Archived decisions

DP Payments Action Plan

I:\Chief Executives\Committee Division\Decisions Database\Doc_Import\[Item 7 DP Action plan dec 06.xls]Sheet1

Item

Issue

Solution

Responsible

Part DP Full Service Review

Delivery Date

CURRENT STATUS

1

Action Plan

Ownership - Delivery

Monitoring

AD PBM & Area Dir N&E Hants

Y

Completed

Completed

2

System Issues

Correct process for correcting interface issues. Circulation of this information and prior testing.

Step by Step required

DP Operational Lead &Strategic Development Managers Hdps & Systems AHOF

N

Completed

Completed:- Guidance issued by DFU Systems Team

3

System Issues

The recovery of monies paid to clients cannot be flagged as a memo commitment.

Ability to mark invoices raised as Credit Memos to assist/facilitate auto interface correction.

Systems Team manager

N

31/07/2007

4

System Issues

Current Finance DP monitoring system is not system based. Comment within Audit report recommends a system based solutiion should be found.

Mapping a system process to allow the DP Finance Team to relinquish the use of a spreadsheet for:- Qtrly return checks, monthly payments, rate notifications, one off payment receipt recording, generation of annual payment schedule, recording of completion of financial record checks, production of management information as determined by DMT/ statutory returns.

DMT

Y

31/07/2007

5

Swift Process

Cost records do not interface with Abaccus for Windows (A4W) to facilitate correct charges being levied against a client.

Swift Operationa Manager + Debtors Group Manager

Y

31/07/2007

6

DP Operational Issues

Are care managers the most appropriate people for providing financial advice to the client or should it be the DP Support contract provider. If care manager appropriate training needs to be provided. DP Audit point 3.2 (ii)

Full Service review to encompass these points.

Ast. Dir (Commissioning Partnership & Provisions/Well being & Community services)

Y

31/07/2007

7

DP Operational Issues

Investigation of excess balances above 8 weeks when notification received from the DP Finance team. Also the investigation by the care manager, after they have been notified by the DP Finance Team that a client has not submitted a return and is 28 days past due. DP Audit point 3.20 (i & ii)

The DP Finance Team will notify C.Mgrs/T.Mgrs of clients with excess balances as per HDPS3 and also clients where a current Qtrly return is outstanding and more than 28 days past due. It is proposed that 14 days after the excess notification list is sent to Team Managers , where a request to the contrary is received, all balances in excess will be invoiced. It is hoped that an electronic form can be set up to facilitate responses by care managers not to invoice. DP Operation Lead approval required.

DP Operational Lead &Strategic Development Managers HDPs & DP Finance Team Manager

N

Completed

Completed:- Care managers have been reminded of the need for resolution of non returns. DP Fiance team, have implemented a new monitoring system that highlights both non return and excess balances held. This information is distributed to Team/Care managers for resolution.

8

DP Operational Issues

Clients need reminding to keep full documentation to facilitate an audit trail on their Financial Record. Also they need reminding that monies we provide are to be used only in connection with the agreed needs we are meeting. DP Audit Point 3.24 (i)

Review training and reissue guidance

Strategic Development Managers HDPS

N

31/03/2007

9

DP Operational Issues

There are approximately 200 Option A clients who have still to be referred to FAB for a financial assessment.

Team managers to be reminded of the need to make a referral.

Strategic Development Managers HDPS

N

Completed

Completed:- Team managers have been supplied with details. At 31/3/07 there was still circa 100 o/s. Follow up to be actioned.

10

DP Operational Issues

Clarification re £21k capital threshold meaning that ASD will not contribute to any care costs.

Legal opinion acquired and agreement via Patricia Banks.

DP Operational Lead.

N

Copmpleted

Completed:- Maximum contributuion bu any client to be £385.21 (0607) ? £395.64 (0708)

11

DP Operational Issues

Improved communication between all departments:- Swift Operational/Systems/care management/Finance/FAB. Clear definition of roles and responsibilities.

Full system review to incorporate this aspect into findings.

Ast. Dir (Commissioning Partnership & Provisions/Well being & Community services)

Y

31/07/2007

Reviews are being targeted at DP packages of care and eligibility is being checked.

12

DP Operational Process

Financial Management advice to clients to be reviewed to ensure it is of a suitable standard, current and consistent. Access to updated guidance for the DP Support Service provider , possibly by the DP Website, should be available. DP Audit point 3.4

Full system review to incorporate this aspect into findings.

Strategic Development Managers HDPS

Y

31/07/2007

13

DP Operational Process

A referral is done by a care manager to the FAB Team for all clients. DP Audit point 3.5 (ii)

SWIFT based solution to auto generate referral after a provision is entered.

DP Operational Lead & Head of Business& Performance management.

N

31st March 2007

14

DP Operational Process

Clients without Critical & substantial needs have a Direct payment. DP Audit point 3.6

Ensure all clients reviewed and DP's given to those clients that meet current Eligibility Criteria

Ast. Dir (Commissioning Partnership & Provisions/Well being & Community services)

N

01/04/2007

15

DP Operational Process

All HDPS1 & Letter of agreement forms are not signed in full. DP Audit point 3.10

Improve training and re issue guidance

Strategic Development Managers HDPS

Y

31st Dec 2006

16

DP Operational Process

All orders are not being raised on SWIFT as soon as the HDPS1 & Letter of Agreement are signed. DP Audit point 3.12

Conflict between Panel approval and recommendation needs to be addressed.

DP Operational Lead

Y

31st Dec 2006

17

DP Operational Process

Care Managers are not monitoring client records on an ongoing basis to ensure monies are spent on assessed needs. DP Audit Point 3.24

This is to be considered within the full service review however Care Managers will be reminded of the current requirement to review at least annually at the DP Road Show.

Strategic Development Managers HDPS

Y

31/07/2007

18

DP Operational Process

Care Mangers are not ensuring that all receipts and unspent money with one off payments are returned by clients within 8 weeks to the DP Finance Team. Audit Point 3.26

Guidance within the CMPM should be followed to ensure that all receipts and unspent money are returned by clients within 8 weeks to the DP Finance Team.

Strategic Development Managers HDPS

N

31st March 2007

19

DP Operational Process

Confusion by Care Managers in what is required to move clients from Option A to B.

Update and reissue guidance to all care managers.

DP Op Lead

N

Completed

Completed:- Roadshows and reissue of guidance

20

NRC Charging Issues

Currently orders input as Day cost which does not integrate with Abaccus For Windows (A4W). SWIFT to A4W interface incompatability.

System being reviewed for long term solution to enable system to auto-genrate DP client billing

Strat Comm Dir SE & Swift Op lead

Y

31/07/2007

21

NRC Charging Issues

A4W cannot import a schedule of services so cannot calculate a clients charge. Interim process that will accommodate the business needs whilst this is resolved.

Interim Solution to accommodate charging.

SWIFT operational Manager/ Systems Team Manager

Y

Completed

Completed:- FAB & Finance DP team have put in place manual systems to commence 1/5/07 whilst long term solution resolved

22

NRC Charging Issues

What can and cannot be included as Disability Related Expenditure to ensure parity with existing Dom Care clients.

Only Chargeable Hours to be exported as service to A4W

Strat Comm Dir NE Hants + DP Op Lead

Y

31/07/2007

23

NRC Charging Issues

Ensure Health Continuing Care contribution/Intermediate care not charged for.

Record as allowable DRE on Financial assessment.

SWIFT operational Manager

Y

31/07/2007

24

NRC Charging Process

Ensure all clients are/have been financially assessed.

Completion of current client spreadsheet list to identify who has / has not been financially assessed.

FAB Team manager

N

31/07/2007

Completed interim solution:- FAB & Finance DP team have put in place manual systems to commence 1/5/07 whilst long term solution resolved

25

NRC Charging Process

All existing orders have been entered onto the system as an amount per day provision. To facilitate the move to monthly billing all orders will need to be reinput as either hrs per day or hours per week (to be decided).

Decide the process and identify the resource to complete the exercise.

DP Operational Lead

Y

Completed

Completed:- Alternative interim solution implemented whilst wider issue/ system solution considered.

26

NRC Charging Process

Clients are paid £9.56 on Option B for Personal Assts however are charged at £13.32.

Clarity re DOH Fairer Charging guidance in relation to DP. It states the council should not charge more than it pays except where it wishes to add an administartion cost. An amendment to A4W required to accommodate multi rates, particularly in respect moving towards Individualised Budgets

Strategic Development Managers HDPS

Y

31/07/2007

27

System Interface Issues

Payment in advance generates interface errors. The DP team are required to pay all clients in advance. Payments are made on or after the 15th of the month. This means that all orders whenever they are changed result in an interface error.

Ensure the system can cope with Advance payments or ensure a process is scoped that both eliminates interface errors and is relevant to the business process.

SWIFT Operational Manager/ Systems Team Manager

Y

31/07/2007

28

System Interface Issues

Input of order prior to linking of SAP vendor & Swift provider a/c resulting in interface error.

Reminder of guidance and the system to auto link rather than rely on a manual process.

SWIFT Operational Manager

Y

30/06/2007

29

System Interface Issues

Care manager does not send in an HDPS5 or it is lost in transit. The order is then closed by the care manager. The order remains open because it is an interface error so the team continue to pay.

Proposed the HDPS5 is incorporated into an electronic form so that the care manager can specify date ended and monies required to be recovered. Interim:- care management need to be reminded of the need to send in timely HDPS5 to the DP team to prevent unnecessary recovery action.

DP Operational Lead

Y

30/04/2007

30

System Interface Issues

Care Managers are closing and opening orders rather than amending- resulting in more interface errors

Training/correct process implementation.

SWIFT Operational Manager

N

31/03/2007

31

System Training issues

Use of CMPM, need to support client with Financial management and understand the limitations of help available to the client from the Support Worker Contract. Audit Point 3.2 (i)

Retrain / Issue guidance clarifying roles/responsibilities

Strategic Development Managers HDPS

Y

31/07/2007

32

System Training issues

Care Managers claim they are unclear on process and feel that bureaucracy is a barrier to clients using DP

Full service review and interim information to assist take up of DP

Strategic Development Managers HDPS

Y

31/07/2007

33

System Training issues

Feedback from Care Managers that process's confusing and there is little support available for Direct Payments

DP Road show:- Drop in access at 7 locations given all care management an opportunity to ask any questions and provide a central resource for help within the DP website.

Strategic Development Managers HDPS/ Swift Operational Manager & DP Finance Team Manager

Y

31/07/2007

Part Completed:- A ready reference has been distributed to all attending care management staff at the DP roadshows. Supplies have been issued to Training to issue as required.

34

System Training issues

A high proportion of care managers who have attended the DP Road Shows have fed back that whilst they know what a DP is they feel the training given lacks system and form completion elements. They have said they would like hands on practice in entering, step by steps, practice on form completion to ensure th right information is recorded.

Appropriate training and tools that meet care managers needs.

Strategic Development Managers HDPS + Training

Y

31/07/2007

35

System Training issues

A high proportion of care managers who have attended the DP Road Shows have fed back that they felt that management understanding of DP was very low and felt this may well be a major barrier to DPs being approved at panel

A specific course to ensure Management are aware of DP issues and how best to give guidance.

Strategic Development Managers HDPS

Y

31/07/2007

36

DP Finance Team issues

A copy of the Financial assessment be kept on the DP Finance Team File. DP Audit Point 3.5 (i)

Ultimaetly change process so that income is collected in the same way as Dom Care. The monthly bills will be generated by A4W via the FAB team. Financial assessments are not kept by Fiance where the Dom Care process is used. DP Operational lead approval required

DP Operational Lead & DP Finance Team

Y

31st Jan 2007

Part Completed:- A n interim solution with monthly updates ahs been adopted by the DP Finance Team to negate the retention of copy assessments. Monthly updates are completed with The FAB team whilst this recommendation is considered within the whole system review.

37

DP Finance Team issues

All outstanding documentation is followed up to ensure files are complete. DP Audit point 3.8 (i & ii)

Audit have approved all documents being held at the area offices on the provision that Team Managers verify that the completed documents are both correct and on file. An electronic form is being created and hoped to be used via Outlook to cover this and other documentation issues.

DP Team leader + Strategic DP Operational lead

N

31st March 2007

38

DP Finance Team issues

A SWIFT/SAP solution be established to replace the spreadsheet process currently used by the DP Finance Team. DP Audit point 3.8 (iii)

It is hoped the full service review will inform what is needed to underpin the business process. Whilst being scoped an interim solution is being determined which moves the collection of client contributions to an existing system based solution. This will reduce reliance on the spreadsheet.

DMT (overall). DP Operational lead (Interim solution)

Y

31/07/2007

39

DP Finance Team issues

All payments to be processed before the last 4 working days of the month preceding the month in which they become due. DP Audit Point 3.13

Additional resources required within the team however the move of the DP Finance Team to Trafalgar Hse should release resources from petty cash and also allow additional resources within the DFU to be used as required.

DP Finance Team Leader

N

Completed

Completed:- completion schedule in operation to ensure deadline met.

40

DP Finance Team issues

Qtrly Statements should be date stamped on receipt and initialled when checked. DP Audit Points 3.17 (i) 3.19

DP Finance Team instructed.

DP Finance Team Leader

N

Completed

Completed:- Fiance DP team instructed

41

DP Finance Team issues

Qtrly statements follow up procedure as defined in the Fiance manual be adhered to. DP Audit Point 3.17 (ii)

Additional resources required within the team however the move of the DP Finance Team to Trafalgar Hse should release resources from petty cash and also allow additional resources within the DFU to be used as required.

DP Finance Team Leader

N

31/04/2007

Part Completed. New spreadsheet created but data collection proving temporarily problematic. Resolution imminent.

42

DP Finance Team issues

Where Existing Option B clients have not been charged a decision needs to be made to confirm if back dated contributions need to be invoiced to clients.

Invoicing as appropriate

DP Operational Lead

N

Completed

Completed. Decision not to charge made as it was our responsibility to collec t at source. Letter to be sent to all clients where charging has not taken pl;ace so they are aware they will be charged from the 1/5/07

43

DP Finance Team issues

There are 1000 + interface errors needing correction spanning 0506 & 0607 with the prospect of a further 600 in connection with the A to B exercise being identified by 31/3/07

Identify a suitably system literate resource to carry out the corrections as there is currently insufficient capacity within the DP Team

DFUMT

N

Completed

Completed:- exercise ubndertaken by DFU in Feb 07

44

DP Finance Team issues

Residual Balances on orders left as a result of SWIFT rounding errors.

Step by Step guide to Final Payments in DP at year end. This is to ensure residual figures on orders that have arisen as a result of rounding errors within SWIFT are efficiently dealt with. Final payments will be made on or after 15th Feb 2007

Systems Team Manager

N

Completed

Completed:- Final 0607 payments made

45

DP Finance Team issues

0708 Rate increases on Swift.

System to uplift rates centrally to avoid all orders having to be re keyed.

Systems Team Manager

N

Completed

New Rates agreed, publicised and uplifted on SWIFT

46

DP Scheme

HDPS :- Access for users to CRB PAs not widely used/publicised.

Re publicise availability and process to voluntary groups & users.

DP Strategic Operational lead

N

31/03/2007

47

DP Scheme

No evidence of what has been discussed by support workers with clients.

Signed checklist of items covered to be retained on area office client file

DP Strategic Operational lead

Y

31/07/2007

48

DP Scheme

Details of HDPS charging perceived as complex by users.

Produce Leaflet that can be distributed by Care Manager / Support workers/ FAB in response to querties

DP Strategic Operational lead

Y

31/07/2007