Annex A
Process
The Business Case Production and Delegated Approval
Capital and Revenue Business Case Production and
Approval Process
V5.1
September 2014
(Revised March 2016)
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September 2014 (revised March 2016)
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Table of Contents
1. Introduction.................................................................................................................... 3
2. Purpose of this Policy/Procedure................................................................................... 3
3. Ownership and Responsibilities .................................................................................... 3
4. Standards and Practice - Stages in the Business Case Process .................................. 4
Investment Proposal ............................................................................................................ 4
Mini Business Case ............................................................................................................. 5
Short Internal Business Case .............................................................................................. 5
Replacement of High Value Equipment Case ...................................................................... 5
Project Initiation Document (PID) ......................................................................................... 5
Strategic Outline Case (SOC) .............................................................................................. 6
Outline Business Case (OBC) ............................................................................................. 6
Full Business Case (FBC).................................................................................................... 7
5. Standards and Practice - Quality Assurance Controls ................................................... 8
6. Standards and Practice - Revenue ................................................................................ 8
7. Standards and Practice - Capital Business Cases ...................................................... 10
Investment Decision Review Process ................................................................................ 12
Establishing Capital Expenditure ....................................................................................... 14
Committee Structure .......................................................................................................... 15
8. Dissemination and Implementation.............................................................................. 16
9. Monitoring compliance and effectiveness .................................................................... 16
10. Updating and Review .................................................................................................. 16
11. Equality and Diversity .................................................................................................. 16
12. Equality Impact Assessment ....................................................................................... 16
Annex A
The Business Case Production and Delegated Approval Process ................ 1
Annex B
The Business Case Production and Delegated Approval Process - Service
Line Management and Reporting.................... Error! Bookmark not defined.
Annex C
Trust Committee and Subcommittee Structure ............................................ 18
Annex D
Capital Projects Building Planning, Design and Control Process
Major Capital Projects over £500k ................................................................ 19
Annex E
Capital Projects Building Planning, Design and Control Process
Minor Capital Projects under £500k .............................................................. 23
Appendices 1 to 15 - Contact Capital Business Case Manager ......................................... 28
Appendix 16. Governance Information............................................................................... 29
Appendix 17. Initial Equality Impact Assessment Form ..................................................... 32
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1. Introduction
1.1. This Policy and procedure provides advice and guidance to officers of the Trust on
the production and approval process of capital and revenue business cases.
1.2. In order to ensure good governance is maintained the Trust is required to operate a
sound and robust process for the approval of all expenditure commitments. The
purpose of this document is to provide guidance and templates to ensure good
standards of control and governance are in place without inhibiting the speed of
decision making.
1.3. All proposed projects that require significant revenue or capital investment must have
undergone a rigorous development process assessing purpose, benefits, operational
impact, efficiencies, income generation potential and financial consequences. This
ensures that the limited revenue and capital resources available to the Trust are
invested in a way that provides best value for money for the taxpayer and the Trust.
1.4 The business case process is the method by which this assessment is conducted,
and therefore completing the various documents that support the different stages in
the approval process to a high standard is vital to ensure projects can be reviewed,
considered and progressed to the next stage in a timely fashion.
1.5 As capital resources become scarcer it is inevitable that choices between capital
projects will need to be made. The robustness and completeness of the capital
business cases presented for approval is likely to be a factor in determining where
these scarce resources are invested.
1.6. This version supersedes any previous versions of this document.
2. Purpose of this Policy/Procedure
2.1. This Guide is designed to assist those responsible for completing or contributing
to a business case. It supports the objective of ensuring that all business cases
are of a high standard and provides key decision makers with all the information
required to approve the case.
2.2. Business Cases should be seen as an integral part of delivering Divisional Plans
and the Trust’s Long Term Capital Programme, rather than a standalone
investment decision in isolation.
3. Ownership and Responsibilities
3.1. The completion of the business case process requires a multi-disciplinary team
approach. All capital projects should be driven by improvements to the service
that can be offered to patients and the efficiencies and/or income generation that
can be released through capital investment and service redesign.
3.2. The Project Sponsor must therefore ultimately be responsible for the quality and
timely completion of the different documents produced during the business case
process. Support would normally be provided by:
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An identified Project Lead, normally an individual with detailed operational
knowledge of the relevant service area;
The divisions Finance Manager;
For Capital cases, where appropriate, a Capital Planning and Projects
Manager and Capital Business Case Manager;
Clinical, Nursing, Infection Control, IT and Support Services may also need to
contribute to the development of the case; and
Additional business case and service delivery support can be provided on
application to the Trust Management Committee. The Trust Management
Committee have discretion to support requests where it is clear that this will
ensure that only properly completed business cases are submitted into the
approvals process.
Role of Managers and Individual Staff
3.3. All are responsible for complying with the requirements of the Capital and
Revenue Business Case Production and Approval Process Policy/Procedure as
outlined in this document. If any aspect is unclear then they must bring this to
the attention of their line manager.
4. Standards and Practice - Stages in the Business Case
Process
4.1. For small investments or investments that replace high value equipment, that is
included in the Long Term Capital Programme, there are simplified single
documents. There are up to four formal documents that need to be produced in
the full business case process. Each document will require formal approval by
the relevant committee or Board before the investment proposal can proceed to
the next stage.
Investment Proposal
4.2. This document is the first step in the business case process and requires
Divisional/Director approval. It is not required for High Value Equipment Replacement
business cases or for cases less than £50k that are funded within a
Divisions/Departments budget, (budget approved at the start of the year, after CIP,
that has been allocated to the Division/Department).
4.3. Investment proposals should form part of a Divisions/Department annual business
planning process, with approved proposals being submitted as part of the budget
setting process.
4.4. This document is designed to be short (word restricted) and will briefly outline the
proposed scheme, including the benefits and estimated financial information.
4.5. A Quality Impact Assessment (QIA) must be completed and appended to the
Investment Proposal. Documentation for completing this is attached as
Appendix 9
4.6. Guidance on how to complete an investment proposal and a standard template can
be found at Appendix 1.
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Mini Business Case
Following the approval of an investment proposal, a mini business case is required for the
following projects: Up to £50k, that are to be funded within a Divisions/Departments budget, (budget
approved at the start of the year, after CIP, that has been allocated to the
Division/Department). Once approved by the Division/Department no further
business case documentation/approval is required.
 Up to £50k not funded;
 Up to £100k where the funds are held within reserves until conditions or business
case are approved; and
 Replacement/new consultant posts.
4.7. This document is designed to be short (word restricted) and will detail the proposed
scheme, including current and future services arrangement as well as the benefits
and financial information.
4.8. For replacement/new consultant posts job plans must be included in the mini
business case along with details of any potential service change.
4.9. Guidance on how to complete an investment proposal and a standard template can
be found at Appendix 2.
Short Internal Business Case
4.10.Short business cases are required for projects up to a value of £500k and not
covered by a mini business case.
4.11.These are designed to be simple to complete but also contain sufficient
information so that key questions are answered before such expenditure is
approved.
4.12.Guidance on how to complete a short internal business case and a standard
template can be found at Appendix 3.
Replacement of High Value Equipment Case
4.13.Much of the Trust’s high value medical equipment would normally require a Full
Business Case due to the value involved. However, it has been recognised that
the majority of this equipment is needed to maintain core services and must be
purchased as the asset nears the end of its useful economic life. These
replacements are included in the Trust’s Long Term Capital Programme.
4.14.Guidance on how to complete a high value equipment case and a standard
template can be found at Appendix 4.
Project Initiation Document (PID)
4.15.The completion of a PID is the first step of the full business case process
(business cases exceeding £500k). The objective of the PID is to define the
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project in order to form the basis for its management and an assessment of its
overall success. The PID gives the direction and scope of the project and is an
essential assurance document to ensure that appropriate governance
arrangements are in place to undertake the project.
4.16.Production of a PID ensures that the project has a sound basis before the Trust
enters into commitments associated with the project. The PID provides a single
source of reference about the project and the version of the PID that was
authorised at the start of the project represents the basis on which the
performance of the project can be assessed when the project is completed.
4.17.The PID should be able to answer the following questions:
 What is the project aiming to achieve?
 Why is it important to achieve it?
 Who will be involved in managing the process and what are their
responsibilities?
 How and when will the project be undertaken?
4.18. Guidance on how to complete a PID and a standard template can be found at
Appendix 5.
Strategic Outline Case (SOC)
4.19. The objective of the SOC is to provide a clear reason for change and to ensure
that any proposed investment is both consistent with the Trust’s strategic
direction and affordable to the Trust and Commissioners. The case for change
must be fully considered at this stage, including identification of what is wrong
with the status quo. The SOC will involve the following activities:
 Confirmation of the Strategic Direction and Business Objectives of the
Trust.
 Review of the current position of the Trust.
 An analysis of the market and the Trusts market position.
 Consideration of the service requirements taking the identified current
position into account and the ability to meet the perceived demand for
the service.
 High level assessment of the feasibility of any capital builds
assumptions
4.20. Guidance on how to complete a SOC and a standard template can be found at
Appendix 6.
Outline Business Case (OBC)
4.21. The objective of an OBC is to identify the preferred option for the project
through an objective investment appraisal process. This will involve the
following activities:
 Identification of the objectives of the project and their link to the Trust’s
strategy and overall business objectives.
 Identification of the benefits expected as a result of the planned
investments.
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Identification of any constraints on the means of achieving the
objectives of the project.
Generation of a full list of options for meeting the objectives of the
project and a short list on the basis of agreed criteria.
An assessment of the costs and benefits of each short listed option.
A risk analysis and an assessment of the impact of the investment on
the Trusts revenue costs.
Formulation of plans for project monitoring and post project evaluation.
Identification of the preferred option and estimated costs to develop it
to Full Business Case stage.
4.22. Guidance on how to complete an OBC and a standard template can be found
at Appendix 7.
Full Business Case (FBC)
4.23. Once an OBC has been approved, the project will proceed to the production of
the Full Business Case. FBC will only be progressed when capital funds have
been identified and where relevant, commissioner support obtained. Production
of the FBC is an opportunity to validate/review the work previously done in the
SOC and OBC, but primarily it is developing the preferred option. This involves
a re-appraisal of the preferred option with detailed cost information and plans
for managing the project and its implementation. This will involve the following
activities:
 A review of the Strategic Outline Case including more precise
quantification of future service requirements.
 A review of the Outline Business Case including validation of the main
elements of the investment appraisal.
 Detailed development of the preferred option.
 Detailed plans, design proposals, delivery methodology, and market
tested costs for any capital build project
 Detailed plans for project monitoring and post project evaluation.
4.24. The output of the FBC stage is an updated assessment of the strategic context
and an expansion of the previously prepared OBC, clearly presenting the
arguments for the planned investment and demonstrating that the Trust can
deliver the scheme on time and in line with identified budgets.
4.25. Where the business case is related to the development of a clinical service the
FBC should be supported by a Strategic Specialty Plan spanning 5 years which
should be in place and support the business case production and be available
to be presented at the same time as the Outline and Full Business Case.
4.26. Guidance on how to complete a FBC and a standard template can be found at
Appendix 8.
The Inter-relationship of the documents
4.27. In the full business case process each of the four documents should build on
the document that preceded it in the process. Whilst the structure of the PID
and SOC are slightly different the table below shows how the FBC sections are
populated with the work undertaken earlier in the process.
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PID
Executive
Summary
Strategic Outline
Option Appraisal
Selection of
Preferred Option
Operational
Considerations
Detailed
Financial
Implications of
Preferred Option
Project
Management
Arrangements
Conclusion
SOC
OBC
First Draft
FBC
Finalised
Final Draft
Final Draft
Finalised
Finalised
Finalised
Outline Only
Outline Only
Final Draft
First Draft
Outline Only
First Draft
Final Draft
Finalised
Outline
Only
Final Draft
Finalised
Final Draft
Finalised
First Draft
Final Draft
Finalised
5. Standards and Practice - Quality Assurance Controls
5.1. All business cases (capital and revenue), as part of the business case approval
process, are required to go through a quality assurance assessment prior to
consideration by the relevant Group / Committee. A Quality Impact Assessment
(QIA) must be completed and appended to all business cases. Documentation
for completing this is attached as Appendix 9 whilst the QIA process can be
found in the documents library.
5.2. To complete the Quality Assurance Assessment, all investment proposals and
business cases need to be sent to the Business Case Review Group (BCRG)
which must include the QIA. The business cases will then be forwarded to the
relevant Group/Committee for scrutiny/approval.
6. Standards and Practice - Revenue
Documentation
6.1. Both revenue and capital business cases are completed using the same
documentation/templates.
6.2. For each stage of the business case process the following templates have been
produced: Investment Proposal
 Mini Business Case
 Short Business Case
 Project Initiation Document (PID)
 Strategic Outline Case (SOC)
 Outline Business Case (OBC)
 Full Business Case (FBC)
 High Value Equipment Replacement (HVE)
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6.3. The templates are all supported by detailed guidance on how to populate them.
These can be found at appendices 1 to 7.
6.4. As a general rule all requirements for additional revenue funding should be supported
by a Business Case showing the link between the funding request and the Strategic
Speciality Plan.
6.5. A business case is not required for known cost pressures (inflationary uplifts,
incremental pay etc.) that have been identified as part of the annual budget setting
process. Funding available to mitigate these pressures will need to be agreed with
the Director of Finance (delegated to the Head of Financial Management &
Contracting).
6.6. If funding to mitigate these known cost pressures does not currently exist or there is
a particular issue that requires further consideration it will be referred via the Director
of Finance to the Executive Directors for consideration.
Approval
6.7. There are different levels of approval depending on the scale of the business case.
This is shown in Annex A and described below:
Cases up to £50k, funded within Divisional and Department budget
6.8. This relates to proposed expenditure up to £50k that will be funded from the
Division/Departments budget. This is budget that has been approved at the start
of the year, after CIP, that has been allocated to the Division/Department.
6.9. For these cases, a mini business case is required that is approved by the
Divisional General Manager/Divisional Board (revenue cases) or the Director of
Estates/Director of CITS/Medical Director (capital cases).
Cases up to £50k not funded OR approved investment up to £100k (but held
within reserves until conditions or business case is approved) OR replacement
consultant post
6.10.For these cases an investment proposal is required. Following the approval of
the investment proposal a mini business case is required.
6.11.For cases up to £50k not funded or for approved investments up to £100k where
funding has been held within reserves until conditions or business case has
been approved, Divisional approval must be obtained prior to submission to the
Business Case Review Group.
6.12.Business cases for replacement and new Consultant post must be supported by
current and future job plan and require final approval by the Director of Finance
and Medical Director.
6.13.The mini business case will require final approval from the Trust’s Management
Committee (TMC) before any expenditure can be incurred.
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Cases up to £500k and not included in the above
6.14.For these cases an investment proposal is required. Following approval of the
investment decision a short business case must be completed.
6.15. The short business case will require final approval from the Trust’s Management
Committee (TMC) before any expenditure can be incurred.
Cases in excess of £500k
6.16. As a general rule cases in excess of £500k will require completion of the Full
Business Case.
6.17. Trust Management Committee (TMC) provides strategic direction and maintain
overall control of the development and delivery of Trust strategic investments. It will
give approval to strategic revenue investments with a cumulative value above £500k
prior to such schemes going forward to the Trusts Finance, Performance and
Investment Committee (FPIC) and for investments above £1m, Trust Board for formal
approval.
6.18. Where funding for known cost pressures (inflationary uplifts, incremental pay etc.)
has been identified as part of the annual budget setting process then a business
case is not required. The Director of Finance and the Chief Operating Officer will
retain authority to release funding into budgets where the revenue impact is less than
£500k per annum.
6.19. Where no funding exists, cases will be referred via the Director of Finance and the
Trust Management Committee to the Finance, Performance and Investment
Committee for consideration and authority to proceed.
6.20. The case should also be supported by the Sustainable Development Management
Plan (SDMP) checklist, attached as Appendix 13. Additionally any revenue case
requiring changes to the use of space should be supported by a Space Allocation
Request Form which will help assess any financial impact on the changes being
proposes. This form is attached as Appendix 14, and further details and guidance
about this can be found in the Accommodation and Space Management Policy.
6.21. The process for completion and approval of business cases can be found at Annex
A.
7. Standards and Practice - Capital Business Cases
The Capital Budget Setting Process
7.1. The Trust’s Director of Finance determines the available capital funding as part of the
annual budget setting process. Potential capital projects will be prioritised across a
range of criteria, including clinical need, health and safety requirements, addressing
recognised risks, delivering Annual Operating Framework agreements and
affordability.
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7.2. The majority of capital funding will be approved as part of the annual planning round
and budget setting.
 The Clinical Site Development Plan (CSDP) Programme Board will prioritise
the capital infrastructure projects that support delivery of the CSDP
 The E-Health Programme Board will prioritise informatics capital bids,
 The Medical Equipment Programme Board will prioritise capital equipment
bids
 The Backlog Maintenance Programme Board will prioritise estates bids.
7.3. These priorities will be received by the Trust’s Management Committee (TMC) for
their recommendation to the Trusts Finance, Performance and Investment
Committee prior to the Trust Board for final approval.
7.4. As part of the annual budget setting process, budget holders should review the
service needs and assets held within their service area. This should include a needs
and risk assessment of new items and items which need replacing. Based on this
review, budget holders should identify a list of potential capital investments,
prioritised for those items which have the highest impact on business continuity and
feed these into the capital prioritisation process.
7.5. Divisional Directors and Divisional General Managers are responsible for ensuring
that their Division is adequately represented on each of the subcommittees and that
they have a process within their Division for ensuring that the investment needs of
the individual services within their Division can be considered in these committees.
7.6. For medical equipment, Divisional Directors and Divisional General Managers will
need to consider the bids from each budget holder within their Division to determine
the Divisional priorities forwarded into the Trust-wide process. These should then be
submitted to the Director of Transformation who will chair the Medical Equipment
Programme Board which will manage that prioritisation process. Medical Equipment
is defined as equipment connected to the patient as part of their treatment and care
in hospitals and health centres; and devices used for diagnostic, therapeutic and
laboratory purposes. Medical Equipment does not include consumable medical
devices such as syringes and dressings, which should be charged to revenue.
7.7. Potential health informatics projects are scrutinised by the E-Health Programme
Board for recommended inclusion in the Health Informatics capital programme. The
Trust’s investment in developing health informatics solutions in-house and costs of
installing and implementing purchased and developed IT software should be included
in the capital programme. Allowed expenditure includes:
 Directly purchased infrastructure, including workstations, servers, memory
storage and trunking and cabling.
 Purchased software and licenses.
 Limited workforce costs incurred in developing, installing, testing and enhancing
health informatics systems.
7.8. Potential bidders for capital equipment should liaise with the Procurement and
Supplies Department to determine the likely cost and future revenue consequences,
as well as liaising with Specialist Equipment Maintenance System (SEMS), Estates
and Medical Physics, as appropriate, to assess the likely maintenance costs of any
potential new equipment. When completing the templates for equipment, the
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intended location of the item should be included and all costs should be shown as
VAT inclusive (except donated assets bought through charitable funds).
Investment Decision Review Process
7.9. The Trust Board has an on-going responsibility to ensure that only appropriate
business cases are approved and that the Trust has the legal powers to undertake
them.
7.10. The use of the delegated limits and the Business Case structures set out in this
guidance are designed to ensure that business cases are being reviewed and
approved at the appropriate level in the Trust whilst retaining a method of reporting to
the Trust Board that allows on-going scrutiny and reassurance as to the robustness
of the business case approval process.
7.11. The development of the Project Initiation Document and Strategic Outline Case
allows preliminary review of a business case to be undertaken enabling:
 The evaluation of the Business Cases fit with the Divisions speciality
plan and the Trust’s overall clinical and corporate strategy.
 An assessment of the resources needed to undertake the business case
evaluation and development process.
 Clarification of the rationale for pursuing the business case development
at a detailed level.
7.12. The development of the Outline Business Case allows the detailed review of a
business case to be undertaken enabling:
 Options to be assessed using non-financial techniques such as SWOT
analysis and benefits analysis.
 Risks to be evaluated and where possible quantified.
 Outline financial consequences to be identified and modelled for shortlisted options.
 Alignment with the Trusts Investment Policy to be assessed.
 Cost/Benefit Analysis to be undertaken for all short-listed options.
 The completion of a draft Quality Impact Assessment (Appendix 9).
 The completion of a draft Equality Impact Assessment Screening Form
(Appendix 10).
 Resources required for implementation to be reviewed and refined.
 Impact on operational aspects of the Trust to be properly evaluated.
 A conclusion to be reached on whether the Business Case remains
viable and what the preferred option is.
7.13. The development of the Full Business Case / High Value Equipment Case allows
for:
 The preferred option to be converted into a contractual structure with the
relevant supplier(s).
 Clarification of the timescales for the implementation phase.
 The final financial values and impact on the Trusts asset base that arise
from the business case to be quantified and assessed.
 Confirmation of the risks inherent in the business case and the mitigating
action being taken.
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The impact on staff and the change management programme that will be
put in place.
The completion of the final Quality Impact Assessment and Star
Chamber review.
The completion of the final Equality Impact Assessment Screening Form.
The completion of the final Project Benefit Realisation Review form.
7.14. The development of the Short Internal Business Case allows for: A simple and short business case to be developed for small revenue and
capital projects.
 Clear identification of the project and associated costs.
 The completion of a Quality Impact Assessment and Star Chamber
review.
 The completion of an Equality Impact Assessment Screening Form.
 The completion of a Project Benefit Realisation Review form.
7.15. As part of the approval process it is vital that there is clarity about how the business
case will be monitored during its implementation and post completion operational
phase. This ensures the Trust can demonstrate that the original objectives of the
business case have been achieved and value is being obtained as a result of the
business case being delivered. There should therefore be:
 Clarity as to who is responsible for the success/delivery of the
business
case.
 Re-assurance that the person deemed responsible for the business
case delivery has the right experience and authority to discharge
that role.
 Clarity on the basis on which the business case will be assessed
during implementation and post completion.
 Clarity on who will receive progress reports, an outline structure of
those reports and the frequency of their production.
 The escalation process to be used should implementation or post
completion performance not be at the required levels.
7.16. As a project is completed and moves into an operational phase there are two
dimensions of review that need to be undertaken.
 A Post Project Evaluation (Appendix 11) needs to be undertaken that
reviews the delivery of the project from a capital/physical delivery
perspective.
 A Benefits Realisation Review of the delivery of the operational
benefits expected at the time of the Full Business Case / High Value
Equipment Case approval needs to be undertaken with reports
addressing delivery of the financial, workforce, quality and operational
impacts of the projects.
7.17. The Finance, Performance and Investment Committee should receive a Post Project
Evaluation report for each major (over £1m) capital project. The timing of the report to
be agreed on a scheme by scheme basis reflecting the complexity of the scheme
itself and the level of stakeholder feedback and involvement required in the post
project evaluation work. However in normal circumstances it would be expected that
a Post Project Evaluation would take place shortly after the project has been
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completed and be reported to the Finance, Performance and Investment Committee
within 2 to 3 months of the project completion.
7.18. A Benefits Realisation Review programme is developed and agreed Business Case
Committee. The evaluations will be conducted 6 to 12 months after project
completion and reported to the Finance, Performance and Investment Committee.
Establishing Capital Expenditure
7.19. In order for a capital project or asset purchase to be included within the Trust’s
Capital Programme, each potential project must be subjected to an assessment
process, to determine the necessity and affordability of the proposals and to consider
the priority which should be attached to the project.
7.20. In order for capital business cases to proceed the following Department of Health
definitions of capital need to be met. Property, plant and equipment expenditure may
be capitalised where individual items of expenditure exceed £5,000. The expenditure
must either create a new asset for the Trust or enhance an existing asset.
7.21. Additionally, the Department of Health permit smaller items of expenditure to be
capitalised as ‘grouped assets’ where all of the following criteria are met:
 The items purchased are capable of being used for a period which
exceeds one year;
 They have a collective cost of at least £5,000 and an individual cost of
more than £250;
 They are functionally interdependent;
 They have broadly simultaneous purchase dates, are anticipated to
have simultaneous disposal dates; and
 They are under single managerial control.
7.22. Intangible assets are capitalised when they:
 Are capable of being used for Trust activities for more than one year;
 Can be valued; and
 Have a cost of at least £5,000.
7.23. Purchased computer software licences are capitalised as intangible assets where
expenditure of at least £5,000 is incurred. Licence expenditure is amortised over the
shorter of the term of the licence and the useful economic life of the asset.
7.24. Under International Financial Reporting Standards (IFRS) items which are leased by
the Trust from suppliers may be required to be capitalised by the Trust. In such
circumstances, the Trust must recognise the fair value of the asset on its Balance
Sheet and will incur revenue capital charges throughout the life of the asset. The
Trust’s Financial Controller or Deputy Financial Controller & Financial Accountant will
need to be contacted to ascertain this before ANY lease agreement is concluded.
7.25. Expenditure in relation to capital projects which is directly attributable to the creation
of an asset may be capitalised. Examples of these types of expenditure are:
Direct costs, including directly attributable labour costs and design consultant’s fees
incurred in enhancing an existing fixed asset.
It should be noted, however, that enhancement and newly built assets are subject to
revaluation on completion. The revaluation will often identify that the asset is worth
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
14 of 33
less than the cost of its creation/construction and therefore an impairment will be
required to reduce the value of the asset. Impairments are charged to the Trust’s
revenue expenditure, where insufficient revaluation reserve balances are held to
absorb the loss, and therefore need to be carefully considered.
7.26. Expenditure which cannot be defined as capital includes the following:
 Repairs;
 Maintenance costs, which cannot be shown to be enhancements;
 Training costs associated with the installation and use of the new
asset;
 Employee costs not directly attributable to a specific asset, including
site selection activities; and
 Other costs, which are capital in nature but which do not either create
a new asset or enhance an existing asset.
7.27. Where pay costs are planned to be charged to capital, it is essential that a reliable
record is kept of the time spent and the activities involved. The Trust must be able to
demonstrate that the costs are directly attributable to individual assets.
Committee Structure
7.28. The Committee structure and the relationships to the Trust Board are shown at
Annex C.
7.29. The Finance, Performance and Investment Committee are responsible for
recommending the capital programme to the Trust Board for approval. This
Committee has clear Terms of Reference and agreed membership.
7.30. The Trust’s Management Committee provides strategic direction and maintains
overall control of the development and delivery of Trust level strategic investments.
This includes oversight of the Trusts capital programme which incorporates the
Clinical Site Development Plan and the E-Health Development Plan.
7.31. The TMC will be supported by four subcommittees namely:




The Clinical Site Development Plan (CSDP) Programme Board who
will develop and prioritise the capital infrastructure projects that support
delivery of the CSDP.
The E-Health Programme Board who will develop and prioritise
informatics capital bids.
The Medical Equipment Programme Board who will develop and
prioritise capital equipment bids.
The Backlog Maintenance Programme Board who will develop and
prioritise estates bids.
7.32. A Capital Delivery Group has been established to manage and ensure the delivery of
the agreed Capital Programme. This group is chaired by the Deputy Director of
Finance. The Group has clear Terms of Reference and agreed membership; it will
receive reports from the four Boards and report into the Finance, Performance and
Investment Committee.
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
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8. Dissemination and Implementation
8.1. This document will be published on the Trust’s document library, replacing the
previous version, as a source of information for senior managers and other members
of staff who may wish to be aware of the Capital Business Production and Approval
Process.
8.2. No specific training for managers or staff is required; however help and
assistance is always available from the Capital Business Case manager in Finance.
9. Monitoring compliance and effectiveness
9.1. Monitoring compliance and effectiveness of this approval process will be
undertaken by the relevant Trust committees and sub-committees, as detailed in
Annex E.
10. Updating and Review
10.1.This document will be reviewed and updated every 3 years or upon being made
aware of major changes to the associated legislation.
11. Equality and Diversity
11.1. This document complies with the Royal Cornwall Hospitals NHS Trust service
Equality and Diversity statement which can be found in the 'Equality, Diversity & Human
Rights Policy' or the Equality and Diversity website.
12. Equality Impact Assessment
12.1. The Initial Equality Impact Assessment Screening Form is at Appendix 17.
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
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Annex A
The Business Case Production and Delegated Approval Process
Revenue and Capital Schemes
Amount
Up to £50,000, funded within
Divisional and Department budget
(budget approved at the start of the
year, after CIP, that has been
allocated to Division/Dept)
Documentation
required
Mini business case
Approval process
DGM/Divisional Board (revenue only)
Director of Estates
Director of CITS
Medical Director
Up to £50,000, not funded
OR
Approved investment up to £100,000
but held within reserves until
conditions or business case is
approved
OR
Replacement/new consultant post
Investment proposal
reviewed by BCC,
followed by a mini
business case
DGM/Divisional Board (revenue only)
Director of Estates
Director of CITS
Medical Director
BCRG
(for info)
Director of
Finance/
Medical Director
(replacement
consultant
posts)
Up to £500,000 and not included in
the above
Short Business Case required
Investment proposal
reviewed by BCC,
followed by a short
business case
DGM/Divisional Board (revenue only)
Director of Estates
Director of CITS
Medical Director
BCRG
(for info)
CSDP/E Health
Board
(Capital Projects
only)
Between £500,001 and £1,000,000
Full Business Case required
Investment proposal
PID
Between £1,000,001 and £5,000,000
Full Business Case required
High Value Equipment replacement
(HVE)
TMC
TMC
BCRG
(for info)
BCRG
(for info)
SOC
BCRG
(for info)
CSDP/E Health
Board
(Capital Projects
only)
TMC
OBC
BCRG
(for info)
CSDP/E Health
Board
(Capital Projects
only)
TMC
FPIC
FBC
BCRG
(for info)
CSDP/E Health
Board
(Capital Projects
only)
TMC
FPIC
Investment proposal
BCRG
(for info)
PID
BCRG
(for info)
SOC
BCRG
(for info)
CSDP/E Health
Board
(Capital Projects
only)
TMC
OBC
BCRG
(for info)
CSDP/E Health
Board
(Capital Projects
only)
TMC
FPIC
Board
FBC
BCRG
(for info)
CSDP/E Health
Board
(Capital Projects
only)
TMC
FPIC
Board
HVE
BCRG
(for info)
CSDP/E Health
Board
(Capital Projects
only)
TMC
FPIC
Board
1) Business Cases over £1m, but below £5m, once approved by the Board are subject to a 'Governance Review' by the TDA
2) Business Cases above £5m, once approved by the Board require approval by the TDA .
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
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Annex B
Trust Committee and Subcommittee Structure
NHS Trust Development Authority
RCHT Trust Board
Finance, Performance and
Investment Committee
Trust Management Committee
Capital Delivery
Group
Clinical Site
Development
Plan
Programme
Board
Backlog
Maintenance
Programme Board
E-Health
Programme
Board
Medical
Equipment
Programme
Board
Business Case
Review Group
Direction for new schemes for approval and reports on schemes
below delegation limits from sub committees to Investment Committee
Direction for reports on Delivery and Progress of Approved
Schemes
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
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Annex C
Capital Projects Building Planning, Design and Control Process
Major Capital Projects over £100k
For Major Capital Projects over £100k there is an 8 stage capital project process covering
original project inception through to completion and post project evaluation which must be
followed, it is shown in a flowchart below. The process will ensure that following the
production of a Project Initiation Document based on the outline service requirements and
an identification of an appropriate project management team, proper requirements
definition is undertaken, followed by rigorous option assessment that feeds into a Strategic
Outline Case, Outline Business Case and Full Business Case / High Value Equipment
Case before investment decisions are taken and project works commence. The process
will ensure that for major investment decisions the Trust Management Committee, its four
sub committees and the Finance, Performance and Investment Committee are
appropriately involved from an early stage in defining the direction and programming of the
project.
Stage 1 – Development of the Project Initiation Document
The purpose of a Project Initiation Document is set out in Section 5.2.3 above. The PID will
be informed by the perceived service requirements and once drafted should be agreed by
the relevant Subcommittee or Committee
Stage 2 - Develop User Requirements Document and Rough Order of Estate
Information
The purpose of this Stage is to allow the Division / Speciality to formally record the
project’s requirements in output terms, which are captured in the User Requirements
Document. During this Stage, the requirements need to be approved by the Divisional
Manager. The Planning & Projects Team will be tasked with developing a Rough Order of
Estates Information (ROEI) to help identify the possible range of options, costs and
programme, which will be necessary to deliver a solution that meets the requirement. It is
anticipated that ROEIs will be undertaken using internal RCHT resources, but where
specialist external consultancy support is needed this must be identified in the PID and
approval have been given. Once completed this work should support the completion of the
Strategic Outline Case to be put forward for the relevant Subcommittee or Committees
approval.
Stage 3 - Develop Option Study Brief
Having produced a Strategic Outline Case which has been approved by the relevant
Subcommittee or Committee, the Project Manager will prepare an Option Study Brief
which will be agreed with the Service Lead and Associate Director of Planning and
Projects as the basis for the next stage of the project. At the end of this Stage the team
should have agreed the scope and costs associated with the Option Evaluation phase of
the project and these will need to be reviewed by the Associate Director of Planning and
Projects and the Deputy Director of Finance prior to approval by the relevant
Subcommittee or Committee.
Stage 4 - Carry out Option Study
The Option Study Phase of the project involves a range of possible solutions being
generated to meet the requirements. The phase can involve much iteration as the
potential solutions are investigated and interrogated against key user requirements.
Surveys or investigative works on site may be undertaken during this stage to mitigate
high level risks to the project. Although risk management is required in earlier stages, it
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
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really starts to develop here and will be followed through to all future stages. The output
required from this stage is to provide the information to support the development of the
Outline Business Case (OBC) and Cost/Benefit Analysis and to recommend the preferred
solution, the likely costs and programme, as well as risks to the delivery. The OBC will
initially be submitted to the relevant Subcommittee for approval along with the funding of
the costs to develop the preferred option which will also need to be approved. Depending
on the capital value of the scheme it may need subsequent approval by the Trust
Management Committee and Finance, Performance and Investment Committee (over
£500k), Trust Board (over £1m) and the NHS TDA (over £5m)
Stage 5 – Develop Preferred Option
The preferred option is further developed by the project team to produce sufficient
documentation which will result in a robust pricing agreement in the form of a Guaranteed
Maximum Price (under Procure 21 Plus arrangements) or a Contract Sum under traditional
procurement arrangements. The output of this stage is a Project Execution Plan outlining
the works information, cost, timescale and details of the technical solution. Risk
management continues to be undertaken throughout this stage to agree a costed Risk
Management Plan with agreed responsibilities and ownership. The output of this stage is
to ultimately receive approval to award the contract by providing the necessary information
to inform the Full Business Case / High Value Equipment Case so that it can be approved
by the relevant Subcommittee or Committee. Depending on the capital value of the
scheme it may need subsequent approval by the Trust Management Committee and
Finance, Performance and Investment Committee (over £500k), the Trust Board (over
£1m) and the NHS TDA (over £5m)
Stage 6 - Secure Contract Commitment
During this Stage and upon receipt of the funding confirmation the project team prepare
and agree the contract documentation in order to award the contract to a supplier.
Contract documentation to be completed includes the Works Information and Target Cost
(under Procure 21 Plus), Risk Register and Project Execution. At the end of this Stage the
project team should be ready, having achieved all the necessary approvals, to award the
contract and enter Stage 7 implementation.
Stage 7 - Implement Project and Accept for Occupation / Commissioning
This is the stage, which involves the completion of any final design element and focuses
principally on the construction stage of the project. The contractor will deliver the project in
line with the contract and the agreed programme, quality and costs parameters and ensure
commissioning and any application training is undertaken. The output of this stage is a
completed facility, which has been accepted by the users.
Stage 8 - Manage Compliance Period and Post Project Evaluation
The purpose of this stage is to undertake the Post Project Evaluation with key
stakeholders. This is also the Compliance period stage, which includes the monitoring of
the project for any defects that should be covered by warranty guarantees. Under
traditional procurement this will also involve the final financial reconciliation of costs with
any retention monies being released to the contractor.
Stage 9 – Undertake Benefits Realisation Review
The purpose of this stage is to carry out a review of the objectives and benefits which were
set out in the Business Case. The responsibility for undertaking the review rests with the
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
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sponsoring and the review should be undertaken 6 to 12 months after the project has
come into service.
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
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STAGE
Stage 1
MAJOR CAPITAL PROJECTS PROCESS
Service Requirements and Drafting of PID
PID to relevant
Subcommittee
Develop User Requirements Document & Rough
Order of Estate Information (SOC)
SOC to relevant
Subcommittee
Stage 3
Develop Option Study Brief
AD Planning and
Projects and DD
Finance to sign
off Option Brief
Stage 4
Carry out Option Study (OBC)
OBC to BCC
then relevant
Subcommittee/
TMC/FPIC
Stage 5
Develop Preferred Option (FBC)
FBC to BCC
then relevant
Subcommittee/
TMC/FPIC
Stage 6
Secure Contract Commitment
Progress
Reports to
Capital Delivery
Group
Stage 7
Implement Project & Occupation/Commissioning
Project Sponsor
to oversee
implementation
Stage 8
Manage Compliance & Post Project Evaluation
Stage 9
Undertake Benefits Realisation Review
Stage 2
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
Report to
relevant
Subcommittee/
TMC/FPIC
Report to
relevant
Subcommittee/
TMC/FPIC
22 of 33
Annex D
Capital Projects Building Planning, Design and Control Process
Minor Capital Projects under £100k
The Minor Works Process has been designed to ensure that appropriate standards of
governance are maintained and the appropriate Business Case process can be
completed with approvals obtained at the relevant stages without making the process over
bureaucratic. The process is outlined in a flowchart below. This Planning, Design and
Control process must be followed for all minor building works above £25,000 but below
£100k. For minor ad-hoc works below £25,000 and undertaken by Estates (such as
converting an office to a bathroom), simplified procedures will apply.
Minor works with a capital value below £100k will need to complete a mini business case
and follow the approval process.
Stage 1 - Develop Ward or Department Requirements & Justification
The purpose of this stage is to allow the Division or Ward to record their outline
requirements. These should be submitted to the Divisional General Manager and if
approved will be submitted to the Trust’s Management Committee for approval to proceed
to stage 2.
Stage 2 - Develop User Requirements Document and Rough Order of Estate
Information
The Ward or Department need to transfer the Statement of Justification into a User
Requirements Document. The Planning & Project Team will assist in this process and
based on an agreed User Requirements Document prepare a Rough Order of Estates
Information (ROEI) which will help identify the possible range of options, costs and
programme to deliver a solution that meets the requirement. It is anticipated that ROEIs
will be undertaken using internal RCHT resources, but where specialist external support
is needed this must be identified and funded from the Division’s revenue budget.
Stage 3 – Develop Preferred Option
The preferred option is developed by the project team to produce sufficient
documentation which will result in a robust pricing agreement in the form of a
Guaranteed Maximum Price (under Procure 21 Plus arrangements) or a Contract Sum
under traditional procurement arrangements. The output of this stage is a Project
Execution Plan outlining the cost, timescale and detail works information. Risk
management continues to be undertaken throughout this to agree responsibilities and
ownership. The final output of this stage is to produce a Business Case which will need
to be presented to the relevant subcommittee where there will be a robust challenge of
business need and user requirements and confirmation that the affordability/cost of
projects in resource terms has been fully exposed before it is approved. A mini business
case is normally required for cases with a capital value of up to £100k.
Stage 4 - Secure Contract Commitment
During this stage and upon receipt of the approval and funding confirmation the team
prepare and agree the contract documentation in order to award the contract to a
supplier. Contract documentation to be completed includes the Works Information and
Pricing Statement, Risk Register and Project Execution Plan.
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
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Stage 5 - Implement Project and Accept for Occupation
This is the implementation stage, which includes the remainder of the design and the full
construction stage of the project. During this stage, the contractor and supply chain will
deliver the project in line with the contract and within the time, quality and costs
parameters agreed in the contract. The output at the end of this Stage is a completed,
ready for acceptance facility.
Stage 6 - Manage Compliance Period and Close the Contract
The purpose of this Stage is to undertake the Post Project Evaluation with key
stakeholders and for the Divisional Manager to sign this off. This is also the Compliance
period stage, which includes the monitoring of the project for any defects that should be
covered by warranty guarantees. Under traditional procurement this will also involve the
final financial reconciliation of costs with any retention monies being released to the
contractor.
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September 2014 (revised March 2016)
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STAGE
MINOR NEW WORKS DEVELOPMENT
Stage 1
Ward or Departmental Requirement
& Justification
TMC Approval
Stage 2
Develop User Requirements Document & Rough
Order of Costs & Programme Information
TMC Approval
Stage 3
Develop Preferred Option
Approval by
Subcommittee
Stage 4
Secure Contract Commitment
Progress reports
to Subcommittee
Stage 5
Implement Project & Accept for Occupation
Stage 6
Manage Compliance Period & Close Contract
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
AD Planning &
Projects to
oversee
implementation
Report to
Divisional
General Manager
25 of 33
Annex E
Schemes involving the Disposal of Land or Buildings
Health Building Note 00-08: Estatecode provides guidance to all NHS organisations on the
checks and processes to be carried out when an NHS organisation is considering the
disposal of land and/or buildings (including lease arrangements). The main items to be
considered are:

Once land and/or property has been identified as surplus to the Trust, the Trust
has a responsibility to initially offer the land for sale to other parts of the NHS,
the Local Authority or in certain circumstances previous owners (under Crichel
Down Rules) before attempting to dispose of it on the open market

A cost-benefit analysis of the disposal options should inform the business case.

If the sale of land and property is a key part of meeting re-provision costs,
consideration should be given to obtaining a preliminary report covering market
conditions, planning constraints and legal title in the context of the planned
disposal, and timescales, before the business case is finalised.

Covenants affecting the land and property may prevent its sale at the anticipated
or higher price.

Whenever a property is identified as potentially surplus to requirements, the
business case should identify the holding costs, including any exceptional
maintenance, security or other costs.

An assessment should be made of the property’s suitability for sale in its present
state, and what (if any) work may need to be done to prepare it for sale.

The business cases should identify the need for receiving a receipt within any
particular financial year, and evaluate any exceptional risks that might arise
which may delay completion of the transaction.

The Trust should engage the services of the Valuation Office to assist in
assessing/evaluating the different purchase options from alternative purchasers

Appropriate overage and clawback provisions should be reflected in any sale
agreement and its potential impact modelled in the business case sensitivity
analysis
All schemes that involve the disposal of land and/or buildings must demonstrate that the
scheme is compliant with the requirements of Estatecode.

Business cases with a capital disposal impact of under £500k can be presented
using the short internal business case but must still provide all information
required to demonstrate compliance with Estatecode. They will be referred via
the Director of Finance to the Executive Directors for consideration and authority
to proceed if approved by the Director of Finance and at least one other
Executive Director and retrospectively reported to the Finance, Performance
and Investment Committee.
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
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
Business cases with a capital disposal impact of over £500k will require
o A Full Business Case / High Value Equipment Case and will need to be
reviewed and approved by the Trust Management Committee before being
presented to the Finance, Performance and Investment Committee for
consideration and authority to proceed.
o Schemes over £1m will require review and approval by the Trust
Management Committee before being considered by the Finance,
Performance and Investment Committee who in turn will be required to
make a recommendation to the Trust Board who will consider the scheme
before approval
o Schemes over £5m in capital value will subsequently need the Full
Business Case / High Value Equipment Case reformatted into the five case
structure (Strategic, Economic, Financial, Commercial and Management) to
go to the NHS Trust Development Authority for approval.
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
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Appendices 1 to 15 - Contact Capital Business Case Manager
Below is a list of Appendices that are referred to in the main document.
These are available from:
Sue Hick, Capital Business Case Manager, Finance Department , Carlyon House
01872 258053. e mail: [email protected]
or
Graeme Booth, Financial Planning Manager, Finance Department, Carlyon House
01872 258017. e mail: [email protected]
Appendix Ref
1
2
3
3a
4
4a
5
5a
6
6a
7
7a
8
9
10
11
12
13
14
15
Title
Investment Proposal
Mini Business Case Template
Short Internal Business Case Template
Business Case Production (Short case) - Guidance notes
High Value Equipment Case Template
High Value Equipment Case - Guidance Notes
Project Initiation(PID) Template
Business Case Production PID – Guidance Notes
Strategic Outline Case (SOC) Template
Business Case Production SOC – Guidance Notes
Outline Business Case (OBC) and Full Business case(FBC) Template
Business Case Production OBC & FBC – Guidance Notes
Business Case Financial Workbook
Quality Impact Assessment (QIA)
Equality Analysis Screening
Post Project Evaluation Questionnaire
Business Case Checklist
Sustainable Development Management (SDMP) Checklist
Space Allocation Request Form
Post Benefit Realisation Review
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
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Appendix 15. Governance Information
Document Title
Capital and Revenue Business Case Production
and Approval Process
Date Issued/Approved:
22 September 2014 (revised March 2016)
Date Valid From:
22 September 2014
Date Valid To:
31 August 2017
Directorate / Department
responsible (author/owner):
Finance Department, Susan Hick , Capital
Business Case Manager
Susan Hick, Capital Business Case Manager
01872 258053
Contact details:
Brief summary of contents
Details the requirements and approvals process for
the production of Capital and Revenue Business
cases.
Suggested Keywords:
Business Cases
RCHT

Target Audience
Executive Director responsible
for Policy:
Date revised:
This document replaces (exact
title of previous version):
PCH
CFT
Director of Finance
June 2010, May 2011, April 2012, August 2014,
March 2016.
Capital and Revenue Business Case Production
and Approvals Process
Approval route (names of
committees)/consultation:
Trust Management Committee (TMC)
Divisional Manager confirming
approval processes
Director of Finance
Name and Post Title of additional
signatories
Not Required
Signature of Executive Director
giving approval
Publication Location (refer to
Policy on Policies – Approvals
and Ratification):
Document Library Folder/Sub
Folder
Links to key external standards
KCCG
Karl Simkins
Internet & Intranet

Intranet Only
Finance/ Finance General
Key Governance Document
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
29 of 33
Related Documents:
Standing Orders, Standing Financial Instructions,
Scheme of Delegation, Investment Policy
Training Need Identified?
No
Version Control Table
Date
January
2010
Version
Summary of Changes
No
V1 New document introduced to clarify Business
case approvals
June 2010
V2
May 2011
V3
May 2012
V4
August
2014
V5
Refresh - Minor amendments to include
approval for capital projects by CSDP Board
and changes to the delegated limit to £8m
(formerly
£3M).
Major
rewrite
of document to reflect current
Best Practice.
Changes Made by
(Name and Job Title)
Chris Cale Deputy
Director of Finance
Chris Cale Deputy
Director of Finance
Chris Cale Deputy
Director of Finance
Integration of Investment policy principles and Chris Cale Deputy
update of approval process.
Director of Finance/
Garth Weaver
Associate Director
Refresh – Review and update to reflect:
Planning and Projects
 Changes to RCHT Governance structure.
 Piloting of Service Line Management and
Reporting.
Sue Hick, Capital
 Minor changes to templates based on
Business Case
practical experience over the last 12
Manager
months.
 Addition of new High Value Equipment
Case Template.
 Update of Annexes and Appendices.
Refresh – Review and update to reflect:
March
2016


V5.1

Changes to RCHT Governance structure.
Sue Hick, Capital
Addition of an Investment Proposal
Business Case
template.
Addition of a mini business case template Manager
Update of Annexes and Appendices.
All or part of this document can be released under the Freedom of Information
Act 2000
This document is to be retained for 10 years from the date of expiry.
This document is only valid on the day of printing
Controlled Document
This document has been created following the Royal Cornwall Hospitals NHS Trust
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
30 of 33
Policy on Document Production. It should not be altered in any way without the
express permission of the author or their Line Manager.
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
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Appendix 16. Initial Equality Impact Assessment Form
Name of the strategy / policy /proposal / service function to be assessed (hereafter referred to
as policy) (Provide brief description): Capital and Revenue Business case Production and
Approval Process
Directorate and service area:
Is this a new or existing Policy?
Finance
Existing – updated
Name of individual completing
Telephone:
assessment:
01872 258029
1. Policy Aim*
To ensure good governance is maintained for the approval of
Who is the strategy /
expenditure commitments.
policy / proposal /
service function
aimed at?
2. Policy Objectives*
To ensure that Capital and Revenue expenditure is robust.
3. Policy – intended
Outcomes*
That the Trust Board discharges its responsibilities for the
management of Capital and Revenue Business cases correctly.
4. *How will you
measure the
outcome?
5. Who is intended to
benefit from the
policy?
6a) Is consultation
required with the
workforce, equality
groups, local interest
groups etc. around
this policy?
Through regular management review and by audit review by the
Trust’s Internal and External Auditors.
b) If yes, have these
*groups been
consulted?
n/a
The Trust – by ensuring robust processes are in place.
No
n/a
C). Please list any
groups who have
been consulted about
this procedure.
7. The Impact
Please complete the following table.
Are there concerns that the policy could have differential impact on:
Equality Strands:
Age
Yes
No
X
Capital and Revenue Business Case production and Approval process
Rationale for Assessment / Existing Evidence
The guidance is neutral in its impact on equalities.
September 2014 (revised March 2016)
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Sex (male, female, trans-
X
gender / gender
reassignment)
Race / Ethnic
communities /groups
X
Disability -
X
Learning disability, physical
disability, sensory impairment
and mental health problems
Religion /
other beliefs
X
Marriage and civil
partnership
X
Pregnancy and maternity
X
Sexual Orientation,
X
Bisexual, Gay, heterosexual,
Lesbian
You will need to continue to a full Equality Impact Assessment if the following have been
highlighted:
 You have ticked “Yes” in any column above and
 No consultation or evidence of there being consultation- this excludes any policies
which have been identified as not requiring consultation. or
 Major service redesign or development
No
8. Please indicate if a full equality analysis is recommended.
Yes
X
9. If you are not recommending a Full Impact assessment please explain why. N/a
Signature of policy developer / lead manager / director
Karl Simkins
Names and signatures of
members carrying out the
Screening Assessment
1. Garry Cooper
2. Graeme Booth
Date of completion and submission
Senior Finance Manager
Financial Planning Manager
Keep one copy and send a copy to the Human Rights, Equality and Inclusion Lead,
c/o Royal Cornwall Hospitals NHS Trust, Human Resources Department, Knowledge Spa,
Truro, Cornwall, TR1 3HD
A summary of the results will be published on the Trust’s web site.
Signed _______________
Date ________________
Capital and Revenue Business Case production and Approval process
September 2014 (revised March 2016)
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