capital and quality business case checklist …...capital and quality business case checklist...

Capital and Quality Business Case Checklist (Version 3: April 2015)

This checklist is for use by the Directors of Delivery and Development, Clinical Quality and Business Support teams in reviewing and providing assurance on capital investment and property transaction business cases and should also be of use for business case writers in NHS Trusts in order to both structure the business case and to ensure that all aspects of the case have been covered.

This checklist is intended for generic use in relation to capital schemes. Some questions in the checklist will therefore not apply to all types of business case. To assist in its completion the checklist also sets out the minimum requirements and further explanation of the areas we would expect to see with the business case, as highlighted in italics.

Business case checklists should be completed so that someone unconnected with the business case is able to view the checklist and understand what has been reviewed and how the checklist requirements have been satisfied. Completion of the checklist should also include comments regarding evidence produced to support a satisfactory response.

NHS Trust Name: Shropshire Community Health NHS Trust (R1D)

Scheme Name: EPR Implementation

Date of Submission to NHS TDA: 25th August 2015

Status of Business Case e.g. SOC/OBC/FBC FBC

Checklist Sign-off Completed by: Date:

NHS Trust Andrew Crookes 24th August 2015

NHS TDA

NHS TDA Director of Delivery and Development team;

NHS TDA Clinical Quality Director;

NHS TDA Medical and/or Nursing Director (or Associate Directors as appropriate);

NHS TDA Corporate Finance – Capital and Cash team;

NHS TDA Director of Finance (where relevant);

NHS TDA Investment Committee.

HM Treasury / Department of Health (DH) (where relevant)

Brief summary of scheme content: Implementation of the preferred Electronic Patient Record system for the Community Trust following an extensive procurement process; to replace a number of legacy systems ; both LSP provided and other locally sourced systems.

NHS Trust Project Director name and contact details: Mr Steve Gregory;

Director of Nursing and Quality

Shropshire Community Health NHS Trust

William Farr House

Mytton Oak Rd

Shrewsbury

SY3 8XL

Tel : 01743 277588

Mob: 07973433979

[email protected]

Capital costs – including VAT: £1,680k (please note that the values used in the FBC excludes VAT as the VAT is reclaimable)

Proposed start on site date: 2nd

November 2015

Proposed start operational date: 11th January 2016

Approvals Date

Date the SOC was approved by:

the NHS Trust Board or delegated committee;

the NHS TDA Director of Finance/Investment Committee/Board

(where relevant);

Date the OBC was approved by:

the NHS Trust Board; 25th February 2013


(where relevant);

HMT/DH if required.

mailto:[email protected]

Date the FBC was approved by:

the NHS Trust Board; 30th July 2015


(where relevant);

HMT/DH if required.

For completion by NHS Trust Development Authority employees NHS Trust Development Authority assurance summary This section should highlight where further assurance is required and should be linked to the NHS TDA recommendation report.

Business Case Areas where further assurance is required Recommendation

Strategic Case

Clinical Quality

Economic Case

Commercial Case

Financial Case

Management Case

Completed by:

1) Strategic case

Strategic case NHS Trust

Yes/No

NHS Trust comments and further references

to the Business Case

Business Case

Reference:

Page and Paragraph

No’s for completion by

NHS Trust

DD&D Yes/No

NHS TDA Director of Delivery and Development Team (Date):

Subject; Identify/ Describe Concern; Specifically State

Question/ Clarification/ Further Information Required

Strategic aspects

1.1 NHS Trust Board has approved all parts of the business case, including:

Yes Approved at Trust Board on 30th July 2015 –

embedded document

Extract from Shropshire Community NHS Trust Board Papers 30th July 2015.docx

(a) The strategic fit and service models and can confirm this has been approved by the organisation and with the wider health economy as part of a wider strategic review of the investment.

Yes The programme is necessary to deliver the business and IM&T strategies of the NHS including the Trusts own five year IM&T Strategy.

Page 14 Section 3.1

Page 74 Appendix 10

Page 120

Appendix 12

(b) Overall activity in relation to agreed contracts and annual operating plan agreements.

N/A

(c) The financial impact. Yes The incremental financial impact is the overall cost associated with the project net of savings associated with CAHMS PAS and Hospital PAS.

Page 26

Section 5.2.2

1.2 Strategic priorities, clinical strategy and commissioning intentions.

Yes Page 15-16 Section 3.3


Yes/No



Business Case

Reference:

Page and Paragraph


NHS Trust

DD&D Yes/No




(a) Clear background and rationale is set out and consistent with Government policy and strategic priorities. Any specific policies/priorities should be listed.

Yes Page 14 Section 3.1

(b) The proposal contributes to the delivery of the NHS Trust’s vision, strategic priorities and clinical strategies (where appropriate).

Yes The Trusts Clinical Strategy is currently under development, the EPR programme is aligned to the existing work which is being undertaken to develop the clinical strategy

Page 16 Section 3.3

(c) The scheme is aligned to the NHS Trust’s clinical strategy and commissioning intentions.

Yes The Trusts Clinical Strategy is currently under development, the EPR programme is aligned to the existing work which is being undertaken to develop the clinical strategy

Page 16 Section 3.3

(d) The impact on existing service configuration and the wider health economy has been assessed.

Yes This programme will improve patient care by

enabling more efficient inter-organisational working

Page 24 Section 4.4

1.3 The underlying health need for the investment is set out clearly in the executive summary of the business case.

Yes This product has been chosen on the basis of a clinically driven procurement; which placed the greatest significance on clinical functionality

Page 7

Section 1.1

1.4 Clear SMART objectives with clearly defined benefits which are measurable and time related and which are included in benefits realisation plans as appropriate. This should be consistent with benefits identified in the strategic and economic case.

Yes The EPR system and supporting infrastructure will deliver significant improvements over the current PAS systems; high level objectives underpin the business case and provide the framework for benefits realisation

Pages 8-9 Section 1.3

Page 14 Section 3.1

Pages 17–20

Section 3.4


Yes/No



Business Case

Reference:

Page and Paragraph


NHS Trust

DD&D Yes/No




Pages 37-38 Section 7.6

1.5 Relevant CCGs and other relevant bodies and other commissioners with a material interest in the scheme have provided written confirmation supporting the future activity assumptions, these being consistent with those of the NHS Trust and the NHS Trusts expected income and the CCGs own financial projections.

N/A No anticipated changes in activity from this scheme.

1.6 The Health and Wellbeing Board has been consulted and its support provided in writing where applicable.

N/A Not applicable to this case

1.7 Changes to key services must continue to be consistent with four key tests for reconfiguration (provide evidence):

N/A No anticipated changes to key services

(a) Support from GP Commissioners/CCGs.

N/A

(b) Strengthened public and patient engagement.

N/A

(c) Clarity on the clinical evidence base. N/A

(d) Consistency with current and prospective patient choice. Does the scheme support greater choice of treatment and access or quality of

N/A


Yes/No



Business Case

Reference:

Page and Paragraph


NHS Trust

DD&D Yes/No




service provision?

1.8 The NHS Trust Board has an approved estates strategy.

N/A Not an Estates Scheme

1.9 The NHS Trust Board has approved development control plan (site plan to be provided).


1.10 The bid demonstrates that service planning for new facilities:


a) Is linked to decisions about primary and community care services, set in the context of the current planning guidelines and outcomes framework, and consistent with the Joint Strategic Needs Assessment and the Joint Health and Wellbeing Strategy.


b) Clinical and service priorities have been informed by consultation with the local patient/wider population and evidence provided that the findings have influenced the scheme development (e.g. design) and specific references are made to:

- How investment is compatible with the QIPP agenda going forward;

- How investment is consistent with



Yes/No



Business Case

Reference:

Page and Paragraph


NHS Trust

DD&D Yes/No




focusing more resources on prevention;

- How the scheme improves service quality and safety;

- The integration of health, social care and public health.

1.11 Cost increases from those presented at OBC stage are disclosed and explained.

Yes The differences arise from adjusting to reflect supplier quotation and latest estimates and the different timescales covered.

Page 28 Section 5.2.4

1.12 Mental health schemes should demonstrate consistency with current policy.

N/A Not applicable

1.13 The NHS Trust has demonstrated that activity and capacity planning assumptions and modelling is consistent with the delivery of the clinical strategy through alignment to workforce plans, NHS Trust service developments and the NHS Trust efficiency programme. The NHS Trust has demonstrated that activity and capacity planning meets the requirements of the commissioners/ local health economy, and is robust.

N/A Not applicable in the context of this programme

Technical aspects of the Strategic Case

1.14 The proposal is compliant with NHS estates design and costing requirements, including taking account of proposal ‘abnormals’ Costs to be

N/A Not an estates scheme


Yes/No



Business Case

Reference:

Page and Paragraph


NHS Trust

DD&D Yes/No




set out using DCAGs (or new HPCG) on OB forms and latest promulgated Department of Business, Innovation and Skills (BIS) PUBSEC index (which has superseded MIPS). In addition there should be:

(a) A reasoned contingency sum. N/A Not an estates scheme

(b) Inclusion of any consequential planning costs, e.g. s106.


1.15 The business case shows: N/A Not an estates scheme

(a) Evidence of the use of Design Quality Indicator for Health (DQIf H)


(b) commitment to Government Construction Strategy


(c) Compliance with fire code. N/A Not an estates scheme

(d) Building Regulations, including an appraisal of the fire protection strategy.


1.16 Please detail any land transactions that are necessary to enable the scheme, together with any conditions that are attached to those transactions, including any constraints relating to the site. If there are conditions, are they built into the options appraisal?



Yes/No



Business Case

Reference:

Page and Paragraph


NHS Trust

DD&D Yes/No




1.17 Utilisation schedule. N/A Not an estates scheme

1.18 Board approved Premises Assurance Model (PAM) self –assessment.


1.19 Board approved Sustainable Development Plan


1.20 Design Review / DQI (also see E1.19 above)


2) Clinical Quality case

Clinical Quality case NHS Trust

Yes/No



Business Case

Reference:

Page and Paragraph

No’s for completion

by NHS Trust

CQD

Yes/No

NHS TDA Clinical Quality Team (CQT) comments



2.1 Clinical strategy and commissioning intentions.

See 1.2 See Strategic Case - checklist reference 1.2. Page 14 Section 3.1 Page 16 Section 3.3 Page 24 Section 4.4

2.2 Design and building: The following clinical quality aspects have been considered in the purpose, design and layout of the proposed scheme.


2.2.1 Use of the facility:

(a) Model of care;

(b) Patient need;

(c) Privacy and dignity;

(d) Workflows and logistics;

(e) Adaptability;

(f) Security.


2.2.2 Access to the facility for patient, staff and visitors.


2.2.3 Space in the facility - patient space

standards N/A Not an estates scheme

2.2.4 Impact of estates derogation on clinical care



Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

CQD

Yes/No




2.2.5 Impact of clinical and non-clinical adjacencies in the scheme design


2.2.6 Accommodation:

(a) Carer and parent accommodation provision;

(b) Meets the needs of staff and patients.


2.2.7 Design of care environment N/A Not an estates scheme

2.2.8 Patient-Led Assessment of the Care Environment (PLACE scores)


2.3 ICT Systems. The ICT system integrates with other systems for the purposes of patient quality and safety. There is evidence that the NHS Trust has considered:

(a) System integration;

(b) Impact on patient safety and

clinical quality;

(c) Clinical engagement;

(d) Clinical knowledge and use of the

system;

(e) Clinical benefits realisation.

Yes Integration mechanisms and criteria are defined/detailed in the embedded worksheet in Appendix 11 – Award Notice (Page 119)

Page 7 Section 1.1 Page 8 Section 1.2 Page 18 Section 3.4 Page 44 Section 9.2.1 Page 46 Section 9.3.1 Page 49 Section 9.4.2 Page 67 Appendix 9.6


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

CQD

Yes/No




2.4 Leadership and stakeholder engagement - The NHS Trust can demonstrate engagement with clinical leaders and front line clinical and non-clinical staff and other key stakeholders in shaping investment proposals. The business case and supporting evidence demonstrates the following.

Yes Leadership and stakeholder engagement are defined/detailed in the embedded document in Appendix 9.4 – EPR Project Board ToR (Page 49)

Page 49-51 Appendix 9.4 Page 73 Appendix 9.8

2.4.1 Stakeholder engagement:

(a) Involvement;

(b) Shaping developments;

(c) High-level of engagement with clinical staff.

Yes Leadership and stakeholder engagement are defined/detailed in the embedded document in Appendix 9.4 – EPR Project Board ToR (Page 49) coupled with Clinical Workshops; Presentations to the Trust Leadership forum; staff newsletters.



Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

CQD

Yes/No




2.4.2 Clinical leadership, engagement and oversight:

(a) Oversight from executive clinical leaders;

Yes Leadership and stakeholder engagement are defined/detailed in the embedded document in Appendix 9.4 – EPR Project Board ToR (Page 49) coupled with Clinical Workshops; Presentations to the Trust Leadership forum;



Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

CQD

Yes/No




(b) Oversight of planning and ensuring

clinical quality and business

continuity;

(c) Leadership resource and capacity

to deliver;

(d) Engagement with patients, the

public, staff and other key

stakeholders.

(e) Engagement of appropriate

experts, clinical or other

stakeholders.

(f) Clinical experts are involved in

shaping proposals.

staff newsletters.

Including specialist advice and guidance from the clinical specialists where appropriate e.g. Medicines Management criteria are defined/detailed in the embedded worksheet in Appendix 11 – Award Notice (Page 119)

Page 119 Appendix 11

2.4.3 Interface with community partners and development/understanding of patient pathways.

Yes Included within benefits realisation Page 17-19 Section 3.4

2.5 Patient experience and safety. The NHS Trust describes how the project will improve the quality of care and the experience of patients. The NHS Trust has carried out a full Quality Impact Assessment using a nationally approved tool and the NHS Trust can evidence that the proposal will enhance the quality of patient care and experience, and where any negative impact has been identified, measures to mitigate this have been



Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

CQD

Yes/No




included in the business case. Including the following below.

2.5.1 Quality, safety and affordability:

(a) There is a clear and credible approach to enhancing the delivery of patient care, quality and care outcomes;

(b) Are the quality, safety, productivity, affordability and value for money considerations robust?


2.5.2 Patient experience:

(a) How specifically will the scheme benefit patients i.e. improve patient experience as a consequence of the new build?

(b) Aiding recovery;

(c) Quality of environment;

(d) Patient Involvement.


2.5.3 Patient safety indicators - safe design N/A Not an estates scheme

2.5.4 Infection control - compliance with

HBN 00-09 Infection control in the built

Environment.


2.5.5 Medicines N/A Not an estates scheme


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

CQD

Yes/No




2.5.6 Carers:

(a) Carers facilities;

(b) Consideration of carers requirements.


2.5.7 Business continuity during build period – e.g. major incident policy and emergency planning.


2.6 Workforce - NHS Trust has incorporated the following national drivers for workforce in its investment proposal:

(a) 7 day services;

(b) Safer nursing care tool, safer staffing tool and NICE guidance;

(c) Technology advance and utilisation;

(d) Workforce - patient ratios;

(e) Francis report and response from the Governments ‘Hard Truths’ report;

(f) Learning from the staff survey;

(g) Appraisal and pay progression - opportunity for improving workforce and rewarding success;

(h) Weekend workforce and mortality;

(i) Attraction and retention of staff;

(j) Evidence of national benchmarking and use of workforce analytical

Yes The Trust EPR project is an enabling initiative for the wider transformation programme. The Trust is working closely with the wider Local Health Economy – Future Fit programme and is developing staff so that they can better understand/use the potential of IM&T to improve patient care.

Page 38 Section 7.7

Page 44 Sections 9.2.2–9.2.3


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

CQD

Yes/No




tools to meet current and future delivery;

(k) Training and development in new ways of working.

2.7. Sustainability - demand and capacity modelling has been carried out across the lifetime of the scheme.

N/A No assumed activity changes occur as a result of this programme

2.8 Learning and continuous improvement The NHS Trust has arrangements in place to evaluate lessons learnt and opportunities for continuous improvement.

Yes There are a number of crucial lessons that must be learned from past major public sector IT implementation projects, which are addressed by following the governance and assurance processes surrounding this FBC and adoption of PRINCE2 project management standards

Page 35-36 Section 7.3

3) Economic case

Economic case NHS Trust

Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No


Subject; Identify/ Describe Concern; Specifically State Question/

Clarification/ Further Information Required

3.1 Has a wide-ranging long-list of options (including a do-nothing or do-minimum) for achieving the investment objectives been drawn up? Does it reflect the views of all stakeholders?

Yes OBC Appendix includes the discussion document which has greater detail around potential options to be considered.

Page 74 Appendix 10 OBC

Page 110 Appendix 11 Award Notice Page 27 Section 5 Table 1A

3.2 Are the criteria for the short listing of options clear? Do they derive clearly from the investment goals set out in the Strategic case, and have the reasons for their relative weightings been set out?

Yes The detail is provided in the embedded worksheet within the award notice

Page 110 Appendix 11 Award Notice

3.3 Have costs, valued benefits, optimism bias (where relevant) and quantified risks been combined to give a net present value for short listed options?


3.4 Inclusion of Optimism Bias (where relevant).

N/A Not applicable for this scheme

3.5 There should be a clear reconciliation between the OBC cost forms to the GEM initial capital expenditure inputs.



Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




3.6 Capital Investment Manual (CIM) Cost Forms; 1,2,3 and 4 have been used.


3.7 Is the preferred option consistent with the results of the cost, benefits and risk appraisals? If not, why not?


3.8 Appropriate sensitivity analysis has been performed on the key variables to demonstrate that the preferred option remains value for money under a range of plausible scenarios compared with other short listed options, including worst case scenarios.

No The financial impact of risks will be estimated in the Risk Register but at this stage no sensitivity analysis has been undertaken. However, value for money has been assessed on the basis that the cost of ‘do nothing’ exceeds the cost of the project over its economic life.

3.9 Have costs been shown in constant prices, with the base year clearly stated and the current year shown as Year 0?

Yes

3.10 Have all relevant capital costs, revenue costs, opportunity costs, organisational development costs, lifecycle costs, residual values, avoided costs and costs borne by others been identified and properly assessed? The costs should cover the whole life of the investment usually and care should be taken not to double count them.

Yes Whole life and Incremental costs are detailed in the relevant sections of the FBC

Page 22-23 Section 4.2 Page 26-27 Section 5.2.2


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




3.11 Cost indices and Regional Location Factors

No Not Applicable for this scheme

3.12 Does the economic appraisal exclude sunk costs (those already incurred, e.g. project management), transfer payments (e.g. redundancy payments, VAT), depreciation, capital charges and other non-resource costs?

Yes Page 22-23 Section 4.2

3.13 Is the appraisal period appropriate to the life of the asset? (e.g. the economic life of a building is generally considered to be 60 years).

Yes 5 years is deemed to be the economic life of the project and it has been appraised over this period.

Page 29 Section 5.2.5

3.14 Have benefits been identified for all short listed options through consultation with stakeholders?

Yes See embedded worksheet for the detailed criteria that have been adopted for this programme


3.15 Are the benefits consistent with investment objectives and benefits realisation plan identified in the strategic and management cases?

Yes Although there are clear benefits from deploying the EPR as set out in Sections 3.4, 4.4 & 5.4 of the FBC these have not yet been quantified.

However, it should be noted that the affordability of the FBC does not rely on the achievement of cash releasing benefits, although these benefits are expected to play a role in delivering the Trust efficiency programme over future years.

Page 17-20 Section 3.4 Page 24 Section 4.4 Page 30-34 Section 5.4

3.16 Have valued benefits been discounted over period of appraisal? (Discount rate should be 3.5% for the first 30 years and 3% for years 31 to 75).

Yes The only benefit that has been included is the savings associated with current legacy systems.


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




3.17 Have the values of benefits been stated in constant prices and consistent with cost assessment?

Yes

3.18 Have the benefits identified been quantified in line with the Green Book and DH guidance on valuing benefits?

Yes Precise details of benefits – and the value of resource and cash releasing savings – will be determined and prioritised by the Trust’s Project Board. The Project Board will identify benefits in more detail and the EPR benefits work stream will ensure their achievement is monitored.


3.19 The Economic Case should demonstrate Value for Money in line with the relevant guidance.

Yes Our assessment of value for money is based on a Discounted Cash Flow comparison of the cost of implementing the EPR with the cost of retaining our existing legacy systems. This shows that the NPV of doing nothing exceeds the NPV of the EPR by £23k over the economic life of the project.

In addition there are significant benefits from deploying the EPR as set out in Sections 3.4, 4.4 & 5.4 of the FBC. However, these have not yet been quantified and therefore are not included in the NPV calculation.


3.20 Have the weights and scores for qualitative benefits been sufficiently justified for non-quantified benefits?

Yes See embedded worksheet for the detailed criteria that have been adopted for this programme


3.21 Have the risks associated with each option been quantified and costed?

Yes Risk management forms part of the normal project management cycle, only some risks can be costed at this stage; all risks are judged against an approved matrix model

Page 26-32 Section 5 Page 36-37 section 7.5


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




Page 46-47 Appendix 9.3 Page 53 Appendix 9.6 Page 74 Appendix 10 OBC Page 110 Appendix 11 Award Notice

3.22 Is there a clear plan to ensure monitoring and evaluation of the valued benefits?

Yes Benefits realisation forms part of the standard project methodology used within the Trust

Page 16-19 Section 3.4 Page 24 Section 4.4 Page 30-31 Section 5.4 Page 37-38 Section 7.6

3.23 Has a Value for Money of procurement assessment been carried out?

No The procurement process has been completed Page 110 Appendix 11 Award Notice

4) Commercial case

Commercial case NHS Trust

Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No

NHS TDA Director of Delivery and Development team (Date):



4.1 Has the business case described the goods, services or buildings/premises to be procured?

Yes Procurement of an EPR, as per the criteria fully specified in Appendix 11 Award Notice embedded document

Page 7-8 Section 1.1 Page 33-34 Section 6 Page 110 Appendix 11 Notice of Award

4.2 The procurement process to be followed, to satisfy EU procurement law. Please confirm the procedure to be used. e.g. for PFI, Competitive Dialogue must be used, but for public capital the Open, Restrictive, Competitive Dialogue or Negotiated procedures can be used provided there is justification for the particular route adopted.

Where the Competitive Dialogue or Negotiated Procedure is being utilised you must supply the legal justification permitting their utilisation for this project.

Yes The procurement process that has been adopted is the Competitive Dialogue mechanism. This was undertaken with advice and guidance from the Trusts procurement advisors and legal team. Detailed in Section 6.3 and Appendix 11 embedded documents

Page 11 Section 1.8 Page 34 Section 6.3 Page 36 Section 7.4 Page 46-48 Appendix 9.3 Page 110 Appendix 11 Award Notice

4.3 Procurement strategy and option appraisal: DH Procure 21+

If procurement is via a call-off contract from a framework agreement, including but not limited to P21+ , please identify

N/A See 4.2 above


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




that framework agreement and evidence:

(a) your entitlement to call-off;

(b) that what is being called off falls

within the framework agreement’s

scope; and

(c) that the call-off procedures of that

framework agreement have been

followed.

4.4 P21+ Repeatable rooms (contribution to cost reduction)

N/A See 4.2 above

4.5 P21+ Standardised components (contribution to cost reduction)

N/A See 4.2 above

4.6 The procurement strategy, (for example, mini-competition under framework agreement the process of taking the shortlist of bidders to a preferred bidder) is set out and is otherwise realistic and robust and there is a credible timetable.

Yes Detailed in Section 6.3 and Appendix 11 embedded documents



Yes/No



Business Case

Reference: Page and Paragraph


by NHS Trust

DD&D Yes/No




a) Summary commentary to be provided on all key scheme specific commercial and legal issues as appropriate for OBC and FBC stages of business case development.

b) Evidence of sign-off from the NHS Trust’s legal advisors that it complies with procurement legislation.



4.7 The work needed to complete the necessary procurement documents (for example OJEU, PQQ, ITT/ITPD, evaluation criteria, all output specification schedules for works and services, contract, payment mechanisms where applicable) is set out and the required resources and timetable are identified



4.8 Clear procurement key milestones and delivery dates are set out that are realistic:

All procurement stages are of at least the minimum duration required by law.


Page 11 Section 1.8 Page 34 Section 6.3 Page 36 Section 7.4


Yes/No



Business Case



by NHS Trust

DD&D Yes/No




Page 46-48 Appendix 9.3 Page 110 Appendix 11 Award Notice

4.9 Does the procurement involve a Local Improvement Finance Trust (LIFT)?

No Not applicable

4.10 Has an assessment of market interest been carried out?

Yes OJEU notice published in July 2013 Page 11 Section 1.8 Page 34 Section 6.3 Page 36 Section 7.4 Page 46-48 Appendix 9.3 Page 110 Appendix 11 Award Notice

4.11 Service streams and required outputs are set out within the OBC.


Page 34 Section 6.3 Page 36 Section 7.4 Page 46-48 Appendix 9.3 Page 110


Yes/No



Business Case



by NHS Trust

DD&D Yes/No




Appendix 11 Award Notice

4.12 Details of the proposed contract structure are set out.


Page 34 Section 6.3 Page 110 Appendix 11 Award Notice

a) Key terms of the proposed deal are set out.

This should include details in relation to the duration of the contract, key roles and responsibilities, change control, remedies for breach (delays, poor quality, price etc.), treatment of intellectual property, compliance with appropriate regulations, operational and contract administration and any options at the end of the contract.



b) Clear contractual key milestones and delivery dates are set out that are realistic.



c) Overage or claw back provisions have

been included in sale documentation

where appropriate.

No Not Applicable


Yes/No



Business Case



by NHS Trust

DD&D Yes/No




4.13 What is the payment mechanism for the pre-delivery phase:



a) Fixed price/costs; or

No

b) Payment on the delivery of agreed outputs?



4.14 What is the payment mechanism for the operational phase:

Yes

a) Availability payment.

No

b) Performance payment.



c) Transaction/volume payment.

No

d) Incentive payment.

No

e) Cost of change. No


Yes/No



Business Case



by NHS Trust

DD&D Yes/No




f) Third party revenues. Yes It has been recognised that some third party integration will be required (e.g. results reporting) that will incur costs

Page 68 Appendix 9.6

4.15 What is the payment mechanism for the extension phase (if any):

(a) technological obsolescence; or

(b) contract currencies?



4.16 Consideration has been given as to how to incentivise those involved with the scheme to provide value for money. This reflected in the chosen payment mechanism.



4.17 Consideration has been given to the allocation of risk between the parties to the transaction.


Page 34 Section 6.3 Page 53-69 Appendix 9.6 Page 110 Appendix 11 Award Notice

4.18 A risk allocation table/risk transfer matrix has been incorporated into the OBC.


Page 34 Section 6.3 Page 53-69 Appendix 9.6 Page 110 Appendix


Yes/No



Business Case



by NHS Trust

DD&D Yes/No




11 Award Notice

4.19 The accounting treatment of the potential deal is set out.

Yes Page 34 Section 6.3 Page 110 Appendix 11 Award Notice

4.20 Any personnel implications are set out.

Yes The contract terms have been prepared to maintain NHS in-house capability where appropriate and so Transfer of Undertakings (Protection of Employment) (TUPE) does not apply.


4.21 The proposed deal is commercially feasible and/or deliverable.

Yes The Financial Case section demonstrates this FBC is affordable, on the assumption that the Trust increases its planned efficiency programme, is consistent with the OBC and is supported by the Trust’s Financial Strategy

Page 32 Section 5.6 Page 34 Section 6.3 Page 110 Appendix 11 Award Notice

4.22 Is any IM&T provision in line with DH policies?

Embedded service implementation plan and embedded draft IM&T Strategy

Page 14-16 Sections 3.1 and 3.3 Page 52 Appendix 9.5 Page 120 Appendix


Yes/No



Business Case



by NHS Trust

DD&D Yes/No




12

4.23 Has the NHS Trust set out and described a full equipment strategy? If not, is an outline strategy set out?

N/A This is not applicable in the context of the EPR programme

4.24 Does the business case include ‘design review’ by external review panel?

N/A This is not an estates scheme

4.25 Planning Permission


4.26 Where planning permission is required, outline planning permission has been obtained for all the developments described in the business case.

If not, the current planning position is explained.


a) Where exceptionally local authorities do not grant outline planning permission, the NHS Trust can demonstrate that planning authorities have no major objections to the proposed scheme and the development principles are agreed.


b) Evidence of sign off from the NHS

Trust’s planning advisors has been

obtained.



Yes/No



Business Case



by NHS Trust

DD&D Yes/No




c) The impact of any significant conditions included in the planning permission is set out.


d) Details of any additional planning requirements are set out (for example s106 Agreements).


e) Strategy to engage the local planning authority to minimise forward risks is described.


4.27 The scheme demonstrates commitment to Government Construction Strategy.


4.28 The scheme demonstrates compliance with Health Building Note (HBN) requirements.


4.29 The scheme demonstrates compliance with Health Technical Memorandum (HTM) requirements.


4.30 The scheme demonstrates compliance with Building Research Establishment Environment Assessment Model (BREEAM) assessment.


4.31The scheme demonstrates compliance with Infection Control requirements.



Yes/No



Business Case



by NHS Trust

DD&D Yes/No




4.32 The scheme demonstrates compliance with Single Sex accommodation requirements.

Achieves compliance with DH >50% single en-suite bedrooms


4.33 Does the proposed scheme meet DH Energy and Sustainability targets?


4.34 Health organisation travel plans N/A This is not an estates scheme

4.35 Schedule of Accommodation and Derogation


4.36 DH Consumerism issues affecting the design and operation of the facility

N/A . This is not an estates scheme

4.37 Drawings 1:200 (or electronic equivalent in terms of level of detail) to include site plans and elevations, where appropriate.


4.38 Drawings 1:50 (or electronic equivalent in terms of level of detail)



Yes/No



Business Case



by NHS Trust

DD&D Yes/No




4.39 Design/project solutions are appropriate and, in addition, will actively support healthcare outcomes.


4.40 Extreme events, flooding and resilience.


4.41 Procurement strategy and option appraisal: DH Procure 21+


5) Financial case

Financial case NHS Trust

Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




5.1 The incremental financial impact of the business case is shown in the financial case

Y Section 5.2.2 Page 26-27 Section 5.2.2

5.2 Is all funding assumed by the NHS Trust (capital and revenue) secured and confirmed by all parties?

Y

All internal funding Page 29-30 Section 5.3

5.3 Any elements of the scheme to be funded from external sources, capital and revenue, (borrowing, PDC, charitable, external grants, and other non NHS Trust sources etc.) are identified with the profile of funding/spend by year. Confirmation to be evidenced by the external provider of the funding.

N

5.4 In addition, support, including potential support for external commitments, must have been received in writing. Where amounts are uncertain alternative sources of funding must have been identified.

N

5.5 Where borrowing is assumed the source of the loan, amount of loan, loan term assumed, interest assumed, prudential borrowing assessment and repayments

N


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




need to be clearly stated. A statement showing the effect of the loan on the NHS Trusts financial position and financial risk ratings before the loan and after assuming the loan need to be modelled through the NHS Trusts LTFM and should be included within the business case.

5.6 What are the sources of income? Sources of income need to be clearly described (including non-recurrent, transitional, third party, NHS Trust resources, land sales etc.)

Y All internal funding Page 29-30 Section 5.3

5.7 The treatment of VAT and Stamp Duty should be clearly laid out.

Y Stamp duty N/A VAT – section 5.2.3 Page 27-28 Section 5.2.3

5.8 A commentary on the underlying/ normalised financial position is provided for the last two completed years and the forecast for the outturn for the year in progress. Identify any:

Y Section 5.5 Page 31-32 Section 5.5

a) Non-recurrent support. N

b) Non-recurrent income. Y Section 5.5 Page 31-32 Section 5.5

c) Non-recurrent costs. Y Section 5.5 Page 31-32 Section 5.5

d) This normalised financial position agrees with the LTFM provided.

Y Section 5.5 Page 31-32 Section 5.5


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




This section should include a statement of the NHS Trusts overall reference cost and specialty level where business case is specialty level specific, as these are a rough indication of a NHS Trusts scope for performance improvement.

5.9 Projected Statement of Comprehensive Income (Income and Expenditure) accounts are provided that fully include all anticipated operational developments that:

Note – this data must be presented both in the form that Monitor would accept (i.e., excluding impairments) and in the form used for DH accounting (i.e., impairments are included, though not funded by the Trust).

a) Cover the past two years’ figures, current year forecast and at least a five year projection. These must contain appropriate commentary and notes that cover.

Y LTFM Separate File

All key underlying assumptions used (such as pay awards, incremental drift, PBR income and non PBR income, maintenance, and the income assumptions must be supported by the commissioners and reflected in their commissioning assumptions);

Y Section 5.2.1 Page 26 Section 5.2.1

Details of the inflationary assumptions used and evidence that this is consistent with the NHS Trust assumptions contained within the LTFM;

Y Section 5.2.1 Page 26 Section 5.2.1

Income and activity assumptions are N N/A


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




clearly stated and demonstrate:

Non-recurrent items such as clearance of backlog waiting lists are correctly accounted for;

N N/A

The effect of national policy initiatives are clearly shown within the business case e.g. patient choice, AQP etc.;

N N/A

The impact of QIPP is clearly shown within the NHS Trusts income and activity calculations;

N N/A

The effect of best practice tariffs embedded into the tariff are clearly shown within the business case where relevant;

N N/A

The impact of case mix change is shown within the business case where relevant;

N N/A

parameters used to determine bed, theatre and other capacity requirements are clearly set out (including LOS, occupancy rates, day case rates, theatre efficiency rates, theatre utilisation) and are shown against local and or national benchmarks.

N N/A

b) A clear statement of affordability is included and the impact of the scheme on NHS Trust finances and the NHS Trusts ability to meet any statutory financial duties applying to the NHS Trust is clearly

Y Section 1.6, 5.2.2, 5.4 Page 10 Section 1.6 Page 26-27 Section 5.2.2


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




stated. Page 30-31 Section 5.4

c) Ongoing maintenance commitments are included.

Y 5.2.2 Impact on I&E table Page 26 Section 5.2.2

d) Any impairments, deferred assets and residual interest charge.

N N/A

e) Workforce implications are clearly described and costed in £’s and WTEs.

Y Pay cost & WTE required for deployment are set out in Section 5.2.2

Page 26-27 Section 5.2.2

Statement of Comprehensive Income (I&E) account projections should be shown gross and net of any one-off impairment charges, so that the underlying financial performance is clear.

N N/A

f) The Statement of Comprehensive Income (I&E) account information supplied should be consistent with the NHS Trusts LTFM.

Y 5.2.2 & LTFM Page 26-27 Section 5.2.2 and Separate File

5.10 A projected cash flow statement is provided for the same period (as for the I/E) and demonstrates that there is sufficient cash flow to cover running costs and debt servicing in the transition/double running period and beyond.

Y Section 5.3 & LTFM Page 29-30 Section 5.3 and Separate File

5.11 Where NHS Trust efficiency savings/cost improvement programmes are required to deliver affordability, including any


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




short-term financial recovery requirements:

a) The measures proposed have been sanctioned by the NHS Trust Board (underlying CIP and additional revenue for the project).

Y Our most significant financial risk remains recurrent CIP delivery; however, we have delivered against our financial plan each year since establishment and therefore have a track record of managing financial risks in year.

The majority of our income is received through block contracts making the scale of the challenge particularly difficult hence we are developing a two year rolling CIP plan.

Controls and mitigations to manage the CIP risk include a renewed emphasis and focus on CIP development and implementation; and a well-developed PMO function and QEIA process, with progress overseen by a CIP Delivery Group and Transformation & CIP Programme Board. In addition non-recurrent measures are used where required to offset any recurrent shortfalls.

Page 32 Section 5.6

b) Responsibilities for delivery have been assigned.

Y Each CIP scheme has a project lead and will often have workstream leads, both of whom regularly meet with the PMO and Management Accountants.

Each CIP scheme has a specified finance lead, who along with the Deputy Directors, PMO and managers, attend the monthly CIP meeting to

Page 32 Section 5.6


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




provide an update on the progress of each CIP as well as updating next steps and achievement of the schemes.

c) Likely amounts quantified. Y CIP values calculated after inflation per the LTFM are as follows:

15/16 £3,928k; 16/17 £4,458k; 17/18 £2,768k; 18/19 £2,978k 19/20 £3,052k

2016/17 reflects the significant investment required for EPR; which then falls to lower levels from 2017/18 onwards.

d) There are underlying plans supporting the CIP programme including QIA signed off by the Medical and Nursing Directors.

Y Project Initiation Documents (PIDs) are approved by the Executive sponsor of the scheme before the QEIA is completed, thereby removing or rethinking schemes that initially seem unachievable.

The QEIA is reviewed by the Medical Director, Director of Nursing & Operations, Finance and PMO where amendments or enhancements are recommended, if required; the QEIA is approved by the Medical Director and Director of Nursing & Operations.

e) Details of the NHS Trusts performance at delivering its CIP plans for the previous

Y Please refer to the table added at the end of this


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




two years, analysed between recurrent and non-recurrent schemes.

checklist. (Table 4.10e)

The table shows that we have a track record of fully delivering CIP targets in-year.

The recurrent balance of £1,146k in 2014/15 has been carried forward to 2015/16 and therefore forms part of the CIP for 2015/16 (which is identified in full on a full year basis as at month 4).

f) Monthly outturn on existing programme is provided.

Y Please refer to the graph added at the end of this checklist. (Graph 4.10f)

5.12 There is alignment between the business case and local/regional QIPP plans. Where NHS Trust QIPP savings are required to deliver affordability, or recovery arrangements are required to ensure robust finances:

N N/A

a) The measures proposed have been sanctioned by the NHS Trust Board.

N N/A

b) Responsibilities for delivery have been assigned and likely amounts quantified.

N N/A

c) Monthly outturn on existing programme is provided; and

N N/A

d) Contingencies should also be identified. N N/A

5.13 The business case plans must acknowledge that:

N N/A


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




a) The impact of Payment by Results has been considered in relation to affordability assessment and different scenarios considered.

N N/A

b) Best practice tariffs are being expanded to cover a number of new service areas; and

N N/A

c) Any further efficiency requirements embedded into the tariff are included within the business case.

N N/A

5.14 Where the NHS Trust is in financial deficit:

N/A The Trust is forecasting a surplus of £0.8m and has delivered a surplus each year since its establishment

a) It can demonstrate that its recovery plan is robust, and will bring the NHS Trust back into surplus.

N/A

b) The NHS Trusts monthly performance against the recovery plan is provided; and

N/A

c) The NHS Trusts plan is supported by the NHS Trust Board, the CCG and the NHS TDA.

N/A


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




5.15 The procurement costs:

a) Are clearly set out, including the basis for internal costs of the project team and the costs of advisers and technical support etc.

Y Section 5.2.2 Page 26-27 Section 5.2.2

b) Are included in the forward I/E projections (see below).

Y Section 5.2.2 & LTFM Page 26-27 Section 5.2.2 and Separate File

c) Any funding provided from commissioners or others for these is also included in the Statement of Comprehensive Income (I&E), NB: these need to have been confirmed as agreed by the relevant organisations’ Boards or individuals/groups with the delegated authority to agree such amounts. There should be commentary on the sources of funding, the agreements to provide funding and any conditions attached.

N N/A

5.16 The NHS Trust has included in its projections all double running and decant costs and any other transitional costs in the financial projections and has explained the basis for their calculation, and the extent to which any funding is available for meeting those costs. Funding for transitional costs should be put in Statement of Comprehensive Income (I&E) projections, but only where

Y Section 5.2.2 & LTFM Page 26-27 Section 5.2.2 and Separate File


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




the funding has been confirmed and evidence of this has been provided.

5.17 The NHS Trust has completed switching analysis on each key variable to assess what is the maximum and minimum of each of the following for the scheme to remain affordable (keeping other variables as per the base case):

activity charges;

efficiency gains;

cost improvements;

income/ PBR parameters;

pay costs;

drugs and other running costs;

construction inflations.

N N/A

5.18 A ‘bridge’ statement is provided showing how the incremental cost of the scheme for the first full year of the operation is proposed to be funded (e.g. efficiency saving, capital charges savings, application of existing budgets etc.).

N Funded through internally generated funds only

5.19 The anticipated balance sheet treatment of the scheme is set out. Any unusual risk factors are fully analysed and discussed.

Y Section 5.2.1 & LTFM Page 26 Section 5.2.1 and Separate File

5.20 New resources are available to support the scheme and any efficiency savings

N Funded through internally generated funds only

Refer to 5.11 above regarding the impact on

Page 32 Section 5.6


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




as a consequence of the scheme are based on reasonable assumptions.

efficiency savings

The level of new resources available to support the scheme and any efficiency savings as a consequence of the scheme are based on reasonable assumptions including:

1) Income

2) Expenditure

3) CIPs

4) QIPP Savings

5) Other efficiency savings

6) Inflation

7) Growth

8) Reduction in Backlog maintenance

This should be presented in a nominal terms (inflated) sources and application statement over at least 5 years to show any part year and transitional arrangements during the scheme construction/implementation and show the normalised position once the scheme is complete.

Underlying financial planning assumptions align with NHS England’s planning guidance

Income side of this will be based on PbR tariff assumptions (national/local, including primary and


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




community care sector pricing) vs. activity levels - check that PbR assumptions are consistent with commissioner assumptions and that activity assumptions/commissioning intentions are valid (CCG).

Expenditure side – validity of the efficiency assumptions through new ways of working, e.g. clinical safety and acceptability.

5.21 A costed equipment schedule should be provided.

N The capital cost are supplier cost for design, build and installation of software

5.22 Disposal of Surplus Public Sector Land & Buildings – Protocols for Land Holding Departments.


5.23 Detail any land transactions that are necessary to enable the scheme (disposal/acquisition), together with any conditions attached to those transactions. Have costs of those transactions been incorporated into the case?


5.24 Where land sale proceeds are to be used, then the OBC sets out the valuation basis, timing for sale and a contingency for downward market movements. Approval from the NHS TDA may need to be sought (depending on the NHS Trust delegated limits).


5.25 Have financial contingencies for risk N


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




been made?

5.26 A clear statement of capital and revenue affordability is included within the business case with any key assumptions highlighted.

Y Section 1.6, 5.2.2, 5.4 Page 10 Section 1.6 Page 26-27 Section 5.2.2 Page 30-31 Section 5.4

4.10e) Table to show CIP 2013/14 to 2014/15

2013-14 2014-15

In-Year In-Year In-Year Full Year In-Year In-Year In-Year Full Year

Heading Recurrent Non-Rec Total Recurrent Recurrent Non-Rec Total Recurrent

CIP Achieved 853 1,661 2,514 1,823 2,064 1,799 3,863 2,354

CIP Target 2,504 0 2,504 2,504 3,500 0 3,500 3,500

CIP Achieved Under/(Over) 1,651 (1,661) (10) 681 1,436 (1,799) (363) 1,146

4.10f) Graph to show monthly outturn on existing CIP Plan (2015/16) at Month 4

Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar

Target £73 £154 £271 £443 £634 £865 £1,299 £1,759 £2,244 £2,785 £3,324 £3,893

Identified Schemes £5 £104 £264 £431 £686 £868 £1,097 £1,544 £2,074 £2,677 £3,278 £3,893

Posted Value £5 £104 £264 £431

£73 £154 £271

£443 £634

£865

£1,299

£1,759

£2,244

£2,785

£3,324

£3,893

£5 £104

£264 £431

£686 £868

£1,097

£1,544

£2,074

£2,677

£3,278

£3,893

£0

£500

£1,000

£1,500

£2,000

£2,500

£3,000

£3,500CIP 2015/16 - Month by Value £000

Target

Identified Schemes

Posted Value

6) Management case

Management case NHS Trust

Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




6.1 What are the delivery plans? Are there clear delivery dates and detailed milestones – a Management Control Plan (MCP) and detailed project plan should accompany the business case.

Yes Includes high level delivery plan, milestones, communications plan, and resource plan. Detailed project plan within the embedded document page 52 Section 9.5

Page 36 Section 7.4 Page 38-39 Section 7.8 Page 49-51 Appendix 9.4 Page 52 Appendix 9.5 inc embedded project plan document Page 73 Appendix 9.8 Page 74-109 Appendix 10 OBC

6.2 Details of the project team, capacity requirements and skills are set out with their roles and responsibilities. This should include:

Yes Embedded documents include Job Descriptions and person specifications for some members of the project team

Page 49-51 Appendix 9.4 Page 74-109 Appendix 10 OBC

a) A management structure indicating communication links and reporting responsibilities.

Yes Includes ToRs for Programme Board etc.. Page 38-39 Section 7.8 Page 49-51


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




Appendix 9.4 Page 73 Appendix 9.8

b) The skills set of the team and any skills gaps are identified with plans on how they are to be filled, including any plans to use advisers.

Yes Page 49-51 Appendix 9.4

c) Exactly what project resource is available, i.e. full/part-time staff and in what roles.

Yes Page 44-45 Appendix 9.2 Page 49-51 Appendix 9.4 Page 74-109 Appendix 10 OBC

d) What the project management budget

is.

Yes Indicative costing in Table 2 Page 105 Appendix 10 OBC

e) Does the proposal require programme or project management arrangements? Please outline the arrangements in place.

Yes MSP and PRINCE2 Page 35-36 Section 7.2 and 7.4 Page 49-51 Appendix 9.4 Appendix 9.5 inc


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




embedded project plan document

f) Confirmation of project methodology, e.g. PRINCE2 has been applied.

Yes PRINCE2 Page 35 Section 7.2

g) Role of advisers is set out, including the terms on which they have been appointed, confirmation of the breadth of their appointment, and arrangements to manage their fees.

N/A

The use of contractors is restricted to the preferred supplier’s staff, there is no intention to utilise 3

rd party advisers outside of these

arrangements

h) The extent of senior management and clinical time has been assessed and factored into resource requirements.

Yes Page 44-45 Appendix 9.2 Page 74-109 Appendix 10 OBC

i) The resources to manage the bids to preferred bidder appointment are sufficient and clearly set out.

Yes Milestone complete – Award Notice agreed at Trust board


6.3 The SRO is identified and the reporting structure is set out, including the composition and ToR of the project board and its links to the NHS Trust Board.

Yes Embedded document shows ToRs Page 49-51 Appendix 9.4


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




6.4 For Gateway reviews that have been completed, it should be shown that their recommendations are being addressed. In particular, assurance should be given that all high priority recommendations are being acted on.

N/A

6.5 Is there a robust contract management plan? What is the resource for this?

Yes Embedded T&Cs document Page 33-34 Section 6

6.6 Is there a robust change management plan? What is the resource for this?

Yes Outline transformational process. This will be developed as the implementation / deployment progresses through the services.

Page 35-40 Section 7

6.7 Other work stream milestones and their interdependencies with the proposal are clearly set out and included within the MCP, e.g. workforce, equipment, managing the retained estate. A clinical quality impact assessment has been undertaken, including a decant and business continuity risk assessment with mitigating plans. Clear delivery dates and detailed milestones are provided.

Yes

Milestones are included within the detailed project plan; however this is not an estates scheme so things such as “decant” do not arise

Page 35-40 Section 7 Page 52 Appendix 9.5 inc embedded project plan document

6.8 A risk register has been established with risk identified managed and allocated with provision for risk management. Are contingency plans set out?

Yes Mitigation included within the risk register Page 36-37 Section 7.5 Page 53-69 Appendix 9.6 Page 109 Appendix 10


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




Embedded Project Risks

6.9 Business case sets out at least top ten highest risk items for delivery of the preferred option and the plans to manage these.

Yes Mitigation included within the risk register

Page 36-37 Section 7.5 Page 53-69 Appendix 9.6 Page 109 Appendix 10 Embedded Project Risks

6.10 There is a benefits register and a benefits realisation (delivery) plan. The benefits realisation plan should reconcile with economic benefits identified and valued in the economic case.

Yes Page 8-9

Section 1.3

Page 17-20 Section 3.4 Page 24 Section 4.4 Page 30-31 Section 5.4 Page 37-38 Section 7.6 Page 70-72 Appendix 9.7

6.11 Plans are in place for post implementation monitoring, evaluation

Yes Part of PRINCE2 and MSP. Page 37-38 Section 7.6


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




and where appropriate, participation in wider aggregate research (and resource is identified). What is the resource for this? Plans should be consistent with the benefits identified in the economic case and in line with overall objectives.

6.12 Where applicable external advice on design, build, health and safety, fire code, estate issues and information technology has been sought and evidenced in the business case.

Yes Page 33-34 Section 6 Page 74-109 Appendix 10


6.13 Comprehensive costed risk register/log included

Yes Risk management forms part of the normal project management cycle, only some risks can be costed at this stage; all risks are judged against an approved matrix model

Page 26-32 Section 5 Page 36-37 section 7.5 Page 46-47 Appendix 9.3 Page 53 Appendix 9.6

Page 74 Appendix 10 OBC Page 110 Appendix


Yes/No



Business Case

Reference:

Page and Paragraph


by NHS Trust

DD&D Yes/No




11 Award Notice

6.14 Post Project Evaluation (PPE)

Yes Post project evaluation is part of the PRINCE2 methodology

Page 37 Section 7.6