Proposal for ROCR Approval
Type of Collection?
See Note
1. Is this: See Note
ROCR
A new ongoing collection?
Enter ROCR reference number:
2. Title of proposed
collection
Education and Training - Cost Collection
3. Contact Details: See Note
Personal Details
Sam Haskell
Department
Organisation
Education Funding Policy
Department of Health (DH)
Email
[email protected]
Tel Number
0113 254 5493
We are proposing to run two cost collections capturing the sp
trusts in England. The first would take place in November/Dec
4. What is being collected, and what is
the purpose of the collection?
See Note
second collection would be in June/July 2014 and would give
mandatory requirement on trusts. In terms of the collection it
undergraduate medical and dental, (ii) non-salaried, non-med
of year collection will be used to establish a set of national tar
(depending on the quality of the data collected). The current
need of updating, and are unpopular amongst both providers
The principle of tariffs is widely supported across the sector, b
amongst many providers because they either result in a loss o
from the full gains in income. Some trusts are losing millions
all types of clinical placement. If we are to establish a more p
4a. Why is the information necessary
and not just useful?
placements rather than just historic estimates, and covering a
across the country. If we do not perform these collections, we
currently in place. These were only ever envisaged as a temp
years old and from a small selection of trusts. Now that tariffs
there is a risk that trusts will be under-paid for the clinical pla
order to move away from this position, and towards a more p
should be mandated to trusts, we have built support around a
tariff-based system of education and training – whereby prov
education and training costs will ensure that they get a say in
trusts will receive after the collection, will allow them to benc
country. This will help them prepare for the arrival of the new
compared to other trusts and making the necessary adjustme
their education and training costs, but are waiting for a direct
particularly true of education and training staff, who will be d
who are keen to find out more about their local position. - On
also help push the issue of education and training up the agen
officials and clinicians within organisations. Not only would th
quality of clinical placements within a particular trust. The bac
the introduction of transitional tariffs for non-medical and und
funding for such placements was based on local agreements –
between the amount of funding provided to a particular organ
2014, the transitional tariffs will be extended to also cover po
exercise that took place with 21 trusts back in 2008. The tarif
a significant amount of income through their introduction, the
to concerns that some large teaching hospitals would be dest
agreement to the transitional tariffs from Ministers and senior
costing work to understand the actual cost of providing clinica
ensure that any final tariffs are based on a full costing exercis
cross-subsidisation between service and education and trainin
training – and to move away from the transitional arrangeme
Education Resource Groups (ERGs), in a similar way to the HR
which trusts are paid. The ERG development work will be info
cost of delivering clinical placements. Currently, we are comin
Larger Costing Working Group – which is made up of 25 trust
from this collection has been useful in providing a flavour of e
size means that this provides only a partial picture. If the new
on the basis of data received back from all trusts, not just a s
come in. In order to get trusts in the habit of collecting their e
new set of tariffs for education and training – we are planning
been co-designed with colleagues at Health Education Englan
Trust Development Authority, HFMA, PbR colleagues and othe
5. What has changed since this collection
was last approved, and what is the
overall effect of the changes?
6. What is the latest date for approval?
See Note
29/08/2013
7. Which organisation will be collecting
this information?
Department of Health
1st Keyword:
8. List top three Keywords
2nd Keyword:
3rd Keyword:
9. What is the start date for this
proposed collection?
See Note
9a. Please state when you would like the
ROCR licence to run from.
10. What is the finish date for this
proposed collection? Please also include
the date if the collection is ongoing.
See Note
04/11/2013
01/11/2013
06/12/2013
11. What Operating Framework
commitment does the proposal support? The Government's Mandate to Health Education England conf
See Note
alongside service through a reference costing system. This is
9.3.3. Further evidence of ministerial support is provided in th
https://www.gov.uk/government/uploads/system/uploads/att
12. Who supports this proposal? See
Note
Minister:
Group Director:
Policy Lead/Section Head support from:
PS(H) - Dr Daniel Poulter
Director General for External Relations
- Charlie Massey
Jamie Rentoul - Director of Workforce
Strategy
Senior Civil Servant, to whom correspondence about the collection can be addressed:
(give name, organisation, section, telephone and email address)
Name
Organisation
Alan Robson
Department of Health
Section
Telephone
Deputy Director of Workforce Development
0113 254
Strategy
6891
Has evidence of Gateway Support: (eg date, person, Gateway
number if applicable)
Email
[email protected]
Proposal for ROCR Approval
ROCR Contact Details
13. Burden calculation?
See Note
Frequency
6 Monthly
See Note
Organisational Type
Acute Foundation Trust
Number of organisations
98
Occupational Group
See Note
Days Hours Minutes
Burden
Days
Burden
Years
Annual
Burden £
Senior Managers
0
4
0
104.53
0.52
66877.29
Managers
0
20
0
522.67
2.61
259247.89
Clerical & Administrative
4
0
0
784
3.92
178469.76
Maintenance & Works
0
0
0
0
0
0
Healthcare Assistants and other
support staff
0
0
0
0
0
0
Healthcare scientists
0
5
0
130.67
0.65
45243.33
10
0
261.33
1.31
91738.45
10
0
261.33
1.31
98000
All Nurses, Midwives and health
0
visiting staff
Scientific, therapeutic & technical staff
0
(ST&T) (Inc. AHP's)
Consultants
0
10
0
261.33
1.31
338868.32
GPs
0
0
0
0
0
0
Hospital Doctors
0
0
0
0
0
0
CEO
0
0
0
0
0
0
Directors
0
1
20
34.84
0.17
39475.97
Total
4
60
20
2360.71
11.8
1117921.02
See Note
Organisational Type
Acute Non Foundation Trust
Number of organisations
63
Occupational Group
See Note
Days Hours Minutes
Burden
Days
Burden
Years
Annual
Burden £
Senior Managers
0
4
0
67.2
0.34
42992.54
Managers
0
20
0
336
1.68
166659.36
Clerical & Administrative
4
0
0
504
2.52
114730.56
Maintenance & Works
0
0
0
0
0
0
Healthcare Assistants and other support
0
staff
0
0
0
0
0
Healthcare scientists
5
0
84
0.42
29085
0
All Nurses, Midwives and health visiting
staff
Scientific, therapeutic & technical staff
(ST&T) (Inc. AHP's)
0
10
0
168
0.84
58974.72
0
10
0
168
0.84
63000
Consultants
0
10
0
168
0.84
217843.92
GPs
0
0
0
0
0
0
Hospital Doctors
0
0
0
0
0
0
CEO
0
0
0
0
0
0
Directors
0
1
20
22.4
0.11
25377.41
Total
4
60
20
1517.6
7.59
718663.51
See Note
Organisational Type
Mental Health Foundation Trust
Number of organisations
40
Occupational Group
See Note
Days Hours Minutes
Burden
Days
Burden
Years
Annual
Burden £
Senior Managers
0
2
20
24.89
0.12
15923.16
Managers
0
10
0
106.67
0.53
52907.73
Clerical & Administrative
2
0
0
160
0.8
36422.4
Maintenance & Works
0
0
0
0
0
0
Healthcare Assistants and other support
0
staff
0
0
0
0
0
Healthcare scientists
0
0
0
0
0
0
0
10
0
106.67
0.53
37444.27
0
5
0
53.33
0.27
20000
Consultants
0
2
40
28.44
0.14
36883.63
GPs
0
0
0
0
0
0
Hospital Doctors
0
0
0
0
0
0
CEO
0
0
0
0
0
0
Directors
0
0
40
7.11
0.04
8056.32
Total
2
29
100
487.11
2.44
207637.51
All Nurses, Midwives and health visiting
staff
Scientific, therapeutic & technical staff
(ST&T) (Inc. AHP's)
See Note
Organisational Type
Mental Health Non Foundation Trust
Number of organisations
16
Occupational Group
See Note
Days Hours Minutes
Burden
Days
Burden
Years
Annual
Burden £
Senior Managers
0
2
20
9.96
0.05
6369.27
Managers
0
10
0
42.67
0.21
21163.09
Clerical & Administrative
2
0
0
64
0.32
14568.96
Maintenance & Works
0
0
0
0
0
0
Healthcare Assistants and other support
staff
0
0
0
0
0
0
Healthcare scientists
0
0
0
0
0
0
0
10
0
42.67
0.21
14977.71
0
5
0
21.33
0.11
8000
Consultants
0
2
40
11.38
0.06
14753.45
GPs
0
0
0
0
0
0
Hospital Doctors
0
0
0
0
0
0
CEO
0
0
0
0
0
0
Directors
0
0
40
2.84
0.01
3222.53
Total
2
29
100
194.84
0.97
83055
All Nurses, Midwives and health visiting
staff
Scientific, therapeutic & technical staff
(ST&T) (Inc. AHP's)
See Note
Organisational Type
Care Foundation Trust
Number of organisations
3
Occupational Group
See Note
Days Hours Minutes
Burden
Days
Burden
Years
Annual
Burden £
Senior Managers
0
2
0
1.6
0.01
1023.63
Managers
0
10
0
8
0.04
3968.08
Clerical & Administrative
0
10
0
8
0.04
1821.12
Maintenance & Works
0
0
0
0
0
0
Healthcare Assistants and other support
staff
0
0
0
0
0
0
Healthcare scientists
0
0
0
0
0
0
0
5
0
4
0.02
1404.16
0
5
0
4
0.02
1500
Consultants
0
2
40
2.13
0.01
2766.27
GPs
0
0
0
0
0
0
Hospital Doctors
0
0
0
0
0
0
CEO
0
0
0
0
0
0
Directors
0
0
40
0.53
0
604.22
Total
0
34
80
28.27
0.14
13087.49
Burden
Days
Burden
Years
Annual
Burden £
All Nurses, Midwives and health visiting
staff
Scientific, therapeutic & technical staff
(ST&T) (Inc. AHP's)
See Note
Organisational Type
Care Non Foundation Trust
Number of organisations
6
Occupational Group
See Note
Days Hours Minutes
Senior Managers
0
2
0
3.2
0.02
2047.26
Managers
0
10
0
16
0.08
7936.16
Clerical & Administrative
0
10
0
16
0.08
3642.24
Maintenance & Works
0
0
0
0
0
0
Healthcare Assistants and other support
staff
0
0
0
0
0
0
Healthcare scientists
0
0
0
0
0
0
0
5
0
8
0.04
2808.32
0
5
0
8
0.04
3000
Consultants
0
2
40
4.27
0.02
5532.54
GPs
0
0
0
0
0
0
Hospital Doctors
0
0
0
0
0
0
CEO
0
0
0
0
0
0
Directors
0
0
40
1.07
0.01
1208.45
Total
0
34
80
56.53
0.28
26174.98
All Nurses, Midwives and health visiting
staff
Scientific, therapeutic & technical staff
(ST&T) (Inc. AHP's)
Insert another Organisation type
Grand Total Days
4645.07
Grand Total Years Grand Total Burden
23.23
2166539.51
These figures are for the average cost of running the two
Please state if this is an
increase or decrease in
burden.
See Note
collections. In reality, we expect the half-year collection to be
more time-consuming for trusts, given the need to establish
reporting arrangements for the first time. The end-of-year
collection will therefore be less onerous.
Are you planning on collecting
from Independent and
Voluntary
Sector Organisations?
No
Proposal for ROCR Approval
ROCR Contact Details
14. If sampling of organisations is not
being used please state why.
See Note
As with the service reference cost collection, the
national tariff is based on the national average of all
relevant costs. Hence, a sampling approach would not
be appropriate initially. If the new set of tariffs are to
"work" for the sector, they need to be developed on
the basis of costing data received back from all trusts,
not just a sample of providers. In addition, there is a
need to up-skill staff in all trusts when it comes to
collecting education and training costs, given that we
are moving towards a tariff-based system of payments
in the future. Without this knowledge, trusts won't be
able to cost their education and training work, and to
see whether it is making their organisation a profit or
a loss. This intelligence will form the basis of future
decisions around clinical placements, especially for the
large teaching trusts. Once the annual cost collection
is established, we will continue to review whether it is
appropriate to collect all costs from all providers or
whether a sampling approach could be taken.
15. Are the estimates above and the
design of the collection supported by
any pilots, consultation exercises, trials
or other tests of the proposal? If so,
please give details.
See Note
Yes, we have already ran two pilot cost collections
using a sample of providers. The details of these pilots
have been used to inform the burden estimates made
in Q13. The first pilot involved 12 trusts, and took
place in the Autumn of 2012. The second pilot involved
25 trusts (large and small from across the country),
and took place from February to July 2013. Data was
collected in all the same areas as this proposed
collection. The only difference was that the pilot
collections concerned costs incurred during the 201112 financial year. Whereas, these collections concern
2013-14 activity. The pilot cost collections allowed us
to refine and improve the guidance provided to trusts
to do this costing work. Since running the pilots, we
have also produced an FAQs document, and are
currently developing a series of "how-to" guides to
make the collection as simple as possible. This
package of information will be available for the first
collection in November/December 2013.
16. If your proposal results in an
Not required as this is a new collection. See question 2
increase to the ongoing burden (as
indicated in Q13 above), please
indicate what measures you propose to
reduce the burden elsewhere to result
in a net zero change or decrease.
See Note
17. What collection method do you
Web based collection
propose to use?
Email
See Note
Extract from existing NHS systems
Other electronic (e.g. spreadsheet or disk)
Unify2
Input to Database
Database extract
Telephone
Paper
Omnibus collection See Note
Other (give details)
17a. If other, please state:
18. For Non Foundation Trusts is the
collection statutory, mandatory, part
mandatory, voluntary or not required?
See Note
MANDATORY
18a. For Foundation Trusts is the
collection statutory, mandatory, part
mandatory, voluntary or not required?
See Note
MANDATORY
19. Which of the following equalities
dimensions are included in the
collection?
See Note
Age/Date of Birth
Gender
Ethnicity (NHS standard 16 + 1)
Sexual Orientation
Faith
Disability
20. Of those you propose to include in
Q19, please give details of the
definitions you intend to use for each?
21. Is this request accompanied by a
N/A
position statement from the NHS Data
Model & Dictionary Service and the
Information Standards Board for Health
and Social Care (ISB HaSC)? If
required, please contact Data
Standards - [email protected], or
ISB [email protected]
See Note
22. Is the information to be collected
intended for publication or other
release? If not, please give reasons
why.
Yes - limited publication. See below.
See Note
23. If the answer to Q22 was yes,
The findings of the November/December 2013
please state your publication or release
collection would be published anonymously, in order to
strategy.
avoid the "naming and shaming" of outlier trusts with
See Note
higher than average costs. We would therefore
feedback to trusts individually so that they know
where they are on the scale, but without giving details
of the other organisations. This feedback would be
provided in February 2014. We would then work with
Health Education England (via local LETB networks) to
help trusts improve their collection methodology, in
order to increase consistency across the country ready for the year-end collection in June/July 2014.
Regarding the year-end results, the publication
strategy may be slightly more elaborate that the halfyear approach - i.e. not anonymised, and published on
the DH and HEE website - but this will depend on the
quality and reliability of the data coming back. We will
take a view on this nearer the time, and following the
collection methodology work completed in the time
between the two collections. Any feedback would be
provided in the autumn of 2014.
24. Will the data collection generate
As with the service reference cost collection, the
any media interest, and if so, what
collection may generate some interest in the trade
measures do you have in place to deal
press - amongst NHS finance staff - but widespread
with it?
coverage is not expected. Any queries that do arise
will be dealt with by the Department of Health and
Health Education England policy teams, working in
conjuction with their respective press offices.
25. Does the proposal have any impact
on Social Services?
See Note
25a. If the answer to Q25 was yes,
please give reason.
26. Do you intend to collect
information from NHS Foundation
Trusts?
See Note
Please attach documents that support
your ROCR application. Without a list of
No
Yes
Insert item
the questions to be asked we will not
be able to process your application
Proposal for ROCR Approval
ROCR Contact Det
27. If the answer to question
26 is yes, state why?
As stated in Q14, if the new set of tariffs are to "work" for the sector,
they need to be developed on the basis of costing data received back
from all trusts, not just a sample of providers. In addition, there is a ne
to up-skill staff in all trusts when it comes to collecting education and
training costs, given that we are moving towards a tariff-based system
payments in the future.
28. Is the information or any
No. As stated in Q15, we have already collected some education and
part of it already collected? If
training data from trusts. However, this was just from a small sample o
so please state why this should
providers, and concerned costs incurred during the 2011-12 financial
be collected again.
year. What is being proposed is a collection from all trusts, and on 2013
14 activity. Hence, this is a new request.
29. Please explain why you
The half-year collection in November/December 2013 collection is need
propose the frequency of
to get this issue on the agenda of trusts, and to ensure that they get th
collection as stated in Question
necessary reporting arrangements in place for the year-end. For many
13.
trusts, this will be the first time that they have attempted to cost their
spending on education and training. The half-year collection allows them
to have a first-go at this work. We can then work with trusts on their
methodology - and continue to up-skill them - ahead of the year-end
collection. The November/December 2013 collection will also provide
some data to inform the ERG development process, which is vitally
important if we are to move away from the transitional arrangements
that are currently in place. Should the data back from the
November/December 2013 collection be of sufficient quality, the end-of
year collection will allow us to test out these ERGs to see if they are
meaningful to the sector. In the very least, the data coming back from
the June/July 2014 collection will allow us to further refine the draft
ERGs. It will also provide an inisght into the quantum of education and
training costs, and their relationship with the service side. This is
important if we are to learn more about the issue of cross-subsidisation
between service and education - which is high on the agenda of Monitor
NHS England and DH colleagues. This will inform thinking on budget
setting for NHS England and Health Education England for future years.
30. If you are proposing to
See Q27.
collect from all Foundation
Trusts, please give reasons
why a sample cannot be used?
31. Can the proposed
information be provided by
commissioners rather than
directly from Foundation
Trusts? If not, why not?
No. As with the service side, this work concerns the costs to NHS
providers of providing services, not the costs to NHS commissioners of
commissioning education and training.
32. Does all the data requested a. Vital for Patient Care
fall into one or more of these
b. Essential for the flow of funds to
categories?
NHSFTs
See Note
c. The requesting body has a statutory
duty to provide the information
d. Very High ministerial profile
See Note
e. Necessary for Care Quality Commission
assessment
f. Directly underpins delivery of a target
(State which).
The commitments in section 9.3 of the
Mandate to Health Education England from
Government (2013-15) to establish a set of
national tariffs for education and training