Project Appraisal Unit
Publications Gateway Reference 00368
Version / Date / Reviewers / Overview of changes to document / Status2.6 / 19th November 2013 / P Richards / Final Version / For Issue
FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST (with separate Estates section)
MANDATORY COMPLETION REQUIRED FOR ALL BUSINESS CASE SUBMISSIONS > £3 MILLION
The following checklist has been compiled to provide the user with a generic consolidated statement of best practice in terms of the content and level of detailed analysis that should support a capital investment business case proposition.
Business case submissions to NHS England with an approval value greater than £3 million will need to be supported by a completed checklist. Not all of the content will be required for every business case – since each proposal will vary and have its own specific characteristics – business case content will inevitably be proportionate to the size, complexity, novelty, innovation or contentiousness of the underlying proposition. The checklist is therefore not mandatory in each and every respect; it is, however, strongly indicative of what good/approvable would look like and so derogation from it should be a carefully considered and objectively sustainable decision.
The expectation is that the Project Senior Responsible Owner (SRO) submitting the Business Case will have consulted, not only with local stakeholders, but also the relevant Commissioning and Clinical colleagues locally and nationally, where appropriate.
Use of the checklist
This business case checklist has six sections.
Section 1. Main Checklist where all major items (including estate oriented items) are listed. To be completed by the Sponsor and submitted with the business case.
Section 2. Estates Checklist, where estates oriented items are listed. To be completed by the Sponsor and submitted with the business case. It should be noted that some estates items may be duplicated with the main checklist where more detail may be required.
Section 3. Schedule of PAU Comments on the Main Checklist. Prepared by the NHS England Project Appraisal Unit (PAU) as a result of their review of the business case. This will be returned to the Sponsor for their response.
Section 4. Schedule of PAU Comments on the Estates Checklist. Prepared by the NHS England PAU Estates, otherwise as in Section 2.
Section 5. General Checklist feedback to NHS England PAU where issues encountered during the completion of the checklist by Sponsor, or Reviewer, can be summarised and highlighted for possible future inclusion in the checklist.
Section 6. Construction/refurbishment project activity guide: 2013-2014 showing the various stages and inter-relationships of those project stages.
The intention is that the checklist and the various sections remain as a single document for continuity and audit purposes. However, each page has space for a locally sourced reference number (selected by the submitting organisation) as appropriate. It is recommended that this unique (no too simple) number is completed on all sheets to aid identification if the document becomes fragmented during completion or evaluation. NHS England PAU will add their Master number upon receipt of the completed document.
Members of the NHS England Project Appraisal Unit can provide further advice and guidance in relation to any specific queries on business case checklist requirements.
Note on Links provided in this document.
The majority of website links referred to in this document are new and/or continually undergoing development at this time. However, although it will not be maintained as a source of new or updated documents, the following link may enable the reader to access some of the documents that may currently be difficult to find in the new websites currently under development. It is for the reader to determine if any document accessed through this link is the latest version.
http://webarchive.nationalarchives.gov.uk/20130107105354/https://publications.spaceforhealth.nhs.uk/?option=com_documents&task=new_pubs&Itemid=1®ion=England
Empty white boxes ONLY to be completed by Project Team/SRO/Partner Organisation preparing the Business Case. / Bold edged, light grey boxes are for PAU use only.NHS England Business Case Reference Number (PAU use only)
Locally sourced unique Business Case Reference Number
Name of Organisation/s Sponsoring the Business Case
Project Title
Location/Address of Project
Post Code
Project SRO
SRO Job Title
SRO’s Organisation
Telephone / Email
Business Case Stage (SOC/OBC/FBC, etc,) / If LIFT, Business Case Stage
Capital costs including VAT (£) / Date this case submitted
Brief summary of scheme
Proposed Funding Source
Show price base, and total approval value calculated as per the definitions in paragraph 3 (£)
of the NHS England Business Case Approval Guidance
Proposed start on site / Proposed operational date
Reason for PAU involvement
PAU Use Only
NHS England PAU principal reviewer (Senior Finance Manager)
PAU Use Only / Name / This Review Date / Note
NHS England notes only
Any key comments on the project proposed to aid reviewers
PAU Use Only
Comments and Observations from Partner organisations where applicable e.g. NHS Property Services (where appropriate)
Local Business Case Reference Number / lComments from Partner 1 organisation
/ Name / This Review Date / Note
Partner notes only
Any key comments, evidence or supporting sections on the project proposed to aid reviewers.
Comments from Partner 2 organisation
/ Name / This Review Date / Note
Partner notes only
Any key comments, evidence or supporting sections on the project proposed to aid reviewers.
FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Section. 1 Main Checklist
MANDATORY COMPLETION REQUIRED FOR ALL BUSINESS CASE SUBMISSIONS > £3 MILLION
Strategic Case / Local Business Case Reference Number /Item No. / Heading / Key Content of section / Appendix suggested / Guidance and links to guidance / Required OBC, FBC, both / Project Team/SRO/Sponsor to confirm where referenced in the business case / NHS England PAU
use only during BC review. /
1. / Evidence of relevant approvals / Evidence of relevant approvals preceding this stage of the capital development lifecycle. / Yes / Both
2. / CCG and NHS England Board approvals / Evidenced via a supporting letter and Board papers (or equivalent) that an appropriately informed decision has been made.
Where the Project Sponsor is a CCG, the CCG Board has formally approved the business case;
Where the Project Sponsor is NHS England, appropriate endorsement and recommendation of approval of the business case has been confirmed by the Area Team CFO and the Regional Team CFO or the CSU CFO (as appropriate). / Yes / Both
3. / Support from Clinical Commissioning Groups to delivery partner, e.g. NHS Property Services, Community Health Partnerships. / Evidence of willingness to confirm future commissioning intentions in support of the planned investment by the delivery partner. / Yes / PAU can provide support and guidance regarding appropriate commitment letters to be issued on final approval of the FBC. / Both
4. / Consistent with Joint Strategic Needs Assessment and Joint Health and Wellbeing Strategy / Evidence that the scheme is consistent with the Joint Strategic Needs Assessment and the Joint Health and Wellbeing Strategy. / Yes / http://www.hscic.gov.uk/jsna
https://www.gov.uk/government/news/jsnas-and-joint-health-and-wellbeing-strategies-explained / Both
5. / Support from the local Health and Wellbeing Board / Evidence of support: The local Health and Wellbeing Board has been consulted and its support provided in writing where appropriate. / Yes / Both
6. / Evidence of CCG/NHS England/health organisation clinical strategy / Evidence of compliance with CCG/NHS England/health organisation clinical strategy (or equivalent) that drives the investment requirements and evidence of the benefits that will accrue linked to the strategy eg cross referenced / Yes / Both
7. / Demand and capacity Planning in the investment proposal demonstrates consistency with related service planning / Demand and capacity planning modelling is provided as appropriate, and is linked to associated service planning and;
· linked to decisions about service models and care pathways across the spectrum of local health and social care services;
· set in the context of the current NHS Operating Framework, and consistent with the Joint Strategic Needs Assessment and the Joint Health and Wellbeing Strategy;
· informed by clinical and service priorities that have been informed by consultation with the local patient/wider population and evidence is provided that the findings have influenced the scheme development (e.g. design) and benefits to be realised linked to the design ,etc.
· bed /capacity modelling (unit of measure as appropriate) and service plans are consistent with the activity requirements of the local health economy and wider capacity plans. / Both
8. / Utilisation schedule / See separate Estates section on pages 26 to 36 on the Master (page numbers may change as data is added)
9. / Promotes integrated working between health, social care and public health. / Evidence as to what extent the scheme promotes integrated working between health, social care and public health. / Both
10. / Supports greater patient choice. / Evidence of greater patient choice of treatment, where and how patients choose to access care, and/or improved quality and safety of service provision. / https://www.gov.uk/government/publications/operational-guidance-to-the-nhs-extending-patient-choice-of-provider--2 / Both
11. / Local sensitivities or opposition to these proposals. / Despite local support commitments that may be provided by commissioners, etc. (see above), evidence of local sensitivities/opposition and possible mitigating actions are to be provided / Both
12. / Have appropriate consultations been carried out? / Provide evidence as to how the CCG / NHS England / provider organisation has engaged with their patients, wider public/population and governors (as appropriate) in setting the clinical and service priorities that led to the putting together of the business case for the scheme? / Yes / Both
13. / Consistent with Government policy and strategy. / See separate Estates section on pages 26 to 36 on the Master (page numbers may change as data is added)
14. / Clearly defines underlying health need / The underlying health need and benefits for the investment are set out clearly in the executive summary of the business case / Both
15. / Changes to services must be consistent with the four key tests for service reconfiguration set out in Sir David Nicholson’s letter to the NHS of 29 July 2010 / Key tests are:
· Support from GPs and Clinical Commissioning Groups;
· Strengthened public and patient engagement;
· Clarity on the clinical evidence base;
· Consistency with current and prospective patient choice - does the scheme support greater choice of treatment and access and/or quality of service provision? / Compliance with this requirement will need to be confirmed with reference to any future service reconfiguration advice and guidance that may be provided by NHS England.
https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/216051/dh_118085.pdf / Both
16. / Clearly defines consequences for other services and providers, including income. / Full details are included on the consequences for other services, clinical networks, the local health economy and health organisations and commitments from parallel investments where these are required to meet national or local targets. / Both
17. / Cost increases from those presented at OBC stage are disclosed and explained. / Where relevant, all changes to the content or scope of the scheme and any cost increases from those presented at OBC stage are disclosed and explained (revenue and capital). / FBC
18. / SMART objectives are clearly defined. / Clear SMART objectives with clearly defined benefits which are measurable and time related and which are included in benefits realisation plans/CIPs/QIPP as appropriate. This should be consistent with benefits identified in the economic case. / SMART = Specific, Measurable, Attainable, Relevant, Timely. / Both
19. / The BC addresses issues around Equality and Diversity / Confirmation that any equality and diversity impact has been assessed and addressed, and that the proposal pays due regard to the public sector equality duty in line with the principles and requirements of the NHS Constitution and with current legislation and guidance. / NHS Constitution Interactive version:
http://api.ning.com/files/r4jRrgtj18Sjlh6pO5wJIjtteezl6oWr8HpQc5BDhqCKI-8mfq1gOKqxMOihTY6l7-oHflrXxM0OS4m3949p2TjoxShIZef-/NHSConstitutionpdf.pdf / Both
20. / Consistent with and contributes towards relevant QIPP plans. / The scheme is in alignment with and contributes towards relevant Quality, Innovation, Productivity and Prevention (QIPP) plans. There is clear evidence that the scheme/investment supports delivery of improved care quality and patient safety / Yes / http://www.improvement.nhs.uk/Default.aspx?alias=www.improvement.nhs.uk/qipp
This link will change. Operational in Aug. 2013 / Both
21. / Board or Governing Body approved Estates Strategy / See separate Estates section on pages 26 to 36 on the Master (page numbers may change as data is added)
22. / Board or Governing Body approved Development Control Plan
23. / GPU guidance on administrative accommodation space allowances
(100% administrative accommodation business case only) / The Government Property Unit (GPU) has advised that the administrative accommodation space allowances are to be based on two factors but some circumstances, such as training facilities, may require this overall guidance to be varied. The fundamental criteria are quite simple and based on a simple area calculation per person and an area allowance per whole time equivalent (WTE) each of which are entirely separate.
Business cases must be clear in relation to numbers of WTE staff to be accommodated, workstations provided, space to be provided and details of any specialist use that may lead to a possible relaxation of the guidance. / Yes / 8 m2 per person is a space budget for planning overall space requirement on an WTE/Space basis
8 desks per 10 people is an agility ratio which talks about how that space should be used e.g. to reduce empty desks which is often the case when there is a 1:1 ratio
https://www.gov.uk/government/news/government-property-strategy-cuts-millions-in-costs / Both
24. / Board or Governing Body approved Premises Assurance (PAM) self –assessment. / See separate Estates section on pages 26 to 36 on the Master (page numbers may change as data is added)
See separate Estates section on pages 26 to 36 on the Master (page numbers may change as data is added) / Best practice, not compulsory
Best practice, not compulsory
25. / Board or Governing Body approved Sustainable Development Plan
Economic case / Local Business Case Reference Number /
Item No. / Heading / Key Content of section / Appendix suggested / Guidance and links to guidance / Required OBC, FBC, both / Project Team/SRO/Sponsor to confirm where referenced in the business case / NHS England PAU