CORPORATE GOVERNANCE MANUAL

Contents

1. The CCG Constitution

2. CCG Operational Structure

3. Management of CCG Committees

4. Terms of Reference for the Governing Body and its Committees

5. Management of CCG Policies

6. Business Case Approval Process

7. Financial Management

8. Further Guidance

9. Annexes 1. Committee remits 2. Committee agenda template 3. Committee paper template 4. Terms of Reference template 5. Policy approval routes 6. Scheme of reservation and Delegation 7. Business case approval route 8. Business case quality assurance process

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VERSION RECORD Version Date Status Comment

V0.1 February 2016 Draft Draft for March Audit and Governance Committee

V0.2 March 2016 Draft Amended following Audit and Governance Committee

V1.0 April 2016 Final

V1.2 Dec 2016 Draft To combine and update manuals

V2 March 2017 Final Amended following review by Audit and Governance Committee

V2.1 September 2016 Final Update TORs included

V2.2 October 2017 Draft Personnel and ToRs updates

V3 December 17 Final For website

V3.1 February 18 Draft Updated to align with constitutions

V3.2 March 18 Draft Updated following feedback from Audit Committee and to note split ToRs

V3.3 Nov 18 Draft To align with new constitution template

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1. CCG Constitution The Constitution sets out the arrangements made by the NHS Newark and Sherwood CCG to meet its responsibilities for commissioning care for the people within our areas. It describes the governing principles, rules and procedures that the CCG has established to ensure probity and accountability in the day to day running of the CCG to ensure that decisions are taken in an open and transparent way and that the interests of patients and the public remain central to the goals of the CCG. The Constitutions include: • The Standing Orders set out the arrangements for meetings and the appointment processes to elect

the Group’s representatives and appoint to the Group’s committees, including the Governing Body. • The Standing Financial Instructions, which contain the financial scheme of delegation. The CCG’s Constitutions can be found on their respective websites, a link is provided here https://www.newarkandsherwoodccg.nhs.uk/media/40040/v1constitution-nsccg-2018.pdf 2. CCG Structure The Newark and Sherwood CCG is a collective of the 14 GP practices in the Newark and Sherwood area. Day to day running of the CCG is overseen by a Governing Body comprising 13 elected and appointed members. The current membership is: The current membership is: Dr Thilan Bartholomeuz, Clinical Chair Vacant, Governing Body GP Vacant, Governing Body GP Dr Kerri Sallis, Governing Body GP Dr Amanda Sullivan, Chief Officer Mr Michael Cawley, Chief Finance Officer Dr Ben Pearson, Secondary Care Advisor Professor Rachel Munton, Lay member Mr Shaun Beebe, Lay member and Chair of the Remuneration and Terms of Service Committee Ms Julie McIntyre, Patient Participation Lay Member Mrs Elaine Moss, Chief Nurse and Director of Quality and Governance Mr Stuart Poynor, Director of Turnaround Mr David Ainsworth, Director of Primary Care Mrs Lucy Dadge, Chief Commissioning Officer Mr Peter Clay, Lay member and Chair of Audit Committee In Attendance: Mr Jon Towler, Chair of Primary Care Commissioning Committee Mrs Eleri de Gilbert, Chair of Quality, Risk and Safeguarding Committee Ms Dawn Jenkin, Consultant in Public Health Mr Mark McCall, Nottinghamshire County Council A number of committees support the Governing Body to discharge its responsibilities. Annex 1 gives an overview of the purpose of the CCG’s committees. The CCG’s committee structure is shown below.

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Clinical Commissioning Group Governance Structure

Newark and Sherwood CCG GP Member Practices

Audit Committee

Chair: Peter Clay

Finance, Performance

and Turnaround Committee

Chair: Shaun Beebe

Clinical Effectiveness

Committee Chairs: Dr Lunn / Dr Bartholomeuz

Quality, Safeguarding

& Risk Committee

Chair: Eleri de Gilbert

Information Governance

Management & Technology Committee

Prescribing Committee

Chair: Dr David Wickes

Financial Recovery

Group Chair: Stuart

Poynor

Shared Nottinghamshire CCG Committee

Remuneration Committee

Chair: Shaun Beebe

Primary Care Commissioning

Committee Chair: Jon Towler

Operational Management Primary Care

Quality & Performance

Review Group Chair Eleri de

Gilbert

Patient Participation

And Engagement Committee Chair: Julie

McIntyre

Newark and Sherwood CCG Governing Body

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3. Management of Meetings All committees will have their own remit and Terms of Reference (see annex 1). The Chair and administrators for each committee can be found below. Each committee will have as standing items the declarations of interest and will manage risks assigned to them, following the CCG’s Risk Management Policy. The Newark and Sherwood CCG holds its Governing Body and committee meetings as ‘meetings in common’ with the Governing Body and committees of Mansfield and Ashfield CCG, with whom it shares an executive team. The holding of ‘meetings in common’ does not affect the individual terms of the CCG’s Governing Body as set out in its constitutions. The CCG’s Governing Body and committees will continue to be accountable for their own decisions and retain separate Terms of Reference and quoracy arrangements for decision-making purposes. They will hold individual meetings if deemed necessary. Declarations of Interest The following points should be noted when chairing meetings where actual or potential conflicts could arise. Conflicts of interest in relation to the agenda items must be reviewed by the chair in advance of the meeting and a review of the existing declarations by members must always be part of the agenda, before any business is conducted. The response of members must be recorded by the minute taker. When recording declarations of interest the following record should be made: • Who is conflicted • The nature of the actual or potential conflict • The items on the agenda which the conflict relates to • How the conflict was agreed to be managed and • Evidence that the conflict has been managed as intended.

If there is any doubt as to whether a conflict of interest could arise, this is to be noted in the minutes. The CCG’s Conflicts of Interest Policy can be found https://www.newarkandsherwoodccg.nhs.uk/media/36702/conflicts-of-interest-policy.pdf

Risk Management The Governing Body has overall responsibility for managing risks, however each sub-committee is responsible for the management and updating of risks that affect or impact on their respective portfolios, as detailed in the CCG’s Assurance Framework and Risk Register. The Risk Register should form a standing item on every sub-committee agenda. The CCG’s Risk Management Policy can be found at https://www.newarkandsherwoodccg.nhs.uk/media/39990/risk-management-policy.pdf Administration The corporate agenda template for CCG committees can be found at Annex 2. All papers for committees should be drafted on a template (Annex 3) that alerts the committee members as to the purpose of the papers, the decision to be made, to note any potential conflicts of interest and to confirm the confidentiality of the material to be discussed. The chairs and administrators of the Governing Body and its sub-committees can be found below: Committee

Chair Administrator

Governing Body

Professor Rachel Munton Sue Wass

Financial Performance and Turnaround Committee

Stuart Poynor Gaynor Shaw

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Audit Committee

Peter Clay Sue Bowskill

Patient and Public Engagement Committee

Julie McIntyre Julie Andrews

Clinical Effectiveness Committee

Dr Gavin Lunn / Dr Thilan Bartholomeuz

Rachel Bradley

IGM&T (Rushcliffe CCG)

Andy Hall

Caroline Stevens

Primary Care Commissioning Committees

Jon Towler Sue Wass

Quality, Risk and Safeguarding Committee

Eleri de Gilbert Fay Bradley

Remuneration Committee Shaun Beebe Sue Bowskill 4. Terms of Reference Terms of Reference provide the purpose, objectives, remit and scope of the Governing Body and its sub-committees. The Terms of Reference for each committee are updated on an annual basis or when there is a material change in the committee’s remit or membership; and consequently this manual will be updated as necessary. The Governing Body ratifies the sub-committees’ Terms of Reference. When the Committee has approved an updated Terms of Reference it should be sent to the Corporate Governance Team for inclusion in the papers for the next Governing Body meeting. The template for committee Terms of Reference can be found at Annex 4. Quoracy The chair should retain a copy of the current terms of reference for the meeting for reference during the meeting. If the meeting is not quorate, a decision from the following options should be discussed and recorded accurately within the meeting: 1. Note that the meeting is NOT quorate, and continue the meeting, affirming that there are no decisions

to be made in the meeting, and that discussions can be ratified at a subsequent meeting. 2. Note that the meeting is NOT quorate, and continue the meeting, referring any decisions to another

committee for consideration and formal ratification, normally the subsequent quorate meeting, OR the Governing Body.

3. Defer the meeting until such time as quoracy can be maintained. 5. Development and Management of Policies Once a policy or procedure has been drafted or updated it will require the approval and ratification of the relevant Committees for the policy area (see Annex 6). A database of CCG policies is maintained by the Corporate Governance Team to ensure that policies are renewed in a timely manner. CCG policies can be found on the website at: http://www.newarkandsherwoodccg.nhs.uk/about-us/policies-and-procedures/ Guidance on drafting and approval of policies and the policy template can be obtained from the Corporate Governance Team.

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6. Business Case Approval Process The management of the business case process rests with the Turnaround PMO. All business cases are required to be discussed at the Financial Review Group, which gives authority to proceed to a decision-making Committee. See process map at Annex 7. 7. Financial Management The Finance Management and Financial Governance Manual contains detail on the CCG’s financial management arrangements and includes the CCG’s Prime Financial Policies and the Operational Scheme of Delegation, including approval limits. The manual can be found here: https://www.newarkandsherwoodccg.nhs.uk/media/40508/finance-management-and-financial-governance-manual.pdf 8. Further Guidance Further guidance on Corporate Governance matters can be sought from the CCG’s Director of Governance Lucy Branson at lucy.branson@nhs.net.

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Annex 1 Committee Remits

Committee Remit Governing Body

The purpose of the Newark and Sherwood CCG Governing Body is to lead the commissioning of health care services for residents of Newark and Sherwood. The Governing Body is established in accordance with NHS Newark and Sherwood Clinical Commissioning Group’s Constitution. These terms of reference set out the working arrangements of the Governing Body.

Financial, Performance and Turnaround Committee

The role of the Finance, Performance and Turnaround Committee is to oversee the Turnaround Programme. It is responsible for improving the CCG’s operational and financial control framework and functional efficiency, through which the CCGs will deliver their short and long term recovery plans. This is a joint Board of NHS Mansfield and Ashfield and NHS Newark and Sherwood CCGs. As part of the delegation for oversight of the Turnaround Process from the Governing Body, the Finance, Performance and Turnaround Committee has delegated authority within the CCGs Standing Financial Instructions, and operational scheme of delegation to take decisions with regard to financial spend of up to £500,000.

Audit Committee

The Audit Committee provides an independent and objective view on the areas set out in its responsibilities. The Committee oversees risk management and internal control, seeking assurance that the CCGs have robust assurance processes for financial and risk management reporting. It oversees the work of the internal audit function and reviews the findings of both internal and external auditors. It oversees the compilation of the CCG’s annual accounts.

Mid Nottinghamshire Patient and Public Experience Committee

This group brings together the former M&A Citizens’ Reference Panel and N&S Stakeholder Reference Group. It provides an interface between communities and networks across mid Nottinghamshire and the CCGs’ Governing Bodies for the purposes of providing the patient and public perspective in the planning and commissioning of health and care services for the CCGs’ areas

Clinical Effectiveness Committee

The Clinical Effectiveness Committee acts as an assurance body in the review of CCG business cases containing a clinical element, giving constructive challenge and clinical assurance; providing recommendations to the Turnaround Board and Primary Care Commissioning Committees regarding the clinical and cost effectiveness of commissioned NHS services.

IGM&T (Nottinghamshire-wide Committee) (Rushcliffe CCG)

The purpose of the Committee is to support and drive the broader information governance (IG) and information management & technology (IM&T) agendas, including:

• Ensuring risks relating to information governance and health informatics are identified and managed

• Leading the development of community-wide IG and IM&T strategies

• Developing IM&T to improve communication between services for the benefit of patients

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Primary Care Commissioning Committees

The Committees have been established in accordance with statutory provisions to enable the members to make collective decisions on the review, planning and procurement of primary care services in Mansfield and Ashfield and Newark and Sherwood under delegated authority from NHS England.

Quality, Risk and Safeguarding Committees

The Committee has responsibility for the oversight of the processes in place to assure the CCG’s Governing Body that comprehensive and effective systems for quality, risk and safeguarding are in place. The Committee will ensure the CCGs meet their mandatory requirements, as well as bringing together all strands of governance to maintain a focus on both patient safety and quality of services.

Remuneration Committee

To determine any matters on behalf of the Governing Body relating to the remuneration, terms of service, fees and allowances for very senior CCG managers, the Governing Body Body members and any other members providing services to the CCGs and staff (including any pensions arrangements if appropriate) and to consider and determine other issues in relation to staff employed by the CCGs.

The Terms of Reference for the above Committees can be found here.

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Annex 2 Meeting of the NHS Mansfield and Ashfield / NHS Newark & Sherwood Clinical

Commissioning Group [committee]

date location

AGENDA

Administration Reference Title Paper

Included Action Presenter

Welcome and Introductions

Yes Note Chair

Apologies for absence and quoracy

No Note Chair

Declarations of interest

Yes Note Chair

Minutes of the [last meeting]

Yes Approve

Chair

Matters Arising –Governing Body Actions Yes Note

Chair

Reports Meeting Conclusion Any Other Business

No Discuss Chair

Identification of: • New risks or issues identified at the meeting for

escalation to the Governing Body and/or other committees

• Agreement of Key Messages for Feedback to Governing Bodies

No Agree Chair

Date and time of next meeting

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Annex 3

MEETING IN COMMON OF NHS MANSFIELD AND ASHFIELD CCG

AND NHS NEWARK AND SHERWOOD CCG GOVERNING BODIES

TITLE: DATE OF MEETING: PAPER REF: TBC AUTHOR: PRESENTER: PURPOSE OF REPORT: Maximum 50 Words to include: Why the report is coming to the Governing Body Any paper which makes direct reference to financial targets and delivery MUST be approved by the Chief Finance Officer PRIOR to being submitted to the Governing Body. RECOMMENDATION:

To approve To endorse a decision made at [another committee] For assurance For discussion Only tick one box. Be clear on what you are requesting of the Governing Body.

EXECUTIVE SUMMARY (OVERVIEW): Maximum 250 words This provides the key points of what the paper is asking of the Governing Body. This should include the view and recommendation of the sub-committee which have received this prior to the Governing Body, or an explanation as to why the paper has come direct to Governing Body. REPORT: This section should be used for the main body of the report, with the following headers observed: If it not relevant please tick n/a QIPP Assurance and Connection

n/a Financial Impact

n/a State which, if any, risks on the Assurance Framework that this paper relates to and identify how the paper impacts on the known risks

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n/a The current Assurance Framework risks are here Other Risk Implications, Assessment and Mitigations

n/a Legal Impact

n/a Consultation, Involvement and Engagement

n/a Equality / Quality Impact

n/a Evidence and Research (include where this informs why the paper is presented to Governing Bodies n/a Does this paper contain external legal advice?

n/a If it does please attach it as an annex ANNEXES: List all annexes attached to the paper and ensure they are also referenced in the main body of the report. Please reference them in the main body of the report with an explanation of what they are. DO NOT EMBED DOCUMENTS.

HOW DOES THIS CONTRIBUTE TO THE OUTCOMES AND OBJECTIVES OF THE CCG:

Quality Health Financial Clinical Performance (tick as appropriate)

CONFLICTS OF INTEREST:

This is a recommended action to be agreed by the Chair at the beginning of the item. No conflict identified Conflict noted, conflicted party can participate in discussion but not decision (see below) Conflict noted, conflicted party can remain but not participate (see below) Conflicted party is excluded from discussion (see below)

Please state rationale for decision Advice regarding conflicts of interest is available from the Corporate Governance Team, or here: https://www.england.nhs.uk/wp-content/uploads/2017/06/coi-annex-k.docx

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CONFIDENTIALITY:

Is the information in this paper confidential?

No Yes

If the paper is considered confidential, please tick the relevant box. Does it contain personal information e.g. regarding a patient, member of staff or another individual?

Is the CCG in commercial negotiations or about to enter into a procurement exercise and would the information in the report prejudice the CCG's position if made public e.g. by declaring the budget available for a particular contract in advance of a tendering exercise or indicating what the CCG's fall-back position might be in a negotiation situation?

Does the report include commercial in confidence information about a third party? - this would need to be relatively detailed information which could be argued to give a competitor an advantage if it was made available to them i.e. the total value of a contract awarded to a supplier or the value of a tender could not be considered commercial in confidence but details of how a supplier performs a particular process or the day rate for different grades of consultancy staff might be considered confidential.

Does the report contain information which has been provided to the CCG in confidence by a third party and is there a risk that the third party could take legal action for a breach of confidence if it was disclosed?

Does the discussion relate to policy development not yet formalised by the organisation and if the discussion were made public would this hamper full and frank discussion and therefore adequate consideration and development of proposal? This is intended for matters that are considered at a Board meeting early in the process to obtain initial thoughts and to give officers a steer in developing the policy. It would not be appropriate to use this argument where the governing body is being asked to approve a policy or initiative as this would be too late to argue that policy development was still on-going.

Has the document/report been produced by another public body which has chosen not to make the document publicly available and would not wish the CCG to do so?

Is the document in draft form which will publically available at a future date?

Note: Upon request for the release of a paper deemed confidential, under Section 36 of the Freedom of Information Act 2000, parts or all of the paper will be considered for release by the CCG’s ‘Qualified Person’ based on the circumstances at that time.

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ANNEX 4

[committee name] Terms of Reference

1. Purpose 2. Membership 3. Chair and Deputy 4. Quorum and Voting Arrangements 5. Frequency of Meetings 6. Duties 7. Conduct of Business The Committee will be expected to conduct itself as an exemplar organisation, working to the Nolan seven principles of public life, namely: • Selflessness • Integrity • Objectivity • Accountability • Openness • Honesty • Leadership Members of the Committee have a collective responsibility for the operation of the Committee. They will participate in discussion, review evidence and provide objective expert input to the best of their knowledge and ability, and endeavour to reach a collective view. The Committee may delegate tasks to such individuals, sub-committees or individual members as it shall see fit, provided that any such delegations are consistent with the parties’ relevant governance arrangements, are recorded in a scheme of delegation, are governed by terms of reference as appropriate and reflect appropriate arrangements for the management of conflicts of interest. Members of the Committee shall respect confidentiality requirements as set out in the CCG’s Standing Orders. 8. Administration of Meetings The Director responsible for overseeing the administration of the Committee is the Agendas and supporting papers will be circulated no later than 5 working days in advance of meetings.

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Any items placed on the agenda will be sent to the Committee Administrator no later than 7 working days in advance of the meeting. Items that miss the deadline for inclusion on the agenda may be added on receipt of permission of the Chair. Minutes will be taken at all meetings and circulated to the members of the Committee. The minutes will be approved by agreement of the Committee at the next meeting. The Chair of the Committee will agree minutes if they are to be submitted to the Governing Body prior to formal approval. The Committee will present its minutes to the Governing Body for information and consideration. The CCG will also comply with any reporting requirements set out in its constitution. 9. Declaration of Interests NHS Mansfield and Ashfield CCG and NHS Newark and Sherwood CCG have a Conflict of Interest Policy and have a register of member interests. At the beginning of each formal meeting, members will be required to declare any personal interest if it relates specifically to a particular issue under consideration. Any such declaration shall be formally recorded in the minutes for the meeting in accordance with the provisions set out in the CCG policy. Where a declaration of interest means that there is an actual or a suspected conflict of interest, the conflict must be identified by the Chair and Administrative Support at the agenda setting stage of meeting planning. This will enable the consideration of the provision of papers in preparation of the meeting to prevent those with direct conflicts from having access to information which they are not permitted to act in their capacity within the meeting to discuss, or decide. All declared interests will be managed in line with the requirements of the CCG’s Conflict of Interests Policy. The CCGs will not award a contract for the provision of NHS healthcare services where conflicts, or potential conflicts, between interests involved in commissioning such services and the interests involved in providing them appear to affect the integrity of that award and the CCGs will keep a record of how it manages any such conflict in relation to NHS commissioning contracts it has entered into. 10. Reporting Responsibilities The Committee will report items for consideration by the Governing Body and [insert] through submission of minutes, papers and reports to relevant meetings. The Committee will provide an annual report to the Governing Body setting out progress made and future developments. 11. Review of Terms of Reference The Terms of Reference will be reviewed at least annually or when there is a material change to the contents of the Terms of Reference. Any proposed amendments to the Terms of Reference will be submitted to the Governing Body for approval. Date:

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Annex 5 - Policy Approvals and Ratifications A=Approve R= Ratify

Gov

erni

ng B

ody

Audi

t Com

mitt

ee

Turn

arou

nd B

oard

Clin

ical

Ef

fect

iven

ess

Com

mitt

ee

Rem

uner

atio

n C

omm

ittee

Q

ualit

y , R

isk

and

Safe

guar

ding

C

omm

ittee

IG

M&T

Prim

ary

Car

e C

omm

issi

onin

g C

omm

ittee

s

Other

1. Regulation and Control

1.1 Prime financial policies

R A

1.2 Detailed financial policies

R A

1.3 Counter fraud policies

R A

2. Human Resources

2.1 Disciplinary policies for all employees and other persons working in the group

R A

2.2 Human resources supporting policies for employees and for other persons working on behalf of the group

R A

2.3 Remuneration, terms of service and allowance policies for non-executives of the group

R A

3. Quality and Safety

3.1 Policies to minimise clinical risk, maximise patient safety and secure continuous improvement in quality and patient outcomes

R A

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3.2 Policies specific to the safeguarding of children and vulnerable adults

A

3.3 Clinical commissioning policies

R consult A

4. Operational and Risk Management

4.1 Risk management policies

R A

4.2 Conflicts of interest policies

R A

4.3 Gifts and hospitality policies

R A

4.4 Complaints policies

R A

4.5 Health & safety policies

R A

5. Information Governance

5.1 Information governance supporting policies for ensuring appropriate safekeeping and confidentiality of records and for the storage, management and transfer of information and data

R A

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Annex 6 - SCHEME OF DELEGATION Newark and Sherwood CCG

Newark and Sherwood CCG Scheme of Reservation and Delegation

Mem

bers

hip

Gov

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ody

Acc

ount

able

O

ffice

r

Aud

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omm

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Rem

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omm

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Qua

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Ris

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fegu

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Com

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Prim

ary

Car

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omm

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g C

omm

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O

ther

1. Regulation and Control

1.1 Determine the arrangements by which the members of the Group approve those decisions that are reserved for the membership.

1.2 Approving any functions of the group specified in regulations.

1.3 Consideration and approval of the constitution and making recommendations to the group membership thereon.

1.4 Consideration and approval of applications to the NHS England on any matter concerning changes to the Group’s constitution, including terms of reference for the Group’s Governing Body and the overarching scheme of reservation and delegated powers,

1.5 Consideration and approval of the terms of reference (contained within the finance and corporate governance manuals) and membership of committees of the Governing Body as set out in the constitution.

1.6 Consideration and approval of arrangements for taking urgent decisions, standing orders and prime financial policies.

1.7 Exercise or delegation of those functions of the clinical commissioning Group which have not been retained as reserved by the Group, delegated to the Governing Body or other committee or sub-committee or [specified] member or employee.

1.8 Prepare the Group’s overarching scheme of reservation and delegation, which sets out those decisions of the Group reserved to the membership and those delegated to the Group’s Governing Body committees and sub-committees of the Group, or its members or employees and sets out those decisions of the Governing Body reserved

Corporate Governance Lead

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Newark and Sherwood CCG Scheme of Reservation and Delegation

Mem

bers

hip

Gov

erni

ng B

ody

Acc

ount

able

O

ffice

r

Aud

it C

omm

ittee

Rem

uner

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omm

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Qua

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Ris

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Com

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O

ther

to the Governing Body and those delegated to the Governing Body’s committees and sub-committees, members of the Governing Body, an individual who is member of the Group but not the Governing Body or a specified person for inclusion in the Group’s constitution.

1.9 Approval of the Group’s overarching scheme of reservation and delegation.

1.10 Prepare the Group’s operational scheme of delegation, which sets out those key operational decisions delegated to individual employees of the clinical commissioning Group, not for inclusion in the Group’s constitution.

CFO

1.11 Approval of the Group’s operational scheme of delegation that underpins the Group’s ‘overarching scheme of reservation and delegation’ as set out in its constitution.

1.12 Prepare detailed financial policies that underpin the clinical commissioning Group’s prime financial policies.

CFO

1.13 Approve detailed financial policies.

1.14 Approve arrangements for managing exceptional funding requests.

1.15 Set out who can execute a document by signature/use of the seal.

1.16 Authority to sign documents on behalf of the Group AO with the Chair and CFO

1.17 Authority to execute documents using the Group’s seal.

AO with the Chair and CFO

1.18 Emergency or urgent decisions – in an emergency or urgency to exercise the powers of the Governing Body having consulted with at least two other Governing Body members and provided it is reported to the next meeting of the Governing Body. In the event of the Clinical Chair being conflicted, the Accountable Officer will consult the Deputy Chair of the Governing Body and one other non-conflicted GP member. If all Governing Body GPs are conflicted, the Accountable Officer will consult with the Deputy Chair and one other voting member.

AO in conjunction with other GB members as stated

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Newark and Sherwood CCG Scheme of Reservation and Delegation

Mem

bers

hip

Gov

erni

ng B

ody

Acc

ount

able

O

ffice

r

Aud

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omm

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Rem

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omm

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Qua

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Com

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1.19 Approve and ratify the appointment of elected membership

1.20 Approve the arrangements for identifying practice members to represent practices in matters concerning the work of the Group; and appointing clinical leaders to represent the Group’s membership on the Group’s Governing Body, for example through election (if desired).

1.21 Approve the process for recruiting and removing non-elected members and PPI lay members to the Governing Body ( subject to any regulatory requirements ) and succession planning)

1.22 Approve arrangements for identifying the Group’s proposed Accountable Officer.

1.23 Approve the process for the establishment of Auditor Panels

2. Strategy and Planning

2.1 Agree the vision, values and overall strategic direction of the Group

2.2 Approval of the Group’s operating structure.

2.3 Approval of the Group’s commissioning plans.

2.4 Approval of operational changes with regard to the group’s operating structure

2.5 Approval of the Group’s corporate budgets that meet the financial duties as set out in section 5.3 of the main body of the constitution.

2.6 Approval of variations to the approved budget where variation would have a significant impact on the overall approved levels of income and expenditure or the Group’s ability to achieve its agreed strategic aims.

3. Human Resources

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Newark and Sherwood CCG Scheme of Reservation and Delegation

Mem

bers

hip

Gov

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Acc

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O

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3.1 Approve the terms and conditions, remuneration and travelling or other allowances

for Governing Body members, including pensions and gratuities.

3.2 Approve terms and conditions of employment for all employees of the Group including, pensions, remuneration, fees and travelling or other allowances payable to employees and to other persons providing services to the Group.

3.3 Approve any other terms and conditions of services for the Group’s employees.

3.4 Advise the Governing Body on the terms and conditions of employment for all employees of the Group including allowances, pensions, bonuses and/or termination arrangements.

3.5 Advise the Governing Body on pensions, remuneration, fees and allowances payable to employees and to other persons providing services to the Group.

3.6 Consider and advise the Governing Body on other remuneration and compensation issues referred by the Chair of the Governing Body or Chief Officer

3.7 Approve disciplinary arrangements for employees, including the Accountable Officer (where he/she is an employee or member of the clinical commissioning Group) and for other persons working on behalf of the Group.

3.8 Review disciplinary arrangements where the Accountable Officer is an employee or member of another clinical commissioning Group.

3.9 Approval of the arrangements for discharging the Group’s statutory duties as an employer

3.10 Approval of disciplinary arrangements/ policy(ies) arrangements for employees and for other persons working on behalf of the Group.

3.11 Approval of human resources policies for employees and for other persons working on behalf of the Group (excluding disciplinary arrangements/policies).

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Newark and Sherwood CCG Scheme of Reservation and Delegation

Mem

bers

hip

Gov

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Acc

ount

able

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Aud

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Rem

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Qua

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Ris

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Com

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Prim

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4. Quality and Safety

4.1 Approve arrangements, including supporting policies, to minimise clinical risk, maximise patient safety and to secure continuous improvement in quality and patient outcomes.

4.2 Approve arrangements for supporting the NHS England in discharging its responsibilities in relation to securing continuous improvement in the quality of general medical services

5. Operational Management

5.1 Approval of the Group’s annual report and annual accounts.

5.2 Approval of the arrangements for discharging the Group’s statutory financial duties.

5.3 Approve and oversee implementation plans for clinical strategy and service delivery including public engagement, consultation and equality.

Clinical Exec

5.4 Prepare and recommend an operational scheme of delegation that sets out who has responsibility for operational decisions within the Group.

CFO

5.5 Approve and oversee the Group’s counter fraud and security management arrangements.

5.6 Approval of the Group’s risk management arrangements.

5.7 Approve arrangements for risk sharing and or risk pooling with other organisations (for example arrangements for pooled funds with other clinical commissioning Groups or pooled budget arrangements under section 75 of the NHS Act 2006).

5.8 Approval of a comprehensive system of internal control, including budgetary control

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Newark and Sherwood CCG Scheme of Reservation and Delegation

Mem

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Gov

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ody

Acc

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O

ffice

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Aud

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Rem

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Ris

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Com

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that underpins the effective, efficient and economic operation of the Group.

5.9 Approve proposals for action on litigation against or on behalf of the clinical commissioning Group.

5.10 Approve the Group’s arrangements for business continuity and emergency planning.

6. Information Governance

6.1 Approve the Group’s arrangements for handling complaints.

6.2 Approval of the arrangements for ensuring appropriate and safekeeping and confidentiality of records and for the storage, management and transfer of information and data.

6.3 Approval of the supporting policies for ensuring appropriate safekeeping and confidentiality of records and for the storage, management and transfer of information and data.

7. Tendering and Contracting

7.1 Approval of the Group’s contracts for any commissioning support in line with the financial limits set out in the operational scheme of delegation.

7.2 Approval of the Group’s contracts for corporate support in line with the financial limits set out in the operational scheme of delegation (for example finance provision).

7.3 All matters relating to the work of the Alliance Leadership Board as set out in the Alliance Agreement dated 1st April 2016 and the Alliance Leadership Board Terms of reference dated 19th May 2016 with the exception of: a) Matters reserved for governing bodies as outlined in clause 11.4 of the Alliance

Agreement dated 1st April 2016 b) Other key strategic matters as listed below:

• Risk share • Payment mechanisms

Chief Officer/CCG Clinical Chair

23

Newark and Sherwood CCG Scheme of Reservation and Delegation

Mem

bers

hip

Gov

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Acc

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Aud

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Car

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• Outcomes • Proposed changes to the governance arrangements of the

Alliance

8. Partnership Working

8.1 Approve decisions that individual members or employees of the Group participating in joint arrangements on behalf of the Group can make. Such delegated decisions must be disclosed in this scheme of reservation and delegation.

8.2 Approve arrangements delegated to joint committees established under section 75 of the 2006 Act. NB approval of decisions will be the joint commissioning groups.

9. Commissioning and Contracting for Clinical Services

9.1 Approval of the arrangements for discharging the Group’s statutory duties associated with its commissioning functions, including but not limited to promoting the involvement of each patient, patient choice, reducing inequalities, improvement in the quality of services, obtaining appropriate advice and public engagement and consultation.

9.2 Approval of the arrangements for discharging the group’s statutory duties associated with its GP practice commissioning functions, including but not limited to promoting the involvement of each patient, patient choice, reducing inequalities, improvement in the quality of services, obtaining appropriate advice and public engagement and consultation.

9.3

Approve arrangements for co- ordinating the commissioning of services with other Groups and or with the local authority(ies), where appropriate.

10. Communications

10.1 Approving arrangements for handling Freedom of Information requests.

10.2 Determining arrangements for handling Freedom of Information requests.

24

Annex 7 – Business Case Approval Routes and Quality Assurance Process

Governing Bodies (Approval of cases over

£500k)

Primary Care Commissioning

Committee (Approve on behalf of the GB)

Financial, Performance and Turnaround Board (Approve up to £500k)

Clinical Effectiveness Committee

Financial Recovery Group

FPT are a decision point, and can authorise financial

expenditure up to the value of £500,000. The decisions with

regard to service decommissioning must be reported to the Governing

Bodies.

Clinical Effectiveness Committee provide assurance as to the clinical pathway and level of risk associated with

the clinical change proposed. CEC will provide a

recommendation which may mean further work is undertaken prior to

submission to turnaround.

FRG make recommendations, and are the first receiver

business cases. Without a positive and quorate response

from FRG Business cases cannot move forward. FRG

can take decisions with regard to vacancy control

PCCC make decisions for business cases relating to primary care monies and

also make decisions on the budget delegated for

primary care from NHS England. PCCC inform the

Governing Bodies of decisions taken

PCCC make decisions for business cases relating to primary care monies and also make decisions on the budget delegated for primary care from NHS England. PCCC inform the Governing Bodies of decisions taken

25

Governing Bodies

Quality Risk and Safeguarding Committee

Links to all other committees in relation

to risk management

Link to Arden Gem on HR issues

Nottinghamshire Information Governance

Management and Technology Committee

Patient Experience and Reference Group

Nottinghamshire Safeguarding Group

Quality in contracting meetings with Providers

Primary Care Commissioning

Committee

Primary Care Quality and performance review

group

Audit Committee (oversight and assurance on

behalf of the Governing Bodies)

Business Case Quality Assurance Process

26