• People Transition
• NHS Property Services

No. Issue

1 Welcome

a) David Nicholson welcomed attendees to the NHS TEF.

b) The minutes and actions from the previous meeting were agreed.

2  Programme Overview

a) Karen Wheeler provided NHS TEF with an update on the issues and actions raised at the last meeting. She said that no new issues had emerged and the outstanding actions were being actively managed.

b) The NHS TEF discussed three of the outstanding issues:

• Louise Troy provided an update on the unresolved Local Informatics functions. She explained approximately 700 staff were affected and further work was underway to solve the issues. Louise Troy agreed to provide an update at the next NHS TEF.
• Karen Wheeler also gave an update on the transfer schemes. She urged receiver bodies to work closely with the senders to ensure that they have less work to do post April.
• There was concern that month 9 guidance had not yet been sent out. NHS  TEF were reassured that a letter outlining the process would be shared with the SHA/PCT finance leads imminently and that it would provide answers to the issues that had been raised.

3 People Transition

a) Sir Neil McKay and Caroline Corrigan gave an update on the recruitment process. It was explained the next people tracker returns were not due until 14 January 2013 but that it was estimated approximately 14,900 post remained unfilled. A number of interviews were planned for the early new year so the number would be lower by the next NHS TEF meeting.

b) NHS TEF were also given an update on the progress Payroll/ESR programme. Sir Neil reassured the NHS TEF that governance processes were being put in place to ensure the effective transfer of staff records.

c) He closed by mentioning final negotiations were underway with the Trade Unions with regard to non-TUPE transfers. NHS TEF agreed the approach set out and would revisit the issue, if required, at the January 2013 meeting.

4 NHS Property Services

a) The NHS TEF were asked to feed back any comments they had on the paper directly to Peter Coates.

5 AOB
This meeting finished at 11.15.

• Record Management
• Key Issues for Transition
• People Transition
• Communications
• Informatics

No. Issue

1 Welcome

a) Ian Dalton welcomed attendees to the NHS TEF. He noted that he would be chairing the meeting on David Nicholson’s behalf. The minutes and actions from the previous meeting were agreed.

2  Programme Overview

a) Karen Wheeler provided NHS TEF with an update on Transition progress. She informed NHS TEF of the including an update on the recommendations from the SHA Transition Review; and local issues.

b) NHS TEF discussions led to agreement that:

• The Amber rating and recommendations 1-6 of the SHA Transition Review were agreed, subject to receiving the final report.
• The next steps relating to Local ICT, on page 8 of Transition Overview were agreed.

3 Record Management

a) Olga Senior updated NHS TEF on proposals to outline the approach for the management of physical (hard-copy/paper) legacy records resulting from the abolition of SHAs and PCTs under the Health and social Care Act 2012

b) The NHS TEF agreed the approach set out in the slide pack.

4 Key issues discussion

a) The NHS TEF had two breakout sessions where they discussed an agreed list of issues and identified key actions to take them forward. The Integrated Programme Office would manage these actions and produce a handling plan to take them forward. This would be brought back to TEF on a monthly basis.

5 People Transition

a) Sir Neil McKay and Caroline Corrigan updated NHS TEF on progress with People Transition. NHS TEF noted that good progress had been made and there would be further communication with senders and receivers to clarify the TEF decision that serving notice of redundancy should be done on a differential rather than blanket basis.

6 Communications

a) Colin Douglas update NHS TEF on Communication arrangements for People Transition. The NHS TEF noted that there would be a communication in ‘the month’ with a follow up in January.  

7 Informatics

a) Alan Perkins provided NHS TEF with a short update on Informatics and management information flows across the system. A fuller discussion would be held at December’s NHS TEF.

8 AOB
There was no other business

• Health Education England
• People Transition
• Handover and Closedown
• Planning for 2013/14

No. Issue

1 Welcome

a) David Nicholson welcomed Steven Singleton to NHS TEF as the new SHA Chief Executive for the North of England.

2 Transition Programme Update

a) Karen Wheeler provided the NHS TEF with an update on the transition programme. She informed the NHS TEF that ensuring a separate payroll work stream was being set up to reflect the highly transactional, complex process that needed to be undertaken before April 2013 to ensure the successful. 

3 SHA transition planning: Health Education England

a) Charlie Massey gave a short update on HEE. He informed the NHS TEF on the 1 October 2012 HEE had successfully taken on responsibility for all the functions of Medical Education England.

b) He also confirmed HEE was on track to take on formally delegated leadership responsibility, from SHAs, for 2013/2014 planning functions for workforce planning, education and training.

c) NHS TEF agreed to discuss HEE again at the December meeting following their State of Readiness review.

4  People Transition Planning

a) Sir Neil McKay provided the NHS TEF with an update on People Transition following the stocktake at the last meeting.

b) NHS TEF discussions led to agreement that:

• The HRSG will continue to provide advice to Receivers about contingency options and staffing numbers and that it is for the Receivers and their Boards/governance arrangements to take decisions about contingency actions.
• Each NHS TEF Sender and Receiver Representative would be responsible for  supporting the HR Strategy Group with the orphan function process.
• Appeals to decisions made during the job matching process should be monitored. An update will be provided to the next TEF.

5 Handover and closedown programme

a) Karen Wheeler gave an update on the Handover and Closedown programme. She outlined proposals for ‘Quality Assemblies’ to be held for each of the SHA clusters. This would cover both the National Quality Board’s work on handover as well as the non clinical side covered by the handover and closedown programme.

b) The NHS TEF agreed that, in principle, this was a good proposal but should only take place if the Assemblies provide additional support and information to the system.

c) Karen Wheeler also provided a short overview of the SHA Assurance reviews. She explained the reviews should provide extra support for the SHAs transition process rather than being an additional burden 

5 Planning 2013/14

a) Ian Dalton provided an update on the work underway for 2013/2014 planning for the NHS Commissioning Board. The was followed by a similar outline from Bob Alexander on behalf of the NHS trust development Authority, Steve Clark for Health Education England and felicity Harvey for Public Health England.

b) In the resulting discussion NHS TEF agreed that it was essential  planning across the system was co-ordinated and plans need to look and feel consistent. Further work would be undertaken to ensure a common timeline and a co-ordinated communications approach.

6 NHS Property
 
a) Peter Coates outlined the proposals for what services NHS Property Services would provide in year one and more forward. He informed NHS TEF a number of the services currently provided by PCTs would not be provided by NHS Property Services. Barbara Hakin explained that a number of these would be offered by Commissioning Support Units as they were provided by PCTs as part of their wider commissioning support.

b) The NHS TEF agreed the list of services that NHS PS will deliver and agreed that need to be shared quickly with the service so that they can start to work on them.

c) There was also a discussion in the funding flows relating to NHS Property Services. It was also agreed further work was need to clarify exactly what CCGs and NHS CB are expected to pay for both in 2013/14 and beyond.

7 Informatics

a) Alan Perkins reassured the NHS TEF that the Informatics programme was making good progress.

b) In the resulting discussion it was agreed further work should be undertaken by receiver bodies to identify and describe clearly how management information will flow in the new system and report back to December NHS TEF.

• Issues and Contingencies in the First 6 Months of Transition
• State-of-Readiness Reviews
• People Transition

Summary Meeting Note

No. Issue

1 Introduction

The Chair welcomed attendees to the meeting and noted that the discussion on the Public Health England Framework Agreement would be deferred until January’s board.

No comments were received on the minutes from the previous meeting, and they were subsequently agreed.

2 Issues and contingencies in the first 6 months of transition post April 2013

The SRO, DH Transformation and SRO, ALB Transition, presented the board with a consolidated list of transition issues. The list covered NHS issues which had been discussed and actioned at the NHS Transition Executive Forum; and that they were not related to individual bodies but were cross-programme issues. 

The board agreed the status report and supporting programme rating.

3 State of Readiness Reviews

The SRO, DH Transformation and SRO, ALB Transition, provided the board with an update of the State of Readiness (SoR) Reviews of Arm’s Length Bodies and the main findings.

4 People Transition Update

The Programme Director, People Transition updated the board on progress with People Transition.

5 AOB

There were no AOB items. The next meeting would be on 15 January 2013.

• Benefits Realisation
• Local Public Health Transition
• People Transition
• DH Functions Mapping

Summary Meeting Note

No. Issue

1 Introduction

The Chair welcomed attendees to the meeting.

No comments were received on the minutes from the previous meeting, and they were subsequently agreed.

The SRO, System Design, provided an update on two outstanding actions relating to the financial assurance of the NHS Commissioning Board (NHS CB) and programme benefits.

2 Programme Overview

The SRO, DH Transformation and SRO, ALB Transition, updated the board on the status of the programme and the board also received updates from SROs from their respective programmes.

The Chair asked for an update on Financial Handover and Closedown to be provided at the January meeting of the board.

The board agreed the status report and supporting programme rating.

3 Benefits Realisation Strategy

The SRO, DH Transformation and SRO, ALB Transition, provided the board with an update on Benefits Realisation which was a Major Projects Review Group recommendation.

The board agreed the approach set out in the paper.

4 Local Public Health Transition

The Chair of Public Health Engagement Group provided the board with an update on progress with Local Public Health readiness for transition. This process had been led by Local Authorities (LA), based on self-assessments and 95% of LAs were confident they were ready.

The board agreed that this had been a positive process and praised the example of joint working with the Department for Local Communities and Government.

5 People Transition Update

The Programme Director, People Transition Programme, updated the board on progress with People Transition and the SRO, NHS Commissioning Board, confirmed that the agreed approach to notify staff of being at risk.

6 DH Functions Mapping

The Future DH Programme Director updated the board on progress to confirm unallocated functions within DH.

The board also received confirmation that the operational information would be ready for handover by February and testing and assurance would be taking place.

7  AOB

The board agreed to have a discussion at the January 2013 board meeting on potential issues that may arise in the first 3-6 months post transition.

• Emergency Planning, Resilience and Response
• People Transition
• Finance handover and closedown
• Healthwatch and Health and Wellbeing Boards

Summary Meeting Note

No. Issue

1 Introduction

The Chair welcomed attendees to the meeting.

No comments were received on the minutes from the previous meeting, and they were subsequently agreed.

Board members agreed the revised Terms of Reference which reflect the change of programme governance since 1 October 2012.

2 Programme Overview

The board received an update from SROs on their respective portfolios, which included updates on the NHS Commissioning Board mandate, recruitment and public facing roles of new organisations.

The SRO, DH Transformation and SRO, ALB Transition, gave a programme status update to the Board.

The SRO, DH Transformation and SRO, ALB Transition also provided the Board with an update on the Major Projects Review Group Panel meeting.

The board agreed the status report and supporting programme rating.
3 Emergency Planning, Resilience and Response Stocktake

The Interim Director, Emergency Preparedness and Olympics, provided the board with an update on the planning and response to the Olympics; lessons learned for the transition; the planning for the upcoming assurance exercises between November 2012 and March 2013; and the internal audit review which rated the Olympic and Paralympic Health Programme Green.

The Chair asked for a further update on EPRR in the New Year.

4 People Transition

The Programme Director, People Transition Programme, updated the board on progress with People Transition, including progress on job matching, supporting staff on relocation, and contingency plans.

The board agreed that communications were key in this process and agreed that this should be linked to new bodies’ Organisational Design agenda and communications messages.

5 Finance handover and closedown

Carl Vincent provided the board with an update on Financial handover and closedown. The board agreed that financial handover and closedown should be put on the agenda of the next meeting of the Audit and Risk Committee, and also agreed a process for the handover of issues that affect clinical decisions.

6 Post transition resourcing for Healthwatch and Health and Wellbeing Boards.

The Programme Manager for Local Government programme put a recommendation to the Board to provide support for Healthwatch and Health and Well-being Boards post April 2013.

The board agreed that this was a sensible proposal and should be developed with Public Health England and the NHS Commissioning Board. The Department for Communities and Local Government should be involved, as well as the Local Government Association.

The Chair asked for proposals and options to be developed and brought back to the board at a suitable time.

7 AOB

There was no further AOB. The next meeting will be held on 21 November from 14.00-16.00 in the Cathedral room.

• Programme Overview
• Healthwatch England

No. Issue

1 Introduction

The SRO, DH Transformation and SRO, ALB Transition welcomed attendees to the meeting and noted that she would be chairing on the Permanent Secretary’s behalf.

No comments were received on the minutes from the previous meeting, and they were subsequently agreed.

2 Programme Overview

The SRO, DH Transformation and SRO, ALB Transition, provided an overview of the programme to the board, which included an update on programme risks and the process for monitoring those risks.

The SRO, DH Transformation and SRO, ALB Transition also provided the board with an update on the recent review by the Major Projects Review Group.

The board agreed to discuss how we monitor the benefits of the reforms at a future meeting.

The board also agreed the status report and supporting programme rating.

3 Healthwatch England

The Programme Manager for the Local Government programme provided the board with an update on the establishment of Healthwatch England, and the progress with establishing Local Healthwatch, which included a discussion on sponsorship arrangements between the Care Quality Commission and Healthwatch.

4 AOB

There was no further AOB. The next meeting will be held on 23 October: 11.00-13.00 in the Boardroom

Present

Name 

Mike Wheeler Chair, Non-Executive
Jane Ramsey Non-Executive
Michael Hearty Non-Executive

In attendance

Una O’Brien, Permanent Secretary
Richard Douglas, Director General, Policy, Strategy and Finance
Bronwyn Baker, Head of Internal Audit
Stephen Mitchell, Deputy Director, Head of Governance
Colin Wilcox, National Audit Office
Alastair MacLellan, Director of Group Finance
Cameron Robson* Deputy Director of Group Finance
Janet Perry, NHS Chief Financial Controller
Financial Information and Accounts *

Apologies:

David Nicholson, NHS Chief Executive
David Flory, Director General, NHS Finance, Performance & Operations

Secretariat

Stephen Waring, Deputy Director,DH Secretariat
Secretariat Team Member

* joined the meeting by VC

Issue

1 Introductions

1.1 Mike Wheeler welcomed everyone to the meeting. 

2 Agenda

2.1 Minutes:  The minutes of 28 February were agreed, and no issues were raised for discussion.   Mike went through each outstanding action from the previous meeting; all had been completed by the time of this meeting.

2.2 Internal Audit:  Bronwyn Baker updated the Committee on the Annual Assurance Report 2011/12 and the Directorate Governance Reviews.  Bronwyn informed the Committee that recruitment was underway to appoint a Risk Manager to help strengthen the central reporting and monitoring of risks, and improve the overall application of policy in the Department.

2.3 Risk Management: The DH Strategic Risk Register was considered by the Committee.  The Committee would look at how the Department identified, mitigated and managed risk, at the next Committee meeting.

2.4 Quality Innovation Productivity and Prevention (QIPP):  Joyce Drohan reported to the Committee how progress was being measured and monitored against the headline figure of £20billion savings over four years; the risks to the success of delivering on the QIPP challenge and the mitigating actions in place.

2.5 DH Resource Account:  Richard Douglas updated the Committee on the latest position on progress with the DH Resource Account.  The process was currently running some way behind schedule in terms of preparing a consolidated account.  Therefore, the Committee members agreed it was unlikely that the Department would be in a position to lay the Accounts pre-recess.

2.6 DH Follow up of External Report Recommendations:  Stephen Mitchell updated Committee members on the follow-up of external report recommendations, and reported on one outstanding recommendation which would be delivered by end June 2012.

Present

Mike Wheeler, Chair, Non-Executive
Jane Ramsey, Non-Executive
Michael Hearty, Non-Executive

In attendance

Una O’Brien, Permanent Secretary
Richard Douglas, Director General, Policy, Strategy and Finance
Bronwyn Baker, Head of Internal Audit
Stephen Mitchell, Deputy Director, Head of Governance
Colin Wilcox, National Audit Office
Alastair MacLellan, Director of Group Finance
Cameron Robson*, Deputy Director of Group Finance
Alignment & Accounts Project Manager*
Paul Whitbourn, Head of ALB Transition Programme
Giles Denham, Director of Medicines, Pharmacy & Industry
Katy Peters, Head of Pricing, Prescriptions & Supply Team
Steve Phillips, Deputy Director, NHS Security Management

Apologies:

David Nicholson NHS Chief Executive
David Flory, Director General, NHS Finance, Performance & Operations

Secretariat

Stephen Waring, Deputy Director, DH Secretariat
Secretariat Team Member

* joined the meeting by VC

Issue

1 Introductions 
 

1.1 Mike Wheeler welcomed everyone to the meeting. 

2 Agenda

The meeting covered the following issues:

2.1 Visit:  The Audit Committee members had been on an interesting tour of the refurbished Emergency Preparedness Resilience and Response office, including their Crisis & Consequence Management Centre, which they had found impressive.

2.2 Minutes:  The minutes of 22 November were agreed, and no issues were raised for discussion.  Actions from 22 November meeting were confirmed as completed or in hand. 

2.3 ALB Performance & Accountability:  Paul Whitbourn said that this was a developing area of work, and welcomed the Committee’s views on the information they would find most useful in a regular report to the Committee; and whether the current statements of risks, and the assessment of the risks, were sufficiently robust. 

2.4 A new ALB Performance and Capability Unit was being established to provide support for ALBs and sponsors, and ensure a more consistent approach in its relationship with ALBs.  It would also enable effective working relationships between the Department and its ALBs, and between ALBs.   Following appointment to the remaining Director General posts, each ALB sponsor arrangement would be reviewed and assigned a sponsor at Director General level. 

2.5 Prescriptions Charges Fraud:  Giles Denham provided the Committee with an overview of the current state of affairs on patient prescription fraud in Primary Care.  Prescription charges fraud was low value, but high volume, and therefore any programme of action to reduce losses to patient prescription fraud needed to be able to demonstrate cost effectiveness. 

2.6 Katy Peters outlined to the Committee the actions being taken to reduce prescription charges fraud.  This included a change to the prescription form, using tools drawn from behavioural economics to discourage fraud; simplifying the language used in the form; being clearer on what the exemptions were, and about the penalties to be incurred should someone be caught claiming fraudulently.  Giles Denham would update the Committee in due course once the programme of actions had been rolled out.

2.7 Internal Audit:  Bronwyn Baker updated the Committee on the latest position on the Directorate Governance Reviews, the detail of which was included in the Internal Audit Report to the Committee.  The review had revealed some consistent themes, and on completion of the review process, Internal Audit would pull together an overarching report for Una O’Brien.

2.8 The Code of Business Conduct was in the process of being updated, and would include a new requirement for all staff to complete a return on the Declarations of Interest Database, including a nil return.

2.9 Risk Management:  The DH Strategic Risk Register was considered by the Committee.

2.10 Resource Account 2011/12:  Alastair MacLellan and Cameron Robson updated the Committee on progress of the Resource Account for 2011/12. 

2.11 Value for Money Study Programme 2012/13:  The Committee noted the seven items put forward for 2012-13.  Colin Wilcox said that this was an agreed programme of work but was happy to take back any questions or queries on the study programme.

2.12 DH Follow up of External Report Recommendations:  Stephen Mitchell confirmed that there were no issues about failure to address or implement external recommendations in the paper provided to the Committee

Present 

Mike Wheeler Chair, Non-Executive
Jane Ramsey Non-Executive
Michael Hearty Non-Executive

In attendance

Una O’Brien, Permanent Secretary
David Nicholson, NHS Chief Executive
Richard Douglas Director General, Policy, Strategy and Finance
Bronwyn Baker, Head of Internal Audit
Stephen Mitchell, Deputy Director, Head of Governance
Omer Tauqir, Internal Audit
Alastair MacLellan*, Director of Group Finance
Helen Shirley-Quirk, Director of Health Protection
Colin Wilcox, National Audit Office
Lynda McMullan, National Audit Office
Locum APS, DH Permanent Secretary
Audit Manager (attending as observer)

Secretariat

Siobhan Benita
Secretariat Member

* joined the meeting by VC

Issue

1 Introductions

1.1 Mike Wheeler welcomed members to the meeting.

2 Agenda

The meeting covered the following issues:

2.1 Minutes:  the minutes of 20 September were agreed, and no issues were raised for discussion.  Actions from 20 September meeting were confirmed as completed or in hand. 

2.2 Transition to New System:  David Nicholson outlined to the Committee the key issues around accountability and risk management in transition to the new system.  The process of people moving from PCTs into the new organisations was being managed, and letters would be sent to all staff affected by the changes.  A number of controls were in place to ensure that key workers were not lost through voluntary redundancy.  Running costs had been agreed which would allow the CCGs to start planning and staffing posts.    

2.3 Internal Audit:  Bronwyn Baker updated the Committee on internal audit matters included in the Report for the Committee.  The proposed ‘Health Family Group Assurance Model’ for DH would give ALBs more accessible escalation routes and the assurance model would benefit from better information flows, which ALBs welcomed.  Mike Wheeler would also have regular meetings with Audit Committee Chairs which would fit around the accounts timetable, and would be hugely beneficial. 

2.4 Risk:  Mike Wheeler had met with Bronwyn Baker and Siobhan Benita to discuss how to improve the way risks were challenged, reviewed and then escalated for inclusion on the high level risk register, and on the back of this, work was underway to continue to improve risk management across the Department.

2.5 Cabinet Office Review of DH Emergency Preparedness Arrangements:  The CO Review had 18 recommendations.  Helen Shirley-Quirk confirmed that there was good collaborative working across the Department, ALBs and the NHS.  There was a standing pool of 50 volunteer reserve staff whom would be trained and available for any incident.  An important part of the team’s role was to build and maintain the list of volunteers and ensure they were properly trained and participated in the exercises.  Una O’Brien invited Committee members to visit the Emergency Preparedness Team in their suite in Richmond House at the next meeting on 28 February 2012.

2.6 Whole Government Accounts (WGA):  Colin Wilcox confirmed that the NAO audit of the 2010-11 WGA returns was nearly complete, and would be ready for signing within the next week or so.  In being tasked to improve the WGA, the evidence was that the Department had improved, and were in a much better position this year than last, although due to the late laying of the Resource Account, a bit later.  The Committee agreed that they were content to approve the WGA by correspondence.

2.7 Resource Account 2010/11:  The Committee had agreed to a review of the resource account process to understand what had gone wrong, and learn from the mistakes for next year’s account.  Mike Wheeler conducted a review and this was almost complete, and had been approached in a helpful and constructive manner by DH finance and the NAO.  Omer Tauqir reported on the DH Internal Audit’s review which was now complete and would come to the next Committee meeting.

2.8 Resource Account 2011/12:  Alastair MacLellan spoke to his papers on the Resource Account Planning and Timetable for 2011/12, and the ISA260 and risk update.  Alastair flagged to the Committee the areas of particular risk to the resource account timetable for next year.

2.9 Audit Planning 2011/12:  Colin Wilcox provided the Audit and Risk Committee with the draft Audit Planning Report for 2011/12.  Key risks had been agreed with the Department, together with early milestones which should give better information on the feasibility of accounts preparation to the proposed timetable. 

2.10 Value for Money Study Programme 2012/13:  Mike Wheeler welcomed Lynda McMullan to her first DH Audit and Risk Committee, and noted the provisional items put forward for 2012-13.  Stephen Mitchell confirmed that the study on the management of adult diabetes services in the NHS was already underway.  Lynda welcomed any additional ideas for studies from ARC members.

2.11 DH Accountability Statement:  Mike Wheeler acknowledged the difficulty in writing this complex statement.  ARC members would send their comments to Stephen Mitchell.

2.12 DH Follow-up of External Report Recommendations:  Stephen Mitchell updated Committee members on the follow-up of external report recommendations, and reported on two recommendations from external reports which had not been done.