Financial Services Forms – Governance Arrangements

West Yorkshire ICB, North East and Yorkshire, Integrated Care Board

The problem

The newly formed Integrated Care Board (ICB) financial accounts and financial services (FAFS) Team needed to establish stakeholder buy-in to new financial services forms which were being rolled out for use by colleagues who had come together from five former clinical commissioning groups (CCG) organisations where processes and resourcing varied widely. The innovation was to devise new forms, with guidance and standing operating processes, which were consulted upon by a group of internal stakeholders for moderation and accessibility before going for overview by the ICB’s internal audit and counter-fraud provider and on to roll out to the organisation in a presentation repeated over several weeks to maximise coverage.

The challenge

The problem the FAFS team faced was that to overcome time constraints during a period of organisational change, it implemented a solution which seemed reasonable, but it actually amounted to a change in responsibility of who was now required to do certain aspects of the process e.g. supplier set up information gathering type tasks. This led to significant push-back and frustration in the FAFS team and internal stakeholders and needed resolving through something new and innovative. The aim of the innovation was to standardise these numerous financial services forms, under the banner of the ICB logo, which inevitably meant an element of negotiation and compromise around which teams had responsibilities for certain parts of the processes so that for each form there was ONE approach with organisational acceptance supported by external overview from internal auditors and counter-fraud.

The outputs

The outputs of our innovation primarily consist of the forms, which are included in the submitted evidence files. These forms incorporate several key elements:

  1. Standardised format: the forms are designed with a standardised format, including consistent colouring, which enhances clarity and usability.
  2. Written guidance: clear guidance is provided within the forms, specifying who should complete each section and with what level of detail.
  3. Standing operating procedure (SOP): an SOP accompanies the forms, outlining the submission process and stakeholders’ expectations regarding form handling. It also includes performance criteria, such as the timeframe within which the financial services team is expected to complete various tasks, such as raising payments, requesting new suppliers, or raising sales orders.
  4. Version control: the forms incorporate a version control mechanism, tracking changes and identifying the individuals responsible for those changes, ensuring document integrity and accountability.

These outputs collectively enhance process efficiency, standardisation, and transparency, facilitating smoother operations and improved performance within the organisation.

The outcomes

The outcomes of our initiative have been twofold:

  1. Streamlined change management process: we have established an accessible and efficient process for managing changes to FAFS policies, procedures, and forms. This process includes a standing panel for internal review and external scrutiny before final approval by the director of finance (DoF), ensuring robustness and alignment with organisational standards.
  2. Consensus and training: the outcomes have also encompassed consensus-building through consultation and comprehensive training sessions. By engaging stakeholders in dialogue and providing thorough training, we have fostered understanding, agreement, and alignment with the implemented changes, enhancing overall effectiveness and adoption of the new processes.

These outcomes signify a successful transition towards improved change management practices within FAFS, characterised by transparency, collaboration, and informed decision-making.

The Innovation

Read the full innovation

All documents and resources relating to this innovation can be found in the downloads section at the bottom of the page.

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What the peer-reviewers said

“The focus on accessibility considerations ensures that the forms are inclusive and can be completed by a wide range of staff, including those with visual impairments or using voice-recognition software.”

“This update significantly improved the process flow and digitalised the process resulting a paperless and faster process flow.”

“Can be applied in other areas which are process intensive.”

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Downloads

I8 – BR01_Single_Payment_Request_BACS_V2.1

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I8 – BR02_Multiple_Payment_Request_BACS_V2.1

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I8 – BR03_PHB_Payment_Request_BACS_V2.1

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I8 – CC01_Credit_Card_V2.1

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I8 – CR01_Single_Payment_Request_CHQ_V2.1

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I8 – CR02_Multiple_Payment_Request_CHQ_V2.1

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I8 – FP01_Supplier_Faster_Payment_V2.0

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I8 – FP02_Salary_Faster_Payment_V1.0

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I8 – ICB_Forms_Presentation_open_to_all_staff_-_December_2022

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I8 – SO01_Sales_Order_NHS

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