GOC Performance Report: July September 2016 C56(16) Main

GOC Performance Report: July  September 2016 C56(16) Main

GOC Performance Report: July September 2016 C56(16) Main Report Pages 1 - 10 Annex 1: Strategic Objective Progress Pages 11 - 18 Annex 2: KPI Data Trends Pages 19 - 21 Status of key activities are reported on against a traffic light system This is an indication of timeliness. (Green, Amber & Red) 02/15/2020 General Optical Council Graph Illustrations 1 Improving our reporting The purpose of this report is to provide Council with oversight and assurance in relation to our performance We aim to develop the report in order to: during quarter two of 2016/17. It is a new style of performance reporting which we are piloting and which is being developed each quarter. Developments implemented this quarter include: - Inclusion of a one page overview (page 3) - A more informative dashboard with four quarters of data, commentary to provide context, data on numbers of + Quality and qualitative measures cases to provide context and inclusion of an information governance breach indicator - Reduction in content in annex one - focusing on high level reporting, risks and main challenges + Reflective and timely reporting - Replacement of a business plan progress annex with an exception report on business planning activities and + Meaningful and strategic KPIs project updates Outcomes from the Complaint - Operational information s Strategy - Lengthy /commentary documentation Pilot Strategic - Confusing KPIs plan 2017Council 20 feedback Future developments include: Performance framework making the report as short, simple and impactful as possible - strengthening linkages and reduce Revised Performance Report Findings from Quality Assurance Pilot (Registration) Managers feedback 02/15/2020 repetitive content between the annexes and main report

Education and Standards (Introduction of new KPIs) - creating a simple comprehensible overview of performance from the data - reviewing and agreeing targets - creating performance measures that provide a baseline for our 2017/20 strategic plan - strengthening our quality reporting methods - providing Council with real time analysis of key performance challenges - integrating risk and financial analysis General Optical Council 2 Quarter 2 Performance Overview We have made significant progress in delivery of our business plan and projects in line with planned activity. We have started to implement a wide range of changes to our regulatory processes in FTP, Registration and Education to improve the quality of our work and change our operational processes focusing on online delivery and customer service. We have made considerable progress in improving staff engagement and development. We have seen some decline in our performance measures which concentrate on the speed of our processes in Registration and FTP. In Registration, we have deliberately reduce speed to focus on the quality of our processes rather than the speediness. However, we are confident that the changes we are making will help to improve the speed of our processes once these changes have fully been embedded. Highlights Identified and are implementing changes to improve the quality of processes in FTP, Registration and Education Strengthened our evidence base and undertaken strategic analysis to support the development of our 2017-2020 strategic plan Completed phase one of CRM and improved operational processes for student renewal, handling corporate complaints, Speaking Up in the GOC, reporting serious incidents, completing internal investigations, business continuity and our Information Governance Framework. Planned our Education Strategic Review Improved staff engagement and invested in organisational development to improve our capacity and capability (from our staff survey exceeding 33 benchmarks in comparison to other public organisations) 02/15/2020 Learning and Reflection Process improvement reviews in FTP, Registration and Education Quality Assurance pilot in Registration Learning points from the annual FTP audit

New policies in FTP Listings, indicative sanctions guidance and FTP manual Review of Information Governance breaches General Optical Council Challenges Improving the speed of processes in FTP and embedding changes Improving the quality of processes in Registration and embedding quality into processes Delivering project work and implementing changes while managing an increase in regulatory activity - FTP caseload, registration applications and education accreditation and quality assurance activity Having the time to learn, reflect and plan while delivering on our business plan Delivering our business plan and increasing our regulatory activity within budgeted resources and a high turnover of staff 3 Quarter 2 Performance Highlights Progress Evidence and KPIs Quality of processes - We are piloting the new systems and processes (of case triage, case management, and new performance indicators) recommended in the Complaints Strategy. We have completed phase one of our quality assurance project with a pilot in the Registration function. We have developed a three year plan of accreditation and quality assurance visits. KPMG completed their process review of the Registration department as a part of the QA project which resulted in 45 recommendations to action. The Complaints strategy sets out 19 recommendations of which 15 are currently being implemented. We will progress with four remaining ones which include introducing a complaints form, transitioning to CRM and file security. Evidence base and strategic analysis - We have made significant progress with our research programme concluding three surveys; a public perceptions survey, a registrants survey and a key stakeholder survey. Evaluating the outcomes and what they mean has provided an invaluable source of information in shaping our strategic objectives and drafting our Strategic plan for 2017-20. The survey found that the main association with opticians is providing sight tests rather than detecting and treating eye health problems. 40 per cent of those surveyed saw themselves primarily as a customer when visiting their optician, closely followed by 37 per cent who saw themselves as a combination of both a customer and patient. (Public Perceptions Survey) Operational systems and processes - We have completed phase one of the CRM project. Registration has made significant progress in moving towards digitalisation and reducing paper based processes. We have trialled a new way of managing student renewals by email correspondence and removed paper registration cards. These changes have been successful in improving the process for registrants as well as reducing costs and improving efficiency. We have updated a range of internal policies and reviewed our approach to handling corporate complaints. We have successfully completed the 2016 upgrade and MyGOC and MyCET have been opened to the public. We removed 6.2% of the student register in comparison to 7.5% in 2015 (and that is with an increased total register since 2015). We reduced costs for student renewal by just over 9,000 with this

new approach. Therefore some of these changes will be made to the fully qualified renewal process in quarter four. Education Strategic Review - We have planned the Education strategic review and prepared to launch in December 2016. We began by raising awareness with key stakeholders at a meeting of all UK optical training providers. Staff engagement and organisational development - In wave three (12 September 2016) Fig. 1 64% 57% of our staff survey our employees responded positively to nine (or more) out of 14 47% 41% 41% 41% engagement measures. This is a significant improvement from wave one (6 July 2015) and wave two (1 February 2016). We are exceeding 33 benchmarks, including staff feeling able to speak up at meetings, staff finding the senior team approachable and staff feeling valued. Some of the largest improvements relate to the benefits of the new office, which has Wave 1 Wave 2 Wave 3 enhanced communications and increased interaction. Areas where we fall below external Employee Engagment Target benchmarks include our benefits package and intention to remain with the GOC. Overall, staff engagement remains very high, with 97% of staff engaged or partially engaged. We We have delivered a third of the Management training (seven modules). Feedback from managers has been extremely positive giving assurance that began our programme of organisational development to train and develop our people with a roll out of Management Development Training and concluded e-learning on EDI and IG we have selected appropriate and useful training. with over 90% of employees completing both IG classroom and e-learning. 4 02/15/2020 General Optical Council Quarter 2 Learning and Reflection Learning Action taken Complaints strategy The Review contains a number of recommendations to improve FTP documentation so that we maintain quality guidance on processes that are recorded and accessible. In the development of a FTP Manual which will be functional in early November several additional process improvements have been identified. We are part way through piloting the new systems and processes (of case triage, case management, and new performance indicators) recommended in the Complaints Strategy aimed at speeding up complaints processes. We are also embedding the process improvements identified from the drafting of the manual. The FTPC Indicative Sanctions guidance is now in force. We have also implemented the change to the GOCs over-arching objective (introduced by the Safety & Quality Act 2015) into our guidance for decision-makers and are reinforcing this at training events. Registration A quality assurance report by KPMG on the accuracy of our register has made several recommendations for change in this area. We have also identified a gap in how the registration department consults with the FTP department about registrants histories when considering registration applications. We have deliberately changed the emphasis of our registration process to focus on the quality of processes rather than the speed and have started to implement recommended changes. We have introduced a process through CRM which alerts FTP team members when an application has arrived and they provide confirmation of the applicants fitness to practise rather than the check being completed by Registration. Education accreditation and quality assurance We have

undertaken a review of our processes and improvements in how this function is managed. We have made significant progress in improving the way in which the function is managed and work has been planned. We are currently planning resources in the Education function to mitigate potential risks in delaying projects such as the Education strategic review. Quality Assurance - The completion of phase one of our quality assurance project with a pilot in the Registration function resulting in a report by KPMG with recommendations for changes to our processes. A number of improvement initiatives are currently underway in registration, including online payments and applications, electronic correspondence wherever permitted by the legislation, and the introduction of strengthened identification checks and processes. Feedback and an evaluation of the review has been used to plan the next phase of the project which will focus on the FTP function. FTP Audit - We have received a final audit report from RadcliffeLeBrasseurs, which considered decisions made by case examiners, the Investigation Committee and the Fitness to Practise Committee in 2015/16. The report provides a level of assurance that there has been substantial compliance with the Councils statutory provisions and compliance with the Councils own procedural requirements and guidance. There are a number of learning points (mainly under the umbrellas of drafting allegations and amendments to case examiner guidance) which are being taken forward. The learning points will be shared with case examiners and the Investigation Committee at their November training days. Information Governance - A data breach reported to the ICO in October has resulted in no further action. Recipient A received Recipient Bs documentation and vice-versa. We investigated our processes to reduce the risk and have used the experience to development our controls around the security of our data. We continue to look at ways to ensure information governance processes are as impermeable as possible. 02/15/2020 General Optical Council 5 Quarter 2 Performance Challenges Current challenges and risks Evidence and KPIs FTP We have seen an increase in the number of FTP cases opened in the last six months compared to the previous six months. Which combined with a decrease in the last six months of the number of cases closed at hearing stage means that we envisage an increase in the FTP caseload for 16/17 in comparison to 15/16 by around 35 per cent. This has impacted our forecast expenditure, particularly in respect of legal charges for experts and hearing costs and is impacting our ability to reduce end-to-end timescales, in particular presenting significant challenges for the new pilot processes at investigation stage. Our end-to-end FTP performance time has increased, reflecting the age profile and complexity of cases that remain in the system. There have been significant difficulties with getting hearings concluded and we have had to adopt a robust approach to defense adjournment requests, as well as introduce a new Listing Protocol. Despite our slight increase in end to end timescales, we have maintained performance against the key interim order indicator despite a record number of IO applications in quarter two and have maintained performance in the speed of initial stages cases. Registration - We may be unable to meet our target of 80% until quarter four due to our decision to change the emphasis of our registration process to focus on the quality of processes rather than the speed as well as enable embedding of the numerous processes changes. Reasons for the delays include introduction of verification checks and relying on more payments over the phone as there is no online system available. There was also a substantial increase in fully qualified applications in comparison to 2015 due to an increase in graduates. We have also improved the accuracy of our performance reporting by including applications that are delayed for reasons out of the control of the department (for example chasing payment).

Productivity and Turnover We continue to find it a challenge to deliver our business plan and project work, learn, reflect, plan and implement changes to our processes while managing an increase in regulatory activity - within budgeted resources with a relatively high turnover of staff. After gradually decreasing in previous quarters around 20%, the rolling annual turnover has increased to 26%. This is the highest it has been in one year. 02/15/2020 Fig.2 Rolling annual median time taken from day complaint is received to final FTP hearing determination Increasing Fig.3 Rolling Annual percentage of initial stages cases closed within 26 weeks 25% Fig.4 In Q1 (a peak period for 80% increase increase restoration) we received a 80% increase in the number of 2016 2016 restoration applications in 2015 2015 comparison to 2015. In Q2 (a peak period for registration) we received a 25% increase in the number of registration applications in compared to 2015. We are considering ways in which we can support the development of our employees. We have identified other forms of training and engagement to provide other options and support for employees. For example, mentor and mentee training and skills training (excel/customers services). We recognise that further investment and developments are important in improving the quality of work produced by employees as well as employee satisfaction. General Optical Council 6 Quarter 2 - KPI Dashboard Annex 2 includes all performance data and analysis the key management information and indicators are: Direction of progress in Q2 Variance from target 2015/16 Q4 2016/17 Q1 2016/17 Q2 Fitness to Practise Case Progression and Hearings

Number of FTP complaints received 73 73 87 78 Number of new FTP cases opened 55 45 72 73 Number of FTP cases closed per quarter Median time taken from day a complaint is received to final FTP hearing determination rolling annual performance (weeks) Percentage of FTP cases closed within 52 weeks rolling annual Number of initial stages cases closed per quarter Percentage of initial stages cases closed within 26 weeks (from complaint receipt to final case examiner or IC decision) rolling annual Number of IO's completed per quarter Time taken from receipt of information indicating the need for an Interim Order and an Interim Order decision (weeks) 7 5 3 7 89 88 91 94 78 16w 13% 17% 14% 9% 20% 11% 68

72 56 41 19% 20% 16% 18% 70% 52% 5 10 7 12 3 3 3 3 Key Indicator 2015/16 Q3 Target 2016/17 Indicator (Page) Indicator Commentary One complaint can lead to more than one investigation as investigations are counted by numbers of registrants investigated 4 0 Limitations in the GOC legislation in 1.3 (19) respect to the number of FTPC members permitted in the pool remains problematic as it affects the speed of listing cases. 1.5 (20) This has an impact on end to end time. We have seen a slight improvement from 16% to 18% in our rolling annual figure for cases closed within 26 weeks. 1.5 (21) 12 applications made this quarter (9 granted). This is the highest number of 1.2 (19) applications ever made in one quarter.

Education Percentage of registrants meeting CET cycle requirements. * New cycle CET measures currently in development. 02/15/2020 98% * * * 99% General Optical Council * * Data from end of cycle every three years. We are currently working on a new measure to report on the quality of our institutional visits. There were none in Q2. To be reported in Q3. 7 Quarter 2 - KPI Dashboard Annex 2 includes all performance data and analysis the key management information and indicators are: Key Indicator 2015/16 Q3 2015/16 Q4 2016/17 Q1 94% 94% 90% 2016/17 Q2 Target 2016/17 Direction of progress in Q2 Variance from target Indicator (Page) Indicator Commentary 2.1(21)

We have changed the KPIs to reflect a focus on quality within the registration department. They are now more in line with other health care regulators. Further, this is the first year we have used the CRM to report on these figures and this figure now includes chased forms. Communications Percentage of editorial coverage which is positive or neutral about the GOC 91% 90% 0 Registration Percentage of applications processed within set target (UK, EEA and non-EEA registration applications processed within 5 days and restorations within 10 days. (Prior to 16/17 targets were 3 days for processing and 10 days for restoration) 83% 84% 42% 53% 80% 17% 0 27% HR Annual staff turnover comparator 22% 21% 19% 26% < 9% Employee Engagement - comparator 57% 57% 47% 64%

41% * 9 3 2 0 Fig.1 (4) In Q2, rolling annual turnover increased. We have 32 members of staff. There were 7 leavers in Q2. This means at least 9 out 14 measures were answered positively by staff. Compliance - New KPIs agreed from Q2 Number Information Governance breaches 2 1 Number of ICO reportable breaches 02/15/2020 0 1 0 1 0 General Optical Council One will not to be reported to the ICO as this information is already available in the public domain. The other breach has been reported to the ICO and they have decided not to take any further action. 8 Quarter 2 - Business Plan progress Our full business plan includes over 250 strategic and operational activities. Highlighted below are any activities which have not progressed as planned and the following page provides an update on each of our projects. Programme work - Business as Usual The following activities have been delayed however are planned to be completed within the year: - New standards supplementary material due to prioritising work in Education - Appointment of a pool of performance assessors, clinical assessors and experts - due to other priority activities in FTP - Refresh of content on intranet - due to limited resources in IT during quarter two - Project management guidance due to prioritisation of work on developing the strategic plan - Code of Conduct and Council appraisals due to staff turnover, additional committee meetings and additional member recruitment - Finalisation and implementation of new FTP process manual has been drafted however, this has not been finalised due to more urgent priorities affecting the team in quarter two - Annual IA Effectiveness review due to staff turnover of key stakeholders

The following activities have been removed from our plan: - Education Committee Appraisals Nominations Committee agreed to reduce the frequency from annual to every two years - ICT: New systems for members document management; expenses and remote worker solution; IT strategy; Review supplier for DR site provider due to limited resources we are considering which of these items have to be completed next year. - Enhanced Sage related reporting. Review of accounting system. Gap analysis. Assessing the suitable systems in the market We have decided to invest and improve the current system instead of replacing it with a new one 02/15/2020 General Optical Council Project work In quarter two, there are no severe risks or concerns to report on in relation to strategic projects. Project activity is progressing well. 92% of the project milestones planned for Q2 were completed. There were however two delays which include: - The Review of non-UK registration processes The delay involves finalising the written legal advice - In the Education Strategic review we have not completed initial evidence gathering in quarter two as planned however, this is in progress The main highlight this quarter is the completion of the CRM project, phase one (includes successful completion of software updates). 9 Quarter 2 - Project Update Education Strategic review Reviewing the system of optical education, training and qualifications We are currently planning project resourcing and are assessing how we can fund the project. This activity is reported orange as we have not completed the initial evidence gathering in quarter one and two as planned. This moves to quarter three. Illegal practice strategy We will implement our strategy for dealing with the illegal practices defined in the Opticians Act 1989. Due to stakeholder feedback, the launch of the PR campaign has been postponed until Spring 2017. In the meantime, we are meeting with stakeholder organisations to update them about our PR campaign. This delay means we are reporting this activity orange for quarter two. Standards Strategic review Developing a framework for standards and providing clear guidance The Standards Committee considered the guidance on candour and approved it subject to amendments. The Committee agreed that more time should be taken to consider consent and that feedback should be sought from optical experts. We are considering a revised timeline for consent. Council is considering Guidance on Candour (plus a proposal to extend consideration of guidance on Consent). Reporting green as milestones are on track. Customer relationship management (CRM) system To realise the benefits of our CRM system and further develop our IT infrastructure. Phase one of the CRM project has been completed. The next stage is to carry out a project evaluation of phase one delivery before developing the scope and plan for phase two. We will begin to complete an evaluation in quarter three to ensure that we have an informed approach in phase two delivery. Reporting green as this is on track according to revised plans. Legislative reform Engaging with the Governments legislative reform agenda to enable the development of optical care for the benefit of patients The project was re-scoped in quarter two (with a revised start date of October 16). We are commissioning research to identify changes to the Opticians Act Part IV which stakeholders consider to be barriers to change. This is being reconsidered following a

decision by Government to go ahead with wide ranging consultation on changes to professional regulation in Autumn 2016. A plan for gathering stakeholder views is now being developed. Research to inform the Department of Health in a consultation document looking at the costs and benefits of different regulatory reform options has been commissioned. Reporting green as this is on track according to revised plans. Quality Assurance Framework We will develop an organisation wide quality assurance framework Phase one of the QA pilot began in July with the registration team. KPMG were employed to assist in the review. Recommendations and findings will be evaluated before we progress on to phase two of the project which will begin in Fitness to Practise. Reporting green as this is on track according to revised plans. Assessment of Non-UK Registration Applications Improving our assessment and registration processes. We are finalising written legal advice which will allow us to a) tender for development of an exam/aptitude test and b) set up a working group to develop a process to assess equivalency of qualifications. We met with three other healthcare regulators in October 2016 to discuss their processes. Reporting green as milestones are on track. Complaints strategy Develop and implement a strategy for managing FTP and illegal practice complaints We are ahead (green) in the implementation phase of this project. In Q2, the following pilot processes and new ways of working were implemented as a result of this review: July 2016: Further improvements to our new triage system July 2016: The implementation of fast-streaming less complex cases July 2016: Implementation of a more automated process for providing updates to all parties of the progress of an investigation. August 2016: The implementation of front-loading more serious/complex cases (to eliminate the need for investigative work post-referral to the FTPC), with some cases being frontloaded by panel solicitors and some in-house. Quarter 2 - Strategic Objective Progress Annex 1 includes progress made on all the strategic outcomes the highlights are: In this section, we evaluate our progress against the outcomes we want to achieve in order to meet our strategic objectives, which includes: A summary of the key activities that we have undertaken in the quarter. An assessment of progress and timeliness in achieving the task. An additional system of quality assessment for each strategic outcome is being agreed. This will be introduced in the next quarter. The aim is to introduce a rating against each outcome indicating our overall satisfaction with the quality of our performance. The Director(s) responsible for delivery of the area will provide an objective and evidenced evaluation of progress made to date. Higher standards Increased trust and awareness Improved complaintshandling Assessment of timeliness Good progress against work programme (including planned and unplanned activity) Delays with work programme (delays due to additional/unplanned tasks preventing progress on activities. These will slip into the next quarter but we still expect to be able to meet our strategic aims by the end of the year Significant delay with work programme (a number of core activities will have slipped into the next quarter and it is unlikely that we will be able to meet our strategic aims by the end of the year).

02/15/2020 Better service delivery Regulatory change Improved evidence base Organisational change General Optical Council Candour and consent guidance consultation feedback on consent has resulted in additional time being required to involve an optical expert and finalise the guidance to ensure that it meets the needs of the profession Appointment of an agency to help launch a campaign in March 2017 to raise the publics awareness about how to wear contact lenses safely Media work with Plymouth Trading Standards on zero-powered contact lenses in advance of Halloween Implementation of outcomes of the Complaints Handing Strategy Review A larger legal team to progress with the backlog of illegal practice complaints We have updated our corporate complaints process and produced an easy-read leaflet Modernisation of our registration processes - switching to electronic correspondence where possible, redevelopment of student registration form, online payments and registration applications Completion of an accessible Information Governance handbook which sets out our approach Planned our approach to gathering stakeholder views on the Governments consultation on changes to professional regulation Public perceptions of the professions, registrants and stakeholder surveys Completion of phase one of the Customer Relationship Management project Progressed our organisational development plan Trialling an impact assessment screening tool 11 Annex 1: Strategic Objective Progress 1. Promoting higher standards across the optical professions Key activity to support our strategic aims in this quarter Outcome Our standards reflect good There is no further update at this time following the publication of standards for individual registrants in April 2016. The standards practice, address the risks to the implementation project is now taking place to support the profession in raising awareness of the standards and to implement them in public and are flexible enough to practice. Planning for the introduction of business standards will take place later in the year. The standards of competence for allow the delivery of optical care education will be considered as part of a separate Education Strategic Review. to evolve Our standards are presented clearly to registrants and the public and are supported by appropriate guidance A consultation on guidance related to the standards on candour and consent took place between June and September as planned. The consultation has been analysed and the results were presented to the Standards Committee in October. At this stage, the recommendations are that the feedback on the candour consultation should be used to amend the guidance and that the original publication timescales should apply. The Standards Committee have recommended the involvement of an optical expert before presenting it to the Committee. The Executive are considering revised timelines for the publication of this guidance. Our standards are effective for use in regulatory activities As mentioned above, we are progressing with this project to ensure that our standards are effective for use in regulatory activities.

Our system of accrediting and quality-assuring optical education, training and qualifications ensures that registrants joining the register are fit to practise The department has made significant progress in improving the way in which the accreditation and quality assurance function is managed. The team has been strengthened by support from: An extension of the contract with Mott Macdonald to review and develop our quality assurance framework by ensuring our processes are fit for purpose; an extension of the contract for Professor Brendan Barrett to provide optical education expertise on a consultancy basis; the recruitment of an Education Manager from August 2016 to manage the function of accreditation, quality assurance and carry forward the review and development of processes and policies; The recruitment of two new lay chairs for our panel of education visitors; Training for all education visitors in July. A three year plan of accreditation and quality assurance visits has been developed and presented to Education Committee. A recruitment campaign has also been launched for an extra accreditation and quality assurance officer based on a calculation of resources required to support the plan. 02/15/2020 General Optical Council 12 Annex 1: Strategic Objective Progress 1. Promoting higher standards across the optical professions Outcome Key activity to support our strategic aims in this quarter During this quarter work has begun to evaluate the CET scheme to evaluate stakeholders views and opinions on how effective the aim Our CET system ensures the and delivery of the first full cycle of the Enhanced CET Scheme from 2013-15 was. Initial views have been taken from CET assessors continued FTP of registrants, and feedback has been sought from registrants through the Registrant Survey. An external consultant has been commissioned to seek while minimising feedback from GOC employees and CET providers during October and November 2016. Work has also been completed on collecting administrative burdens the annual CET provider fee, with 269 providers submitting payments and retaining the ability to provide CET. A further 33 new providers joined the scheme during this period. 103 existing CET provider accounts were suspended due to non-payment, of which 26 have formally confirmed they no longer wish to deliver CET. Reinstatement of provider accounts is a quick and simple process upon payment of fee. To improve communications with CET stakeholders, the first edition of a new CET assessor bulletin was issued in July, with a separate bulletin for CET providers being published in August. These bulletins contain key messages and updates from the GOC as well as statistics relating to the provision of CET and the requirements that have already been met by registrants. For CET assessors this also contains information on number of approvals undertaken. As at the end of September, the number of registrants on track to meet the GOC expectation that six general points or more will be completed is as follows: OO 6450 (out of 14326) 45% DO 2021 (out of 5311) 38% CLO 294 (out of 1245) 23% TP 281 (out of 472) 59% There are 139 registrants who have met their full requirements for the 2016-18 cycle including competencies and peer review requirements. There are 5,397 who currently show has having attained zero points. Communications to registrants with outstanding CET will take place during Quarter three. Council will receive copies of the bulletins for assessors and providers in November which will provide more detailed breakdown of the CET outstanding figures. 02/15/2020 General Optical Council 13 Annex 1: Strategic Objective Progress 2. Increasing trust and awareness

Outcome Our public register remains accurate and accessible Key activity to support our strategic aims in this quarter As a result of our internal review, followed by a KPMG review, the registration department has introduced different steps to increase confidence in the integrity of the register. We have introduced a formalised internal auditing process for data entered into CRM and a two step process for registration to ensure new data entered is checked by two people. We are encouraging use of the online register by removing student registration cards which are not proof of registration. We reduce the potential harm to the publics health and safety posed by illegal practice We are embarking on a campaign to raise the publics awareness about how to wear contact lenses safely. We have appointed an agency to help us with this work and expect it to launch in March 2017. Following additional recruitment in the Legal department, we have increased our capacity to respond more promptly to complaints of illegal optical practice. A total of 18 complaints were received, of which 11 were closed and 7 remained open at the end of the quarter. We closed 48 complaints this quarter, of which 28 had been received since 1 January 2016 and 20 were complaints received before 1 January 2016. At the end of the quarter, there are 221 complaints received before 1 January 2016 open, most of which concern zero powered contact lenses (ZPLs). We closed 81% of complaints received on or after 1 January 2016 within 6 months of receipt. We enhance confidence in regulation We now have a complete understanding of the risks in registration and how they can be addressed from the Quality Assurance pilot undertaken by KPMG. There is a timeline in place to address the recommendations from KPMG that is already underway. We are more accessible and responsive to the public Work has continued with Claremont Communications to prepare for our work in promoting safe contact lens practice to the public. We have also worked with Plymouth Trading Standards to prepare some media work on zero-powered contact lenses in advance of Halloween. We promote a clear understanding of our role We have liaised with all accredited education institutions to plan a series of talks to first and third year students about the GOC. 02/15/2020 General Optical Council 14 Annex 1: Strategic Objective Progress 3. Improving complaints handling Key activity to support our strategic aims in this quarter Outcome As part of our ongoing drive to improve the speed at which cases are listed for hearing in front of the FTPC, we implemented a new Listing Protocol in August. This gives full control of the listing of cases to the Hearings Manager (and to the FTPC if there is a dispute). We have undertaken a significant amount of work to implement the outcomes of the Complaints Handing Strategy Review of FTP processes and implemented the following pilot processes and new ways of working: July 2016: Further improvements to our new triage system, the implementation of fast-streaming less complex cases and implementation of We handle fitness to a more automated process for providing updates to all parties of the progress of an investigation. practise complaints quickly August 2016: The implementation of front-loading more serious/complex cases (to eliminate the need for investigative work post-referral to the FTPC), with some cases being frontloaded by panel solicitors and some in-house. and effectively We believe these changes will lead to improvements in both the quality of service we provide to registrants, complainants and also to our endto-end timescales. As always with FTP cases though, it will take time for improvements to work their way through the system. In addition, we have appointed an in-house optometrist clinical advisor (two days per week) and this may well prove to be the most significant initiative of all. Our expectation is that the clinical advisors input will: Ensure that only appropriate clinical cases get into the system, improve the quality of clinical allegations drafting, and provide clinical direction to investigations We work effectively with others to share information about concerns We handle illegal practice complaints quickly and effectively

We handle consumer complaints quickly and effectively We deal with corporate concerns quickly and effectively 02/15/2020 We have held meetings with representatives of NHS Action Fraud, NHS England, the Metropolitan Police and a large optical chain, to provide further information about the FTP process and to ease the flow of information requests in both directions. We are developing a communications strategy to identify other organisations with whom regular liaisons will add to the effectiveness and efficiency of our FTP processes. The Legal department has recruited additional staff to enable quicker action on the backlog of illegal practice complaints while continuing to manage new complaints in a timely manner. We have continued to work closely with the OCCS, meeting regularly and providing support and guidance. The OCCS received 326 new complaints in Q2 and closed 233 complaints, 231 (99%) inside target. Since April 2014, the OCCS has closed 2,000 complaints, with satisfaction ratings of 95% (process) and 86% (outcome). We have drafted a new Corporate Complaints policy which combines four existing policies. We envisage that this policy and process will improve the speed at which we are able to resolve complaints by ensuring they are handled at the appropriate level in clarified timescales whilst maintaining the quality of responses. We have considered the Welsh Language Scheme and our interpretation provider Big Word, as well as amended the process to accept verbal complaints. This quarter we received five new corporate complaints, a reduction from the previous quarter (eleven). One complaint was from a member of the public and one from registrant (data breach) and three from preregistrants. The two trends were regarding customer service and the non-UK approval process. The complaints regarding the registration of non-UK applications were especially complicated applications which is why the process took longer than the other non-UK applications. The complaints about customer service are historical regarding events that happened before training took place. General Optical Council 15 Annex 1: Strategic Objective Progress 4. Delivering high quality services to the public and the professions Outcome Key activity to support our strategic aims in this quarter We are more open and From the Public Perceptions research, we are going through a process of evaluating the findings and what they mean to us as an responsive in our dealings with organisation so that we respond appropriately and effectively to registrants and the public. We shall embark on the same process of registrants and the public, evaluation with findings of the Registrant Survey. learning from the feedback we receive Our registration process is Student renewals were completed successfully. We redeveloped our student registration form and have engaged the education accessible, user friendly and providers. They are no longer required to sign and stamp every form. Instead, they send class lists to confirm enrolment. This is a carried out in a timely manner better way to ensure all the appropriate students are registered and creates stronger relationships with the education providers. Following the KPMG review we are looking at quick solutions to address online payment of registration and moving more of our application forms online. Our guidance, policy and processes for registrants and the public are accessible and clear This quarter we have reviewed our website in the Governance area to clarify the policies and processes available. We are designing an easy-read leaflet for our new corporate complaints policy. We are open and transparent with our information We have completed our Information Governance handbook (and associated policies) which sets out our approach with regard to information in a clear and succinct manner. We continue to process FOI requests to a good standard and have received no requests for internal review. We are trialling a Privacy Impact Assessment screening tool which has been used when designing our new policies and processes. This has helped us to protect our data and be more transparent with public information such as the Management of Interests policy. 02/15/2020 General Optical Council 16 Annex 1: Strategic Objective Progress

5. Ensure we have a system of regulation to enhance our ability to protect and promote public health and safety, and which is in line with new legislative requirements Key activity to support our strategic aims in this quarter Outcome By the end of our strategic plan, we want to ensure we have a system of regulation to enhance our ability to protect and promote public health and safety, and which is in line with new legislative requirements 6. Improving our evidence base Outcome Our work is informed by an understanding of the publics perspective and the perspective of registrants and our decisions are based on sound evidence Our policy thinking and the development of strategy is informed by an understanding of how health regulation and optical care is changing 02/15/2020 Several of our projects (e.g. business and student regulation) are dependent on legislative change. Following the Government's commitment in December 2015 to reform professional regulation (despite not taking forward the Law Commissions Bill), we set up a working group with Council representatives to discuss legislative reform. The purpose of the working group is to develop a response to the Government's proposals and seek to shape their position so that it is relevant to the changing needs of the optical sector. Following the decision by Government to go ahead with wide ranging consultation on changes to professional regulation in Autumn 2016 (post the EU referendum and the change in political circumstances), a plan for gathering stakeholder views (possibly involving a workshop) is now being developed. Key activity to support our strategic aims in this quarter We presented the results of our second research project looking at public perceptions of the professions and the GOC as the regulator to Council in July 2016, publishing the results on our website. We undertook a survey of our registrants in July 2016. The purpose of the research is to gain registrant views and experiences of the GOC, as well as their day to day experiences and challenges that they face working in clinical practice. The survey questions were developed with the input from heads of department and other colleagues. The survey will be launched in July, which will be followed by some focus groups and in-depth interviews to discuss some of the key findings. The final report will be presented at the Council meeting in November 2016. We commissioned a survey of senior representatives of our key stakeholder bodies in August and September 2016. Thirty stakeholders were interviewed and the results will be presented to Council in November 2016. We monitor news that is relevant to healthcare and the optical sector on an ongoing basis, providing weekly updates to employees and Council members. We regularly attend meetings with Government and optical bodies across the UK such as the Chief Executives Legislation group, the Scottish Regulators Conference and meetings with Directors in the workforce of the department of health. We also work closely with the agencies who help us to evaluate the findings from recent surveys ensuring that we use this information to remain informed. General Optical Council 17 Annex 1: Strategic Objective Progress 7. How we are achieving organisational change Key activity to support our strategic aims in this quarter Outcome We have completed the year-end audit and annual report, which is a true and fair audit report. We have further completed the quarter one Our finances are stable forecast for 2016/17 and reported the monthly finances through the monthly management account reports. Financially, we are performing as and well managed expected and therefore we can report a healthy status. We have also made progress in ensuring that our corporate risk register is updated quarterly using the departmental risk registers. We launched the IG and EDI training courses with our members and ensured that all new starters receive online EDI and IG training and classroom-based IG training. In August, we held an Information Governance event, which asked individuals to self-assess confidence with our Our employees and IG procedures and employees reported over 90% confidence with all of the processes. At this event we requested ideas and feedback which members have the will shape our IG training strategy for the next six months.

support and training We have successfully completed the appraisal process with staff within the agreed timeframe. Staff training and development needs will be they need to carry out assessed and identified in the mid year appraisal. A wider programme to progress with organisational development and training that identifies their roles effectively and targets the needs of the organisation and its employees is currently underway. For example, in quarter two, Management Development training was rolled out to all line managers. We also focussed on some skills training (such as excel training). In registration deliberate steps have been taken to modernise our processes, particularly in switching to electronic over written correspondence We are able to carry where the Registration Rules allow for it. out our role effectively as a modern and We are currently reviewing our recruitment process and the costs involved to ensure that we have a sustainable, cost effective way of acquiring sustainable regulator new talent in the future. Further to the launch of our Staff Engagement Group in June 2016, a voluntary employee led group championing staff engagement and inclusion with the aim of improving levels of engagement has actively taken the role of identifying and progressing with actions arising from the We have an engaged staff survey. So far, they have helped to organise the employee away day and ran activities to improve on the recent staff survey results. and positive work force Results from the staff engagement survey were encouraging. From the previous wave of engagement (wave two), there has been an increase of positive engagement from 47% to 64%. This measure mean means that nine out of the fourteen measures were positively responded to. Equality, diversity and We are trialling an impact assessment screening tool which has been used on a number of our new policies. This tool is an innovative way to inclusion (EDI) is ensure impacts are considered more fully and is helping us think more widely about impact and our processes. We have started to publish our embedded and impact assessments on our website to demonstrate our thought-processes, and encourage readers to submit any input or concerns they may promoted within our have that we can incorporate. We have attended a number of external meetings, including two ran by the EHRC which focussed on evaluating organisation impact. 02/15/2020 General Optical Council 18 Annex 2: Performance Trend Data 1. Fitness to Practise 1.1 Number of complaints received and cases opened 1.2 Time taken from receipt of information indicating the need for an Interim Order to Interim Order decision (weeks) 1.3 Time taken from receipt of a complaint to final FTP hearing determination (weeks) %of cases opened Q1 14/15 Q2 14/15 Q3 14/15 Q4 14/15 Q1 15/16 Q2 15/16 Q3 15/16

Q4 15/16 Q1 16/17 Q2 16/17 74% 86% 84% 48% 65% 63% 75% 62% 83% 94% 1.1 Although the number of complaints received since 1 April has not been disproportionate to the numbers received during 15/16, the number of investigations opened has now settled at a consistent 35% increase on 15/16. 1.2 We have maintained performance against this critical IO indicator even though the 12 applications made this quarter (9 granted) is the highest number of applications ever made in one quarter. We recorded a median figure of 11 weeks from date of complaint to IO decision an improvement from 17 weeks in Q1. 1.3 Although performance has declined, there is an improvement in the number of cases concluded and there were clear reasons why some cases took a long time, including delays Total caused by performance assessments, expert witness involvement and registrants with more Cases than one case against them. 02/15/2020 General Optical Council 4 8 8 9 7 5 3 19 7 Annex 2: Quarter Two Performance Data 1.4 Percentage of FTP cases closed within 52 /78 /104 weeks 1.4 Reflecting on the slip in the end-to-end median time this quarter, the percentages of cases closed against these indicators have also slipped from last quarter. In addition to the new Listing Protocol, during Q2 we also held parallel hearings for the first time (two hearing events held on the same day at 10 Old Bailey facilitated by the training of additional staff in Hearings Manager duties). However, the limitations in GOC legislation in respect to the number of FTPC members permitted in the pool remains problematic when it comes to the speedy listing of cases

02/15/2020 General Optical Council 20 1.5 Percentage of initial stages cases closed within 26 weeks 1.5 We are pleased to report an improvement this quarter to 21% of cases closed within 26 weeks. Although this is still well below target it is an improvement on 12% in the previous quarter and a step in the right direction. The median timescale for closing cases at case examiner stage improved slightly from 46 weeks to 45 weeks but remains much higher than it ought to be. Our expectation remains that improvements arising from the new Triage and Case Streaming pilot exercises will start to take effect in Q4. 2. Registration 2.1 Percentage of applications processed within set target (UK, EEA and non- EEA registration applications, restorations and registration applications) Change in KPI measure from Q1 16/17. Registration applications now processed within 5 days and restorations within 10 days of receipt bringing us more in line with other regulators. (Previously 3 days for processing and 5 days for restoration). 02/15/2020 General Optical Council 2.1 At the beginning of 2016/17 (Q1), Registration reviewed their processes and data. As a result of a comprehensive check in the applications process, it was decided that a new method of compiling data would be more appropriate and accurate in capturing this information. We see a drop in Q1 since the new method of collecting data included chased forms. In undertaking the review to improve the process in Q1, applications went through a more rigorous checking process initially delaying and slowing down processing times. However, in Q2, a new applications process was finally introduced post Q1 review. And in Q2, we see an improvement from 42% in Q1 to 53% in Q2. This is likely to continue to improve with time although Registrations main focus is to provide a quality service rather then a speedy one. 21

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