DHB Non-Financial Quarterly Reporting for 2010/11

2016/17

District Health Board (DHB) Non-Financial Quarterly Reporting

DHB Guide to DHB Non-Financial Quarterly Reporting Process and Assessments

Contents

1. Introduction 3

2. 2016/17 Monitoring Framework 4

2.1. Overview 4

2.2. Indicators in the framework 4

3. Crown Funding Agreement (CFA) variation reporting 5

4. Process for Quarterly Reporting 6

5. Timeframes 7

5.1. Standard timeframe 2016/17 8

5.2. Delayed health target timeframe 2016/17 9

6. DHB Quarterly Reporting Website 10

7. Reporting Templates 11

8. Resources for Reporting 12

9. Assessment Criteria/Ratings 13

9.1. Health targets & performance measures 13

9.2. CFA Variations 14

9.3. Initial and Confirmed ratings 14

10. Poor Performance Reporting 15

11. Quarterly Performance Dashboards 17

12. Contact Information 18

Appendix 1: Non-financial performance measure reporting calendar for 2016/17 19

Appendix 2: CFA Variation Reporting calendar for 2016/17 20

1.  Introduction

As part of their Crown Funding Agreements, DHBs are required to supply the Ministry with regular reports on their non-financial performance. These are submitted on a quarterly basis for the indicators agreed in each DHB’s Annual Plan as part of the 2016/17 monitoring framework.

Section 13.3 of the Ministry’s Operational Policy Framework 2016/17[1] details the requirement to provide these reports and sets out the process by which these reports are submitted and assessed.

This document details the process for non-financial quarterly reporting, including the types of measures reported on, the two stage assessment process, the reporting timeframes for 2016/17, what the different ratings mean and how DHBs and the Ministry are expected to work together to address issues with reporting.

2.  2016/17 Monitoring Framework

2.1.  Overview

Prior to 2010/11, the DHB non-financial monitoring framework was designed primarily to assess DHB contribution towards implementation of the Health Strategies. Cabinet decisions from 2000 directed that the focus be weighted towards key priorities identified in formal strategy documents, with less emphasis on activity, output and impacts monitoring. With the current Government’s increased focus on productivity and value for money, the balance has shifted to an increasingly close interest in DHB provider arm activity. This is due to the high level of financial investment in DHB provider arms and their impact on overall health spending.

The 2016/17 monitoring framework is based on the 2014/15 monitoring framework and is intended to provide the Minister with a rounded view of performance. The four dimensions of DHB performance, that reflect DHBs’ functions as owners, funders and providers of health and disability services are:

2.2.  Indicators in the framework

Until the end of the 2009/10 financial year, non-financial reporting was based on a three tier system of indicators. These were health targets, indicators of DHB performance (IDPs), and additional reporting. With the introduction of the dimensions of performance in 2010/11 and the work done to reduce the reporting burden on DHBs, there are now only two tiers of measures: health targets and performance measures.

All health targets are contained within the Policy Priorities dimension and their titles are preceded by the code HT. Performance measures are spread across the Policy Priorities, System Integration, Outputs and Ownership dimensions. The code at the beginning of their title identifies which dimension they fit into, as set out below:

3.  Crown Funding Agreement (CFA) variation reporting

The non-financial quarterly reporting process is also used to collect and assess reports on CFA variations. This is in line with the Ministerial Review Group’s recommendation in October 2009 to provide more centralised collection of reporting on the accountability arrangements and to reduce the reporting burden.

All CFA variations with a reporting component, and created since the 2009/10 year, are required to have their reports collected as part of the non-financial quarterly reporting process. However, there is a small group of CFA variations which will not be reported on via the non-financial quarterly reporting process for the following reasons:

·  Reporting is done directly to a specific Ministry team (i.e. reports for Very Low Cost Access and Zero Fees for Under Sixes and Under Thirteens are emailed to the Primary Care team)

·  The reporting is required at specific timeframes that do not align with the quarterly reporting process timelines and which cannot be moved.

4.  Process for Quarterly Reporting

The DHB Quarterly Non-Financial Reporting process involves two formal rounds of Ministry assessment and feedback on DHB reports against the monitoring framework. The process uses the DHB Quarterly Reporting system which is a web based interface between DHBs and the Ministry.

The process has five main steps:

1. The Ministry populates the reporting website with the list of reports required for the quarter, and sends the reporting template to DHBs
2. DHB reporting is uploaded to the site (by the 20th of the month following the end of the quarter)
3. DHB reports are assessed by the Ministry and initial ratings and feedback are provided via the website
4. DHBs access the initial results and respond to Ministry’s feedback via the website
5. The Ministry assesses the responses and supplies a final rating.

The process is the same for each quarter and is set out in Figure One below. Timeframes for each quarter are provided in the Timeframes section of this document.

Figure One: DHB Quarterly Reporting Process Flow Chart

5.  Timeframes

The timeframes for each quarter are based on working days from the date specified in section 13.3.1 in the OPF:

‘Each DHB will deliver its quarterly report information by the 20th day of the month following the end of a quarter’.

This remains the same for each quarter during the year, as set out below.

There are two timeframes for each quarter; the first is the standard timeframe for all reporting, the second is the delayed health target timeframe. This is used for the Electives health target, the CVD health target, the Smoking health target (primary care component) and the Electives CFA variation due to the nature of these measures and the up-to-date data required.

When normal reporting dates fall on non-business days during 2016/17, the due dates have been extended to the next business day. The dates that final PHO PP data will be available are approximate, as the Ministry cannot discount the possibility of delays in the provision of the data by DHB Shared Services.

To ensure that all stages of the reporting process can be completed on time, it is essential that DHBs endeavour to provide complete reports by the due date each quarter. The Ministry will track the proportion of each DHB’s reports that are provided by the due date and assessment reports on the timeliness of DHB reporting will be provided to both the Minister and DHB’s CEO on an exceptional basis when any issues occur. Allowances will be made where the DHB has sought and been granted an extension (prior to the due date) for reports unable to be provided in time.

5.1.  Standard timeframe 2016/17

5.2.  Delayed health target timeframe 2016/17

6.  DHB Quarterly Reporting Website

The DHB Quarterly Reporting website is designed to facilitate the process of DHBs reporting to the Ministry. All information on reporting for each quarter can be found on this site, including resources and data sets provided from the Ministry to DHBs. Where some datasets are not contained on the website, links will be provided to other sites where the information is located for reporting purposes.

The website is password protected and log-on information is below.

URL: http://www.moh.govt.nz/apps/dhbq.nsf/Logon?OpenForm

User Name: this is your DHB name (e.g. Auckland)

Password: Initially supplied by the Ministry but can be changed.

If you do not know your password, please contact the Ministry’s Quarterly Reporting

(Contact details in section 12)

7.  Reporting Templates

The reporting template is updated each quarter and provided to DHBs when the website has been activated at the start of each reporting period. The reporting template consolidates all the requirements for reports (health targets, performance measures and CFA variations) that are due to be submitted that quarter.

The order in which these appear in the reporting template reflects how they are set out on the DHB Quarterly Reporting website.

This reporting template also contains:

·  the timetable for the current reporting quarter;

·  any updated changes to reporting requirements for the quarter being reported on; and

·  changes that affect the reporting for the reporting year.

The reporting template can be found in the General Toolkit section of the DHB Quarterly Reporting Website.

8.  Resources for Reporting

Resources that are required for reporting include:

·  Data sets provided from the Ministry

·  Templates for reporting

·  Reporting requirement documentation

The DHB Quarterly Reporting website provides all resource information on reporting for each quarter, including resources and data sets provided from the Ministry to DHBs. Where some datasets are not contained on the website, links will be provided to other sites where the information is located for reporting purposes.

The 2016/17 Performance Measure Technical Definitions, found under Accountability Documents on the Nationwide Service Framework Library (NSFL) website, provide details on the reporting required for each health target and performance measure. Links to related non sensitive data sets and reporting templates will be listed alongside individual technical document (rather than with the larger indicator dictionary for each performance dimension).

DHBs’ nominated contacts for quarterly reporting will be advised by email once data sets are available either on the NSFL or the Quarterly Reporting website for each quarter.

9.  Assessment Criteria/Ratings

There are two sets of Assessment Criteria/Ratings for reporting, one for health targets and performance measures, and another for CFA Variations. Both of these are outlined below.

9.1.  Health targets & performance measures

Progress towards each target or measure will be assessed and reported to the Minister of Health according to the reporting frequency outlined in the indicator dictionary for each performance dimension (found on the NSFL). Health Target progress will be publicly reported on the Ministry’s website.

A resolution plan, that outlines the actions being taken to address poorer than planned performance, must be supplied where performance is not meeting the agreed expectation. For further information, see Section 10 Poor Performance Reporting

In some cases, specific assessment criteria are set out for each target or measure. These can be found in the relevant pages of the indicator dictionary or the technical definition document for the measure (both on the NSFL). Where a target/measure description does not include specific assessment criteria, the following criteria will apply: