BERKSHIRE WEST CLINICAL COMMISSIONING GROUPS Corporate Risk Register (May 2018)

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CATEGORY: Quality Lead: Nurse Director Q6 SO2 There is a collective risk to provider workforce management, total establishment staffing levels. All provider organisations with the local health economy have detailed risk regarding workforce. More specifically this is with reference to patient facing staff at a variety of AfC bands, within a number of clinical specialities. Therefore, there is increased reliability on bank and agency staff which pose a risk to the continuity of patient care and have a financial impact. Monitor/ There are a number of methods of monitoring the workforce key performance indicators, this is completed on a monthly basis as per contractual requirement. These included: Turnover Sickness Agency spend Within the Clinical Quality Meetings provider commissioner interface, there are requested for deep dives relating to Human Resource issues and provider actions to mitigate significant risk. Quarterly Quality Committee Source: CCG Quality Team New risk added December 2017 4 4 16 Additionally vacancy rate, recruitment and retention plans are discussed during Quality assurance Visits. More recently there is the Accountable Care System workforce steering group which has been recently launched in order to address some of these issues collectively. This could include the exploration of working differently across the system in order to maintain safety and meet patient demand. 4 4 16 Last reviewed: May 2018 Quality Committee Next review: July 2018 Quality Committee CATEGORY: Finance Lead: Acting Chief Finance Officer (RC) 1

F1 S03 The financial plan contains significant risk to delivery of agreed financial position particularly in relation to: acute contract over-performance mental health placements CHC NCAs Source: CFO 4 4 16 Monitor/ Marginal rate contract agreed with RBH to Weekly ICS CFOs support cost reduction model in 17/18 has been rolled forward to 18/19 pending ICS Unified Exec further discussion regarding different with feedback to contract form and payment mechanism. Finance Guidance on the system control total now Committee and GB received and reviewed by CFOs with recommendations going through board approvals. Work on understanding provider cost being developed with NHSE/I support. Work on understanding all risks and mitigations first draft due June 2018. Improved scrutiny of non-local contracts required (dependent on capability of CSU staff). Raised as an ongoing issue with CSU. Repeated at meeting with CSU on 21 May along with clear message of intent to withdraw from the service. Improved reporting for programme boards, developed in 17/18 presented to Finance Committee in June.Q1 with increased focus from finance team following completion of merger work. Continued regular dialogue with NHSE regarding the financial position and any risk/opportunities. CCG n year mitigations under development for presentation at month 2. Last reviewed: May 2018 Acting CFO Next review: June 2018 Finance Committee Programme Boards Calls with NHSE plus NHSE FLT meetings. Finance Committee and GB 4 4 16 NO (Actions in train but need time to impact and benefits of ICS still in developm ent) 2

F2 S03 2018/19 CCG and System Efficiency Programme not deliver as planned. Source: CFO 4 4 16 Monitor/ System Efficiency Plan for 18/19 developed Weekly ICS CFOs for discussion with ICS groups. CCG CIPs/Efficiency identified at 5.5m and rated low risk. To be reviewed by FRG (terms of reference to be reviewed May 2018). of Right Care Opportunities (timescales tbc) of NHSE Financial Resilience Toolkit (Q2). Unlikely to yield many new opportunities. ICS Unified Exec with feedback to Finance Committee and GB Programme Boards/PMO FRG meeting Finance team supported by PMO 4 4 16 NO (Schemes still being implanted with some back end loading of activity) CATEGORY: Primary Care Commissioning Committee (PCCC) Last reviewed: May 2018 Acting CFO Next review: June 2018 Lead: ACO (HC) PrC2a S01, S02 Viability of existing providers and ability to deliver new service models described in Primary Care Strategy may be affected by capacity and staffing constraints. Source: PCCC 4 4 16 Workforce workstream of GPFV underway and linked with broader ACS workforce strategy. Further details provided in Paper 8.0 to this Committee and regular updates provided through Programme Report. Practices continue to report difficulties with staffing and GP recruitment and retention in particular. Ongoing risk assessment processes in place and staffing discussions taking place with practices identified as particularly vulnerable. Increasing reliance on locums is particular issue being considered by Alliances. Quarterly JPCCC 4 4 16 No actions are being taken as set out in GPFV Programm e Report. Last reviewed: March 2017 PCCC 3

Monitor/ Next review: June 2017 PCCC PrC2c iii S02 High number of special measures practices indicates that quality improvements are required and may affect viability of these practices going forward. Source: JPCCC 4 4 16 iii) NWR CCG Special measures practices (Circuit Lane and Priory Avenue surgeries) Practices re-inspected, Circuit Lane report awaited, Priory Avenue rated Requires Improvement but remains in special measures. Further follow-up visits undertaken from which report is awaited. Ongoing discussions underway with providers regarding staffing, sustainability and quality of provision including future approaches regular updates being provided to Part B of PCCC and shared with Patient Participation Groups and Healthwatch. General points: All other practices rated Good. Quality Framework and Dashboard incorpo risk indicators is now in place and will support proactive conversations with practices facing particular challenge. Feeds into consolidated Primary Care Quality Report. As reported previously have also provided guidance to practices on preparing for CQC visits. Last reviewed: December 2017 PCCC Next review: March 2017 PCCC Quarterly JPCCC 4 5 20 No CCG undertakin g intensive work on Circuit Lane and Priory Avenue contracts with regular updates provided to Part B of PCCC and shared with Patient Participati on Groups and Healthwat ch. Risk to be reviewed in April 2018. 4

PrC5 SO4 Practices will not engage with re-design of same-day access thereby hampering efforts to achieve sustainability by enabling practices to better manage demand and adversely affecting ability to reduce A&E attendances and non-elective admissions and meet national requirements to expand seven-day provision. Monitor/ 4 4 16 GP Alliances now developing detailed Quarterly PCCC 4 4 16 delivery plans building on existing provision. However national planning guidance has brought timescale for delivery forward to October 2018 which will be extremely challenging. This is also a particular focus of the national ICS exemplar programme of which Berkshire West is part. Also remains lack of clarity around procurement requirements and IT solutions available will not provide full interoperability. Additional capacity from NHSE GPFV roles being sought to support delivery. Progress reported to PCCC through GPFV Programme Report. Last reviewed: March 2017 PCCC Next review: June 2017 PCCC No urgent actions being taken including clarifying requireme nts, seeking additional capacity from NHSE GPFV leads and remodelling Enhanced Access CES. 5

PrC6 SO1, SO2 Lack of effective Primary Care Support Services through Primary Care Support England (PCSE, provided by Capita) will have adverse impact on GMS/PMS/APMS service delivery including availability of medical records, list management, registrar and pension payments, availability of clinical supplies and timely completion of changes to the performers list. Monitor/ 5 4 20 Capita contract is managed by NHSE at PCCC 4 4 16 a national level. Rectification plan currently in place and regular updates being received through TV Primary Care Forum showing progress made. PCSE updates also going to practices directly. CCG Primary Care Contracts Manager also monitoring issues. NHSE TV local team liaising with local NET (National Engagement Team) manager around practice specific issues. Some concerns emerging regarding financial health of Capita based on press coverage situation being monitored and contingency plan being developed by finance team. Last reviewed: March 2017 PCCC Next review: June 2017 PCCC No finance team developin g contingen cy plan. 6

Monitor/ CATEGORY: A&E Delivery Board Lead: Operations Director (MM) UC1 S01, S02 Description: There is a risk that A&E 4 hour performance ope plan trajectory may not be achieved. Source: Constitutional Standard and Ope Plan Requirement. Owner: A&E Delivery Board (Downgraded from red May 2018) 5 4 20 Required Controls: Continued monitoring at Trust and A&E Delivery Board level. Actions to Reduce/Mitigate Risk: Forms the main work of the A&E Delivery Board. UCOG continue to focus on operational delivery. There are 3 times weekly (increased to daily in times of increased pressure) system resilience calls focusing on supporting patient flow. Update: Although the A&E 4 hour trajectory for 2018-19 is not yet agreed with NHS I, performance in May-18 was significantly improved for both Type 1 attendances and the system and as at mid May system performance was above 95%. A&E Delivery Board UCOG 4 3 12 Yes ed: May 2018 CCG Urgent Care Team Next : June A&E Delivery Board 7

Risk Assessment Tool (Risk Matrix) The CCG has adopted a risk assessment tool, which is based on a 5 x 5 matrix (Used by Risk Management AS/NZS 4360:1999, revised 2004). The risk matrix shown below is drawn from the National Patient Safety Agency A Risk Matrix for Risk Managers guidance published in January 2008. Risk assessment involves assessing the possible consequences of a risk should it be realised, against the likelihood of the realisation (i.e. the possibility of an adverse event, incident or other element occurring which has the potential to damage or threaten the achievement of objectives or of service delivery). Risks are measured according to the following formula: Likelihood x Impact All risks need to be rated on two scales - Likelihood and Impact (consequences), using the scales below. Likelihood To establish the Likelihood score go to the Likelihood definition scale below. Choose the most appropriate likelihood of the event occurring again from the five rows. The likelihood score is the number at the left hand end of the row. Level Detail Description examples 1 Rare: May occur only in exceptional circumstances 2 Unlikely: Could occur at some time 3 Possible: Might occur at some time 4 Likely: Will probably occur in most circumstances 5 Almost certain: Is expected to occur in most circumstances 8

Impact (consequences, severity) To establish the Impact score use the Impact definition scale below. For the risk/issue you have identified, consider what would happen if this risk were to be realised and choose the most appropriate row. The Impact score is the number at the top left-hand end of the selected row. 1 2 3 4 5 Descriptor Negligible/Insignificant Low (Green) Moderate High Very High s/projects Insignificant cost increase / schedule slippage. Barely noticeable reduction in scope or quality < 5% over budget / schedule slippage or minor reduction in quality / scope 5-10% over budget /schedule slippage or reduction in scope or quality. 10-25% over budget / schedule slippage or failure to meet secondary objectives > 25% over budget / Schedule slippage or doesn't meet primary objectives Injury (Physical/Psychological) Minor injury not requiring first aid or no apparent injury Minor injury or illness, first aid treatment needed RIDDOR / Agency reportable Major injuries, or long term incapacity / disability (loss of limb Death or major permanent incapacity Patient Experience /Outcome Unsatisfactory patient experience not directly related to patient care Unsatisfactory patient experience - readily resolvable Complaints/Claims Locally resolved complaint Justified complaint peripheral to clinical care Service Business/Interruption Loss / interruption > 1 hour HR /Organisational Short term low staffing level development Temporarily reduces service quality (< 1 day) Staffing and Competence Loss / interruption > 8 Hours Ongoing low staffing level reduces service quality Mismanagement of patient care, short term effects (less than a week) Below excess claim. Justified Complaint involving lack of appropriate care Loss / interruption > 1 day Late delivery of key objective / service due to lack of staff. Minor error due to ineffective training. Ongoing unsafe staffing level Financial Small loss Loss > 0.1% of budget Loss > 0.25% of budget Inspection/Audit Minor recommendations. Recommendations given. Reduced. Challenging Minor noncompliance with Noncompliance with Recommendations. standards standards Noncompliance with core standards Adverse Publicity/Reputation Rumours Local Media - short term. Minor effect on staff morale. Local Media - long term. Significant effect on staff morale Serious mismanagement of patient care, long term effects (more than a week) Claim above excess level. Multiple justified complaint Loss / interruption > 1 week Uncertain delivery of key objective / service due to lack of staff. Serious error due to ineffective training Loss > 0.5% of budget Enforcement Action. Low. Critical report. Major non compliance with core standards National Media < 3 Days Totally unsatisfactory patient outcome or experience Multiple claims or single major claim Permanent loss of service or facility Non delivery of key objective / service due to lack of staff. Loss of key staff. Critical error due to insufficient training Loss > 1% of budget Prosecution. Zero. Severely critical report National Media > 3 Days. MP Concern (Questions in House) 9

Risk Score/ To calculate the inherent /: Select the appropriate row for Likelihood and the appropriate column for Impact. The square where the rows intersect represent the /, e.g. a risk with a likelihood of 2 and an impact of 3 would be scored as 6 and rated YELLOW (M = Medium). The colour codings categorise risk as follows: Low (Green), Medium (Yellow), High (Amber), Very high (Red). [This table may not be applicable for all situations. If this is the case, the table sets out a scale of parameters which can be used as comparable measures.] Please note: The inherent / should not take into account the controls and assurances already in place to manage the risk. These should be taken into account when calculating the residual. Risk Scoring Matrix The 'Impact' and 'Likelihood' scores are multiplied together to calculate the inherent see example above. Likelihood Impact 1 2 3 4 5 1 L L L L L 2 L L M M H 3 L M H H VH 4 L M H VH VH 5 L H VH VH VH 10