The Integrated Care Board’s Risk Management Policy and Board Assurance Framework underpin the its wider risk management framework and describes the organisation’s approach to risk management, including risk appetite tolerance.
The policy defines responsibilities for risk management and associated governance arrangements, including reporting arrangements to the board. It is intended to promote and embed best practice throughout the organisations and is applicable to all levels of risk.
The policy facilitates a dynamic approach to risk management thereby enabling the ICB Board to remain sighted on the highest level risks and assure itself that appropriate mechanisms of control are in place.
Board Assurance Framework (BAF)
Strategic risks are high-level risks that are pro-actively identified and threaten the achievement of the ICB’s strategic objectives and key statutory duties. Strategic risks are owned by members of the ICB Board, managed by the ICB Committees and are outlined within the ICB’s Board Assurance Framework (BAF).
The ICB has three Strategic Aims detailed below. Each BAF links to one of the three Strategic Aims.
Strategic Aim – To improve overall health outcomes including life expectancy and healthy life expectancy rates for people (adults and children) living in Derby and Derbyshire.
Strategic Aim – To improve health and care gaps currently experienced in the population and engineer best value, improve productivity, and ensure financial sustainability of health and care services across Derby and Derbyshire.
Strategic Aim – Reduce inequalities in health and be an active partner in addressing the wider determinants of health.
The Assurance Framework provides the Board with confidence that the ICB has identified its strategic risks and has robust systems, policies and processes in place (controls) that are effective and driving the delivery of their objectives (assurances).
The Assurance Framework reflects both strategic risks relevant to the ICB as a corporate body and strategic risks associated with the delivery of system objectives/priorities.
The Assurance Framework plays an important role in informing the production of the Annual Governance Statement and is the main tool that the Board should use in discharging overall responsibility for ensuring that an effective system of internal control is in place.
The 2022/23 strategic risks for the ICB are:
SR1 – There is a risk that increasing need for healthcare intervention is not met in the most appropriate and timely way and inadequate capacity impacts the ability of the NHS in Derby and Derbyshire and upper tier Councils to deliver consistently safe services with appropriate levels of care.
SR2 – There is a risk that short-term operational needs hinder the pace and scale required to improve health outcomes and life expectancy.
SR3 – There is a risk that the population is not sufficiently engaged in designing and developing services leading to inequitable access to care and outcomes.
SR4 – There is a risk that the NHS in Derbyshire is unable to reduce costs and improve productivity to enable the ICB to move into a sustainable financial position and achieve best value from the £2.9bn available funding.
SR5 – There is a risk that the system is not able to recruit and retain sufficient workforce to meet the strategic objectives and deliver the operational plans.
SR6 – There is a risk that the system does not create and enable One Workforce to facilitate integrated care.
SR7 – There is a risk that decisions and actions taken by individual organisations are not aligned with the strategic aims of the system, impacting on the scale of transformation and change required.
SR8 – There is a risk that the system does not:
A . establish intelligence and analytical solutions to support effective decision making.
B. deliver digital transformation.
SR9 – There is a risk that the gap in health and care widens due to a range of factors (recognising that not all factors may be within the direct control of the system) which limits the ability of the system to reduce health inequalities and improve outcome.
