This policy has been reproduced below so that it is accessible for people using assistive web technologies like screen readers, navigation aids and translation plug-ins.
|Version 0.1||08/12/2021||First draft by Neil McDowell|
|Version 0.2||24/01/22||Second draft by Ben Luscombe, amended to NHSE template|
|Version 0.1 and 0.2||As above||James Murray (CCG CFO); Karen Broughton (Deputy Senior Responsible Officer, SWL Health and Care|
Partnership); Ben Luscombe (CCG Chief of Staff); Neil McDowell (CCG Director of Finance); Director of Finance (Financial Systems Management)
|Version 0.2||As above||Governance Oversight Group|
|Version 1.0||01/07/2022||SWL ICB Board|
Decisions and functions reserved to the board
- Consideration and approval of applications to NHS England on any matter concerning changes to the ICB’s constitution or standing orders.
- Approval of the ICB’s overarching scheme of reservation and delegation.
- Approval of the ICB’s operational scheme of delegation that underpins the ICB’s ‘overarching scheme of reservation and delegation’.
- Approve detailed financial policies.
- Set out who can execute a document by signature / use of the seal.
- Agree the vision, values, and overall strategic direction of the ICB.
- Approval of the ICB’s operating structure.
- Approval of the ICB’s system plan.
- Approval of the ICB’s corporate budgets that meet the financial duties as set out in the main body of the constitution
- Approval of the ICB’s annual report and annual accounts.
- Approve the ICB’s arrangements for business continuity and emergency planning.
- Approval of the arrangements for ensuring appropriate and safekeeping and confidentiality of records and for the storage, management and transfer of information and data.
- Approve decisions delegated to joint committees established under section 75 of the 2006 Act.
- Approval of the arrangements for discharging the ICB’s statutory duties associated with its commissioning functions, including but not limited to promoting the involvement of each patient, patient choice, reducing inequalities, improvement in the quality of services, obtaining appropriate advice and public engagement and consultation.
Decisions and functions delegated by the board to ICB committees
Audit and Risk Committee
- Decisions and functions delegated to the committee Review the adequacy and effectiveness of the system of integrated governance, risk management and internal control across the whole of the ICB’s activities that support the achievement of its objectives, and to highlight any areas of weakness to the Board.
- Ensure that financial systems and governance are established which facilitate compliance with DHSC’s Group Accounting Manual.
- Review the adequacy and effectiveness of the assurance processes that indicate the degree of achievement of the ICB’s objectives, the effectiveness of the management of principal risks.
- Oversight of system risks where they relate to the achievement of the ICB’s objectives.
- Ensure consistency that the ICB acts consistently with the principles and guidance established in HMT’s Managing Public Money.
- Oversight of urgent decisions exercised by the Board.
- Ensure that there is an effective internal audit function that meets the Public Sector Internal Audit Standards and provides appropriate independent assurance to the Board.
- Review the work and findings of the external auditors and consider the implications and management’s responses to their work.
- Review the findings of assurance functions in the ICB, and to consider the implications for the governance of the ICB.
- Review the assurance processes in place in relation to financial performance across the ICB including the completeness and accuracy of information provided.
- Review the findings of external bodies and consider the implications for governance of the ICB.
- Approve the ICB’s counter fraud arrangements.
- Ensure adequate and secure Freedom to Speak Up arrangements.
- Review the annual Senior Information Risk Owner (SIRO) report, the submission for the Data Security & Protection Toolkit and relevant reports and action plans.
- Provide assurance to the Board that there is an effective framework in place for the management of risks associated with information governance.
- Monitor the integrity of the financial statements of the ICB and any formal announcements relating to its financial performance.
- Ensure that the systems for financial reporting to the Board, including those of budgetary control, are subject to review as to the completeness and accuracy of the information provided.
- Review the annual report and financial statements (including accounting policies) before submission to the Board.
- Ensure that the ICB’s policy, systems and processes for the management of conflicts, (including gifts and hospitality and bribery) are effective.
Remuneration and Nominations Committee
- Ensuring the ICB follows national pay and terms and condition frameworks to set the pay policy for ICB employees.
- Setting remuneration, allowances and terms and conditions for the Chief Executive and Very Senior Managers (VSMs) in line with national guidance.
- Setting remuneration, allowances and terms and conditions for Integrated Care Board members.
- Agreeing any discretionary payments or terms and conditions for staff employed by the ICB.
- Approving any termination or redundancy payments.
- Approving TUPE or other staff transfers into or out of the ICB.
- Setting the ICB pay policy and standard terms and conditions of employment for all individuals appointed by the ICB as clinical leads, workers, office holders (this may include pensions, remuneration, fees, travelling or other allowances payable), and any pay awards for these individuals.
- Oversight of the nominations and appointments to Integrated Board member roles.
Finance and Planning Committee
- Provide assurance to the Board of performance against system control total by scrutiny of financial and planning strategy, strategic and operational financial and non-financial plans, and the current and forecast financial position of the overall ICS.
- As part of the ICB’s performance management role, alongside the Quality and Oversight Committee operate an ICS Performance Framework that enables the Committee to proactively manage the financial, broader performance, and savings agenda across the system, and to assess the performance against the system control total.
- Oversight and approval of the process by which the ICS allocates the annual resource to stakeholders (partners), including both revenue and capital.
- Ensure oversight of financial and planning performance, focusing on oversight of the delivery of ICB-wide efficiency savings, performance and system control total.
- Oversee the arrangements in place for the allocation of resources and the scrutiny of all expenditure.
- Review ongoing Financial Reports and the Annual Statement to be presented to the Board.
- Review delivery of savings plans and initiatives through regular reports.
- Provide assurance to the Board and the Audit and Risk Committee of the completeness and accuracy of the financial information provided to the Board.
- Review, by exception, performance report summaries as required, and consider performance issues in so far as they impact on financial resource.
- Review, scrutinise approve and/ or recommend business cases for approval to the Board in line with the detailed SoRD.
- Review, and agree, procurement decisions as appropriate, in accordance with Standing Financial Instructions and the Scheme of Delegation and make recommendation to the Board.
- Recommend to the Board the thresholds above which quotations or formal tenders should be obtained.
- Review tender waivers and tenders from firms not on approved lists and ensure these are reported to the Board and Audit and Risk Committee.
- Review the financial policies of the ICB and make appropriate recommendations to the Board
- Review and monitor those risks on the ICB’s BAF and Corporate Risk Register which relate to finance. Ensure the ICB is kept informed of significant risks and mitigation plans, in a timely manner.
- Review and agree the termination of leases.
Quality and Oversight Committee
- Ensure that there are robust processes in place for the effective management of Quality and Performance oversight across the system.
- Scrutinise structures in place to support quality planning, performance oversight, control and improvement, to be assured that the structures operate effectively, and timely action is taken to address areas of concern
- Agree and put forward the key quality and performance priorities that are included within the ICB strategy / annual plan, including priorities to address variation / inequalities in care.
- Oversee and monitor delivery of the ICB key statutory / mandatory requirements.
- Review and monitor those risks on the BAF and Corporate Risk Register which relate to quality and system performance, and high-risk operational risks which could impact on care.
- Oversee and scrutinise the ICB’s response to all relevant (as applicable to Quality and Performance oversight) Directives, Regulations, national standard, policies, reports, reviews and best practice as issued by the DHSC, NHSE/I and other regulatory bodies / external agencies (e.g. CQC, NICE) to gain assurance that they are appropriately reviewed and actions are being undertaken, embedded and sustained.
- Oversight of changes in the methodology employed by regulators and changes in legislation/regulation.
- Oversee and seek assurance on the effective and sustained delivery of the ICB Quality Improvement Programmes and broader improvement plans.
- Ensure that mechanisms are in place to review and monitor the effectiveness of the quality of care delivered by providers and place.
- Receive assurance that the ICB identifies lessons learned from all relevant sources.
- Scrutinise the robustness of the arrangements for and assure compliance with the ICB’s statutory responsibilities for safeguarding adults and children.
- Scrutinise the robustness of the arrangements for and assure compliance with the ICB’s statutory responsibilities for infection prevention and control.
- Scrutinise the robustness of the arrangements for and assure compliance with the ICB’s statutory responsibilities for equality and diversity as it applies to people drawing on services.
- Scrutinise the robustness of the arrangements for and assure compliance with the ICB’s statutory responsibilities for medicines optimisation and safety.
- Develop the ICB Performance Oversight Framework and review this framework annually to ensure that is meets the needs of our system to support delivery of our strategic objectives.
- Oversight of NHS System Oversight Framework reviewing mitigations and assessing risk where appropriate
- Oversee the development and implementation of the system of targeted intervention, ensuring that all issues are considered and review the level and depth of intervention required.
- Oversee the triangulation of performance oversight ensuring that the right balance is struck with workforce, quality, finance and system operational metrics and risks have been fully assessed.
- Ensure that there is accurate alignment of the BAF risks and the performance risks.
- Review the proposed CQUINS for the system and ensure these are aligned to drive forward system quality and transformation objectives.
Decisions and functions delegated by the board to individual board members and employees
Chief Executive Officer
- Approve proposals for action on litigation and claims handling against or on behalf of the ICB.
- Approval of the ICB’s contracts for any commissioning support.
- Approval of the ICB’s contracts for corporate support (for example finance provision).
- Approve arrangements for co-ordinating the commissioning of services with other ICBs and or with the local authority(ies), where appropriate.
- Approving arrangements for handling Freedom of Information requests. Determining arrangements for handling Freedom of Information requests.
- Approving a comprehensive Publication Scheme for the ICB.
Chief Financial Officer
- Ensure that the ICB is in a position to produce its required monthly reporting, annual report, and accounts, as part of the setup of the new organisation.
- Ensure that the ICB in each financial year, prepares a report on how it has discharged its functions in the previous financial year.
- Responsibilities in relation to the ICB preparation and audit of annual accounts.
- Responsibilities in relation to the ICB adherence to the directions from NHS England in relation to accounts preparation.
- Ensuring that the allocated annual revenue and capital resource limits are not exceeded, jointly, with system partners.
- Ensuring that there is an effective financial control framework in place to support accurate financial reporting, safeguard assets and minimise risk of financial loss.
- Ensuring the ICB meets statutory requirements relating to taxation.
- Ensuring that there are suitable financial systems in place.
- Responsibilities in relation to the ICB meeting the financial targets set for it by NHS England.
- Use of incidental powers such as management of ICB assets, entering commercial agreements.
- Ensuring the Governance Statement and Annual Accounts & Reports are signed.
- Ensuring planned budgets are approved by the relevant Board; developing the funding strategy for the ICB to support the Board in achieving ICB objectives, including consideration of place-based budgets.
- Making use of benchmarking to make sure that funds are deployed as effectively as possible.
- Executive Members (Partner Members and Non-Executive Members) and other officers are notified of and understand their responsibilities within the SFIs.
- Financial leadership and financial performance of the ICB.
- Identification of key financial risks and issues relating to robust financial performance and leadership and working with relevant providers and partners to enable solutions.
- Support a strong culture of public accountability, probity, and governance, ensuring that appropriate and compliant structures, systems, and process are in place to minimise.
- Prepare the ICB’s operational scheme of delegation, which sets out those key operational decisions delegated to individual employees of the ICS, not for inclusion in the ICB’s constitution.
- Prepare detailed financial policies that underpin the ICB’s prime financial policies.
Chief People Officer [CPO] (or equivalent people role in the ICB)
- Lead the development and delivery of the long-term people strategy of the ICB ensuring this reflects and integrates the strategies of all relevant partner organisations within the ICS.
Decisions and functions delegated to the Board by other organisations
- Primary medical care commissioning