These checklists have been developed to help assess CCG engagement plans and reports and decide whether or not plans and reports comply with:

  • The five tests
  • The Gunning principles
  • The CCG’s legal duty to engage

How to use the checklists

There are two different checklists to use. The first is a checklist for use with engagement plans, the second a checklist for engagement reports. The reason for using the checklists is so that the CCG is able to:

  • Demonstrate its reasons for being assured that the right level and quality of engagement has been carried out
  • Provide constructive feedback on how those plans or report that do not meet the required standard can be brought up to that standard
  • Provide project leads with a useful list of actions where these are required

Responses

There are two possible responses to the questions in the checklist these are ‘yes’ and ‘no’. In order to answer ‘yes’, the plan or report must fully demonstrate that it contains the feature about which the question is being asked. ‘No’ should be selected if it can be clearly described in what respect the report or plan does not meet the required standard. Where this is the case, actions that would be needed to bring the plan or report up to standard should be suggested.

Below are two examples of possible recommendations, one for a plan and one for a report:

Example: Plans

Question: Is it clear from the plan what people can and can’t influence?
Response: No
Recommendation: The plan does not include a description of what can and can’t be influenced by patients and the public. The whole plan needs to be reviewed in light of this clearer description of influence to ensure that the proposed engagement is proportionate to the degree of influence that patients and the public have on outcomes.

Example: Reports

Question: If some stakeholders weren’t involved, does the report explain this to an acceptable level?
Response: No
Recommendation: The report acknowledges that a key stake holding group –children and young people – did not get involved. It is clear that this was despite invitations being sent to various youth groups. In acknowledging this, the author might want to consider describing some mitigating activity, maybe working with an external agency to hear from this group prior to any decision being made.
Checklist
Engagement plans

Name of project:

Date:

What / Y / N
1 / Does the plan explain the project clearly?
2 / Does the plan cover all stages of the commissioning cycle?
3 / Is it clear from the plan what people can and can’t influence?
Why / Y / N
4 / Is it clear why the engagement is being proposed?
Who / Y / N
5 / Does the plan include a stakeholder list?
6 / Do you feel this list identifies all the right people?
7 / Do you feel that there are any people missing from the list?
8 / Are arrangements in place to reach hard-to-reach groups can be involved?
(if appropriate)
How / Y / N
9 / Has proper use been made of existing patient feedback to shape the plan being presented?
10 / Does the patient feedback used come from all those people who might be affected by any change arising from the project?
11 / In your view, are the methods of engagement the right ones for people being engaged?
12 / Do you feel that the proposed engagement is proportionate to the project?
13 / Does the plan take account of the different engagement needs of those being engaged?
14 / Does the plan include actions to evaluate the engagement?
15 / The information supporting the engagement is appropriate and will support meaningful engagement?
16 / Is there is an effective communications plan in place that will ensure those engaged can be kept informed of progress and outcomes?
17 / Is the information to be shared presented in a clear and simple format and understandable to the general public?
When / Y / N
18 / Has sufficient time been allowed to carry out the engagement?
19 / Does the communication plan clearly set out when people will receive information?
20 / Is the engagement planned for the appropriate points in the commissioning cycle?
21 / Does the engagement plan include details as to how feedback will be provided following completion of the engagement?
Where / Y / N
21 / Does the engagement plan describe activities that are located in appropriate venues?
22 / Does the engagement plan describe how people can engage without attending organised events?
Assurance / Y / N
23 / Is the plan fit for purpose?
If no, then please complete the recommendations box below.
Assurance and recommendations
For learning(these are recommendations that should be implemented for the next engagement activity)
For action(these are recommendations that need to be implemented before engagement takes place)
Checklist
Engagement outcome reports

Name of project:

Date:

Please use this checklist when considering how outcome reports demonstrate that project engagement plans have been implemented effectively.

What / Y / N
1 / Have all the elements of the original plan been implemented?
2 / If not, does the report adequately explain why this was?
3 / Does the report clearly set out how what people have told us has been or will be used?
Why / Y / N
4 / Did the engagement achieve its stated aim?
Who / Y / N
5 / Did all the identified stakeholders have an opportunity to be involved?
6 / If some stakeholders were not involved, does the report explain this to an acceptable level?
How / Y / N
7 / Does the report indicate that people were involved in all stages of commissioning covered by the plan?
8 / Does the report provide evidence of how what people said influenced a final decision?
9 / Does the report provide information on how effective the planned engagement was?
10 / Does the report include a ‘lessons learned’ section?
When / Y / N
11 / Does the report clearly indicate a future timeline for decision-making?
Where / Y / N
12 / Were the venues chosen for engagement appropriate and accessible?
Assurance / Y / N
13 / Are you assured that the engagement undertaken meets the legal duties of the CCG to engage?
If no, then please complete the recommendations box below.
Assurance and recommendations
For learning(these are recommendations that should be implemented for the next engagement activity)
For action(these are recommendations that need to be implemented to assure that the engagement meets the requirements of our legal duty)

The five tests

NHS England has developed five tests for change. Any proposed change must demonstrate:

  • Strong public and patient engagement
  • Consistency with current and prospective need for patient choice
  • Clear, clinical evidence base
  • Support for proposals from local commissioners and clinicians
  • No significant hospital bed closures without credible alternatives

The Gunning principles

The Gunning principles state that engagement should be considered:

  • When proposals are still at a formative stage: Public bodies need to have an open mind during a consultation and not already made the decision, but have some ideas about the proposals
  • Sufficient reasons for proposals to permit ‘intelligent consideration’: People involved in the consultation need to have enough information to make an intelligent choice and input in the process.Equality Assessments should take place at the beginning of the consultation and published alongside the document
  • Adequate time for consideration and response: Timing is crucial.Is it an appropriate time and environment?Was enough time given for people to make an informed decision and then provide that feedback?Is there enough time to analyse those results and make the final decision?
  • Must be conscientiously taken into account:Think about how to prove decision-makers have taken consultation responses into account

The legal duty to engage:

Duty to promote involvement of each patient

  1. Each CCG must, in the exercise of is functions, promote the involvement of patients, and their carers and representatives (if any), in decisions which relate to:
  1. The prevention or diagnosis of illness in the patients
  2. Their care or treatment
  1. The Board must publish guidance for CCGs on the discharge of their duties under this section

A CCG must have regard to any guidance published by the Board under subsection (2); the reasons for any deviation from this need to be clearly set out when such action is taken.

The legal duty to engage:

Involving public, patients and carers

The CCG must involvement the public, patients and carers in:

  1. Planning of commissioning arrangements, which might include consideration of allocation of resources, needs assessment and service specification
  1. Proposed changes to services which may impact on patients

Proportionate engagement

A proportionality graph can help us decide whether or not any particular engagement is ‘proportionate’. In the graph we plot the number of people affected against the impact and from this can get an idea of what ‘level’ of engagement might be deemed proportionate. Figure A demonstrates how this might be usedwhere two people are affected to a considerable extent (life changing).

Figure A: Proportionate engagement graph

Engagement and the commissioning cycle

NHS England has produced a diagram below – Figure B.This indicates how and when engagement can support the commissioning cycle.

Figure B: How public participation can support the commissioning cycle

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