item number: 11.1 governing body meeting meeting ......report author: sarah tilston, programme...

Our Vision – to Improve the Health & Wellbeing of our Communities

Item Number: 11.1

GOVERNING BODY MEETING Meeting Date: 28th May 2014 Report’s Sponsoring Governing Body Member: Simon Cox, Chief Officer

Report Author: Sarah Tilston, Programme Co-ordinator

1. Title of Paper: CCG Constitution update –amendments to the Constitution 2. Strategic Objectives supported by this paper: (check those which apply) ☒ To create a viable & sustainable organisation, whilst facilitating the development of a different, more innovative culture ☐ To commission high quality services which will improve the health & wellbeing of the people in Scarborough & Ryedale ☐ To build strong effective relationships with all stakeholders and deliver through effectively engaging with our partners ☐ To support people within the local community by enabling a system of choice & integrated care ☐ To deliver against all national & local priorities incl QIPP and work within our financial resources 3. Executive Summary: Background: A CCG constitution was developed in late 2012 as a requirement of the authorisation process for the CCG. The original constitution was submitted to NHS England (NHS Commissioning Board) and the CCG was subsequently authorised and then established on the 1st April 2013. Update: In May 2013, NHS England notified the CCG of a bi-annual ‘Procedures for clinical commissioning group constitution change, merger or dissolution’. This is the process for their approval of any and all updates to CCG constitutions. Review of the Constitution and the receipt of further guidance in certain areas resulted in the need to amend the Constitution for the following reasons:

• Procedural and governance changes • Typographical errors and other corrections • Updates necessary from the further development of the CCG • Addition of further references / text • Clarification of content • Additional requirements

The impact of these changes was assessed against criteria set by NHS England and a copy of the assessment and updated Constitution is attached.

Our Vision – to Improve the Health & Wellbeing of our Communities

For further information please contact: Name: Sarah Tilston Title: Programme Co-ordinator ☎:01723 343672

The changes were reviewed and assessed by the following groups:

• CCG member practices • Legal department at NYHCSU • Local Medical Council (LMC) • NHS England Area Team

The revised Constitution also includes updated Terms of Reference for all sub Committees of the Governing Body for review and formal approval by the Governing Body. The next step of the process is that the Constitution will be forwarded to NHS England for formal approval by the 2nd June 2014. 4. Risks relating to proposals in this paper: None 5. Summary of any finance / resource implications: None 6. Any statutory / regulatory / legal / NHS Constitution implications: It is the duty of the CCG to ensure that we have an up to date and relevant Constitution in place. 7. Equality Impact Assessment: Not applicable. The CCG Constitution is developed from a model document provided by NHS England. 8. Any related work with stakeholders or communications plan: The LMC, member practices and NHS England Local Area Team has reviewed and assessed all changes. Once we receive approval from the national NHS England team a new copy of the Constitution will be issued to all practices and will be updated on the CCG’s internet and intranet sites. 9. Recommendations / Action Required The Governing Body is asked to note and approve the changes to the SRCCG constitution and also the Terms of Reference for all Committees 10. Assurance National guidance has been adhered to and all necessary parties have been consulted on the changes. Any future changes required to the Constitution will follow the same process with the next review being in November 2014.

Impact assessment regarding proposed changes to CCG Constitution

The key issues indicated on Page 8 of ‘Procedures for clinical commissioning group constitution change, merger or dissolution’ are addressed in the table below.

Issue Comment 1. The constitution meets the requirements of legislation and is otherwise

appropriate Yes

2. Each of the members is a provider of primary medical services Yes

3. The area is appropriate (i.e. that there are no overlapping CCGs and no gaps) Yes

4. The proposed Accountable Officer is appropriate No variation is requested

5. The CCG has made appropriate arrangements to ensure it is able to discharge its functions

Yes

6. The CCG has made arrangements to ensure that its governing body is correctly constituted and otherwise appropriate

Yes

7. The likely impact of the requested variation on the persons for whom the CCG has responsibility – so the registered and resident population of the CCG

No variation requested

8. The likely impact on financial allocations of the CCG and any other CCG affected for the financial year in which the variation would take effect

None identified

9. The likely impact on NHS England’s (NHSCB) functions None identified

10. The extent to which the CCG has sought the views of the following, what those views are, and how the CCG has taken them into account:

• Any unitary local authority and/or upper-tier county council whose area covers the whole or any part of the CCGs area

• Any other CCG which would be affected and • Any other person or body which in the CCGs view might be affected

by the variation requested

The variations requested do not require such a consultation – no person or body external to the CCG will be affected by the variation requested.

11. The extent to which the CCG has sought the views of patients and the public; what those views are and how the CCG has taken them into account

As above – no variation which affects patients has been requested

12. How often the CCG has applied for variations of the kind requested None previous

The changes made since submission for authorisation fall into several categories:

Type Number No impact 23 Procedural / governance 7 Updates 22 Corrections 0 Clarification 0 Additional requirement 4

Many of the changes are corrections with minor impact and textual changes with no impact. These are detailed in the attached table.

Detailed changes to the SRCCG Constitution between the version submitted for CCG authorisation and revisions to June 2014

The changes listed below are in addition to layout, formatting and renumbering changes made throughout the document which have not resulted in significant changes to the content.

Page Section reference Description of change Rationale for change Impact Title

Title page

CCG logo updated Receipt of final CCG logo image

None

Version number updated and new approved date inserted

Following Constitution update – version and approval date changed to reflect new version

None

NHS Commissioning Board effective date set back to ‘TBC’

To reflect that this version is awaiting authorisation by the NHS CG

None

Whole document

Whole document Footer altered to change version number and add correct page numbering

Version control None

3-4 Contents page

Amendment of table and page numbering To align with document revisions None

5 Foreward Foreward added by Chair of SRCCG

Foreward omitted out of initial Consitution submission. None

6 1.2.2 Inserted ‘now known as NHS England’ after first reference to the Commissioning Board

To reflect change to Commissioning Board name Update

1.3.1

Effect from date inserted to read ‘1st April 2013’

To reflect the date the NHS Commissioning Board established the group

Update

7 1.4.2 New paragraph inserted referring to the NHS CB procedures for CCG constitution change, merger or dissolution.

On receipt of procedures from NHS CG Procedural / Governance

9 3.1 Claremont Surgery details removed Claremont Surgery merged with Peasholm Surgery with effect from 6th January 2014.

Update

Norwood House Surgery details removed Merged with Brook Square Surgery with effect from the 29th May 2014

Update

Trafalgar Medical Practice name change to Brook Square Surgery

Following merger with Norwood House Surgery (see above) – name of practice has been changed

Update

21 & 22

6.4.1a Addition of ‘and Governance’ in the title for the Audit Committee – now reads ‘Audit and Governance Committee’

Title of Committee changed None

6.4.1f Addition of Business Committee Business Committee to be reflected as a Committee of the Group

Update

6.5.2a Removal of reference to Strategic Collaborative Commissioning Committee

Committee no longer relevant in context of the Constitution

Update

6.5.2a & b Addition of a) – PCU Management Board and b) NYH CCG collaborative joint committees

New Committees that have been established following original Constitution submission and now need referencing as a joint arrangement.

Update

22

6.5.2 Changed this committee to these committees and appendix references noted.

Grammatical change to reflect the addition of more than one committee in this area.

None

23 6.6.3a Addition of ‘and Governance’ in the title for the Audit Committee – now reads ‘Audit and Governance Committee’


24

6.6.3f Addition of f) Business Committee – the terms of reference for the Business Committee are attached as Appendix O

Business Committee added as a Committee of the Group and therefore referenced and ToRs added

Update

29

7.5b Addition of ‘and Governance’ in the title for the Audit Committee – now reads ‘Audit and Governance Committee’


30 7.6.2.e Addition of note of Deputy role for Chief Officer/Accountable Officer

Added following review None

7.7.2.g Addition of note of Deputy role for Chief Officer/Accountable Officer

Added following review None

31 7.8 Role and responsibilities of Secondary Care Doctor added

Included following additional guidance Additional requirement

7.9 Role and responsibilities of Executive Nurse added


32 & 33 7.10 Role and responsibilities of Lay Members added


34

7.11 Reference to Chief Finance Officer post removed

Following re-structure we no longer share a Chief Finance Officer with Vale of York CCG. This position is now full time within our CCG.

Update

35 Section 8 – throughout section

Addition of ‘and Governance’ in the title for the Audit Committee – now reads ‘Audit and Governance Committee’


40

9.10 New paragraph inserted: ‘The group recognises and confirms that nothing in or referred to in this constitution (including in relation to the issue of any press release or other public statement or disclosure) will prevent or inhibit the making of any protected disclosure (as defined in the Employment Rights Act 1996, as amended by the Public Interest Disclosure Act 1998) by any member of the group, any member of its governing body, any member of any of its committees or sub-committees of its governing body, or any employee of the group or of any of its members, nor will it affect the rights of any worker (as defined in that Act) under that Act’

Following receipt of letter of 2nd May (gateway 0053) from Sir David Nicholson

Additional requirement

41

9.11 Numbering changed from 9.10 following above insertion

Re-format following above insertion None

42

Section 10.2 Appendix letters update Following review appendix letters were incorrectly referenced

None

Page 46 Appendix B

Claremont Surgery removed Claremont Surgery merged with Peasholm Surgery with effect from the 6th January 2014.

Update

Norwood House Surgery removed Norwood Surgery merged with Brook Square Surgery with effect from the 29th May 2014

Update

Trafalgar Medical Practice change of name Following merger with Norwood House Surgery name Update

to Brook Square Surgery change of Trafalgar Medical Practice Page 49 Appendix C

2.2.2h Word ‘Integrated’ removed Following review – not required as title of the Committee is Audit and Governance

None

49 2.2.3.1.L Governing Body Members notice period added

Update following review of Constitution Update

2.2.4 Accountable Officer notice period changed to read 3 months in line with contract


2.2.5 Chief Finance Officer notice period changed to read 3 months in line with contract


50 2.2.7b Addition of Secondary Care Doctor notice period


52 Appendix C

3.2.5 Quorum of Governing Body changed to read 4 x clinical representatives rather than 4 x GP representatives

Update following review of quorum of Governing Body Procedural/Governance

Page 59 Regulations & Control

Removed ‘or member ‘from the Regulation and Control second row.

Clarification required on review None

Page 78 Appendix E

Throughout this section



Page 91 Appendix H




Page 94 Appendix I


Addition of ‘and Governance’ in the title for the Audit Committee – now reads ‘Audit and Governance Committee’ throughout this section

Title of Committee changed

None

7.8 Removed ‘the Chief Operating Officer will be invited to attend’

No longer relevant None

Page 100 Appendix J

5.1 Addition of Secondary Care Doctor Governing Body, GP representative from an SRCCG constituent practice and Lay member

Membership of Committee reviewed and extended Procedural / Governance

changed to read members Page 104 Appendix K

4.3.1 Removed ‘submitted to the PCT Cluster Governing Body’

On review – no longer applicable None

5.1 Added 4 x members to the core committee membership (Executive Nurse, Head of Service Development and Designated Nurse, Nurse Consultant Safeguarding Children and Designated Professional for Adult Safeguarding)

Membership reviewed and extended Procedural / Governance

6 Quorum reviewed and altered to include GP. Non executive director changed to read Lay member

Reviewed and extended Procedural/Governance

Page 109 Appendix L

4 Duties & Responsibilities updated for Committee

Updated following review Procedural/Governance

4.2 Duties heading changed to read Objectives Incorrect heading updated

None

5 Membership of Committee updated to include Deputy Chief Finance Officers

Updated following review Procedural/Governance

Page 113 Appendix M

5.1 Removed ‘Executive Assistant to the Governing Body’ from membership of Committee

No longer attends this Committee as a core Committee member

Update

Page 122 Appendix O

Strategic Collaborative Commissioning Committee Terms of Reference removed

No longer required as removed from main body of Constitution

Update

Page 122 Appendix O

Business Committee Terms of Reference inserted

Now included as a Committee of the Group in the main Constitution documentation so ToRs to be referenced

Update

Page 125 Appendix P

NYH CCG Collaborative Terms of Reference inserted


Update

Appendix Q

PCU Management Board Terms of Reference inserted


Update

NHS Scarborough and Ryedale CLINICAL COMMISSIONING GROUP

CONSTITUTION

of 136 NHS Scarborough and RyedaleClinical Commissioning Group’s Constitution FINAL Version 15: NHS Commissioning Board Effective Date: 01/01/13]

Version: FINAL v 15 (Approved at Shadow Governing Body meeting 28th November 201216 (approved at Governing Body meeting on xxxxxxxx)

NHS Commissioning Board Effective Date: 01/01/2013TBC

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CONTENTS Part Description Page Foreword 5 1 Introduction and Commencement 6 1.1 Name 6 1.2 Statutory framework 6 1.3 Status of this constitution 6 1.4 Amendment and variation of this constitution 7 2 Area Covered 8 3 Membership 9 3.1 Membership of the clinical commissioning group 9 3.2 Eligibility 10 4 Vision, Values and Aims 11 4.1 Vision 11 4.2 Values 11 4.3 Aims 11 4.4 Principles of good governance 11 4.5 Accountability 12 5 Functions and General Duties 13 5.1 Functions 13 5.2 General duties 14 5.3 General financial duties 18 5.4 Other relevant regulations, directions and documents 19 6 Decision Making: The Governing Structure 20 6.1 Authority to act 20 6.2 Scheme of reservation and delegation 20 6.3 General 20 6.4 Committees of the group 21 6.5 Joint arrangements 21 6.6 The governing body 22 6.6.3 Committees of the Governing Body

Remuneration Committee Audit & Governance Committee Quality & Performance Committee Finance & Contracting Committee Communication & Engagement Committee Business Committee PCU Management Board

23

7 Roles and Responsibilities 24 7.1 Member Practices 24 7.2 Governing Body 27


Part Description Page 7.3 Practice Clinical Representatives 28 7.4 The Chair of the Governing Body 28 7.5 The Deputy Chair of the Governing Body 29 7.6 Role of the Accountable Officer 29 7.7 Role of the Chief Finance Officer 30 7.8 Role of the Secondary Care Doctor 31 7.9 Role of the Executive Nurse 31 7.10 Role of the Lay Members 32 7.11 Joint appointments with other organisations 30 8 Standards of Business Conduct and Managing Conflicts of Interest 31 8.1 Standards of business conduct 31 8.2 Conflicts of interest 31 8.3 Declaring and registering interests 32 8.4 Managing conflicts of interest: general 32 8.5 Managing conflicts of interest: contractors and people who provide

services to the group 35

8.6 Transparency in procuring services 35 9 The Group as Employer 36 10 Transparency, Ways of Working and Standing Orders 38 10.1 General 38 10.2 Standing orders 38 10.3 Recognition of the Local Medical Council 38 Appendix Description Page A Definitions of Key Descriptions used in this Constitution 40 B List of Member Practices 42 C Standing Orders 43 D Scheme of Reservation and Delegation 53 E Prime Financial Policies 74 F The Nolan Principles 85 G The Seven Key Principles of the NHS Constitution 86 H Checklist for a Clinical Commissioning Group’s Constitution 87 I Audit and Governance Committee Terms of Reference 90 J Remuneration Committee Terms of Reference 96 K Quality and Performance Committee Terms of Reference 100 L Finance and Contracting Committee Terms of Reference 105 M Communication and Engagement Committee Terms of Reference 109 N Council of Clinical Representatives Terms of Reference 113 O Strategic Collaborative CommissioningBusiness Committee Terms of

Reference 118

P North Yorkshire & Humber CCG Collaborative Terms of Reference 121 Q Partnership Commissioning Unit (PCU) Management Board Terms of 124


Part Description Page Reference

FOREWARD By NHS Scarborough & Ryedale CCG’s Chair Welcome to the Constitution for the NHS Scarborough & Ryedale Clinical Commissioning Group. This document will bring together the national requirements for all CCGs as well as setting out how the CCG will approach clinical commissioning locally. The Constitution will explain the legal framework in which NHS Scarborough and Ryedale CCG should operate. It will set out how we will work with our constituent GP practices, our partners in local authorities and the voluntary sector, as well as patients and the public to ensure the NHS in Scarborough and Ryedale is the best it can be. The Constitution also sets out the arrangements made by Scarborough & Ryedale CCG to meet its responsibilities for commissioning care for the people for whom it is responsible. It describes the governing principles, rules and procedures that the group will establish 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 group. The Constitution applies to the following, all of whom are required to adhere to it as a condition of their appointment:

• The group’s member practices • The group’s employees • Individuals working on behalf of the group • Anyone who is a member of the group’s governing body (including the governing

body’s audit and governance and remuneration committees) • Anyone who is a member of any other committee(s) or sub-committees established

by the CCG or its governing body

Dr Phil Garnett Chair

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1 INTRODUCTION AND COMMENCEMENT

1.1. Name

The name of this clinical commissioning group is NHS Scarborough and Ryedale Clinical Commissioning Group.

1.2. Statutory Framework 1.2.1. Clinical commissioning groups are established under the Health and Social Care

Act 2012 (“the 2012 Act”).1 They are statutory bodies which have the function of commissioning services for the purposes of the health service in England and are treated as NHS bodies for the purposes of the National Health Service Act 2006 (“the 2006 Act”).2 The duties of clinical commissioning groups to commission certain health services are set out in section 3 of the 2006 Act, as amended by section 13 of the 2012 Act, and the regulations made under that provision.3

1.2.2. The NHS Commissioning Board (now known as NHS England) is responsible for

determining applications from prospective groups to be established as clinical commissioning groups4 and undertakes an annual assessment of each established group.5 It has powers to intervene in a clinical commissioning group where it is satisfied that a group is failing or has failed to discharge any of its functions or that there is a significant risk that it will fail to do so.6

1.2.3. Clinical commissioning groups are clinically led membership organisations made

up of general practices. The members of the clinical commissioning group are responsible for determining the governing arrangements for their organisations, which they are required to set out in a constitution.7

1.3. Status of this Constitution

1.3.1 This constitution is made between the members of NHS Scarborough and Ryedale Clinical Commissioning Group and has effect from [insert]1st day of [insert month] 20[insert year]April 2013, when the NHS Commissioning Board established the group.8 The constitution is published on the group’s website: www.scarboroughandryedaleccg.nhs.uk

1 See section 1I of the 2006 Act, inserted by section 10 of the 2012 Act 2 See section 275 of the 2006 Act, as amended by paragraph 140(2)(c) of Schedule 4 of the 2012 Act 3 Duties of clinical commissioning groups to commission certain health services are set out in section 3

of the 2006 Act, as amended by section 13 of the 2012 Act 4 See section 14C of the 2006 Act, inserted by section 25 of the 2012 Act 5 See section 14Z16 of the 2006 Act, inserted by section 26 of the 2012 Act 6 See sections 14Z21 and 14Z22 of the 2006 Act, inserted by section 26 of the 2012 Act 7 See in particular sections 14L, 14M, 14N and 14O of the 2006 Act, inserted by section 25 of the 2012

Act and Part 1 of Schedule 1A to the 2006 Act, inserted by Schedule 2 to the 2012 Act and any regulations issued

8 See section 14D of the 2006 Act, inserted by section 25 of the 2012 Act


1.3.2 A paper copy of this document will be available at the headquarters of the Clinical Commissioning Group and the Scarborough Information Resource Centre and Malton Library.

1.4. Amendment and Variation of this Constitution 1.4.1 This constitution can only be varied in two circumstances.9

a) Where following discussion with Members and the LMC, the group applies to the NHS Commissioning Board and that application is granted.

b) Where in the circumstances set out in legislation the NHS Commissioning Board varies the group’s constitution other than on application by the group.

1.4.2 The NHS Commissioning Board has published ‘Procedures for the Clinical Commissioning Group Constitution change, merger or dissolution’. These procedures will be followed.

9 See sections 14E and 14F of the 2006 Act, inserted by section 25 of the 2012 Act and any regulations

issued


2 AREA COVERED The NHS Scarborough and Ryedale Clinical Commissioning Group are fully within the boundary of North Yorkshire County Council. It is co-terminus with Scarborough District Council and Ryedale District Council.


3 MEMBERSHIP 3.1 Membership of the Clinical Commissioning Group The following practices comprise the members of NHS Scarborough and Ryedale Clinical Commissioning Group

Practice Code Practice Name

Address

B82106 Hackness Road Surgery 19 Hackness Road, Newby, Scarborough, YO12 5SD

B82001 Falsgrave Surgery Falsgrave Surgery, Lawrence House Medical Centre, Belgrave Crescent, Scarborough, YO11 1UB

B82011 Sherburn Surgery Sherburn Surgery, 50 St Hilda's Street, Sherburn, Malton, YO17 8PH

B82024 Eastfield Medical Centre 14 High Street, Eastfield, Scarborough, YO11 3LJ

B82025 Derwent Practice Derwent Surgery, Norton Road, Norton, Malton, YO17 9RF

B82037 Filey Surgery Station Avenue, Filey, YO14 9AE B82038 Prospect Road Surgery 174 Prospect Road, Scarborough,

YO12 7LB B82054 Scarborough Medical

Group Scarborough Medical Group, 463a Scalby Road, Scarborough, YO12 6UB

B82056 Claremont Surgery Claremont Surgery, 56-60 Castle Road, Scarborough, YO11 1 XE

B82058 Norwood House Surgery Norwood House Surgery, Belle Vue Street, Scarborough, YO12 7EJ

B82063 West Ayton Surgery 53 Pickering Road, West Ayton, Scarborough, YO13 9JF

B82088 Trafalgar Medical PracticeBrook Square Surgery

Trafalgar Medical Practice, Trafalgar House, 41-44 Trafalgar Street West, Scarborough, YO12 7AS

B82092 Belgrave Surgery Belgrave Surgery, Lawrence House Medical Centre, 1 Belgrave Crescent, Scarborough, YO11 1UB

B82609 Ampleforth Surgery Ampleforth Surgery, Back Lane, Ampleforth, York, YO62 4EF

B82611 Peasholm Surgery Peasholm Surgery, 98 Tennyson Avenue, Scarborough, YO12 7RE

B82628 Hunmanby Surgery Hunmanby Surgery, Hungate Lane, Hunmanby, Filey, YO14 0NN

YO2669 The Castle Health Centre

The Castle Health Centre, 3 - 4 York Place, Scarborough, YO11 2NP


Appendix B of this constitution contains the list of practices, together with the signatures of the practice representatives confirming their agreement to this constitution.

3.2 Eligibility

Providers of primary medical services (as identified in Regulation 2 of the National Health Service (Clinical Commissioning Groups) Regulations 2012) to a registered list of patients under a General Medical Services, Personal Medical Services or Alternative Provider Medical Services contract, will be eligible to apply for membership of this group.


4 VISION, VALUES AND AIMS 4.1 Vision 4.1.1 The vision of NHS Scarborough and Ryedale Clinical Commissioning Group is to improve the health and well-being of our communities 4.1.2 The group will promote good governance and proper stewardship of public resource in pursuance of its goals and in meeting its statutory duties.

4.2 Values

4.2.1 Good corporate governance arrangements are critical to achieving the group’s

objectives.

4.2.2 The values that lie at the heart of the group’s work are: • We will embed continuous quality improvement into everything we do • We will engage with patients, carers and other organisations in our planning

and decision process • We will ensure value for money • We will be open and honest in our transactions, and accountable to our

communities • We will respect our staff and members and promote a learning environment • We will aim to improve health outcomes.

4.3 Aims

4.3.1 The group’s aims are to:

• To create an innovative and effective clinical commissioning organisation • To commission high quality services, • To work within our financial resources, • To improve health outcomes; • Work in partnership with other organisations.

4.4 Principles of Good Governance

4.4.1 In accordance with section 14L (2) (b) of the 2006 Act,10 the group will at all times observe “such generally accepted principles of good governance” in the way it conducts its business. These include:

a) the highest standards of propriety involving impartiality, integrity and

objectivity in relation to the stewardship of public funds, the management of the organisation and the conduct of its business;

b) The Good Governance Standard for Public Services;11

10 Inserted by section 25 of the 2012 Act


c) the standards of behaviour published by the Committee on Standards in Public Life (1995) known as the ‘Nolan Principles’12

d) the seven key principles of the NHS Constitution;13 e) the Equality Act 2010.14

4.5 Accountability

4.5.1 The group will demonstrate its accountability to its members, local people,

stakeholders and the NHS Commissioning Board in a number of ways, including by:

a) publishing its constitution; b) appointing independent lay members and non GP clinicians to its governing

body in accordance with the Regulations (as amended from time to time) c) holding meetings of its governing body in public (except where the group

considers that it would not be in the public interest in relation to all or part of a meeting);

d) publishing annually a commissioning plan; e) complying with local authority health overview and scrutiny requirements; f) meeting annually in public to present its annual report (which must be

published); g) producing annual accounts in respect of each financial year which must be

externally audited; h) having a published and clear complaints process; i) complying with the Freedom of Information Act 2000; j) providing information to the NHS Commissioning Board as required.

4.5.2 In addition to these statutory requirements, the group will demonstrate its

accountability by:

a) publishing its commissioning policies and strategies b) holding meetings in public c) holding engagement events with its stakeholders.

4.5.3 The governing body of the group will throughout each year have an ongoing role in reviewing the group’s governance arrangements to ensure that the group continues to reflect the principles of good governance.

11 The Good Governance Standard for Public Services, The Independent Commission on Good

Governance in Public Services, Office of Public Management (OPM) and The Chartered Institute of Public Finance & Accountability (CIPFA), 2004

12 See Appendix F 13 See Appendix G 14 See http://www.legislation.gov.uk/ukpga/2010/15/contents

http://www.legislation.gov.uk/ukpga/2010/15/contents


5 FUNCTIONS AND GENERAL DUTIES

5.1 Functions

5.1.1 The functions that the group is responsible for exercising are largely set out in the 2006 Act, as amended by the 2012 Act. An outline of these appears in the Department of Health’s Functions of clinical commissioning groups: a working document. They relate to:

a) commissioning certain health services (where the NHS Commissioning Board is not under a duty to do so) that meet the reasonable needs of: i) all people registered with member GP practices, and

ii) people who are usually resident within the area and are not registered with a member of any clinical commissioning group;

b) commissioning emergency care for anyone present in the group’s area; c) paying its employees’ remuneration, fees and allowances in accordance with the determinations made by its governing body and determining any other terms and conditions of service of the group’s employees; d) determining the remuneration and travelling or other allowances of members of its governing body.

5.1.2 In discharging its functions the group will:

a) act15, when exercising its functions to commission health services, consistently with the discharge by the Secretary of State and the NHS Commissioning Board of their duty to promote a comprehensive health service16 and with the objectives and requirements placed on the NHS Commissioning Board through the mandate17 published by the Secretary of State before the start of each financial year by:

i) delegating responsibility to the group’s governing body for the development of the group’s Annual Commissioning Plan for approval by the Council of Clinical Representatives / Governing Body

ii) promoting the involvement of all group member’s via the Council of Clinical Representatives and the engagement of stakeholders in the development of the commissioning strategy and plan. Areas which may impact on GP practice workload and/or income will be discussed with the LMC and the Council of Clinical Representatives. iii) securing the approval of the Annual Commissioning Plan by the group via the Council of Clinical Representatives. iv) delegating responsibility to the group’s governing body for the delivery of

the Annual Commissioning Plan. v) requiring the governing body to report to and provide assurance to the

group on the delivery of the Annual Commissioning Plan and whether the intended outcomes have been achieved.

15 See section 3(1F) of the 2006 Act, inserted by section 13 of the 2012 Act 16 See section 1 of the 2006 Act, as amended by section 1 of the 2012 Act 17 See section 13A of the 2006 Act, inserted by section 23 of the 2012 Act


b) meet the public sector equality duty18 by:

i) delegating responsibility to the group’s governing body to ensure that the

policies of the group meet the requirements of the Equality Act 2010 ii) preparing and publishing specific and measurable equality objectives

which will be reviewed at least every four years iii) requiring the governing body to report to and provide assurance to the

group on how the activities of the group have met the public sector equality duty

iv) publishing in the group’s annual report on how the group has met the public sector equality duty and how the group has performed in relation to the agreed equality objectives.

c) work in partnership with its local authorities to develop joint strategic needs assessments19 and joint health and wellbeing strategies20 by:

i) promoting active CCG membership of and involvement in the North Yorkshire Health and Wellbeing Board

ii) nominating the Clinical Chair and/or Accountable Officer to represent the views of the group at the North Yorkshire Health and Wellbeing Board

seeking the views of group members and stakeholders to inform the development of the joint strategic needs assessments and joint health and well being strategies in partnership with the North Yorkshire Health and Wellbeing Board.

iii) actively contributing to the development and refresh of JSNAs jointly developing the Health and Well Being Strategy for North Yorkshire

5.2 General Duties - in discharging its functions the group will:

5.2.1 Make arrangements to secure public involvement in the planning, development

and consideration of proposals for changes and decisions affecting the operation of commissioning arrangements21. The NHS Scarborough and Ryedale Clinical Commissioning Group will ensure that the views and needs of the public are obtained prior to making decisions about how the care provided to them is delivered by:

a) Working in partnership with patients and the local community to secure the best care for them b) Adopting engagement activities to meet the specific needs of the different groups and communities c) Publicising opportunities to engage with the CCG

18 See section 149 of the Equality Act 2010, as amended by paragraphs 184 and 186 of Schedule 5 of

the 2012 Act 19 See section 116 of the Local Government and Public Involvement in Health Act 2007, as amended by

section 192 of the 2012 Act 20 See section 116A of the Local Government and Public Involvement in Health Act 2007, as inserted by

section 191 of the 2012 Act 21 See section 14Z2 of the 2006 Act, inserted by section 26 of the 2012 Act


d) Involving the local population in the planning of the commissioning arrangements of the group e) Clearly communicating and explaining any changes to service delivery and impact on the population f) Publishing up to date information about health services on the group’s website and through other media g) Developing feedback mechanisms and encouraging and acting on feedback h) Delegating responsibility to the group’s governing body to ensure that effective public involvement mechanisms are designed, developed and implemented i) Requiring the governing body to report in its annual report on how public involvement has been secured and influenced the decision making of the group and its governing body.

5.2.2 Promote awareness of, and act with a view to securing that health services are provided in a way that promotes awareness of, and have regard to the NHS Constitution by:

a) Delegating responsibility to the group’s governing body to promote the NHS Constitution and to commission health services in a way that ensures compliance with the principles of the NHS Constitution b) Demonstrating involvement and engagement in the development of the

Annual Commissioning Plan through each Practice signing up to the Plan c) Requiring the governing body to report to and provide assurance to the

group on how the principles of the NHS Constitution have been secured through the activities of the group and the governing body on its behalf.

5.2.3 Act effectively, efficiently and economically22 by:

a) Delegating responsibility to the group’s governing body to ensure that the group act effectively, efficiently and economically in securing the provision of health services for the population

b) Requiring the governing body to report to and provide assurance to the group on how the principles of effectiveness, efficiency and economy have been secured in the commissioning activities undertaken on behalf of the group.

5.2.4 Act with a view to securing continuous improvement to the quality of services23

by:

a) Delegating responsibility to the group’s governing body to secure continuous Improvement to the quality of services b) Requiring the governing body to report to and provide assurance to the group on how improvement in the quality of services has been secured and how this has impacted on quality outcomes.

22 See section 14Q of the 2006 Act, inserted by section 26 of the 2012 Act 23 See section 14R of the 2006 Act, inserted by section 26 of the 2012 Act


5.2.5 Assist and support the NHS Commissioning Board in relation to the Board’s duty to improve the quality of primary medical services24 by: a) Delegating responsibility to the group’s governing body to assist the NHS Commissioning Board in improving the quality of primary medical services. b) Requiring the governing body to report to and provide assurance to the group on how the governing body has assisted and supported the NHS Commissioning Board in securing improvement in the quality of primary medical services.

5.2.6 Assist and support the NHS Commissioning Board in relation to the Board’s duty to duty to improve the quality of specialised medical services by:

a) Delegating responsibility to the group’s governing body to assist the NHS Commissioning Board in improving the quality of specialised medical services.

b) Requiring the governing body to report to and provide assurance to the group on how the governing body has assisted and supported the NHS Commissioning Board in securing improvement in the quality of specialised medical services.

5.2.7 Have regard to the need to reduce inequalities25 by:

a) Delegating responsibility to the group’s governing body to develop a strategy that will aim to secure the provision of health care services in a way that seeks to reduce inequalities b) Requiring the governing body to report to and provide assurance to the group on how inequalities have been reduced.

5.2.8 Promote the involvement of patients, their carers and representatives in

decisions about their healthcare26 by:

a) Delegating responsibility to the group’s governing body to develop and implement a strategy to secure the involvement of patients, their carers and representatives in the decisions taken about healthcare provision b) Requiring the governing body to report to and provide assurance to the group on how the involvement of patients, their carers and representatives have been secured and how this has impacted on the decision making process.

5.2.9 Act with a view to enabling patients to make choices27 by:

a) Delegating responsibility to the group’s governing body to secure the provision of healthcare services that allows patients to make choices

24 See section 14S of the 2006 Act, inserted by section 26 of the 2012 Act 25 See section 14T of the 2006 Act, inserted by section 26 of the 2012 Act 26 See section 14U of the 2006 Act, inserted by section 26 of the 2012 Act 27 See section 14V of the 2006 Act, inserted by section 26 of the 2012 Act


b) Delegating responsibility to the group’s governing body to develop a policy that supports patients to be able to make choices c) Requiring the governing body to report to and provide assurance to the group on how patients have been enabled to make choices.

5.2.10 Obtain appropriate advice28 from persons who, taken together, have a broad range

of professional expertise in healthcare and public health by:

a) Delegating responsibility to the group’s governing body to obtain appropriate advice from persons who have a board range of professional expertise b) Requiring the governing body to report to and provide assurance to the group on how advice has been sought and obtained and the impact this has had on how healthcare services have been secured

5.2.11 Promote innovation29 by:

a) Delegating responsibility to the group’s governing body to promote innovation in how healthcare services are provided b) Requiring the governing body to report to and provide assurance to the group on how innovation has been achieved in securing the provision of health services.

5.2.12 Promote research and the use of research30 by:

a) Delegating responsibility to the group’s governing body to promote the use of research on matters relevant to the health service and the use of evidence from research to inform the commissioning strategy of the group and in securing the provision of healthcare services b) Requiring the governing body to report to and provide assurance to the group on how research has been used to inform decisions taken to secure the provision of the healthcare services.

5.2.13 Have regard to the need to promote education and training31 for persons who are

employed, or who are considering becoming employed, in an activity which involves or is connected with the provision of services as part of the health service in England so as to assist the Secretary of State for Health in the discharge of his related duty32 by:

a) Delegating responsibility to the group’s governing body to promote education and training for those individuals involved in the provision of healthcare services b) Nominating a member of the Governing Body to attend and represent the views of the group as required by the Local Education and Training Board

28 See section 14W of the 2006 Act, inserted by section 26 of the 2012 Act 29 See section 14X of the 2006 Act, inserted by section 26 of the 2012 Act 30 See section 14Y of the 2006 Act, inserted by section 26 of the 2012 Act 31 See section 14Z of the 2006 Act, inserted by section 26 of the 2012 Act 32 See section 1F(1) of the 2006 Act, inserted by section 7 of the 2012 Act


c) Requiring the governing body to report to and provide assurance to the group on how it has promoted and education and training in its activities

5.2.14 Act with a view to promoting integration of both health services with other health

services and health services with health-related and social care services where the group considers that this would improve the quality of services or reduce inequalities33 by:

a) Delegating responsibility to the group’s governing body to promote integration with other health services and health services with health-related and social care services b) Requiring the governing body to report to and provide assurance to the group on how it has promoted integration.

5.3 General Financial Duties – the group will perform its functions so as to:

5.3.1 Ensure its expenditure does not exceed the aggregate of its allotments for the

financial year34 by

a) Delegating responsibility to the group’s governing body to ensure expenditure does not exceed the aggregate of its allotments for the financial year, Including approval of budgets for the financial year b) Requiring the Chief Financial Officer to maintain effective financial and reporting systems that provide accurate information to the governing body on a regular basis c) Requiring the governing body to report to and provide assurance to the group on how it has met the duty to ensure expenditure does not exceed the aggregate of its allotments for the financial year.

5.3.2 Ensure its use of resources (both its capital resource use and revenue resource

use) does not exceed the amount specified by the NHS Commissioning Board for the financial year35 by:

a) Delegating responsibility to the group’s governing body to ensure its use of resources does not exceed the amount specified by the NHS Commissioning Board for the financial year b) Requiring the Chief Financial Officer to maintain effective financial and reporting systems that provide accurate information to the governing body on a regular basis c) Requiring the governing body to report to and provide assurance to the group on how it has met the duty to ensure its use of resources does not exceed the amount specified by the NHS Commissioning Board for the financial year.

5.3.3 Take account of any directions issued by the NHS Commissioning Board, in

respect of specified types of resource use in a financial year, to ensure the

33 See section 14Z1 of the 2006 Act, inserted by section 26 of the 2012 Act 34 See section 223H(1) of the 2006 Act, inserted by section 27 of the 2012 Act 35 See sections 223I(2) and 223I(3) of the 2006 Act, inserted by section 27 of the 2012 Act


group does not exceed an amount specified by the NHS Commissioning Board 36 by:

a) Delegating responsibility to the group’s governing body to ensure the group

does not exceed an amount specified by the NHS Commissioning Board b) Requiring the Chief Financial Officer to maintain effective financial and

reporting systems that provide accurate information to the governing body on a regular basis

c) Requiring the governing body to report to and provide assurance to the group on how it has met the duty to ensure the group does not exceed an amount specified by the NHS Commissioning Board.

5.3.4 Publish an explanation of how the group spent any payment in respect of

quality made to it by the NHS Commissioning Board37 by:

a) Delegating responsibility to the governing body to decide how payments received in respect of quality should be spent b) Requiring the Chief Financial Officer to maintain effective financial and reporting systems that provide accurate information on how any payments in respect of quality have been spent c) Requiring the governing body to report to and provide assurance to the group on how it has spent any payment made to the group in respect of quality.

5.4 Other Relevant Regulations, Directions and Documents 5.4.1 The group will:

a) comply with all relevant regulations; b) comply with directions issued by the Secretary of State for Health or the NHS Commissioning Board; and c) take account, as appropriate, of documents issued by the NHS Commissioning Board.

5.4.2 The group will develop and implement the necessary systems and processes to

comply with these regulations and directions, documenting them as necessary in this constitution, its scheme of reservation and delegation and other relevant group policies and procedures.

36 See section 223J of the 2006 Act, inserted by section 27 of the 2012 Act 37 See section 223K(7) of the 2006 Act, inserted by section 27 of the 2012 Act


6 DECISION MAKING: THE GOVERNING STRUCTURE 6.1 Authority to act 6.1.1 The clinical commissioning group is accountable for exercising the statutory

functions of the group. It may grant authority to act on its behalf to:

a) any of its members; b) its governing body; c) employees; d) a committee or sub-committee of the group.

6.1.2 The extent of the authority to act of the respective bodies and individuals depends on

the powers delegated to them by the group as expressed through:

a) the group’s scheme of reservation and delegation; and b) for committees, their terms of reference

6.2 Scheme of Reservation and Delegation38 6.2.1 The group’s scheme of reservation and delegation sets out:

a) those decisions that are reserved for the membership as a whole; b) those decisions that are the responsibilities of its governing body (and its committees), the group’s committees and sub-committees, individual members and employees.

6.2.2 The clinical commissioning group remains accountable for all of its functions,

including those that it has delegated. 6.3 General 6.3.1 In discharging functions of the group that have been delegated to its governing

body (and its committees), committees and individuals must:

a) comply with the group’s principles of good governance,39 b) operate in accordance with the group’s scheme of reservation and delegation,40 c) comply with the group’s standing orders,41 d) comply with the group’s arrangements for discharging its statutory duties,42 e) where appropriate, ensure that member practices have had the opportunity to contribute to the group’s decision making process.

38 See Appendix D 39 See section 4.4 on Principles of Good Governance above 40 See appendix D 41 See appendix C 42 See chapter 5 above


6.3.2 When discharging their delegated functions committees must also operate in accordance with their approved terms of reference.

6.3.3 Where delegated responsibilities are being discharged collaboratively, the joint

(collaborative) arrangements must:

a) identify the roles and responsibilities of those clinical commissioning groups who are working together; b) identify any pooled budgets and how these will be managed and reported in

annual accounts; c) specify under which clinical commissioning group’s scheme of reservation

and delegation and supporting policies the collaborative working arrangements will operate;

d) specify how the risks associated with the collaborative working arrangement will be managed between the respective parties;

e) identify how disputes will be resolved and the steps required to terminate the working arrangements;

f) specify how decisions are communicated to the collaborative partners.

6.4 Committees of the Group

6.4.1 The following committees have been established by the group:

a) Audit and Governance Committee b) Remuneration Committee c) Quality and Performance Committee d) Finance and Contracting Committee e) Communication and Engagement Committee f) Business Committee

6.4.2 Committees will only be able to establish their own sub-committees, to assist them

in discharging their respective responsibilities, if this responsibility has been delegated to them by the group or the committee they are accountable to.

6.4.3 The group will create such committees as it so resolves at any time in the future. 6.5 Joint Arrangements

6.5.1 The group will enter into joint arrangements with neighbouring CCGs and Local

Authorities as appropriate to secure commissioned services on behalf of its population.

6.5.2 The group has joint committee(s) with the following neighbouring CCGs and/or

local authority(ies):

a) a) Strategic Collaborative Commissioning CommitteePartnership Commissioning Unit Management Board – with Hambleton, Richmondshire & Whitby, Harrogate and Rural and Vale of York CCGs


a)b) North Yorkshire & Humber CCG Collaborative – with Hambleton Richmondshire & Whitby, Harrogate and Rural, Vale of York, Hull, East Riding, North Lincolnshire and North East Lincolnshire CCGs

The terms of reference for this committeethese committees are attached as appendix P and QO

6.6 The Governing Body 6.6.1 Functions - the governing body has the following functions conferred on it by

sections 14L(2) and (3) of the 2006 Act, inserted by section 25 the 2012 Act, together with any other functions connected with its main functions as may be specified in regulations or in this constitution.43 The governing body has responsibility for:

a) ensuring that the group has appropriate arrangements in place to exercise its

functions effectively, efficiently and economically and in accordance with the groups principles of good governance44 (its main function);

b) determining the remuneration, fees and other allowances payable to

employees or other persons providing services to the group and the allowances payable under any pension scheme it may establish under paragraph 11(4) of Schedule 1A of the 2006 Act, inserted by Schedule 2 of the 2012 Act;

c) approving any functions of the group that are specified in regulations;45

d) leading the setting of vision and strategy

e) Approving annual commissioning plans

f) monitoring performance against plans g) providing assurance of strategic risk.

6.6.2 Composition of the Governing Body - the governing body shall not have less

than 12 and comprises of:

a) the clinical chair; b) at least five General Practitioners from member practices;

43 See section 14L(3)(c) of the 2006 Act, as inserted by section 25 of the 2012 Act 44 See section 4.4 on Principles of Good Governance above 45 See section 14L(5) of the 2006 Act, inserted by section 25 of the 2012 Act


c) Lay Member, Vice Chair (leading on audit, remuneration and conflict of interest matters)

d) Lay Member (leading on patient and public participation and equality matters)

e) Primary Care Manager

f) Registered Nurse

g) Secondary Care Specialist Doctor

h) The Accountable Officer

i) The Chief Finance Officer

j) other co-opted non voting member(s) as deemed appropriate and as

approved by the Governing Body 6.6.3 Committees of the Governing Body - the governing body has appointed the

following committees and sub-committees: a) Audit and Governance Committee – the audit and governance committee,

which is accountable to the group’s governing body, provides the governing body with an independent and objective view of the group’s financial systems, financial information and compliance with laws, regulations and directions governing the group in so far as they relate to finance. The governing body has approved and keeps under review the terms of reference for the audit committee, which includes information on the membership of the audit committee46.

In addition the group or the governing body has conferred or delegated the following functions, connected with the governing body’s main function47, to its audit committee:

i) The Committee shall review the establishment and maintenance of an

effective system of integrated governance, internal control and risk across the whole of the Clinical Commissioning Group’s activities that supports the achievement of its objectives.

The Terms of Reference for the Audit and Governance Committee are attached as appendix I

b) Remuneration Committee – the remuneration committee, which is

accountable to the group’s governing body makes recommendations to the governing body on determinations about the remuneration, fees and other allowances for employees and for people who provide services to the group

46 See appendix [insert] for the terms of reference of the Audit Committee 47 See section 14L(2) of the 2006 Act, inserted by section 25 of the 2012 Act


and on determinations about allowances under any pension scheme that the group may establish as an alternative to the NHS pension scheme. The governing body has approved and keeps under review the terms of reference for the remuneration committee, which includes information on the membership of the remuneration committee48.

The Terms of Reference for the Remuneration committee are attached as

appendix J

c) Quality and Performance Committee The Terms of reference for the Quality and Performance Committee are attached as appendix K

d) Finance and Contracting Committee

The Terms of reference for the Finance and Contracting Committee are attached as appendix L

e) Communication and Engagement Committee

The Terms of reference for the Communication and Engagement Committee are attached as appendix M

f) Business Committee

The Terms of reference for the Business Committee are attached as appendix O

7 ROLES AND RESPONSIBILITIES

The CCG is a membership organisation and each member has a right to expect certain behaviours from their colleagues.

Members shall not be liable as Members, or as individuals, for the debts, liabilities, acts or omissions, howsoever caused by the CCG in discharging its statutory functions. The CCG is a body corporate recognised as such under the Health and Social Care Act 2012, and any liability shall be that of the CCG as a public statutory body

7.1 Member Practices

7.1.1. The responsibilities of the member practices are:

a) To identify and address areas of inappropriate variation

48 See appendix [insert] for the terms of reference of the remuneration committee


b) To actively engage with the CCG to help manage, monitor and improve services within the area

c) To share appropriate referral, prescribing and emergency data d) To follow the clinical pathways and referral protocols signed by the CCG

(except in individual cases where there are justified clinical reasons for not doing this)

e) To manage the practices prescribing f) To participate in and deliver, as far as possible, the clinical and cost effective

strategies agreed by the CCG g) To nominate a commissioning lead GP to represent the practice at CCG

Council of Clinical Representative meetings h) To respond in a timely manner to reasonable information requests from the

CCG i) To work constructively with other member practices in achieving financial

balance j) To nominate commissioning and prescribing leads to represent the practice at

CCG and GP Forum meetings and represent the needs of the practice’s patient population within the CCG.

The CCG recognises that GP’s primary responsibility is to their patients as laid down in the current version of GMC’s publication ‘Good Medical Practice’.

7.1.2. Voting rights for the Council of Clinical Representatives will be as follows:

a) A vote can be triggered at the request of 50% of the member practices and a meeting will be convened where voting will take place.

b) The formula for voting will be one vote per GP working in the SRCCG area,

irrespective of employment status.

c) Practices may apply to use a Proxy Vote if they are unable to attend the meeting

d) A vote will be passed when a majority of at least two thirds of the member

practices vote in favour of it. e) Minimum of 60% of member practices must be represented for a vote to take

place.

f) There is no right of veto.

g) The Governing Body will consider the outcome of the vote in its decision making

7.1.3 Dispute Resolution Process 7.1.3.1 For disputes between the Council of Clinical Representatives (CoCR) and the SRCCG governing body (GB)


Where there are concerns that the GB has either acted unreasonably, or taken a decision with which Member Practices disagree, concerns can be raised by a simple majority of practices within the locality who are in support of challenge.

The first stage to address any concern is for the GB to be asked to suspend further action and for the proposal to be taken to the CoCR for consideration and agreement. Practice Representatives will be called to a Special General meeting with a minimum of 10 working days’ notice. All Practice Representatives will be provided with background information relating to the discussion to be held in advance of the meeting, which outlines the reasons why it is considered that the GB has acted inappropriately to enable them to consider the matter in question.

If it is considered by the CoCR that the GB continues to act inappropriately the CoCR, by a vote of 66% majority of Member Practices at the Special General Meeting, can censure any decision or action, inform the GB it has done so and request a meeting with the GB. Such a meeting will at a minimum include the Chair, Accountable Officer and Chief Operating / Finance Officer, who will be invited to attend the meeting to answer questions relating to the GB’s actions. A minimum of 10 working days’ notice of the meeting will be given and background information provided to the GB regarding the CoCRs concerns. If a resolution is not achieved at such a meeting, independent arbitration will be sought to work together with representatives of the GB and the CoCR in an attempt to resolve the dispute. Should the GB continue in its actions, and the CoCR remains unhappy despite arbitration, then the CoCR to take action in accordance with 7.1.4 of the Constitution.

7.1.3.2 For Disputes relating to practice engagement.

If there is a need to determine whether or not a practice is engaging with the CCG the CoCR will be charged with setting the specific required parameters. If there is not a scheduled full group meeting of the CoCR within the next 6 weeks, a Special General meeting will be called with a minimum of 10 working days’ notice for this purpose. All CoCR Representatives will be provided with background information relating to the discussion to be held to inform their consideration of the matter in question.

The preferred approach to address any issues relating failure of a practice to engage fully will always be to provide extensive support, consultation, negotiation and peer pressure where practices are acting outside the parameters set by the CoCR. It is not anticipated that any additional measures will be necessary.

If this is unsuccessful in achieving a resolution then an independent arbiter will be sought.


If alI these measures fail and if 66% of Member Practices are in favour, the GB will use the powers delegated to refer the matter to the NHS Commissioning Board for their attention. The LMC will be informed of this action.

The practice would receive written notification from the GB that this is the planned course of action and would have four weeks from receipt of the letter to demonstrate to the GB that they intend to meet the agreed requirements.

7.1.4 Power of Recall

In the event that the Member Practices express a loss of confidence in a member/s of the Governing Body, then in line with the Dispute Resolution Process an Extraordinary General Meeting may be called by at least 50% of the CCGs Member Practices and a vote of at least 66% of Member Practices will be required in order to refer the concerns of the Member Practices to the NHS Commissioning Board. The LMC will be informed of this action.

7.2 Governing Body 7.2.1 The Governing Body is responsible to the member practices for the following:

a) To co-ordinate regular Scarborough and Ryedale CCG Forum meetings b) To ensure the availability of timely, relevant, accurate and accessible data c) To actively engage with the member practices to manage, monitor and

improve services within the area d) To share appropriate referral, prescribing and emergency admissions data e) To develop clinical pathways and referral protocols f) To support practices in managing their prescribing g) To engage with the member practices to develop clinical and cost-effective

strategies h) To produce and implement a patient engagement strategy i) To ensure that requests for information are reasonable in nature and scope j) To oversee the commissioning budget for the member practices and to

support them in achieving financial balance. k) To invite LMC representative to attend Governing Body meetings as a non

voting member. l) To engage and liaise with the LMC and agree with Members, the financial

resources made available by the CCG to support the member practices' involvement in commissioning, for work that is over and above their contractual obligations, in the relevant financial year"

7.2.2 Guidance on the roles of members of the group’s governing body is set out in a

separate document49. In summary, each member of the governing body should

49 Draft clinical commissioning group Governing Body Members – Roles Attributes and Skills, NHS

Commissioning Board Authority, March 2012


share responsibility as part of a team to ensure that the group exercises its functions effectively, efficiently and economically, with good governance and in accordance with the terms of this constitution. Each brings their unique perspective, informed by their expertise and experience.

a) To communicate decisions and developments to all GPs (regardless of contractual status) in a timely manner.

b) To recognise and engage with the Local Medical Council as local statutory

representatives of the profession. c) To engage and liaise with the LMC and agree with Members, the financial

resources made available by the CCG to support the member practices’ involvement in commissioning, for work that is over and above their contractual obligations, in the relevant financial year.

7.3 Practice Clinical Representatives 7.3.1 Clinical Representatives represent their practice’s views and act on behalf of the

practice in matters relating to the group. They are nominated by each individual practice and Governing Body members are not excluded from the role of Clinical Representative The role of each practice representative is to:

a) Attend Council of Clinical Representatives meetings on a regular basis b) Represent individual member practice in discussion regarding the group

business c) Engage within individual practice to ensure as far as possible that practice

view is represented d) Feedback in a timely manner to practices content, discussions and required

actions from CCG Council of Clinical Representatives meetings e) Balance the individual practice interests with those of the CCG organisation f) Be responsible for exercising individual practice right to vote.

7.4 The Clinical Chair of the Governing Body 7.4.1 The chair of the governing body is responsible for:

a) leading the governing body, ensuring it remains continuously able to discharge its duties and responsibilities as set out in this constitution;

b) Taking the lead in interactions with stakeholders, including the NHS

Commissioning Board.

c) building and developing the group’s governing body and its individual members;

d) ensuring that the group has proper constitutional and governance

arrangements in place;


e) ensuring that, through the appropriate support, information and evidence, the

governing body is able to discharge its duties; f) supporting the accountable officer in discharging the responsibilities of the

organisation; g) contributing to building a shared vision of the aims, values and culture of the

organisation; h) leading and influencing to achieve clinical and organisational change to

enable the group to deliver its commissioning responsibilities; i) overseeing governance and particularly ensuring that the governing body and

the wider group behaves with the utmost transparency and responsiveness at all times;

j) ensuring that public and patients’ views are heard and their expectations

understood and, where appropriate as far as possible, met; k) ensuring that the organisation is able to account to its local patients,

stakeholders and the NHS Commissioning Board; l) ensuring that the group builds and maintains effective relationships,

particularly with the individuals involved in overview and scrutiny from the relevant local authority/ies.

7.5 The Deputy Chair of the Governing Body

a) The Lay Member of the governing body will deputise for the chair of the governing body where he or she has a conflict of interest or is otherwise unable to act.

b) The Deputy Chair is the Chair of the Audit and Governance Committee.

7.6 Role of the Accountable Officer 7.6.1 The Accountable Officer of the group is a member of the governing body.

7.6.2 This role of Accountable Officer will be 50

a) being responsible for ensuring that the clinical commissioning group fulfils its

duties to exercise its functions effectively, efficiently and economically thus ensuring improvement in the quality of services and the health of the local population whilst maintaining value for money;

50 See the latest version of the NHS Commissioning Board Authority’s Clinical commissioning group

governing body members: Role outlines, attributes and skills


b) at all times ensuring that the regularity and propriety of expenditure is

discharged, and that arrangements are put in place to ensure that good practice (as identified through such agencies as the Audit Commission and the National Audit Office) is embodied and that safeguarding of funds is ensured through effective financial and management systems.

c) working closely with the Chair of the Governing Body, the Accountable Officer

will ensure that proper constitutional, governance and development arrangements are put in place to assure the members (through the governing body) of the organisation’s ongoing capability and capacity to meet its duties and responsibilities. This will include arrangements for the ongoing developments of its members and staff.

d) overseeing governance and particularly ensuring that the governing body and

the wider group behaves with the utmost transparency and responsiveness at all times;

d)e) The Chief Finance Officer will deputise for the Accountable Officer where he or she has a conflict of interest or is otherwise unable to act

7.7 Role of the Chief Finance Officer 7.7.1 The Chief Finance Officer is a member of the governing body and is responsible

for providing financial advice to the clinical commissioning group and for supervising financial control and accounting systems

7.7.2 This role of Chief Finance Officer will be:

a) being the governing body’s professional expert on finance and ensuring,

through robust systems and processes, the regularity and propriety of expenditure is fully discharged;

b) making appropriate arrangements to support, monitor on the group’s finances;

c) overseeing robust audit and governance arrangements leading to propriety in

the use of the group’s resources;

d) being able to advise the governing body on the effective, efficient and economic use of the group’s allocation to remain within that allocation and deliver required financial targets and duties; and

e) producing the financial statements for audit and publication in accordance with the statutory requirements to demonstrate effective stewardship of public money and accountability to the NHS Commissioning Board.

f) The Deputy Chief Finance Officer will deputise for the Chief Finance Officer

where he or she has a conflict of interest or is otherwise unable to act (in consultation with the Accountable Officer)


7.8 Role of the Secondary Care Doctor 7.8.1 As well as sharing responsibility with the other members for all aspects of the

CCG governing body business, this clinical member will bring a broader view, on health and care issues to underpin the work of the CCG. In particular, they will bring to the governing body an understanding of patient care in the secondary care setting.

7.8.2 The role of Secondary Care Doctor will be:

a) To have a high level of understanding of how care is delivered in a secondary care setting b) Be competent, confident and willing to give an independent strategic clinical view on all aspects of CCG business c) Be highly regarded as a clinical leader, preferably with experience working as a leader across more than one clinical discipline and/or speciality with a track record of collaborative working d) Be able to take a balanced view of the clinical and management agenda, and draw on their in depth understanding of secondary care to add value

e) Be able to contribute a generic view from the perspective of a secondary care doctor whilst putting aside specific issues relating to their own clinical practice or their employing organisation’s circumstances

f) Be able to provide an understanding of how secondary care providers work within the health system to bring appropriate insight to discussions regarding service re-design, clinical pathways and system reform.

7.9 Role of the Executive Nurse 7.9.1 As well as sharing responsibility with other members for all aspects of the CCG

governing body business, as a registered nurse on the governing body, this person will bring a broader view from their perspective as a registered nurse, on health and care issues to underpin the work of the CCG especially the contribution of nursing to patient care.

7.9.2 The role of the Executive Nurse will be:

a) Be a registered nurse who has developed a high level of professional expertise and knowledge b) Be competent, confident and willing to give an independent strategic clinical view on all aspects of CCG business


c) Be highly regarded as a clinical leader, probably across more than one clinical discipline and/or speciality - demonstrably able to think beyond their own professional viewpoint

d) Be able to take a balanced view of the clinical and management agenda and draw on their specialist skills to add value

e) Be able to contribute a generic view from the perspective of a registered nurse whilst putting aside specific issues relating to their own clinical practice or employing organisation’s circumstances

f) Be able to bring detailed insights from nursing and perspectives into discussions regarding service re-design, clinical pathways and system reform

g) The Clinical Chair will deputise for the Executive Nurse where he or she has a conflict of interest or is otherwise unable to act

7.10 Role of the Lay Members 7.10.1 With a lead role in overseeing key elements of financial management and

audit: The role of this lay member will be to bring specific expertise and experience to

the work of the governing body. Their focus will be strategic and impartial, providing an external view of the work of the CCG that is removed from the day-to-day running of the organisation. Their role will be to oversee key elements of governance including audit, remuneration and managing conflicts of interest.

a) Chair the Audit & Governance Committee and be the Deputy Chair of the CCG b) Have a lead role in ensuring that the governing body and the wider CCG behaves with the utmost probity at all times

c) Have a specific role in ensuring that appropriate and effective whistle blowing and anti-fraud systems are in place

d) Have the skills, knowledge and experience to assess and confirm that appropriate systems of internal control and assurance are in place for all aspects of governance, including financial and risk management

e) Have an understanding of the role of audit in wider accountability frameworks

f) Have an understanding of the resource allocations devolved to NHS bodies and a general knowledge of the accounting regime within which a CCG will operate


g) Have the ability to chair meetings effectively

h) Be able to give an independent view on possible internal conflicts of interest

i) Recent and relevant financial and audit experience is essential – sufficient to enable them to competently engage with financial management and reporting in the organisation and associated assurances

7.10.2 With a lead role in championing patient and public involvement:

This lay member will bring specific expertise and experience, as well as their knowledge as a member of the local community, to the work of the governing body. Their focus will be strategic and impartial, providing an independent view of the work of the CCG that is external to the day-to-day running of the organisation. This person will help to ensure that, in all aspects of the CCG’s business, the public voice of the local population is heard and that opportunities are created and protected for patient and public empowerment in the work of the CCG. In particular they will ensure that:

a) public and patients’ views are heard and their expectations understood and met as appropriate b) The CCG builds and maintains an effective relationship with Local Healthwatch and draws on existing patient and public engagement and involvement expertise

c) The CCG has appropriate arrangements in place to secure public and patient involvement and responds in an effective and timely way to feedback recommendations from patients, carers and the public

d) Able to give an independent view on possible internal conflicts of interest

e) Demonstrable understanding of the local arrangements for listening and responding to the voices of patients, carers and patient organisations

f) Have a track record of successfully involving patients, carers and the public in the work of a public sector organisation

g) Have an understanding of effective involvement and engagement techniques, and how these can be applied in practice

h) Live within the local community or be able to demonstrate how they are otherwise able to have sufficient knowledge of the area specified in the CCG’s constitution such as to enable them to express informed views about the discharge of the CCG’s functions so that they are able to act as a champion for patient and public involvement

i) Be competent to chair meetings


7.811 Joint Appointments with other Organisations

a) Chief Finance Officer.

a) All joint appointments are be supported by a memorandum of understanding

between the organisations who are party to these joint appointments.


8. STANDARDS OF BUSINESS CONDUCT AND MANAGING CONFLICTS OF INTEREST

8.1 Standards of Business Conduct 8.1.1 Employees, members, committee and sub-committee members of the group and

members of the governing body (and its committees) will at all times comply with this constitution and be aware of their responsibilities as outlined in it. They should act in good faith and in the interests of the group and should follow the Seven Principles of Public Life, set out by the Committee on Standards in Public Life (the Nolan Principles) The Nolan Principles are incorporated into this constitution at Appendix F.

8.1.2 They must comply with the group’s policy on business conduct, including the

requirements set out in the policy for managing conflicts of interest. This policy will be available on the group’s website at scarboroughandryedaleccg.nhs.uk

8.1.3 Individuals contracted to work on behalf of the group or otherwise providing

services or facilities to the group will be made aware of their obligation with regard to declaring conflicts or potential conflicts of interest. This requirement will be written into their contract for services.

8.2 Conflicts of Interest

8.2.1 As required by section 14O of the 2006 Act, as inserted by section 25 of the 2012

Act, the clinical commissioning group will make arrangements to manage conflicts and potential conflicts of interest to ensure that decisions made by the group will be taken and seen to be taken without any possibility of the influence of external or private interest.

8.2.2 Where an individual, i.e. an employee, group member, member of the governing

body, or a member of a committee or a sub-committee of the group or its governing body has an interest, or becomes aware of an interest which could lead to a conflict of interests in the event of the group considering an action or decision in relation to that interest, that must be considered as a potential conflict, and is subject to the provisions of this constitution.

8.2.3 A conflict of interest will include:

a) a direct pecuniary interest: where an individual may financially benefit from the

consequences of a commissioning decision (for example, as a provider of services);

b) an indirect pecuniary interest: for example, where an individual is a partner, member or shareholder in an organisation that will benefit financially from the consequences of a commissioning decision;

c) a non-pecuniary interest: where an individual holds a non-remunerative or not-for profit interest in an organisation, that will benefit from the consequences of


a commissioning decision (for example, where an individual is a trustee of a voluntary provider that is bidding for a contract);

d) a non-pecuniary personal benefit: where an individual may enjoy a qualitative benefit from the consequence of a commissioning decision which cannot be given a monetary value (for example, a reconfiguration of hospital services which might result in the closure of a busy clinic next door to an individual’s house);

e) where an individual is closely related to, or in a relationship, including friendship, with an individual in the above categories.

8.2.4 If in doubt, the individual concerned should assume that a potential conflict of

interest exists. 8.3 Declaring and Registering Interests 8.3.1 The group will maintain one or more registers of the interests of:

a) the members of the group; b) the members of its governing body; c) the members of its committees or sub-committees and the committees or sub-

committees of its governing body; and d) its employees.

8.3.2 The registers will be publically available on the group’s website at

www.scarboroughandryedale.nhs.uk. 8.3.3 Individuals will declare any interest that they have, in relation to a decision to be

made in the exercise of the commissioning functions of the group, in writing to the governing body, as soon as they are aware of it and in any event no later than 28 days after becoming aware.

8.3.4 Where an individual is unable to provide a declaration in writing, for example, if a

conflict becomes apparent in the course of a meeting, they will make an oral declaration before witnesses, and provide a written declaration as soon as possible thereafter.

8.3.5 The Audit and Governance Committee will ensure that the register of interest is

reviewed regularly, and updated as necessary. 8.3.6 Operational responsibility for issues arising in the interests of CCG working

processes and decision making lies with the Accountable Officer.

8.4 Managing Conflicts of Interest: general

8.4.1 Individual members of the group, the governing body, committees or sub-committees, the committees or sub-committees of its governing body and employees will comply with the arrangements determined by the group for managing conflicts or potential conflicts of interest.


8.4.2 The Chair of the Audit and Governance Committee will ensure that for every interest declared, either in writing or by oral declaration, arrangements are in place to manage the conflict of interests or potential conflict of interests, to ensure the integrity of the group’s decision making processes.

8.4.3 Arrangements for the management of conflicts of interest are to be determined by

the Chair of the Audit and Governance Committee and will include the requirement to put in writing to the relevant individual arrangements for managing the conflict of interests or potential conflicts of interests, within a week of declaration. The arrangements will confirm the following:

a) when an individual should withdraw from a specified activity, on a temporary

or permanent basis;

b) monitoring of the specified activity undertaken by the individual, either by a line manager, colleague or other designated individual.

8.4.4 Where an interest has been declared, either in writing or by oral declaration, the

declarer will ensure that before participating in any activity connected with the group’s exercise of its commissioning functions, they have received confirmation of the arrangements to manage the conflict of interest or potential conflict of interest from the Accountable Officer.

8.4.5 Where an individual member, employee or person providing services to the group is aware of an interest which:

a) has not been declared, either in the register or orally, they will declare this at

the start of the meeting; b) has previously been declared, in relation to the scheduled or likely business of

the meeting, the individual concerned will bring this to the attention of the chair of the meeting, together with details of arrangements which have been confirmed for the management of the conflict of interests or potential conflict of interests.

The chair of the meeting will then determine how this should be managed and inform the member of their decision. Where no arrangements have been confirmed, the chair of the meeting may require the individual to withdraw from the meeting or part of it. The individual will then comply with these arrangements, which must be recorded in the minutes of the meeting.

8.4.6 Where the chair of any meeting of the group, including committees, sub-

committees, or the governing body and the governing body’s committees and sub-committees, has a personal interest, previously declared or otherwise, in relation to the scheduled or likely business of the meeting, they must make a declaration and the deputy chair will act as chair for the relevant part of the meeting. Where arrangements have been confirmed for the management of the conflict of interests or potential conflicts of interests in relation to the chair, the meeting must ensure these are followed. Where no arrangements have been confirmed, the deputy


chair may require the chair to withdraw from the meeting or part of it. Where there is no deputy chair, the members of the meeting will select one.

8.4.7 Any declarations of interests, and arrangements agreed in any meeting of the

clinical commissioning group, committees or sub-committees, or the governing body, the governing body’s committees or sub-committees, will be recorded in the minutes.

8.4.8 Where more than 50% of the members of a meeting are required to withdraw from

a meeting or part of it, owing to the arrangements agreed for the management of conflicts of interests or potential conflicts of interests, the chair (or deputy) will determine whether or not the discussion can proceed.

8.4.9 In making this decision the chair will consider whether the meeting is quorate, in

accordance with the number and balance of membership set out in the group’s standing orders. Where the meeting is not quorate, owing to the absence of certain members, the discussion will be deferred until such time as a quorum can be convened. Where a quorum cannot be convened from the membership of the meeting, owing to the arrangements for managing conflicts of interest or potential conflicts of interests, the chair of the meeting shall consult with the Accountable Officer with support from the nominated Lay member with responsibility for audit on the action to be taken.

8.4.10 This may include:

a) requiring another of the group’s committees or sub-committees, the group’s governing body or the governing body’s committees or sub-committees (as appropriate) which can be quorate to progress the item of business, or if this is not possible,

b) inviting on a temporary basis one or more of the following to make up the quorum (where these are permitted members of the governing body or committee / sub-committee in question) so that the group can progress the item of business:

i) a member of the clinical commissioning group who is an individual; ii) an individual appointed by a member to act on its behalf in the dealings

between it and the clinical commissioning group; iii) a member of a relevant Health and Wellbeing Board; iv) a member of a governing body of another clinical commissioning group.

These arrangements must be recorded in the minutes.

8.4.11 In any transaction undertaken in support of the clinical commissioning group’s

exercise of its commissioning functions (including conversations between two or more individuals, e-mails, correspondence and other communications), individuals must ensure, where they are aware of an interest, that they conform to the arrangements confirmed for the management of that interest. Where an individual has not had confirmation of arrangements for managing the interest, they must declare their interest at the earliest possible opportunity in the course of that


transaction, and declare that interest as soon as possible thereafter. The individual must also inform either their line manager (in the case of employees), or the Chair of the Audit and Governance Committee.

8.4.12 The Chair of the Audit and Governance Committee will take such steps as deemed appropriate, and request information deemed appropriate from individuals, to ensure that all conflicts of interest and potential conflicts of interest are declared

8.5 Managing Conflicts of Interest: contractors and people who provide services

to the group

8.5.1 Anyone seeking information in relation to a procurement, or participating in a procurement, or otherwise engaging with the clinical commissioning group in relation to the potential provision of services or facilities to the group, will be required to make a declaration of any relevant conflict / potential conflict of interest.

8.5.2 Anyone contracted to provide services or facilities directly to the clinical

commissioning group will be subject to the same provisions of this constitution in relation to managing conflicts of interests. This requirement will be set out in the contract for their services.

8.6 Transparency in Procuring Services 8.6.1 The group recognises the importance in making decisions about the services it

procures in a way that does not call into question the motives behind the procurement decision that has been made. The group will procure services in a manner that is open, transparent, non-discriminatory and fair to all potential providers.

8.6.2 The group will publish a Procurement Strategy approved by its governing body

which will ensure that:

a) all relevant clinicians (not just members of the group) and potential providers, together with local members of the public, are engaged in the decision-making processes used to procure services;

b) service redesign and procurement processes are conducted in an open, transparent, non-discriminatory and fair way

8.6.3 Copies of this Procurement Strategy will be available on the group’s website

www.scarboroughandryedaleccg.nhs.uk


9 THE GROUP AS EMPLOYER 9.1 The group recognises that its most valuable asset is its people. It will seek to

enhance their skills and experience and is committed to their development in all ways relevant to the work of the group.

9.2 The group will seek to set an example of best practice as an employer and is

committed to offering all staff equality of opportunity. It will ensure that its employment practices are designed to promote diversity and to treat all individuals equally.

9.3 The group will ensure that it employs suitably qualified and experienced staff who

will discharge their responsibilities in accordance with the high standards expected of staff employed by the group. All staff will be made aware of this constitution, the commissioning strategy and the relevant internal management and control systems which relate to their field of work

9.4 The group will maintain and publish policies and procedures (as appropriate) on

the recruitment and remuneration of staff to ensure it can recruit, retain and develop staff of an appropriate calibre. The group will also maintain and publish policies on all aspects of human resources management, including grievance and disciplinary matters

9.5 The group will ensure that its rules for recruitment and management of staff

provide for the appointment and advancement on merit on the basis of equal opportunity for all applicants and staff.

9.6 The group will ensure that employees' behaviour reflects the values, aims and

principles set out above. 9.7 The group will ensure that it complies with all aspects of employment law. 9.8 The group will ensure that its employees have access to such expert advice and

training opportunities as the Governing Body consider reasonable. 9.9 The group will adopt a Code of Conduct for staff and will maintain and promote

effective 'whistle blowing' procedures to ensure that concerned staff have means through which their concerns can be voiced.

9.10 The group recognises and confirms that nothing in or referred to in this

constitution (including in relation to the issue of any press release or other public statement or disclosure) will prevent or inhibit the making of any protected disclosure (as defined in the Employment Rights Act 1996, as amended by the Public Interest Disclosure Act 1998) by any member of the group, any member of its governing body, any member of any of is committees or sub-committees of its governing body, or any employee of the group or of any of its members, nor will it affect the rights of any worker (as defined in that Act) under that Act


9.1011 Copies of this Code of Conduct, together with the other policies and procedures outlined in this chapter, will be available on the group’s website at www.scarboroughandryedaleccg.nhs.uk


10 TRANSPARENCY, WAYS OF WORKING AND STANDING ORDERS 10.1 General 10.1.1 The group will publish annually a commissioning plan and an annual report,

presenting the group’s annual report to a public meeting. 10.1.1 Key communications issued by the group, including the notices of procurements,

public consultations, governing body meeting dates, times, venues, and certain papers will be published on the group’s website at www.scarboroughandryedaleccg.nhs.uk

10.1.2 The group may use other means of communication, including circulating

information by post, or making information available in venues or services accessible to the public.

10.2 Standing Orders 10.2.1 This constitution is also informed by a number of documents which provide further

details on how the group will operate. They are the group’s:

a) Standing orders (Appendix BC) – which sets 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;

b) Scheme of reservation and delegation (Appendix DC ) – which sets out

those decisions that are reserved for the membership as a whole and those decisions that are the responsibilities of the group’s governing body, the governing body’s committees and sub-committees, the group’s committees and sub-committees, individual members and employees;

c) Prime financial policies (Appendix DE) – which sets out the arrangements

for managing the group’s financial affairs. 10.3 Recognition of the Local Medical Committee

The group will recognise the LMC (or its successor), representing the GPs in the CCG area, as the local statutory representative of GPs.

The group will engage and liaise with the recognised LMC (or its successor) on matters impacting on general practice whether directly or indirectly devolved to the CCG by the NHSCB.

The group will engage and liaise with the recognised LMC (or its successor) on any other matter that would be recognised as being relevant to the provision of primary medical services or local commissioning where any proposed change has any impact on the workload or income of a practice or practices.


The LMC (or its successor) will be invited to participate in any selection or election process for GP Governing Body / Clinical Board Members and the Accountable Officer.

Appropriate CCG Governing Body / Clinical Board representatives to meet Officers of the LMC on a regular basis.


APPENDIX A DEFINITIONS OF KEY DESCRIPTIONS USED IN THIS CONSTITUTION

2006 Act National Health Service Act 2006, as amended by the 2012 Act.

2012 Act Health and Social Care Act 2012 (this Act amends the 2006 Act)

Accountable Officer an individual, as defined under paragraph 12 of Schedule 1A of the 2006 Act (as inserted by Schedule 2 of the 2012 Act), appointed by the NHS Commissioning Board, with responsibility for ensuring the group: • complies with its obligations under:

o sections 14Q and 14R of the 2006 Act (as inserted by section 26 of the 2012 Act),

o sections 223H to 223J of the 2006 Act (as inserted by section 27 of the 2012 Act),

o paragraphs 17 to 19 of Schedule 1A of the NHS Act 2006 (as inserted by Schedule 2 of the 2012 Act), and

o any other provision of the 2006 Act (as amended by the 2012 Act) specified in a document published by the Board for that purpose;

• Exercises its functions in a way which provides good value for money.

Area the geographical area that the group has responsibility for, as defined in Chapter 2 of this constitution

Chair of the governing body the individual appointed by the group to act as chair of the governing body

Chief Finance Officer the qualified accountant employed by the group with responsibility for financial strategy, financial management and financial governance

Clinical commissioning group

a body corporate established by the NHS Commissioning Board in accordance with Chapter A2 of Part 2 of the 2006 Act (as inserted by section 10 of the 2012 Act)

Committee a committee or sub-committee created and appointed by: • the membership of the group • a committee / sub-committee created by a committee created / appointed

by the membership of the group • a committee / sub-committee created / appointed by the governing body

Council of Clinical Representatives

a council of practice representative GPs ( one per practice) working in the area covered by Scarborough and Ryedale Clinical Commissioning Group, irrespective of their contractual arrangements.and nominated by a member practice.

Financial year this usually runs from 1 April to 31 March, but under paragraph 17 of Schedule 1A of the 2006 Act (inserted by Schedule 2 of the 2012 Act), it can for the purposes of audit and accounts run from when a clinical commissioning group is established until the following 31 March

Forum A regular meeting of clinical and managerial representatives from member practices.

Group NHS Scarborough and Ryedale Clinical Commissioning Group, whose constitution this is

Governing body (known as the ‘Board’)

the body appointed under section 14L of the NHS Act 2006 (as inserted by section 25 of the 2012 Act), with the main function of ensuring that a clinical commissioning group has made appropriate arrangements for ensuring that it


complies with: • its obligations under section 14Q under the NHS Act 2006 (as inserted by

section 26 of the 2012 Act), and • such generally accepted principles of good governance as are relevant to it.

Governing body member any member appointed to the governing body of the group

Lay member a lay member of the governing body, appointed by the group. A lay member is an individual who is not a member of the group or a healthcare professional (i.e. an individual who is a member of a profession regulated by a body mentioned in section 25(3) of the National Health Service Reform and Health Care Professions Act 2002) or as otherwise defined in regulations

Local Medical Committee

the [ North Yorkshire ] Local Medical Committee (or its successor) as recognised by the NHS Act 2006 and recognised by [Scarborough & Ryedale CCG and the NHS Commissioning Board or their successors ]

Member a provider of primary medical services to a registered patient list, who is a members of this group (see tables in Chapter 3 and Appendix B)

Practice representatives

an individual appointed by a practice (who is a member of the group) to act on its behalf in the dealings between it and the group, under regulations made under section 89 or 94 of the 2006 Act (as amended by section 28 of the 2012 Act) or directions under section 98A of the 2006 Act (as inserted by section 49 of the 2012 Act)

Registers of interests registers a group is required to maintain and make publicly available under section 14O of the 2006 Act (as inserted by section 25 of the 2012 Act), of the interests of: • the members of the group; • the members of its governing body; • the members of its committees or sub-committees and committees or sub-

committees of its governing body; and • its employees.


APPENDIX B – List of Member Practices Practice

Code Practice Name

Address Signature Date

Signed B82106 Hackness Road Surgery 19 Hackness Road, Newby,

Scarborough, YO12 5SD

B82001 Falsgrave Surgery Lawrence House Medical Centre, Belgrave Crescent, Scarborough, YO11 1UB

B82011 Sherburn Surgery 50 St Hilda's Street, Sherburn , Malton, YO17 8PH

B82024 Eastfield Medical Centre 14 High Street, Eastfield , Scarborough, YO11 3LJ

B82025 Derwent Practice Norton Road, Norton, Malton, YO17 9RF

B82037 Filey Surgery

Station Avenue, Filey, YO14 9AE

B82038 Prospect Road Surgery 174 Prospect Road, Scarborough, YO12 7LB

B82054 Scarborough Medical Group 463a Scalby Road, Scarborough, YO12 6UB

B82056 Claremont Surgery 56-60 Castle Road, Scarborough, YO11 1 XE

B82058 Norwood House Surgery Belle Vue Street, Scarborough, YO12 7EJ

B82063 West Ayton Surgery 53 Pickering Road, West Ayton, Scarborough, YO13 9JF

B82088 Trafalgar Medical PracticeBrook Square Surgery

Trafalgar House, 41-44 Trafalgar Street West, Scarborough, YO12 7AS

B82092 Belgrave Surgery Lawrence House Medical Centre, 1 Belgrave Crescent, Scarborough, YO11 1UB

B82609 Ampleforth Surgery Back Lane, Ampleforth, York, YO62 4EF

B82611 Peasholm Surgery 98 Tennyson Avenue, Scarborough, YO12 7RE

B82628 Hunmanby Surgery Hungate Lane, Hunmanby, Filey, YO14 0NN

YO2669 The Castle Health Centre 3- 4 York Place, Scarborough, YO11 2NP


APPENDIX C – STANDING ORDERS 1. STATUTORY FRAMEWORK AND STATUS 1.1. Introduction 1.1.1. These standing orders have been drawn up to regulate the proceedings of the

Scarborough and Ryedale Clinical Commissioning Group so that group can fulfil its obligations, as set out largely in the 2006 Act, as amended by the 2012 Act and related regulations. They are effective from the date the group is established.

1.1.2. The standing orders, together with the group’s scheme of reservation and

delegation51 and the group’s prime financial policies52, provide a procedural framework within which the group discharges its business. They set out:

a) the arrangements for conducting the business of the group; b) the appointment of member practice representatives; c) the procedure to be followed at meetings of the group, the governing body and

any committees or sub-committees of the group or the governing body; d) the process to delegate powers, e) the declaration of interests and standards of conduct.

These arrangements must comply, and be consistent where applicable, with requirements set out in the 2006 Act (as amended by the 2012 Act) and related regulations and take account as appropriate53 of any relevant guidance.

1.1.3. The standing orders, scheme of reservation and delegation and prime financial

policies have effect as if incorporated into the group’s constitution. Group members, employees, members of the governing body, members of the governing body’s committees and sub-committees, members of the group’s committees and sub-committees and persons working on behalf of the group should be aware of the existence of these documents and, where necessary, be familiar with their detailed provisions. Failure to comply with the standing orders, scheme of reservation and delegation and prime financial policies may be regarded as a disciplinary matter that could result in dismissal.

1.2. Schedule of matters reserved to the clinical commissioning group and the

scheme of reservation and delegation

51 See Appendix D 52 See Appendix E 53 Under some legislative provisions the group is obliged to have regard to particular guidance but under

other circumstances guidance is issued as best practice guidance.


1.2.1 The 2006 Act (as amended by the 2012 Act) provides the group with powers to delegate the group’s functions and those of the governing body to certain bodies (such as committees) and certain persons. The group has decided that certain decisions may only be exercised by the group in formal session. These decisions and also those delegated are contained in the group’s scheme of reservation and delegation (see Appendix D).

2. THE CLINICAL COMMISSIONING GROUP: COMPOSITION OF

MEMBERSHIP, KEY ROLES AND APPOINTMENT PROCESS

2.1. Composition of membership

2.1.1. Chapter 3 of the group’s constitution provides details of the membership of the group (also see Appendix B).

2.1.2. Chapter 6 of the group’s constitution provides details of the governing structure

used in the group’s decision-making processes, whilst Chapter 7 of the constitution outlines certain key roles and responsibilities within the group and its governing body, including the role of practice representatives (section 7.1 of the constitution).

2.2. Key Roles 2.2.1. Paragraph 6.6.2 of the group’s constitution sets out the composition of the group’s

governing body whilst Chapter 7 of the group’s constitution identifies certain key roles and responsibilities within the group and its governing body. These standing orders set out how the group appoints individuals to these key roles.

2.2.2. Eligibility to all roles will be subject to compliance with the Regulations. Chair and Vice Chair following bullet point:

a) There will be a competency based interview process for all GPs

standing for election to role of Chair. b) The Clinical Chair will be elected by the governing body. c) The Council of Clinical Representatives will be consulted for

their support of the proposed Governing Body member(s) d) The Chair shall serve on the Board for period of no more than

[4] years after which the position shall be subject to reappointment. No Chair shall serve on the Board for a period of more than [8] years without a break of at least [2] years.

e) The Vice Chair will be selected by members of the Board through an interview process

f) Where the Chair is a GP, the Vice Chairman shall be a lay member.


g) The roles of Chair and Accountable Officer shall not be held by the same individual subject to NHS Commissioning Board Guidance.

h) The Chair of the Audit and Integrated Governance and Remuneration Committees could be the Vice Chair of the Board but would be precluded from being its Chairman

i) The notice period for Chair and Vice Chair is 6 months

2.2.3.1 GP Governing Body Member vacancies will be:

a)g) Advertised to all GPs (non-principals, salaried and partners) within the Scarborough and Ryedale Clinical Commissioning Group area.

b)h) any GP can apply to a vacant Governing Body Member post and they will be assessed against the National Leadership Framework criteria, a Curriculum Vitae and a letter of application

c)i) The assessment of shortlisted applicants would, at a minimum, include an interview by a panel to include the Accountable Officer, representative from the LMC and a patient representative who may be the Lay Member with responsibility for patient and public engagement.

d)j) A GP member of the Governing Body can serve a maximum of two terms in office. Each term will be for a period of three years.

k) The shortlist of applicants will be subject to a vote by GP members to appoint the successful candidate. This will be on the basis of one vote per GP and facilitated by an external independent organisation such as the LMC.

e)l) The notice period is 6 months

2.2.4 The Accountable Officer

a) The Governing Body will select and appoint an Accountable officer through a competency based competitive interview process

b) The Accountable Officer must be either: i) A GP who is a member of the CCG; ii) An employee of the CCG or any member of the CCG; or iii) In the case of a joint appointment an employee of any member of any of

the groups in question or any member of those groups. c) The post is substantive d) The notice period is 36 months.

2.2.5 The Chief Financial Officer

a) The Governing Body will select and appoint Chief Financial Officer through a

competency based competitive interview process who is a qualified accountant

b) They will be an employee of the CCG c) The notice period is 63 months.


2.2.6 Lay members

a) Are appointed by the Governing Body through an interview process b) The term of office is 3 years for the Chair/Vice Chair and 3 years for the other

lay member c) Lay members can be appointed for a maximum of two terms d) The notice period is 6 months.

2.2.7 Secondary Care Doctor and Registered nurse

a. Both posts are appointed by the Governing Body for a maximum of two terms.

Each term is for three years. a.b. Secondary Care Doctor notice period is 6 months

2.2.8 The roles and responsibilities of each of these key roles are set out either in

paragraph 6.6.2 or Chapter 7 of the group’s constitution.

3. MEETINGS OF THE CLINICAL COMMISSIONING GROUP 3.1 Council of Clinical Representatives

a) Meetings of the Council of Clinical Representatives will be held at least quarterly as agreed to address the business of the CCG.

b) The Chair is responsible for drawing up the agenda for these meetings, but to do this, will work in partnership with the Council of Clinical Representatives and Governing Body to ensure practices are fully informed and involved in CCG processes and decision making.

c) Where possible, the agenda will be issued seven days before the meeting.

d) The Council of Clinical Representatives will be chaired by a member of the Council

of Clinical Representatives.

e) Voting and quoracy arrangements are detailed in section 7 of the Constitution.

f) Minutes will be taken in accordance with section 3.3.

Terms of reference are attached in appendix N

3.2 Governing Body 3.2.1 Calling meetings

a)h) Meetings of the Governing Body of the group shall be held at regular

intervals at such times and places as the Governing Body may determine.


b) The Chair of the group may call a meeting of the Governing Body at any time.

c) One-third or more members of the Governing Body may requisition a meeting in writing. If the Chair refuses, or fails, to call a meeting within seven days of a requisition being presented, the members signing the requisition may forthwith call a meeting.

d) Before each meeting of the Governing Body a written notice specifying the business proposed to be transacted shall be delivered to every member, or sent by post to the usual place of residence of each member, so as to be available to members at least three clear days before the meeting. The notice shall be signed by the Chair or by an officer authorised by the Chair to sign on their behalf. Want of service of such a notice on any member shall not affect the validity of a meeting. In the case of a meeting called by members in default of the Chair calling the meeting, the notice shall be signed by those members.

e) Before each meeting of the Governing Body a public notice of the time and

place of the meeting, and the public part of the agenda, shall be displayed at the CCG’s principal offices at least three clear days before the meeting and on the CCG’s website www.scarboroughandryedaleccg.nhs.uk

3.2.2 Agenda, supporting papers and business to be transacted

a) Items of business to be transacted for inclusion on the agenda of a meeting

need to be notified to the Chair of the Governing Body at least 15 working days (i.e. excluding weekends and bank holidays) before the meeting take place. Supporting papers for such items need to be submitted at least 8 working days before the meeting takes place. The agenda and supporting papers will be circulated to all members of a meeting at least 6 working days before the date the meeting will take place. Supporting papers, whenever possible, shall accompany the agenda, but will certainly be dispatched no later than 3 clear days before the meeting, save in emergency.

b) A member desiring a matter to be included on an agenda shall make his/her request in writing to the Chair of the Governing Body at least 15 clear days before the meeting. The request should state whether the item of business is proposed to be transacted in the presence of the public and should include appropriate supporting information. Requests made less than 15 days before a meeting may be included on the agenda at the discretion of the Chair.

c) A member of the Governing Body may give written notice of an emergency motion after the issue of the notice of meeting and agenda, up to one hour before the time fixed for the meeting. The notice shall state the grounds of urgency. If in order, it shall be declared to the Governing Body at the commencement of the business of the meeting as an additional item included in the agenda. The Chair's decision to include the item shall be final.

d) Agendas and certain papers for the group’s governing body – including details about meeting dates, times and venues - will be published on the group’s website at www.scarboroughandryedaleccg.nhs.uk


e) Should a vote be taken the outcome of the vote, and any dissenting views, must be recorded in the minutes of the meeting.

f) For all other of the group’s committees and sub-committees, including the governing body’s committees and sub-committee, the details of the process for holding a vote are set out in the appropriate terms of reference.

3.2.3 Petitions

a) Where a petition has been received by the group, the Chair of the Governing body shall include the petition as an item for the agenda of the next meeting of the governing body.

3.2.4 Chair's ruling

a) The decision of the Chair of the Governing Body on questions of order, relevancy and regularity and their interpretation of the constitution, standing orders, scheme of reservation and delegation and prime financial policies at the meeting, shall be final.

3.2.5 Quorum

a) The governing body will be deemed to be quorate when a minimum of 7 members, 4 of which must be clinical representatives who hold current professional registration (3 of them must be GPs), including the Chair and/or Deputy Chair is present. A member who is present at the meeting but is conflicted out of a particular agenda item will not contribute to the quoracy of the meeting for the duration of that agenda item.

3.2.6 Decision making a) Chapter 6 of the group’s constitution, together with the scheme of reservation

and delegation, sets out the governing structure for the exercise of the group’s statutory functions. Generally it is expected that at the group’s/governing body’s meetings decisions will be reached by consensus. Should this not be possible then a vote of members will be required, the process for which is set out below:

i) Eligibility – All members of the Governing Body have a single vote ii) Majority necessary to confirm a decision – simple majority iii) Casting vote – The Chairman holds a casting vote

b) Should a vote be taken the outcome of the vote, and any dissenting views, must be recorded in the minutes of the meeting. c) For all other of the group’s committees and sub-committees, including the

governing body’s committees and sub-committee, the details of the process for holding a vote are set out in the appropriate terms of reference.


3.2.7 Emergency powers and urgent decisions a) The powers which the Governing Body has reserved to itself within these

Standing Orders may in emergency or for an urgent decision be exercised by the Accountable Officer and the Chair after having consulted at least two non-officer members of the governing body. The exercise of such powers by the Accountable Officer and Chairman shall be reported to the next formal meeting of the Governing Body in public session for formal ratification.

3.2.8 Admission of public and the press

a) The public and representatives may attend the Governing Body meeting to

discuss the annual report. b) The Chair or the person presiding over the meeting shall give such directions

as he/she thinks fit with regard to the arrangements for meetings and accommodation of the public and representatives of the press such as to ensure that the business shall be conducted without interruption and disruption and, without prejudice to the power to exclude on grounds of the confidential nature of the business to be transacted. Matters to be dealt with by the Governing Body following the exclusion of representatives of the press, and other members of the public, shall be confidential to the members of the Governing Body.

c) Members and Officers or any employee of the CCG in attendance shall not reveal or disclose the contents of papers marked 'In Confidence' or minutes headed 'Items Taken in Private' outside of the CCG, without the express permission of the Chair of the Governing Body. This prohibition shall apply equally to the content of any discussion during the Governing Body meeting which may take place on such reports or papers.

3.3 Suspension of Standing Orders

a) Except where it would contravene any statutory provision or any direction

made by the Secretary of State for Health or the NHS Commissioning Board, any part of these standing orders may be suspended at any meeting, provided 60% members of the Governing Body are in agreement.

b) A decision to suspend standing orders together with the reasons for doing so shall be recorded in the minutes of the meeting.

c) A separate record of matters discussed during the suspension shall be kept. These records shall be made available to the governing body’s audit committee for review of the reasonableness of the decision to suspend standing orders.


3.4 Record of Attendance and Minutes for All Meetings a) The names of all members present at the meeting shall be recorded in the

minutes of the Council of Members meetings. The names of all members of the governing body present shall be recorded in the minutes of the governing body meetings. The names of all members of the governing body’s committees/sub-committees present shall be recorded in the minutes of the respective governing body committee / sub-committee meetings.

b) Where a representative from a practice attends A Governing Body meeting in their capacity as representative, rather than as a member of the meeting, their name and practice will be recorded in the minutes.

c) Prior to release the minutes will be confirmed as a true record of the meeting at the next scheduled meeting.

d) The minutes will be made available to members and the public via the website at www.scarboroughandryedaleccg.nhs.uk.

3.5 Chair of All Meetings

a) At any meeting of the group or its governing body or of a committee or sub-

committee, the chair of the group, governing body, committee or sub-committee, if any and if present, shall preside. If the chair is absent from the meeting, the deputy chair, if any and if present, shall preside.

b) If the chair is absent temporarily on the grounds of a declared conflict of interest the deputy chair, if present, shall preside. If both the chair and deputy chair are absent, or are disqualified from participating, or there is neither a chair or deputy a member of the group, governing body, committee or sub-committee respectively shall be chosen by the members present, or by a majority of them, and shall preside.

4 APPOINTMENT OF COMMITTEES AND SUB-COMMITTEES

4.1 Appointment of committees and sub-committees

4.1.1 The group may appoint committees and sub-committees of the group, subject to any regulations made by the Secretary of State54, and make provision for the appointment of committees and sub-committees of its governing body. Where such committees and sub-committees of the group, or committees and sub-committees of its governing body, are appointed they are included in Chapter 6 of the group’s constitution.

4.1.2 Other than where there are statutory requirements, such as in relation to the

governing body’s audit committee or remuneration committee, the group shall determine the membership and terms of reference of committees and sub-committees and shall, if it requires, receive and consider reports of such committees at the next appropriate meeting of the group.

54 See section 14N of the 2006 Act, inserted by section 25 of the 2012 Act

http://www.scarboroughandryedaleccg.nhs.uk/


4.1.3 The provisions of these standing orders shall apply where relevant to the operation of the governing body, the governing body’s committees and sub-committee and all committees and sub-committees unless stated otherwise in the committee or sub-committee’s terms of reference.

4.2 Terms of Reference 4.2.1 Terms of reference shall have effect as if incorporated into the constitution and

shall be added to this document as an appendix.

4.3 Delegation of Powers by Committees to Sub-committees

4.3.1 Where committees are authorised to establish sub-committees they may not delegate executive powers to the sub-committee unless expressly authorised by the group.

4.4 Approval of Appointments to Committees and Sub-Committees

4.4.1 The group shall approve the appointments to each of the committees and sub-

committees which it has formally constituted including those the governing body. The group shall agree such travelling or other allowances as it considers appropriate.

5 DUTY TO REPORT NON-COMPLIANCE WITH STANDING

ORDERS AND PRIME FINANCIAL POLICIES

5.1 If for any reason these standing orders are not complied with, full details of the non-compliance and any justification for non-compliance and the circumstances around the non-compliance, shall be reported to the next formal meeting of the governing body for action or ratification. All members of the group and staff have a duty to disclose any non-compliance with these standing orders to the accountable officer as soon as possible.

6 USE OF SEAL AND AUTHORISATION OF DOCUMENTS 6.1 Clinical Commissioning Group’s seal

6.1.1 The group may have a seal for executing documents where necessary. The

following individuals or officers are authorised to authenticate its use by their signature:

a) the Accountable Officer; b) the Chair of the Governing Body; c) the Chief Finance Officer;


6.1.2 Where it is necessary that a document shall be sealed, the seal shall be affixed in the presence of two members of the Governing Body, including one of the above.

6.1.3 As a general guide the seal should be used for:

a) All land and property transactions which are required to be executed as a

Deed, and b) Any other contract required to be executed under seal rather than as a simple

contract.

6.2 Execution of a document by signature 6.2.1 The following individuals are authorised to execute a document on behalf of the

group by their signature.

• the Accountable Officer

• the Chair of the Governing Body • The Chief Finance Officer.

7 OVERLAP WITH OTHER CLINICAL COMMISSIONING GROUP POLICY STATEMENTS / PROCEDURES AND REGULATIONS

7.1 Policy statements: general principles 7.1.1 The group will from time to time agree and approve policy statements/procedures

which will apply to all or specific groups of staff employed by NHS Scarborough and Ryedale Clinical Commissioning Group. The decisions to approve such policies and procedures will be recorded in an appropriate group minute and will be deemed where appropriate to be an integral part of the group’s standing orders.


APPENDIX D – SCHEME OF RESERVATION & DELEGATION

1. SCHEDULE OF MATTERS RESERVED TO THE CLINICAL

COMMISSIONING GROUP AND SCHEME OF DELEGATION 1.1. The arrangements made by the group as set out in this scheme of reservation

and delegation of decisions shall have effect as if incorporated in the group’s constitution.

1.2. The clinical commissioning group remains accountable for all of its functions, including those that it has delegated.


Policy Area

Ref Decision Reserved to

the Membership

Reserved or delegated to Governing

Body

Chair of the Governing

Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm

Chair of the Rem Comm

REGULATION AND

CONTROL

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

REGULATION AND

CONTROL

Consideration and approval of applications to the NHS Commissioning Board on any matter concerning changes to the group’s constitution, including terms of reference for the group’s governing body, its committees, membership of committees, the overarching scheme of reservation and delegated powers, arrangements for taking urgent decisions, standing orders and prime financial policies.

REGULATION AND

CONTROL

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


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


committee or sub-committee or [specified] member or employee

REGULATION AND

CONTROL

Final decision regarding questions of order, relevancy and regularity and interpretation of the consultation, standing orders, scheme of reservation and delegation and prime financial policies at a meeting of the Governing Body.

REGULATION AND

CONTROL

The powers which the Governing Body has reserved to itself within these Standing Orders may in emergency or for an urgent decision be exercised by the Accountable Officer and the Chairman after having consulted at least two non-officer members (or member of the governing body??). The exercise of such powers by the Accountable Officer and Chairman shall be reported to the next formal meeting of the Governing Body in public


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


session for formal ratification.

REGULATION AND

CONTROL

Approval of urgent decisions taken by the Accountable Officer and Chair.

REGULATION AND

CONTROL

Approval of suspension of standing orders.

REGULATION AND

CONTROL

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

o group’s governing body

o committees and sub-committees of the group, or

o its members or employees and sets out those decisions of the governing body reserved to the governing body and those delegated to the

o governing body’s


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


committees and sub-committees,

o members of the governing body,

o an individual who is member of the group but not the governing body or a specified person For inclusion in the group’s constitution.

REGULATION AND

CONTROL

Approval of the group’s overarching scheme of reservation and delegation.

REGULATION AND

CONTROL

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.

REGULATION AND

CONTROL

Approval of the group’s operational scheme of delegation that underpins the group’s ‘overarching scheme of reservation


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


and delegation’ as set out in its constitution.

REGULATION AND

CONTROL

Approval of terms of reference of the Audit and Integrated Governance Committee and Remuneration Committee.

REGULATION AND

CONTROL

Other that where there are statutory requirements, such as in relation to the governing body’s audit and integrated Governance committee or remuneration committee, the group shall determine the membership and terms of reference of committees and sub committees.

REGULATION AND

CONTROL

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

REGULATION AND

CONTROL

Approve detailed financial policies.

REGULATION AND

CONTROL

Approve arrangements for managing exceptional funding requests.


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


REGULATION AND

CONTROL

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

REGULATION AND

CONTROL

Approve annual disclosure statements, including the Annual Governance Statement, following independent review by the Audit Committee.

REGULATION AND

CONTROL

Sign annual disclosure statements, including the Annual Governance Statement, following. Approval by the governing body

REGULATION AND CONTROL

Decision to waive formal tendering procedures.

PRACTICE MEMBER REPRESENTATIVES AND MEMBERS OF THE GOVERNING BODY

Approve the arrangements for

o identifying practice members to represent practices in matters concerning the work of the group;


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


and


Approve the process for recruiting and removing members to the governing body (subject to any regulatory requirements) and succession planning.


Approve arrangements for identifying the group’s proposed accountable officer.

STRATEGY AND PLANNING

Agree the vision, values and overall strategic direction of the group.


Approval of the group’s operating structure.


Approval of the group’s commissioning plan.


Approval of the group’s corporate budgets that meet the financial duties as set out in section 5.3


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


of the main body of the constitution.


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. (the governing body could set a limit above which it has to approve any variations – below this it could be the Accountable Officer/Chief Finance Officer


Approval of the use of payment in respect of quality made to the CCG by the NHS Commissioning Board.

ANNUAL REPORTS AND ACCOUNTS

Approval of the group’s annual report and annual accounts.


Sign the annual accounts on behalf of the group.


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm



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

HUMAN RESOURCES

Approve the terms and conditions, remuneration and travelling or other allowances for governing body members, including pensions and gratuities.

HUMAN RESOURCES

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.

HUMAN RESOURCES

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

HUMAN RESOURCES

Determine the terms and conditions of employment for all employees of the group.

HUMAN RESOURCES

Determine pensions, remuneration, fees and allowances payable to


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


employees and to other persons providing services to the group.

HUMAN RESOURCES

Recommend pensions, remuneration, fees and allowances payable to employees and to other persons providing services to the group.

HUMAN RESOURCES

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.

HUMAN RESOURCES

Review disciplinary arrangements where the accountable officer is an employee or member of another clinical commissioning group

HUMAN RESOURCES

Approval of the arrangements for discharging the group’s statutory duties as an employer.


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


HUMAN RESOURCES

Approve human resources policies for employees and for other persons working on behalf of the group

HUMAN RESOURCES

To review and approve the business case for redundancy for all employees, including the proper calculation and scrutiny of such termination payments taking account of national guidance as is appropriate

HUMAN RESOURCES

Approval of Code of Conduct for staff and whistle blowing procedures.

HUMAN RESOURCES

Approval of variation to funded establishment.

STANDARDS OF BUSINESS CONDUCT AND MANAGEMENT OF CONFLICTS OF INTEREST

Approval of arrangements for managing conflicts of interest as set out in the constitution.


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm



Approval of arrangements for standards of business conduct, including declaring hospitality and sponsorship.


Approval and determination of arrangements for the management of declared conflicts of interest.


Decision as to whether a discussion at the Governing Body or committee meeting can proceed where more than 50% of the embers are required to withdraw from a meeting or part of it owing to the arrangements agreed for the management of conflicts of interest. (Delegation depends on the body/committee meeting.)

QUALITY AND SAFETY

Approve arrangements, including supporting policies, to minimise


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


clinical risk, maximise patient safety and to secure continuous improvement in quality and patient outcomes.

QUALITY AND SAFETY

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

OPERATIONAL AND RISK MANAGEMENT

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


Approve a policy identifying all Group policies and their review and approval mechanisms.


Approve arrangements for meeting the public sector equality duty

OPERATIONAL AND RISK MANAGEMEN

Approval of arrangements to secure that health


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


T

services are provided in a way that promotes awareness of, and have regard to the NHS Constitution.


Approve the group’s counter fraud and security management arrangements.


Approval of the group’s risk management arrangements.


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).


Approval of a comprehensive system of internal control, including budgetary control, that underpin the effective, efficient and economic


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


operation of the group.


Approval of arrangements for promoting innovation.


Approval of arrangements for promoting education and training for who are employed, or are considering becoming employed, in an activity which involves or is connected with the provision of services as part of the health service in England.


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


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

INTERNAL CONTROL

Approval of appointment of internal auditors.

INTERNAL CONTROL

Approval of Internal Audit programmes.

INTERNAL CONTROL

Approval of Counter Fraud programme.


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


INTERNAL CONTROL

Approval of External Audit fee.

INFORMATION GOVERNANCE

Approve the group’s arrangements for handling complaints.

INFORMATION GOVERNANCE

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

TENDERING AND CONTRACTING

Approval of the group’s contracts for any commissioning support.


Approval of the group’s contracts for corporate support (for example finance provision).


Approval of contracts. (May want to set different limits according to value of contract).


Approval of the group’s Procurement Strategy.


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm



Approval of business cases for investment and disinvestment decisions. (Would these need to be taken to the group if not part of the agreed commissioning plan?) (If inclusion accepted would need to be reflected in prime financial policies)


Approval of quotes and tenders limits

PARTNERSHIP WORKING

Approve decisions delegated to joint committees established under section 75 of the 2006 Act.

COMMISSIONING AND CONTRACTING FOR CLINICAL SERVICES

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,


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


reducing inequalities, improvement in the quality of services (including primary care), obtaining appropriate advice, promoting research and the use of research, promoting integration and public engagement and consultation.

COMMISSIONING AND CONTRACTING FOR CLINICAL SERVICES

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

COMMUNICATIONS

Approving arrangements for handling Freedom of Information requests.

COMMUNICATIONS

Determining arrangements for handling Freedom of Information requests.

FINANCIAL POLICIES

Approval of the groups prime financial policies.

FINANCIAL POLICIES

Approval of the groups detailed financial policies and procedures.


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


FINANCIAL POLICIES

Approve arrangements relating to the discharge of the Group’s responsibilities as a corporate trustee for funds held on trust.

FINANCIAL POLICIES

Approval of capital investment/disinvestment and change of use decisions, including PFI Initiatives. I(if accepted would need to be reflected in prime financial policies – capital investment)

FINANCIAL POLICIES

Approval of banking arrangements (including opening and closing of bank accounts).

FINANCIAL POLICIES

Approval of Virement limits (Limits to be determined) (If accepted would need to be reflected in prime financial policies)

FINANCIAL POLICIES

Approval of Write Off limits (If accepted would need


Policy Area


the Membership


Body


Body Accountable

Officer Chief

Finance Officer

Audit Committee

Chair of Audit

Committee Rem

Comm


to be reflected in prime financial policies)


APPENDIX E – PRIME FINANCIAL POLICIES

1. INTRODUCTION

1.1. General

1.1.1. These prime financial policies and supporting detailed financial policies shall

have effect as if incorporated into the group’s constitution.

1.1.2. The prime financial policies are part of the group’s control environment for managing the organisation’s financial affairs. They contribute to good corporate governance, internal control and managing risks. They enable sound administration; lessen the risk of irregularities and support commissioning and delivery of effective, efficient and economical services. They also help the accountable officer and chief finance officer to effectively perform their responsibilities. They should be used in conjunction with the scheme of reservation and delegation found at Appendix D.

1.1.3. In support of these prime financial policies, the group has prepared more

detailed policies, approved by the chief finance officer, known as detailed financial policies. The group refers to these prime and detailed financial policies together as the clinical commissioning group’s financial policies.

1.1.4. These prime financial policies identify the financial responsibilities which apply to

everyone working for the group and its constituent organisations. They do not provide detailed procedural advice and should be read in conjunction with the detailed financial policies. The chief finance officer is responsible for approving all detailed financial policies.

1.1.5. A list of the group’s detailed financial policies will be published and maintained on the group’s website at www.scarboroughandryedaleccg.nhs.uk

1.1.6. Should any difficulties arise regarding the interpretation or application of any of

the prime financial policies then the advice of the chief finance officer must be sought before acting. The user of these prime financial policies should also be familiar with and comply with the provisions of the group’s constitution, standing orders and scheme of reservation and delegation.

1.1.7. Failure to comply with prime financial policies and standing orders can in certain circumstances be regarded as a disciplinary matter that could result in dismissal.

1.2. Overriding Prime Financial Policies

1.2.1. If for any reason these prime financial policies are not complied with, full details

of the non-compliance and any justification for non-compliance and the circumstances around the non-compliance shall be reported to the next formal meeting of the governing body’s audit committee for referring action or ratification. All of the group’s members and employees have a duty to disclose


any non-compliance with these prime financial policies to the chief finance officer as soon as possible.

1.3. Responsibilities and delegation

1.3.1. The roles and responsibilities of group’s members, employees, members of the governing body, members of the governing body’s committees and sub-committees, members of the group’s committee and sub-committee (if any) and persons working on behalf of the group are set out in chapters 6 and 7 of this constitution.

1.3.2. The financial decisions delegated by members of the group are set out in the

group’s scheme of reservation and delegation (see Appendix D).

1.4. Contractors and their employees

1.4.1. Any contractor or employee of a contractor who is empowered by the group to commit the group to expenditure or who is authorised to obtain income shall be covered by these instructions. It is the responsibility of the accountable officer to ensure that such persons are made aware of this.

1.5. Amendment of Prime Financial Policies

1.5.1. To ensure that these prime financial policies remain up-to-date and relevant, the

chief finance officer will review them at least annually. Following consultation with the accountable officer and scrutiny by the governing body’s audit committee, the chief finance officer will recommend amendments, as fitting, to the governing body for approval. As these prime financial policies are an integral part of the group’s constitution, any amendment will not come into force until the group applies to the NHS Commissioning Board and that application is granted.

2. INTERNAL CONTROL

POLICY – the group will put in place a suitable control environment and effective internal controls that provide reasonable assurance of effective and efficient operations, financial stewardship, probity and compliance with laws and policies

2.1. The governing body is required to establish an audit committee with terms of reference agreed by the governing body (see paragraph 6.6.3(a) of the group’s constitution for further information).

2.2. The accountable officer has overall responsibility for the group’s systems of

internal control.

2.3. The chief finance officer will ensure that:

a) financial policies are considered for review and update annually;


b) a system is in place for proper checking and reporting of all breaches of financial policies; and

c) a proper procedure is in place for regular checking of the adequacy and

effectiveness of the control environment.

3. AUDIT POLICY – the group will keep an effective and independent internal audit function and fully comply with the requirements of external audit and other statutory reviews

3.1. The person appointed by the group to be responsible for internal audit and the Audit Commission appointed external auditor will have direct and unrestricted access to audit committee members and the chair of the governing body, accountable officer and chief finance officer for any significant issues arising from audit work that management cannot resolve, and for all cases of fraud or serious irregularity.

3.2. The person appointed by the group to be responsible for internal audit and the

external auditor will have access to the audit committee and the accountable officer to review audit issues as appropriate. All audit committee members, the chair of the governing body and the accountable officer will have direct and unrestricted access to the head of internal audit and external auditors.

3.3. The chief finance officer will ensure that:

a) the group has a professional and technically competent internal audit function; and

b) The governing body approves any changes to the provision or delivery of assurance services to the group.

4. FRAUD AND CORRUPTION

POLICY – the group requires all staff to always act honestly and with integrity to safeguard the public resources they are responsible for. The group will not tolerate any fraud perpetrated against it and will actively chase any loss suffered

4.1. The governing body’s audit committee will satisfy itself that the group has adequate arrangements in place for countering fraud and shall review the outcomes of counter fraud work. It shall also approve the counter fraud work programme.

4.2. The governing body’s audit committee will ensure that the group has

arrangements in place to work effectively with NHS Protect.


5. EXPENDITURE CONTROL

5.1. The group is required by statutory provisions55 to ensure that its expenditure does not exceed the aggregate of allotments from the NHS Commissioning Board and any other sums it has received and is legally allowed to spend.

5.2. The accountable officer has overall executive responsibility for ensuring that the group complies with certain of its statutory obligations, including its financial and accounting obligations, and that it exercises its functions effectively, efficiently and economically and in a way which provides good value for money.

5.3. The chief finance officer will:

a) provide reports in the form required by the NHS Commissioning Board;

b) ensure money drawn from the NHS Commissioning Board is required for

approved expenditure only is drawn down only at the time of need and follows best practice;

c) Be responsible for ensuring that an adequate system of monitoring financial

performance is in place to enable the group to fulfil its statutory responsibility not to exceed its expenditure limits, as set by direction of the NHS Commissioning Board.

6. ALLOTMENTS56

6.1. The group’s chief finance officer will:

a) periodically review the basis and assumptions used by the NHS

Commissioning Board for distributing allotments and ensure that these are reasonable and realistic and secure the group’s entitlement to funds;

b) prior to the start of each financial year submit to the governing body for approval a report showing the total allocations received and their proposed distribution including any sums to be held in reserve; and

c) Regularly update the governing body on significant changes to the initial

allocation and the uses of such funds. 7. COMMISSIONING STRATEGY, BUDGETS, BUDGETARY

CONTROL AND MONITORING POLICY – the group will produce and publish an annual commissioning plan57 that explains how it proposes to discharge its financial duties. The group will

55 See section 223H of the 2006 Act, inserted by section 27 of the 2012 Act 56 See section 223(G) of the 2006 Act, inserted by section 27 of the 2012 Act. 57 See section 14Z11 of the 2006 Act, inserted by section 26 of the 2012 Act.


support this with comprehensive medium term financial plans and annual budgets

7.1. The Accountable Officer will compile and submit to the governing body a commissioning strategy which takes into account financial targets and forecast limits of available resources.

7.2. Prior to the start of the financial year the chief finance officer will, on behalf of the

Accountable Officer, prepare and submit budgets for approval by the Governing Body.

7.3. The chief financial officer shall monitor financial performance against budget and plan, periodically review them, and report to the governing body. This report should include explanations for variances. These variances must be based on any significant departures from agreed financial plans or budgets.

7.4. The Accountable Officer is responsible for ensuring that information relating to the group’s accounts or to its income or expenditure, or its use of resources is provided to the NHS Commissioning Board as requested.

7.5. The Communication and Engagement Committee will approve consultation arrangements for the group’s commissioning plan58.

8. ANNUAL ACCOUNTS AND REPORTS

POLICY – the group will produce and submit to the NHS Commissioning Board accounts and reports in accordance with all statutory obligations59, relevant accounting standards and accounting best practice in the form and content and at the time required by the NHS Commissioning Board

8.1. The chief finance officer will ensure the group:

a) prepares a timetable for producing the annual report and accounts and agrees it with external auditors and the Audit and Governance Committee;

b) prepares the accounts according to the timetable approved by the Audit and Governance Committee;

c) complies with statutory requirements and relevant directions for the

publication of annual report;

d) considers the external auditor’s management letter and fully address all issues within agreed timescales; and

58 See section 14Z13 of the 2006 Act, inserted by section 26 of the 2012 Act 59 See paragraph 17 of Schedule 1A of the 2006 Act, as inserted by Schedule 2 of the 2012 Act.


e) publishes the external auditor’s management letter on the group’s website at www.scarboroughandryedaleccg.nhs.uk

9. INFORMATION TECHNOLOGY

POLICY – the group will ensure the accuracy and security of the group’s computerised financial data

9.1. The chief finance officer is responsible for the accuracy and security of the group’s computerised financial data and shall

a) devise and implement any necessary procedures to ensure adequate

(reasonable) protection of the group's data, programs and computer hardware from accidental or intentional disclosure to unauthorised persons, deletion or modification, theft or damage, having due regard for the Data Protection Act 1998;

b) ensure that adequate (reasonable) controls exist over data entry,

processing, storage, transmission and output to ensure security, privacy, accuracy, completeness, and timeliness of the data, as well as the efficient and effective operation of the system;

c) ensure that adequate controls exist such that the computer operation is

separated from development, maintenance and amendment;

d) Ensure that an adequate management (audit) trail exists through the computerised system and that such computer audit reviews as the chief finance officer may consider necessary are being carried out.

9.2. In addition the chief finance officer shall ensure that new financial systems and

amendments to current financial systems are developed in a controlled manner and thoroughly tested prior to implementation. Where this is undertaken by another organisation, assurances of adequacy must be obtained from them prior to implementation.

10. ACCOUNTING SYSTEMS

POLICY – the group will run an accounting system that creates management and financial accounts

10.1. The chief finance officer will ensure:

a) the group has suitable financial and other software to enable it to comply with these policies and any consolidation requirements of the NHS Commissioning Board;

b) that contracts for computer services for financial applications with another

health organisation or any other agency shall clearly define the responsibility


of all parties for the security, privacy, accuracy, completeness, and timeliness of data during processing, transmission and storage. The contract should also ensure rights of access for audit purposes.

10.2. Where another health organisation or any other agency provides a computer

service for financial applications, the chief finance officer shall periodically seek assurances that adequate controls are in operation.

11. BANK ACCOUNTS

POLICY – the group will keep enough liquidity to meet its current commitments


a) review the banking arrangements of the group at regular intervals to ensure they are in accordance with Secretary of State directions60, best practice and represent best value for money;

b) manage the group's banking arrangements and advise the governing body

on the provision of banking services and operation of accounts;

c) prepare detailed instructions on the operation of bank accounts.

11.2. The Audit and Governance Committee shall approve the banking arrangements.

12. INCOME, FEES AND CHARGES AND SECURITY OF CASH, CHEQUES AND OTHER NEGOTIABLE INSTRUMENTS. POLICY – the group will

• operate a sound system for prompt recording, invoicing and collection of all monies due

• seek to maximise its potential to raise additional income only to the extent that it does not interfere with the performance of the group or its functions61

• ensure its power to make grants and loans is used to discharge its functions effectively62

12.1. The Chief Financial Officer is responsible for:

a) designing, maintaining and ensuring compliance with systems for the proper

recording, invoicing, and collection and coding of all monies due;

60 See section 223H(3) of the NHS Act 2006, inserted by section 27 of the 2012 Act 61 See section 14Z5 of the 2006 Act, inserted by section 26 of the 2012 Act. 62 See section 14Z6 of the 2006 Act, inserted by section 26 of the 2012 Act.


b) establishing and maintaining systems and procedures for the secure handling of cash and other negotiable instruments;

c) approving and regularly reviewing the level of all fees and charges other

than those determined by the NHS Commissioning Board or by statute. Independent professional advice on matters of valuation shall be taken as necessary;

d) for developing effective arrangements for making grants or loans.

13. TENDERING AND CONTRACTING PROCEDURE

POLICY – the group: • will ensure proper competition that is legally compliant within all purchasing to

ensure we incur only budgeted, approved and necessary spending • will seek value for money for all goods and services • shall ensure that competitive tenders are invited for

o the supply of goods, materials and manufactured articles; o the rendering of services including all forms of management

consultancy services (other than specialised services sought from or provided by the Department of Health); and

o for the design, construction and maintenance of building and engineering works (including construction and maintenance of grounds and gardens) for disposals

13.1. The group shall ensure that the firms / individuals invited to tender (and where

appropriate, quote) are among those on approved lists or where necessary a framework agreement. Where in the opinion of the chief finance officer it is desirable to seek tenders from firms not on the approved lists, the reason shall be recorded in writing to the accountable officer or the group’s Audit and Governance Committee.

13.2. The Governing Body may only negotiate contracts on behalf of the group, and the group may only enter into contracts, within the statutory framework set up by the 2006 Act, as amended by the 2012 Act. Such contracts shall comply with: a) the group’s standing orders;

b) the Public Contracts Regulation 2006, any successor legislation and any

other applicable law; and

c) take into account as appropriate any applicable NHS Commissioning Board or the Independent Regulator of NHS Foundation Trusts (Monitor) guidance that does not conflict with (b) above.

13.3. In all contracts entered into, the group shall endeavour to obtain best value for

money. The Accountable Officer shall nominate an individual who shall oversee and manage each contract on behalf of the group.


14. COMMISSIONING

POLICY – working in partnership with relevant national and local stakeholders, the group will commission certain health services to meet the reasonable requirements of the persons for whom it has responsibility

14.1. The group will coordinate its work with the NHS Commissioning Board, other clinical commissioning groups, local providers of services, local authority (ies), including through Health & Wellbeing Boards, patients and their carers and the voluntary sector and others as appropriate to develop robust commissioning plans.

14.2. The Accountable Officer will establish arrangements to ensure that regular reports are provided to the governing body detailing actual and forecast expenditure and activity for each contract.

14.3. The chief finance officer will maintain a system of financial monitoring to ensure the effective accounting of expenditure under contracts. This should provide a suitable audit trail for all payments made under the contracts whilst maintaining patient confidentiality.

15. RISK MANAGEMENT AND INSURANCE

POLICY – the group will put arrangements in place for evaluation and management of its risks

15.1 The Accountable Officer shall ensure that the group has a programme of Risk management in accordance with current National Commissioning Board assurance framework requirements which must be approved and monitored by the Governing Body.

16. PAYROLL

POLICY – the group will put arrangements in place for an effective payroll service

16.1. The chief finance officer will ensure that the payroll service selected:

a) is supported by appropriate (i.e. contracted) terms and conditions; b) has adequate internal controls and audit review processes;

c) has suitable arrangements for the collection of payroll deductions and

payment of these to appropriate bodies.


16.2. In addition the chief finance office shall set out comprehensive procedures for the effective processing of payroll

17. NON-PAY EXPENDITURE

POLICY – the group will seek to obtain the best value for money goods and services received

17.1. The Governing Body will approve the level of non-pay expenditure on an annual basis and the accountable officer will determine the level of delegation to budget managers

17.2. The Accountable Officer shall set out procedures on the seeking of professional advice regarding the supply of goods and services.


a) advise the Governing Body on the setting of thresholds above which quotations (competitive or otherwise) or formal tenders must be obtained; and, once approved, the thresholds should be incorporated in the scheme of reservation and delegation;

b) be responsible for the prompt payment of all properly authorised accounts and claims;

c) be responsible for designing and maintaining a system of verification,

recording and payment of all amounts payable. 18. CAPITAL INVESTMENT, FIXED ASSET REGISTERS AND

SECURITY OF ASSETS POLICY – the group will put arrangements in place to manage capital investment, maintain an asset register recording fixed assets and put in place polices to secure the safe storage of the group’s fixed assets

18.1. The Accountable Officer will a) ensure that there is an adequate appraisal and approval process in place for

determining capital expenditure priorities and the effect of each proposal upon plans;

b) be responsible for the management of all stages of capital schemes and for ensuring that schemes are delivered on time and to cost;

c) shall ensure that the capital investment is not undertaken without

confirmation of purchaser(s) support and the availability of resources to finance all revenue consequences, including capital charges;


d) be responsible for the maintenance of registers of assets, taking account of the advice of the chief finance officer concerning the form of any register and the method of updating, and arranging for a physical check of assets against the asset register to be conducted once a year.

18.2. The chief finance officer will prepare detailed procedures for the disposals of

assets.

19. RETENTION OF RECORDS POLICY – the group will put arrangements in place to retain all records in accordance with NHS Code of Practice Records Management 2006 and other relevant notified guidance

19.1. The Accountable Officer shall:

a) be responsible for maintaining all records required to be retained in accordance with NHS Code of Practice Records Management 2006 and other relevant notified guidance;

b) ensure that arrangements are in place for effective responses to Freedom of

Information requests;

c) publish and maintain a Freedom of Information Publication Scheme. 20. TRUST FUNDS AND TRUSTEES

POLICY – the group will put arrangements in place to provide for the appointment of trustees if the group holds property on trust

20.1. The chief finance officer shall ensure that each trust fund which the group is responsible for managing is managed appropriately with regard to its purpose and to its requirements.


APPENDIX F - NOLAN PRINCIPLES 1. The ‘Nolan Principles’ set out the ways in which holders of public office should

behave in discharging their duties. The seven principles are:

a) Selflessness – Holders of public office should act solely in terms of the public interest. They should not do so in order to gain financial or other benefits for themselves, their family or their friends.

b) Integrity – Holders of public office should not place themselves under any

financial or other obligation to outside individuals or organisations that might seek to influence them in the performance of their official duties.

c) Objectivity – In carrying out public business, including making public

appointments, awarding contracts, or recommending individuals for rewards and benefits, holders of public office should make choices on merit.

d) Accountability – Holders of public office are accountable for their decisions

and actions to the public and must submit themselves to whatever scrutiny is appropriate to their office.

e) Openness – Holders of public office should be as open as possible about all

the decisions and actions they take. They should give reasons for their decisions and restrict information only when the wider public interest clearly demands.

f) Honesty – Holders of public office have a duty to declare any private

interests relating to their public duties and to take steps to resolve any conflicts arising in a way that protects the public interest.

g) Leadership – Holders of public office should promote and support these

principles by leadership and example. Source: The First Report of the Committee on Standards in Public Life (1995)63

63 Available at http://www.public-standards.gov.uk/

http://www.public-standards.gov.uk/


APPENDIX G – NHS CONSTITUTION The NHS Constitution sets out seven key principles that guide the NHS in all it does: 1. The NHS provides a comprehensive service, available to all - irrespective of gender,

race, disability, age, sexual orientation, religion or belief. It has a duty to each and every individual that it serves and must respect their human rights. At the same time, it has a wider social duty to promote equality through the services it provides and to pay particular attention to groups or sections of society where improvements in health and life expectancy are not keeping pace with the rest of the population

2. Access to NHS services is based on clinical need, not an individual’s ability to

pay - NHS services are free of charge, except in limited circumstances sanctioned by Parliament.

3. the NHS aspires to the highest standards of excellence and professionalism - in

the provision of high-quality care that is safe, effective and focused on patient experience; in the planning and delivery of the clinical and other services it provides; in the people it employs and the education, training and development they receive; in the leadership and management of its organisations; and through its commitment to innovation and to the promotion and conduct of research to improve the current and future health and care of the population.

4. NHS services must reflect the needs and preferences of patients, their families

and their carers - patients, with their families and carers, where appropriate, will be involved in and consulted on all decisions about their care and treatment.

5. The NHS works across organisational boundaries and in partnership with other

organisations in the interest of patients, local communities and the wider population - the NHS is an integrated system of organisations and services bound together by the principles and values now reflected in the Constitution. The NHS is committed to working jointly with local authorities and a wide range of other private, public and third sector organisations at national and local level to provide and deliver improvements in health and well-being

6. the NHS is committed to providing best value for taxpayers’ money and the most

cost-effective, fair and sustainable use of finite resources - public funds for healthcare will be devoted solely to the benefit of the people that the NHS serves

7. the NHS is accountable to the public, communities and patients that it serves - the

NHS is a national service funded through national taxation, and it is the Government which sets the framework for the NHS and which is accountable to Parliament for its operation. However, most decisions in the NHS, especially those about the treatment of individuals and the detailed organisation of services, are rightly taken by the local NHS and by patients with their clinicians. The system of responsibility and accountability for taking decisions in the NHS should be transparent and clear to the public, patients and staff. The Government will ensure that there is always a clear and up-to-date statement of NHS accountability for this purpose

Source: The NHS Constitution: The NHS belongs to us all (March 2012)64

64 http://www.dh.gov.uk/en/Publicationsandstatistics/Publications/PublicationsPolicyAndGuidance/DH_132961

http://www.dh.gov.uk/en/Publicationsandstatistics/Publications/PublicationsPolicyAndGuidance/DH_132961


APPENDIX H – CHECKLIST FOR A CLINICAL COMMISSIONING GROUP’S CONSTITUTION

Essential/ Optional Content Included

Essential The constitution must specify: • the name of the clinical commissioning group; • the members of the group; and • the area of the group

The name of the group must comply with such requirements as may be prescribed

1.1 3.1 2.1 The name complies with the Regulations

Essential The constitution must specify the arrangements made by the clinical commissioning group for the discharge of its functions (including its functions in determining the terms and conditions of its employees)

Optional The arrangements may include provision: • for the appointment of committees or sub-committees of

the clinical commissioning group; and • for any such committees to consist of or include persons

other than members or employees of the clinical commissioning group

Optional The arrangements may include provision for any functions of the clinical commissioning group to be exercised on its behalf by:

• any of its members or employees; • its governing body; or • a committee or sub-committee of the group

Essential The constitution must specify the procedure to be followed by the clinical commissioning group in making decisions

6 and appendix C,3

Essential The constitution must specify the arrangements made by the clinical commissioning group for discharging its duties in respect of registers of interest and management of conflicts of interest as specified under section 14O(1) to (4) of the 2006 Act, as inserted by section 25 of the 2012 Act

8

Essential The constitution must also specify the arrangements made by the clinical commissioning group for securing that there is transparency about the decisions of the group and the manner in which they are made The provisions made above must secure that there is effective participation by each member of the clinical commissioning group in the exercise of the group’s functions

8.6,10 and references to availability of documents 7.1 Appendix C 3.1

Essential The constitution must specify the arrangements made by the clinical commissioning group for the discharge of the

6.6 7.2



functions of its governing body

Essential The arrangements must include: • provision for the appointment of the audit and governance

committee and remuneration committee of the governing body

Optional The arrangements may include: • provision for the audit and governance committee (but not

the remuneration committee) to include individuals who are not members of the governing body

• provision for the appointment of other committees or sub-committees of the governing body. These may include provision for a committee or sub-committee to include individuals who are not members of the governing body but are:

o members of the clinical commissioning group, or o individuals of a description specified in the

constitution

Optional The arrangements may include provision for any functions of the governing body to be exercised on its behalf by:

• any committee or sub-committee of the governing body, • a member of the governing body; • a member of the clinical commissioning group who is an

individual (but is not a member of the governing body); or • an individual of a description specified in the constitution

Essential The constitution must specify the procedure to be followed by the governing body in making decisions

Clause 3.2 of Appendix C

Essential The constitution must also specify the arrangements made by the clinical commissioning group for securing that there is transparency about the decisions of the governing body and the manner in which they are made This provision must include provision for meetings of governing bodies to be open to the public, except where the clinical commissioning group considers that it would not be in the public interest to permit members of the public to attend a meeting or part of a meeting

8.6,10 and references to availability of documents Appendix C 3.2.8

Essential In its constitution, the clinical commissioning group must describe the arrangements which it has made and include a statement of the principles which it will follow in implementing those arrangements, to secure that individuals to whom health services are being or may be provided pursuant to its commissioning arrangements are involved (whether by being consulted or provided with information or in other ways):

• in the planning of the commissioning arrangements by the group;

• in the development and consideration of proposals by the

4.5.1 5.2.1 5.2.7 8.6.10



group for changes in the commissioning arrangements where the implementation of the proposals would have an impact on the manner in which the services are delivered to the individuals or the range of health services available to them; and

• in decisions of the group affecting the operation of the commissioning arrangements where the implementation of the decisions would (if made) have such an impact


APPENDIX I - SRCCG AUDIT AND GOVERNANCE COMMITTEE TERMS OF REFERENCE

1 Title 1.1 The Committee shall be known as the Audit and Governance Committee of the Scarborough

and Ryedale Clinical Commissioning Group (SRCCG) and is established in accordance with the constitution, standing orders and scheme of delegation.

2 Accountable To 2.1 The Committee shall be accountable to the Governing Body of SRCCG.

3 Reporting Arrangements 3.1 The Committee’s Terms of Reference shall be agreed by the Governing Body of SRCCG. 3.2 The minutes of the Committee shall be formally recorded and submitted by the Committee

Chair to the SRCCG Chair within seven calendar days of the meeting

3.3 The composition of the Committee shall be published in the Annual Report. 4 Duties

This Committee will ensure delivery of the Audit Schedule monitor delivery, report progress and provide assurance to the Governing Body.

4.1 Authority 4.1.1 The Committee shall critically review the Clinical Commissioning Group’s financial reporting

and internal control principles and ensure an appropriate relationship with internal and external auditors is maintained.

4.1.2 The duties of the Committee will be driven by the priorities identified by the CCG and the associated risks. It will operate to a programme of business, agreed by the CCG that will be flexible to new and emerging priorities and risks.

4.1.3 The Committee shall request and review reports and positive assurances from Directors and managers on the overall arrangements for governance, risk management and internal control

4.1.4 The Committee may also request specific reports from individual functions within the CCG as they may be appropriate to overall arrangements.

4.1.5 The Committee is authorised by the Governing Body to investigate any activity within its Terms of Reference.

4.1.6 The Committee is authorised to seek any information it requires from any member of the group and all employees are directed to cooperate with any request made by the Committee


4.1.7 The Committee is authorised to obtain outside legal or other independent professional advice and to secure attendance of outsiders with relevant experience and expertise it considers necessary

4.2 Objectives 4.2.1 The Committee shall review the establishment and maintenance of an effective system of

integrated governance, risk management and internal control across the whole of the CCG’s activities that support the achievement of the CCGs objectives. It will work closely with the Quality and Performance Committee

4.2.2 The Committee will review the adequacy and effectiveness of all risk and control related disclosure statements ( in particular governance statements) together with any appropriate independent assurances, prior to endorsement by the CCG

4.2.3 The Committee will review the adequacy and effectiveness the underlying assurance processes that indicate the degree of achievement of CCG objectives, the effectiveness of the management of principles of risk and the appropriateness of the above disclosure statements

4.2.4 The Committee will review the adequacy and effectiveness the policies for ensuring compliance with relevant regulatory, legal and code of conduct requirements and related reporting and self certification.

4.2.5 The Committee will review the adequacy and effectiveness of the policies and procedures for all work related to fraud and corruption as set out in the Secretary of State Directions and as required by the NHS Counter Fraud and Security Management Service.

4.3 Internal Audit

4.3.1 The Committee shall ensure that there is an effective internal audit function that meets mandatory NHS Internal Audit Standards and provides appropriate independent assurance to the Audit Committee, Accountable Officer and Clinical Commissioning Group. This will be achieved by: • Consideration of the provision of the internal audit service, the cost of the audit and any

questions of resignation and dismissal. • Review and approval of the internal audit strategy, operational plan and more detailed

programme of work, ensuring that this is consistent with the audit needs of the organisation, as identified in the assurance framework.

• Considering the major findings of internal audit work (and management’s response) and ensuring co-ordination between the internal and external auditors to optimise audit resources.

• Ensuring that the internal audit function is adequately resourced and has appropriate standing within the Clinical Commissioning Group.

• An annual review of the effectiveness of internal audit. • Drawing the Committee’s attention to best practice, national guidance and other relevant

documents, as appropriate.


4.4 External Audit

4.4.1 The Committee shall review the work and findings of the external auditors and consider the implications and management’s responses to their work. This will be achieved by:

• Cons ide ra tion of the pe rforma nce of the e xte rna l a uditors , a s fa r a s the rule s gove rning the appointment permit.

• Discussion and agreement with the external auditors, before the audit commences, on the nature and scope of the audit as set out in the annual plan, and ensuring co-ordination, as appropriate, with other external auditors in the local health economy.

• Discussion with the external auditors of their local evaluation of audit risks and assessment of the Clinical Commissioning Group and associated impact on the audit fee.

• Review of all external audit reports, including the report to those charged with governance, agreement of the annual audit letter before submission to the Clinical Commissioning Group and any work undertaken outside the annual audit plan, together with the appropriateness of management responses.

4.5 Other assurance functions

4.5.1 The Audit and Governance Committee shall review the findings of other significant

assurance functions, both internal and external and consider the implications for the governance of the Clinical Commissioning Group. These will include, but will not be limited to, any reviews by Department of Health arm’s length bodies or regulators/inspectors (for example, the Care Quality Commission and NHS Litigation Authority) and professional bodies with responsibility for the performance of staff or functions (for example, Royal Colleges and accreditation bodies).

4.6 Counter Fraud

4.6.1 The Committee shall satisfy itself that the Clinical Commissioning Group has adequate

arrangements in place for countering fraud and shall review the outcomes of counter fraud work. It shall also approve the counter fraud work programme.

4.7 Management 4.7.1 The Committee shall request and review reports and positive assurances from directors and managers on the overall arrangements for governance, risk management and internal control. The Committee may also request specific reports from individual functions within the clinical commissioning group as they may be appropriate to the overall arrangements. 4.8 Financial Reporting 4.8.1 The Audit and Governance Committee shall monitor the integrity of the financial statements of the Clinical Commissioning Group and any formal announcements relating to the Clinical Commissioning Group’s financial performance. The Committee shall ensure that the systems for financial reporting to the Clinical Commissioning Group, including those of budgetary control, are subject to review as to completeness and accuracy of the information provided to the Clinical Commissioning Group. The Audit and Governance Committee shall review the annual report and financial statements before submission to the governing body and the clinical commissioning group,


focusing particularly on:

• The wording in the governance statement and other disclosures relevant to the Terms of Reference of the Committee;

• Changes in, and compliance with, accounting policies, practices and estimation techniques; • Unadjusted mis-statements in the financial statements; • Significant judgements in preparing of the financial statements; • Significant adjustments resulting from the audit; • Letter of representation; and • Qualitative aspects of financial reporting.

4.9 Training & Briefing 4.9.1 The Committee shall ensure all members have the skills and access to support in order to

carry out their role.

5 Membership 5.1 The Committee shall be appointed by the SRCCG Governing Body and may

include individuals who are not on the governing body. It shall consist of not less than three members:

- Lay member of the Governing Body - Governing Body secondary care consultant - A GP or practice manager

5.2 The Chair shall be a Lay member of the Governing Body.

5.3 The Chair of the Governing Body will not be a member of the Committee 5.4 In the event of the Committee Chair being unable to attend a meeting, he or

she will nominate a replacement from within the membership to deputise. 5.5 Membership may be reviewed by the Committee as required.

5.6 A secretary will be identified from within the CCG and they will be responsible for supporting

the Chair. This will include arranging formally minuting and archiving all reports and documentation associated with the Committee business.

6 Quorum 6.1 No business shall be transacted unless there are at least two members

present, of which at least one shall be a Lay member of the Governing Body.

7 Attendance 7.1 In addition to the members of the Committee the Chief Finance Officer and the respective

appointed external and internal auditors will normally attend meetings.

7.2 At least once a year the Committee should meet privately with the external and internal auditors


7.3 Regular attendance at Committee meetings leads to improved decision making and continuity of management.

7.4 Frequency of attendance by members and attendees will be reviewed by the Committee

Chair at least annually.

7.5 Representatives from NHS Protect will be invited to attend meetings and will normally attend at least one meeting each year.

7.6 Regardless of attendance, external audit, internal audit, local counter fraud and security

management ( NHS Protect) providers will have full and unrestricted rights of access to the Audit and Governance Committee

7.7 The Accountable Officer will normally attend and will discuss, at least annually with the

Committee, the process for assurance that supports the annual governance statement

7.8 The Chief Operating Officer will be invited to attend

7.97.8 Any other directors (or similar) may be invited to attend, particularly when the Committee is discussing areas of risk or operation that are the responsibility of the director

7.107.9 The Chair of the Governing Body may also be invited to attend one meeting each

year in order to form a view on, and an understanding of, the Committees operations. 8 Frequency 8.1 The Committee will meet at least four times a year.

8.2 The external auditors or Head of internal audit may request a meeting if they consider it

necessary 8.3 Ten calendar days notice will be provided of the meeting and any documents to be

considered / discussed at the meeting will be circulated to the Committee at least two calendar days prior to the meeting.

9 Declaration of Interests 9.1 Members are required to declare interests prior to the commencement of the Committee and

a register of interests will be maintained. The Chair is required to reconfirm this as a standing item on Committee agendas. As per the Standing Orders, individuals may be required to leave the meeting for relevant agenda items at the discretion of the Committee and will no longer count towards the quorum.

10 Review of Committee Effectiveness 10.1 The Committee shall undertake a review of its effectiveness at least annually. 10.2 The Committee shall be subject to any review of SRCCG Committees as required.

11 Conduct 11.1 The members of the Committee must ensure that at all times they:


• Observe the highest standards of propriety involving impartiality, integrity and objectivity in relation to the stewardship of public funds and the management of the bodies concerned.

• Always strive to maximise value for money through ensuring that services are delivered in the most efficient and economical way, within available resources and with independent validation of performance achieved where practicable

• Are accountable to Parliament, to users, to individual citizens, and to staff for the activities of the bodies concerned, for their stewardship of public funds and the extent to which key performance targets and objectives have been met

• Comply fully with the principles of the Citizens charter and the Code of Practice on Access to Government Information, in accordance with Government Policy on openness

• Must comply with the Nolan’s seven principles of public life • Bear in mind the necessity of keeping comprehensive written records of their dealings, in line

with general good practice in corporate documents. 12 Terms of Reference 12.1 These Terms of Reference and any subsequent amendments will be agreed by the SRCCG

Governing Body 12.2 The Terms of Reference will be reviewed at least annually and to comply with any national

guidance and legislation

Authorship

Accountable Officer

Approved by

Governing Body

Approved date

Review Date

Equality Impact Assessment

Completed


APPENDIX J - SRCCG REMUNERATION COMMITTEE TERMS OF REFERENCE

1 Title 1.1 The Committee shall be known as the Remuneration Committee of the Scarborough and

Ryedale Clinical Commissioning Group (SRCCG) and is established in accordance with the constitution, standing orders and scheme of delegation.


3 Reporting Arrangements 3.1 The Committee’s Terms of Reference shall be agreed by the Governing Body of SRCCG. 3.2 The minutes of the Committee shall be formally recorded and submitted by the Committee

Chair to the SRCCG Chair within seven calendar days of the meeting

3.3 The composition of the Committee shall be published in the Annual Report. 4 Duties & Responsibilities 4.1 Authority 4.1.1 The Committee shall make recommendations to the Governing Body on determinations

about pay and remuneration for employees of the Scarborough and Ryedale Clinical Commissioning Group. This will include development pay and the use of Recruitment and retention premiums

4.1.2 The Committee shall make recommendations to the Governing Body on determinations about annual salary awards (where applicable)

4.1.3 The Committee shall make recommendations to the Governing Body on determinations

about allowances under any pension scheme

4.1.4 The Committee shall make recommendations to the Governing Body on the severance payments of Scarborough and Ryedale Clinical Commissioning Group employees and contractors, seeking HM approval as appropriate in accordance with guidance ‘Managing Public Money’

4.1.5 The Committee shall receive and review new policies and instructions relating to remuneration

4.1.6 The Committee has the authority to commission any reports or surveys it deems necessary to help fulfil its obligations. On occasion the Committee may seek independent advice about


remuneration for individuals. When making a decision the Committee will consider best practice and comply with relevant disclosure requirements for remuneration.

4.2 Objectives 4.2.1 The Committee shall make recommendations to the Governing Body on determinations

about pay and remuneration for employees of the Scarborough and Ryedale Clinical Commissioning Group. This will include development pay and the use of Recruitment and retention premiums

4.2.2 The Committee shall make recommendations to the Governing Body on determinations about annual salary awards (where applicable)

4.2.3 The Committee shall make recommendations to the Governing Body on determinations

about allowances under any pension scheme

4.2.4 The Committee shall make recommendations to the Governing Body on the severance payments of Scarborough and Ryedale Clinical Commissioning Group employees and contractors, seeking HM approval as appropriate in accordance with guidance ‘Managing Public Money’

4.3 Training & Briefing 4.3.1 The Committee shall ensure all members have the skills and access to support in order to

carry out their role.

5 Membership 5.1 The Committee shall be appointed by the SRCCG from amongst its Governing Body

members and shall comprise of the following:

- Lay members of the Governing Body - Secondary Care Doctor of the Governing Body - GP representative from an SRCCG constituent practice

5.1.1 Any other Director, Officer, external advisors from Commissioning Support Unit may be

asked to attend all or part of the meeting as necessary. 5.2 The Chair shall be a Lay member of the Governing Body. 5.3 In the event of the Committee Chair being unable to attend a meeting, a Governing Body

Member shall normally deputise. 5.4 Membership may be reviewed by the Committee as required.

5.5 No individual should be in attendance for discussion about their own remuneration and terms

of service. 5.6 A secretary will be identified from within the CCG and they will be responsible for supporting

the Chair. This will include arranging formally minuting and archiving all reports and documentation associated with the Committee business.

6 Quorum


6.1 No business shall be transacted unless there are at least two members present, of which at least one shall be a Lay member of the Governing Body.

7 Attendance 7.1 Regular attendance at Committee meetings leads to improved decision making and continuity

of management.

7.2 Frequency of attendance by members and attendees will be reviewed by the Committee Chair at least annually.

8 Frequency 8.1 The Committee will meet when required upon receipt of a request to the Chair or Vice Chair. 8.2 The Committee will meet a minimum of twice per financial year.

Seven calendar days notice will be provided of the meeting and any documents to be considered / discussed at the meeting will be circulated to the Committee at least two calendar days prior to the meeting.

9 Declaration of Interests 9.1 Members are required to declare interests prior to the commencement of the Committee and


10 Review of Committee Effectiveness 10.1 The Committee shall undertake a review of its effectiveness at least annually. 10.2 The Committee shall be subject to any review of SRCCG Committees as required.







with general good practice in corporate documents.


12 Terms of Reference 12.1 These Terms of Reference and any subsequent amendments will be agreed by the SRCCG

Governing Body 12.2 The Terms of Reference will be reviewed at least annually and to comply with any national

guidance and legislation Authorship

Accountable Officer

Approved by

Governing Body

Approved date

Review Date


Completed


APPENDIX K- SRCCG QUALITY & PERFORMANCE COMMITTEE TERMS

OF REFERENCE

1 Title 1.2 The Committee shall be known as the Quality and Performance Committee of the

Scarborough and Ryedale Clinical Commissioning Group (SRCCG) and is established in accordance with the constitution, standing orders and scheme of delegation.


3 Reporting Arrangements 3.1 The Committee’s Terms of Reference shall be agreed by the Governing Body of SRCCG. 3.2 The minutes of the Committee shall be formally recorded although there is no formal

requirement to present to the Governing Body. 3.3 The Committee will provide a monthly Quality & Performance summary report to the

Governing Body. 3.4 The Committee will, by exception, escalate matters it considers should be brought to the

attention at the full Governing Body. 3.5 The composition of the Committee shall be published in the Annual Report.- (In 12/13 the PCT

will produce the Annual Report. In 13/14 the CCG will take over this responsibility.) 4 Duties & Responsibilities

This Committee will drive through the delivery of the Integrated Commissioning Plan, monitor delivery, report progress and provide assurance of delivery against their specific area of the plan.

4.1 Authority 4.1.1 The Committee is to investigate any activity within its Terms of Reference. It may seek any

information it requires from any employee and all employees are directed to co-operate with any request made by the Committee.

4.1.2 The Committee is to monitor the performance of major projects and against the standards in

the NHS Outcomes Framework that are considered critical to the objectives of the SRCCG. 4.1.3 The Committee has delegated authority from the Governing Body with regard to all Quality

and Performance issues. 4.2 Objectives


4.2.1 The overall objectives of the Quality and Performance Committee are to ensure that there is a detailed challenge and review of all aspects of quality and performance of the SRCCG and that, where there are any variations in quality and performance, remedial action plans are put in place.

4.2.2 Where deemed necessary, the Committee shall escalate matters of concern to the

Governing Body

4.3 Performance Management

4.3.1 The Committee shall pro-actively challenge and review the SRCCG’s performance against the standards in the NHS Outcomes Framework and against the strategic priorities of the CCG. Specifically the Committee will:

• Consider a more in-depth analysis of the Outcomes Framework position and challenge

variances from plan and ensure action plans are put in place to rectify adverse trends. To monitor performance of these action plans.

• In particular, the Committee will receive, assess and challenge performance management

information associated with:

- Main Provider contracts. - Voluntary sector contracts - Community Services and Social Services - The SRCCG’s QIPP Plan. - The SRCCGs CQUIN schemes - The SRCCG’s strategic work-streams - Other areas of significant risk to the achievement of Quality and Performance

standards

• Review, when timetables permit, all performance forecasts and reports submitted to the PCT Cluster Governing Body.

4.3.2 As part of its deliberations and recommendations the Quality and Performance Committee

will take into account the SRCCG’s statutory service responsibilities and service levels.

4.3.3 The Committee shall initiate reviews in its own right and undertake, as directed, reviews on behalf of the Governing Body. Work shall be progressed by co- option of other key individuals.

4.3.4 The Committee shall determine what reports they would wish to see on a regular basis.

4.4 Risk management

4.1 The Committee will review the risk register and update the Governing Body on key risks relating to Quality and Performance.

4.5 Planning and Modelling

4.5.1 The Committee shall:


• Monitor the annual planning cycle and ensure that plans are in line with current local and national guidance and are appropriately consulted on.

• Receive assurance and risk assess all areas of quality and performance across all organisations, including information on serious incidents.

• Performance manage the Commissioning for Quality and Innovation (CQUIN) scheme. • Analyse trends from all Sub Contract Management Governing Body meetings for Quality and

Performance in relation to patient safety, clinical effectiveness and patient experience as defined in the contract.

• Receive reports and reviews from relevant external agencies e.g. The Care Quality Commission.

• Manage the process for the review of the Quality Accounts. 4.6 Training & Briefing 4.6.1 The Committee shall specifically consider the level of quality and performance awareness of

Governing Body members and staff in the SRCCG. The Committee shall promote a culture in which:

• Quality and Performance awareness is valued and encouraged. • Quality and Performance skills are developed to ensure regular and wide consideration of

Quality and Performance issues. • Quality and Performance information is shared openly and honestly through-out the

organisation. • The local health economy works in partnership to develop a shared commissioning vision

and strategy and a shared understanding of that strategy. • There is regular and open dialogue with other organisations, both NHS and non-NHS

regarding Quality and Performance matters. 5 Membership 5.1 The core Committee shall comprise - Lay member of the Governing Body (Chair) - Governing Body GP clinical lead for Quality

- Governing Body GP clinical lead for Performance - Executive Nurse - Head of Service Development - Designated Nurse, Nurse Consultant Safeguarding Children - Designated Professional for Adult Safeguarding

5.2 Any other Director or member of staff may be asked to attend as necessary.

5.3 The LMC liaison officer will be invited to attend where issues pertinent and relevant to quality

in general practice will be discussed. 5.4 The Chair shall be a Lay member of the Governing Body. 5.5 In the event of the Committee Chair being unable to attend a meeting, the other lay member

shall normally deputise. 5.6 Any SRCCG employee may be required to attend at the Committee’s request.


6 Quorum 6.1 No business shall be transacted unless there are at least three members present, of which

one shall be a Non-Executive DirectorLay Member and one shall be a GP. 7 Attendance 7.1 Regular attendance at Committee meetings leads to improved engagement and governance.

In the event that an attendee is unable to attend a meeting it is their responsibility to ensure that a nominated deputy is properly briefed and empowered to act on their behalf.



8 Frequency 8.1 The Committee will meet initially on a monthly basis but may adjust frequency as dictated by the Quality and Performance position of the SRCCG. 9 Declaration of Interests 9.1 Members are required to declare interests prior to the commencement of the Committee and


10 Review of Committee Effectiveness 10.1 The Committee shall undertake a review of its effectiveness at least annually. 10.2 The Committee shall be subject to any review of SRCCG Committees as required. 11 Conduct 11.1 The members of the Committee must ensure that at all times they:








12 Review of Terms of Reference 12.1 The Committee shall review its Terms of Reference at least annually. Authorship

Accountable Officer

Approved by

Governing Body

Approved date

Review Date


Completed


APPENDIX L - SRCCG FINANCE & CONTRACTING COMMITTEE TERMS OF REFERENCE

1 Title 1.1 The Committee shall be known as the Finance and Contracting Committee of the

Scarborough & Ryedale Clinical Commissioning Group (SRCCG). 2 Accountable To 2.1 The Committee shall be accountable to the Governing Body of SRCCG.

3 Reporting Arrangements 3.1 The Committee’s Terms of Reference shall be agreed by the Scarborough & Ryedale

Clinical Commissioning Group (SRCCG). 3.2 The minutes of the Committee shall be formally recorded although there is no formal

requirement to present to the Governing Body, the Committee will by exception escalate matters it considers should be brought to the attention at the full Governing Body.

3.3 The composition of the Committee shall be published in the Annual Report. 4 Duties & Responsibilities

• Review and challenge the monthly financial budget reports and annual plans proposed for the CCG.

• Drive through the delivery of the Integrated Commissioning Plan; monitor delivery, report progress and provide assurance of delivery against their specific area of the plan.

• Receive and make decisions on recommendations from the Data Group within the remit of this committee

• Take responsibility for the oversight of the IM&T strategy, Information Governance, IM&T plans and use of funding, through the Data Group

This Committee will drive through the delivery of the Integrated Commissioning Plan monitor delivery, report progress and provide assurance of delivery against their specific area of the plan.

4.1 Authority 4.1.2 The Committee is to investigate any activity within its Terms of Reference. It may seek any

information it requires from any employee or contractor e.g. CSU and all employees are directed to co-operate with any request made by the Committee.

4.1.3 The Committee is to monitor the performance of major projects that are considered critical to

the financial objectives of the CCG.


4.2 DutiesObjectives 4.2.1 The overall objectives of the Finance and Contracting Committee are to ensure that there is

a detailed review of all aspects of financial performance of the CCG and that, where there are any variations in performance, remedial action plans are put in place.

4.3 Performance Management 4.3.1 The Committee shall pro-actively review the CCG’s performance against the key financial

targets. Specifically the Committee will:

• Consider a more in-depth analysis of the financial position and challenge variances from

plan and ensure action plans are put in place to rectify adverse trends. To monitor performance of these action plans.

• In particular, the Committee will receive, assess and challenge performance management

information associated with:

- The CCG’s main care contracts. - The CCG’s QIPP Plan. - Other areas of significant risk to the achievement of financial balance.

• Review, when timetables permit, all financial forecasts submitted to the CCG Governing

Body.

4.3.2 As part of its deliberations and recommendations the Finance and Contracting Committee will take into account the CCG’s statutory service responsibilities and service levels. 4.3.3 The Committee shall initiate reviews in its own right and undertake, as directed, reviews on

behalf of the Governing Body. Work shall be progressed by co-option of other key individuals.

4.3.4 The Committee shall determine what reports they would wish to see on a regular basis.

4.4 Planning and Modelling

4.4.1 The Committee shall:

• Monitor the annual planning cycle and ensure that plans are in line with current local and national guidance and are appropriately consulted on.

• Oversee the development of an annual financial plan for income and expenditure with an understood and accepted level of risk

• Oversee the development of a rolling five-year financial plan in order to support the delivery of an optimum underlying financial position across the CCG.

4. 5 Training & Briefing


4.5.1 The Committee shall specifically consider the level of financial awareness of Governing Body members and staff in the CCG. The Committee shall promote a culture in which:

• Financial and Contractual awareness is valued and encouraged. • Financial and Contractual skills are developed to ensure regular and wide consideration of

financial issues. • Financial and Contracting information is shared openly and honestly throughout the

organisation. • The local health economy develops a shared financial and commissioning vision and

strategy and a shared understanding of that strategy. • There is regular and open dialogue with other organisations, both NHS and non-NHS

regarding financial and performance matters.

4.6 Risk Management 4.6.1 The Committee will review the risk register and update the governing Body on key risks

relating to Finance and Contracting. 5 Membership 5.1 The Committee shall comprise:

- Two Governing Body members (one of which should be GP) - Accountable Officer - Chief Financial Officer - Deputy Chief Finance Officers - Finance Officer - Contracting Officer

Any other member of staff may be asked to attend as necessary.

5.2 The Chair shall be the Chief Financial Officer. 5.3 In the event of the Committee Chair being unable to attend a meeting, a GP Governing Body

member shall normally deputise. 5.4 Any CCG/CSU employee may be required to attend at the Committee’s request. 6 Quorum 6.1 No business shall be transacted unless there are at least three members present, of which

one shall be a CCG Governing Body Member. 7 Attendance 7.1 Regular attendance at Committee meetings leads to improved engagement and governance.

In the event that an attendee is unable to attend a meeting it is their responsibility to ensure that a nominated deputy is properly briefed and empowered to act on their behalf.



8 Frequency


8.1 The Committee will meet initially on a monthly basis but may adjust frequency as dictated by

the performance and financial position of the CCG. 9 Sub groups 9.1 The Data Group will provide reports to the Finance and Contracting Committee 10 Declaration of Interests 10.1 Members are required to declare interests prior to the commencement of the Committee and


11 Review of Committee Effectiveness 11.1 The Committee shall undertake a review of its effectiveness at least annually. 11.2 The Committee shall be subject to any review of CCG Committees as required.








13 Review of Terms of Reference 13.1 The Committee shall review its Terms of Reference at least annually.

Authorship

Chief Finance Officer

Approved by

Governing Body

Approved date

Review Date



Completed

APPENDIX M - SRCCG COMMUNICATION & ENGAGEMENT COMMITTEE TERMS OF REFERENCE

1 Title 1.1 The Committee shall be known as the Communication and Engagement Committee of the

Scarborough and Ryedale Clinical Commissioning Group (SRCCG) and is established in accordance with the constitution, standing orders and scheme of delegation.


3 Reporting Arrangements 3.1 The Committee’s Terms of Reference shall be agreed by the Governing Body of SRCCG. 3.2 The minutes of the Committee shall be formally recorded although there is no formal

requirement to present to the Governing Body, the Committee will by exception escalate matters it considers should be brought to the attention at the full Governing Body.

3.3 The composition of the Committee shall be published in the Annual Report. 4 Duties & Responsibilities

This Committee will drive through the delivery of the Communication & Engagement Plan, monitor delivery, report progress and provide assurance of delivery against the plan.

4.1 Authority 4.1.1 The Committee is to proactively plan and deliver engagement activities with patients, public

and stakeholder groups in order to deliver statutory and strategic objectives of SRCCG.

4.1.2 The Committee will work collaboratively with stakeholder organisations and other CCGs on joint initiatives.

4.1.3 The Committee will support national media campaigns.

4.1.4 The Committee is to investigate any activity within its Terms of Reference. It may seek any information it requires from any employee and all employees are directed to co-operate with any request made by the Committee.

4.1.5 The Committee is to monitor the performance of major projects and against the standards in

the NHS Outcomes Framework that are considered critical to the objectives of the SRCCG.


4.1.6 The Committee members will assess the need to communicate and inform the Overview and Scrutiny Committee of potential and/or planned changes to services and either liaise directly or inform the Accountable Officer of arrangements.

4.1.7 The Committee will from time to time call upon expertise in meeting the statutory duty in equality and diversity.

4.2 Objectives 4.2.1 To develop and manage plans for Communication and Engagement with all stakeholders 4.2.2 Where deemed necessary, the Committee shall escalate matters of concern to the

Governing Body

4.2.3 To ensure the equality delivery system is completed and progress monitored. 4.3 Engage and Communicate

4.3.1 The Committee shall pro-actively review the SRCCG’s performance against the standards in the NHS Standards for Communications and Engagement

4.3.2 To liaise as appropriate with the Overview and Scrutiny Committee, developing relationship

and engagement 4.3.3 To develop and maintain a detailed stakeholder map 4.3.4 To develop a communication plan for each of the stakeholder groups 4.3.5 To develop a communication strategy with supporting processes to manage communications

to stakeholders, in particular member practices. 4.3.6 To manage the flow of information to and from the Governing Body and it’s stakeholders 4.3.7 The Committee shall initiate reviews in its own right and undertake, as directed, reviews on

behalf of the Governing Body. Work shall be progressed by co-option of other key individuals.

4.3.8 The Committee shall determine what reports they would wish to see on a regular basis. 4.4 Training & Briefing 4.4.1 The Committee shall specifically consider the level of Communication and Engagement

awareness of Governing Body members and staff in the SRCCG. The Committee shall promote a culture in which:

• Communications and Engagement awareness is valued and encouraged. • Communications and Engagement are developed to ensure regular and wide consideration

of Quality and Performance issues. • Information is shared openly and honestly with stakeholders • The local health economy works in partnership to develop a shared commissioning vision

and strategy and a shared understanding of that strategy.


• There is regular and open dialogue with other organisations, both NHS and non-NHS regarding Quality and Performance matters.

4.5 Risk Management 4.5.1 The Committee will review the risk register and update the governing Body on key risks

relating to communication, engagement and equality. 5 Membership 5.1 The Committee shall comprise:

- Lay member of the Governing Body (Chair of Committee) - Lead GP for Communication and Engagement - Primary Care Management Lead for Communication and Engagement - Communications Project Manager - Engagement Management - Head of Programme Management and Integrated Governance - Executive Assistant to the Governing Body

5.1.1 Any other Director or member of staff may be asked to attend as necessary. 5.2 The Chair shall be a Lay member of the Governing Body. 5.3 In the event of the Committee Chair being unable to attend a meeting, a Governing Body

Member shall normally deputise. 5.4 Any SRCCG employee may be required to attend at the Committee’s request. 5.5 Membership may be reviewed by the Committee as required. 6 Quorum 6.1 No business shall be transacted unless there are at least four members present, of which at

least two shall be Governing Body members. 7 Attendance 7.1 Regular attendance at Committee meetings leads to improved engagement and

communications. In the event that an attendee is unable to attend a meeting it is their responsibility to ensure that a nominated deputy is properly briefed and empowered to act on their behalf.


Chair at least annually. 8 Frequency 8.1 The Committee will meet initially on a monthly basis but may adjust frequency as dictated by

the position of the SRCCG's Communication and Engagement plan. 9 Declaration of Interests


9.1 Members are required to declare interests prior to the commencement of the Committee and a register of interests will be maintained. The Chair is required to reconfirm this as a standing item on Committee agendas. As per the Standing Orders, individuals may be required to leave the meeting for relevant agenda items at the discretion of the Committee and will no longer count towards the quorum.

10 Review of Committee Effectiveness 10.1 The Committee shall undertake a review of its effectiveness at least annually. 10.2 The Committee shall be subject to any review of SRCCG Committees as required. 11 Conduct 11.1 The members of the Committee must ensure that at all times they:






with general good practice in corporate documents. 12 Review of Terms of Reference 12.2 The Committee shall review its Terms of Reference at least annually. Authorship

Accountable Officer

Approved by

Governing Body

Approved date

Review Date


Completed


APPENDIX N - SRCCG COUNCIL OF CLINICAL REPRESENTATIVES TERMS OF REFERENCE

1 Introduction 1.1 Every Member Practice of the Scarborough and Ryedale Clinical Commissioning Group

(SRCCG) will nominate one GP member representative to a Council of Clinical Representatives [hereafter referred to as The Council].

1.2 The Council will delegate powers to the Governing Body to set the direction, strategy, and

delivery of commissioning responsibilities, in consultation with the Council. The Accountable Officer and the Governing Body will be responsible on behalf of the members to carry out the statutory responsibilities of an NHS commissioning organisation.

1.3 The Council of Clinical Representatives and the Governing Body will strive to ensure there is

close and effective communication between them so as to facilitate a culture where the Governing Body is acting on behalf of the Council of Representatives.

2 Title 2.1 The Committee shall be known as the Council of Clinical Representatives of the Scarborough and Ryedale Clinical Commissioning Group (SRCCG) and is established in accordance with the constitution, standing orders and scheme of delegation. 3 Accountable To 3.1 The Committee shall be accountable to the Governing Body of SRCCG. 4 Reporting Arrangements 4.1 The Council’s Terms of Reference shall be agreed by the member practices and be

referenced in the SRCCG Constitution. 4.2 The minutes of the Council meetings shall be formally recorded and made available to the

Governing Body/ presented to the Governing Body. 4.3 Where the Council has voted on a course of action or decision, the Council will formally

notify the Governing Body of the outcome of their decision. 4.4 The membership of the Council shall be published in the Annual Report. 5 Duties & Responsibilities

This Committee will support the delivery of the Integrated Commissioning Plan.


5.1 Authority 5.1.1 The Council has the authority to make requests to the NHS Commissioning Governing Body

for amendments to the SRCCG constitution following consultation with the LMC. 5.2 The Council will, where there are more selected* candidates for the Governing Body posts,

call for an election of the Governing Body members. The process for the election of the Governing Body will include one vote per GP in the area of SRCCG. [*selected against a skills and knowledge framework]

5.3 The Council has the authority to delegate authority to the Governing Body to carry out the

duties of the organisation. 5.4 In the event that member practices express a loss of confidence in the Governing Body, then

in line with the Dispute Resolution Process an Extraordinary General meeting may be called by at least 50% of the CCG’s member practices and a vote of at least 66% of member practices will be required in order to refer the concerns of the member practices to the NHS Commissioning Board. The LMC will be informed of this action.

6 Objectives 6.1 The overall objective of the Council is to ensure that there is close and effective

communication between its member practices and the Governing Body. 6.2 The Council will have opportunities to engage with clinical commissioning and provide local

intelligence to inform commissioning decisions. 6.3 The Council will inform, debate, review and decide on any area of service commissioning

that it identifies and will support the Governing Body in managing, monitoring and redesigning service delivery.

6.4 To develop new leadership capabilities within the SRCCG supporting the succession

planning and sustainability of the organisation. 7 Membership 7.1 The Council will comprise of one nominated GP from each member practice.

In attendance, the Practice Manager from each member practice, and, where agreed in advance, a deputy may attend in the absence of the practice manager.

7.3 In attendance, members of the Governing Body. Each practice has the decision as to whether a member of the SRCCG Governing Body acts in the capacity of practice representative as well as a Governing Body member. 7.4 Where a conflict of interest associated with the role of Governing Body member exists, this will be declared 7.5 In attendance the Accountable Officer, Chief Finance Officer, Executive Nurse and supporting officers as requested or nominated. 7.6 In attendance administrative support to arrange, facilitate and record the minutes.


7.7 The role of chair will be on a rotating basis agreed 3 months in advance to allow for preparation of papers and agendas. 7.8 Council members will declare interests that may conflict with the business of the meeting 8 Quorum 8.1 No business shall be transacted unless there is at least 75% of the Council present. 8.2 Where a decision about the performance of the Governing Body, individuals or as a

Governing Body, is required, no member of the Governing Body may vote on behalf of the practice.

8.3 Agendas will be published seven days in advance to allow practices with Governing Body member representatives to nominate a deputy to carry a practice vote. 9 Attendance 9.1 Regular attendance at the Council meetings leads to improved engagement and

governance. In the event that an attendee is unable to attend a meeting it is their responsibility to ensure that a nominated deputy, where appropriate and necessary, is properly briefed and empowered to act on their behalf.

9.2 Frequency of attendance by members and attendees will be reviewed by the Council at least

annually. 10 Frequency 10.1 The Council will meet at least quarterly as part of the monthly SRCCG Forum meetings and

more frequently when required in order to carry out the business of the Council. Meetings will be designated as Council, General or AGMs.

Council Forum Meetings- April, June, July, Sep, Oct, Dec, Jan, March Council General Meetings-, at least May, August, Nov, Feb Council of Clinical Representatives Annual General Meeting- November (evening meeting)

10.2 The Council will support the Consortium Forum meetings which will be held monthly for

service review and redesign, focusing on delivering the QIPP plan and strategic priorities. 10.3 The Council will review performance reports, financial reports and strategic plans. 10.4 An Annual General Meeting will be held once a year for all GPs and the annual reports will

be presented to the Council of Representatives. 10.5 Attendance at meetings by GPs and Practice Managers will be remunerated following review

by the SRCCG Remuneration Committee 11 Voting 11.1 The Council, through the delegation of duties, expects the Governing Body to commission

services on behalf of member practices. The Governing body will consult with the Council of Clinical on proposed changes to services.


11.2 The Council may call for a vote about the business of the SRCCG and a vote can be triggered at the request of 30% of the member practices.

11.3 Practices may apply for a proxy vote if they are unable to attend a Council meeting. 11.4 In the event of a vote being triggered, at least seven days’ notice of a meeting will be given when voting will take place. Each GP working in the SRCCG area will have one vote. 11.5 The usual majority for a vote is two thirds 11.6 There is no right to veto. 12 Declaration of Interests 12.1 Members are required to declare interests prior to the commencement of the Committee and a register of interests will be maintained. The Chair is required to reconfirm this as a standing item on Committee agendas. As per the Standing Orders, individuals may be required to leave the meeting for relevant agenda items at the discretion of the Committee and will no longer count towards the quorum. 13 Review of Committee Effectiveness 13.1 The Committee shall undertake a review of its effectiveness at least annually.

The Committee shall be subject to any review of SRCCG Committees as required. 14 Conduct 14.1 The members of the Committee must ensure that at all times they:





• Must comply with the Nolan’s seven principles of public life • Bear in mind the necessity of keeping comprehensive written records of their

dealings, in line with general good practice in corporate documents. 15 Terms of Reference 15.1 These Terms of Reference and any subsequent amendments will be agreed by the SRCCG

Governing Body


15.2 The Terms of Reference will be reviewed at least annually and to comply with any national guidance and legislation

Authorship

Accountable Officer

Approved by

Governing Body

Approved date

28th November 2012

Review Date

April 2013


Completed


APPENDIX O - STRATEGIC COLLABORATIVE COMMISSIONINGBUSINESS COMMITTEE TERMS OF REFERENCE

1 Title 1.1 The Group shall be known as the Strategic Collaborative Commissioning Group. There are

two levels of membership of the Group.

1.2 Those organisations that participate in collaborative commissioning and risk share agreements, those organisations are:

• Vale of York CCG • Scarborough and Ryedale CCG • Hambleton, Richmondshire and Whitby CCG • Harrogate and Rural district CCG

1.3 Those organisations that participate in collaborative commissioning only:

• Airedale, Crave and Wharfedale CCG • South Lakes CCG

2 Accountable To 2.1 The Group shall be accountable to the Governing Body’s or all member CCG’s. 3 Reporting Arrangements 3.1 The Group’s Terms of Reference shall be agreed by the Governing bodies of all the member

CCGs. 3.2 The minutes of the Group shall be formally recorded although there is no formal requirement

to present to the individual CCG governing bodies, the Group will by exception escalate matters it considers should be brought to the attention of member CCG governing bodies.

3.3 The composition of the Group shall be published in the Annual Report. 4 Duties & Responsibilities

This Committee will support the delivery of the Integrated Commissioning Plan. 4.1 Authority 4.1.1 The Group has the authority to consider areas where collaborative working across North

Yorkshire CCG will be beneficial, it is also tasked to consider the wider benefits of collaboration with other commissioning organisations e.g. Local authorities, National Commissioning Governing Body (via the Local area team) and neighbouring CCG outside of North Yorkshire boundaries.


4.1.2 The Group does not have the authority to enter into binding collaborative agreements e.g.

section 75 or pooled budgets, should this be a suggested outcome each CCG governing body will be required to approve.

4.1.3 The Group has the authority to roll forward on an annual basis the agreed list of risk sharing

arrangements (restricted to those members who are participating in risk sharing), it does not have the authority to extend the list of risk sharing or terminate risk sharing agreements, that decision is reserved for individual CCG governing bodies. Six months notice is required by any member organisation wishing to exit risk sharing or collaborative agreements

4.2 Duties 4.2.1 The overall objectives of the Group are to promote collaborative commissioning and

consider the scope and scale of risk sharing across North Yorkshire. 4.2.2 The initial scope of collaboration and risk sharing are detailing in the collaborative

commissioning and risk sharing agreement. 4.3 Performance Management 4.3.1 The Group shall pro-actively review the performance of risk sharing agreements, each

member organization will be required to provide assurance that even where risk sharing is in place robust local arrangements are in place to control activity and expenditure and maintain quality and performance.

4.3.2 The Group shall proactively review the performance of collaborative commissioning across

North Yorkshire; each lead organisation will be required to provide updates on major contract performance where they are the nominated lead. The expectation is that this is done through operational management arrangements and is escalated to the Group on an exception basis.

4.3.3 The Group shall proactively review the performance of collaborative commissioning outside

of North Yorkshire; this will be done by receiving the minutes of meeting of other collaborative groups and updates from lead officers.

5 Membership 5.1 The Group shall comprise:

• Clinical lead of CCG • Accountable Officer (or Chief operating officer if accountable officer is GP) • Chief Finance Officer

5.2 Others members of staff may be asked to attend as necessary. 5.3 The Chair will rotate each meeting between members CCG's 5.4 Any CCG/CSS/PCT employee may be required to attend at the Group’s request. 6 Quorum 6.1 No business shall be transacted unless there is at least one officer from each member CCG.


7 Attendance 7.1 Regular attendance at Group meetings leads to improved engagement and governance. In

the event that an attendee is unable to attend a meeting it is their responsibility to ensure that a nominated deputy is properly briefed and empowered to act on their behalf.

7.2 Frequency of attendance by members and attendees will be reviewed by the Group at least

annually. 8 Frequency 8.1 The Group will meet initially on a monthly basis but may adjust frequency if the membership

considers it is appropriate. 9 Declaration of Interests 9.1 Members are required to declare interests prior to the commencement of the Committee and


10 Review of Committee Effectiveness 10.1 The Committee shall undertake a review of its effectiveness at least annually.

The Committee shall be subject to any review of SRCCG Committees as required. 11 Conduct 11.1 The members of the Committee must ensure that at all times they:


• Always strive to maximize value for money through ensuring that services are delivered in the most efficient and economical way, within available resources and with independent validation of performance achieved where practicable




dealings, in line with general good practice in corporate documents. 12 Terms of Reference 12.1 These Terms of Reference and any subsequent amendments will be agreed by the SRCCG

Governing Body


12.2 The Terms of Reference will be reviewed at least annually and to comply with any national


Accountable Officer

Approved by

Governing Body

Approved date

Review Date


Completed

1 Title

1.1 The Committee shall be known as the Scarborough and Ryedale Clinical Commissioning Group (SRCCG) Business Committee. (This is the successor of the Business Meetings) and is established in accordance with the constitution, standing orders and scheme of delegation.


3 Reporting Arrangements 3.1 The Committee’s Terms of Reference shall be agreed by the Governing Body.

3.2 The minutes of the Committee shall be formally recorded and may be requested by the

Governing Body. 3.3 The Committee will ensure that decisions within their scope are communicated and

implemented throughout the organisation. 3.4 The composition of the Committee shall be published in the Annual Report. 4 Duties & Responsibilities This Committee will drive through the delivery of the Integrated Commissioning Plan monitor delivery, report progress and provide assurance of delivery against their specific area of the plan. 4.1 Authority 4.1.1 The Committee will be responsible for the day to day business decisions of the SRCCG in

line with the scheme of delegation, standing orders and constitution.


4.1.2 The Committee will investigate any activity within its Terms of Reference. It may seek any information it requires from any employee and all employees are directed to co-operate with any request made by the Committee

4.2 Assurance 4.2.1 The Committee will provide assurance to the SRCCG Governing Body on the continued

delivery of all strategic priorities and local work-stream projects. 4.2.2 The Committee will assure the Governing Body in relation to all decisions regarding the

CCG’s delegated commissioning responsibility in securing the provision of health care and related services.

4.3 Commissioning 4.3.1 The Committee will provide a “confirm and challenge” role for all service developments and

review all business cases. (no business case will be reviewed by the Committee unless it is presented in the SRCCG template format and all pre-requirement stages have been completed including an Equality Impact Assessment)

4.3.2 The Committee will ensure that completed business cases are considered within eight

weeks of submission and where appropriate referred to the Governing Body with the agreed recommendations.

4.3.3 The Committee will receive regular updates on the progress and evaluation of each

approved project, including a post project evaluation once the project has been completed. 4.3.4 The Committee will ensure the equality and diversity implication(s) of any commissioning

decisions are assessed and recorded.

5 Membership

5.1 The Committee will comprise of the following:

- SRCCG Chair - SRCCG Accountable Officer (Chief Officer) - SRCCG Chief Finance Officer - SRCCG Governing Body GPs x 5 - SRCCG Primary Care Manager - SRCCG Executive Nurse - Associate Director of Corporate Affairs - Head of Planning & Assurance - Any member or employee of the CCG or any other person may be invited to attend meetings of the Committee as appropriate but such persons shall not rank towards the quorum

5.2 The Committee will be chaired by a SRCCG Governing Body GP and a Vice Chair will be

appointed by the Governing Body. 5.3 A secretary will identified from within the CCG and they will be responsible for supporting the

Chair and Accountable Officer (Chief Officer). This will include arranging, formally minuting and archiving all reports and documentation

5.4 Membership will be reviewed by the Committee as required.


6 Quorum

6.1 No business shall be transacted unless the Chair (or his/her deputy) and at least four other clinical members of the Committee are present

7 Attendance 7.1 Regular attendance at Committee meetings leads to improved engagement and

governance. In the event that an attendee is unable to attend a meeting – they will not normally be able to send a deputy unless agreed by the Chair in advance.


Chair at least annually. 8 Frequency 8.1 The Committee shall meet at least ten times per year at regular intervals. 9 Declaration of Interests 9.1 Members are required to declare interests prior to the commencement of the Committee and


10 Review of Committee Effectiveness 10.1 The Committee shall undertake a review of its efficiency and effectiveness at least annually. 11 Conduct 11.1 The members of the Committee must ensure that at all times they:






with general good practice in corporate documents. 12 Terms of Reference 12.1 These Terms of Reference and any subsequent amendments will be agreed by the SRCCG

Governing Body


12.2 The Terms of Reference will be reviewed at least annually and to comply with any national


Accountable Officer

Approved by

Governing Body

Approved date

Review Date


Completed


APPENDIX P – NORTH YORKSHIRE & HUMBER CCG COLLABORATIVE

TERMS OF REFERENCE

1. CONSTITUTION

The CCG Collaborative is directly accountable to the individual CCG Governing Bodies for the planning, commissioning and procurement of commissioning related business across organisational boundaries and on larger footprints than single CCGs where:

• Where there is a benefit to collaborating on Commissioning 2 or more CCGs commission a single service

• A large number of CCGs commission a single service that is organised across a large geographical area

• Work together with a single provider The group essentially is a working group meeting to:-

• enable multiple CCG commissioning where this is deemed by member CCGs to be the most efficient and effective method to commission services and

• Enable CCGs to work in the most efficient way in terms of capacity and share staff resources.

The group will adhere to FOI regulations and consider FOI requests as received. 2. MEMBERSHIP

Hull CCG East Riding of Yorkshire CCG North Lincolnshire CCG North East Lincolnshire CTP/CCG Vale of York CCG Scarborough & Ryedale CCG Harrogate and Rural District CCG Hambleton, Richmondshire and Whitby CCG Clinical Alliance (In Attendance) CSU Representative (as appropriate) Each CCG will nominate a Senior CCG Officer to be a member of the collaborative. Members can delegate named deputies. The Chair and Deputy arrangements of the Collaborative will be determined by the collective membership and will rotate on an annual basis. The Chairs organisation will provide administrative support for the period of tenure. The Personal Assistant will be responsible for ensuring records are stored appropriately. Other organisations representatives may be asked to attend for specific issues.

3. ATTENDANCE

Quoracy will be 4 out of the 8 member CCGs represented (as per named delegation);


If a quorum has not been reached, then the meeting may proceed if those attending agree but any record of the meeting should be clearly indicated as notes rather than formal minutes, and no decisions may be taken by the non-quorate meeting of the Group.

4. FREQUENCY

Bi monthly

5. POWERS AND AUTHORITY

Each individual CCG remains accountable and responsible for decisions and actions. The Group will operate within the Scheme of Delegation, Standing Orders and Standing Financial Instructions of each individual CCG member. Each nominated officer will act within the delegated limits of their own CCGs Standing Financial Instructions (SFIs) when committing resources and/or making commissioning decisions.

The Group has the ability to develop sub groups as appropriate to support the conducted at these meetings and the decisions made by it.

It is not anticipated that HNY CCG will need a voting mechanism as the focus is on collaboration, the emphasis will be on consensus and collaboration rather than through voting. The group will make recommendations through its governance mechanisms recognising the sovereign rights of CCG members and the implications of individual decisions on collaborative members.

7. MANAGEMENT AND REPORTING

The Group will provide minutes and decision making summaries and copies of the annual work plan to the CCG member representatives to make available within their individual CCGs in accordance to their Scheme of Delegation.

The Group will receive the minutes or reports of the:

• Yorkshire & Humber Specialist Commissioning Group (SCG

• Clinical Senates

• Local Alliance (Cancer, CritCare, Renal, Cardiac)

• Other local collaborative forums on a larger footprint as from time to time will be determined e.g. NHS 111 local implementation Boards

• Childrens Surgical Network

• Other Networks as they emerge

8. REVIEW DATE

Terms of Reference are reviewed annually as part of the general view of the CCG sub-groups with any amendments approved by the CCG Committee (April 2013).


9. DUTIES To identify areas of commissioning where collaboration will be beneficial through:

• Providing a co-ordinated voice in commissioning • Commissioning/Reviewing a single service across a number of CCGs • Collaborative commissioning where a service is provided on behalf of a number of CCGs • Sharing capacity and expertise across more than one CCG • Once identified to agree and set up collaborative arrangements with clear lines of

accountability and decision making processes using any best practice guidance pertaining to Collaborative arrangements

• To enable commissioners to develop a strategic view and response to key relevant issues impacting across the Cluster/NHS Commissioning Boards(NHS CB) Local Area Team

• In terms of Clinical Alliance, Clinical Networks, Specialised Services Commissioners and Senates:

o To ensure that the cumulative impacts of service reviews/development are identified and managed

o To co-ordinate local strategic commissioning intentions to common providers of specialist services (not included in the specialised commissioners bundle)

o To ensure that decisions made at clinical network, senate, NHSCB and Specialist Commissioner level are understood, implication identified, feedback given and implementation issues recognised and communicated effectively with Providers and individual CCGs

• To act as a forum to share learning and insights in commissioned services, QIPP opportunities, transformational programmes working towards sustainability

• To undertake such Collaborative work which may be requested by CCG Governing Bodies from time to time, in line with Terms of Reference.

o To promote collaborative representation to minimise duplication. 10. DISOLUTION OF CCG COLLABORATIVE ARRANGEMENTS

1. Members leaving the collaborative are simply asked to provide a minute from their CCG.


APPENDIX Q – PARTNERSHIP COMMISSIONING UNIT MANAGEMENT BOARD TERMS OF REFERENCE

1. INTRODUCTION 1.1 This document outlines the terms of reference of the Partnership Commissioning

Unit (PCU) Management Board. 2. PURPOSE 2.1 This document sets out the principles by which the PCU Management Board will

transact its business on behalf of the governing arrangements of Hambleton, Richmondshire and Whitby Clinical Commissioning Group; Harrogate and Rural District Clinical Commissioning Group; Scarborough and Ryedale Clinical Commissioning Group; and the Vale of York Clinical Commissioning Group (CCG).

3. TITLE 3.1 The Board shall be known as the Partnership Commissioning Unit (PCU)

Management Board.

4. ACCOUNTABLE TO 4.1 The Board shall be accountable to the Governing Body’s or all member CCG’s.

5. REPORTING ARRANGEMENTS 5.1 The Board’s Terms of Reference shall be agreed by the Governing bodies of each

member CCG. 5.2 The minutes of the Board shall be formally recorded although there is no formal

requirement to present to the individual CCG governing bodies. The Board will by exception escalate matters it considers should be brought to the attention of member CCG governing bodies.

5.4 The composition of the Board shall be published in the Annual Report.

6. AUTHORITY 6.1 The Board has the authority to consider areas relating to the management and

provision of services outlined in the PCU Service Level Agreement.


6.2 The Board does not have the authority to enter into binding collaborative agreements e.g. section 75 or pooled budgets, should this be a suggested outcome each CCG governing body will be required to approve.

7. MEMBERSHIP 7.1 CCG membership of the PCU Management Board will comprise of the Accountable

Officer (or their nominated deputy) and another member of each associated CCG senior management team.

7.2 PCU membership of the PCU Management Board will comprise of the Director of

Partnership Commissioning and the Deputy Director of Partnership Commissioning (or a nominated deputy).

7.3 Regular attendance at PCU Management Board meetings leads to improved

engagement and governance. In the event that an attendee is unable to attend a meeting it is their responsibility to ensure that a nominated deputy is properly briefed and empowered to act on their behalf.

7.4 Frequency of attendance by members and attendees will be reviewed by the PCU

Management Board at least four times per year. 7.5 The members of the Board must ensure that at all times they:


• Always strive to maximize value for money through ensuring that services are delivered in the most efficient and economical way, within available resources and with independent validation of performance achieved where practicable




dealings, in line with general good practice in corporate documents.


8. QUORUM 8.1 A representative from each Clinical Commissioning Group and a representative from the Partnership Commissioning Unit. 9. DUTIES

The main duties of the PCU Management Board will be:

9.1 To establish and agree the vision, strategic aims and priorities for the PCU and its associated work plan.

9.2 To monitor, review and performance manage the delivery of the PCU’s strategic

aims and priorities and its associated work plan, paying special regard to financial, clinical and corporate risk, assurance and audit.

9.3 To support each CCG to meet its local priorities and national targets.

9.4 To monitor the PCU’s financial plans ensuring at all times that resources are used effectively and with best value for money, by seeking opportunities to minimise financial risk and increase effectiveness and the delivery of services.

9.5 To monitor the quality and safety of services within the PCU remit.

9.6 To hold the PCU to account in relation to its operational governance arrangements and to assist in problem solving and decision making as required.

9.7 To receive the minutes of the Risk Sharing Sub Group and to resolve any issues that have been escalated.

9.8 To actively develop partnership working with the Local Authorities and to fully utilise this wherever possible and where this is the best option for the delivery of services.

9.9 To require and receive the declarations of Members’ interests that may conflict with those of the Partnership Commissioning Unit.


10. DECLARATION OF INTERESTS 10.1 Members are required to declare interests prior to the commencement of the Board

and a register of interests will be maintained. The Chair is required to reconfirm this as a standing item on Board agendas. Individuals may be required to leave the meeting for relevant agenda items at the discretion of the Board and will no longer count towards the quorum.

11 REPORTING AND ACCOUNTABILITY ARRANGEMENTS 11.1 The Board’s Terms of Reference shall be approved by the Governing bodies of all

the member CCGs. 11.2 The minutes of the Board shall be formally recorded although there is no formal

requirement to present to the individual CCG governing bodies, the Board will by exception escalate matters it considers should be brought to the attention of member CCG governing bodies.

11.3 It is the responsibility of each Accountable Office (or their nominated deputy) to

ensure appropriate feedback to and from their organisations. 11.4 The minutes of each meeting will be circulated to all Members to take through the

appropriate governance arrangements within their organisation. 11.5 Decisions are made which are within the authority of the PCU Management Board

Members, in line with the scheme of delegation of each CCG. If there is an item that requires Governing Body approval, a decision will be deferred until the outcome of these discussions are known and reported back to PCU Management Board Members.

11.6 The Director of Partnership Commissioning will attend two meetings of each CCG’s

Governing Body (or sub group) per year for accountability and assurance purposes.

11.7 The PCU’s senior managers will meet with the individual CCGs three times a year for a detailed locality review.

12 MONITORING EFFECTIVENESS 12.1 The effectiveness of the PCU Management Board will be monitored via the routine

recording of minutes noting issues raised, actions taken and those that have been resolved as a result of the PCU Management Board’s decisions and guidance.


12.2 The PCU Management Board’s terms of reference will be reviewed annually.

12.3 An annual report will be produced by the PCU for the CCGs detailing challenges, achievements and the identification of key actions for the coming year. This report will also include a statement on the attendance, quoracy an compliance with the PCU Management Board Terms of Reference.

13. MANAGEMENT ARRANGEMENTS 13.1 The PCU Management Board will usually meet every two months [bi-monthly] in

private, but may adjust frequency if the membership considers it is appropriate. Extraordinary meetings may be called by the Chair, or by a majority of CCG Accountable Officers, with a minimum of 5 working days’ notice to each member CCG.

13.2 The meetings will be administered by the PCU team. Standing items on the agenda will include the minutes of the previous meeting, declarations on interest, risk reporting and any other item as agreed by the Board.