1. business and industrial

Sign-off of our SLA is an important moment for all of us, as it demonstrates our growing commercial
maturity and clarity of purpose – as well as meeting the requirements for authorisation and
accreditation. Both GEM and CCGs, however, are still in development and we recognise that there
are a number of commitments we need to make to each other alongside the formal signing of the SLA
which will help build confidence and provide clarity around how we work together over the coming
months.
These commitments are as follows:
•
As part of the SLA we will agree (by 30 September 2012) a total cost* for current agreed
scope of services (based on historical costs). We understand that going forward the CCG
may wish to redefine the services (within the same cost envelope based on agreed scope and
level of service) to ensure the service delivered meets their needs. GEM undertakes to work
with the CCGs between now and the end of March 2013 to ensure that delivered services
meet operational and strategic needs. GEM will make necessary changes to the scope of
services as long as:
I.
the total cost of service provision stays within the total agreed cost and
II.
any changes to services are not of a scale that would make delivery unrealistic.
* GEM will invoice for services in line with clause 4.2 once current anomalies regarding cost
allocations have been resolved
•
GEM undertakes to deliver a service development plan designed to ensure that delivery of
basic finance, contracting and commissioning services are provided in a professional,
consistent and timely manner. GEM understands that the on-going agreement to work
together is dependent on the delivery of key milestones in this high-level plan (attachment 1)
and that if these key milestones are not met then the CCG will not be obliged to reimburse
GEM for its expenses incurred in preparation for that portion of the Services not performed
(as outlined in clause 7.6).
•
GEM undertakes they will work with the CCG and Cluster colleagues to ensure that robust
transition planning processes are in place to ensure a smooth transition into 2013/14
•
GEM commits to work with the CCG over the next 6 months as part of the service re-definition
exercise described above to ensure that GEM and the CCG are strategically aligned in all
aspects of engagement and service delivery. The current timetable for development and
agreement of specifications is attached to this letter (attachment 2). GEM is committed to
delivering value for its customers by maximising economies of scale and driving local
efficiencies by managing teams effectively. We expect to be able to share detailed plans
with customers on how we plan to achieve efficiency savings within the following 12 months.
th
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•
GEM is happy to provide assurance to the CCG that it is working through the DoH business
planning and assurance process for emerging commissioning support services. GEM will
keep CCGs updated on progress throughout this process.
•
GEM is currently developing Appendix 4 of the SLA - Information Sharing Agreement. GEM
th
commits to finalising this document for approval by CCGs no later than 30 September 2012.
We look forward to working with you on the areas outlined above and continuing to build a
constructive, collaborative and successful partnership in the future.
Yours sincerely
Page 2 of 41
Attachment 1: Development Plan
Note: Definition of basic finance and contracting information was agreed in the GEM development
nd
plan overview delivered on 2 August 2012. Further specific areas of development are outlined in the
commissioning intelligence specification and GEM agree to work towards the delivery of these
specific areas as part of this development plan.
Attachment 2: Timetable for Agreement of Service Specifications
August 2012
Sept 2012
Oct 2012
Nov 2012
Sept – Feb
2012
March 2012
•
Commissioning Intelligence (GEM and the CCGs will work together to ensure
that the basic service is developed in line with the annotations made in the
service specification) and Finance (agree current service definition)
• Agree KPIs for Commissioning Intelligence and Finance
• Contract Management (GEM and the CCG will work together to define a
th
detailed contract service specification to be completed no later than 30
September 2012), Clinical Procurement, Communications and Engagement,
People and Change (HR/OD) and IT (agree current service definition)
• Agree overall service cost figure
• Escalation process to be agreed
• Corporate Governance, Continuing Health Care, Service Redesign, Medicines
Management and Performance Management (agree current service definition)
• Definition of other services (not covered above)
CCGs and GEM will work together to:
• re-configure the above services (at a granular level) to meet need and
ensure CCG/GEM strategic alignment
• Agree KPIs for each service area
• Agree and populate the appendix section of the SLA (1-4)
• Revised service level costing published
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Attachment 3: GEM Organisational Capacity/Capability
GEM is a large CSU with 7 local offices and a 1000 strong workforce with well-established local
delivery capabilities. GEM is committed to further reinforce its focus on local delivery. As a result a
Chief Operating Officer (one of 3 being recruited across GEM) will soon be appointed to oversee
delivery of services to CCGs in the South (MK, Northants, Luton and Beds). Emphasis will be placed
on local delivery of services, maximised by strong service line managers and local account managers
who will ensure that services are strategically aligned with CCG needs.
GEM are currently focusing on a number of business critical areas to ensure their service offers map
to the strategic and operational needs of their CCG customers. One of these areas is contract
management and GEM are embarking on a project to develop this offer to strength the provision of
end to end contract management support through a GEM-wide initiative pulling on the expertise of all
its member clusters as well as contracting teams at EMPACT. This will be evidenced locally through
our development plan.
In addition at scale service offerings will bring benefits to customers through economies of scale. Key
at scale areas identified by the DoH are clinical procurement, IM&T (DMIC), Back Office and GEM
has been accredited for them all. A fourth area is communications and engagement. GEM is working
to confirm their involvement in the delivery of an at scale communications and engagement service as
well as maintaining strength and expertise in local service delivery.
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Version Control
Version Number
Notes
Date
Author
1.0
First Draft
01/06/2012
Julie Hales
1.1
Addition of KPIs
18/06/2012
Julie Hales
1.2
Suggested amendments from David Harry &
Hina Naik
13/7/2012
David Harry
1.3
Accepted David/Hina’s changes and added
Yes/No columns
16/07/2012
Julie Hales
1.4
Review by Joe Kerin, Theresa Jennison and
David Harry
19/07/2012
David Harry
1.5
Changes accepted by Julie Hales
20/07/2012
Julie Hales
1.6
Changes following review with MW/SL-B
08/08/2012
Diahann Daniel
1.7
Changes following review MW/SL-B/JH
16/08/2012
Diahann Daniel
Page 14 of 41
PART 2 - STATEMENT OF WORK
Service
Commissioning Intelligence Services (National Service Reference 4, 5, 6, 7, 8, 9 & 10)
Client Lead
Sue Lacey-Bryant
GEM Lead
Diahann Daniel
Period
1. Purpose
Informatics is central to improving health outcomes and delivering quality care. Delivering better value, better information and better service
through innovation we will support better health care for patients.
The service objectives are to deliver a high quality, best in class Commissioning Intelligence services for our clients. The range of
services offered allows clients to benefit from a complete end-to-end, one stop shop Commissioning Intelligence service. Alternatively,
clients may purchase one or more of the service categories offered to allow flexibility and integration into existing intelligence processes.
2. Scope
2.1 In Scope
•
Data Acquisition and Management Services – a full suite of data acquisition systems, solutions and processes that will meet local needs
while addressing the standards, systems and processes required of a National At Scale Data Management and Information Centre (DMIC).
•
Information Management and Delivery Services – The provision of a suite of automated tools underpinned by a variety of data sources
to support a variety of commissioning and contracting information needs.
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•
Interpretation, Intelligence and Change Management Services – A specialist team of skilled analysts will work alongside, and when
required, embed into our client’s organisation whilst retaining the links with the central GEM Informatics Team to ensure the sharing and
dissemination of best practice and analysis.
•
Strategic IM&T, Programme Management and Enablement & Facilitation Services.
•
Account Management Services – A dedicated client management service designed to support clients to get the most from their
Informatics and IT services by promoting quality, intelligence, innovation and continuous improvement
The service will undertake an agreed level of planned, predicted and ad hoc activities that fall within the portfolio.
2.2 Out of Scope
Requests for support of non-standard products and services will be dealt with on a case by case basis and may be subject to an additional
charge. Operational IT services will be covered in a separate service specification (where provided by GEM).
3. Service Delivery
3.1
Service Description
3.1.1
Data Acquisition and Management Services
The provision of a full suite of data acquisition systems, solutions and processes that will meet local
needs while addressing the standards, systems and processes required of a National At Scale Data
Management and Information Centre (DMIC). The warehouse facilitates the handling and loading of
nationally mandated data fields as well as a comprehensive list of local data feeds. All patient
identifiable data is pseudonymised and validated in accordance with the latest guidance and to
meet National Information Governance and NHS IC data dictionary requirements. This service is
sub-categorised as follows:
• Data extraction, transformation – including application of business rules, pseudonymisation,
validation and load
2012/13
2013/1
4
pseud. Jan ’13
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Dev
elop
•
•
•
3.1.2
Safe haven data warehouse and data warehouse content management
Data security and role-based access (the ability limit access to patient identifiable data to
locally defined roles)
Single data dictionary ensuring consistency across national data sets
Information Management and Delivery Services – The provision of an integrated commissioning
information system which provides a single information source to support a variety of
commissioning information needs. The service is sub-divided into the following categories:
3.1.2.1 Contract & Performance Management, Monitoring and Modelling
Contract & Performance Management and Monitoring – Periodic (monthly as
standard) contract monitoring information (activity and financial) by provider, detailing
actual against planned performance. Reports will be dynamic and allow drill down to
individual practice or patient level where available. Variance and provider year end
forecasts are highlighted by cost dimension. Analysis and Reporting is delivered in the
following sub-categories:
• Service Level Costing
• Budget Planning Development
• Budget Reporting and Variance Analysis
• Comparative Provider Cost Analysis
• Programme Budgeting
• Annual PbR Sense-check from Dept of Health & Road Test Exercise
• Performance Reporting, Management and Planning
• Development of the Contract Information Schedule (Module B, Part 14)
• Advice and analysis regarding counting and coding issues
No service level costings
Budget Reporting and
Variance Analysis (live
M4)
Comparative Provider
Cost Analysis (main
providers only)
Mental Health PbR
included
Contract Modelling - The provision of support for the annual planning process
delivering iterative versions of activity plans and associated costs that are in
accordance with the latest PbR guidance and local contract terms. Analysis and
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Reporting is delivered in the following sub-categories:
• Trend and Statistical Analysis
• Capacity and Demand Analysis (Strat Comm)
• Patient Flow Modelling
• Waiting Time Analysis
• Analytics Support to Clinical Audit
Patient flow
modelling/Waiting time
analysis – Not available
3.1.2.2 Invoice Validation, Challenge and Contract Validation (SUS/SLAM reconciliation)
Information to enable the monthly review of provider activity, handling both National
and local data sets allowing for the creation of contract challenges based on the
supplied activity. The system provides automated challenges as well as manual
challenges based on the retrospective review of information provided. NB It is the
client’s responsibility to determine how this information is used with provider.
3.1.2.3 Statutory and Management Reporting
Submission of all relevant statutory data returns and management reports which fall
into the following categories:
• National Management Reporting
• Local Management Reporting
• National Statutory Returns
3.1.2.4 Clinical Analytics
The provision of a clinical intelligence platform that enables clients to integrate and
manipulate data from different perspectives and sources. Suitable for users with
varying levels of knowledge, skills and ability, the tool will allow the analysis of data at
different levels of granularity, with functionality to drill down to patient level (within the
rules set out by Information Governance legislation). The tool is dynamic and flexible
and allows the client to customise reports, export data and share information with other
users and stakeholders. The tools provide the following key information sets:
• Urgent Care Dashboard
• Utilisation Management – assessing the appropriateness of patients’ treatment
against their clinical need
• Clinical Analytics Tool (includes the following views – not exhaustive):(
This is a current
CCG/CSO project
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available to CCG but not necessarily on a web platform)
o Inpatient Activity/Cost
o Outpatient Activity/Cost
o A&E Activity/Cost
o Referrals Activity/Cost*
o Waiting List/18 RTT*
o Capacity and Demand*
o Management/Board Reports*
o National Indicators*
o Primary & Secondary Care Integrated Reporting*
o Out of hours*
o Delayed transfers*
o QOF Reporting*
3.1.2.5 Pathway Analytics and Reporting
This service enables clients to model the impact of amending or implementing a clinical
pathway, reporting by individual provider and showing both activity and financial
implications. In addition the service enables client to track provider activity and cost
variation from agreed pathways and protocols at differing levels of granularity. Note –
this service is currently available as a retrospective reviewing tool designed to review
historical pathways within the parameters of the available data.
* practice profiles
delivered separately
Not available
.
3.1.2.6 Medicines Management Reporting
The provision of monthly detailed prescribing information to clients using ePact data.
.
Not available
3.1.2.7 Benchmarking Analysis and Reporting
The use of national and local tools, data sources and research and evidence to provide
appropriate benchmarking information to enable full understanding of local population,
finance and activity, in order to identify opportunities to improve quality and outcomes
and/or productivity. The analysis and reports cover the following areas:
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•
•
•
Practice level, regional and national bench marking of disease prevalence,
activity, productivity and cost
Analysis and presentation of productivity indicators by programme/project
Provision of evidence and information on comparative health outcomes where
available
3.1.2.8 QIPP Analysis and Reporting
The provision of information and analysis to support QIPP broken down into the
following key areas:
• Opportunity Identification
• Business Case and Impact Modelling
• Outcomes Reporting
• System Redesign
• Evaluation
3.1.2.9 Risk Profiling and Prediction
Risk stratification solutions that support clinicians and commissioners in identifying high
risk patients through standard and customised reporting. This includes the socioeconomic analysis of a population which aids the identification of ‘at risk’ groups. Note
risk stratification tool licensing costs will not be included in the standard service charge.
3.1.2.10 Public Health Analysis and Reporting for Local Authorities – a service which
could be provided subject to agreement with the relevant local public health
provider
Provision of a public health intelligence service to support decision making:
• Support for the production of key needs assessment
• Support for cross-partnership information and analytics
• Provision of public health statistical analysis and modelling expertise
• Best practice research and evaluation of historical information
• Demographic forecasting and disease trend analysis
• Enables clients to analyse and query data in geographical format
Not Available
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3.2.3
Interpretation, Intelligence and Information Management Services – A specialist team of skilled
analysts will align, and when required, embed into our client’s organisation whilst retaining the links
with the central GEM Informatics Team to ensure the sharing and dissemination of best practice
and analysis. These highly skilled analysts will support clients in the identification of analytical
requirements, access to information, presentation and interpretation of information and provision of
a range of analytical services that are tailored to the individual and shared requirements of our
clients. For example this includes the following categories:
•
•
•
Analytical and Interpretive Services
Contract and Performance Management Support Services
Service Redesign Services
This service is offered at two tiered levels:
3.2.4
•
Level 1 – A dedicated local analytical team provides a service to a number of client
organisations
•
Level 2 - An analyst is embedded into the client’s organisation but managed as part of the GEM
service
•
Level 3 – Additional analytical support will be made available on request and charged on the
standard agreed day rate.
Not available
Strategic IM&T, Programme Management and Enablement & Facilitation Services
•
•
•
•
•
Working with client organisations and the Local Health Community to identify the local IM&T
strategic direction
Integration of the local strategy across the Local Health and Social Care Community
Primary Care Information Support, Facilitation, data quality and consistency and training
Programme and Business Change Management related to IM&T
Management of IM&T suppliers including HIS SLAs where relevant
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3.2 Service Model
The service will be delivered using a mix of a centralised core team of experts and dedicated local analysts/support staff.
The size and heritage of the team of analysts, information and IT experts within the GEM group sets them aside from other information teams.
The team has years of experience of delivering information services within the NHS and uses optimal enabling technology to ensure delivery
of timely information support and IT services.
A GEM senior manager will be identified to work with the customer’s informatics lead to provide oversight and professional support and
advice. The GEM senior manager will tailor the operational input from GEM to ensure added value in the overall offering. The offering
includes quarterly review meetings at which the customer’s systems and processes will be reviewed and tested to ensure they continue to be
fit for purpose.
3.2.1 People
GEM has a team of skilled people both in their central team and at the client level. We have a unique breadth and depth of expertise
available for immediate flexible mobilisation. GEM has an on-going skills development programme and can provide skill transfer services to
clients if required. Working in cross-functional teams is encouraged so that strengths from other services areas can be leveraged to the
advantage of our client base, increasing efficiency and productivity.
3.2.2 Processes
Clients can take advantage of the scale of the GEM services and the bringing together of a wide range of data sources feeding our nationally
accredited data warehouse and management service. GEM aims to deploy a high degree of automation in the delivery of systems and
services to provide best value and efficiency. Intelligence and added value are delivered via qualified and experienced specialist business
and clinical analysts who can provide bespoke, tailored services to meet client’s individual needs in the form of actionable intelligence and
advice. GEM will help clients identify opportunities and realise benefits through a partnership approach to service delivery.
3.2.3 Technology
The technology we employ is selected to optimise value for money. We seek to derive value from infrastructure, delivery and applications
through rationalisation and ensuring effective interfacing and communication. Our philosophy is that technology should be employed in
support of the business and as an enabler to improvement and we apply this both in our service business and our consultancy practice.
We have an established integrated methodology from architecture through to change and on to business, data, applications and technology
delivery. We maintain an accredited staff base in key technologies and methodologies to ensure a reliable high standard of both change and
service delivery. As appropriate you will find our staff appropriately trained and accredited by Microsoft, the Association of Project Managers,
ITIL, The Open Group and others, as well as academic qualifications.
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We work closely with our information governance colleagues to ensure that all privacy and security considerations are taken into account in
planning, risk management and security testing. We apply a rolling replacement programme in conjunction with a reuse policy to ensure that
we maintain the balance between cost effective use and maintaining equipment to match the evolving business requirement.
Our central service desk is accredited to the NHS standard and we are pursuing the HIS accreditation for March 2013 and ISO accreditation
for 2016.
4. Quality and Performance Standards
The following Key Performance Indicator descriptions apply to the service levels detailed in Section 3:
Reference
Performance Area
Timeliness
Availability &
Responsiveness
KPI
Performance Score
•
Routine data and reports to be delivered by…
•
Up to [number] of ad hoc reports to be delivered within y days
•
Routine Queries to be dealt within x days
•
Up to y urgent queries to be dealt with within z days
•
Correspondence to be acknowledged within x?2? working days and x% to be replied to within y days
•
IT support requests to be dealt with within x days
•
Up to y urgent IT support requests to be dealt with within z days
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Quality
Client Satisfaction
Value for Money
•
Accuracy standard for data reports and forecasting
•
Data reports address key local and operating framework requirements
•
Data reports meet pre-defined requirements
•
% of support requests resolved within x days
•
Initial standards based on agreement about priorities for improvement
•
New KPIs to be added based on results of 1st year client survey
•
Number of verbal and written complaints escalated to Customer liaison manager and to senior management per quarter
•
Planned efficiency in delivery of service
•
Any internal efficiency targets to be achieved as part of the delivery of the service
5. Continuous Service Improvement Plan
We will work with our clients to continuously improve our products and services. We will set up planning sessions, led by client account
managers, to keep our customers informed of completed and planned improvements and provide information as to how these improvements will
lead to efficiency savings.
Will be investing to standardise and transform our people, processes, infrastructure, systems and services to provide service improvements and
cost savings to our client.
Meetings will be arranged on a quarterly basis with clients to provide detail on our development plans and timeline for implementation.
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6. Prices & Costs
The CCG and GEM will soon embark upon a detailed analysis of costs by service line in order to ensure services are properly configured in
line with CCG requirements. By March 1st 2013, this work will be complete. At this time a full and accurate schedule of cost by service line
will be submitted.
GEM is committed to delivering value for its customers by maximising economies of scale and driving local efficiencies by managing teams
effectively. We expect to be able to share detailed plans with customers on how we plan to achieve efficiency savings within the following 12
months.
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APPENDIX A – Service Workflows
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Version Control
Version Number
Notes
Date
Author
1.0
First Draft
08/06/2012
Julie Hales
1.1
Addition of KPIs
18/06/2012
Julie Hales
1.2
Inclusion of Feedback from Sharon Murphy
and Addition of Yes/No columns to service
description
17/07/2012
Julie Hales
1.3
Inclusion of Sharon Murphy’s KPI changes
18/07/12
Julie Hales
1.4
Inclusion of Graham Ball’s changes
05/08/12
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PART 2 - STATEMENT OF WORK
Service
Finance Service Bundle (National Service Reference 26, 27 & 28)
Client Lead
Matthew Webb
GEM Lead
Malcolm Miller
Period
1. Purpose
GEM aims to deliver high quality, best in class financial services for clients. The services are divided into 3 groups covering financial
accounting, financial management and financial strategy. These three service categories areas allow clients to benefit from a complete endto-end, one stop shop financial service. Alternatively, clients may purchase individual services or service categories to allow flexibility and
integration into existing financial management processes.
2. Scope
2.1 In Scope
•
•
•
Financial Accounting (Financial Control, Internal/External Reporting, Governance and Risk)
Financial Management (Budget Control, Monitoring & Reporting)
Financial Strategy (Financial Planning (In Year), Business & Strategic Planning)
2.2 Out of Scope
Clients may choose to retain accountability for some elements of finance within their organisations. Where this is the case support of these
services is excluded from this offer unless agreed separately. Implementation and management of new or enhanced initiatives e.g. PbR rollout, would be subject to agreement with the client in respect of additional resource requirements.
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3. Service Delivery
3.1
2012/13
2013/
14
Devel
op
Service Description
The services are broken down into 3 service category areas:
3.1.1. Financial Accounting
The Financial Accounting suite of services is the core set of financial services required by NHS clients.
The services break down into three sub-categories:
•
Financial Control
╸ Balance Sheet Control
To include reconciliation of control and suspense codes, clearance of items in a timely
manner, which may require client input.
╸ Cash Management
To manage the monthly cash draw down, ensure cash is available to meet all valid
commitments and that bank balances at month end are held within DH specified limits.
╸ Asset Register Maintenance
To manage additions and disposals of fixed assets, calculation and application of
depreciation, and ensure that the asset register is updated on a timely basis for both month
end and year end reporting purposes.
╸ Ledger Integrity
To ensure that the ledger is always in balance, that mis-postings are corrected and that all
assets and liabilities are correctly stated.
╸ Management of the SBS Interface
To fulfill the role of account manager for all aspects of the relationship with SBS, including
day to day relationship management and resolution of issues and ensuring that upgrades
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and any other changes in service are appropriately communicated and rolled out to clients.
•
Internal/External Reporting
╸ Annual Accounts
On behalf, and in support of the accountable client, to produce and submit draft and final
accounts, ensuring national deadlines are met. Ensure that all budget holders and finance
teams within clients are appropriately briefed and trained in respect of their responsibilities
in the production of the accounts. Production and management of a year-end timetable
which clearly assigns CSS and client responsibilities. Management of the external audit
process. Input into the annual report as appropriate.
╸ Monthly/Quarterly External (e.g. LAT) Reports
To include production of e.g. FIMS returns for client submission to the LAT, ensuring
internal deadlines are met. Ensure that all budget holders and finance teams within clients
are appropriately briefed in respect of their responsibilities in the production of the monthly
reports. Input in to a month end timetable which clearly assigns CSS and client
responsibilities.
╸ Board (CCG) Periodic Reporting
Production of a suite of balance sheet reports and CSS KPIs for inclusion in client board
reports as appropriate.
╸ VAT, Pension and Statutory Returns
Calculation, management and payover of all statutory payments, and management of the
relationship with external bodies, as far as is appropriate.
Currently at CCG
level. Neighbourhood
& practice based are
under development.
╸ Adhoc Requests for Returns. These will be undertaken where reasonable and subject to
mutual agreement based on the complexity and materiality of effort. Exceptional requests
may require consideration of extra resource.
•
Financial Governance
╸ Internal Audit & External Audit Liaison
Input into the annual audit plan at the request of clients. Support of any audits undertaken
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within any CSS area of responsibility and management of any recommendations that are
agreed.
╸ Counter Fraud Support
Support of any counter fraud investigations undertaken within any CSS area of
responsibility and management of any recommendations that are agreed. Ensure all staff
undertake relevant counter fraud training.
╸ SFIs
Input into and management of delegated approval limits as defined by clients. Maintenance
and management of approved signatory lists.
╸ Policies & Procedures
Ensure all relevant local CSS policies and procedures are up to date, and input into client
policies and procedures as appropriate.
╸ Audit Committee Support
Provision of ad hoc and routine reports for audit committees, as agreed with clients.
3.1.2. Financial Management
The Financial Management suite of products compliments the Financial Accounting services and focus on
the management and reporting of budgets. They breakdown into the following four sub-categories:
•
Budget Control
╸ Budget Setting
Support the management of budgets within agreed financial envelopes. Ensure budget
holders and finance staff are engaged with and their input is used to set budgets
appropriately. Ensure national e.g. operating framework and local assumptions are
included in the budgets.
╸ Reconciliation
Ensure all budgets reconcile each month to the resource limit as notified by the department
of health.
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╸ Recovery
Advise of the need for, input into the process for identifying actions and manage any
schemes required to enable financial recovery.
╸ Recruitment Control
Ensure a process in place to ensure that all recruitment into posts, whether permanent or
temporary are managed in liaison with HR colleagues to ensure that establishment budgets
are not breached.
╸ Support/Training
Devise and deliver a programme of budget holder and client finance staff training.
╸ Budget Virement
Undertake budget virements where authorised and approved by the client representative who
holds the relevant delegated responsibilties.
•
Reporting
╸ Monthly Reporting
Monthly budget reports to be produced which highlight year to date budget, spend and
variances. Highlight the causes of material variances and in liaison with the client, identify
corrective action. Manage and monitor corrective actions agreed.
╸ Forecasting
Collate monthly forecast outturn reports from all areas of client spend, including appropriate
scenarios e.g. best, worst, likely forecasts. Ensure all areas of client budgets appropriately
factored into forecasts, e.g. reserves, SOFP flexibility. Ensure there is a clear plan for
management of financial position for client to manage.
╸ Consolidation
Collate all monthly reports from all areas of client spend into one report, so that the total
financial position for the client can be reviewed and managed by client.
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•
Monitoring
╸ Allocations
Ensure all budgets reconcile each month to the resource limit as notified by the Department of
Health
╸ Contracts
•
Management of External Service Providers/Agencies
CSS will interface with these suppliers either with the client or alone (to be agreed with client) to
ensure that relationships are managed appropriately and actions identified and implemented as
appropriate.
╸
╸
╸
╸
Counter Fraud
Lease Cars
Record Storage
HMRC Inspection
3.1.3. Financial Strategy
The final suite of products, Financial Strategy, helps clients focus on and deliver long and short term
financial and business strategy. They break down into the following two sub-categories:
•
Financial Planning (In Year)
╸ Setting/Agreeing Financial Envelope
Ensure AWP notices and any other SHA notification re budgets are factored into forecast
resource limits. Ensure national e.g. operating framework and local assumptions are
included in the budgets.
╸ Planning Process
Manage the planning process, including the production and management of a planning
timetable which clearly assigns CSS and client responsibilities. Ensure engagement with
and input from budget holders and client finance staff at every stage of the process.
Support provided by
GEM to this task
Support provided by
GEM to this task
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╸ Budget Setting
Management of budgets within agreed financial envelopes. Ensure budget holders and
finance staff are engaged with and their input is used to set budgets appropriately. Ensure
national e.g. operating framework and local assumptions are included in the budgets.
•
Support provided by
GEM to this task
Strategic/Business Planning
╸ Interpreting and Implementing National Guidance and Initiatives, for example:
 National Fraud Initiative
 National PbR Review with Providers
╸ Horizon Scanning
╸ Interpreting Operational Plan/Framework
╸ QIPP Planning
╸ Capital Investment and Management
The following are subject to agreement with client regarding additional resource requirements: ╸ CCG Business Case Development and Support
╸ Financial Assessment of Potential Suppliers
 Under AQP
 Part of Specific Procurement
╸ Financial Management of Pilot Schemes (e.g. Personal Health Budgets)
3.2 Service Model
The service will be delivered using a unique mix of a centralised core team of experts and dedicated local account managers. A GEM senior
manager will be identified to work with the customer’s finance lead to provide oversight and professional support and advice on how the
organisation is delivering the financial services, and how it is developing and operating its financial accounting, management and strategy
processes. The GEM senior manager will then be able to tailor the operational input from GEM to ensure added value in the overall offering.
The offering includes quarterly review meetings at which the customer’s systems and processes will be reviewed and tested to ensure they
continue to be fit for purpose.
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4. Quality and Performance Standards
The following Key Performance Indicator descriptions apply to the service levels detailed in Section 3:
Reference
Performance Area
Timeliness
Availability &
Responsiveness
Quality
KPI
Performance Score
•
Monthly, Quarterly and annual financial control reports to be submitted within x working days
of end of the period
•
Financial management reports and reconciliations to be submitted within Financial management
reports and reconciliations to be submitted within y days of the end of the period
•
Annual budgets to be agreed and signed off within z weeks of financial allocations being made
•
Up to x [number] of ad hoc reports (eg fraud, audit reports) to be completed within defined
timescale
•
QIPP/efficiency plans in place y months before start of financial year
•
Routine queries to be dealt with within x days
•
Up to y urgent queries to be dealt with within z days.
•
Correspondence to be acknowledged within [2 working days] and 95% to be replied to within 5
working days
•
Audit approval of accounts within [add timescale]
•
HMRC sign-off of accounts within [add timescale]
•
Accuracy standard for reconciliations and forecasts
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Client Satisfaction
Value for Money
•
Initial standards based on agreement about priorities for improvement
•
New KPIs to be added based on results of 1st year client survey
•
Number of verbal and written complaints escalated to Customer liaison manager and to senior
management per quarter
•
Meeting national (or locally determined) QIPP/efficiency targets
•
Any internal efficiency targets to be achieved as part of the delivery of the service
5. Continuous Service Improvement Plan
We will work with our clients to continuously improve our products and services. We will set up planning sessions, led by client account
managers, to keep our customers informed of completed and planned improvements and provide information as to how these improvements will
lead to efficiency savings.
Will be investing to standardise and transform our people, processes, infrastructure, systems and services to provide service improvements and
cost savings to our client.
Meetings will be arranged on a quarterly basis with clients to provide detail on our development plans and timeline for implementation.
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6. Prices & Costs
The CCG and GEM will soon embark upon a detailed analysis of costs by service line in order to ensure services are properly configured in
line with CCG requirements. By March 1st 2013, GEM this work will be complete. At this time a full and accurate schedule of cost by service
line will be submitted.
GEM is committed to delivering value for its customers by maximising economies of scale and driving local efficiencies by managing teams
effectively. We expect to be able to share detailed plans with customers on how we plan to achieve efficiency savings within the following 12
months.
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