Council meeting 14 June 2012 06.12/C/06 Public business Performance Monitoring Purpose To report to the Council on operational and financial performance. Recommendation The Council is asked to comment on and note: i. the performance report at Appendix 1. 1.0 Introduction 1.1 This paper reports on operational and financial performance to the end of April 2012 at Appendix 1. 1.2 The appendix contains a new format performance report. This new format forms part of our work to develop our performance monitoring framework (as set out in our rolling corporate plan 2012-2015). 1.3 The content and format of this report is subject to change as we make progress in developing the performance monitoring framework. Compared with previous reports to Council, this new style report aims to focus more sharply on the main regulatory functions and in each section of the report we present the key data sets and brief commentary for each functional area. In a number of cases, the data will become more meaningful over time, as we will be able to include historic data. 06.12/C/06 Page 1 of 21
2.0 Equality & diversity implications 2.1 The purpose of this report is to report on operational and financial performance and not to report on trends in registration or fitness to practise issues. Equality and diversity implications will need to be considered as part of the planned review of FtP policies, processes and procedures. 2.2 Equality & diversity information on the GPhC as an employer is included in this report. 3.0 Communications implications 3.1 The development and publication of this report is reflective of our commitment to openness and transparency concerning our performance. We have undertaken, and will continue to develop, specific communications on each of the areas of reported performance. This includes information on our website, wider communications through the media and direct through our own publications and communications materials. These activities are designed to reach all our key interest groups including patients and their representatives, pharmacy professionals and their employees, education providers and others. 4.0 Resource implications 4.1 Resource implications are addressed within the report. 5.0 Risk implications 5.1 Failure to maintain an accurate register, and/or deal with FtP issues efficiently and effectively could have implications on patient safety, and have a significant impact on the reputation of the GPhC. 5.2 Failure to accurately forecast / budget for revenues and expenditure could lead to inappropriate or inconsistent fee policies which could have an adverse impact on the GPhC s reputation. Recommendations The Council is asked to comment on and note: i. the performance report at Appendix 1. Page 2 of 21 06.12/C/06
Duncan Rudkin, Chief Executive & Registrar duncan.rudkin@pharmacyregulation.org, tel 020 3365 3501 31 May 2012 06.12/C/06 Page 3 of 21
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Appendix 1 Performance Monitoring Report Reporting period: end of April 2012 06.12/C/06 Page 5 of 21
Contents 1. Registration... 7 The Register... 7 Registration assessment... 7 Transitional (grandparented) pharmacy technician applications... 7 2. Continuing Professional Development... 8 3. Fitness to Practise... 9 Total case load... 9 Cases over 15 months old... 10 4. Education... 11 5. Inspection... 13 6. Organisational complaints... 14 7. Human Resources... 15 Employee turnover and stability rates... 15 Diversity... 16 Sickness & absence rates... 18 8. Financial performance... 19 Month... 19 Year to date... 19 Balance sheet... 19 Page 6 of 21 06.12/C/06
1. Registration This section provides an overview of key registration activity undertaken by the Customer Services Team. 1.1 The Register Mar-12 Additions Voluntary Removal Removals Non Renewal FTP Comm Other* Apr-12 Budgeted registrants Pharmacists 45,435 43 16 14 1-5 45,442 45,852 Pharmacy 20,766 180 10 10 0 10 20,936 20,975 Technicians Premises 13,850 77 11 0-6 13,910 13,893 Pre registration trainees 3,007 2,837 * Restoration and other register classification changes 1.2 Registration assessment Registration Assessment applications are now being processed for the summer sitting Registration Assessment Applications (as at 22/05): o Eligible candidates 2,603 o Logged Applications: 2,502 o Payments Taken: 2,365 o Applications validated: 1,179 1.3 Transitional (grandparented) pharmacy technician applications At the end of April 2012 there were 322 pharmacy technician applications outstanding. This compares to a total of 403 at the end of March. 06.12/C/06 Page 7 of 21
2. Continuing Professional Development The CPD section provides an overview of the CPD activity undertaken by the Customer Services Team. Mar-12 Apr-12 Records Requested 1,990 2,025 Records Reviewed 1,513 1,449 Reminders Sent 107 115 CPD Online Submissions 1,534 1,904 Paper Submissions 116 130 Dual Submissions (online and paper entries) 0 12 Feedback Sent 726 1,540 The CPD call and review process restarted on 27 January 2012. From this date the CPD records of 800 pharmacists and pharmacy technicians were called for review every two weeks. By March 2012 this was increased to 1000 registrants every two weeks. Registrants are given a submission deadline of 6 weeks after the date of intended delivery of the call letter. Reminder letters are sent to those who have not responded after the 6 week deadline has passed. The majority of registrants, 93.5% are submitting their CPD record via the online recording system. Only 6.3% have submitted using paper record sheets. Since January 2012, 94% of registrants have achieved an overall score of excellent (75%+ of good practice criteria met), 5% achieved an overall score of good (50-74%). This means that 99% of registrants are achieving a score of 50% or more in line with the minimum requirement set out in the CPD framework. Page 8 of 21 06.12/C/06
3. Fitness to Practise The fitness to practise data present the overall caseload for the reporting period and shows the breakdown respectively of legacy and GPhC cases. 3.1 Total case load Total Case Load New Mar-12 complaints Closed Apr-12 Legacy 70 0 12 58 GPhc 338 55 40 353 Total 408 55 52 411 Headlines Our total caseload increased from 408 in March to 411 in April. Legacy cases make up 14% of our total caseload while the remaining 86% of cases were received by GPhC. This compares to a caseload of 17% legacy cases and 83% GPhC cases in March. The slight increase in total cases was due to a lower number of cases closed under threshold criteria, and a lower than average number of cases closed at triage which contributed to an overall lower number of closures at investigating stage. This was offset to some extent by the low number of received cases (55). GPhC Cases There were 353 open GPhC cases, up from the previous month s total of 338; this represents a 4.4% increase in the total GPhC case load from the previous month. o We received 55 cases this month; against a monthly average of 64. o We closed 52 cases this month; against a monthly average of 57. o We closed 11 cases at triage, against a monthly average of 21. o We closed 6 cases under the threshold criteria this month; against a monthly average of 12. Available resources were reduced in April due to training and a higher than average number of staff on leave throughout the month. We envisage that the picture for May is likely to be similar to April as all staff are attending a two day training event in May. 06.12/C/06 Page 9 of 21
3.2 Cases over 15 months old Legacy cases Our target is to close all legacy cases by September 2012.* GPhC cases - Our target is for 95% of all cases to be disposed of by FtP within 15 months of receipt. Total no. of cases over 15 months old % GPhC cases over 15 months old (Target <5%) Mar-12 Closed Apr-12 Mar-12 Apr-12 Legacy 70 12 58 8.3% 7.6% GPhc 28 1 27 Total 98 13 85 The total number of cases older than 15 months decreased from 98 in March to 85 in April. Legacy Cases By definition all legacy cases are over 15 months old. There were 58 open legacy cases (9.85% of the original total) at the end of April 2012. 12 legacy cases were closed in April, reducing the number of open legacy cases by 2% of the original total of 589 cases. The average number of legacy cases closed per month since April 2011 is 20. Of the legacy cases remaining: o 27.59% are with the Investigating Team o 8.62% are with the Investigating Committee and o 63.79% are with the Fitness to Practise Committee (62% of these are listed for a Principal Hearing). * We set ourselves a target of closing all legacy cases by September 2012. Detailed analysis of the remaining cases suggests there are likely to be between 10 16 legacy cases outstanding by September for case specific reasons. This represents 2.7% of the original caseload resulting in a clearance rate of about 97%. Page 10 of 21 06.12/C/06
4. Education The education section presents the number of accreditation event figures and includes an explanation of the variance across years. Sep 2010 Mar 2011 Apr 2011 Mar 2012 Apr 2012 Mar 2013 Independent Prescribing Programme 12 20 7 MPharm degree 4 12 17 Overseas Pharmacists Assessment 0 4 5 Programme (OSPAP) Pharmacy Technician 2 2 0 Level 2 Pharmacy support staff 3 2 2 Total 21 40 31 Sept 2010 March 2011 The number of prescribing programme events was very high due to the start of the reaccreditation cycle (initial accreditation of these programmes began in late 2007 and provider s were accredited for a period of three years). The low number of MPharm events was due to the introduction of new pharmacist education standards in Spring 2011. Those MPharm degrees due for reaccreditation in 2010-2011 were permitted a one year extension to allow them sufficient time to prepare for reaccreditation to the new standards. No reaccreditation events took place and so the 4 events that took place were MPharm accreditation step events. April 2011 March 2012 The number of prescribing programme events was very high due to the large number of reaccreditation events which resulted from a large number of initial accreditations during the 2008-2009 academic year (3 year cycle). There is a higher number of MPharm events than the last year because: o 3 universities started the accreditation process o A large number of MPharm reaccreditation events took place in 2011-2012 academic year because courses due for reaccreditation in 2010-2011 were given a year s extension due to the introduction of new education standards OSPAP events are slightly higher as one new university began the OSPAP accreditation process and 3 OSPAP courses were due for reaccreditation (a 3 year cycle). 06.12/C/06 Page 11 of 21
April 2012 March 2013 Prescribing events lower than previous financial years as the bulk of the reaccreditation events already taken place. The number of MPharm events is high because a large number of MPharm reaccreditation events took place in 2011-2012 academic year because courses due for reaccreditation in 2010-2011 were given a year s extension due to the introduction of new education standards. Page 12 of 21 06.12/C/06
5. Inspection The inspection team monitors the numbers of visits made to pharmacy premises and how many of these included controlled drugs monitoring visits. In addition, it monitors compliance with the current three year inspection cycle. These figures are provided below, including the breakdown per region. Total number of premises visited in 2011 5,618 breakdown by region... Southern Region 1,826 Northern Region 1,738 Central Region 2,054 Total number of controlled drugs monitoring visits in 2011 4,222 breakdown by region... Southern Region 1,453 Northern Region 1,516 Central Region 1,253 Number of premises over 3 years since last visit 235 breakdown by region... Southern Region 22 Northern Region 114 Central Region 99 The difference in the total number of pharmacy premises visited in 2011 and the number of controlled drugs monitoring visits is because we are not required to undertake and report specifically on controlled drugs monitoring in Wales. In addition the total number of premises visited also includes follow up visits. At the end of 2011 there were a small number of pharmacy premises that had not been inspected within the three year cycle 235 in total. This was due to reduced capacity as a result of two vacant inspector positions following the acting up of two inspectors to regional manager posts, and a prolonged period of sickness for another inspector. Whilst these premises have been inspected now, we are still currently carrying a small rolling backlog of 142 premises in 2012. Since the arrival of the Head of Inspection there is now a clear plan in place to clear the remaining backlog by the 1 st July. Interviews to appoint permanently to the two regional managers posts are scheduled to take place in July. The outcome of these interviews will determine what further recruitment is required. 06.12/C/06 Page 13 of 21
6. Organisational complaints This section reports on the complaints received about the way in which the organisation carries out its work. It covers complaints made against the workings of the GPhC as an organisation, as opposed to complaints about registrants. Apr-12 Total number of complaints received 8 Breakdown by theme/category Some complaints address more than one issue, these are split by theme/category and each issue is recorded. Apr-12 Quality of communication/information 7 Accuracy of recorded information 4 Delays 1 GPhC policy/process 1 Loss of information/documentation 1 Other 1 Issues relating to the quality of our communication make up the largest single category of complaints received in April: o 3 related to our level of communication during the registration and renewals process o 4 to registrants that had been sent the sample registration exam packs in error The loss of documentation complaint related to material posted to us which we failed to process by the renewals deadline. We were asked to review our response to a request under the freedom of information act (this is categorised as Other in the above table). Page 14 of 21 06.12/C/06
7. Human Resources The HR data present a report against the following criteria; employee turnover, the rate of stability, diversity (age, ethnicity and gender) and sickness and absence rates for a six month period. 7.1 Employee turnover and stability rates Turnover is measured by dividing the number of leavers over a period, for example a year or six months by the average number of staff employed over the same period, and the calculation multiplied by 100 to provide a percentage figure. The stability rate focuses on the proportion of the workforce employed for a specified period, normally with one year or more service. So compares the number of employees at 1 April 2011 with the number at 30 April 2012 who had at least one year s service. This gives an indication of the number of staff leaving in under a year of joining the organisation. Criteria 1 May 2011 1 Nov 2011 31 Oct 2011 30 April 2012 Turnover 19.5% 13% Stability rates 78.8% 80% There is a slight improvement in both the turnover and stability rates compared with the previous six month period. The average turnover rate for similar sized organisations in the service and not for profit industry is 14.2% and 15.8% respectively. Therefore the GPHC now has below average turnover currently in comparison to these sectors. Organisations generally aim to have a stability rate of between 90 and 95%. 06.12/C/06 Page 15 of 21
7.2 Diversity There are no staff over 63, therefore the impact of the removal of the statutory retirement age has so far had no impact, but will need consideration in line with the workforce and succession planning for the future. * * The UK figures show a breakdown of the total population of the UK. Currently 66% of the workforce is female which may have bearing on the types of benefits deemed important by staff. Page 16 of 21 06.12/C/06
* * The UK/London figures show a breakdown of the total population of the UK/London. The above graph shows a comparison between GPhC staff and the make-up of the UK and London population. You will see that in comparison to the UK average, the GPhC has above average numbers of staff with Asian and Black ethnicity. However in comparison to the London average the GPhC has a comparable make-up. We are currently trying to find a benchmark for the workforce of the UK/London. 06.12/C/06 Page 17 of 21
7.3 Sickness & absence rates Month Rolling year No. of sick days taken in month or rolling year No. of staff taking sick days in month or rolling year Mar-11 Mar-12 April 2011- March 2012 58.5 65.5 637.5 18 18 87 Long term sickness case at month end 1 0 % of staff that were sick in rolling 12 month period 63% Average sick days per head 4.8 Sickness is recorded a month in arrears. The average number of days taken as sick per head was 4.8 in a 12 month rolling period. Compared with organisations of a similar size, for which the average number is between 6 and 10 days. Page 18 of 21 06.12/C/06
8. Financial performance The financial data provides an overview of the financial performance of the GPhC as at 30 April 2012. 8.1 Month The operating result for the month of April was a surplus of 422k, which was 206k higher than budget. Total income was 1.58m and total expenditure was 1.16m. Revenue was 89k lower than budget, this is primarily due to delayed expenditure on projects which are funded by DH grants. The remaining variance is due to less pharmacists being on the register than expected, the number of pharmacists leaving the register in December were higher than anticipated. Expenditure was 295k below budget. This is due to the following:- 8.2 Year to date o Lower employee and associate costs due to staff vacancies and less FtP committee days than were budgeted. o Delayed expenditure on projects that are being funded by the DH grants. The variance year to date is the same as the variance in the month due to April being the first month of our financial year. 8.3 Balance sheet As at the end of April the total assets / funds of the GPhC amounted to 10m. The target reserve level for the GPhC is 12.5m. Current Assets are 25.4m represented by 24.7m in cash and 77k of debtors. Current liabilities, amount to 15.3m which comprises 11.9m of deferred income, 2.2m of working capital grants not yet expended and 760k of accruals. 06.12/C/06 Page 19 of 21
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