Report Title / Risk Report June 2013
Paper Number / 13/06/07
Report Author / Simon Baughan
Lead Director / Paul Holmes
FOI Status / Available on request
Report Summary / The purpose of the risk register is to provide the Board with an opportunity to consider the risks associated with Health Education Wessex.
One critical key [Annex A]/operational risk [Annex B] to bring to the attention of the Board:
· WLETB 5/WSLETB9 – Relates to MPET top slice and anticipated funding allocation – Paper to HEE to arbitrate over Wessex bid for further £8m from SWLETB based on use of different principles has failed. This Risk has been closed as now an Issue. Budget paper to Board 3rd June 2013) to discuss and agree options to balance books.
Risk Closed
Also three operational risks [Annex B] have been closed:
· WSLETB 2 – Relates to Wessex LETB accommodation now transferred to HEE and managed by NHS property Services.
· WSLETB 13 - Relates to UK offers
· WSLETB 24 – Relates to SHA closedown
Risks Closed
Four new operational risks [Annex B] to bring to the attention of the Board:
· WSLETB 28 – Relates to meeting foundation targets for psychiatry/community experience
Amber
· WSLETB 29 – Relates to Meeting GP expansion targets
Amber
· WSLETB 30 - Relates to Revalidation – exit reports absent
Amber
· WSLETB 31 – Relates to Psychiatry Recruitment
Amber
There are currently no Wessex LETB ‘red’ key risks [Annex A].
Purpose
(tick one only) / Approval
To Note
Decision
Recommendation / The Board is asked to: Review the register and note.
Strategic Objective Links / The risk register supports Health Education Wessex to meet all of its corporate obligations.
Impact on:
· Authorisation
· Quality
· VFM / Without a robust approach the LETB would not achieve authorisation
Identified risks and risk management actions / These are outlined in the register.
Resource Implications / None identified
Support to NHS Constitution / The values of the NHS Constitution are integral to, and support, Health Education Wessex and how that it works with HEE and all its stakeholders.
Legal implications including equality and diversity assessment / The work of the Health Education is governed by various legislative frameworks. Due and appropriate regard is being given to the Equality Act 2010 and compliance with the three aims of the Equality Duty as part of the process of decision making.
Annex A
Wessex LETB Key Risks 15 May 2013
Risk Number / Date Raised / Risk Description / Cause / Impact should risk materialise / Proximity estimation of timescale / Impact / Probability / Initial Risk Score / Risk Owner / Response to the risk contingency or mitigation / Current Status / Current Score / Resolve By / Target Score / Open Closed / CategoryWLETB 002 / Nov - 12 / Stakeholder Engagement / The LETB has made good progress in engaging with its key stakeholders and meets requirements for authorisation. However, the complex stakeholder landscape is changing and developing, some of these emerging partners are not yet ready to engage. / The LETB is required to be representative of its stakeholders and consult in order to make informed decisions about education and training. Without stakeholder engagement this would not be possible / Between Dec – Mar 2013 / 3 / 3 / 9 / Paul Holmes / Programme approach has been applied to all LETB Authorisation workstreams, so progress is carefully monitored.
The Design Group and LETB Board has agreed ToRs for the Partnership Council and will form Local Workforce Development Groups and Professional Networks to engage with a wide range of stakeholders.
The first Partnership Council meeting took place on 15 February.
First LWDG meetings due to take place in June/July. / Design Group agreed in principle with draft TOR’s which have now been sent out for final comment. / 4 / June/July 13 / 4 / Open / Operational and Reputation
Wessex LETB Key Risks 15 May 2013
Risk Number / Date Raised / Risk Description / Cause / Impact should risk materialise / Proximity estimation of timescale / Impact / Probability / Initial Risk Score / Risk Owner / Response to the risk contingency or mitigation / Current Status / Current Score / Resolve By / Target Score / Open Closed / CategoryWLETB 003 / Nov – 12 / Integrated Business Services Team / Wessex LETB will host an integrated business service team to support the Executives of both Wessex and TVLETB. / Success of the service will heavily depend upon good cooperation between the Executive teams and Boards of both LETBs. At present neither LETB has recruited to all Executive posts, creating uncertainty with regard to the specification and requirements of such a service.
/ Between Dec – Mar 2013 / 4 / 3 / 12 / Paul Holmes / Draft service specification has been developed.
Shared services workshop held with staff delivering services to explore opportunities and issues to further develop the service level agreement for further consultation and then Board approval.
Revised specifications and draft terms of Reference for Governance Group produced and second workshop held with staff to discuss final issues.
Joint Governance ToR’s designed.
Revised Draft SLA developed for sign-off. / Structure chart circulated to staff
1:1’s held by HoS with staff
Meeting held with HoS
Final workshop held with staff 24/4
IM&T Review ongoing / 6 / June 13 / 4 / Open / Financial and Operational
Risk Number / Date Raised / Risk Description / Cause / Impact should risk materialise / Proximity estimation of timescale / Impact / Probability / Initial Risk Score / Risk Owner / Response to the risk contingency or mitigation / Current Status / Current Score / Resolve By / Target Score / Open Closed / Category
WLETB 004 / Nov – 12 / Quality Monitoring and Improvement / Separate parts of the workforce team and Deanery collect monitoring information to make improvements. / At present the Board is unsighted on issues of quality an integrated approach may provide better use of resources and a potential early warning system of emerging risks which is lacking under the current system. / Between Dec – Mar 2013 / 3 / 2 / 6 / Allan Jolly / There is a proposal to set up a Quality Improvement Panel with terms of reference likely to report to the Operational Management Group and the Board.
Run workshop with Partner organisations in Wessex and Thames Valley to discuss roles, responsibilities and information needed to support operation of a Quality Surveillance model.
Design Programme of work to develop and test, in 2013/14, an integrated, multi-professional approach to education quality monitoring with potential to develop, with partners, an early warning system of emerging risks to service and education quality.
DEQ has just been appointed to take this work forward.
Workshop held Putting Patients First 17 Jan / Education Quality Assurance Steering Group inaugural meeting (due April 2013) rescheduled to May 2013 but informal meetings have continued and agreement has been reached to transition to a HEW focussed meeting from Sept 2013.
Variation 4 of the Learning and Development Agreement, incorporating the changes to monitoring and reporting have been returned by 3 of the 6 eligible Trusts (D&S are signed to HESW version for 2013/14). Deadline extended to 15.05.13.
Draft format developed to show summary of multi-professional education quality.
Draft agenda format for multi-professional visits developed and 2013/14 meetings have been planned between the Dean and the DEQ.
Shared understanding of processes being developed; DEQ and MD attended medical QMB and Medical Quality and Workforce Manager to attend non-medical CMG. Head of QPL linking with all processes. / 6 / June 13 / 4 / Open / Operational including Safety and
Reputation/Legal
Wessex LETB Key Risks 15 May 2013
Risk Number / Date Raised / Risk Description / Cause / Impact should risk materialise / Proximity estimation of timescale / Impact / Probability / Initial Risk Score / Risk Owner / Response to the risk contingency or mitigation / Current Status / Current Score / Resolve By / Target Score / Open Closed / CategoryWLETB 005 / Nov – 12 / MPET top-slice and anticipated funding allocation / LETB Investment Plan assumes return of funds previously top-sliced by SHA and an anticipated level of funding.
Allocation methodology proposed by HEE for 2013/14 and beyond presents a significant financial risk. / Top-slice and anticipated funding is fully utilised in Investment Plan for 2013/14 to support workforce transformation, therefore serious risk were these funds to be directed away. / Between Dec – Mar 2013 / 4 / 3 / 12 / Peter Holt / Map out the implications of alternative budget scenarios for 2013/14. There are three broad scenarios:
As per Investment plan, which assumes full allocation inclusive of top slice (Best Case)
As per latest HEE release (For Wessex worst case!)
As per Investment Plan minus top slice
Budget scenarios have been developed.
Appealed to HEE at the Authorisation visit, awaiting response from HEE. / Paper to HEE to arbitrate over Wessex bid for further £8m from SWLETB based on use of different principles. This bid failed.
This Risk has been closed – now an Issue. Budget paper to Board (3rd June 2013) to discuss and agree options to balance books. / 12 / June 13 / 4 / Closed / Financial