nhs england ccg assurance framework 2015-2016

NHS ENGLAND CCG ASSURANCE FRAMEWORK 2015-2016
1. NHS England has published a new CCG Assurance Framework for 2015-2016. The Assurance Framework
will be supported by an operational manual setting out further details to be published in late spring. These
documents supersede the previous framework issued for 2014-2015.
2. The new CCG Assurance Framework 2015-2016 details a refreshed approach to assurance, taking into
account:
• The more challenging performance and financial position
• The publication of the NHS Five Year Forward View setting out a new strategic direction
• The National Information Board framework for action, Personalised Health and Care 2020, outlining
the importance of technology and information in the delivery of safe, efficient and effective care.
CCGs must achieve safe digital record keeping and the digital transfer of patient information across
care settings
• CCGs’ greater role in commissioning primary care
3. This new assurance framework will focus on a CCG’s track record, ongoing performance in delivering
improvement for patients, commissioning capability, and fitness to take on additional responsibilities.
4. This new assurance framework consists of five components:
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Well-led organisation
Performance: delivery of commitments and improved outcomes
Financial management
Planning
Delegated functions
5. Well-led organisation: the extent to which a CCG:
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Has strong and robust leadership
Has robust governance arrangements
Involves and engages patients and the public actively
Works in partnership with others including other CCGs
Secures the range of skills and capabilities it requires to deliver all of its commissioning functions,
using support functions effectively, and getting best value for money
Has effective systems in place to ensure compliance with its statutory functions, including
responsibilities to reduce health inequalities, and to meet the Public Sector Equality Duty
6. Performance: delivery of commitments and improved outcomes: underpinned by a set of delivery
metrics which will constitute the CCG scorecard, described in relation to five population groups: the
generally-well; people with long-term conditions; people with mental health problems or learning
disabilities; children and young people; and the frail elderly. The focus of assurance will be how well CCGs:
• Deliver improved services
• Maintain and improve quality, including safeguarding, digital record keeping, and transfers of care. In
2015-2016, there will be a detailed focus on safeguarding of vulnerable adults and NHS Continuing
Healthcare
• Ensure better outcomes for patients including delivery of Mandate requirements and NHS Constitution
standards
SUMMARY OF NHS ENGLAND’S CCG ASSURANCE FRAMEWORK 2015-2016
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7. Financial Management: monitoring of:
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Financial management capability and performance
Data quality
Contractual enforcement
8. Planning: assurance of:
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Annual operational plans including systems resilience and Better Care Fund
Longer-term strategic plans including progress with the implementation of the Five Year Forward View
9. Delegated functions: for co-commissioning functions and out-of-hours services, CCGs will prepare a
quarterly self-certification of compliance against five key areas:
• Governance and the management of potential conflicts of interest
• Procurement
• Expiry of contracts
• Availability of services
• Outcomes
10. The new assurance process will differentiate between high-performing CCGs; those whose performance
gives cause for concern; and those in-between. It will provide a robust, supportive, and structured
framework for those in challenged circumstances, and a lighter touch for best performers. At the end of
the year, information will be consolidated into a statutory assurance report which CCGs will be required to
publish.
11. The process will use information from a variety of sources including face-to-face visits. Key sources of
information include:
• National insights:
o CCG scorecard – core performance standards; finance; digital maturity; quality and outcomes
o Operational and strategic plans
o 360 degree stakeholder survey
• Local insights:
o CCG governing body papers
o CCG constitution
o Internal audits
o Financial plans
o Intelligence from local partners
o Annual reports
12. CCGs will be assessed in one of four categories:
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Outstanding – fully assured across all 5 components
Good – Minor concerns, but CCG well-led with good capability
Limited, requires improvement – serious performance or financial challenges
Not assured – CCG is failing or at risk of failing
HN/01.04.15
SUMMARY OF NHS ENGLAND’S CCG ASSURANCE FRAMEWORK 2015-2016
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