Corporate Objective No 1: To Deliver Value for Money Services to our Customers Report on Board Action Plan Risk Description (Include DATE Current Risk Score Controls Assurances Action By Whom End Date Comment L I S Rate 1. Levels of savings in the overall environment for HSC are so great that BSO service provision to customers are negatively affected and/or we fail to breakeven. The Leadership Centre may be particularly affected by a reduced of client income e.g. HSCB Risk Owner(s) DoF CX / Dirs Type of risk: Economic & Financial 4 4 16 High Budgetary Process Breakeven Budget with specified savings programme Latest Best Estimates Service Offering Meetings held with DHSSPS sponsor branch Budgetary Monitoring (I) SMT Accountability to CX (I) External Audit - Report to those charged with Governance (E) Budgetary Control process (I) Directorate Service Team Meetings (I) Financial Accountability Reviews with Directors (I) Financial Management Standard (I) & (E) Risk Reporting & Review (I) CX Review of Dirs Objectives (I) Dept Accountability Review (E) MIPB Assessment BSO has developed a plan which will deliver the RRL savings required in 2015-16. This has been sent to and agreed with DHSSPS. BSO Service Offering 2015/16 has been issued with SLAs to clients. The Service Offering details cash releasing and productivity savings for the 2015/16 financial year. The actions to achieve both these elements of savings have been factored into the BSO Budget for 2015/16 and a balanced budget has been achieved. The BSO 2015/16 budget was approved by Board on 28 May 2015. DoF/ADFM March 2016 Confirmation received 9th February 2015 that BSO’s recurrent RRL funding will be subject to a 15% cut in A number of SLAs have been signed off for 2015-16 (15 of 16). BSO has received no notification of any impact to 2015/16 funding from the negotiations regarding the NI Executive Budget. BSO has received correspondence from DHSSPS on 12 October 2015 regarding the 2016/17 planning process, requesting savings proposals to address a potential 5%, 10% or 15% savings requirement on recurrent RRL funding. A corporate response to this request will be managed through SMT. The Leadership Centre is currently engaging with going
Corporate Objective No 1: To Deliver Value for Money Services to our Customers Report on Board Action Plan Risk Description (Include DATE ADDED) Current Risk Controls Assurances Action By Whom End Date Comment L I S Rate 2. Inability to prove quality, productivity and VFM, and show that we are competitive and addressing customer expectations. Risk Owner(s) Dirs Type of risk: Financial, Customer/Citizen & Partnership Contractual 2 4 8 High Existing Processes to measure Quality Standards; SLA’S; KPI’s; Framework /Scorecard; Monthly report to Customers; Internal Audit programme; Audit Control Process; Annual Quality report. Accredited Bodies - ISO/Lexcel (E) Monthly Reports to Customers (I) Scorecard monitoring SLA Monitoring (I) Financial Management Standard (I) & (E) Customer Survey (E) SMT Meetings (I) GAC Audit Control Review (I) Dept Accountability Review (E) MIPB Assessment Further participation of BSO Services in Benchmarking programme for 2015-16. Annual completion of the Customer Surveys DoCCP March 2016 December 2015 An update Report was presented to BSO Board in February 2015 and further reports will be presented as required in year.
Corporate Objective No 1: To Deliver for Money Services to our Customers Report on Board Action Plan Risk Description (Include DATE ADDED) Current Risk Score Controls Assurances Action By Whom End Date Comment L I S Rate 4. BSO will face the risk of legal challenge and/or financial loss under new legislation, the Late Payment of Commercial Debt Regulation 2013, which requires 30 day payment of supplier invoices. Risk Owner All Directors Type of risk: Political, Economic, Legislative / Statutory, Financial, Legal, Performance management , Customer/Citizen & 3 4 16 High Policies & Procedures; Service Risk Register - Risk Action Plan; Invoice Backlog Team operational from 1st May. Review of existing payment procedures. SMT monitoring; Risk reporting & review; Corporate Scorecard to Board monthly. SMT oversight of actions to reduce aged invoices. Directors December 2015 Teams continue to address. Prompt payment figures across HSC averaged at 91.21 YTD as at end October. Initiatives including Self-Bill and Cloud Invoicing are being implemented by the Benefits Realisation Project which will improve Prompt Payments.
6. Shared Services may not achieve business case outcomes. Risk Owner Dept SRO Head of Shared Services Dir of Finance (for charging/funding Type of risk: Financial, Physical & Partnership / Contractual 4 4 16 High Feasibility Study (2007) on Shared Services Programme Board Project Structure Dept Review Strategic Outline Case (2009/10) – DFP/Dept Assurance Project re-plan presented to BSTP Programme on 2nd September 2013 and approval received. Project Board (I) Programme Board Reporting (I) DFP/Dept OCB Reviewed (E) SS SS Quality Assurance Group (E) Dept Accountability Review (E) MIPB Assessment Engagement with Senior HSC Officers re design of Shared Services. Public consultation closed end Feb. Ministerial decision announced on 14 May 2012. SMT reviewing the implementation plan & progress on a fortnightly basis. Head of Shared Services March 2016 Benefits Realisation Project established with agreed capital and revenue budgets. Plans have been agreed to deliver OBC benefits by end March 2016. The implementation of Single Pay Frequency initiative has been delayed April/May 2016 which will impact the full delivery of savings by March 2016.
Corporate Objective No 2: To Grow our Services and Customer Base Report on Board Action Plan Risk Description (Include DATE Current Risk Score Controls Assurances Action By Whom End Date Comment L I S Rate 7. Inability to implement new Shared Service for Payroll, Payments, Income, Selection & Recruitment in line with Departmental timetable and customer expectations. Risk of disruption to services and damage to reputation during period of transition due to system problems and inexperienced Risk Owner Head of Shared Services Dept SRO Type of risk: Partnership / Contractual & Customer/Citizen 5 4 20 Extreme BSTP Governance reporting processes. BSO Shared Services Project oversight by BSO SMT. Project operated using Prince methodology. Project re-plan presented to BSTP Programme on 2nd September 2013 and approval received. Working Boards in place with all organisations to deal with cut over activities SSIG & RIB monitoring Strategic adviser appointed to assist BSO SMT. BSTP Programme Board reporting. PMO & reporting established BSTP Implementation Group – regular reporting and review of progress. Central administration, resources and structures to be agreed. Phased roll-out of shared services dependent on systems roll-out and stabilisation. E-Rec implementation plan currently rolled out. Head of Shared Services March 2016 FPL team addressing workarounds and areas of functionality not yet delivered by ABS (including line level matching and This will form part of Benefits Realisation work. Payments, Income and Payroll have all completed transition to Shared Services. E-Rec has been fully rolled out. Adoption of the system continues to progress: SHSCT, BHSCT and NHSCT are complete. WHSCT adoption of roll-out commenced May 2015 and have agreed to go live in April 2016. SEHSCT rollout will commence in January 2016 and is expected to be complete March 2016.
Corporate Objective No 2: To Grow our Services and Customer Base Report on Action Plan Risk Description Current Risk Score Controls Assurances Action By Whom End Date Comment L I S Rate 8. There is a risk that the NIHSC Interpreting Service will fail to meet its objectives due to an inadequate system of governance, risk management and controls. Risk Owner Head of Shared Services Type of risk: Financial; Technological; Performance management; Customer/Citizen; Risk 17.12.2014 4 4 16 High SMT monitoring; Internal report; Risk reporting & review; Head of Service appointed. Implementation of Internal Audit recommendations underway. Recruitment of staff underway. Draft SLA with HSCB to be agreed and signed. Head of Shared Services December 2015 Remaining recommendations to be implemented upon completion of new IT system. This is now due to be complete in December due to additional requirements having been identified by the project board. Interpreting Service Band 5 Operations in post since March 2015. A meeting between Head of Commissioning, HSCB DoF, BSO CX and Head of Shared Services was held on 10th June 2015. A number of actions were agreed to assist in reducing e.g.
move towards a majority of telephone consultations. Corporate Objective No 2: To Grow our Services and Customer Base Report on Board Action Plan Risk Description Current Risk Score Controls Assurances Action By Whom End Date Comment L I S Rate 9. BSO Growth may be negatively affected by transfer of to Department of Justice. Risk Owner All Directors Type of risk: Financial; Physical. Risk Added: 26.03.2015 4 3 12 Medium SMT monitoring; TUPE of staff. Clarification has been sought from DHSSPS on 17 July 2015 as to the operational effect on BSO. Clarification to be sought on the position of NIFRS staff providing the Pensions service. Confirmation has been received from NIFRS that they do not wish to proceed with the enhanced July 2015 To be raised on the Accountability Review agenda. BSO currently providing the following services to NIFRS: Internal Audit, PaLS, ITS & Pensions. Staff are entitled to transfer with the work and agreements need to be reached between NIFRS and staff about potential redeployment prior to transfer of work. Pensions SLA has been signed for a period (Sept 17) year
PaLS service proposals. The Chief Executive has written to NIFRS in September 2015 seeking clarification around SLA arrangements in light of the move to DoJ. Corporate Objective No 3: To Pursue and Deliver Excellence through Continuous Improvement Report on Action Plan Risk Description (Include DATE Current Risk Controls Assurances Action By Whom End Date Comment L I S Rate 10. Inability to implement replacement systems for Finance, HR and Procurement in line with agreed plan. Risk Owner Dir of Ops Type of risk: Partnership / Contractual 4 4 16 High Fully resourced HRPTS and FPL teams in place. Weekly Status Reporting system in for HLC AXON an AXON contractors. Integrated regional Implementation Board established with members drawn from all key stakeholder groups. Programme Risk Register and Report regular reviewed by Quarterly Dept Accountability Review (E) Monthly Programme review Implementation Board monitoring resource plans monthly FPL, HRPTS and Integrated technical groups in place Self-Assessment Gateway Review (I) Gateway Review (E) BRP systems enhancement initiatives are ongoing and are being managed through the project governance structures. Scoping impact and resource of mid-contract upgrade E-Rec implementation plan currently being rolled out. Dir of Ops / Benefits Realisation Manager March 2016 Benefits Realisation Manager March 2016 2016 FPL and (excl E-Rec) now fully live across HSC. The outstanding contractual elements are being delivered by BRP team. Project closedown is anticipated March 2016. A major mid-contract upgrade of FPL is due in 2016/17 and the BRP lead is currently scoping the projected impact and resource required to implement this. E-Rec has been fully rolled out. Adoption of the system continues to progress: BHSCT and NHSCT are complete. WHSCT adoption of roll-out commenced May 2015 and
Programme Board. Programme have received conditional approval of addendum OBC from DFP Supply and DHSSPS. CX Review of Dirs Objectives (I) Reporting to BSO Board have agreed to go live in April 2016. SEHSCT rollout will commence in January 2016 and is expected to be complete 2016.
Corporate Objective No 3: To Pursue and Deliver Excellence through Continuous Improvement Report on Board Action Plan Risk Description (Include DATE ADDED) Current Risk Score Controls Assurances Action By Whom End Date Comment L I S Rate 11. There is a risk to BSO reputation and customer satisfaction due to the limited resource available to support Trusts in undertaking Social Care procurements. Risk Dir of Ops Type of risk: Social; Partnership / Contractual; Legislative / regulatory; Customer/citizen; Financial; Risk Added: 29.01.15 3 3 9 Medium Additional resources deployed through PaLS framework for specialist procurement support to ensure services are supplied to HSC organisations. HSCB led Task and Finish Group was established to address prospective changes to EU Directives and UK Legislation and resource limitations. BSO PaLS to engage with DHSSPS in an effort to secure adequate funding to support the current arrangements forward. HSCB produce a Task & Finish report. Dir of Ops and AD PaLS met with HSCB CEx on 6 July 2015 to progress the issue. A report was subsequently brought to and discussed at the Regional Procurement on 24 July 2015. The matter remains unresolved and correspondence was drafted for BSO CEx to to HSCB CEx. Following a meeting between HSCB and BSO on 30 September, a revised options appraisal is submitted to HSCB and AD PaLS BSO PaLS funding has been secured from the Department for 3 WTEs to provide procurement advice and support on tenders based on capacity; however dependencies remain on the HSCB Task & Finish Group. The Task & Finish Group report recommends extending the existing role for BSO PaLS in supporting HSC organisations to include undertaking all over EU threshold procurements. The Task & Finish Group also recommends additional support from BSO PaLS and funding for this remains a significant barrier to progress and is as yet unresolved.
Corporate Objective No 3: To Pursue and Deliver Excellence through Continuous Improvement Report on Board Action Plan Risk Description (Include DATE Current Risk Score Controls Assurances Action By Whom End Date Comment L I S Rate 12. Benefits of the new FPPS system fail to be realised due to: Contractors declining to use the web based portal, leading to an inability to reduce staff numbers in accordance with plan Required system fixes for defects and/or change controls not being applied, leading to an inability to reduce staff numbers in accordance with plan; Risk Dir of Ops 3 4 12 High Operational & Service Review Group to manage prioritisation and execution of fixes and change controls FPS Project (Benefits Realisation) will monitor the progress and consider means of increasing uptake if necessary (a) FPS has planned training events and will use roadshows and other meetings with contractor and their representatives to promote the benefits to contractor of using the portal; (b)FPS to gain commitment from HSCB to continue to encourage contractors to use the portal; (c)FPS to develop an interim contingency plan to resource system impacts in the event of contractors not using the portal. Dir of Ops March 2016 FPS has gone live for all three elements – Pharmaceutical, Dental and GP payments. Work is progressing on resolution of issues identified within the new Dental system particularly in respect of Prior Approvals. A backlog of work has accumulated due to the system not transmitting messages to contractors. There may be an adverse impact upon patients’ oral health. The issue of Prior Approvals is stated as a Divergence in the Annual Governance Statement 2014-15. An action plan to address the backlog was approved by the Project Board on 12th June 2015. Progress
Corporate Objective No 3: To Pursue and Deliver Excellence through Continuous Improvement Report on Board Action Plan Risk Description (Include DATE ADDED) Current Risk Controls Assurances Action By Whom End Date Comment L I S Rate 13. Failure of key ITS Applications & Infrastructure impacting delivery of Critical Services to Customers. Risk Owner Dir of CCP Type of risk: Technological & Customer / Citizen 3 4 12 High Security Procedures; Testing of Business Continuity Plan; Change Control Process; Testing and planning associated with significant change. Engagement of professional report (Gartner). Internal Audit (E) External Audit (E) SMT Review of ICT Programme (I) Systems Risk Assessment (I) Additional assurances Most of the Gartner actions have been achieved with the remainder Dir of Finance/ Dir CCP June 2015 A full Disaster Recovery (DR) test was completed in May 2015 based on a scenario of having to evacuate Centre House and carry on operations from the DR site at Boucher Crescent. The mobile DR Unit was positioned within the yard in Boucher as part of the test exercise. It has been confirmed that the unit can be connected to the HSC network and the GP OOH solution has been restored from the third copy and tested within the DR unit.
Corporate Objective No 3: To Pursue and Deliver Excellence through Continuous Improvement Report on Board Action Plan Risk Description (Include DATE Current Risk Score Controls Assurances Action By Whom End Date Comment L I S Rate 14. Fail to implement robust information governance process. Risk Dir of HRCS Dirs Type of risk: Legislative / Regulatory & Performance Management 3 3 9 Medium Policy & Procedures Information Governance / Records Mgt CA Standard Audit Control Risk Register/ Action Plans A range of IG policies renewed and agreed at August, September & October 2013 Board meetings. New IGMG sub-group established to review the new standard and compare with the current standard. Assessment by Internal February 2014 CAS Assessment - Records Management /ICT/Governance (I) & (E) Information Governance Group Report (I) Service Risk Reporting & Review (I) GAC Audit Control Review (I) other CA Standards Assessment (I) & (E) Mid-Year Assurance Statement / GS (I) GAC Report (I) CX Review of Dirs Objectives (I) New Information Management Controls Assurance Standard has been issued by DHSSPS who have asked HSC organisations for comments. Ensure regular update on Data Protection and refresher training is available. Action plan being implemented and evidence gathered on ongoing basis. Regular progress reports to SMT. DoHRCS Apr -Mar 2016 DoHRCS Apr -Mar 2016 BSO self-assessed as Substantive Compliance for in line with DHSSPS expectations. 15
Transfer of information as a conduit organisation (especially medical files relevant to FPS & Legal) and development of action plan. Audits of record management policies underway as part of IG Improvement Plan to March 2016). (a) Guidance to be sought from ICO on how to manage sensitive medical information in transit planned for Autumn 2013 (I) Regular progress reports to SMT/Board regarding action plans (I) IG update to new Business Committee (Aug 2015). BSO to communicate with Info Owners to advise that all medical files to be checked before forwarding to BSO. BSO to out periodic checks of files in transit. Internal assessment of the Information Management Controls Assurance standard is due to be completed Autumn 2015.
Corporate Objective No 3: To Pursue and Deliver Excellence through Continuous Improvement Report on Board Action Plan Risk Description (Include DATE ADDED) Current Risk Score Controls Assurances Action By Whom End Date Comment L I S Rate 16. Delays in payroll responding to pension queries may result in fines from the Pensions Regulator. There is also a wider reputational risk associated with delays in the ability to provide estimates. 3 4 12 High Dedicated Payroll Liaison Officer and Dedicated Payroll team in place. Twice-weekly conference calls between HSCPS and SSC Payroll. HSC Pension Service to have read only access to HRPTS to deal with minor issues/queries Ongoing monitoring of numbers of outstanding payroll enquiries by both Pensions and Payroll teams. Monthly Update to SMT Head of Shared Services Outstanding queries are under active management and volumes are decreasing. A total of 191 queries have been resolved from 1 Nov 2015 to date, including new queries. As at 8/12/15 the number of outstanding queries is 163. In the short term, Pensions have released a staff
Risk Head of Shared Services & Dir. Of Operations Type of risk: Financial, Customer/Citizen, Statutory, Risk Added: 12.10.2015 HRPTS/Altair (payroll/pension) interface to be implemented following resolution of cumulative annual data Provision of access to HRPPTS for Pensions staff Development of an interface between Pensions system and HRPTS Provision of access to legacy payroll data for Pensions staff Training needs of Payroll staff to be identified and targeted training to be carried out. . October 2015 January 2016 November 2015 November 2015 member to deal with the backlog. Read-only HRPTS access went live on 14th October. The interface has been delayed from the initial design as this design did not enable access to historical information. The revised change request is due to be complete December 2015. Live Complete. Further training to be identified.
Corporate Objective No 3: To Pursue and Deliver Excellence through Continuous Improvement Report on Board Action Plan Risk Description (Include DATE ADDED) Current Risk Score Controls Assurances Action By Whom End Date Comment L I S Rate 17. If the HRPTS system update fails then i) payroll may become unstable ii) workforce information/data may be corrupted iii) planned developments may be delayed 2 4 8 High Fully resourced HRPTS teams in place. Weekly Status Reporting system in place for the system supplier. Regression testing designed to reflect Monthly Project Board review UAT exit strategy agreed. Testing to be performed by HSC functional groups phase of testing completed. Second phase to begin 26 October 2015 Benefits Realisation Manager December 2015 Testing schedule in place BRP Leadership are project managing the implementation and the project risks/mitigating actions, supported by the BST team and IT team.
Corporate Objective No 4: To Enhance the Contribution and Development of our People Report on Board Action Plan Risk Description (Include DATE ADDED) Current Risk Score Controls Assurances Action By Whom End Date Comment L I S Rate 18. BSO current skill mix does not meet future business needs. Risk Owner Dir of HRCS Dirs Type of risk: Managerial / Professional 3 3 9 Medium Revised Workforce Strategy approved by February 2014. Job Description/ Personal Specification Staff Survey Review PaLS Skills gaps. Staff development / strong commitment to training. Outcome of HSC Staff Survey (E) Customer Surveys (E) SMT/Board Review of Surveys (I) Staff Appraisal - PDPs (I) CX Review of Dirs Objectives (I) A Sub-group has been established to consider a range of issues in PaLS including workforce issues. Business Case skills. Moving Forward Programme launched. Further work to identify recruitment issues. Workforce Planning ongoing in a number of Directorates. Scoping the direction of several Service Areas on behalf of DHSSPS. Re-accreditation of IIP underway. DoHRCS March 2016 Dec 2015 November 2015 Discussions underway with Directors in respect of strategic work plans for the next 3 years. A number of specific skills areas to be addressed. Workforce Plan for ITS due to be finalised December 2015. Action plans in place for Shared Services alongside Corporate action plan. Work underway on PaLS workforce plan and is due to be completed December 2015.
1 1. Levels of savings in the overall environment for HSC are so great that BSO service provision to customers are negatively affected and/or we fail to breakeven. The Leadership Centre may be particularly affected by a reduced level of client income. 3. Lack of resources to unlock the business case benefits for Finance, HR, Procurement and FPS Business Systems Replacement BSO requires confirmation of DHSSPS’s commitment to cover any unanticipated funding pressures within the areas affected, primarily BSTP. Currently engaging with HSC clients re development of Service offering for 2015-16 will deal with the issue of Management Fees. The issue of reduced funding for the Leadership Centre has been resolved for 2014-15, with a commitment from the Trusts that they will negotiate with BSO regarding any reductions in the Service Level Agreement for 2015-16. Issue of revenue costs for implementation of shared services systems remains unaddressed. Whilst appropriate steps have been taken to resource the BRP team, this continues to be a challenge with BRP Project Manager leaving in December 2014. A new interim Project Manager has been appointed and is in post. 2 6. Inability to implement new Shared Service for Payroll, Payments, Income, Selection & Recruitment in line with Departmental timetable and customer expectations. A review of Recruitment & Selection staffing levels across HSC organisations is underway which will inform a decision on the rollout of Recruitment & Selection Shared Services. W.E.F. 29.01.2015, Shared Services Payroll will be providing payroll & travel across all the HSC. Proposed implementation dates for Bank Reconciliation: NHSCT – complete SEHSCT – complete SHSCT – complete – completed March 2015 BHSCT – completed March 2015 3 9. Inability to implement replacement systems for Finance, HR and Procurement in line with agreed plan. 10. (a) In advance of FPS Replacement System, older more manually intensive systems fail to meet their objectives. SEHSCT, NIAS & NIMDTA – 2 February 2015; – 1 April 2015 Draft readiness plans shared with NHSCT for and deployment in May 2015. Dates for WHSCT & SHSCT to be confirmed by Trusts. Dentists have received estimated payments for complex claims valuing approx. 7% of the payment. User Acceptance testing on the new GP Payment system is drawing to a close.