Date of meeting: 26 March /13

Transcription

1 NHS Sussex Board Item Number: Date of meeting: 26 March /13 Title of report: NHS Sussex Transition and Closedown Report Recommendation: The Board is asked to discuss and approve the Transition and Closedown Report for NHS Sussex. Summary: Introduction and Background A Cluster/PCT Chief Executives are required, by the Department of Health, to present a Transition and Closedown Report to the final Board of each PCT before end March The Transition and Closedown Report supports the Quality, Legacy and Operational handover documents. It is not intended to duplicate the work already completed and available, but should cover this ground, as necessary, through cross referencing to other documents. The Report is available in Appendix 1. The report will be available to all receivers and externally to the Department of Health as part of the auditable departmental closure reports at the conclusion of the Health and Care Reform Transition Programme. These requirements are not unique and follow Government best practice when closing public organisations and transitioning functions to new organisations. Summary All areas of transition and closedown have been finalised. However, continued work will need to take place after 1 st April 2013 in the following: Ensuring April 13 payroll is accurate and timely Closure of accounts, annual governance statement and annual report Physical transfer of assets (hardcopy and electronic) Asset and liability queries Complete contact documentation Closedown of legacy electronic file structure Archived files administration Primary Care Complaints Infection Control The report outlines how these will be supported. All areas in the PCT Critical Closedown Activities have been covered and confirmations have been received from the relevant managers that appropriate action has taken place or is due to take place within the required timescales. NHS Sussex represents the following primary care trusts: NHS East Sussex Downs and Weald NHS West Sussex NHS Hastings and Rother NHS Brighton and Hove

2 Sponsor: Amanda Fadero, Chief Executive Author: Claire Quigley, Director of Transition and Governance Date of report: 12/03/13 Review by other committees: The Transition Assurance Board has been responsible for receiving assurance in relation to transition and closedown. Health impact: PCT functions will move to relevant receiver organisations with the appropriate information to support them in the future commissioning of healthcare. Financial implications: Costs incurred in transition and closedown activities mainly relate to staff costs and legal costs. Legal or compliance implications: All PCT staff, assets and liabilities will be transferred to receiver organisations by 31 st March Link to key objective and/or assurance framework risk: Yes successful transition to new NHS arrangements Patient and public engagement: None Equality impact assessment completed: None

3 Appendix 1 TRANSITION & CLOSEDOWN REPORT Introduction The information within this report describes how well the transition and closedown activities within the PCTs in Sussex have fulfilled its objectives, how successful transition has been, detail any objectives not achieved, and clearly identify owners for any outstanding and/or ongoing actions. This report is an output at the point of abolition. Information relating to the PCT structure, responsibilities and clustering arrangements are included in the Operational Handover and Legacy Document. It also includes information on the following: o A high level description of each PCT function, including hosted functions/programmes the organisation is responsible for o Operational business processes including resources/assets required to deliver the function (where relevant) o Key Executive Director responsibilities o NHS Sussex main objectives and key performance indicators o budget information o Board and Committee Structure Background Governance NHS Sussex established the Transition Assurance Board (TAB) to oversee the transition programme including the closedown of the four PCTs and to provide assurance to NHS Sussex Board. It met on a monthly basis where it received a summary of progress on key milestones, function mapping and risks as well as having the opportunity to discuss and scrutinise particular aspects of transition in more detail. The TAB is chaired by Charles Everett, a Non-Executive Director of NHS Sussex. In October 2012, the Audit Committee agreed that it would oversee the transition of finance and related finance work areas to the receiver organisations and the closedown of the 2012/13 final accounts for the four PCTs. In addition, NHS Sussex established a Joint Commissioning Support Assurance Board to oversee the development of the Surrey and Sussex Commissioning Support Unit (S&S CSU) and provide assurance to NHS Sussex Board. It met on a monthly basis and is chaired by George Mack, a Non-Executive Director of NHS Sussex. Minutes of all the above meetings formed part of the NHS Sussex Board papers. Legal Closedown On midnight of 31 st March 2013 the four Primary Care Trusts (PCTs) in Sussex will cease to exist and will legally closedown. At that time: Staff currently employed by each of the PCT will either be transferred to a receiver organisation or be made redundant. the assets and liabilities of each of the PCTs will be transferred to a receiver 1

4 organisation. The legal closedown is enacted by the signing of relevant Transfer Schemes. There are two Transfer Schemes for each of the four Primary Care Trusts (PCTs) in Sussex: Brighton and Hove PCT Human Resource Transfer Scheme Brighton and Hove PCT Assets and Liabilities Transfer Scheme East Sussex Downs and Weald PCT Human Resource Transfer Scheme East Sussex Downs and Weald PCT Assets and Liabilities Transfer Scheme Hastings and Rother PCT Human Resource Transfer Scheme Hastings and Rother PCT Assets and Liabilities Transfer Scheme West Sussex PCT Human Resource Transfer Scheme West Sussex PCT Assets and Liabilities Transfer Scheme The list of staff and the list of the assets and liabilities for each PCT, which have been signed by receiver organisations, will form part of the relevant PCT Transfer Scheme. The Transfer Schemes approved by NHS Sussex Board will then be sent to the Department of Health who has responsibility for legally signing the documents by end March To provide assurance to the Board in relation to the Transfer Schemes, the Non- Executive members of TAB reviewed the detailed draft assets and liabilities schedules. The Annex 4 for each receiver organisation confirms receipt of the assets and liabilities lists for their organisation; a signed Annex 4 has been received back from each main receiver organisation and is part of the Transfer Scheme March 2013 Board paper. The Annex 3b for each receiver organisation confirms the list of staff who are transferring to their organisation; a signed Annex 3d from each receiver is due to be signed by 20 th March These will be available at the Board meeting on 26 th March Purpose and Governance The transition and closedown work programme was established in Sussex to ensure: all four PCTs transferred all its current functions to appropriate receivers from 1 st April all four PCTs closed down legally any legacy work has been identified and process identified to manage it The work programme has utilised the guidance and information available from the Department of Health and NHS Sussex sought legal advice and guidance from its solicitors when required. To support this work, the Director of Transition and Governance established a Closedown Project Team which has met on a weekly basis. This team included PCT experts in the relevant areas and has been responsible for collating the lists of assets and liabilities, ensuring they are complete and accurate and discussing and agreeing the lists with the relevant receiver organisation. 2

5 NHS Sussex has also had Human Resource Transition Meeting in place throughout 2012/13 to oversee the transfer of staff to new organisations. The Finance Transition Group is managing the legal transfer of finance and finance issues to their new destinations and reports into the Joint Audit Committee of NHS Sussex. The Director of Transition and Governance is a member of TAB and an NHS Sussex Board member. The Director of Human Resources, Company Secretary the Transition Programme Manager report to the Director of Transition and Governance. Achievement of transition activity/programme objectives All transition and closedown activities within the work programme have been achieved: appropriate receivers have been identified for all current functions of the four PCTs appropriate receivers have been identified for all assets and liabilities of the four PCTs appropriate receivers have been identified for all non-redundant staff of the four PCTs eight Transfer Schemes will be approved by NHS Sussex Board on 26 th March 2013 to allow the legal close down of the four PCTs on 31 st March 2013 Work will continue after 31 st March 2013 in relation to the following: Ensuring April 13 payroll is accurate and timely the finance and human resources (HR) teams within Surrey and Sussex CSU will continue to be responsible for this work. The Legacy Management Team will be available to provide additional support and information if required. Closure of accounts, annual governance statement and annual report - the finance team within Surrey and Sussex CSU will be responsible for this work. Michael Schofield, Director of Finance for NHS Sussex will be accountable for this work. Physical transfer of assets (hardcopy and electronic) the relevant, current lead manager (as identified in Annex 1 and 2 of the Operational Handover and Legacy Document) will continue to be responsible for ensuring this is completed where this work has not been completed prior to 1 st April Current lead managers who will be made redundant on 31 st March 2013 will have completed this work by that date. Asset and liability queries each receiver organisation will have responsibility for dealing with queries relating to the assets and liabilities which will transfer to them on 1 st April Each receiver organisation will receive a full list of all assets and liabilities of each PCT, ie. the full Annex 2 for each PCT. This will provide the receivers with information on current owner, location and interested third parties. The Legacy Management Team will be available to provide signposting information if required. 3

6 Complete contact documentation the contract managers within Surrey and Sussex CSU will continue to be responsible for this work Closedown of legacy electronic file structure - the Health Informatics Service HIS) within Surrey and Sussex CSU will continue to be responsible for this work Archived files administration the Legacy Management Team will form a specific team who will be responsible for the administration and review of archived files which have been transferred to the Department of Health Primary Care Complaints The Surrey and Sussex Area Team of the NHS Commissioning Board will be responsible for this function until the national solution is in place Infection Control The Director of Nursing and Quality at the Surrey and Sussex Area Team of the NHS Commissioning Board will continue to be responsible for confirming the operating model post April 13. Transition Activity/Programme Performance (time, quality, cost) The final finance and performance reports to the Board are included in the Operational Handover and Legacy Document. The final position in relation to quality of services is included in the Quality Handover Document. Risk Management The main risks and issues relating to transition were: Insufficient staff capacity to deal with operational issues, establishing new organisations/bodies and closing down the four PCTs Maintaining the governance and decision making processes during transition A large number of staff leaving the PCT prior to end March 2013 resulting in loss of organisational memory and capacity Lack of guidance and understanding on how the new systems will operate post April 2013 Receiver organisations for functions are not identified in a timely basis to enable a full handover of responsibility All risks associated with transition were reported and reviewed by TAB on a monthly basis. All transition risks will close on 31 st March All corporate risks and directorate risks were reported and reviewed by the Quality and Assurance Board. A receiver organisation has been identified for all risks that will not close on 31 st March 2013.This risks will be signed off by the Audit Committee. The final Corporate Risk Register and Board Assurance Framework are included in the Operational Handover and Legacy Document. 4

7 Audit Internal Audit The current contract with South Coast Audit for Internal Audit terminates on 31 st March All Clinical Commissioning Groups in Sussex have agreed a new contract with South Coast Audit for the provision of Internal Audit from 1 st April All national receiver organisations, eg. NHS Commissioning Board, NHS Property Services limited, will arrange their own Internal Audit arrangements. Local Authorities already have their own Internal Audit function/contract in place. External Audit The current PCT external auditors will be responsible for the 12/13 audit. Each CCG will be allocated an external auditor; these have not yet been allocated. All national receiver organisations, eg. NHS Commissioning Board, NHS Property Services limited, will be allocated their own external auditor. Local Authorities already have their own external audit in place. Legacy documentation The Quality Handover Document will be signed off by the Board on 26 th March The Operational Handover and Legacy Document, with accompanying Appendix, will be signed off by the Board on 26 th March A Draft outline of the Annual Report will be signed off by the Board on 26 th March Michael Schofield, Director of Finance NHS Sussex, will be responsible for finalising the Annual Report and Accounts (including Governance Statements) with support from Surrey and Sussex CSU. Department of Health & other administrations The transition teams in Sussex have worked closely with a number of organisations/people during transition and closedown. These include: PCT Governance Meeting chaired by Olga Senior and attended by Claire Quigley Regional Human Resource meetings attended by David Lowe Legal advice from Olga Senior team and Department of Health lawyers. Legal and human resource teams in local authorities Public Health teams in each council Accountable Officers and their teams in Clinical Commissioning Groups Legal input from NHS Sussex solicitors has been sought and received in relation to particular staff issues and the assets and liabilities. 5

8 Financial effects of closing SHAs/PCTs The finance team within Surrey and Sussex CSU will be responsible for closure of accounts, annual governance statement and the annual report. Michael Schofield, Director of Finance for NHS Sussex will be accountable for this work. The Chair of NHS Sussex and two other Non-Executive Directors have been nominated to sit on the Audit Committee post April 13. Transferring functions and associated assets and liabilities The agreed list of transferring functions is included in the Operational Handover and Legacy Document (Annex 1). This has been populated with information received by the current Executive Lead and supported by relevant receivers. All main receivers have received their lists of assets and liabilities (Annex 2) and have signed their Annex 4 to confirm receipt of the assets and liabilities. Copies of the Annex 4s are included in the 26 th March 2013 Board paper. The assets and liabilities of each PCT relate to all of the following categories: healthcare contracts, estates and related facilities contracts office furniture and equipment mobile phones car leases IT hardware and software archived records active records legal claims and disputes procurements non-healthcare contracts intellectual property rights complaints freedom of information requests Serious Untoward Incidents (SUIs) finance related information human resource related information The final full Annex 2 list for each PCT will be shared with all receivers at the end of March as part of their handover pack. Operational Handover Issues The Operational Handover and Legacy Document includes information on the current functions and any outstanding issues at the time of transfer. The sections covered in the document are: Corporate Functions Human Resources 6

9 Workforce planning NHS Sussex Estates Financial management Risk management Information Governance Board Secretariat Archives Corporate Affairs including Communication & Freedom of Information. Claims/Litigation and NHSLA Equality and Diversity Emergency Planning and Business Continuity Commissioned Services Specialised Commissioning Collaborative Commissioning including NHS111 Joint Commissioning with the Local Authority Primary Care Commissioning Offender Health Military Veterans Winter/Seasonal Planning Home Oxygen Commissioner Support Functions Procurement Any Qualified Provider Contracting Business Intelligence GPwSI Accreditation Individual Funding Review (IFR) Appeals Provider Performance Management Sussex Health Informatics Service (HIS) GP IT Support Strategic Support for IT Sussex Managed Clinical Networks Health Policy Support Unit (HPSU) Services The Patient Transport Bureau Complaints Public & Patient Engagement Enhancing Quality Public Health Public Health - general Public Health in East Sussex Public Health in West Sussex Public Health in Brighton & Hove Operational Aspect of Quality Functions Continuing Health Care DoLS Deprivation of Liberty Safeguards Final conclusion and reflections Much is written about managing complex change effectively. However, most academic work demonstrates that complex change is managed effectively if the 7

10 following are in place: there is a vision the right skills are available, including good project management and sufficient resources there are mechanisms in place to monitor and adjust the plan as required Within Sussex, this recent period of transition and closedown within the NHS has been managed well. A Vision Following Clustering, NHS Sussex developed an early vision of the future including the creation of CCGs as sub-committees of the Board and transfer of the public health function to Local Authorities. The individual one-to-ones with staff during 2011/12 enabled a personal conversation to take place so that staff could begin a discussion about the changes, the impact they may have on their current role and their future expectations. In addition, the Transition Assurance Board provided a focus to the transition work and closedown of the PCTs enabling staff and partners to understand that a change was taking place and that 1 st April 2013 would be different. However, the visions for the national aspects of the change, in particular, NHS Commissioning Board, NHS Property Services Limited and Public Health England, were less clear and were established much later; the ambiguity and lack of information often created a vacuum which was sometimes difficult to work within. In future, it is important that all staff affected by change receive as much clarity as possible, as early as possible, on what the change is trying to achieve, what the new end state will look like, what is expected of them during that time and what roles they may play in the future. This empowers people and helps them to take personal responsibility for their work and their personal futures. Skills Within NHS Sussex project management was established during 2011/12 and enhanced during 2012/13: the Director of Transition and Governance became responsible for transition and closedown in January 2012 a Transition Contract Programme Manager was appointed in December 2011 and in September 2012 also took on the role of Transition Programme Manager a Transition Project Analyst was appointed in November 2012 a Closedown Project Team was established in September 2012 which included leads in the following areas: healthcare contracts, estates and related facilities contracts including office furniture equipment mobile phones IT hardware and software archived records legal claims and disputes complaints and freedom of information requests 8

11 finance related information human resource related information The above individuals and teams worked closely together to ensure the closedown plans progressed effectively. This worked well within NHS Sussex because there was a small, dedicated team who were able to develop the knowledge and provide leadership, advice and support to each other and to others. Lead managers who were members of the Closedown Project Team were allowed the time and given the authority to contribute to the team on a weekly basis. By meeting frequently, supporting one another and having the opportunity to discuss and debate issues as they arose, the team were able to make decisions quickly and take the necessary action. Additional benefits may have been gained from having more representation from receiver organisations on the Closedown Project Team. Even though many of the team members would also be part of receiver organisations, eg. CCGs, NHS Property Services Limited, Surrey and Sussex CSU, the final closedown procedures may have benefitted from governance representation from receiver organisations. Some receiver organisations were late in understanding the process of closedown and their role within this; further communication and training may have assisted. In addition, a Human Resource Transition Group was established in 2011/12 which included representation from unions and receiver organisations. This group supported the human resource work required during transition and closedown. Additional human resource staff were recruited during 2012/13 to support transition and in January 2013 specific recruitment staff were appointed to support the Surrey and Sussex Area Team. The Mechanisms Within NHS Sussex mechanisms were put in place to monitor the transition and closedown plan. The Transition Assurance Board received monthly updates of the function mapping plan, progress on the assets and liabilities and the risks. As further information was received nationally and as local CCGs and other receivers developed a better understanding of the future, the Director of Transition and Governance was able to receive regular updates on the future of functions from the relevant executive and lead managers. It was important that all functions had a future receiver and the Director of Transition and Governance was able to work with individuals and teams to support and encourage decisions to be made. As national guidance was often delayed or not available when required, the Programme Manager, Project Assistant and the Closedown Project Team learnt to make working assumptions in order to progress work and then learnt how to review and revise the work based on guidance when it became available. 9