©2008 grant thornton uk llp. all rights reserved. partner caa use of resources workshop halifax 18...

©2008 Grant Thornton UK LLP. All rights reserved.

Partner CAA Use of Resources Workshop

Halifax

18 May 2009


The Use of Resources Assessment

• Introduction• 2009 assessment framework

– three themes– rotating KLOEs– why the change?– scoring system

• Implications for partner organisations• Timetable


Introduction

• In place for a number of years• Involves external audit assessment across themes• Individual Keys Lines of Enquiry (KLoEs) included

in each theme• Audited bodies are assessed on a 4 point scale for

each KLoE• 2009 sees introduction of a revised UoR

assessment…


2009 Assessment Framework(substantially new elements in red)

Service costs &

performance

Financial reporting

Asset management

Good governance

Risk mgmt. & internal control

WorkforceNatural

resources

Commissioning & procurementSound

financialhealth

DataQuality


Year 1 assessment – rotating KLOEs


Why the change?Key drivers for the new framework

• Alignment to national priorities

• Need for a generic cross-sector framework

• Need to address "other" resources

• Recognise improvement• Emphasise outcomes• "Judgement-based" approach• Integrate work of other inspectorates


Scoring - what are we looking for?

Level 2

Performs adequately

Level 3

Performs well

Level 4

Performs excellently

Arrangements consistent with established professional practice and guidance, meet statutory requirements and operate effectively.

Implemented effective arrangements that are:forward looking and proactive in identifying and developing opportunities for improvement; and include more sophisticated measuring and assessment techniques.

Demonstrating innovation or best practice.

Arrangements sufficient to address the KLOE.

Outputs and outcomes demonstrate arrangements which are effective and have the intended impact, and show evidence of effective partnership working.

Demonstrating strong outcomes for the community including through partnership working.

Arrangements achieve minimum acceptable levels of performance.

Evidence of performing consistently above minimum acceptable levels and achieving VFM.

Evidence of performing well above minimum acceptable levels and achieving excellent VFM.


What does this mean for partner organisations?

• Councils and partner bodies play key role in the community• Recognised that to demonstrate outcomes requires

collaborative working• This is key for bodies subject to the UoR assessment that

want to score highly• Partnership working not separately assessed • However, the theme is incorporated into a number of

KLoEs…


Key assessment areas to demonstrate partnership working

KLoE Ref & requirements: Possible areas of Partnership involvement:

1.1: Financial planning and delivering strategic priorities

• Engaging local community and third sector organisations

• Challenging resource use and best option for providing services

• Delivering priorities and VFM through partnership working

1.2: Understanding costs and performance to achieve efficiencies in activities

• Use of comparative data and benchmarking on costs

• Entering into partnership arrangements to deliver better outcomes - only after risk analysis performed



KLoE Ref & requirements: Possible areas of Partnership involvement:

1.3: Timely and reliable financial reporting meeting the needs of stakeholders

• Review of the financial performance of partnerships

• Views from partners on what information is required in external reporting

2.1: Commission and procure quality services to deliver sustainable outcomes

• LAA: evidence that collaboration has led to improved outcomes / VFM

• LSP: partner bodies approach to commissioning should reflect local priorities

• Understanding of inequalities to narrow the gap



KLoE Ref & requirements Possible areas of Partnership involvement:

2.2: Quality of data to inform decision making and manage performance

• Should be willing and open sharing of data between partners

• Evidence of data use by partners in LAA/LSP to help drive improvement

2.3: Promote and demonstrate the principles of good governance

Partnership governance:

• how many involved in?

• how much £ invested?

• review of financial and performance management

• how are risks managed?



KLoE Ref & requirements Possible areas of Partnership involvement:

2.4: Risk management and internal control

• Demonstration of risk management arrangements in place for partnerships

3.1: Use of natural resources • Use of shared buildings to reduce impact?

3.2: Asset management • Evidence of working together to maximise the use of assets to benefit the community

• Joint working on building projects

• Single points of access to public services


Timetable

• Submission of indicative scores (NHS:April; LG:May)• Area challenge of assessments (NHS:May; LG:June/July)• Update assessment for outturn and accounts audit / further

work (ongoing)• Submission of final scores (NHS:July; LG: August)• National QA (NHS:July; LG:August)• Notification of UoR scores (NHS:August; LG:September)• First CAA reports published (November 2009)

©2008 grant thornton uk llp. all rights reserved. partner caa use of resources workshop halifax 18...

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