Meeting slide pack

Report
AGC Slide Pack – 11 December
Shared Business Services & McCracken
Update
Mark Bennett
Director of Finance & Facilities
11December 2013
Shared Business Services Update
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DH Family introductory workshop held with Arvato - October
HFEA introductory scoping workshops with Arvato w/c 25 Nov (some
shared w HTA): general, Finance & Procurement; Payroll & HR; IT
DH Migration Board initiated (2nd meeting 10 Dec); ToR and
representation on Arvato ISSC1 Boards being agreed
‘Small six’ ALBs meeting 17 December – to share notes, compare
progress and compatibilities for ‘Arvato lite’ (HFEA, HTA, HRA, NICE,
Monitor & NHSLA)
January 2016 remains preferred slot for HFEA (and HTA) but some of
‘small six’ might migrate early in 2015 hence engagement now
Arvato propose 9-12 month migration standard; 3 month for ‘small six’
HFEA upgrade of SAGE and use of HR.net makes our existing
processes not dissimilar to Arvato ISSC1 designs (early days)
Becoming clearer that tasks of junior finance role, definitely, and junior
HR role, quite probably, substantially transfer to ISSC1
McCracken Review Update
 Rec 2, on track for April 2014: Job Role for Shared FD developed,
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DH approved and salary point determined; interviews being scheduled
Recs 4 & 13, in progress:
Stakeholder engagement survey part
of IfQ preparations; Corporate Strategy includes strengthening
arrangements and taking action on remainder
Rec 5, delayed to summer 2014:
Fee Review Group conflict
with other stakeholder involvement, not achievable 2013/14 in time for
1 April fee review; next available opportunity 1 October 2014
Rec 6, in progress:
Reducing burden essential ingredient and
outcome of IfQ
Rec 7, in progress:
Improved use of information; improved
(information) support to ART-conceived – embedded in IfQ
Rec 8, on track:
HRA / HFEA co-operation agreed Nov 2013
Rec 11, in progress: MHRA joint working an active workstream
Rec 10, in progress: Regulatory focus – part of Corporate Strategy
Rec 12
Complete (eliminate duplication w CQC)
Outstanding Debtors Report:
Update
Mark Bennett
Director of Finance & Facilities
11 December 2013
Outstanding Debtors Report
 Debtors 2013 month end balances:
February £505k
 October
£598k Invoiced
£370k
 Overall position little changed, operationally, since last update ‘Excess’ of about £100k
 Long-dated outstandings:
 £173k related to two clinics managed by same PR, of which:
 £42k provisioned March 2013 and approved for no further recovery
 Letter to PR drafted, revised and sent 10 December updating on
status of £42k and requiring progress on remaining £131k
 One clinic financial status is now ok; other clinic invoices pursued
 Letter requires formal information from PR and accountant within 14
days contradicting HFEA payment status of the invoices (sent May
2011 and now resent), or
 Letter requires payment within 28 days or formal agreement to offset
and make progress on legal payables to PR
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7 Internal Audit Update
HFEA AGC December 2013
Internal Audit Plan 2013/14 – Progress Update
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The following Reviews are at fieldwork stage:
• HFEA Payroll and Expenses
• Risk Management Review
• Review of governance arrangements
The following reviews are being scoped with senior management:
• Justin McCracken/Francis Reviews – Assurance review of HFEA progress in
implementing actions
• Data processing arrangements
HFEA
Next Steps
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Audit Reviews
• The reviews listed above will be completed in quarter 4. We would report
progress at the next AGC.
Annual Audit Opinion
• We expect to have undertaken sufficient work by year-end to provide an annual
audit opinion.
HFEA
Health Group Internal Audit Update
Group Reviews
• Where we undertake reviews that impact on the operations or activities of all members
of the Health Group Audit Service, we intend to share good practice and lessons across
the group e.g. Information Governance.
• We are currently discussing with ALB Heads of Internal Audit the possibility of
undertaking group reviews based on common themes. Work is on-going at the moment
and when a draft group plan is developed this would be shared with the HFEA AGC.
HGIA Assurance and Governance Event – 30th January 2014
• Audit Committee members as well as Finance/Governance Directors are invited
HIA/NAO Meetings
• HGIA and NAO have in place scheduled meetings. Issues discussed cover NAO upcoming
reviews (both inspections and financial audit work) as well as our planned work. Areas
of focus in the future would be work done across the group.
HMT/Cabinet Office
• We are providing HMT/Cabinet Office regular updates and KPI’s on our performance.
• HMT has also been directing HGIA/other central government internal audit groups to
undertake specific work e.g. Review of Departmental Quarterly Data Submissions. So far
requests have not extended to ALBs.
HFEA
Compliance and Information Risks
Debra Bloor
Head of Inspection
11 December 2013
Managing sector risks
Compliance
activities
Risk based
assessment tool
(RBAT)
Risk Management
Information and
intelligence
Compliance activities
• Inspection
• Post inspection
monitoring
• Incident
investigation
• Compliance and
enforcement
Risk based assessment tool
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Success rates
Multiple birth rates
Donor registration
Payment of fees
Information and intelligence
Communicating and
sharing with
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CQC
MHRA
Patients
HTA
UKAS
Professional bodies
Fraud, Whistleblowing - 6 month update
Mark Bennett
Director of Finance & Facilities
Fraud & Whistleblowing
 Fraud – no reports of instances
 Fraud - scope / opportunity summary:
Payroll – limited, oversight of finance & HR, segregation maintained
 T&S – approvals and payment approval involve several senior
officers; culture of scrutiny and challenge exists
 Contracts & Suppliers – all main suppliers now GPS / CQC / DH
framework; WAP system enforces procurement order and
goods/services receipting prior to payment
 Assets – safe for cash and cheque-book; no assets identified as lost
in recent fixed assets review; policy of replacing equipment for staff
until frequency reaches ‘careless’ threshold (one member of staff
thus warned)
 Whistleblowing session for staff due in October, now delayed until
January 2014
 Ownership of Whistleblowing policy and process to be determined as
part of change to new shared services directorate
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Governance, Effectiveness and Standing
Orders review – scoping
Audit and Governance Committee
Sam Hartley
Head of Governance and Licensing
11 December 2013
Background
• Governance project – formally closed November 2013 –
transition to business-as-usual
• Annual review of committee effectiveness – Head of Governance
and Licensing (HoGL) collating results to analyse
• Standing Orders (SOs) – set out rules and regulations by which
Authority runs and governs itself – reviewed annually
• Internal Auditors’ (IA) review of governance running in parallel
Objectives
• Sense-check revisions made during governance review – are
they working? Could they work better?
• Consider delegated powers and their appropriateness – e.g. for
administrative licensing changes
• Committee/executive relationship – what works well and what
could be improved?
• Revision of SOs – to reflect any governance/delegation changes
but also to tidy up/make consistent
Timeline
• October 2013 – December 2013:
• Governance review scoped;
• Committee reviews carried out;
• Initial meetings between IAs and HoGL, committee chairs,
other key members/staff
• January 2014 – February 2014:
• HoGL collating committee review findings and considering
changes to delegated powers with lawyers/members where
appropriate;
• IA conducting review of governance in parallel with HoGL
work
• March 2014:
• Conclusion of review and revised SOs put to Authority for
agreement

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