AGENDA ITEM July 2011 ROLL OUT OF MANAGER/EMPLOYEE SELF SERVE MODULE OF ESR. Assistant Director Of Workforce

Transcription

1 AGENDA ITEM July 2011 ROLL OUT OF MANAGER/EMPLOYEE SELF SERVE MODULE OF ESR Report of Paper prepared by Executive Summary Assistant Director Of Workforce Workforce Modernisation Manager, Planning and Strategy This paper details the actions being taken to progress the implementation of the Manager/Employee Self Serve (MSS/ESS) Module of ESR within the UHB in accordance with a recent directive sent out by the All Wales Workforce Information Systems Programme Board (WfIS) Programme Board. The paper details the benefits to the organisation of implementing the Manager/Employee Self Serve (MSS/ESS) Module of ESR in terms of improved efficiencies, improved data quality and processes etc. The paper also details some potential risks associated with the implementation arrangements and actions being taken to minimise these risks. The paper confirms that in accordance with the All Wales WfIS Programme Board s Directive, MSS/ESS will be piloted in the following areas:- Page 1 of 11

2 Workforce and Organisational Development Department Finance Department Information and Technology Department Dental Services Division The paper also details the functionality of the ESR Self Serve Module which will be applied in the Cardiff and Vale UHB s and the Project Team s proposal to implement Payroll Approval Not Required for pays impacting elements of the MSS/ESS Functionality (subject to confirmation by the Workforce and Organisational Development Committee). Action/Decision required Link to other Board Committee(s) and subcommittees Link to Standards for Health Serves in Wales Link to Public Health Agenda Also attached to this paper is a copy of the most up to date version of the MSS/ESS Project Team s Project Plan To Note the Report Workforce & Organisational Development Committee Health Care Standards 24, 25 & 26 The UHB is committed to health improvement and reducing health inequalities. These issues are central to the group s deliberations. Page 2 of 11

3 Link to UHB Strategic Direction and Corporate Objectives / Legislative and Regulatory Framework Link to relevant evidence base The implementation of the Managers Self Serve Module of ESR is a key priority of the All Wales Workforce Information Systems (WfIS) Programme Board. The implementation of Managers Self Serve has the potential to deliver workforce efficiencies and will support decision making in relation to the delivery of the UHB s Operational Workforce Plan and Financial plan. Best practice benchmarked against relevant national standards. INTRODUCTION This paper details the actions being taken to progress the implementation of the Manager/Employee Self Serve (MSS/ESS) Module of ESR within the UHB. The paper details the benefits to the organisation of implementing the MSS/ESS Module of ESR in terms of improved efficiencies, improved data quality, processes etc. The paper also details some potential risks associated with the implementation arrangements and actions being taken to minimise these risks. WORKFORCE INFORMATION SYSTEMS (WfiS) PROGRAMME BOARD Within the NHS in Wales, the Workforce Information Systems (WfIS) Programme Board s remit is to provide strategic direction and guidance and promote a standard approach across Wales based on best practice for ESR and related workforce activities. Its vision is:- Page 3 of 11

4 As ESR core functionality is now embedded within NHS Wales, the Workforce Information Systems (WfIS) Programme Board s immediate priority is to focus on the opportunities afforded by the implementation of MSS/ESS with a view to maximising the benefits available from a fully integrated workforce management system used consistently throughout NHS Wales. A WfIS Scoping Exercise undertaken in late 2010 illustrated that NHS Wales organisations were significantly under utilising ESR functionality resulting in the lack of a co-ordinated or mandated plan to drive efficiencies, data quality and workforce intelligence via ESR. In particular the WfIS Scoping Exercise identified that only 3 organisations (Cardiff and Vale, BCH and Anuerin Bevan) had piloted the use of MSS/ESS and that all current pilots were small scale. At the same time, developments occurred in respect of the ESR Organisational Learning Module (OLM) module on a national basis. The successful implementation of these developments were contingent upon the adoption by users of the MSS/ESS Self Serve ESR module. The following was subsequently agreed at April s All Wales WfIS Programme Board:- 1. That the functionality of the MSS/ESS module of ESR should be tested in terms of its functionality and its appropriateness for further organisational roll out. Page 4 of 11

5 2. ESR Organisational Learning Module (OLM) should formally recognise as the preferred Learning Management System for NHS Wales replacing e-ksf. 3. That as the effective functioning of OLM is dependent upon the implementation of ESS, all organisations would be required to pilot the implementation of ESR Self Serve functionality in the following corporate areas by 31 st October Workforce & OD Finance IT Any existing users should also have the additional functionality rolled out to them MANAGER SELF SERVE / EMPLOYEE SELF SERVE COMPONENT OF ESR A review of MSS/ESS module of ESR was undertaken by the WfIS Project Support Team using the following methodology: Analysis of data fields available via ESR MSS/ESS Evaluation of the ESR MSS/ESS processes and functionality available to managers Evaluation of how MSS/ESS has been implemented and used in NHS England Reviews of case studies - Northumbria Healthcare NHS Foundation Trust, North West Wales NHS Trust, Cardiff & Vale LHB, Burton, Hospitals NHS Foundation Trust, Derbyshire Community Health Serves, St Helens & Knowsley NHS Trust Site visits to review project implementation plans and lessons learned - Heart of Birmingham PCT and BCU LHB with future visits planned to Burton & Exeter to further inform the project Non Pay Impacting The Review concluded that the following MSS/ESS Functionality should be initially utilised in Wales:- Changes to Assignments and Contracted hours Terminations Changes to personal information i.e. addresses etc Changes to Location Absence Reporting Page 5 of 11

6 Recording of competencies, Registration and Membership of Organisations Booking of Mandatory Training (See Table 1 below re detail of which functionality is pay impacting / non pay impacting) It was decided that the functionality for the recording of annual leave and the inputting of direct hires should not to be included as part of the pilot scheme as national upgrades to these elements of MSS/ESS were scheduled for late MSS/ESS IMPLEMENTATION - THE PROPOSED APPROACH FOR WALES As a result of the review and recent scoping exercises, the approach recommended for Wales simplified the choice of the 6 existing Self Serve variations to a combination of just 3 User Responsibility Profiles (URPs) as follows: Level 3 MSS/ESS (Full Access) MANAGER SELF SERVE (Payroll Approvals not required) ability to commit all group A & B actions directly to the database with no further approvals required. Also a designated Payroll Approver for changes made at Level 2 MSS described below. Level 2 MSS/ESS (Administrator Access) ADMINISTRATOR SELF SERVE (Payroll Approvals Not required) allows administrators to view & update employee information on behalf of a manager. Changes which are pay impacting will be forwarded to a MSS Level 3 user for approval. This URP will allow administrators to enter all group A actions (i.e. those having a payroll impact) requiring approval from a designated Approving Manager together with group B actions (i.e. no financial/contractual impact) which require no further approval. Level 1 MSS/ESS (MSS Lite) SUPERVISOR SELF SERVE will allow group B actions to be committed directly to the database (no access to group A actions) but importantly will also allow administrators to book training courses and input appraisal information (not permitted in Level 2 MSS above). This is particularly important to allow NHS Wales organisations to fully benefit from the full usage of OLM functionality. Page 6 of 11

7 Group A Pay Impacting Group B non Pay Impacting Group C Changes to: Assignments Contracted Hours End Employment Changes to: Personal Changes Property Register Supervisor Change MSS Level Locations Absence Competencies & Qualifications Registrations & Memberships Level 3 MSS Level 2 MSS (approval of Level 3 MSS user required) Changes to: Personal Information Enter Absences Book Training View: Employee Information Level 1 MSS Table 1 Description of Functionality, Level MSS responsibility (including whether pay impacting / non pay impacting) PAYROLL APPROVAL REQUIRED / PAYROLL APPROVAL NOT REQUIRED At an All Wales Workshop held on 4 th July, consideration was also given to the Welsh UHB s readiness to implement the MSS/ESS Payroll Approval Not Required for those elements of MSS/ESS which are pay impacting. A summary of the benefits and risks associated with the two options of Payroll Approval Required / Payroll Approval Not Required is detailed in table 2 below. PAYROLL APPROVAL REQUIRED PAYROLL APPROVAL NOT REQUIRED BENEFITS RISKS BENEFITS Risks Step towards achieving full benefits of ESR functionality Duplication of processing transactions Maximise the benefits of ESR Changes will instantly impact on pay Tighter controlled process Delay in changes becoming effective in ESR Leaner processes Future Changes date tracking issues Page 7 of 11

8 Prevention of errors opportunity to target training Managers will require training and support Empower managers Potential implications to Pension availability on End Employment Limited training requirements for users Potential for mixed processes across Wales Standardisation of processes Errors in the recording of absence Step towards achieving full benefits of ESR functionality Limitation on audit trail of transactions Targeted training and support for managers based on evidence Quality and availability of training The potential to reduce overpayments is missed Improved audit trail of transactions Maintaining user skills Transferable skills from Oracle Procurement System Potential to reduce Overpayments Table 2 : Summary of the benefits and risks associated with the two options of Payroll Approval required / Payroll Approval Not Required Although there are acknowledged risks associated with MSS/ESS Payroll Approval Not Required, the conclusion of stakeholders at the workshop was that the benefits of implementing the option of Payroll Approval Not Required on the pay impacting functionality included in the pilot, outweighed the risks. The potential risk of an increase in overpayments was considered. It was noted that payroll staff would continue to review all the changes made by managers via the NHS Change Event log and/or NHS Date Track Changes and Highlights Analysis Reports. These reports would be run weekly as opposed to monthly (which is the current arrangement). Any concerns about pay impacting changes actioned by a manager would be raised with the respective manager at the time. At the UHB s Local WfiS group meeting held on 7 th July 2011, the conclusion of group members was also that the benefits of implementing the option of Payroll Approval Not required on the pay impacting functionality outweighed the risks and should therefore be included in the Cardiff and Vale UHB pilot scheme. Page 8 of 11

9 ALIGNMENT WITH e-rostering SCHEMES It is acknowledged on an All Wales basis that further work is required to fully explore the potential variance in the interfacing options from e- rostering systems into ESR, before a final recommendation can be made on the alignment of MSS/ESS with clinical areas which currently have/plan to have e-rostering in place shortly. Some e-rostering systems are known to offer additional functionality which can match or potentially exceed MSS/ESS in terms of data fields and interface to ESR. Where this is possible e-rostering could be used as the main system for workforce information data entry by managers. In such cases there would be no current requirement for the implementation of MSS/ESS as an additional system. MSS/ESS may therefore prove to be a viable solution for clinical areas in the smaller organisations where the purchase of e-rostering solutions is not financially viable. As Cardiff UHB has already made significant progress in rolling out of e- rostering in inpatient wards and has plans to extend the roll out to other clinical areas it is not anticipated that MSS/ESS offers significant benefits to clinical areas at the moment. This position will be reviewed once the local pilot project has been fully evaluated. PILOT ARRANGEMENTS As indicated previously, NHS Wales s organisations will therefore confine the introduction of MSS/ESS in the first instance to corporate or non clinical areas describe previously while further scoping work has been undertaken. Within the Cardiff and Vale UHB, the Dental Services Division is already successfully piloting some elements of the Manager/Employee Self Serve Module of ESR. Any additional functionality will also therefore be rolled out within the Dental Division. ACTION BEING TAKEN WITHIN THE CARDIFF AND VALE UHB To comply with the timescale for implementation of Manager/Employee Self Serve in the three Corporate Areas and the Dental Division, a Self Serve Delivery Project Team has been established within Cardiff and Page 9 of 11

10 Vale UHB to take this work forward and a project plan developed, which is currently being implemented (Appendix 1). The membership of this project team currently includes a representative from the UHB s Audit Department. RECOMMENDATION The Committee is asked to support (subject to confirmation at the Workforce and Organisational Development Committee) the decisions made at the All Wales Workshop held on 4 th July 2011 and the UHB s WfIS Group held on 7 th July 2011 that the UHB pilots:- 1. the implementation of MSS/ESS functionality as described in Table 1 in the Workforce and Organisational Development, Information Technology and Finance Functions. 2. MSS/ESS Payroll Not Required for those elements of MSS/ESS which are pay impacting as described in this paper. IMPACT ASSESSMENT Health Improvement Workforce Education and Training Financial Positively impact on the workforce through the utilisation of effective Workforce Information systems. The system will provide real time sickness reporting for those areas utilising it. The system will enable employees to have an up to date electronic training record recorded on ESR. MSS/ESS will facilitate the recording of employee training activity and the electronic booking and approval of mandatory training The implementation of Managers Self Serve has the potential to deliver workforce efficiencies and will support decision making in relation to the delivery of the UHB s Operational Workforce Plan and Financial plan. Page 10 of 11

11 Legal Equality Environmental Will help support compliance with equality and employment legislation. ESR facilitates the provision of Workforce Information supporting the UHB s equality Agenda. ESR facilitates the provision of Workforce Information supporting the UHB s equality Agenda It will reduce need for paper based systems thus impacting on the environment RISK ASSESSMENT Clinical/Serve Financial Reputational Acronyms and Abbreviations Positively impact on Service Delivery through the utilisation of effective Workforce Information systems Will enable managers to access more readily information about the staff they manage. Facilitates the recording of Employee Training information via OLM Module of ESR More effective Workforce Systems will lead to the improved reputation of the UHB ESR Electronic Staff Record OLM Organisational Learning Module MSS/ESS Manager Self Serve /Employee Self Serve WfIS Workforce Information Systems Programme Board CONSULTATION AND ENGAGEMENT Managers Self Serve Project Team has been established which includes representatives from the Finance, Information and Technology and Workforce and Organisational Development Departments. The Project Team also includes two staff representatives. SOURCES OF INFORMATION WFIS Programme Board Papers. Page 11 of 11

12 CARDIFF AND VALE UHB Appendix 1 MANAGER/EMPLOYEE ESR SELF SERVE PROJECT PLAN Ref Name Additional Information Local Action Indicative Expected Duration 1.1 Establish project team as sub-group of organisation s WfIS Programme Board & agree meeting schedule Project Team members to attend All Wales Self Service delivery Workshop on 4 th July in Cardiff. Finalise scope/level of manager s self service project including whether payroll changes can be facilitated. 1.3 Project team to review Self Service Guides & other appropriate documentation 1.4 Communication of plan to impacted areas PLANNING Team to include: WfIS lead (SM Evans ) Self Service Lead (SM Evans) ESR Workstructure/System Administrator (Vi Corlett /Mike Mullan) Shared Services Payroll representative (Christine Richards) OLM lead (Virginia Spight IT representation ( Staff side representative (N Gibbs) User representation from W&OD, IT & Finance S M Evans Mike Mullan Christine Richards Nigel Hughes Attending Workshop. Agree & commence communication process identifying impacts & expected benefits. Achieved. First meeting to be held on 21 st June Achieved EJ/VC/KS/JP SME/Project Team 1 day 2 months Target Completion Date 2/06/ /06/ /9/2011 Ongoing Correspondence sent to Assistant Directors on 10 th June Ongoing Cardiff and Vale UHB MSS/ESS Project Plan Page 1 of 4

13 CARDIFF AND VALE UHB Appendix 1 MANAGER/EMPLOYEE ESR SELF SERVE PROJECT PLAN Ref Name Additional Information Local Action Indicative Expected Duration Target Completion Date PREPARATION 2.1 Determine pilot users & stakeholders Agree key stakeholders, managers and end users to be involved in the pilot departments. Agree & implement communications process with each Area 2.2 Clarify Support Arrangements for end users Agree the mechanisms to support pilot areas e.g. training methodology, helpdesk, super-users in departments 2.3 Assess current structure Understand the current organisational, reporting and managerial structure of the pilot departments. 2.4 Assess IT infrastructure and upgrade as needed 2.5 Map existing processes, review & document 2.6 Review & update work structures in ESR 2.7 Allocate supervisor to staff records as per agreed hierarchy 2.8 Develop end user training plan and materials Ensure that hardware/communications infrastructure exists in the pilot area to support all proposed end users. Review processes, compare current practice & agree changes required to utilise Self Service. Document revised processes to be utilised by Self Service end users. Compare outcome of 2.5 with work structures set up in ESR. Update work structures in ESR to correctly reflect current organisation hierarchy of the pilot departments. Develop training plan & training materials for end users. Identified as Finance, IT, Human Resources & Dental TBC Locally and All Wales Basis after 4 th July 2011 VC/Departmental reps GB to raise concerns re IT infrastructure at All Wales Workforce Information Systems VC/ Departmental Reps VC VC MM/SME/EJ/CR/NH/K S Achieved One month One month 2 months 2 months 15/8/ /06/ /07/ /07/ /07/ /08/ /08/ /08/ /08/2011 NB Requirements for central support will be discussed at All Wales Self Service Delivery Workshop 4 th July 2 weeks Cardiff and Vale UHB MSS/ESS Project Plan Page 2 of 4

14 CARDIFF AND VALE UHB Appendix 1 MANAGER/EMPLOYEE ESR SELF SERVE PROJECT PLAN Ref Name Additional Information Local Action Indicative Expected Duration 2.9 Set up users and URP allocation Systems Administrator to set up all users and allocate appropriate URPs URPS to be used in Wales: Employee Self Service Manager Self Service Administrator Self Service Supervisor Self Service Advice will follow on whether Payroll Approvals Required/Not Required is to be utilised 2.10 Agree & implement process to maintain work structures/supervisor hierarchy Implement process to maintain work structures & supervisor hierarchy to ensure current organisation hierarchy continues to be reflected correctly within ESR. VC Target Completion Date 31/08/ months SME/VC/EJ 19/08/ Raise S/R to facilitate Central upload Raise SR VC of addresses etc 1/7/ Set up staff data enter Central upload to be activated through J OB 31/07/2011 addresses of all Self Service users into ESR Central team 2.12 Provide IT access to ESR Set up ESR on PCs as described in the 31/08/2011 M-0100 document 2 weeks 2.13 Deliver training Expert users, already familiar with ESR, will be needed to deliver training to end 31/08/2011 users. 2 weeks 3.1 Go Live To be conducted in the live environment and will need to replace current methods of data entry. 3.2 Provide on-going support to end users 3.3 Continue to maintain work structures & supervisor hierarchy Expert users, familiar with ESR, will be needed to provide on-going support to end users. On-going maintenance process as agreed at 2.8 above IMPLEMENTATION Departmental Leads VC/MM/J OB/EJ/CR/N H VC On-going On-going September 2011 Cardiff and Vale UHB MSS/ESS Project Plan Page 3 of 4

15 CARDIFF AND VALE UHB Appendix 1 MANAGER/EMPLOYEE ESR SELF SERVE PROJECT PLAN Ref Name Additional Information Local Action Indicative Expected Duration 3.4 Review of existing authorised signatory process with finance and procurement reps to ensure integration and to agree process for maintenance 4.1 Complete WfIS evaluation tool Evaluation tool will be developed by the Wales WfIS Self Service Delivery Group (comprising of the pre-existing the ESR Self Service SIG & WfIS e- 4.2 Conduct review of 1 st phase rollout & identify lessons learned & benefits realised Workforce Solutions Work stream) Formally review with stakeholders what went well, what could have been done better and benefits gained Target Completion Date Daniel Davies for Oracle procurement and Rob Mahoney for authorised signatories in finance Ongoing 15 Aug 2011 SME/Users Leads 30/11/ month 31/12/ month 4.3 Lessons learned report Collate lessons learned report and 31/01/2011 apply learning in phase 2 rollout 1 month EVALUATION 5.1 Roll out to additional corporate areas Prepare phase 2 project plan aligning 15/01/2012 is expected by March 2012 with WfIS national strategy 2 weeks 5.2 Rollout of phase 2 2 months 31/03/2012 Cardiff and Vale UHB MSS/ESS Project Plan Page 4 of 4