General Chiropractic Council Council Meeting to be held at 11.30 on 1st December 2014 44 Wicklow Street London WC1X 9HL OPEN AGENDA Declarations of interest: members are reminded that they are required to declare any direct or indirect pecuniary interest, or any non-pecuniary interest, in relation to any matters dealt with at this meeting. In accordance with Standing Orders, the Chair will rule on whether an interest is such as to prevent the member participating in the discussion or determination of the matter.

Item

Agenda Apologies and declarations of interest

Action

Timing

To note

11.30-11.35

To agree

11.35-11.40

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Draft minutes of meeting of 6 October 2014

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Matters arising and action log

To note

11.40-11.50

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Chair’s Report (oral report) - Board Effectiveness/ Governance arrangements - Board member appraisals - Healthcare regulators chairs’ meeting - Professional Association Conferences

To note

11.50-12.05

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Chief Executive’s Report (oral report) - Indemnity Insurance work programme

To note

12.05-12.25

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Performance report (including Financial report)

To discuss

12.25-12.45

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Remuneration Committee decisions (oral report)

To note

12.45-12.55

Lunch

12.55-13.45

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Business Plan 2015

To agree

13.45-14.00

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Budget and Capital Plan 2015

To agree

14.00-14.30

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Cazenove – investment update

To note

14.30-15.10

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Research Strategy and Research Proposal for 2015

To decide

15.10-15.25

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Report on Communications – core messages

To note

15.25-15.40

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To note

15.40-15.55

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Review of full risk register, including update from Audit Committee Review of the Workplan

To note

15.55-16.05

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AOB

16.05-16.15 Date of next Council meeting – March 31, 2015

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MINUTES OF THE MEETING OF THE GENERAL CHIROPRACTIC COUNCIL HELD ON 6 OCTOBER 2014 44 WICKLOW STREET, LONDON WC1X 9HL OPEN SESSION Present: Suzanne McCarthy (SM), Chair Marie Cashley (MC) Roger Dunshea (RD) Tom Greenway (TG) Gareth Lloyd (GL) Julie McKay (JM) Grahame Pope (GP) Liz Qua (LQ) Julia Sayers (LS) Gay Swait (GS) In attendance: David Howell (DH), Chief Executive and Registrar Paul Ghuman (PG), Deputy Chief Executive (Director Resources & Regulation) Neil Johnson (NJ), Policy and Communications Manager Amanda Greenlees (AG), Executive PA Apologies Sophia Adams Bhatti (SAB) Roger Creedon (RC) Christina Cunliffe (CC)

Apologies and declarations of interest Apologies were received from Sophia Adams Bhatti Roger Creedon and Christina Cunliffe. No declarations of interest were made. C-061014-1

Draft minutes of meeting of 7 August 2014 The minutes of the August meeting were agreed as an accurate record subject to the following amendment:

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Under ‘Expenditure’ in item C-070814-6, it was agreed that the phrase “as the system” would be removed from the sentence that begins “No costs for the implementation of Continued FtP as the system were included…..” Matters arising and Action log Item 2, Remuneration Committee appointment: This would be covered in the Chief Executive’s report. 2015 Council dates would be covered in the Chair’s update.

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Item 4, database costs: Council was notified that the provider had agreed to a reduction of £1,200 and providing an additional training day. Item 4, Equality and Diversity: it was expected that this item would be discussed at Council’s March 2015 meeting. Item 9, Workplan: this item would be agreed at the December 2014 Council meeting. C-061014-3

Chair’s Report Professional Association conferences The Chair reported on her attendance at the BCA conference. She congratulated Council member Tom Greenway on being named BCA “Chiropractor of the Year”. She informed Council of a conversation she had with Sue Roff, a researcher at the IAMRA conference who was interested in the ethical judgements of registrants and students. She was doing a project on this subject for the General Osteopathic Council. This work could be altered for the GCC. It was understood that the Chief Executive would be discussing this work with Ms Roff, and that it might be included in the Council’s research strategy programme. The Chair mentioned that she would be speaking at both the UCA and McTimoney conferences. Meeting with Dr Nick Clarke The Chair reported that she and the Chief Executive had recently met with Dr Nick Clarke, Deputy Director for Professional Standards, Department of Health (DH). The meeting had been constructive. Included among the items discussed was future legislation, including the Healthcare Bill and a section 60 Order. Regarding the latter, Dr Clarke had stressed that consideration of whether to support the making of a Section 60 Order was based not on the size of the registrant body, but according to need, as the criterion was public protection. The Chair and Chief Executive hoped to arrange to meet with other members of Dr Clarke’s team in Leeds. Joint GCC/RCC/Professional Associations meeting The Chair informed Council of the joint GCC/RCC/Professional Associations meeting which had discussed topics including the CoP and SoP, CPD and continuing FtP. Council meeting dates for 2015 Council agreed the following dates for Council’s 2015 meetings/seminars: • • • •

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March 31st 2015, with a seminar/dinner on March 30th; June 18th 2015; September 30th2015, with a seminar/dinner on September 29th; December 3rd 2015.

It was noted that other meetings would be arranged if necessary. Chief Executive’s Report

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Advertising The Chief Executive notified Council that the GCC had contacted the Advertising Standards Agency (ASA) to find out more about the process by which they decide advertising guidance aimed at chiropractors, and from where that advice is received. The GCC was currently awaiting a reply. Action: The Chief Executive to update Council on the response received from the ASA Remuneration Committee The Chief Executive reported that the GCC had identified an independent person for the Committee. That person was expected to be appointed shortly. Action: The Chief Executive to advise Council of the independent person appointed to the Remuneration Committee when that appointment is announced. Healthcare Bill and Private Members’ Bill The Chief Executive reported that the GCC was continuing to work with DH on the Healthcare Bill. He said that the best solution for the GCC would be if the Healthcare Bill were to proceed. If there was delay on the introduction of that Bill in the next Parliament, the GCC would work to secure a Section 60 Order. With reference to the Private Members’ Bill, the Chief Executive explained that he did not think it would, if implemented, have any great impact on the GCC. Welsh Language Scheme The Chief Executive explained that the Welsh Language Commissioner would be engaging with the GCC about the new Welsh Language Standards that the GCC would have to meet. Council would be updated once further details were available. Council agreed such an update could take place outside of Council meetings. Action: The Chief Executive to update the Council on developments relating to the Welsh Language Standards. Equality and Diversity Policy The Chief Executive advised Council that the new policy was ready for implementation. Duty of Candour Council had previously agreed to sign the Duty of Candour statement. The Chief Executive said that a meeting had been arranged with the relevant insurance companies on the 13th October, where implications of this statement for registrants would be discussed. Council would be informed of the results of that meeting. He noted that all regulators would sign up to the same statement. Action: The Chief Executive to advise Council of developments regarding the Duty of Candour Statement including the outcome of his meeting with insurers. Recruitment of expert witnesses The Chief Executive advised Council that the GCC had received ten

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expressions of interest from persons wishing to be considered as expert witnesses. IC Chair The Chief Executive proposed that Council agree to the Investigating Committee (IC) having a legally qualified chairman. He explained that this was expected to result in savings on legal assessor costs. It was expected that, in the longer term, case examiners would replace the IC. Council agreed the proposal. Research Strategy The Chief Executive introduced the Research Strategy paper, which contained proposals which would be discussed further at Council’s December meeting. He explained that the GCC’s aim was to do as much of the research suggested in-house, or by leveraging off what other regulators were doing. He particularly wanted to thank Council members Gay Swait and Sophia Adams Bhatti for their input into the strategy. Council discussed the need to look at the strategy, especially in light of the principle of patient protection. Other Business The Chief Executive reported that he would be attending a meeting of the European Chiropractic Union in Stockholm. The Chief Executive and the Chair also said that they planned to attend the WFC Congress ECU convention in Athens in May 2015. C-061014-5

Draft Business Plan and Budget Draft Business Plan The Deputy Chief Executive introduced the 2015 draft Business Plan, explaining that it had been prepared in line with the GCC’s 2015-2017 Strategic Statement. He confirmed that the draft Plan contained work that was over and above the GCC’s everyday functions. One of the projects included was to deliver revised benchmarks for FtP matters. In discussion, particular reference was made to the following points: • •

Following on from the CoP and SoP review and the Duty of Candour statement, the GCC should seek to review its Indicative Sanctions guidance; and Regarding stakeholder activity, it was agreed that the aim should be to develop a constructive dialogue with international stakeholders.

Draft Budget The Deputy Chief Executive also introduced the draft budget. As agreed at the previous Council meeting, best and worst case scenarios had been included. It was stressed, however, that the proposed budget was realistic and was the most accurate predicted outturn for the year. He explained that the GCC did not anticipate a deficit budget for 2015 and that the worst case scenario included both a sharp rise in FtP cases and a reduction in investment income. He said that the draft budget included a 3% rise in costs overall. In projecting other costs he explained that trends from previous years had been examined, including an in-depth analysis of FtP cases and how many cases might involve

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the need to use expert witness. Education costs had been estimated by obtaining information from all education providers and to this had been added other data, such as estimates for those leaving the register. The Deputy Chief Executive noted that there had been a slight increase in the income budget primarily around registration fees as well as an increase in the GCC investment portfolio. It was explained that any decisions regarding the non-practising register would not impact on the 2015 budget. He explained that expenditure figures showed a large positive variance due to changes that had been made over the last few years, primarily due to the reduction in regulation costs as a result of bringing all legal work in-house, thereby reducing reliance on external solicitors. A £25k increase in staffing costs was indicated to account for a possible annual pay award. If agreed by the Remuneration Committee, this would be reflected in the 2015 budget which would be presented to Council in December. There might also be research costs if the GCC were to instruct external researchers to carry out any research for the GCC. The Deputy Chief Executive reassured Council that costs were being well controlled, as evidenced by the fact that, though the GCC was dealing with three times the number of cases the FtP budget in 2012 of £1.1m was currently down to £600k, with a further reduction to £537k expected by 2015. He notified Council that a public consultation had started on the PSA levy, and that the figure of £6k included in the draft plan was based on a total GCC levy that would be payable for the period April 2015 - December 2015. It was noted that there may be Council costs associated with Council member appointments in future years. The new Test of Competence (ToC) had been structured to be cost-neutral. The budget showed a 2% increase in investment income based on a similar increase in the value of the portfolio. Council agreed to wait for the December update from Cazenove before considering whether these projections would require any amendment. In 2014, the budget showed a deficit of £283k due to the bulge in PCC cases. The draft 2015 forecast predicted that the GCC would move towards achieving a balanced budget faster than predicted. C-061014-6

Education Committee Report The Chair of the Education Committee, Grahame Pope, introduced the report and provided a general summary of the Education Committee’s first annual report. The Director of Education, Registration and Standards explained that, in order to provide a general overview, the Committee’s first annual report covered a period longer than 12 months. Council agreed that future Education Committee reports should be made each December. Council also asked that David Naylor Consulting be named as the contractor referred to in paragraph 11 of the report. Action: The Education Committee’s report to be amended to include the name of the contractor, David Naylor Consulting, prior to the report being placed on the GCC website.

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New arrangements for the ToC The Chair of the Education Committee explained that the process of putting together the new ToC had largely been undertaken by internal staff, along with an external consultant. The selection process for the ToC assessors had been completed and the GCC had appointed seven assessors. A training day for the assessors would take place on 7 October. The aim was for the new ToC to be cost-neutral, with applicant fees covering the costs of ToC assessments. Assessors would be paid the same rate as Committee members. The first assessment panel was expected to run in January 2015 but, if demand was higher, the GCC would have the capacity to run two panels. The new ToC would be reviewed after a year and would be brought back to Council for review at its March 2016 meeting. It was suggested that it might be useful to research the FtP statistics, as a way of measuring the effectiveness of the new system. It was noted that, while this would be useful, it could not be done immediately. It was noted that the TOC External Examiner would be recruited in November rather than October. Council approved the new ToC arrangements.

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Update on the CoP and SoP review The Director of Education, Standards and Registration updated Council on the progress of the CoP and SoP review. The CoP and SoP was currently out for consultation. A further meeting was planned with the Education Committee to look at the language and detail of the document based on feedback received. The Council would consider the new document at its March 2015 meeting. In discussion it was noted that three standards had been removed from the new document - C7, which related to financial records, E9, relating to Professional Indemnity Insurance, and F4, on agreeing responsibilities. It was suggested that E9 should remain and be given prominence due to its importance for patient safety. With regards to item C7, the Director of Education and Standards advised Council that there had been a debate at the Education Committee as to whether this was business or practice related and subsequent to that discussion, had decided it should be removed. In response to concerns raised about a non-chiropractic contractor working on the new CoP and SoP, the Director pointed out that, though the contract for reviewing the document had been outsourced, as a contractor they were guided by the GCC on chiropractic issues requiring knowledge. The purpose of the consultation was to refine and improve the document’s language and wording. Council discussed the more mandatory nature of the new document. It was explained that this was in response to what was now expected from all healthcare regulators. It was mentioned that a link to the draft document had

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been sent to Council members to enable them to feed in any points they wished to be considered, as part of the overall consultation. The CoP and SoP would be considered by Council in March 2015. Council agreed to look, not only at the draft CoP and SoP on its own, but also to do so in the context of other regulators’ Codes of Practice. Action: Summary of responses and a selection of CoP and SoP documents from other regulators to be sent to Council for the purpose of comparison prior to the March 2015 Council seminar and meeting. Information would also be provided about which regulators were currently reviewing their respective Codes of Practice. C-061014-9

Communications Plan The Communications and Policy Manager presented the draft Communications Plan for discussion. He advised that he had met with the Chair after the last Council meeting to discuss comments which arose at that meeting and that Council’s recommendations had been incorporated into the paper. He explained that separate specific communication plans would need to be prepared for each activity outlining their objectives and success measures. It was noted that a set of narrative statements were emerging and that these would be discussed further at the December Council meeting. Council agreed the Communications plan. Action: The GCC set of narrative statements to be considered by Council at the Council’s December meeting.

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Performance report The Deputy Chief Executive introduced the Performance Report, noting that Council had already agreed a number of changes in respect of the: • • • •

Governance manual; Equality and Diversity policy; CoP and SoP; and criteria for the recognition of degrees.

All other activities had been completed as planned. Key Performance Indicators (KPIs) The KPIs showing an adverse variance had not changed - to list 90% of PCC hearings within nine months of referral and to manage income and expenditure levels within 5% of the budget. The GCC was, as PCC cases were being determined, getting closer to the first target. It was expected that the referral target of listing cases within nine months, following referral from the Investigating Committee, would be met for cases in 2015. The GCC was keeping expenditure levels within 5% of budget, which was currently at a positive variance of 9%. Financial summary Investment Income from the portfolio was reported as currently being £40k

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below target. The GCC had agreed an investment strategy with the investment managers of a 4% return, but the return being achieved was currently at 3%, with the 1% balance being made up from capital. The Deputy Chief Executive explained that making up the 1% from capital would not affect cash flow and that there had been no need to liquidate any capital as yet. Thus, there was no perceived risk in this area. While expenditure was reported as being £151k below budget, overall, the budget was reported as being under control. The two biggest variances were office costs and regulatory costs, both at £39k below target. There were unbudgeted expenditures in respect of the recruitment of Council members of £30k, as well as costs required for the necessary changes to the register database. It was noted that the amount shown for the database changes would be reduced by £1,200, as the GCC had been able to negotiate a lower rate. The year-end projection was that the GCC would have a £59k positive variance on the deficit position - from the forecasted £283k to £224k. This was mainly due to reductions in office costs, lower spending on professional fees and a reduction in regulatory fees. There was a balance of £80k for revalidation. The cash position at the end of September was £677k, an amount significantly higher than the agreed amount of £200k. C-061014-11

Risk Register No audit meeting had taken place since the last Council meeting and there had been no reports of any risk on the register with a score of over 15.

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AOB Annual Report The Chief Executive was asked about the Annual Report’s publication date. The GCC had planned for the Annual Report to be ready by October, notwithstanding that it did not have to be presented until December. Due to resourcing constraints as a result of needing to direct staff resources to answering the PSA’s queries, the document was still being completed. The draft Report would be sent to Council for comment. Action: The draft Annual Report to be circulated to Council members for their comments. Council newsletter Council discussed the next Council newsletter, and decided it should include: • information on the new ToC; • the Communications Plan; and • the consultation on the CoP and SoP. Other business The Council congratulated Council member Sophia Adams Bhatti and her husband on the arrival of their baby boy.

Date of next meeting

1st December 2014

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ACTIONS ARISING FROM THE COUNCIL MEETING ON 6 OCTOBER 2014 ITEM 4

ACTION

4

The Chief Executive to advise Council of the independent person appointed to the Remuneration Committee when that appointment is announced. The Chief Executive to update the Council on developments relating to the Welsh Language Standards. The Chief Executive to advise Council of developments regarding the Duty of Candour Statement including the outcome of his meeting with insurers. The Education Committee’s report to be amended to include the name of the contractor, David Naylor Consulting, prior to the report being placed on the GCC website.

4

4

6

8

9

12

WHO

The Chief Executive to update Council on CER the response received from the ASA CER

CER

CER

PB

Summary of responses and a selection of PB CoP and SoP documents from other regulators to be sent to Council for the purpose of comparison prior to the March 2015 Council seminar and meeting. Information would also be provided about which regulators were currently reviewing their respective Codes of Practice. The GCC set of narrative statements to be considered by Council at the Council’s December meeting. The draft Annual Report to be circulated to NJ Council members for their comments.

BY WHEN

STATUS

December Council meeting December Council meeting

Update to be provided at the December Council meeting Update to be provided at the December Council meeting

December Council meeting December Council meeting

Update to be provided at the December Council meeting Update to be provided at the December Council meeting

December Council meeting

Completed

March 2015 Council meeting

Agenda item for March 2014 Council meeting

December Council meeting December council meeting

Completed

Completed

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To:

The Council, General Chiropractic Council

From:

Paul Ghuman, Director of Resources and Regulation

Subject:

Performance Report

Date: 1 December 2014 -----------------------------------------------------------------------------------------------------------1. Purpose The purpose of this paper is to present to Council the Performance Report covering the period up to the end of October 2014. 2.

Summary

Most activities on the Business Plan are proceeding as planned. However, there are two areas which have already been flagged at previous Council meetings as requiring more work than originally anticipated and where the revised position was that the work would be completed by the end of Quarter 4. These are: •

Review of all of the GCC’s statutory functions to ensure compliance with the Equality Act 2010;

An audit looking at the GCC’s statutory functions in relation to ensuring compliance with the Equality Act 2010 was undertaken, resulting in a number of recommendations being made. Work-to-date includes a revised Equality and Diversity policy being drafted, training having been provided to all members of staff on equality and diversity awareness and a staff member equality champion being nominated and receiving further training. Further improvements to information on the website regarding equality and diversity are being carried out. Council, at its last meeting, deferred consideration of the Governance manual to its March 2015 meeting. Council also agreed a change in the timetable for completion of the work into the review of the Code of Practice and Standard of Proficiency (CoP & SoP) and this work is now due for completion in early 2015. An interim report on this project is on the agenda for this meeting. The project’s cost has increased by approximately £6k. As a result of the CoP & SoP work not being completed until early 2015 there will be an associated delay in the Review of the Criteria for Recognition of Degrees, which can only commence once the CoP & SoP has been approved.

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On the Summary Sheet there are two KPIs showing a red status: to list 90% of PCC hearings within nine months of referral and to ensure that expenditure/income levels are within 5% of the budgeted amount. Explanations for both are provided in the text. The Financial Summary for October 2014 is included and explanations on the variances to date are provided in the report. Cash-flow predictions indicate that the cash levels will continue to rise as retention fees for 2015 are received. 3.

Action required

Council is asked to note the Performance Report.

Paul Ghuman Email: [email protected] Telephone: 020 7713 5155

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Performance Management and monitoring of the operational action plan October 2014

Prepared by the Senior Executive Board

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Summary Major Events

Business Plan delivery (by exception)

Professional Standards Authority (PSA) levy – The DoH are hopeful that the proposed levy to fund the work of the PSA on all nine healthcare regulators will be in place for the fiscal year 2015/16

The points that need to be raised are: Council has also already agreed a change in the timetable for the COP/SOP review and associated work along with the Review of Criteria for recognition of degrees to 2015.

Private Members Bill – The first reading of the private members took place on the 7 November 2014. The main change will be to make the statutory objective of all healthcare regulators as defined in the relevant Acts the same.

Council also agreed a change to the Governance manual to be produced by March 2015. The activity “Develop a system for assuring continuing fitness to

The other main proposed change in the original bill was to include practise” has now been moved to 2015 and will follow work on the review of the CPD scheme. a provision for erasure of registrants who had been convicted of serious offences. This section as now been removed. All other activities due to be delivered at this stage in the year Review initiated by the PSA of the performance review process – have been completed. A review of the process of the PSA performance review is Key Performance Indicators (by exception) currently underway and more details will follow. To list 90% of PCC hearings within nine months of referral

PSA initial stages audit – The PSA carried out their audit in July 2014 and a draft report has been received for comment by 28th November.

To manage actual income and expenditure levels within 5% of the budget

2

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Operational plan progress – by strategic aim and activity Reporting on the achievement of key milestones due for completion by quarter 4. Strategic Aim 1: We aim to carry out our functions in a way that protects patients and upholds standards Primary activity A complete review of the Code of Practice and Standard of Proficiency (CoP & SoP)

Status 1. Publish and disseminate revised Code of Practice and Standard of Proficiency (CoP & SoP).

CURRENT STATUS

Lead

Council agreed a change in the timeline for this project and this work will now complete in the first quarter of 2015.

PB

Strategic Aim 2: We aim continually to seek improvements in our effectiveness, efficiency and governance Primary activity To make improvements in the provision of management information across the organisation.

Supporting activity 8. Review of the Governance Manual.

Status

CURRENT STATUS

The work on this was expected to complete by the end of the first quarter. The Terms of reference between the Council and the Executive along with the Scheme of Delegation and the financial regulations were agreed by Council in April 2014. Council further agreed that this would be considered at its meeting in March 2015.

3

Lead PG

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Review of Process for the Recognition of Degree Programmes Develop a system for assuring continuing fitness to practise

9. Review all of the GCC’s statutory functions to ensure compliance with the Equality Act 2010 1. Review Degree Recognition Criteria following publication of revised CoP & SoP Work in relation to the review of the CPD scheme will need to be completed before this work is further developed

The work on this was expected to complete by the end of the first quarter of 2015.

DH

Further to the agreed change in the timetable for the CoP & SoP as stated in Aim 1, this work cannot begin until the CoP & SoP has been agreed and this work will therefore begin in 2015.

PB

Work in relation to the review of the CPD scheme is currently being undertaken. Likely completion in 2015.

Strategic Aim 3: We aim to respond to change ensuring our systems remain fit for purpose No concerns

Strategic Aim 4: We aim to communicate effectively and have constructive and professional relationships with our stakeholders No concerns

Achieved

Minor slippage or issue to flag

Significant Concern

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Key Performance Indicators Fitness to Practise

Status

To list 90% of PCC hearings within nine months of referral

Resources

Exception Information 1. 36% of cases listed in 2014 were within 9 months of referral 2. The reason is that the referrals have come through in large numbers during the end of 2012 and early 2013. The median is 10.3 months. 3. Increased hearing days are allocated for 2014. The percentage listing is unlikely to improve until the bulge in PCC cases has reduced. The appointment of two FtP lawyer advocates will aid in processing cases more effectively at both IC and PCC stages.

Status

To manage actual income and expenditure levels within 5% of the budget (see Financial Summary attached)

Exception Information 1. The expenditure level is 12% lower than the budgeted level 2. There are a number of reasons and some of these are considered in the notes and the management forecast is showing a reduced deficit for the year. This excludes any unbudgeted expenditure which is shown separately. 3. No action is anticipated.

5

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Financial Summary – As at 31st October 2014 Budget YTD

YTD Variance

Full Year Budget

Year End estimate

Income

YTD

Initial Registration

114,000

116,250

-25,500

139,500

114,000

Non practising to practising

21,600

8,000

13,600

8,000

20,000

Restoration

11,350

7,500

3,850

7,500

11,350

2,065,200

2,074,400

-9,200

2,074,400

2,065,200

30,300

24,900

5,400

24,900

30,300

103,545

133,333

-29,789

160,000

120,000

Explanation of key variances Note 1

Retention - Practising

Note 2

Retention - Non Practising Investment Income

Note 3

2,345,995

2,387,633

Full Year Budget

2,360,850 Year End estimate

YTD

Staff Costs

745,730

757,569

11,840

914,283

912,090

40,681

57,500

16,819

69,000

55,500

122,527

171,850

49,323

206,020

164,100

Office Costs

YTD Variance

2,414,300

Expenditure

IT costs

Budget YTD

-41,639

Note 4

Accommodation Costs Finance costs Professional fees

202,038

216,328

14,290

274,200

280,200

3,263

2,917

-346

19,000

20,500

110,142

137,917

27,775

165,500

139,500 Note 5

6

C-011214 – Item 5

Budget YTD

Full Year Budget

YTD Variance

Year End estimate

Expenditure

YTD

Council costs

113,212

127,444

14,233

153,300

138,500

Communication

5,253

15,000

9,747

18,000

11,500

Registrations

4,949

1,000

-3,949

6,000

6,000

Education

24,448

29,333

4,886

34,500

30,500

Regulation

517,467

646,913

129,446

837,500

716,500

1,889,708

2,163,772

274,064

2,697,303

2,474,890

456,287

223,861

232,425

-283,003

-114,040

Note 7

Expenditure Surplus / (Deficit)

Unbudgeted Expenditure

YTD

Council member recruitment Database changes

Grant Funding - Earmarked for Revalidation

Year End estimate

10,307

30,000

0

8,800

10,307

38,800

Balance b/f

Income

Expenditure

83,478

0

6,660

Balance c/f 76,818

Other Notes Note 1: The number of new registrants is below that expected for the year. We will look to analyse the spilt of registrants for each educational establishment and those registering to see if there is any change in trend. Note 2: The split of registrant members retaining as practising was slightly lower than expected at the start of the year. This is reduction of income is partially offset by the increase in non –registrants. 7

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Note 3: The portfolio is currently showing an income return of 3% and the forecast is also the same for the end of the year. The balance as agreed in the investment strategy will be made up from capital. Note 4: The office costs for the year are likely to be lower as a result of anticipated rates bill being below that budgeted. Note 5: Professional fees which include the project costs for the year will be below budget simply as one of the projects, the degree recognition criteria has been moved to 2015 along with other projects costing less than initially anticipated. Note 6: Regulatory costs to date are lower than expected primarily in relation to Investigating Committee (IC) costs and Professional Conduct Committee (PCC) costs. For the IC, this is a result of actions taken last year to ensure that the minutes, reasons and any allegations are drafted by the legal assessor. These have now materialised into actual savings this year. For the PCC, we moved to in house presentation of cases and these savings are starting to materialise as the numbers of cases presented by external counsel reduces.

Cash forecast for 2014

Period Cash b/f Income Registration fees 2015 Expenditure Cash C/f

£'000

£'000

£'000

Oct-14

Nov-14

Dec-14

469

819

2066

29

29

27

550

1468

229

250

303

819

2066

1790

8

C–011214-7

To:

General Chiropractic Council

From:

Paul Ghuman, Director of Resources and Regulation

Subject:

Business Plan 2015

Date:

1 December 2014

1.

Purpose

The purpose of this paper is to present the draft Business Plan 2015 which has been prepared in line with delivery of the Strategic Statement 2015-2017. 2.

Background

The Business Plan includes activities which are over and above the standards functions required by the GCC. Once Council has approved this draft business plan the executive will prepare a more detailed operational plan. The proposed Business Plan is attached as Annex A which includes reference to the GCC’s Strategic Statement 2015-2017. 3.

Action

Council is asked consider and, if content, approve the 2015 Business plan. 4.

Financial implications

There are no financial implications arising from this paper. 5.

Legal Implications

There are no legal implications arising from this paper 6.

Risk Implications

There are no risk implications arising from this paper other than those already covered in the Strategic Risk Register. 7.

Equality Implications

There are no equality implications arising from this paper Paul Ghuman Email: [email protected] Telephone: 020 7713 5155

C-011214-7A

Business Plan 2015 Who we are The General Chiropractic Council (GCC) regulates the chiropractic profession in the UK. It is an independent organisation set up by Parliament. Our Vision •

We aim to deliver effective regulation for the protection of patients and the public and to do so in a fair, proportionate and objective manner.

What we do The Chiropractors Act 1994 requires the GCC to carry out the following main functions: •

setting the standards of the profession;

•

promoting high standards of education and training in Chiropractic;

•

maintaining a register of those Chiropractors who are fit to practise;

•

taking action against anyone using the title of chiropractor who is not registered with the GCC;

•

investigating and deciding complaints about fitness to practise.

Strategic Aims We aim to: •

protect patients and the public;

•

uphold and improve professional standards;

•

engage effectively and have constructive dialogue with our stakeholders;

•

improve our effectiveness, ensuring our systems are cost effective and fit for purpose.

C-011214-7A

The Context In 2015, the GCC aims to continue improving it efficiency and effectiveness by implementing a major programme of research and review across all of its core functions. Building on last year’s improvements, this Business Plan lists underneath each of our Strategic Aims the main projects we intend to complete during the year. Strategic Aim 1: We aim to protect patients and the public 1. Make further investment in improving the quality and efficiency of the GCC’s Fitness to Practise processes In 2014, we completed the transition to deal with all FtP legal matters using an in- house team rather than external solicitors in every case. In 2015 we will: • • •

introduce legally qualified chairs; explore finding cost efficiencies in FTP hearing accommodation; and seek to increase our panel of experts.

2. To implement the recommendations of the Sally Williams’ report on Fitness to Practice cases 3. Develop a research strategy including conducting research into the FtP experience of complainants

Strategic Aim 2: We aim to uphold and improve professional standards 1. To embed the Code of Practice and Standards of Proficiency (CoP & SoP) as the core principles and values for good chiropractic practice and high standards of professionalism. This will be accomplished by: • • •

completing the review of the CoP & SoP; issuing any supplementary Guidance as agreed by Council; and ensuring that chiropractic students are aware of professional obligations as set out in the CoP & SoP.

2. Review the Criteria/Standards for the Recognition of Degree Programmes. • •

review Degree Recognition Criteria following publication of the revised CoP & SoP; and review whole quality assurance process including the procedures and paperwork

3. Continue development of a system for assuring Continuing Fitness to Practise •

review the GCC CPD scheme to address the issues identified with the current CPD scheme and, in light of the work done by other healthcare regulators, devise a

C-011214-7A

system that builds on that and includes elements of peer review and patient feedback. Strategic Aim 3: We aim to engage effectively and have constructive dialogue with our stakeholders 1. • • • •

Implement the recommendations of the GCC Communication Plan extend the use of social media (particularly Twitter and LinkedIn) amend the GCC Website explore the use of webinars and similar events regularly publish the GCC Newsletter

2. Continue to maintain a constructive dialogue with our international stakeholders 3. Develop and implement a GCC Welsh Language Scheme

Strategic Aim 4: We aim to improve our effectiveness, ensuring our systems are cost effective and fit for purpose

1. Develop a research strategy 2. Update our Equality and Diversity Policy 3. Develop new timelines for the determination of FtP cases 4. Review of KPI information and benchmarking data against the outcomes of other healthcare regulators 5. Review our guidance to the Professional Conduct Committee (PCC) on appropriate sanctions

C-011214-8

To:

The Council, General Chiropractic Council

From:

Paul Ghuman, Director of Resources and Regulation

Subject:

Draft Budget 2015 and Capital Plan

Date:

1 December 2014

Summary In 2014, the budget showed a deficit of £283k, due to the bulge in PCC cases. Council had decided that that the GCC would aim to hold extra hearings to eradicate the backlog created by the discovery, in 2012, of six times the usual annual number of complaints which were previously accounted for. The forecast for 2015 shows that the GCC has recovered faster than anticipated; instead of a small deficit in 2015 the draft budget shows a surplus. This surplus will increase in 2016 and 2017. As such, there is no required drawdown on our investment portfolio. Introduction 1. The proposed Budget for 2015 is to support the delivery of the Business Plan 2015. 2. The ongoing resourcing issues facing the organisation relate to reducing the number of cases with the Professional Conduct Committee (PCC) waiting for determination. 3. This bulge in PCC cases followed the decisions taken by the Investigating Committee on almost 240 cases since April 2012. This led to a large number of cases being referred to the PCC. A large number of cases will have been determined during 2013 and 2014, which will allow the GCC to meet its KPI for determining 90% of cases referred within 9 months. The proposed budget seeks to maintain a relatively high number of hearing days in 2015. 4. The costs in relation to FtP will reduce somewhat in 2015, as it will be the first full year of processing, investigating and presenting cases with an in-house legal team. 5. Attached at Annex A is the budget for 2015 with best and worst-case scenarios. 6. The proposed budget shows an income of £2,494k (2014 budget £2,414k) and expenditure of £2,484k (2014 budget £2,697k), giving a budgeted surplus of £10k. 7. The main budget increases are in relation to staffing, IT and Council costs. The total increase on these budget lines is £107k. Other budget lines are showing a decrease on the 2014 budget of £320k. This leads to a total expenditure decrease of £213k from the 2014 budget. A reduction of 7.8% from the 2014 budget. 8. Income lines show an increase of income of £80k on the 2014 budget. This is a 3.3% increase on the 2014 budget position. 9. Taking income and expenditure together, the total budget movement from 2014 to 2015 is £293k leading to a forecast surplus of £10k. 10. The financial forecast for the following years shows a surplus of £94k in 2016 and £167k in 2017.

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Key provisions 11. The budget for 2015 assumes no increase in the Annual Retention Fee paid by registrants during the period. 12. There is an allowance for a levy to the PSA of £6k. 13. There is no allowance for continuing fitness to practise (formerly known as revalidation) costs as these costs are met from the DH grant fund. 14. There is a current provision for an increase of 3% staff pay award. The actual salary increase will be determined by the Remuneration Committee on 24 November and clearly has not been reflected in this paper. Budget 2015 Summary 2014 budget

2015

139,500 2,074,400

137,250 2,143,200

24,900

30,300

8,000 7,500 160,000 2,414,300

8,000 7,500 168,000 2,494,250

Expenditure Staff Costs IT costs Office Costs Accommodation costs Finance costs Professional fees Council costs Communication Registrations Education Regulation Contingency Expenditure

914,283 69,000 206,020 274,200 19,000 165,500 153,300 18,000 6,000 34,500 837,500 0 2,697,303

997,114 80,000 183,500 248,200 21,465 135,000 166,800 18,000 7,500 25,130 602,000 0 2,484,209

Surplus / (Deficit)

(283,003)

10,041

Income Initial Registration Retention - Practising Retention Non Practising Non practising to practising Restoration Investment Income Total Income

C-011214-8

Financial Forecast Summary 2015-2017

Forecast 2015

2016

2017

137,250 2,143,200

137,250 2,209,600

120,000 2,276,000

30,300

30,300

30,300

8,000 7,500 168,000 2,494,250

8,000 7,500 176,000 2,568,650

8,000 7,500 184,000 2,625,800

Expenditure Staff Costs IT costs Office Costs Accommodation costs Finance costs Professional fees Council costs Communication Registrations Education Regulation Contingency Expenditure

997,114 80,000 183,500 248,200 21,465 135,000 166,800 18,000 7,000 25,130 602,000 0 2,484,209

1,027,027 97,500 192,155 231,960 22,109 136,950 177,490 18,540 7,750 25,779 537,180 0 2,474,440

1,057,838 78,500 201,385 243,996 22,772 138,959 148,201 19,096 8,000 22,947 517,365 0 2,459,059

Surplus / (Deficit)

10,141

94,210

166,741

Income Initial Registration Retention - Practising Retention Non Practising Non practising to practising Restoration Investment Income Total Income

C-011214-8

Budget details Income 15. The draft income budget is:

Income Initial Registration Retention - Practising Retention Non Practising Non practising to practising Restoration Investment Income Total Income

2014 budget

2015

139,500 2,074,400

137,250 2,143,200

24,900

30,300

8,000 7,500 160,000 2,414,300

8,000 7,500 168,000 2,494,250

Overall income is as follows: 16. The overall income position is that the 2015 budget of £2,494k is an increase of £80k on the 2014 budget. The main reasons are an increase of £74k in the retention fees number and an increase on investment income based on an increase of 2% in the portfolio valuation. Staffing 17. The staff expenditure budget is:

Staff Costs Salaries Temporary Staff Staff Recruitment Staff Development Staff Costs Staff Cost Total

2014 budget

2015

869,083 7,200 10,000 10,500 17,500 914,283

936,114 18,000 15,000 10,500 17,500 997,114

18. Staff salaries increase as a result of full-year costs for three new posts recruited during 2014. The staff costs budget also includes a 3% increase in the pay award. These changes will lead to an increase in salaries of £67k. 19. Temporary staff costs have been higher than expected over the past few years. The requirement for temporary staff to support the effective functioning of the office in peak periods has led to an increase in the budget to £18k. 20. The staff Recruitment budget includes provision for two vacancy advertisements, with the rest of the appointment cost being staff time.

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21. Staff Development is budgeted at £750 per employee. 22. Other staff costs – this includes the CER budget for travel etc and has been underutilised in 2014. It is predicted to increase in 2015 as more meetings with stakeholders are anticipated. IT costs

IT Costs Computers Website Database Support & Design IT Cost Total

2014 budget 48,000 5,000 16,000 69,000

2015 48,000 10,000 22,000 80,000

23. The budget for 2015 is £84k. 24. Computer costs are maintained at £48k in 2015. 25. The website links will need to be improved for social media use and also work will take place on improving the home page. 26. There will be a requirement for planned development of the CRM database in 2015 in order to enhance CPD capabilities. Office costs 27. In total, office costs reduce by £23k with the main changes being in relation to a reduction in rates, along with an increase in insurance costs. Accommodation

Office Rental Service Cost -TBC Hearing Venue Costs Accommodation Costs

2014 budget 101,000 16,000 157,200 274,200

2015 101,000 17,600 129,600 248,200

28. Accommodation costs include rent for the full year at £101K per annum. 29. A provisional amount for service cost in line with that of 2014. 30. Hearing venue costs have decreased due to a small reduction in hearing days in 2015. Further work is being done to reduce the daily cost. No allowance for this has been included. Finance costs 31. Overall finance costs have increased from £19k to £21k. This is as a result of banking charges being applied. These were not applied when the GCC had a mortgage on the property.

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Professional fees 32. The budget for professional fees has decreased to £135k from a budget of £165k in 2014.

PSA levy Legal Fees Project and Consultancy fees Human Resources Professional Fees Total

2014 budget 60,000 96,000 9,500 165,500

2015 6,000 54,000 70,000 5,000 135,000

33. A levy to the PSA has been included as this is likely to be in place for 2015/16. 34. Legal fees have been budgeted again at £54k for 2015. There is no set requirement for this, but recent history has shown that this level of expenditure is required. . 35. Project and consultancy fees include the key audits and external costs in delivering the activities in the business plan. The total for 2015 is £70k. This is made up of: Professional consultancy fees Pennington's audit of IC and PCC decisions Audit of case files- BB Feedback system from FTP case Welsh Language scheme translation SOPCOP printing and distribution Degree Recognition Criteria Indicative Sanctions Guidance Review of HR policies Contingency Total

£ 7,500 7,500 2,000 3,000 10,000 30,000 5,000 5,000 70,000

36. Human resources budget is reduced to £5k in 2015 as compared to £9.5k in 2014. Council costs

Council Costs Council Expenses Council Allowances Council Development Council Vacancies Appt Costs Council Cost Total

2014 budget 39,500 108,800 5,000 0 153,300

2015 23,000 108,800 5,000 30,000 166,800

37. In total, Council costs increase from £153k in 2014 to £166k in 2015. The 2014 figure does not included unbudgeted costs of £30k for Council appointments. There are further appointment costs in 2015 and some members come to the end of their term in early 2016 and therefore the appointment process will be carried out in 2015. 38. Council expenses are reduced from £40k in 2014 to £23k in 2015 due to a reduction in the number of Council meeting days.

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39. Council allowances are now constant as all Council members are on salaries.

Communication costs 40. These costs remain the same as in 2014. Registration 41. The registration budget is increased from £6k in 2014 to £7k in 2015. Education

Education 2014 budget Education Committee 21,000 Recognition 3,500 Standard of Proficiency and Code of Practise 10,000 Education Cost Total 34,500

2015 21,630 3,500 0 25,130

42. Education costs reduce from £34k in 2014 to £25k in 2015. This is simply due to the fact that the printing budget for the COP& SOP, which did not happen in 2014, has been allocated to the professional fees budget in 2015. Fitness to Practice

FtP FtP Legal advice Investigating Committee Section 32 Health & Professional Conduct Committee Appeals & Judicial Review Data Protection Act and Freedom of Information FtP Cost Total

2014 budget 10,000 87,500 5,000 705,000 21,500

2015

8,500 837,500

8,500 602,000

70,000 6,000 495,000 22,500

Investigating Committee 43. The budget assumes that the Investigating Committee (IC) will sit on 12 days in the year with eight cases on average considered at each IC meeting. There will be four members at each meeting. The quorum is three members. 44. It is assumed that the workload will remain the same in 2015 as in 2014 with an average of 80 cases per annum. The increase in complaints referred to the IC is somewhat offset by a reduced percentage being referred following a ruling in the Spencer judgement. 45. The budget now also includes the IC interim suspension hearings. Professional Conduct Committee 46. We have assumed 120 hearing days from January to December 2015. This figure is slightly lower than the number of hearing days in 2014 (131 days).

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47. The reduction in costs is primarily in relation to the fact that in 2015 all the legal work will be completed in-house by the FtP team. 48. There will always be a number of cases awaiting a first hearing because of the time it takes after referral by the IC for the GCC’s Regulatory team to investigate further based on the allegation referred, assemble evidence and give adequate notice to the defence team to prepare their case. The target is nine months between referral and first hearing. We have not been able to meet that target for some time, but the expectation is that it will be met in 2015. 49. There are, however, a large number of variables which are uncontrollable. These include the relative complexity of cases in the pipeline and the level of complaints received. Other FtP costs 50. FtP legal advice is now subsumed in legal advice under professional fees. This is general advice rather than case-specific advice. Capital Plan 51. The Council agreed the capital plan for 2014 and to date only a small proportion of assets agreed have been purchased, the remainder will be purchased by the end of the year or in 2015. The only additional capital assets that are being considered for the 2015 period are: Computer Equipment - laptops and PC’s Other Assets and Software licenses Total

£11,000 £2,000 £13,000

Public protection implications 52. The high level of hearing days seeks to ensure that cases are dealt with in a timely manner and on achieving the GCC’s statutory duties, all of which have the aim of public protection. Policy and Communications implications 53. Policy projects planned are described in the Business Plan 2015. Legal implications 54. None arising from this paper. Resource implications 55. These are highlighted in the paper. Recommendations 56. The Council is asked to approve the proposed 2015 Budget and the Capital plan 2015.

C-011214-8A Annex A

Budget 2015 with associated best case and worst case scenarios

Budget 2015

Best Case 2015

Worst 2015

Income Initial Registration Retention - Practising Retention - Non Practising Non practising to practising Restoration Investment Income Total Income

137,250 2,143,200 30,300 8,000 7,500 168,000 2,494,250

137,250 2,143,200 30,300 16,000 7,500 168,000 2,502,250

122,250 2,113,600 34,000 8,000 7,500 148,000 2,433,350

Expenditure Staff Costs IT costs Office Costs Accommodation costs Finance costs Professional fees Council costs Communication Registrations Education FtP Expenditure

0 0 997,114 80,000 183,500 248,200 21,465 135,000 166,800 18,000 7,000 25,130 602,000 2,474,109

973,114 67,000 169,500 246,600 18,800 86,000 156,800 13,000 7,000 18,000 552,000 2,307,814

1,011,114 91,000 195,000 278,000 23,200 152,000 176,800 20,300 8,500 34,000 749,000 2,738,914

0 10,041

194,436

(305,564)

Surplus / (Deficit)

Council noted the main reasons for the differences in the best and worst case scenario budgets at its meeting in October 2014.

C-011214-10

To:

General Chiropractic Council

From:

Chief Executive and Registrar

Subject:

Research Strategy and proposed research for 2015

Date:

1 December 2014

Purpose 1.

Following a recommendation in the Sally Williams review of FtP cases, this paper sets out a proposed research strategy for Council to consider, and if content, agree.

2.

The appendix to the paper contains proposed research for 2015 for Council to consider, and if content, agree.

Priority 3.

The Appendix lists the research suggested in each subject area, i.e. FtP, Education etc., in order of proposed priority. The Executive’s view is that it would be sensible for us to prioritise conduct the two studies specifically recommended in Sally Williams’ report.

David Howell Email: [email protected] Telephone: 020 7713 5155

C-011214-10A

Research Strategy

Principles 1. The GCC’s research strategy will be guided by the following principles: a. the overarching aim of any piece of research by the GCC should be to provide the GCC with a greater understanding in support of its regulatory functions; b. each research project should have a clearly defined and articulated purpose; c. the most cost effective approach to any research conducted should be adopted; d. the GCC should not undertake research which should be conducted by others; and e. where others have conducted research in the same area or in areas of particular interest to the GCC, we should examine if the results can be safely applied to the area of regulation of the chiropractic profession or what, if any, further research should be conducted by the GCC. Background 1. The term “research” in this context means: “a systematic enquiry commissioned by the Council with the aim of advancing the GCC’s knowledge, practise or understanding.” As such, it is part of the GCC’s overall approach to gathering evidence to support Council’s decision making. 2. The GCC has no research staff, unlike other Health Regulators. As far as possible, research by the GCC will be conducted without incurring significant cost other than staff time. Where a project plan identifies a significant cost, Council will be asked to agree that such cost should be incurred. Project Delivery 3. Council will be asked to approve each project. Project proposals put before Council will set out the type of research, its purpose, which it is proposed should carry it out and whether any financial costs apart from GCC’s staff costs are likely to be incurred, and how the research being conducted might affect other GCC activities and the expected benefits for the GCC. Projects will usually fall into two parts - the collection of statistics and analysis. Staff will usually be able to collect statistics. The Council may decide that the analysis should be done by an independent expert.

C-011214-10A Equality and Diversity 4. The project plan for each specific research will take into account Equality and Diversity implications. Annual Review and Impact of Research 5. Council will be invited to review the research strategy, once agreed, annually in December. This will include an evaluation of the impact of any research conducted during the year and the progress of current research projects as well as the research strategy proposed for the next year. Communications 6. A communication plan will be developed for each research project approved by the Council. It will be designed as an integral element of the GCC’s overall Communication Plan aimed at our target audience(s).

C-011214-10B

Proposed Research for 2015 Type of research

Research project

Who

Cost

Comments

FTP To understand complainants’ needs for support. To analyse why complaints are withdrawn.

GCC

Internal

Recommended by Sally Williams’ report.

GCC

Internal

Profile of complainants*

To obtain information on the characteristics of complainants.

GCC

Internal

Details of complaints*

To dive down deeper into the details of the complaints analysed in the Williams report.

GCC

Internal

Recommended by Sally Williams’ report. This could be extended to discover what actions complainants take (or don’t take) after they have withdrawn their complaint. This will be linked with a study of how different social and demographic groups fare before FTP panels to identify whether any feel excluded from the FTP process, and if the FTP system inadvertently discriminates against any groups, addressing equality and diversity issues. Requested by the Professional Associations to provide helpful information to Chiropractors. To provide the profession with more detailed information, for example:  What was the breach of confidentiality in 8 cases?  What was the allegation of poor hygiene in 4 cases?  What was the sub-standard of care in 121 cases?

Complainants*

Rate of recidivism i.e. how many Chiropractors are repeat offenders? Details about chiropractors who are the subject of complaints

To identify whether specific steps are needed to prevent those who have offended repeating the misconduct. To obtain information on the type of allegations made against Chiropractors in different age groups, locations and educational backgrounds.

GCC

Internal

GCC

Internal

What was the treatment that caused injury in 38 cases etc (21 particular allegations need further detailed research for this purpose). To determine if these steps are necessary and/or have had any effect.

To provide information to inform educational establishments, review of standards and the CPD.

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EDUCATION Promoting professionalism

To identify the influence of guidance in influencing chiropractic behaviour.

GCC

Consultancy support

Are the GCC’s educational systems properly inculcating professionalism Student preparedness

To examine training in professionalism.

GCC in the light of other studies

No cost

To examine students’ preparedness to practice.

GCC

Internal

Patients’ Survey

Exploring patients’ experiences of treatment and identifying what they understand by the term ‘professional’.

GCC

This would build on the research carried out by ‘Firefly’ for the GCC in 2013 – any other costs?

To explore and develop strategies to support coordinated approaches to implementation of guidance and lapse in professional norms, behaviour and standards. The GCC would work in partnership with education providers and individuals to explore professional norms across groups (providers, students and registrant). The results of this research would lead to adapting the GOsC’s questionnaires and situational judgement scenarios and e-learning tools for the GCC’s use. This can be based on the research conducted by others in this area.

Several of the individuals who responded to the Williams Review commented that they felt students are not properly equipped to practice when they graduate. This work from the Education Committee is on hold. This would include examining the Firefly Report to see if there are any gaps.

REGISTRATIONS Registrants’ Survey

To obtain information about registrants.

Internal

To provide information on social and demographic trends amongst registrants including areas such as age, gender, location and type of practice to enable the GCC to target communication activity more effectively, and give us a greater understanding of the profession.

*Some projects could be usefully combined, for example, all the issues affecting complainants could be the subject of one research study.

C-011214-11

To:

General Chiropractic Council

From:

Neil Johnson, Policy and Communications Manager

Subject:

Communications Core Messages

Date:

1 December 2014

Purpose 1. This paper lists the narrative messages currently being used in the GCC’s communication activity for Council’s consideration and comment. Background 2. In 2013 the Council approved both a Communication and Engagement Strategy and a Social Media strategy. 3. At its meeting on 5th October 2014 the Council agreed a Communication Plan for 2015 that built on the two earlier strategies, and provided an outline of activity for those strategies. 4. Through using these strategies the Council will be taking a more proactive communication approach helping us to more effectively ensure that the GCC’s voice is heard by stakeholders and for this to contribute to them having greater understanding, confidence and trust in us. . 5. This has already started. For example, the Chair and Chief Executive and Registrar have recently spoken at a number of chiropractic events, and we have also contributed articles that have been published in the Chiropractic Patient’s Association and the Health Professionals Crossing Borders publications. 6. At the October 2014 Council meeting, it was agreed that members of Council should have the opportunity to consider the narrative messages that are currently being used to guide the GCC’s communication activity. 7. The narrative core messages are:•

We aim to deliver effective regulation for the protection of patients and the public, and to do so in a fair, proportionate and objective manner

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•

We wish to work proactively with the profession to improve professional standards, but those who contravene our requirements can expect us to take action against them

•

Implementation of the recommendations of the Law Commission’s proposed Bill would allow us to reflect the needs of both registrants and patients more effectively

8. We are taking every opportunity to communicate and reinforce these core messages. They are also being kept under review to ensure that they remain effective and relevant. Action required 9. Council is invited to consider and comment on the narrative messages. Financial implications 10. There are no financial implications arising from this paper. Legal Implications 11. There are no legal implications arising from this paper Risk Implications 12. There are no risk implications arising from this paper Equality Implications 13. There are no equality implications arising from this paper

Neil Johnson Email: [email protected] Telephone: 020 7713 5155

C-011214-12

To:

The Council, General Chiropractic Council

From:

Roger Dunshea, Chair of the Audit Committee

Subject:

Audit Committee update and Risk Register

Date:

1 December 2014

------------------------------------------------------------------------------------------------------------

1. Purpose

Roger Dunshea, Chair of the Audit Committee, will provide an update to Council on the attached risk register paper, long with any other matters, as discussed at the last Audit Committee meeting on 3rd November 2014.

Roger Dunshea Chair, Audit Committee

C-011214-item 12 Annex A

Strategic Risk description

Risk Event

Inherent Score P

Failure to protect the The failure to introduce a system of assuring the continued public fitness to practice of chiropractors

Failure to meet the required standard in all areas of the PSA performance report.

Risk of information security breaches of data

4

4

4

S

4

Council considered the matter at its meeting in February 2014. Council has agreed that the Education Committee would lead in carrying out a review of the CPD scheme in PB 16 light of enhancements made by other regulators and to provide greater assurance of registrants continuing fitness to practice and that a report would be provided to Council in March 2015

4

The PSA performance report identified standards which had not been met for the 2013/14 period. The committee noted at its last meeting that the concerns raised were housekeeping issues and that an action plan had been put 16 into place. Since then an initial stages audit of cases had been carried out and the likelihood is that the same issues will be noted as the audit covers the same period. The Ftp manual and associated monitoring processes have been revised to ensure compliance.

4

The organisation has looked very carefully at internal security procedures for data and classification of data. Furthermore a detailed note on data protection procedures has now been implemented within the office procedure 16 manual. All members of staff have now received further training on their responsibilities in relation to both the Data Protection Act (DPA) and Freedom of information Act in September 2014 and the FtP team have attended a seminar by a firm of solicitors.

4

Council has agreed to widen the exposure of our communication messages across a variety of online media. 12 Council agreed the appointment of a Policy and Communications Manager and the post holder is now in post.

Failure to ensure compliance with all relevant legislation including the Equality Act

3

4

4

16

The Equality and Diversity policy which encompasses the functions of the organisation has been produced.

Residual score

Further actions planned to reduce the risk to a tolerable level and progress to date

Risk Owner

I

Failure to uphold confidence in the GCC Failure to develop the Communications & Engagement strategy agreed by Council with on-going actions to widen contacts

Controls and monitoring procedures currently in operation

P

I

S

PSA are kept up to date with progress in this area and regular meetings are help with other regulators in order to learn from them. Two stakeholder consultations have now taken place and the reports are due to the March 2015 meeting of Council.

2

4

8

DH

The introduction of revised monitoring procedures to ensure that there is compliance with the FtP manual will help in this regard. A further check of audit case files on a rotating basis between senior managers will also ensure enhanced accountability and compliance. This will begin in November 2014.

3

4

12

PG

The Initial stages audit has identified a number of low level data protection breaches which had not been picked up by staff. This enhanced training provided in September 2014 for all members of staff along with the fact that the increase in the senior level staff members in the FtP team should reduce this during the next year.

2

4

8

DH

The new Policy and Communications Manager is in post and working on a variety of Communication plans and use of different media. Review of social media strategy to Council in December 2014.

2

4

8

DH

An initial audit of the requirements upon the GCC in meeting the Equality Act has taken place and a number of short term measures have been recommended. The executive is now looking to implement these recommendations and will be reported to Council. Training for both Council and staff members has now taken place this year. An E&D champion has been nominated from the staff team and will meet the SEB to discuss E&D issues across out statutory functions. Training is currently being provided to the employee.

3

4

12

C-011214-item 12 Annex A

Failure of Council to work effectively and make policy decisions in the public interest

Failure to uphold standards

Failure to ensure that the COP/SOP review is completed in a timely manner, taking into account the views of the general public and registrants.

3

3

4

Council has reviewed its performance by way of an 12 effectiveness survey and at a seminar session in August 2014.

4

The COP/SOP review is currently being undertaken by a contracted third party and the first report was considered by Council in December 2013. Work is continuing in line with the project plan. There are a number of strands of PB 12 work which need to be incorporated into the review such as the Duty of Candour, Francis Inquiry recommendations, Implied consent and the report into the FtP cases at the GCC since 2010.

Chair

Council approved the terms of reference between Council and the executive along with the Scheme of Delegation and financial procedures at its meeting in February 2014. The complete governance manual to be reviewed by Council in December 2014.

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4

12

Council will review the proposed COP/SOP at a seminar session in March 2015 prior to its meeting.

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4

8

Council work plan for 2015 March

June

September

December

Action log Council work plan Chair's report Chief Executive's report Update report from the Audit Committee

Performance Report -Annual FtP report and statistics

Update report from the Audit Committee Strategic Risk Register - any items scoring over 15 Performance Report PSA - Registration annual report

Review of Investment Strategy

Review of retention fees

Draft Business Plan and budget

Financial Strategy Review

CPD/Continuing FtP

Annual Report from Auditor

Review Strategic Statement

Remuneration Committee's report

Presentation from Cazenove

FtP Report

Communication Plan

Draft business plan and budget

Review of Governance manual

Financial Statements

Annual Report

Education Ctte annual report

Review of Strategic Risk Register

Review of Strategic Risk Register Performance Report

CoP and SoP

Update report from the Audit Committee Strategic Risk Register - any items scoring over 15 Performance Report (Annual FtP and Williams report)

Council Annual Effectiveness survey

ITEMS TO NOTE Performance Report emailed monthly March Minutes from Audit Ctte

June Minutes from Audit Ctte Minutes from Education Ctte

September Minutes from Education Ctte Council dates for 2016 PSA Performance Review

December Minutes from REmCo Minutes from Education Ctte Minutes from Audit Ctte