These commitments are as follows:

Transcription

1 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 th 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. Page 1 of 41

2 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 commits to finalising this document for approval by CCGs no later than 30 th September 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

3 Attachment 1: Development Plan Note: Definition of basic finance and contracting information was agreed in the GEM development plan overview delivered on 2 nd August 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 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) Sept 2012 Agree KPIs for Commissioning Intelligence and Finance Contract Management (GEM and the CCG will work together to define a detailed contract service specification to be completed no later than 30 th 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 Oct 2012 Corporate Governance, Continuing Health Care, Service Redesign, Medicines Management and Performance Management (agree current service definition) Nov 2012 Definition of other services (not covered above) Sept Feb 2012 March 2012 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 Page 3 of 41

4 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. Page 4 of 41

5 Page 5 of 41

6 Page 6 of 41

7 Page 7 of 41

8 Page 8 of 41

9 Page 9 of 41

10 Page 10 of 41

11 Page 11 of 41

12 Page 12 of 41

13 Page 13 of 41

14 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 1.3 Accepted David/Hina s changes and added Yes/No columns 1.4 Review by Joe Kerin, Theresa Jennison and David Harry 13/7/2012 David Harry 16/07/2012 Julie Hales 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

15 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. Page 15 of 41

16 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 2012/ /1 4 Dev elop 3.1 Service Description 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 pseud. Jan 13 Page 16 of 41

17 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: 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 Page 17 of 41

18 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 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 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 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 Page 18 of 41

19 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* * practice profiles delivered separately 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 Medicines Management Reporting The provision of monthly detailed prescribing information to clients using epact data 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: Not available Not available Page 19 of 41

20 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 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 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 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 Page 20 of 41

21 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: Level 1 A dedicated local analytical team provides a service to a number of client organisations Not available 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 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 Page 21 of 41

22 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 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 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 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. Page 22 of 41

23 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 Quality and Performance Standards The following Key Performance Indicator descriptions apply to the service levels detailed in Section 3: Reference Performance Area KPI Performance Score Timeliness Routine data and reports to be delivered by Up to [number] of ad hoc reports to be delivered within y days Availability & Responsiveness 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 Page 23 of 41

24 Quality 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 Client Satisfaction Initial standards based on agreement about priorities for improvement New KPIs to be added based on results of 1 st year client survey Number of verbal and written complaints escalated to Customer liaison manager and to senior management per quarter Value for Money 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. Page 24 of 41

25 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 1 st 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. Page 25 of 41

26 APPENDIX A Service Workflows Page 26 of 41

27 Page 27 of 41

28 Page 28 of 41

29 Page 29 of 41

30 Page 30 of 41

31 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 Page 31 of 41

32 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. Page 32 of 41

33 3. Service Delivery 2012/ / 14 Devel op 3.1 Service Description The services are broken down into 3 service category areas: 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 Page 33 of 41

34 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 Page 34 of 41

35 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 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. Page 35 of 41

36 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. Page 36 of 41

37 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 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 Page 37 of 41

38 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 3.2 Service Model 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) 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. Page 38 of 41

39 4. Quality and Performance Standards The following Key Performance Indicator descriptions apply to the service levels detailed in Section 3: Reference Performance Area KPI Performance Score Timeliness 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 Availability & Responsiveness 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 Quality Audit approval of accounts within [add timescale] HMRC sign-off of accounts within [add timescale] Accuracy standard for reconciliations and forecasts Page 39 of 41

40 Client Satisfaction Initial standards based on agreement about priorities for improvement New KPIs to be added based on results of 1 st year client survey Number of verbal and written complaints escalated to Customer liaison manager and to senior management per quarter Value for Money 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. Page 40 of 41

41 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 1 st 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. Page 41 of 41