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NHS Kirklees World Class Commissioning Governance and Competency Self Assessment 2009 1. Introduction The World Class Commissioning (WCC) year two assurance process has commenced. The assurance process comprises of a series of self assessments as well as submission of strategic and other key documents. In addition, the panel day will be an opportunity for the Board to describe and promote the success of the PCT as well as for the panel to confirm and challenge the self assessment. 2. Purpose The purpose of this report is for the board to ratify the self assessments for competencies and governance previous agreed during board development sessions. Also to provide the Board with an up to date time line for WCC year two assurance. 3. Background The WCC year two assurance process follows on from last years assurance process and besides some changes described to the board previously, the process is largely the same. The PCT is required to:  Self assess itself against; o a series of competencies and criteria within each competency. o a series of Governance criteria.  Produce Outcome ‘Aspirations’; a five year, year on year trajectory for each of the chosen WCC Outcomes.  Refresh its five year Strategic, Finance, Organisational Development and Communication plans.  Submit a variety of defined key documents.  Attend the panel day. Progress against all of the requirements has been made, specifically self assessment for competencies and governance. 4. WCC Self Assessment 4.1. Competencies There are 11 WCC competencies. The PCT has self assessed itself as the following and these will be the self assessment levels to be submitted. Competency 1 Are recognised as the local leader of the NHS

1.1 1.2 1.3

2008 2 2 2

2009 3 3 3

Competency 2 Work collaboratively with community partners to commission services that optimise health gains & reduce health inequalities & deliver increased productivity Competency 3 Proactively build continuous & meaningful engagement with the public & patients to shape services & improve health

2.1 2.2 2.3

2008 3 3 2

2009 4 3 3

3.1 3.2 3.3

2008 2 2 2

2009 3 3 3



Competency 4 Lead continuous & meaningful engagement of a broad range of clinicians to inform strategy & drive quality, service design & efficient & effective use of resources

4.1 4.2 4.3

3 1 2

3 2 3

Competency 5 Manage knowledge & undertake robust & regular needs assessments that establish a full understanding of current & future local health needs & requirements

5.1 5.2 5.3

2008 2 2 2

2009 4 3 3

6.1 6.2 6.3

2008 2 2 2

2009 3 3 3

7.1 7.2 7.3

2008 1 2 1

2009 2 2 2

8.1 8.2 8.3

2008 2 2 2

2009 3 3 3

9.1 9.2 9.3

2008 2 2 1

2009 3 3 3

10.1 10.2 10.3

2008 2 2 2

2009 3 3 3

11.1 11.2 11.3

2008 -

2009 2 2 2

Competency 6 Prioritise investment of all spend in line with different financial scenarios & according to local needs, service requirements & the values of the NHS Competency 7 Effectively stimulate the market to meet demand & secure required clinical & health & well-being outcomes

Competency 8 Promote & specify continuous improvements in quality (e.g. CQUIN, IQI) & outcomes through clinical & provider innovation & configuration Competency 9 Secure procurement skills that ensure robust & viable contracts

Competency 10 Effectively manage systems & work in partnership with providers to ensure contract compliance & continuous improvement in quality & outcomes & value for money Competency 11 Ensuring efficiency & effectiveness of spend

For each competency the submission will also include a short commentary answering the following questions;  What actions has the PCT taken to improve since last year?  How would the PCT demonstrate the progress it has made?  What has been the impact? The commentaries have been drafted however are not yet complete. This is because we are also required to reference sections of particular documents that we will submit. However not all of the documents that we will submit have been completed. Finalising the commentary with accurate referencing will be completed in January 2010. 4.2. Governance The Governance self assessment for WCC year two has been enhanced. The PCT is required to self assess against a series of criteria in a similar way to competencies. However the PCT scoring is either Red, Amber or Green. At its recent development sessions the board has self assessed itself as the following; Strategy  Vision and Goals Green  Initiatives to ensure delivery of strategic goals and Green PCTs programme of change  Consistency of financial plan with strategy Green  Board challenge, ownership and monitoring of Green strategic plan delivery  Achievement of milestones to date Green Finance  Historical financial management Green  Robust financial management Green  Robustness of planning assumptions Green  Sustainable financial position as base case Green  Sustainable financial position under different Green financial scenarios Board  Organisation Green  Risk Green  Information Green  Performance Green*  Delegation Green  Board interaction Green *In the performance criteria there is a specific question relating to the delivery on all vital sign commitments. Yorkshire Ambulance Service (YAS) current performance means that this is a failure. All PCTs served by YAS will have the same issue. The PCT has sought guidance from the SHA as to whether this means we will be rated as Green or not for Performance. At the time of writing the report we still await guidance. There will be opportunity for the board to review the final self assessment for Performance prior to submission.

For each governance self assessment are we are required to provide a short commentary. As for competencies this has been drafted but not yet completed for the same reasons. 5. Time line The Time line for submissions has changed. The deadline for submissions is now 18th February 2009. Therefore we will be following this revised time line; December 16th

Sign off Competencies and Governance self assessment

January 13th

Review and sign off Outcome aspirations Review and sign off documents to be submitted Review progress of plans

January 27th

Sign off plans

February 18th

Submit all information

February 19th April 26th

Panel preparation

April 27th

Panel day

6. Recommendations The board is asked to;  Review the content of this paper  Ratify the self assessments for competencies and governance  Take note of the new timeline