event 7 or greater out of 10 following attendance of a PMO

project management or business planning workshop.


Performance Objective 1: Improve performance across all functions.

DESIRED OUTCOME

Members of staff from around the organisationreceive beneficial support for business planningand project management matters, that enablesthem to embed learning and improve planning andproject management in their business area.

PI/REG/020 – PMO Engagement Survey Results

ACTUAL PERFORMANCE

THIS PERIOD: 94%

PREVIOUS PERIOD: N/A

TARGET LEVEL:85% rating 7 out of

10 or above

Green when: 85%+




• During Q1 2018, the PMO hosted training sessions to support the implementation of Project Online as the organisation’s project management software. Training was delivered by both the PMO and an external consultant:

o PMO session - 100% gave a rating of 7 or above.

o External consultant session – 92% gave a rating of 7 or above.

• The PMO collects the general feedback comments and continues to improve future training and workshops they offer based on this feedback.

ANNEX A - SECTION 2

Fitness to Practise Directorate Performance Indicators

2.1 FTP Process Performance Indicators Dashboard2.2 FTP Process Performance Indicators Dashboard Reference Information2.3 FTP End-to-end Process – Performance Indicators Dashboard – Historic Tracking2.4 Interim Orders Committee Timeliness Performance Indicators2.5 Interim Orders Committee Compliance Performance Indicators2.6 Dental Complaints Service Performance Indicators

SUPPLEMENTARY INISGHTS ON SECTION 2.1 – FTP PERFORMANCE INDICATORS DASHBOARD

Please see the narrative on FTP timeliness in the executive summary (1.1) and specific narrative regarding KPI/FTP 005, 006, 008 & 009 in the organisational key performance indicators page (1.2).

A summary relating to supportive indicators is noted below:

• PI/FTP/001 – The Initial Assessment Team (IAT) timeliness performance indicator has been amended from 95% within 25 days to 95% within 20 days. As a result, performance for this target initially dipped against what has previously been reported. However, after the launch of the new IAT process, the average time to process cases at this stage has decreased. This target was met in 96% of cases during Q1 of 2018.

• PI/FTP/002 – For Q1 2018, there was an 8% drop on the Q4 2017 result within the 17 week Assessment PI. The team has reduced the backlog and has actively prioritised older cases during the quarter so a larger number of older cases which were over 17 weeks was assessed and has brought the percentage of cases that met the PI down.

• PI/FTP/004 – During Q1 2018, Case Examiner performance against the seven day target to make an initial decision has grown to 90% moving from red to amber.

• PI/FTP/004 – Assessment referral to Case Examiner completion has reduced by 8% which is a result of cases being delayed by the Rule 4 process in the Assessment stage.

• PI/FTP/007 – Time recording activity under new targets is now in place for the ILPS function. ILPS completed 100% of the hours targeted for the quarter – an improvement compared to Q4 2017.

• PI/FTP/010 – ILPS disclosure timeliness was on target during Q1, however only 50% of ELPS cases were disclosed within 98 days bringing the overall result down. 3 out of the total of 6 cases that were not disclosed within the target time were large probity cases and there were significant delays in obtaining patient records.

• PI/FTP/011 - There has been an unusually high number of part heard cases in Q1 due to a concentration of more difficult cases. The main reasons have been a combination of parties not ready to start, numerous applications being made, registrants with inexperienced representatives, registrants with late representation and the availability of GDC staff and legal teams.


FITNESS TO PRACTISE PERFORMANCE INDICATORSSENIOR RESPONSIBLE OFFICER: TOM SCOTT

IAT

2.1 FTP End-to-End Process – Performance Indicators Dashboard

430 cases

453 cases

70%

30 cases

A.Headline Timeliness Performance Indicators

B.Supportive Measures

C. C

on

text

ual

Me

asu

res

Incoming

Processed

Work In Progress

PI/FTP/001 – IAT Timeliness: Receipt to IAT Decision

TARGET: 95% within 20 daysTHIS PERIOD: 96%


Referral Rate

319 cases

357 cases

63%

788 cases

216 cases

142 cases

39%

288 cases(56 - CE Support + 232 - Rule 4)

52 cases

79 cases

91%

135 cases

5 cases

13 cases

9%

51 cases

57 cases

32 cases

50%

190 cases awaiting hearings

Assessment Case Examiners ELPS HearingsILPS

PI/FTP/002 – Assessment Timeliness: Receipt to Assessment Decision

TARGET: 70% within 17 weeksTHIS PERIOD: 22%


PI/FTP/004 – Case Examiner Timeliness: Allocation to

Initial Case Examiner Decision

TARGET: 95% within 7 daysTHIS PERIOD: 90%


PI/FTP/003 – Case Examiner Timeliness: Assessment

Referral to Case Examiner Stage Completion

TARGET: 75% within 9 weeksTHIS PERIOD: 10%


KPI/FTP/006 – Proportional Split of Internal/External Prosecution Referrals

TARGET: 21 or fewer cases referred externally per quarterTHIS PERIOD: 5 ELPS referrals

PREVIOUS PERIOD: 13 ELPS referrals

PI/FTP/007 – ILPS Staff Productivity

TARGET: 95% of staff meeting targetTHIS PERIOD: 100%


PI/FTP/013 – Hearing Days Productivity

TARGET: Under 20% Lost/WastedTHIS PERIOD: 8%


PI/FTP/011 – Hearings Completed Without Adjournment

TARGET: 85%THIS PERIOD: 69%


PI/FTP/009 – Prosecution Timeliness: Case Examiner Referral to HearingTARGET: 80% within 9 months THIS PERIOD: 71% PREVIOUS PERIOD: 49%

KPI/FTP/008 – Full Case Timeliness: Overall Case Length (Receipt to Final Hearing Outcome)TARGET: 75% within 15 months THIS PERIOD: 24% PREVIOUS PERIOD: 22%

KPI/FTP/005 – Investigation Timeliness: Receipt to CE DecisionTARGET: 75% within 6 months THIS PERIOD: 13% PREVIOUS PERIOD: 26%

PI/FTP/012 – Hearings Completed With Facts Proved

TARGET: 80%THIS PERIOD: 97%


PI/FTP/010 – Prosecution Timeliness: Disclosure Time Taken

TARGET: 80% of cases disclosed within 98 DaysTHIS PERIOD: ILPS – 91%, ELPS – 50%

PREVIOUS PERIOD: ILPS – 75%, ELPS – 33%



KPI/FTP/RefIAT

2.2 FTP End-to-end Process – Targets Reference Sheet

A.Headline Timeliness Performance Indicators

B.Supportive Measures

PI/FTP/001The proportion of cases to clear IAT within 20 working days of receipt

TARGET: 95% + on timeGreen: 95%+ Amber: 90 - 94%

Red: <90%(PO 1 & PO 5)* [DO1]*

KPI/FTP/RefAssessment

KPI/FTP/RefCase Examiners

KPI/FTP/RefELPS

KPI/FTP/RefHearings

KPI/FTP/RefILPS

PI/FTP/002The proportion of cases that reach the Assessment stage to be appropriately assessed within 17 weeks of receipt


Red: <65%(PO 1 & PO 5)*

[DO2]*

PI/FTP/004The proportion of cases that reach the Case Examiner stage to have an initial

Case Examiner decision within 7 working days of allocation from Case

Examiner Support


Red: <90%(PO 1 & PO 5)*

[DO3]*

PI/FTP/003The proportion of cases that reach the Case Examiner stage of the process to

have a substantive Case Examiner decision within 9 weeks of referral

TARGET: 75% + on timeGreen: 75%+ Amber: 65 - 74% Red:

<65%(PO 1 & PO 5)*

[DO3]*

PI/FTP/006 The proportionate split of Prosecution referrals between Internal Legal

Prosecution Services (ILPS) and External Legal Prosecution (ELPs) functionsTARGET: 7 or fewer ELPS referrals per month

Green: 7 or fewer Amber: 8 – 9 Red: 10+(PO 2)* [DO4]*

PI/FTP/007The proportion of all ILPS staff to reach annual time recording targets by team

roleTARGET: 95% Of Staff

Green: 95%+ Amber: 90 - 94% Red: <90%

(PO 2)* [DO5]*

PI/FTP/013 The proportion of Lost and Wasted hearing days to remain versus total

scheduled days each monthTARGET: Under 20% Lost/Wasted

Green: 20% or under Amber: 20 – 24% Red: >25%

(PO 2)* [DO10]*

PI/FTP/011The proportion of initial hearings to be

completed without adjournmentTARGET: 85% Green: 85%+

Amber: 80 - 84% Red: <80%(PO 2)* [DO8]*

PI/FTP/009 The proportion of prosecution cases heard within 9 months of referral for prosecutionTARGET: 80% + on time Green: 80%+ Amber: 70 - 79% Red: <70%

(PO 1 & PO 5)* [DO6]*

PI/FTP/012The proportion of cases heard at initial

hearings to have facts provedTARGET: 80% Green: 80%+ Amber: 70 - 79% Red: <70%

(PO 5)* [DO9]*

PI/FTP/010 The proportion of prosecution cases to be disclosed within 98 working days of

referralTARGET: 80% + on time Green: 80%+ Amber: 75 - 79% Red: <75%

(PO 1 & PO 5)* [DO7]*

(PO 1) Performance Objective 1: Reduce time taken to investigate complaints (PO 2) Performance Objective 2: Management of resources/ efficiency (PO 5) Professional Objective 5: Timely, fair and proportionate FTP action

(PO)*Objectives

[DO]*Desired Outcome

DO1: Allegations of impaired practise to be appropriately assessed at the IAT stage in a prompt fashion that enables timely progression or closure of the case as promptly as possible for those parties involved whilst reaching the correct outcome in the interests of patient protection.DO2: Allegations of impaired practise to be appropriately assessed at the Assessment stage in a prompt fashion that enables timely progression or closure of the case as promptly as possible for those parties involved whilst reaching the correct outcome in the interests of patient protection.DO3: Allegations of impaired practise to be appropriately assessed at the Case Examiner stage in a prompt fashion that enables timely progression or closure of the case as promptly as possible for those parties involved whilst reaching the correct outcome in the interests of patient protection.DO4: ILPS are able to be allocated with the budgeted level of cases to enable ELPs costs to be kept under control and within budgeted levelsDO5: ILPS productivity levels are high, supporting the objective to be able to be allocated with the budgeted level of cases to enable ELPs costs to be kept under control and within budgeted levelsDO6: Formal prosecution hearings are concluded in a prompt fashion that enables timely resolution of the case as promptly as possible for those parties involved whilst reaching the correct outcome in the interests of patient protection.DO7: Disclosure takes place within a suitable timeframe to support the wider aim for cases to be concluded in a prompt fashion that enables timely resolution of the case as promptly as possible for those parties involved whilst reaching the correct outcome in the interests of patient protection.DO8: Adjournments of formal prosecution cases are kept to the lowest possible levels, in order to support timeliness and efficiency in the prosecution processDO9: Alleged facts that have progressed through the full case management and prosecution process are proven to have been accurateDO10: Wasted hearings capacity and cost is kept to the lowest possible level in order to reduce costs and run the hearings scheduling process as efficiently as possibleDO11: Through work with the NHS, the GDC ensures that concerns about the performance and conduct of a dental professional are dealt with by the appropriate body.

PI/FTP/005 The proportion of cases that reach the Case Examiner stage of the process to have an initial Case Examiner decision within 6 months of receipt

TARGET: 75% + on time Green: 75%+ Amber: 65 - 74% Red: <65% (PO 1 & PO 5)* [DO3]*

PI/FTP/008 The proportion of cases that reach an initial hearing within 15 months of receiptTARGET: 75% + on time Green: 75%+ Amber: 65 - 74% Red: <65% (PO 1 & PO 5)* [DO6]*

DEPARTMENTAL INDICATORS



2.3 FTP End-to-end Process – Performance Indicators Dashboard – Historic Tracking



Target = 95% within 20 days Target = 70% within 17 weeks Target = 75% within 6 months Target = 21 or fewer cases referred externally per quarter

Target = 75% within 9 weeks Target = 95% within 7 days Target = 75% within 15 months Target = 80% within 9 months

2.3 FTP End-to-end Process – Performance Indicators Dashboard – Historic Tracking



Target = 85% Target = 80% Target = 95%

Target = under 20% Target = 80% of cases disclosed within 98 days Target = 17 referrals per month

Note: In September 2017, the self-triage web form was introduced, which is a likely reason for why the number of cases referred to NHS have reduced. Informants using the web form will now engage directly with the NHS.

KPI/FTP/014 – IOC Timeliness: Registrar and Case Examiner Referrals

PI/FTP/016 – IOC Timeliness: IAT Referrals (following consent chase)


The proportion of initial IAT IO cases requiring consent chase to be heard within 33 working days from

receipt.


Professionals Objective 5 & Performance Objective 1: Timely, fair and proportionate FTP action/ reduce time

taken to investigate complaints.

DESIRED OUTCOME

Matters that raise a question of the need for an interim order are progressed to a hearing in a prompt fashion as soon as possible after Registrar/CE referral, enabling a timely decision as promptly as possible whilst reaching the correct outcome in the interests of patient protection.


• Only one cases was referred from IAT during Q1 2018. This case did not meet the target to refer to the IOC within 33 working days.

• The case took 40 working days from receipt to be heard at IOC.

• The reason that the case was delayed at the outset was to seek confirmation from the informant in relation to the dates of some of the matters that she had complained to us about. The informant was emailed asking for this information but only responded two weeks later causing a delay in the team being able to make the referral to the Registrar.

ACTUAL PERFORMANCE

THIS PERIOD: 0%


TARGET LEVEL: 95% + on time

Green when: 95% +

Amber when: 90- 94%

Red when: <90%


The proportion of initial IOC cases to be heard within 21 working days

of referral by Registrar or Case Examiner.




DESIRED OUTCOME


PERFORMANCE INSIGHTS:• 8 of the 47 referrals made in Q1 2018 have not met this

target.• Two cases were postponed due to a registrant’s ill health. • One case was adjourned at the hearing to allow the

registrant to get legal representation.• One case was adjourned by a Committee to give a

registrant opportunity to attend, although the registrant did not intend to attend.

• One case was postponed to allow the Council further time to investigate new information.

• One case was relisted because firstly ILPS wanted the case to be heard with a co-registrant. The second time it was relisted because the defence for the co-registrant objected to the hearing being with the same panel for both registrants.

• One case was not listed within the deadline because no space was available any earlier in the schedule.

• One case had to be relisted due to the wrong time having been put on the Notice of Hearing meaning two cases were listed at the same time. The panel heard the other case first but ran out of time to hear the second case so the second one was relisted.

ACTUAL PERFORMANCE

THIS PERIOD: 83%



Green when: 95% +

Amber when: 90- 94%

Red when: <90%

2.4 FTP Performance Indicators –Interim Orders Committee Timeliness


The proportion of initial IAT IOC cases to be heard within 28 working

days from receipt.




DESIRED OUTCOME


PI/FTP/015 – IOC Timeliness: IAT Referrals


• 3 of the 7 cases referred missed the target of 28 working days in Q1 2018.

• One case was delayed at IAT due to insufficient chasing/monitoring by IAT at the time – it took two weeks to receive consent from an informant.

• Two other cases were referred on time, however there were delays at a hearing. One case was adjourned at a hearing due to a registrant not attending. The committee wanted to give the registrant opportunity to take part. Another case was postponed to allow the Council further time to investigate new information.

ACTUAL PERFORMANCE

THIS PERIOD: 57%



Green when: 95% +

Amber when: 90- 94%

Red when: <90%






PI/FTP/017 – Resumed Order Statutory Compliance: Jurisdiction

PI/FTP/019 – Interim Orders Statutory Compliance: High court extensions


The proportion of High Court extension orders to be made before

expiry of interim order.


Professionals Objective 5: Timely, fair and proportionate FTP action.

DESIRED OUTCOME

Interim Orders are progressed in line with statutory and procedural guidance and the order is maintained in the interests of patient protection.


• No High Court Extension orders were made after expiry of an order in Q1 2018.

ACTUAL PERFORMANCE

THIS PERIOD: 100%


TARGET LEVEL: 100% compliant

Green when: 100%

Amber when: N/A

Red when: <100%


The proportion of reviews of Resumed cases to be heard without

loss of jurisdiction.



DESIRED OUTCOME



• No loss of jurisdiction within review hearings of Practice Committee sanctions took place in Q1 2018.

ACTUAL PERFORMANCE

THIS PERIOD: 100%



Green when: 100%

Amber when: N/A

Red when: <100%


The proportion of review interim order hearings to be heard within

the stated statutory deadlines.



DESIRED OUTCOME


PI/FTP/018 – Interim Orders Statutory Compliance: Statutory Reviews


• One case missed a statutory deadline during Q1 2018. Review IOC was supposed to be listed before 24 January 2018 but was actually listed for review on 29 March 2018.

• This was due to an issue with Hearings Case Management Officers receiving IOC High Court Extension group emails in 2017, which meant that the case was missed.

ACTUAL PERFORMANCE

THIS PERIOD: 98%



Green when: 100%

Amber when: N/A

Red when: <100%

2.5 FTP Performance Indicators –Interim Orders Committee Compliance






PI/STR/001 – Timeliness of DCS Enquiry Handling

PI/STR/003 – DCS Customer Service Feedback


The proportion of feedback received which falls into the

categories of 'good' or 'excellent’.

CORPORATE STRATEGY LINKPerformance objective 3: Be transparent about our approach so public, patients,

professionals and partners can be confident about our approach

DESIRED OUTCOME

DCS service users are left with a positiveperception of their experience of engagingwith the DCS process.


• This indicator measures the average percentage across several key categories within the DCS customer service feedback forms.

• DCS have changed the way they receive feedback following the introduction of an online survey. Almost 90% of feedback is sought electronically with a good response. Those that do not have access to computers are sent paper forms and these have a high rate of return. The feedback has been very encouraging during the quarter with low resource availability.

ACTUAL PERFORMANCE

THIS PERIOD: 96%



Green when: 90% +


Red when: < 85%


The proportion of DCS enquiries that are completed within 48 hours.


Performance objective 1: Improve performance across functions so we are highly

effective as a regulator

DESIRED OUTCOME

DCS enquiries are dealt with in a timelyfashion that enables the enquirer to seek theinformation that they require within a suitabletimeframe.


• This indicator is a combined average of new email, phone, letter and webform enquiries in the quarter received and processed by the DCS.

• Similar to the previous quarter, calls and letters were processed within target in over 90% of cases.

• This is a positive result despite the size of the team reducing from 7.6 to 4.6 during most of Q1 2018.

ACTUAL PERFORMANCE

THIS PERIOD: 94%



Green when: 80%+


Red when: < 75%


The proportion of DCS cases that are completed within 3 months.


Performance objective 1: Improve performance across functions so we are highly

effective as a regulator

DESIRED OUTCOME

DCS cases are dealt with in a timely fashionthat leads to a swift resolution to complaintsfor the patient and the practitioner.

PI/STR/002 – Timeliness of DCS Case Resolution


• 89% of cases were substantively completed within three months during Q1 2018.

• Monthly 1-1’s and case reviews with the Operations Manager have continued to press on the importance of progressing cases in line with the process.

• DCS also held 3 panel meetings in Q1.

ACTUAL PERFORMANCE

THIS PERIOD: 89%



Green when: 80% +


Red when: < 75%

2.6 Dental Complaints Service Performance Indicators






ANNEX A - SECTION 3

Organisational Development Directorate Performance Indicators

3.1 Governance Performance Indicators3.2 HR Performance Indicators – Recruitment3.3 HR Performance Indicators – Resources 3.4 HR Performance Indicators – People Planning, Engagement and Development3.5 Facilities Performance Indicators3.6 Information Performance Indicators3.7 Illegal Practice performance Indicators


ORGANISATIONAL DEVELOPMENT PERFORMANCE INDICATORSSENIOR RESPONSIBLE OFFICER: BOBBY DAVIS


The satisfaction level of Council members and the Executive with

meeting paper quality demonstrated through post-

meeting survey results.


Performance Objective 1: Good governance/strong leadership

DESIRED OUTCOME

Council members need to beappropriately informed and have goodinformation to make evidence baseddecisions.

PI/HRG/011 – Council/Committee Paper Quality


• Satisfaction with paper quality and meetings continues to be high.

• Timing of paper circulation and allocation of time for items were noted and fed back for the next planning cycle.

PI/HRG/013 – Corporate Complaints Timeliness

PI/HRG/010 – Council/Committee Paper Circulation Timeliness

PI/HRG/012 – Council/Committee Minutes Circulation Timeliness


The number of corporate complaints responded to within the

15 working day deadline.



DESIRED OUTCOME

All corporate complaints are respondedto within the 15 working day deadline.


• Three corporate complaints were responded to in Q1 2018. One complaint was responded to outside of KPI as the staff member responsible went on sick leave, which has meant the overall performance is outside of the target level.

• This issue will be mitigated in future by the Executive Support Manager monitoring the stream of complaints.

• There were two live complaints at the end of this period.

• The number of complaints has markedly decreased over the last 12 months.


The number of Committee and Council minutes that are shared to EMT in line with recognised post-

meeting deadlines.



DESIRED OUTCOME

Providing minutes to Directors on timeensures points discussed in meetings aresufficiently and correctly recorded, andcan then be forwarded to the Chair forfurther scrutiny.


• Significant turnover of governance managers meant that meeting support in February was provided by longer serving staff whilst new members were inducted.

• Failure to achieve the target should be viewed in light of the importance that quality of minutes was maintained during this period, and new staff felt supported during their induction period.

• This delay did not impact the business of the committees nor the reporting to the Council.

• There has been maintained performance improvement since Q3 2017.


The proportion of meeting papers that are shared to Council members

and the Executive in line with recognised pre-meeting deadlines.



DESIRED OUTCOME

Providing papers to Council membersand the Executive with adequate time toconsider content supports goodevidence based decision making.


• There were 10 meetings and 143 papers in Q1 2018 compared to 15 meetings and 161 papers in the previous quarter.

• 10 of the 21 late papers were related to EMT Board and the rest were Council or committee. Most of the delayed papers were due to timing issues with matters outside of the governance framework (e.g. external meetings or impromptu matters for decision).

• Since this has been outside of KPI for several reporting cycles and in response to Council feedback, the importance of papers circulated on time will be reinforced with staff and actively reported back to respective EMT members.

3.1 Governance Performance Indicators PROJECT MANAGEMENT OFFICE

BALANCED SCORECARD REPORT – QUARTER 1 2018


ACTUAL PERFORMANCE

THIS PERIOD: 85%



deadline



Red when: 0% to 74%

ACTUAL PERFORMANCE

THIS PERIOD: 90%


TARGET LEVEL: 75% satisfaction



Red when: 0% to 49%

ACTUAL PERFORMANCE

THIS PERIOD: 3

PREVIOUS PERIOD: 5

TARGET LEVEL: Less than 2 late

Green when:0-2 sets of minutes over

a day late in period

Amber when:3-4 sets minutes over a

day late in quarter

Red when:5+ sets minutes over a

day late in quarter

ACTUAL PERFORMANCE

THIS PERIOD: 66%



deadline

Green when: 85% - 100%


Red when: 0% to 74%






HR & GOVERNANCE PERFORMANCE INDICATORSSENIOR RESPONSIBLE OFFICER: BOBBY DAVIS

PI/HRG/001 – Recruitment Campaign Timeliness

KPI/HRG/003 – Recruitment Right First Time


The proportion of roles recruited to first time.


Performance Objective 1: High quality recruitment

DESIRED OUTCOME

Carrying out recruitment campaigns in atimely fashion helps to limit the impacton GDC productivity resulting from postsbeing vacant.

PERFORMANCE INSIGHTS:• 98% of campaigns were filled first time round in

Q1. Of the 41 campaigns, this equates to 40 being recruited at the first attempt.

• One role – EA to EMT failed at the first attempt due to a poor field of candidates from agencies. Campaign repeated with a greater emphasis on direct engagement which gave 2 appointable candidates.

• 8 new appointments can be attributed directly to the Estates announcement, though it is difficult to tell whether it affected the requirement to recruit for posts in other directorates. The impact has been felt more towards the end of Q1, and this figure is set to increase in Q2 where there are already 2 appointments and 8 pending.

ACTUAL PERFORMANCE

THIS PERIOD: 98%


TARGET LEVEL: 90% of employees

Green when:90% + of campaigns filled

first time

Amber when:70% to 89% of campaigns

filled first time

Red when:69% or fewer campaigns

filled first time


The proportion of recruitment campaigns that are completed from start (requisition) to finish (appointment) within 6 weeks.



DESIRED OUTCOME

Carrying out recruitment campaigns ina timely fashion helps to limit theimpact on GDC productivity resultingfrom posts being vacant.


• 98% of recruitment campaigns (40/41) were completed within the six week time frame.

• One role was filled outside of target SLA – EA to EMT (by one week).

• 9 roles were filled immediately via candidate talent pool (time to recruit = 0 weeks, as the data for this is reported in whole weeks). In reality, it may have taken 1-2 days for discussions with the hiring manager and administration of the offer but since there is no additional attraction time, they have been reported as immediate appointments. Work has been completed in the previous campaign, so that the GDC is in a position to make further offers

• 8 ‘at-risk’ staff have moved internally. 4 redeployed to perm roles in other directorates. 4 secondments to other ‘at risk’ roles (development opportunities).

ACTUAL PERFORMANCE

THIS PERIOD: 98%



deadline





The average cost per employeerecruitment.


Performance Objective 2: Cost reduction/efficiency

DESIRED OUTCOME

The costs of recruiting new staff are notexcessive and remain withinbudgeted/target levels.

PI/HRG/002 – Recruitment Campaign Cost


• 18 roles recruited internally (including 8 redeployment positions).

• 15 roles recruited directly.• 8 appointments incurred agency fees (4 temp

to perm/FTC for business reasons without a campaign taking place).

• 80% of roles recruited internally or directly at no additional cost.

• Overall, this quarter has benefited from a greater emphasis on candidate pools, pipelining and direct engagement with candidates, reducing the need for recruitment agencies.

ACTUAL PERFORMANCE

THIS PERIOD: £998

PREVIOUS PERIOD: £3862

TARGET LEVEL:Average cost below

£2500

Green when:100% or lower than

target


Red when: 120% +

3.2 HR Performance Indicators –Recruitment



ORGANISATIONAL INDICATOR KPI/HRG/018 – Recruitment Probation Success


The proportion of employees who successfully completed their probation period within the

designated time period after start date.



DESIRED OUTCOME

Probation pass indicates appropriate levelof competence reached and avoids need torepeat recruitment.

PERFORMANCE INSIGHTS:• 21 employees in total were due to pass

probation within this quarter.• 4 /21 were voluntary leavers before reaching

the end of probation.• 17/21 formally passed probation equating to

81%.• 0% failed probation.

ACTUAL PERFORMANCE

THIS PERIOD: 81%


TARGET LEVEL: 90% of employees

Green when:90% + of employees meet

criteria

Amber when:70% to 89% of employees

meet criteria

Red when:69% or less of employees

meet criteria



The natural rate of organisational GDC turnover.


Performance Objective 1: Effectivemanagement of staff

DESIRED OUTCOME

For levels of natural employee turnoverto be in line with benchmarked nationalaverage to help support productivity inline with planned levels.

KPI/HRG/005 – Staff Turnover: NaturalPERFORMANCE INSIGHTS:

• 19/21 leavers in Q1 2018 by voluntary resignation:

o EMT x1o FTP x9o OD x5o R & CR x5

• 3 out of 19 completed the exit questionnaire (16%): 1 leaver during probation, none with over 5 years’ service.

• The natural staff turnover has seen a steady increase from 3.1% over the past 12 months but remains consistent with Q4 2017:

o Q4 2017 = 5.5%o Q3 2017 = 5.0%o Q2 2017 = 4.3%o Q1 2017 = 3.2%o Q4 2016 = 3.1%

KPI/HRG/004 – Staff Sickness

PI/HRG/006 – Staff Turnover: Overall


The overall level of organisational turnover.



DESIRED OUTCOME

For levels of overall employee turnoverto be in line with benchmarked nationalaverage to help support productivity inline with planned levels.


• 21 leavers in Q1 2018, of which 1 was a mutual agreement (FTP) and one was an end of fixed-term contract (FTP).


The average number of employee sickness days for all GDC staff.



DESIRED OUTCOME

For levels of employee sickness to be inline with benchmarked national averageto help support productivity in line withplanned levels.


• The average sickness figures are based on both long term (LTS) and short term (STS) absences.

• LTS - 4.2%, STS - 95.8%.• LTS - 10 cases, 1 employee has left and 4 are

currently still off (for reference, long-term sickness is based on absences of 20 days or more).

• Higher rate of staff sickness in comparison with Q4 2017, but if reviewed with comparable data in Q1 of 2017, figures are very similar (2.76 days average).

• The HR team are actively working with line managers to progress long term sickness cases through the processes and support staff returns from long term sickness.

3.3 HR Performance Indicators –Resources






ACTUAL PERFORMANCE

THIS PERIOD: 2.63

PREVIOUS PERIOD: 1.80

TARGET LEVEL: Average Within 2 Days

Green when: Average 0 – 2 days

Amber when: Average 2.1 – 3.0 days

Red when: Average 3.1 days +

ACTUAL PERFORMANCE

THIS PERIOD: 5.3%

PREVIOUS PERIOD: 5.5%

TARGET LEVEL: Within 2.6% Turnover

Green when: 0% to 2.6%

Amber when: 2.7% to 5%

Red when: 5.1% +

ACTUAL PERFORMANCE

THIS PERIOD: 5.9%

PREVIOUS PERIOD: 8.5%

TARGET LEVEL: Within 3.7% Turnover

Green when: 0% to 3.7%

Amber when: 3.8% to 5.9%

Red when: 6.0% +


Quarterly percentage of roles filled by internal staff compared against

external recruitment.


Performance Objective 1: Talent management

DESIRED OUTCOME

Development opportunities are utilised to develop existing staff, where appropriate, which reduces external recruitment costs and nurtures existing staff.

PI/HRG/015 – Internal Opportunities

3.4 HR Performance Indicators – People Planning, Engagement and Development




PI/HRG/014 – Staff Engagement


Average engagement scores from staff taken from a six monthly staff

survey.



DESIRED OUTCOME

Staff are engaged in their role and are also satisfied with the work of the GDC and how they contribute towards its success.


• Staff engagement has a demonstrable link to the discretionary effort staff are willing to put in. High levels of staff engagement therefore have a direct link to improved organisational performance. Engagement directly impacts productivity, retention and staff turnover, with a direct impact on recruitment costs.

• Overall engagement figure of 46% was measured in the August 2017 staff survey. 72% of staff responded to the survey.

• Action plan approved by Council in February 2018, setting out interventions to improve engagement & staff satisfaction. Plan communicated to staff in March 2018.

• Engagement data to be available from June 2018. This means action plan will have been in place for 3 months.

ACTUAL PERFORMANCE

THIS PERIOD: N/A



Green when: 70% +



PI/HRG/015 – Internal Opportunities


• 18 out of the 41 appointments went to internal staff.

• The need to appoint 56% externally is attributable to:

o A large number of roles at entry level in Registration where there was a need to recruit externally.

o A significant number of stand-alone and/or specialist roles for which there was a lack of required skills internally (e.g. Procurement Manager, Clinical Dental Adviser, IT Business Analyst).

ACTUAL PERFORMANCE

THIS PERIOD: 44%



Green when: 50% +



PI/HRG/016 – Key Roles with Identified Successor


Percentage of key roles in the organisation that have an

identified successor in place.



DESIRED OUTCOME

An identified successor allows forproactive planning for filling any keyroles that become vacant and ensures aseamless handover takes place.


• Effective succession planning reduces the risk that business critical roles are left vacant at short notice, thus safeguarding business continuity.

• Effective successors/deputies increase capacity in key roles, as well as providing development opportunities that can improve engagement and staff retention.

• Business critical roles will be examined as part of the workforce planning project and data on this performance indicator is likely to be available from Q2 2018.

• The Organisational Design (Workforce Planning) project has commenced including working with consultants on OD frameworks and a review of the resourcing approach.

ACTUAL PERFORMANCE

PLACEHOLDER AWAITINGAVAILABILITY OF DATA


Green when: 95% +





PI/FCS/014 – Health & Safety Incident Occurrence

PI/FCS/016 – Staff Satisfaction – Working Environment


Combined % of staff who are satisfied with the working

environment at the GDC from the quarterly satisfaction survey.


Performance Objective 1 & 2: Highly effective regulator and management of

resources

DESIRED OUTCOME

Facilities team are recognised to providea good level of customer service in allaspects of the day to day running of theGDC estates.

ACTUAL PERFORMANCE

THIS PERIOD: N/A



Green when: 75% +


Red when: Below 49%


Volume of serious incidents as reported to the Health & Safety Executive (under Reporting of

Injuries, Diseases and Dangerous Occurrences Regulations).



DESIRED OUTCOME

A safe environment for all GDC employees andvisitors in all parts of the GDC premises. Health,safety and environmental standards monitored,reviewed and maintained in accordance with alllegal and regulatory requirements.

ACTUAL PERFORMANCE

THIS PERIOD: 0 incidents

PREVIOUS PERIOD: 0

TARGET LEVEL: No incidents occur

Green when: No incidents occur

Amber when:

1 or more improvement notice received OR 1 or more

significant incident dealt with internally but in line with H&S Executive guidance (near miss)

Red when:1 or more prohibition

notice


Volume of serious health and safety accidents reported to the Health & Safety Executive (under Reporting

of Injuries, Diseases and Dangerous Occurrences Regulations).



DESIRED OUTCOME

A safe environment for all GDC employees andvisitors in all parts of the GDC premises. Health,safety and environmental standards monitored,reviewed and maintained in accordance with alllegal and regulatory requirements.

PI/FCS/015 – Serious Accident Occurrence

ACTUAL PERFORMANCE

THIS PERIOD:0 accidents; 0 Near Miss

PREVIOUS PERIOD:0 accidents, 1 near misses

TARGET LEVEL: No accidents occur

Green when: No accidents occur

Amber when:1 or more internally

recognised near miss

Red when:1 or more serious

accident


The proportion of time that one ormore of the Wimpole Street lifts are

recognised to be out of service.



DESIRED OUTCOME

Facilities Team ensure that lifts are 37Wimpole Street are available andreliable. Staff and visitors rely on thelifts to get to upper floors - some staffhave problems using the stairs and relyon lifts for building accessibility.

PI/FCS/017 – Wimpole Street Lift Availability

ACTUAL PERFORMANCE

THIS PERIOD: 8 hours

PREVIOUS PERIOD: 14

TARGET LEVEL:95% availability (8

hours)

Green when: 8 hours or less

Amber when: 8.1 hours to 15.9 hours

Red when: 16 hours +


• No serious accidents and no near misses were recorded in Q1 2018.


• Due to the move to Birmingham this survey is on hold.

• GVA Acuity are engaged to carry out a Workstyle study.


• This is a composite measure which captures the number of hours where one of either the main Wimpole Street lift (serving the basement floor up to floor 5), or the rear Wimpole Street Mews lift (serving the basement floor up to Mews floor 2) are out of action.

• During Q1 2018 there was only 1 reported reactive visit to remedy faults on the lifts.

3.5 Facilities Performance Indicators






• During Q1 2018, there were no incidents that led to either an improvement notice or a prohibition notice being served by H&SE.



PI/FCS/018 – External Contractor Performance


Number of jobs completed by external contractors within their

given priority SLA



DESIRED OUTCOME

The Facilities team are aware of the areas of theworking environment that matter most to staff andstaff have a mechanism for feeding back on theworking environment.

ACTUAL PERFORMANCE

THIS PERIOD: 79%


TARGET LEVEL: 95% within SLA

Green when: 95% +



3.5 Facilities Performance Indicators



• This performance indicator is based on the jobs completed by GVAAcuity, the GDC’s external contractor. Jobs are either reactive or planned and performance is reported as inside or outside the SLA. This SLA changes depending on the priority level given to the task.

• The target level for jobs to be completed within SLA has been set as 95% (GDC).

• GVAAcuity were tasked with 162 jobs during Q1 2018 of which 79.13% were within SLA of the combined Reactive and Planned Jobs.

• No negative impact to the GDC has been noted. We are investigating the 21% of jobs (data) not completed with GVA.



PI/FTP/024 – Data Protection Act Statutory Compliance


The proportion of Subject Access Requests to be responded to within

40 calendar days (incl. extension timeframes)


Performance Objective 3: Transparency about our approach

DESIRED OUTCOME

Subject Access Requests under the DataProtection Act are processed within statutorytimeframes


• 1 Subject Access Requests out of 18 was not compliant in Q1 2018.

• The response that missed the statutory timeframe in February 2018 took 48 days to collate in total due its large size.

ACTUAL PERFORMANCE

THIS PERIOD: 94%



Green when: 100%

Amber when: N/A

Red when: <100%


The number of serious incidents requiring self-reporting to the

Information Commissioners Office


Performance Objective 1: Improve performance across our functions

DESIRED OUTCOME

The GDC handles all confidential informationsecurely, fulfilling its obligations as a datahandler and avoiding the need for any seriousbreach reporting to the PSA

KPI/FTP/025 – Serious Data Security Breaches


• There was 1 serious incident that required reporting to the ICO in Q1 2018.

• This was an issue with a Rule 4 bundle which contained non relevant medical information regarding the informant and which was disclosed in error to the clinical adviser, registrant and their legal team.

• The ICO was notified of the matter and the GDC is awaiting a response.

ACTUAL PERFORMANCE

THIS PERIOD: 1

PREVIOUS PERIOD: 0

TARGET LEVEL: Zero self reports

Green when: 0

Amber when: N/A

Red when: 1 or more


The proportion of FOI requests to be responded to within the statutory

timeframe (incl. extension timeframes).


Performance Objective 3: Transparency about our approach

DESIRED OUTCOME

Requests for information under theFreedom of Information Act are processedwithin statutory timeframes.

PI/FTP/023 – Freedom of Information Statutory Compliance


• One Freedom of Information request out of 64 was not compliant in Q1 2018.

• The FOI response was sent one day after it was due.

• This was the result of a miscommunication across teams and the member of staff being off sick. The process between the relevant team and the Information Governance team has since been revised to ensure requests are not missed when they have already been drafted.

ACTUAL PERFORMANCE

THIS PERIOD: 98%



Green when: 100%

Amber when: N/A

Red when: <100%

3.6 Information Performance Indicators




PI/FTP/026 – Non Serious Data Security Breaches


The volume of non-serious data breaches (recognised to amount to an ‘amber’ incident classification)

recorded across the GDC.



DESIRED OUTCOME

The GDC handles all confidential informationsecurely, fulfilling its obligations as a datahandler and avoiding the need for any seriousbreach reporting to the PSA

ACTUAL PERFORMANCE

THIS PERIOD: 17

PREVIOUS PERIOD: 8

TARGET LEVEL: <= 6 per quarter

Green when: 0 – 6

Amber when: 7 – 12

Red when: Over 12


• During Q1, 17 out of 32 data security breaches were classified as amber or significant (53%):

o 8 were a result of data being disclosed to incorrect recipient.

o 2 occurred because of a device not being secured.

o 2 were a third party error.o 2 were lost or stolen paperwork.o 1 was as a result of incorrect data

disclosed to intended recipient.o 1 happened because patient

records were lost/stolen.o 1 happened because device was

lost/stolen.



PI/FTP/020 – Illegal Practice Timeliness: Receipt to Charging

PI/FTP/022– Illegal Practice Timeliness: Initial Paralegal Review


The proportion of enquiries into the IP team to be assessed by a

paralegal within 5 working days of receipt.



DESIRED OUTCOME

Matters that prompt a suggestion of IllegalPractice taking place are assessed in a timelyfashion for a decision as for the need for thecase to be investigated to be taken quickly.


• This PI is reported on starting from Q1 2018.• During the quarter 32 out of 301 cases

received were not assessed by a paralegal within 5 working days from receipt. The team continues to work hard to improve performance against the set targets.

ACTUAL PERFORMANCE

THIS PERIOD: 89%

PREVIOUS PERIOD: N/A


Green when: 95% +

Amber when: 90 - 94%

Red when: <90%


The proportion of IP cases to have a charging decision made within 9

months of receipt.



DESIRED OUTCOME

Illegal Practice cases are concluded in a promptfashion that enables timely progression or closure ofthe case as promptly as possible for those partiesinvolved whilst reaching the correct outcome in the

interests of patient protection.


• From Q4 2017 onwards a charging decision is determined by “Assessment of Evidence” decision type rather than “Assessment of Public Interest” decision type to fit the process better.

• During Q1 2018, 49 of 51 cases had received a decision within the nine month target.

ACTUAL PERFORMANCE

THIS PERIOD: 96%



Green when: 90% +


Red when: <85%


The proportion of enquiries into the IP team to have an initial review by a legal assistant within 3 working

days of receipt.



DESIRED OUTCOME

Matters that prompt a suggestion of IllegalPractice taking place are assessed in a timelyfashion for a decision as for the need for thecase to be investigated to be taken quickly.

PI/FTP/021 – Illegal Practice Timeliness: Administrative Review


• There was a significant improvement in the team’s performance against this KPI in 2017 overall with the Q4 result being the highest in the year.

• Q1 2018 has again seen an improvement on the previous result. This shows overall improvement in the effectiveness and efficiency in reviewing enquiries. Particularly when there has been an increase in the overall number of enquiries following changes to the GDC’s internet page, increasing visibility of Illegal Practice on the website.

ACTUAL PERFORMANCE

THIS PERIOD: 99%



Green when: 95% +


Red when: <90%

3.7 Illegal Practice Performance Indicators






ANNEX A - SECTION 4

Strategy Directorate Performance Indicators

4.1 Communications Performance Indicators 4.2 QA Performance Indicators4.3 Strategy Performance Indicators


STRATEGY PERFORMANCE INDICATORSSENIOR RESPONSIBLE OFFICER: MATTHEW HILL

PI/STR/004 – External Mass Engagement

PI/STR/006 – Internal Communications - Awareness of Organisational Priorities


Measuring percentage of staff who opened staff newsletter as indicator

of awareness of organisational priorities.


Performance objective 1: People management and strong leadership.

DESIRED OUTCOME

GDC staff members have opened the staff newsletter and as a result are well informed and engaged with key organisational priorities. This supports the wider GDC commitment to transparency (corporate value in 4Ps) and improving the GDC’s engagement with all of our audiences (objective in comms and engagement strategy).

ACTUAL PERFORMANCE

THIS PERIOD: 47%


TARGET LEVEL: 60%

Green when: 50% or above


Red when: 39% or under


• This figure shows a dip since Q4 (back to the level at the end of Q3).

• The engagement with the newsletter by staff remains positive and the Internal Communications Manager is committed to challenging different areas of the organisation to ensure both managers and staff understand there is value in reading the staff newsletter.


The number of items of media coverage generated by proactive efforts from the GDC, versus the number that are generated due to

reactive work.


Performance objective 1: Improve our communication with dental professionals and stakeholders.

DESIRED OUTCOMEThe GDC is able to plan effectively in order to positively influence and shape media coverage and to reduce the volume of reactive media coverage to the lowest possible level. This supports the wider GDC commitment to transparency and improving the GDC’s engagement with all of our audiences.

ACTUAL PERFORMANCE

THIS PERIOD: 51

PREVIOUS PERIOD: 22

TARGET LEVEL: 20 (proactive)

Green when: 15+ (proactive)

Amber when: 12 - 14 (proactive)

Red when: 11 or fewer (proactive)


The number of face to face engagement events with they GDC’s key stakeholders.


Performance objective 1: Improve our communication with dental professionals.

DESIRED OUTCOME

An increasing number of partners, professional, patients and partners are able to hear GDC messaging in face to face opportunities This supports the wider GDC commitment to transparency (corporate value in 4Ps) and improving the GDC’s engagement with all of our audiences (objective in comms and engagement strategy).

PI/STR/005 – External Face-To-Face Engagement

ACTUAL PERFORMANCE

THIS PERIOD: 33

PREVIOUS PERIOD: 40

TARGET LEVEL: 35 engagements

Green when: 30+ engagements

Amber when: 25 – 29 engagements

Red when:24 or fewer

engagements


The proportion of positive feedback received regarding staff

communications that seek to improve understanding of the external

environment.


Performance objective 1: People management and strong leadership.

DESIRED OUTCOME

Staff are more aware and have a better understanding of factors and events in the external environment that will/could have an effect on the GDC.

PI/STR/007 – Internal Communications – Understanding of the External Environment


• Since Q3 we are now able to report ‘click through rates’ where staff have clicked into an intranet/website item from items in the staff newsletter. This reflects their engagement with factors and events in the external environment that will/could have an effect on the GDC.

• There has been a slight dip by 1%. In order to improve we need to ensure articles entice staff to click through to intranet/website etc to gather more information and understanding of the external environment.

ACTUAL PERFORMANCE

THIS PERIOD: 25%


TARGET LEVEL: 40%

Green when: 40% or above


Red when: 24% or under

4.1 Communications Performance Indicators







• In Q1 of 2018, there was a total of 216 media clips featuring the GDC.

• Of these mentions, 51 (24%) were driven proactively via press releases, interview opportunities and authored content.

• Following the introduction of a new process for recording media enquiries (reactive) and tracking response status at the beginning of March, 12 enquiries were received in the month.


• The overall figure for engagement is 33, which is approximately 20% down from the previous quarter, but still above target.

• Face to face activity is broken down as follows:o Government engagement - 12 o Healthcare partners - 4o Education partners - 14o Patients - 1o DCPs - 0o Dentists - 1

• Most interaction and face-to-face activity took place in England and Scotland. The first priority in the Stakeholder Engagement Strategy is to deploy resources across the four nations and therefore boost engagement in Northern Ireland and Wales further, which is being worked on throughout 2018.




PI/STR/009 – Education providers - Proportion meeting 'Protecting Patients' Standards for Education

PI/STR/011 – Education providers - Proportion meeting 'Student Assessment’ Standards for Education


Proportion of education providers recognised to be either 'meeting' or

‘partially meeting' the Student Assessment standards


Professional Objective 2: Help ensure professionals are properly trained

DESIRED OUTCOME

Institutions are recognised to be meeting ahigh proportion of the GDC's Standards forEducation in order to help develop graduateswho are safe to practice at the point of GDCregister entry


• There has been a slight decrease in the proportion of Student Assessment standards that were judged to be fully met in 2016/17 than the 2015/16 year, with a slight increase in the proportion not met.

• See PI/STR/009 for more general insights.

ACTUAL PERFORMANCE

THIS PERIOD - 2016/17 – 47% met, 46% partially met, 8% not met

PREVIOUS PERIOD - 2015/16 – 51% met, 40% partially met, 9% not met

TARGET LEVEL:50% met and less than

10% not met

Green when:50% met and less than

10% not met

Amber when: One of criteria not met

Red when: Both criteria not met


Proportion of education providers recognised to be either 'meeting' or

‘partially meeting' the Protecting Patients standards



DESIRED OUTCOME



• An increased proportion of Protecting Patients standards have been fully met in the 2016/17 than in the 2015/16 year, with only one programme with one requirement that was not met.

• This improvement may be partly due to the number of hygiene & therapy inspections were carried out over this period, with some meeting all or nearly all requirements.

ACTUAL PERFORMANCE




10% not met


10% not met




Proportion of education providers recognised to be either 'meeting' or ‘partially meeting' the Governance

standards



DESIRED OUTCOME


PI/STR/010– Education providers - Proportion meeting ‘Governance' Standards for Education


• An slightly increased proportion of Governance standards have been fully met in 2016/17 inspections than in the 2015/16 year.

• See PI/STR/009 for more general insights.

ACTUAL PERFORMANCE




20% not met


20% not met




Proportion of inspections that require re-inspection



DESIRED OUTCOME

The majority of institutions pass inspectionfirst time round without the need for re-inspection, indicating that they are meetingrequired standard without need for re-inspection

PI/STR/012 – Proportion of inspections that require re-inspection


• As referenced in further detail in the 2015 QA annual report, re-inspection generally increases standard compliance by 50%.

• The likelihood of re-inspection differs between groups.

• Only one re-inspection was required for the programmes inspected in 2016/17.

ACTUAL PERFORMANCE

THIS PERIOD - 2016/17 – 8% re-inspections

PREVIOUS PERIOD - 2015/16 – 25% re-inspections

TARGET LEVEL: <15% re-inspection

Green when: <15% re-inspection

Amber when:15% - 29% re-

inspection

Red when: 30%> re-inspection

4.2 QA Performance Indicators





PI/STR/008 – Standards Perception


Degree of evidence of positive perception of the GDC's Standards to be tested through data collected

as part of the wider work of the Shifting the Balance Programme.


Professionals objective 4: To guide dental professionals in meeting the standards we set

for them.

DESIRED OUTCOME

GDC Registrants are able to understand andengage with the GDC Standards in order toemploy them in their work, helping to protectpatient safety.


• This performance indicator will be fully developed in line with the data collection plan for the Shifting the Balance programme.

ACTUAL PERFORMANCE

PLACEHOLDER AWAITING AVAILABILITY OF DATA

TARGET LEVEL: TBC

Green when: TBC

Amber when: TBC

Red when: TBC

4.3 Standards Performance Indicators




Documents

GENERAL DENTAL COUNCIL Balanced Scorecard Report Review …