Transcript Document

Doncaster Primary Care Trust
Business Case Toolkit
© Copyright of NHS Doncaster
1
Ashy Shanker July 2009
Contents
Page
1. Introduction
3
2. The Business Case Process
4
3. Templates
26
4. Training
26
5. Contacts
27
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Ashy Shanker July 2009
Introduction
As an NHS organisation, NHS Doncaster has finite resources. These
resources are managed by the Trust Board through a five year
financial strategy taking into account national and local requirements.
In order to commission services that represent the best value for
money, a robust, responsive and consistent business case process
needs to be in place.
The primary aim of the Business Case Toolkit is to clarify the revised
business case process within the PCT. It explains the stages involved
in developing an idea into a mainstreamed service. In addition it
provides a base for service development/ improvement, linking the
business development, approval and implementation functions of the
PCT.
The Business Case Toolkit is a a dynamic document. As a learning
organisation the PCT will acquire and deploy new skills and
capabilities to improve services. Complementary to this, the Business
Case Toolkit will be reviewed and updated to include ‘tried and tested’
tools and techniques. It will also provide links to agreed templates,
training opportunities for service improvement skills, support and
guidance to achieve successful outcomes.
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The Business case process
Not all stages in the development stage are mandatory
Development stage
1.Project idea / need definition/ mandate
2. Project lead /Sponsor assigned
3. Partnership Board / SIRT* / responsible group
<2
weeks
<1
mnth
4. Working Group: investigation stage
7. PBC Consortia /Business Development
Group
5. Light touch business cases
<2
mnths
6. Partnership Board /SIRT/ responsible group – to
consider recommendations
17.Gate 1
8. Working Group : Business case development stage
<6
mnths
Approval stage
9. Business Development Group (BDG)
< 1.5
mnths
10. Commissioning Executive
11. PCT Trust Board – exception
18. Gate 2
Implementation stage
12. Procurement
13.Working Group: evaluation stage
< 6
mnths
14. Contract awarded
19.Gate 3
15. Working Group : mobilisation stage
16. Service delivery & monitoring group
* Service Improvement Re-design Team
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Balancing responsiveness and accountability
The Business case toolkit and associated templates represent good practice for
the development of a robust proposal to support your work. NHS Doncaster
does however recognise the need for the process to reflect the complexity and
the financial value of the business case proposed while considering the
information received to make a decision regarding allocation of resources.
For business cases requesting resources less than £ 50, 0000 a partially
complete business case containing sufficient information for decision making
will be considered.
For business cases requesting resources above £50,000, the template pack will
be expected to be completed in full.
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Business case process
1.Project idea/need definition/mandate
A project idea could originate from a staff member, a team (Providers / Practice
based commissioners, a group) or a member of the public. This needs to be
discussed and agreed with the Project Sponsor( usually and Assistant Director,
Deputy Director or Director of the PCT).
The outcome of this stage would be a Project definition/mandate, clarifying the
scope of the project, i.e. what is included and not included.
Click here for Project Mandate Template.
2. Project Sponsor and Lead assigned
The Project Sponsor is the person who is responsible for delivering the project in
relation to PCT strategic objectives. He/She is also the budget holder of the
service area and also has overall responsibility for the project.
He/She is usually an Assistant Director/Deputy Director/Director of the PCT.
The idea generator could be the Project lead ,or another member assigned by the
Project Sponsor. The Project Sponsor will be responsible for the analysis of
current providers to avoid duplication, and the identification of links and
dependencies with other areas of service development. This could be initiated by
liaising with the PCT contracting leads for acute services, community services and
primary care services.
3. Partnership Board / SIRT / responsible group
This is the responsible group that provides strategic guidance and advice to the
project. The group will be multi disciplinary , providing expert views covering the
following core functions.
•PCT Strategy/Commissioning
•Clinical guidance
•Patient /User involvement
•Provider involvement ( if required)
Their terms of reference will include strategic guidance of the project/ service and
monitoring of progress/ delivery. The group must undertake prioritisation and
options appraisal of proposals before it is presented to the PCT for approval.
At this stage the group will validate a proposal as appropriate for further
investigation and assign a core working group to collect the information to provide
an outline of the business case. Project ideas will be prioritised based on its
alignment to NHS Doncaster’s strategy, particularly its link to the Commissioning
Strategy, Strategic plan, Commissioning Prospectus and Vital signs.
See appendix for Terms of reference of SIRT/Partnership Board
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Business case process
4. Working Group: investigation stage
This group collects and validates qualitative and quantitative information to
make a recommendation to the responsible group
(SIRT/Partnership Board) to proceed with the project or not. An options
appraisal including financial evaluation is vital at this stage and will be
referenced throughout the life of the project/ service. Functions involved may
include
•Risk assessment
•Process mapping
•Demand & capacity review
•Patient & Public involvement
•Health needs analysis
•Referral review
•Options appraisal
•Financial evaluation &
•Fact finding
5. Light touch business cases
These business cases are small in value and funded from practice based
commissioning freed resources. They are identified by Practice Based
Commissioning consortia and fast tracked through the PCT’s internal
processes. These business cases are approved by the Director of
Commissioning in line with standing financial instructions, with all approvals
being reported to the Commissioning Executive.
The criteria of eligibility is as follows:
A total cost of no more than £50,000
for a duration of not more than 3 years based on the
DoH menu of flexibilities for the use of PBC freed resources.
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Business case process
Partnership Board /SIRT/ responsible group – to consider
recommendations
At this stage a recommendation is reached by the group regarding the prospect
of the proposal. It could be considered appropriate or inappropriate to
proceed. If considered inappropriate, the Project Sponsor could still decide
to submit proposal to the PCT approval process. However the Business
Development Group and Commissioning Executive will consider the
opinions of the responsible group while making their
recommendations/decisions respectively. If considered appropriate, the
group will assign a Working Group for formal Business case development.
Any disagreements between the Project Sponsor will be reported to BDG.
6.
Resources to be identified to develop the business case including clinical
engagement, training & management requirements . Any issues/delay
regarding progress will be escalated to the Assistant Directors/Deputy
Directors forum.
7. PBC Consortia /Business Development Group
SIRT will also make recommendations to / seek advice from
the Practice Based Commissioning Consortia and
Business Development Group. However the ultimate
decision to progress the project proposal to the approval stage
lies with the Project Sponsor
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Business case process
8. Working Group : Business case development stage
During this stage the working Group will complete the suite of agreed
documents associated with the business case approval process. This
includes the
1. Business case template
2. Finance template
3. Procurement Decisions template
4. Service specification and
5. Mandatory Assessment templates like the Equality Impact
assessment
The core working group will consist of the following functions
•
Clinical lead
•
Project lead
•
Practice Based commissioning
•
Procurement
•
Human Resources
•
Finance( PBC / Business Development/ Contracting)
•
Quality/ Clinical assurance
•
Performance
The extended working group may include by exception
•
Providers (for additional clinical input / MDT/ operational
management input)
•
Public Health( interpretation of clinical models/ population
profile & advice)
•
Prescribing support
•
Patient and Public Involvement
•
Information
•
Contracting
•
Infection control
•
and other support functions
The working group will need to start with
•
Agreeing terms of reference
•
Developing a detailed project plan
•
Under taking mandatory assessments and taking action if
appropriate
•
Undertaking Patient and Public involvement work
•
Agreeing an evaluation team for procurement stage as
appropriate. (Criteria for membership to be determined)
•
Agreeing evaluation criteria and weightings
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Business case process
9. Business Development Group
Approx 2 weeks
8. Working Group : Business case development stage
Business case received
Advice from planning lead and business function reps
Acknowledgement sent
PEC advice ?
Additional info
/clarification
9. Business development Group
SHA QA approval
Recommendation Deferred
Rejected
Assess risk
/update log
10. Commissioning Executive
Report to
Commissioning
Executive
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Business case process
10. Commissioning Executive
Approx 2 weeks
8. Working Group : Business case development stage
9. Business development Group
PEC advice ?
Stage 2
SHA QA
approval
Rejected
10. Commissioning Executive
Additional info
/clarification
Approved
Business case lead & commissioning
guardian
notified
Assess risk
/update log
11. PCT Trust Board – exception
12. Procurement
11.PCT Trust Board – by exception
Some Business case proposals will go to PCT Trust Board for approval in accordance
with standing financial instructions. Or by exception, the Commissioning Executive may
seek further advice from the Trust Board.
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Business case process
12. Procurement
Procurement Thresholds for Goods and Services
Quotations are required for contract values that are above £10,000 but do not exceed
£49,999 including VAT
Competitive Tenders are required for contract values that are above £50,000 including
VAT
European Procurement Directives apply to contract values that are above:
- £90,319 for Goods and Part A Services
- £139,893 for Part B Services
Healthcare Procurement
Under the Principles and rules for Cooperation and Competition (DH 13 Dec 2007),
PCTs must gain consent of their boards and inform SHAs where they decide not to
tender a contract for a new or significantly changed healthcare service. (The NHS in
England: The operating framework for 2008/9 Annex D - Principles and rules for cooperation and competition).
Relevant guidance for healthcare procurement:
Operating Framework 2008/9
Principles & Rules For Cooperation & Competition – Annex D Operating Framework
Framework for Managing Choice, Cooperation & Competition (May 08)
PCT Procurement Guide for Health Services (May 08)
Key Principles of Good Procurement
Purpose
Transparency
Objectivity
Proportionality
Non discrimination
Equality of opportunity
Accountability
Consistency
Note 1 – The open process allows all providers who send in an Expression of Interest (EOI) the right to
submit a tender. Following receipt of EOI, Invitations to Tender (ITT) documents are sent out and must all
be returned by pre determined date and time.
Note 2 -Evaluation panels should be established for each project but the size of the group should be
proportionate to the size, value and strategic importance of the project. This group will meet throughout
the process to agree evaluation criteria. Panel members will need to commit to evaluate each tender
either independently or as a group and also commit to support the process until the point of award and
must prioritise the time for this role.
Note 3-Once approved by the Commissioning Executive/Pct Trust Board the fist consideration
may be to service notice on exiting contracts as appropriate. This will reduce delay in the new
process being implemented.
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Restricted
Dialogue
Restricted
Open
Open
Service requirement is advertised via www.supply2health.nhs.uk and/or
in appropriate journal/publication to promote sufficient competition
Expressions of Interest received. Note 1
Completed tenders are returned by given date
Evaluation Panel clarify and evaluate
against pre- determined criteria.
See Note 2.
Detailed evaluation of tenders (including
clarification, presentations and site visits if
necessary) is completed . Successful tenderer
is identified
Contract Awarded
Total time
required is
minimum of 4
months which
includes
preparation of
Invitation
documentation
following
receipt of
completed
specification.
This does not
include
implementation
or TUPE.
Unsuccessful tenderers are notified and debriefed
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Business case process
Restricted
Service requirement is advertised in appropriate
journal/publication to promote sufficient competition
Expressions of Interest received. Note 3
Completed Pre-Qualification Questionnaires are returned by a given
closing date
Evaluation Panel to score
& identify a shortlist
from predetermined criteria.
Note 2.
Shortlisted providers are invited to tender.
Evaluation Panel evaluate using same criteria
Detailed evaluation of tenders including clarification,
presentations and site visits if necessary is completed .
Successful tenderer identified
Total time
required is a
minimum of 6
months which
includes
preparation of
Invitation
documentation
following
receipt of
completed
specification
This does not
include
implementation
or TUPE
transfers/
Contract Awarded
Unsuccessful tenderers are notified and debriefed
Note4 – The restricted process allows all providers who send in an Expression of Interest (EOI) to
submit a Pre- Qualification Questionnaire (PQQ). The PQQ is used as a short listing mechanism
and the basis for this is financial standing, technical capability and quality assurance. The
restricted route is used where the commissioner has a clear idea of the requirement and has a
detailed specification. Following return of tenders, the process allows for clarification prior to
award.
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Business case process
Dialogue
Service requirement is advertised in appropriate journal/publication to promote sufficient competition
Expressions of Interest received.
Note 4
Completed Pre-Qualification Questionnaires are returned by a given closing date
Shortlisted providers (Usually no more than 5) are Invited to Submit Outline Solutions.
Dialogue with providers is ‘opened’
Evaluation Panel to score
and identify a shortlist
from predetermined criteria
Note 2.
Outline Solutions submitted and dialogue takes place.
Invitation to Submit Detailed Solutions sent out
Detailed Solutions submitted and dialogue continues.
Shortlist to 2 (3) Providers
Dialogue Closes
Evaluation Panel evaluate
Again using same criteria
Total time
required is a
minimum of 9
months which
includes
preparation of
Invitation
documentation
following
receipt of
completed
specification
This does not
include
implementation,
Public
consultation or
TUPE
transfers/
Invitation toSubmitFinal Tender sent out to 2 Providers.
Final Tender received and evaluated.
Evaluation Panel evaluate
Again using same criteria
Contract Awarded
Unsuccessful tenderers are notified and debriefed
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Business case process
Note 5 – The competitive dialogue process allows all providers who send in an Expression of
Interest (EOI) to submit a Pre- Qualification Questionnaire (PQQ). The PQQ is a short listing
mechanism and the basis is financial standing, technical capability and quality assurance.
Competitive Dialogue (CD) is used where the commissioner has a clear idea of what the outcomes
for the service are but not the service/treatment model and would like to seek innovative solutions
form the market which can be developed with potential providers as part of the CD process.
Dialogue remains open throughout the process and detailed solutions can be submitted if
required. Dialogue will then close and a formal tendering process follows.
13.Working Group: evaluation stage
At this stage the evaluation team agreed during the Working Group: Business case
development stage will evaluate the received bids and agree on a recommendation to
Commissioning Executive/ Trust Board regarding the preferred bidder.
14. Contract awarded
Formal notification is made to the preferred bidder about the decision to award
contract.
15. Working Group : mobilisation stage
The working group at the business case development stage will change to become the
working group - mobilisation stage, to implement and monitor progress of the
proposal. Core members will include
•Project Lead
•Performance lead
•Provider representatives
16. Service delivery & monitoring group
This group will monitor the service once it is mainstreamed. Functions may include
•
Project lead
•
Performance
•
Contracting
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16. Service delivery & monitoring group
Once the service is up and running well, this group will monitor and manage the
performance of the service the service on an ongoing basis. It may be a virtual
group and elements of the performance management may be undertaken by a
range of people, depending on the nature of the service. The core team will
include as a minimum:
•
Project lead
•
Performance lead
•
Contracting lead
•
Commissioning lead (if project lead is different)
•
Other members may include public health and quality
depending on the nature of the service
Functions will include regular monitoring of
performance; co-ordination of range of performance
indicators from different sources; identification and
agreement to actions required regarding performance
issues and escalation as appropriate.
Performance
Contracting
Commissioning
Public health
Quality
Performance
management
It is recognised that it is important to have an overall
lead (project lead) but that a range of functions
contribute towards performance management as a
whole, with a specific function sitting within the
contract performance team. The diagram above
illustrates how the functions of each team contribute
towards performance management as a whole.
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Business case process
Gated processes:
This is checkpoint within the process where major decision are made regarding the
progress of the project. At each gate the Project lead gets the go ahead to continue to
the next stage.
Gate 17.
At Gate 1 the Partnership Board/SIRT/ responsible group recommends that
the proposal/project could be progressed to the next stage for Business case
development. This gate therefore recognises the potential for achievement of aims and
outcomes of the proposal/idea.
Gate 18.
At Gate 2 the PCT makes a decision to support the project, defer the project
or reject the project. This gate therefore indicates formal commitment from the PCT to
formally support the project.
Gate 19.
At Gate 3 the Procurement process is complete and the contract is awarded to the
preferred provider. This gate marks the beginning of the implementation process.
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Templates available to support the process
1.
2.
3.
4.
5.
6.
7.
8.
9.
Project mandate / idea template- to be added
Business case template
Finance template
Procurement Decisions template
Service specification
Equality Impact assessment
Service specification template – to be added
Privacy Impact assessment
Environmental Impact assessment– to be added
Any queries please contact
Ashy Shanker
Tel: 01302 566137
Email: [email protected]
Training available for
1.
2.
3.
4.
5.
6.
7.
LEAN Healthcare overview
Process flow analysis
6S Workplace Organisation
Standard Operating Procedures
Visual Management
Capacity and Demand
Problem Solving
For further details please contact
HR Department on
01302 566030
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Contacts
Overall process – Ashy Shanker
Tel: 01302 566137
Email: [email protected]
SIRT - Richard Metcalfe
Tel: 01302 381924
Email : [email protected]
Procurement – Claire Burns
Tel: 01302 566119
Email : [email protected]
Performance – Anne Boothe
Tel: 01302 566065
Email : [email protected]
Contracting – Claire Hudson
Tel: 01302 566142
Email : [email protected]
Finance – Anita Blakeston
Tel: 01302 566014
Email : anita.blakeston @doncasterpct.nhs.uk
Clinical quality/ assurance – Karen Price
Tel: 01302 566164
Email : [email protected]
Patient and Public engagement – Sarah Atkins Whatley
Tel: 01302 566034
Email : [email protected]
Equality and Diversity – Catherine Leggett
Tel: 01302 566097
Email : [email protected]
Public Health – Rupert Suckling
Tel: 01302 566105
Email : [email protected]
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Business case process
Appendix
Terms of reference Dated: 30 July 2008
SERVICE IMPROVEMENT RE-DESIGN TEAM (SIRT)
1.ROLE/PURPOSE
The Service Improvement Re-design team will oversee the delivery of the
Service Re-designs identified within the PCT Commissioning Prospectus
together with areas of possible service re-design/improvement identified by
either PBC or the PCT. SIRT will provide support and share knowledge and
expertise around service re-design and will make recommendations to the
PCT with regard to each individual Service Re-design project. SIRT will
also provide detailed reports and updates to the Commissioning Executive
when requested.
2.OBJECTIVES
Oversee areas of Service re-design identified in the Commissioning
Prospectus and deliver a uniformed approach and standards
Provide Project Management Support to the PCT/PBC
Make recommendations to the PCT/PBC regarding each individual service
re-design project
Identify Project Lead & Project Sponsor for each individual project.
Receive service redesign proposals from PBC (others?) and confirm they
align to the strategic direction of Doncaster PCT
Receive service redesign proposals from PBC (others?) and confirm they
meet all requirements before implementation (i.e. ownership)
Quality assure the service specifications and business cases before
submission to the Commissioning executive?
Implement Lean Tools and Techniques within each Directorate
Share Knowledge and Expertise
Provide Clinical expertise/advice to the members of the SIRT group when
required on Service Re-design projects
Provide performance information to both the PCT and PBC as to the
progress of the individual service re-design projects
Promote partnership working both internally and with external organisations
Refer areas of concern, to the PCT and PBC for a decision to be made
Ensure users and carers are involved in the service re-design work
Ensure PBC are fully supportive of service redesign proposals
Manage the Projects through the PCT Business Case process
2. CHAIR
Alaina Challans, Service Development Programme Manager
3. Administration
Planned Care Support Officer
Agenda to be distributed one week before meeting
Minutes to be distributed one week after meeting
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Business case process
3.MEMBERSHIP
Membership of the group:
Service Development Programme Manager
Service Development Manager – Planned Care (x 2)
GP Board Member of DCC
GPBoard Member of B & C
GP Board Member of DICE
Head of Strategic Commissioning
Project Manager Unplanned Care
Commissioning Manager Unplanned Care
Head of Commissioning, Mental Health
Commissioning and Planning Manager
PBC Project Manager
Public Health
Public Health Intelligence Unit (?)
Primary Care Commissioner
PBC Finance
Head of Medicine Prescribing and Support
Human Resources
Procurement
Head of Business Development Unit
4.ACCOUNTABILITY
Doncaster PCT
Doncaster PBC Consortia
5.
Frequency of meetings
Monthly
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Business case process
Terms of reference of a Partnership Board
PUBLIC HEALTH PARTNERSHIP BOARD
ROLE / PURPOSE
To protect and improve the health of the people of Doncaster, reduce inequalities in
health and improve access to services.
OBJECTIVES
2.1 Common Partnership Board Objectives
Utilise appropriate needs analysis and information to support the development of
strategy and commissioning of services.
Anticipate new developments in service delivery, national requirements and new
legislation.
Develop and implement strategies for service delivery based on long term
perceptions of the future of services.
Develop commissioning priorities through consultation with local stakeholders and
ensure that these are fed into the local delivery planning process.
Ensure service users and carers are involved in all aspects of planning and
commissioning of services.
Oversee the commissioning, re-design and delivery of services ensuring consistency
in service delivery.
Ensure that all services are culturally competent and able to meet the different
cultural needs of all communities in the area.
Ensure services are evidence based, efficient, effective and economic and thereby
offer good value for money.
Ensure services are provided within available resources, whilst identifying and
reporting the need for additional resources to the Healthier Doncaster Theme
Group.
Promote partnership working, service integration and joint commissioning where this
will lead to better outcomes for those who use the services.
Monitor and report on service performance and key performance indicators both
internally and externally
Make recommendations for additional resources to the Healthier Doncaster Theme
Group where new legislation, government guidance or service improvements
cannot be met from within existing resources.
Refer matters of concern, or decisions, to the Healthier Doncaster Theme Group
where such issues are outside its own delegated responsibility or have a
borough wide impact.
Agree an Annual Work Programme with the Healthier Doncaster Theme Group.
2.2 Objectives Specific to the Public Health Partnership Board
Protect the population of Doncaster from identified current and new hazards to
health by having a planned, prepared and practiced response to incidents and
emergency situations which could affect the provision of normal services.
Have systematic and managed disease prevention and health promotion
programmes in place which meet the requirements of national plans and
address local needs.
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Ensure that services commissioned take account of public health outcomes and seek to address
inequalities by influencing the use of mainstream resources to improve services and outcomes.
MEMBERSHIP & QUORACY
The membership will be as follows:
Joint Director of Public Health – DMBC/PCT - Chair
Deputy Director of Public Health - PCT
Head of Strategic Partnerships – PCT
Representative – Commissioning and Strategic Development – PCT
Cabinet Member for Public Health - DMBC
Director (Adult Services) - DMBC
Director (Children’s Services) – DMBC
Director (Neighbourhoods & Communities) - DMBC
Representatives – Community/Voluntary Sector X 2
Representative – Rotherham, Doncaster and South Humber Mental Health NHS Foundation Trust
Representative – Doncaster & Bassetlaw Hospitals NHS Foundation Trust
Representative – PCT Provider Services
The Strategic Partnership Manager will provide support to the Board and its members across the
full range of their responsibilities. The Board may co-opt other members at any time if this helps
the Board achieve its objectives and it will periodically review its membership to ensure it
represents the broad spectrum of views and needs within the local community. The board may
require other people to be in attendance for its meetings.
The Chair will be the Joint Director of Public Health and the Vice-Chair will be from the
Voluntary/Community organisations.
The Board may set up such sub-groups as may be required in furtherance of its stated objectives
and to plan services effectively. The Board will be deemed quorate if more than 50% of the
members are in attendance including the Chair.
GOVERNANCE AND ACCOUNTABILITY
The Public Health Partnership Board will be accountable to the Healthier Doncaster Theme Group
for the delivery of its work programme and for delivery of the relevant priorities in the Borough
Strategy and Local Area Agreement. In fulfilling that accountability the Board will:
Produce reports on its financial and operational performance and ensure all relevant matters are
reported to the Healthier Doncaster Theme Group and the constituent authorities to ensure
compliance with both internal and external reporting requirements.
Work closely with other service led Partnership Boards where there is a common interest to ensure
services are delivered in as seamless a way as possible and are user focused, promoting equality
and diversity.
FREQUENCY & FORMAT OF MEETINGS
Meetings will be held bi-monthly
REVIEW OF TERMS OF REFERENCE & MEMBERSHIP
Terms of reference and membership will be reviewed annually.
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WORKING PRINCIPLES
The Board will develop local services on the following principles:
Seek to reduce health inequalities and promote people’s health and wellbeing.
Work within a framework for neighbourhood planning that supports community partnerships
and other community organisations and works towards a co-ordinated approach to service
planning in neighbourhoods.
Equitable access and social inclusion across the whole community
Maximise peoples choices and promote their quality of life
Enable people to enjoy their civil rights in order to reduce discrimination
Provide person centred support to maximise peoples independence, offering care at home, or
as close to home as possible.
Provide services through a well-informed and trained workforce.
To have regard to how decisions made and business practices affect and impact on local
communities and the environment.
Ensure consideration is made of adult protection implications
Ensure consideration is given to the following cross-cutting issues:
Housing
Culture
Economy
11th October 2007
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Business Development Group
Terms of reference
1.
CONSTITUTION
The Commissioning Executive (The Committee), which is a sub-committee of the Board, hereby
resolves to establish a group to be known as the Business Development Group (The
Group). The Group has no executive powers.
2.
MEMBERSHIP
The Group shall consist of not less than 7 members to include the following:
Assistant Director of Strategic Development (Chair) / Planning & Commissioning Manager
Deputy Director of Finance and Procurement
Deputy Director of Public Health
Assistant Director of Performance Management
Deputy Director of OD & Corporate Affairs
Professional Executive Committee member
Quality and Clinical Assurance representative
A quorum shall be 3 members, this must include the Chair (or their nominated deputy), a clinician and a
finance representative.
Where a member cannot attend they should nominate and appropriate deputy or submit written
comments.
3.
ATTENDANCE
Other directorate members will be invited to attend, as appropriate, but particularly when the
Group is discussing areas of risk or operation that are the responsibility of that directorate.
4.
FREQUENCY
Meetings shall be held not less than 10 times a year. Members are required to attend a
minimum of 75% of meetings.
5.
AUTHORITY
The Group is authorised by the Commissioning Executive to investigate any activity within its
terms of reference. It is authorised to seek any information it requires from any employee
and all employees are directed to co-operate with any request made by the Group.
6.
DUTIES
The duties of the Group can be categorised as follows:
6.1 Governance, Risk Management and Internal Control
Following the agreed Business case process (Commissioning Executive; 22/07/08),
evaluate all proposals presented to the Group through a consistent methodology,
including risk assessment, to enable recommendations to be made to the
Commissioning Executive as to the suitability for funding.
6.1.2 To ensure that proposals are in line with local and national policy including:
World Class Commissioning
Strategic Objectives
Commissioning Strategy
Procurement Strategy
Partnership Board Strategies
Department of Health Core Standards and other statutory/regulatory requirements
NHS Litigation Authority/Auditors Local Evaluation risk management standards
Value for Money
Achievement of Vital Signs, National and Local Targets (both new and existing) as appropriate
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6.2
Other Assurance Functions
To provide assurance that the business planning process is robust and effective.
To monitor the implementation of approved proposals to ensure they are delivered
within agreed timescales.
Financial Reporting
To report to the Commissioning Executive on the financial implications of
implementing approved proposals.
To monitor expenditure levels and report any significant variation to
the Commissioning Executive.
6.4
Reporting
The minutes of Business Development Group meetings shall be formally recorded
by the Project Support Officer and submitted to the Commissioning Executive. The
Chair of the Group shall draw to the attention of the Commissioning Executive any
issues that require disclosure to them or require executive action.
6.8
Other Matters
The Committee shall be supported administratively by the Project Support Officer,
whose duties in this respect will include:
Agreement of agenda with the Chair/deputy and attendees and collation of papers
Taking the minutes & keeping a record of matters arising and issues to be carried forward
Date of approval:…………………………………………………………………...
Approved by:………………………………………………………………………..
Review Date: March 2009
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DONCASTER PRIMARY CARE TRUST
COMMISSIONING EXECUTIVE
27TH JANUARY 2009
REVISED TERMS OF REFERENCE
1.
INTRODUCTION
At the September 2008 Trust Board meeting the Board agreed to interim arrangements to facilitate
the conduct of PCT business by delegating authority to the Commissioning Executive to make
procurement decisions on behalf of the Board. It was agreed that these arrangements would
be reviewed and reconsidered following a three month period. This paper is the output from
this review and also constitutes revised Terms of Reference for the Commissioning Executive
and was approved by Trust Board at its meeting on 8th January 2009
PURPOSE
The purpose of the Commissioning Executive is to:
Provide strategic input to the commissioning cycle, from high level strategy through to in-year
performance
Provide the overarching decision making forum for commissioner-led decisions in the PCT
This role will be fulfilled through undertaking the following on a cyclical basis:
Prepare and recommend to the Board the over-arching commissioning strategy and supplementary
commissioning prospectuses for the PCT
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Assess business cases within the context of the commissioning strategy (including those from
PBC Consortia/provider organisations and the PCT)
Proactively assess the performance and outcomes of services commissioned and take
appropriate action
Provide a strategic level prioritisation process for annual investment decisions supported by
the LDP process
3.
PRINCIPLES FOR WORKING
3.1 As the Commissioning Executive is the forum for key decision making regarding
commissioning issues, it is appropriate to establish the Executive as a formal subcommittee of the PCT Trust Board, with devolved decision making powers.
3.2 The Commissioning Executive will have an important relationship with many other
agencies, including Social Services, Provider NHS and Foundation Trusts and
neighbouring PCTs. However, to keep the Executive small enough to be focused and
proactive in tackling the commissioning agenda, it is proposed that relationships with
other agencies are managed and maintained through the other formal and informal
mechanisms that exist across the locality. Exceptionally, it may still be necessary to
invite representatives to the Executive meetings to discuss particular agenda items.
MEMBERSHIP
The core membership of the Commissioning Executive will consist of:
Trust Board Non-Executive Director
PCT Director of Commissioning and Strategic Development (Chair)
PCT Director of Finance & Procurement
PCT Director of Performance and Information
Director of Public Health
PCT Deputy Director of Quality and Clinical Assurance
PEC Chair
Two additional PEC Members**(if possible from differing clinical background)
The Executive may invite other officers to attend as required. The Assistant Director of
Commissioning and Strategic Development will be responsible for co-ordinating
and quality assuring the agenda and commissioning cycle for this meeting.
5.
DELEGATED AUTHORITY
5.1 The Commissioning Executive has delegated authority from Trust Board for healthcare
and non healthcare procurement decisions to a maximum value of £1M per contract,
within the provisions of a pre approved financial budget
5.2 The Commissioning Executive has delegated authority from Trust Board for the awarding
of contracts, following a procurement decision, to a maximum value of £1M per contract
5.3 The Procurement Guide requires a PCT to agree with its Board a procurement strategy for
large, novel, contentious or repercussive tenders. Should the Commissioning Executive
consider a tender below £1M in value, to fall into this category, it may seek support for its
procurement decision from Trust Board
6.
RELATIONSHIP TO OTHER GROUPS
6.1 The Doncaster Commissioning Executive will be the single overarching group through
which commissioner led strategic level healthcare and non healthcare investment
decisions, within the provisions of a pre approved financial budget, are agreed by the
PCT. The Executive will however need to maintain close links to a range of other groups
from which it will receive information, support and recommendations.
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6.2
Those groups will include, but not exclusively be limited to, the following:
The Yorkshire & Humber Specialist Commissioning Group
Partnership Boards,
Programme Areas,
PBC,
PEC,
Priorities Advisory Group,
Local Commissioning Groups
SLA monitoring group
Business Development Group
6.3
The relationship between the Executive and the groups will be a 2-way process
and as such the Executive will be able to delegate day-to-day commissioning and investment
decisions, within clearly defined parameters, to nominated PCT representatives sitting on any
other commissioning group.
7.
THE LOCAL DELIVERY PLANNING APPROACH (LDP)
7.1 The Executive will be responsible for overseeing and co-ordinating the Doncaster LDP
submission to Yorkshire & Humber Strategic Health Authority (StHA). As such its
responsibilities will include:
Setting an annual timetable to ensure that the PCT meets all national and StHA LDP deadlines.
Delegating responsibility to relevant PCT officers to ensure key elements of the LDP process
are completed and agreed on time.
Agreeing all LDP investment decisions to ensure a financially balanced plan is submitted to the
StHA, which meets all key LDP and NHS Plan targets.
Agreeing subsequent investment decisions originating within the LDP arena.
8.
FREQUENCY OF MEETINGS
8.1
It is anticipated that throughout the year the Executive will need to meet twice
monthly. However, this will be periodically reviewed to ensure appropriateness of frequency.
9.
SECRETARIAT
9.1 A detailed agenda and papers will be prepared in advance of each meeting of the Executive.
Each meeting will also be minuted with minutes and detailed action points being circulated as
soon as possible after the meeting. Minutes will be presented to the Trust Board and PEC
meetings on a monthly basis and will include an updated schedule of procurement decision.
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