Project Appraisal Unit
Publications Gateway Reference 00368
Version
2.6
Date
19th November 2013
Reviewers
P Richards
Overview of changes to document
Final Version
FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Status
For Issue
(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.
Section 2.
Section 3.
Main Checklist where all major items (including estate oriented items) are listed. To be completed by the Sponsor and submitted with the
business case.
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.
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.
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 1 of 42
Section 4.
Section 5.
Section 6.
Schedule of PAU Comments on the Estates Checklist. Prepared by the NHS England PAU Estates, otherwise as in Section 2.
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.
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&region=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
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 2 of 42
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)
Name
This Review Date
Note
PAU Use Only
NHS England notes only
Any key comments on the project
proposed to aid reviewers
PAU Use Only
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 3 of 42
Comments and Observations from Partner organisations where applicable e.g. NHS Property Services (where appropriate)
Comments from Partner 1
organisation
Name
Local Business Case
Reference Number
This Review Date
Note
Name
This Review Date
Note
l
Partner notes only
Any key comments, evidence or
supporting sections on the project
proposed to aid reviewers.
Comments from Partner 2
organisation
Partner notes only
Any key comments, evidence or
supporting sections on the project
proposed to aid reviewers.
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 4 of 42
FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Section. 1 Main Checklist
MANDATORY COMPLETION REQUIRED FOR ALL BUSINESS CASE SUBMISSIONS > £3 MILLION
1.
2.
Key Content of section
Guidance and links to
guidance
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Strategic Case
Evidence of relevant
approvals
Evidence of relevant approvals preceding this stage of
the capital development lifecycle.
Yes
Both
CCG and NHS
England Board
approvals
Evidenced via a supporting letter and Board papers (or
equivalent) that an appropriately informed decision has
been made.
Yes
Both
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
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).
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
Both
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
5.
https://www.gov.uk/government/new
s/jsnas-and-joint-health-andwellbeing-strategies-explained
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Both
Page 5 of 42
Key Content of section
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
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.
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.
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.
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
Guidance and links to
guidance
Yes
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Strategic Case
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
Both
Both
https://www.gov.uk/government/pub
lications/operational-guidance-tothe-nhs-extending-patient-choice-ofprovider--2
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Both
Both
Page 6 of 42
Heading
Key Content of section
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?
Guidance and links to
guidance
Required
OBC, FBC,
both
Local Business Case Reference Number
Appendix
suggested
Item No.
Strategic Case
12.
Have appropriate
consultations been
carried out?
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
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:
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.




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?
Yes
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
Both
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.
Both
https://www.gov.uk/government/upl
oads/system/uploads/attachment_d
ata/file/216051/dh_118085.pdf
SMART = Specific, Measurable,
Attainable, Relevant, Timely.
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Both
Page 7 of 42
19.
20.
Key Content of section
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.
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
21.
Board or Governing
Body approved
Estates Strategy
22.
Board or Governing
Body approved
Development
Control Plan
23.
GPU guidance on
administrative
accommodation
space allowances
(100%
administrative
accommodation
business case only)
Guidance and links to
guidance
NHS Constitution Interactive
version:
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Strategic Case
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
http://api.ning.com/files/r4jRrgtj18Sjl
h6pO5wJIjtteezl6oWr8HpQc5BDhq
CKI-8mfq1gOKqxMOihTY6l7oHflrXxM0OS4m3949p2TjoxShIZef/NHSConstitutionpdf.pdf
Yes
http://www.improvement.nhs.uk/Def
ault.aspx?alias=www.improvement.
nhs.uk/qipp
Both
This link will change. Operational in
Aug. 2013
See separate Estates section on pages 26 to 36 on the
Master (page numbers may change as data is added)
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
Both
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/new
s/government-property-strategycuts-millions-in-costs
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 8 of 42
25.
Board or Governing
Body approved
Premises Assurance
(PAM) self –
assessment.
Board or Governing
Body approved
Sustainable
Development Plan
See separate Estates section on pages 26 to 36 on the
Master (page numbers may change as data is added)
Item No.
26.
NHS England PAU
use only during BC
review.
Best practice, not compulsory
Local Business Case Reference Number
Heading
The economic case
demonstrates Value
for Money in line with
the relevant guidance
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
Best practice, not compulsory
See separate Estates section on pages 26 to 36 on the
Master (page numbers may change as data is added)
Economic case
Guidance and links to
guidance
Required
OBC, FBC,
both
Key Content of section
Appendix
suggested
Heading
Key Content of section
Evidence that the economic case delivers value for
money and conforms to HM Treasury Green Book
(2003) requirements and other relevant economic
appraisal guidance.
The full economic appraisal must be provided at OBC to
justify selection of the preferred option to be taken
forward to FBC.
At FBC, the Economic Appraisal undertaken at OBC can
be referenced in summary form and doesn’t need to be
undertaken again unless there has been:


A significant change in the scope of the
preferred option
Capital costs have increased by more than 5%
or revenue costs have increased by more than
10%.
Yes
Guidance and links to
guidance
For options appraisal guidance:
Required
OBC, FBC,
both
24.
Local Business Case Reference Number
Appendix
suggested
Item No.
Strategic Case
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
http://www.hmtreasury.gov.uk/data_greenbook_in
dex.htm
For any other specific related
guidance please refer to the NHS
England Project Appraisal Unit for
advice.
A copy of the Generic Economic
Model (GEM) is available on
application to members of the PAU
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 9 of 42
Guidance and links to
guidance
Required
OBC, FBC,
both
Local Business Case Reference Number
Appendix
suggested
Item No.
Economic case
Heading
Key Content of section
27.
The business case
considers a long list
of options
Has a wide-ranging long-list of options (including a donothing or do-minimum) for achieving the investment
objectives been drawn up? Does it reflect the views of all
stakeholders?
There should be a long list of
options discussed to derive the
shortlisted options
OBC
28.
There are clear
criteria for short
listing options.
Criteria for the short listing of options are clear. They
derive clearly from the SMART objectives set out in the
Strategic case, and have the reasons for their relative
weightings set out.
There should a clear criteria for the
assessment of all the options
OBC
29.
Net Present Value
for short listed
options
Costs, cash releasing benefits and optimism bias have
been combined in the GEM to establish the net present
value for short listed options.
Need to ensure that these benefits
are included in the GEM
OBC
Non-cash releasing benefits have also been monetised
where possible proportionate to the scale of the
investment and a net present value calculated for them.
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
A copy of the Generic Economic
Model (GEM) is available on
application to members of the PAU
Risks have been quantified where possible and included
as a discounted risk adjustment on the GEM output
summary.
30.
There is clear
reconciliation
between OB (Outline
Business Case) cost
forms to GEM initial
capital expenditure
inputs
31.
Cost indices and
Regional Location
Factors
32.
Capital Investment
Manual (CIM) Cost
Forms; 1, 2 3 and 4.
A reconciled statement is produced and provided
Note that planning contingency
included on OB form is a risk
adjustment and so not included in
main body of the GEM. It is added
to quantified revenue risks and
included as a discounted risk
adjustment on the GEM output
summary.
OBC
See separate Estates section on pages 26 to 36 on the
Master (page numbers may change as data is added)
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 10 of 42
33.
Optimism Bias
Key Content of section
Also see separate Estates Section on pages 26 to 36 on
the Master (page numbers may change as data is
added)
Guidance and links to
guidance
https://www.gov.uk/government/pub
lications/green-booksupplementary-guidance-optimismbias
Optimism Bias and mitigation have been carried out in
accordance with the optimism bias guidance on DH
(NHS build specific) and/or HMT websites.
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Economic case
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
Evidence of a workshop producing the Optimism Bias
Must be consistent with Cost Forms and Risk Register
34.
Costs related to
base year are
clearly stated.
Costs have been shown in constant (uninflated) prices,
with the base year clearly stated and the current year
shown as Year 0
35.
All relevant costs
have been identified
and properly
assessed.
All relevant capital costs, revenue costs, opportunity
costs, health organisational development costs, lifecycle
costs (building related and equipment/IT replacements),
residual values, avoided costs and costs borne by others
have been identified and properly assessed. The costs
should cover the whole life of the investment usually and
care should be taken not to double count them.
OBC
Yes
Note that costs must be assessed
on a ‘bottom-up’ basis: that is, the
case must show the total costs of
each option, not just costs
incremental above existing levels of
expenditure.
OBC
Yes
A full reconciliation between
revenue entries to the GEM and
revenue costs detailed in the
Financial Case will aid reviewers.
OBC
These should be presented using GEM.
The lifecycle cost should be derived from the technical
advisors assessment
Descriptions of how all costs have been quantified
should be available along with supporting spreadsheets.
36.
Costs that have
been excluded must
be clearly explained
and itemised where
appropriate.
Does the economic appraisal exclude sunk costs (those
already incurred, e.g., project management), transfer
payments (e.g. redundancy payments, VAT, local
authority rates), capital charge, depreciation, and other
non-cash costs?
Only income from non-government organisations should
be included.
Descriptions of how all costs have been quantified
should be available along with supporting spreadsheets
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 11 of 42
37.
Heading
Key Content of section
The appraisal period
is appropriate to the
life of the asset.
The appraisal period is appropriate to the life of the
asset generated by each option (e.g. the economic life of
a new building is generally considered to be 60 years)
Where the appraisal period is
different for alternative options
discounted costs must be
expressed as equivalent annual
costs rather than net present costs.
A view from the technical advisor should give the
economic life of the asset generated by each option and
must be stated.
38.
Benefits have been
identified for all short
listed options
through consultation
with stakeholders
Evidence needs to be provided from the benefits
workshop as to who attended and how the results were
shared
39.
Benefits are
consistent with
SMART objectives
Evidence is provided that the benefits are consistent with
the SMART objectives identified in the strategic case
40.
Benefits are
quantified in line
with Green Book
and DH guidance on
valuing benefits.
All benefits have been quantified in line with Green Book
and DH guidance on valuing benefits. Where they are
not, explanations are given as to why they cannot be
quantified and if they have been separately qualitatively
evaluated.
Guidance and links to
guidance
Yes
Required
OBC, FBC,
both
Local Business Case Reference Number
Appendix
suggested
Item No.
Economic case
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
OBC
OBC
OBC
For capital investment schemes
greater than £35million, and service
reconfiguration business cases,
confirmation that valued benefits
exceed risk adjusted costs by a
ratio of 2.4 to 1. This ratio represent
the ratio of shadow opportunity
costs of using DH funds to valued
societal benefits and is applied to all
spending decisions across DH to
assess vfm
OBC
http://www.hmtreasury.gov.uk/data_greenbook_in
dex.htm
41.
Valued benefits
have been
discounted over
period of appraisal
Have valued benefits been discounted over period of
appraisal?
OBC
Discount rate should be 3.5% if benefits are valued in
real terms or 1.5% if Quality-Adjusted Life Years have
been used in valuing benefits
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 12 of 42
Heading
Key Content of section
Guidance and links to
guidance
Required
OBC, FBC,
both
Local Business Case Reference Number
Appendix
suggested
Item No.
Economic case
42.
Benefits are stated
in constant prices
and consistent with
cost assessment
Have the values of benefits been stated in constant
(uninflated) prices and consistent with cost assessment?
OBC
43.
Weights and scores
for qualitative
benefits have been
sufficiently justified
There is evidence that weights and scores for qualitative
benefits have been sufficiently justified for non-quantified
benefits
OBC
44.
Valued benefits are
consistent with the
benefits realisation
plan
The valued benefits are consistent with the benefits
realisation plan as set out in the management case.
OBC
There is a clear plan
to ensure monitoring
and evaluation of
the valued benefits
There is a clear plan to ensure monitoring and
evaluation of the valued benefits.
Risks associated
with each option
have been
quantified and
costed
The risks associated with each option have been
quantified and costed in a matrix (i.e. probability of
occurrence multiplied by the cost impact showing:
45.
46.
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Reconciliation between the GEM and the benefits
appraisal
Also see Post Project Evaluation
(PPE) below
OBC
A time frame, accountable owner and the criteria for
measurement have been identified.
a.
b.
c.
d.
Yes
Both
which party is responsible for managing risks
the probability of the risk
the impact of the risk
the expected cost of each risk
A timetable is also set out to revisit and evaluate the risk
allocation matrix.
A narrative should be provided explaining the
methodology for the quantification of risks and how the
probability has been derived
47.
Preferred option is
consistent with the
appraisal data.
The preferred option is consistent with the results of the
cost, benefits and risk appraisals. If not, why not?
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
OBC
Page 13 of 42
48.
Heading
Appropriate
sensitivity analyses
have been
undertaken.
Key Content of section
Appropriate sensitivity analyses have been performed on
the key variables to demonstrate that the preferred
option remains value for money and robust under a
range of plausible scenarios compared with other short
listed options, including worst case scenarios.
Guidance and links to
guidance
Required
OBC, FBC,
both
Local Business Case Reference Number
Appendix
suggested
Item No.
Economic case
Yes
OBC
Yes
Both
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
A section on sensitivity options should be discussed
The sensitivity spread sheets within the GEM should be
completed
Evidence that a value for money procurement
assessment has been carried out to support the
preferred option.
Item No.
Commercial Case
50.
Heading
Procurement process
to be followed is in
accordance with EU
regulations
Local Business Case Reference Number
Key Content of section
Guidance and links to
guidance
The procurement process to be followed, in accordance
with EU regulations, is set out and confirms the procedure
to be used. For public capital the Open, Restrictive,
Competitive Dialogue or Negotiated procedures can be
used provided there is justification for the particular route
adopted.
Required
OBC, FBC,
both
Value for money of
procurement
Appendix
suggested
49.
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
Report on Procurement Options from the health
organisation’s technical advisor. This needs to identify
the recommended procurement method.
Please describe briefly the goods, services or
buildings/premises to be procured
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 14 of 42
51.
Procurement
strategy is set out
and is realistic and
robust
Key Content of section
The procurement strategy, (for example, the process of
taking the shortlist of bidders to a preferred bidder) is set
out and is otherwise realistic and robust and there is a
credible timetable and sign-off from the health
organisation’s advisors that it complies with procurement
legislation.
Guidance and links to
guidance
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Commercial Case
Yes
Both
Yes
Both
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Organisation’s Advisor letter/ Report on Procurement
Options
52.
53.
54.
Work needed to
complete the
necessary
procurement
documents is set out
and the required
resources and
timetable are
identified
The work needed to complete the necessary
procurement documents is set out and the required
resources and timetable are identified.
Procurement
strategy and option
appraisal:
Also see separate Estates Section on pages 26 to 36 on
the Master (page numbers may change as data is
added)
http://www.procure21plus.nhs.uk/co
ntacts/
DH Procure 21+
P21+ should be the default option for construction
projects. Where it is not used, sufficient justification must
be provided as to why as this alternative approach
contributes to the aims and outcomes of HM
Government. Construction Strategy.
https://www.gov.uk/government/pub
lications/government-constructionstrategy
Procurement
strategy and option
appraisal :
If Procure21+ is not the preferred option the reason must
form part of the options appraisal. See 54 above.
CIM (Capital Investment Manual)
Other
A report from the health organisation in conjunction with
the advisers with realistic timetable is provided.
Both
Both
http://webarchive.nationalarchives.g
ov.uk/20130107105354/http://www.
dh.gov.uk/en/Publicationsandstatisti
cs/Publications/PublicationsPolicyA
ndGuidance/DH_4119896
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 15 of 42
55.
Heading
Key Content of section
Procurement: Local
Improvement
Finance Trust (LIFT)
Any capital development commissioned for
primary/community care and procured under LIFT using
an LPA or LRA should be tested for vfm against the LIFT
procurement process. Where LIFT is deemed best Value
for money, LIFT procurement should be followed.
Yes
Yes
56.
Clear and realistic
contractual key
milestones and
delivery dates are
set out
Key Project Plan with important milestones. A detailed
and summary project plan has been produced.
57.
Key Commercial and
Legal Issues
Summary
Provide a summary commentary on all key scheme
specific commercial and legal issues as appropriate for
OBC and FBC stages of business case development.
58.
Equipment and
related services to
be included in the
scheme have been
set out
The scope of the equipment and related services to be
included in the scheme has been set out and the
procurement strategy for these described. The Business
Case sets out:
a.
b.
c.
Guidance and links to
guidance
If the procurement route is LIFT, the
LIFT business case checklist (May
2009) can be found at:-
Required
OBC, FBC,
both
Local Business Case Reference Number
Appendix
suggested
Item No.
Commercial Case
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
OBC
http://webarchive.nationalarchives.g
ov.uk/+/www.dh.gov.uk/en/Managin
gyourorganisation/NHSprocurement
/Publicprivatepartnership/NHSLIFT/
NHSLIFTguidance/index.htm
Both
Both
Yes
Both
any existing equipment to be transferred;
new equipment being procured in advance of
the scheme: and
equipment being procured as part of, or in
parallel with the scheme.
An Equipment Strategy has been produced together with
a Project Plan which has identified the timeframes and
costs.
The business case must confirm:



which organisation procures the equipment;
which organisation funds the equipment;
which organisation will own, operate and
maintain/replace the equipment
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 16 of 42
Key Content of section
59.
IM&T provision is in
line with DH policies
Evidence that IM&T provision is in line with DH policies.
A Project Plan has identified the timeframes and costs,
and should identify any critical IM& T with reference to
the relevant organisation’s IM& T Strategy (or
equivalent).
60.
Assessment of
market interest must
An assessment of market interest is included together
with any market soundings to date. Any factors that may
have a detrimental impact on market interest are
discussed and mitigation strategies included.
61.
Schedule of
Accommodation and
Derogation
62.
DH Consumerism
issues
63.
Clinical and nonclinical adjacency
review
64.
Achieves
compliance with DH
>50% single ensuite bedrooms
65.
The disposal /
acquisition
requirements of this
business case are
explained
66.
Drawings 1:200
67.
Drawings 1:50
Guidance and links to
guidance
Yes
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Commercial Case
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
Both
See separate Estates section on pages 26 to 36 on the
Master (page numbers may change as data is added)
Also see separate Estates Section on pages 26 to 36 on
the Master (page numbers may change as data is
added)
Guidance on the acquisition and
disposal of property can be found in
Estatecode;
The business case identifies any acquisitions or
disposals that are associated with the proposed
development. The business case contains the details
justifying the disposal/acquisition in line with the
recommendations found in NHS Estatecode.
https://www.gov.uk/government/pub
lications/guidance-for-nhsorganisations-on-management-ofland-and-property
Both
See separate Estates section on pages 25 to 35 on the
Master (page numbers may change as data is added)
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 17 of 42
68.
Commitment to
Government
Construction
Strategy
69.
Compliance : Health
Building Note (HBN)
compliance
70.
Compliance : Health
Technical
Memorandum (HTM)
71.
Compliance :
BREEAM
assessment
72.
Compliance : Fire
safety (Fire Code)
73.
Compliance :
Infection Control
74.
Compliance: Single
sex accommodation
75.
Design/project
solutions are
appropriate and, in
addition, will actively
support healthcare
outcomes
76.
Design Review:
ASPECT
77.
Design Review:
External review
panel
78.
Design Review / DQI
Key Content of section
Guidance and links to
guidance
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Commercial Case
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Page 18 of 42
79.
Heading
Key Content of section
Planning permission
Also see separate Estates Section on pages 26 to 36 on
the Master (page numbers may change as data is
added)
Yes
A copy of the planning application, letter of approval from
the Local Authority and schedule of any planning
conditions and costs is provided.

NB: FBC will not be approved
without planning approval (where
this is required) or change of use
approval (where this is required)
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
Planning
https://www.planningportal.gov.uk/w
ps/portal/genpub_LocalInformation?
docRef=LocalInformation&scope=2
02&langid=0
On schemes where, exceptionally, Planning Permission
cannot be achieved at OBC, the organisation submitting
the OBC must be able to demonstrate that planning
authorities have no major objections to the scheme. The
form of that assurance can be considered on a case by
case basis.

Guidance and links to
guidance
Required
OBC, FBC,
both
Local Business Case Reference Number
Appendix
suggested
Item No.
Commercial Case
Change of Use
https://www.gov.uk/planningpermission-england-wales/whenyou-need-it
strategy to engage the local planning authority to
minimise forward risks is described
the impact of any significant conditions included in the
planning permission or communications with the
planning authority are set out, and
Evidence must link with Risk Register and cost forms for
affect /compliance with s106, s278 etc. requirements.
This item should also include reference to any judicial
review period that may apply and NHS England’s
expectation that works will not commence until any JR
period has ended.
80.
DH Energy and
sustainability targets
See separate Estates section on pages 26 to 36 on the
Master (page numbers may change as data is added)
81.
Current guidance
and requirements on
RoE/TUPE/Pension
and consultation
where this applies
Confirmation that plans accord with current guidance
and requirements on RoE/TUPE/Pensions and that there
are plans for consultation in accordance with the
law/guidance.
Compliance: Health
organisation Travel
Plan
Evidence of the current Board or Governing Body
approved document noting that where local planning
consent is required this is likely to be a condition of
approval at FBC
82.
Yes
Both
A copy of the legal advice received and a copy of the
health organisation’s HR Director accepting this or why
they disagree must be provided
http://www.sdu.nhs.uk/documents/p
ublications/Activetravel2011.pdf
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Both
Page 19 of 42
83.
Source of funding is
confirmed
Key Content of section
Guidance and links to
guidance
Evidence that a source of funding has been confirmed
(capital and revenue) e.g. NHS England capital, NHS
Property Services Ltd Capital, NHS LIFT investment.
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Financial Case
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
Must quantify and identify (a) type of capital funding and
(b) source of funding.
Must cross check and relate to relevant plans at NHS
England AT/RT NHSPS and NHS TDA.
Also see 84 below.
84.
The scheme is
affordable within the
health economy
Evidence that the scheme is affordable within the health
economy and is included in the CCG/NHS England
financial plan (as appropriate) and is consistent with
commissioning plans. It must cover the capital and
revenue consequences (including recurrent and nonrecurrent consequences) over the life of the project and
be validated by NHS England. If material, these
consequences should be identifiable within the
CCG/NHS England Area Team/NHS England Regional
Team Financial Strategy as appropriate.
Both
Financial interdependencies with other projects are
identified and explained.
Where a local health economy is in financial deficit, the
Business Case must explain how the scheme will
contribute to the recovery plan
85.
Land sale proceeds
built into the
financial case
Use of land sale proceeds are built into the financial
case and has been agreed with all relevant parties e.g.
NHS Property Services, Department of Health.
Both
Any cost benefits or dysbenefits to the sponsoring NHS
organisation/s linked to the acquisition or disposal of
land as part of the business case are clearly stated, and
the net financial impact on them made explicit in the
financial modelling and affordability analysis.
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 20 of 42
86.
Heading
Key Content of section
New resources are
available to support
the scheme and any
efficiency savings as
a consequence of
the scheme are
based on
reasonable
assumptions
The level of new resources available to support the
scheme and any efficiency savings as a consequence of
the scheme are based on reasonable assumptions
including:
1.
2.
3.
4.
5.
6.
7.
8
Guidance and links to
guidance
Yes
Required
OBC, FBC,
both
Local Business Case Reference Number
Appendix
suggested
Item No.
Financial Case
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
Income
Expenditure
CIPs
QIPP Savings
Other efficiency savings
Inflation
Growth
Reduction in Backlog maintenance
This should be presented in a nominal terms (inflated)
sources and application statement over at least 5 years
to show any part year and transitional arrangements
during the scheme construction/implementation and
show the normalised position once the scheme is
complete.
Underlying financial planning assumptions align with
NHS England’s planning guidance
Income side of this will be based on PbR tariff
assumptions (national/local, including primary and
community care sector pricing) vs. activity levels - check
that PbR assumptions are consistent with commissioner
assumptions and that activity
assumptions/commissioning intentions are valid
(AT/CCG?).
Expenditure side – validity of the efficiency assumptions
through new ways of working, e.g. clinical safety and
acceptability
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 21 of 42
87.
Impact of Payment
by Results
Key Content of section
The impact of Payment by Results has been considered
in relation to affordability assessment and different
scenarios considered. The activity underpinning the PbR
model is consistent with the CCG/NHS England
commissioning plans.
Guidance and links to
guidance
DH Payment by Results Guidance
is produced annually.
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Financial Case
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
More relevant to acute schemes but PbR is setting
independent (since the introduction of HRG4) and PbR
currencies are being introduced for Mental Health and
Community activity.
Consider Marginal Rate Emergency Tariff rules (MRET),
Emergency Readmissions rules, Best Practice Tariffs
etc. Re scenarios, a base case and worst case based on
activity.
88.
The treatment of
VAT and Stamp
Duty, etc. are clearly
laid out
Appropriate independent expert advice has been sought
around the treatment and impact of VAT and Stamp
Duty, VAT on land, etc. on the scheme is clearly laid out
in the financial models and spread sheets.
89.
Sensitivity analysis
has been carried out
on the relevant
variables in the
affordability analysis
Sensitivity analysis has been carried out on the relevant
variables in the affordability analysis that may have an
impact on the overall commissioning plan. e.g. PbR
modelling from an activity and price perspective as
variables
Both
90.
Alignment between
the business case
and local/regional
QIPP plans
Demonstration of alignment between the business case
and local/regional Quality, Innovation, Productivity and
Prevention (QIPP) plans as understood by the Area
Team and Regional Team?
Both
Costed Equipment
Schedule
See separate Estates section on pages 25 to 35 on the
Master (page numbers may change as data is added)
91.
Yes
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Both
Page 22 of 42
92.
Comprehensive risk
register/log included.
Key Content of section
There is a comprehensive risk register/log included. A risk
management plan is provided in which risks are
appropriately identified, mitigated and managed.
Contingency plans are set out, and risks are allocated to
the most appropriate party.
Guidance and links to
guidance
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Management Case
Yes
Both
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Potential cost overruns are provided for in the
affordability analysis
93.
Benefits register and
a benefits realisation
(delivery) plan
There is a benefits register and a benefits realisation
(delivery) plan, covering all benefits, cash releasing and
non-cash releasing. This should reconcile with the
economic benefits identified and valued in the economic
case. Responsibility for monitoring and achieving
benefits delivery is assigned to named post holders.
Yes
Both
94.
Detailed and
resourced change
management plan
A detailed and resourced change management plan is
included which also shows interdependencies.
Yes
Both
95.
Senior Responsible
Owner is identified
and the reporting
structure is set out
The Senior Responsible Owner is identified and the
reporting structure is set out, including the composition and
terms of reference of the project board and its links to the
health organisation’s Board.
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Both
Page 23 of 42
96.
97.
98.
Heading
Key Content of section
Project team,
capacity
requirements and
skills are set out with
their roles and
responsibilities
Details of the project team, capacity requirements and skills
are set out with their roles and responsibilities, which
include:
a)
a management structure indicating communication
links and reporting responsibilities;
b)
the skills set of the team and any skills gaps are
identified with plans on how they are to be filled,
including any plans to use advisers;
c)
the amount of dedicated project / programme
resource is set out, i.e. full/part-time staff and in what
roles;
d)
what the project management budget is;
e)
the project / programme arrangements are set out;
f)
if a controlled environment such as ICT, use of
PRINCE2 is mandatory;
g)
the role of advisers is set out, including the terms on
which they have been appointed, confirmation of the
breadth of their appointment, and arrangements to
manage their fees;
h)
the extent of senior management and clinical time
has been assessed and factored into resource
requirements;
i)
arrangements and resources are in place to manage
the procurement process, and subsequent contract in
both its construction and operational phases.
Work stream key
milestones and their
interdependencies
with the proposal
are clearly set out
Work stream milestones and their interdependencies
with the proposal are clearly set out and included within
Management Control Plan, e.g., workforce, equipment,
managing the retained estate.
Making the FBC and
addendum public
within a month
following FBC
approval
Arrangements are in place to make the FBC and any
addendum public within a month following FBC approval,
with the executive summary (at least) available on the
relevant health organisation website.
Yes
Guidance and links to
guidance
5 Case Model
Required
OBC, FBC,
both
Local Business Case Reference Number
Appendix
suggested
Item No.
Management Case
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
http://webarchive.nationalarchives.g
ov.uk/+/www.dh.gov.uk/en/Aboutus/
Procurementandproposals/Publicpri
vatepartnership/Privatefinanceinitiati
ve/InvestmentGuidanceRouteMap/
DH_4132026
CIM
http://webarchive.nationalarchives.g
ov.uk/20130107105354/http://www.
dh.gov.uk/en/Publicationsandstatisti
cs/Publications/PublicationsPolicyA
ndGuidance/DH_4119896
Yes
Both
Clear delivery dates and detailed milestones are provided.
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
FBC
Page 24 of 42
99.
Project programme
Key Content of section
Ensure this covers key milestone dates including
approvals, with the works programme consistent with the
cash flow statement in Cost form OB1 and FB1
Yes
Guidance and links to
guidance
5 Case Model
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Management Case
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
http://webarchive.nationalarchives.g
ov.uk/+/www.dh.gov.uk/en/Aboutus/
Procurementandproposals/Publicpri
vatepartnership/Privatefinanceinitiati
ve/InvestmentGuidanceRouteMap/
DH_4132026
CIM
http://webarchive.nationalarchives.g
ov.uk/20130107105354/http://www.
dh.gov.uk/en/Publicationsandstatisti
cs/Publications/PublicationsPolicyA
ndGuidance/DH_4119896
100.
Gateway Risk
Potential Assessment
(RPA)
Gateway Risk Potential Assessment (RPA) has been
completed; there are clear arrangements for reviews.
Confirmation provided that recommendations are being
addressed
http://webarchive.nationalarchives.g
ov.uk/+/www.dh.gov.uk/en/Managin
gyourorganisation/Gatewayreviews/i
ndex.htm
Both
Schemes with high RPA scores of 41+ will require a
mandatory Department of Health Gateway review.
Medium scoring schemes may be subject to Gateway
review at the discretion of the Senior Responsible Owner
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 25 of 42
101.
Arrangements have
been set in place for
Post Project
Evaluation (PPE)
Key Content of section
Plans are in place for post implementation monitoring,
evaluation and where appropriate, participation in wider
aggregate research (and resource is identified). Plans
should be consistent with the benefits identified in the
economic case and in line with overall objectives.
NB confirm that costs for PPE are included in Project
Cost
Arrangements have been set in place for Post Project
Evaluation at an appropriate time period/s after the
facility has been commissioned, including a further
review two years later to assess the long term outcome
and realisation of benefits.
Note
A Stage 5 In-Use Design Quality Indicator (DQI)
assessment is classified as an element of PPE. The DQI
PPE supports the benefits realisation PPE requirement
of the Capital Investment Manual and HM Government
mandatory BIM (Building Information Modelling) “Softlandings” process for 2016.
Guidance and links to
guidance
CIM
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Management Case
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
http://webarchive.nationalarchives.g
ov.uk/20130107105354/http://www.
dh.gov.uk/en/Publicationsandstatisti
cs/Publications/PublicationsPolicyA
ndGuidance/DH_4119896
Gateway
http://webarchive.nationalarchives.g
ov.uk/+/www.dh.gov.uk/en/Managin
gyourorganisation/Gatewayreviews/i
ndex.htm
DQI
http://www.bimtaskgroup.org/govern
ment-soft-landings-videos/
http://www.bimtaskgroup.org/wpcontent/uploads/2013/05/Governme
nt-Soft-Landings-Section-1Introduction.pdf
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 26 of 42
FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Section 2. Estates Checklist (supplement to main checklist)
MANDATORY COMPLETION REQUIRED FOR ALL BUSINESS CASE SUBMISSIONS > £3 MILLION
Key Content of section
8.
Utilisation schedule
This should provide evidence on the use of the facility
showing the frequency of use in relation to days per
week, hours per day / by speciality / user Including the
methodology for establishing this need evidence as to
how utilisation targets have been arrived at , eg cross
referenced to number of sessions and face to face
contacts per room , to arrive at utilisation targets of say
90%, etc.
13.
Consistent with
Government policy
and strategy.
Provide clear background (with rationale set out) to
demonstrate how the scheme is consistent with
mandatory Government Construction Strategy and
strategic policies and priorities.
Yes
Guidance and links to
guidance
Required
OBC,
FBC, both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Strategic Case (Estates)
Chart and text to provide the
evidence (days per week , hours
per day by speciality / user)
Both
https://www.gov.uk/government/pub
lications/government-constructionstrategy
Both
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
https://www.gov.uk/government/pub
lications/construction-2025-strategy
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 27 of 42
21.
Key Content of section
Board or Governing
Body approved
Estates Strategy
Evidence of Estate Strategy (or equivalent) that
articulates need for this capital investment and is Board
or Governing Body approved. Confirmation that this
scheme is in the Business Case and Capital Investment
Pipeline agreed between NHS England Regional Teams,
Area Teams and CCGs.
Yes
Guidance and links to
guidance
Developing an Estates Strategy.
NHS Estates, March 2005
Required
OBC,
FBC, both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Strategic Case (Estates)
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
https://www.gov.uk/government/pub
lications/developing-an-estatestrategy
Sustainable Development in the
NHS. NHS Estates, 2001
The Estate Strategy should cover a defined period in the
future and the starting point for the strategy is to identify
the current and future healthcare service needs of the
local population and the current condition of the
healthcare estate. An estate strategy cannot be
developed in isolation of service planning and should
integrate with local commissioning strategies.
https://www.gov.uk/government/pub
lications/guidance-for-sustainabledevelopment-in-the-nhs
The estate strategy should also address the backlog
maintenance situation and costs in relation to the
existing estate. The business case must show and
quantify how the proposal put forward will contribute to
the reduction in backlog maintenance of the buildings
involved and the NHS estate as a whole.
22.
Board or Governing
Body approved
Development
Control Plan
The Estates Strategy contains development control
plans (DCPs) for the proposed developments identified
within that strategy The business case includes a health
organisation Board or Governing Body approved DCP
for a complex site development. For less complex
developments, site plans detailing access and
relationships with other properties may suffice.
Yes
Guidance available in Developing
an Estates Strategy, NHS Estates
March 2005
Both
https://www.gov.uk/government/pub
lications/developing-an-estatestrategy
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 28 of 42
23.
GPU guidance on
administrative
accommodation
space allowances
100% administrative
accommodation
business case only
Key Content of section
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
Guidance and links to
guidance
8 m2 per person is a space budget
for planning overall space
requirement on an WTE/Space
basis
Required
OBC,
FBC, both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Strategic Case (Estates)
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
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/new
s/government-property-strategycuts-millions-in-costs
The impact of virtual/mobile working together with IM&T
solutions to increase efficient use of space should also
be clearly demonstrated
24.
25.
Board or Governing
Body approved
Premises Assurance
(PAM) self –
assessment
Board or Governing
Body approved
Sustainable
Development Plan
The business case submission should be accompanied
by a completed NHS Premises Assurance Model (PAM)
Standard Assessment Questionnaire for the health
organisation and evidence to demonstrate that this has
been approved by the health organisation’s Board or
Governing Body The NHS PAM promotes the sharing of
best practice and lessons learnt across NHS providers
with a common aim of improving the performance of
premises. It provides a single methodology that is
nationally consistent, peer comparable and aligned with
the wider NHS management landscape
Best practice, not compulsory
Every health organisation should have a board approved
Sustainable Development Management Plan which sets
out clear milestones to measure, monitor and reduce
direct carbon emissions. This will include the impact of
new build and refurbishment projects associated with the
estates strategy.
Best practice, not compulsory
TBA
Link to the NHS PAM model can be
found here:www.dh.gov.uk/health/2013/01/nhspam/
TBA
Guidance on production of SDMPs
can be found on the NHS SDU
website:http://www.sdu.nhs.uk/
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 29 of 42
31.
Cost indices and
Regional Location
Factors
Key Content of section
Previous DH Quarterly Briefing MIPs data can no longer
be used and was replaced in April 2011 by Dept.
Business Innovation & Skills (BIS) PUBSEC indices.
Guidance and links to
guidance
Business Innovation & Skills (BIS)
price and cost indices:
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Economic case (Estates)
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
https://www.gov.uk/government/org
anisations/department-for-businessinnovation-skills/series/price-andcost-indices
Cost advisors employed by NHS organisations are
required to subscribe to BIS Construction Price and Cost
Indices online to gain access to full data and share
project data to ensure indices and location factors are
sustainable.
Also available from DH Procure
21+ website
http://www.procure21plus.nhs.uk
32.
Capital Investment
Manual (CIM) Cost
Forms; 1, 2 3 and 4.
Only CIM standard cost forms must be used and
completed to reflect DH costing methodology and
agreed costing indices etc.
Yes
Capital Investment Manual
(Business Case Guide – Cost forms
page 46)
Both
http://webarchive.nationalarchives.g
ov.uk/20130107105354/http:/www.d
h.gov.uk/en/Publicationsandstatistic
s/Publications/PublicationsPolicyAn
dGuidance/DH_4119896
Also available on application to PAU
members.
33.
Optimism Bias
Optimism Bias and mitigation have been done in
accordance with the optimism bias guidance on DH
(NHS build specific) and/or HMT websites.
Evidence of a workshop producing the Optimism Bias
https://www.gov.uk/government/pub
lications/green-booksupplementary-guidance-optimismbias
Both
Must be consistent with Cost Forms and Risk Register
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 30 of 42
53.
Procurement
strategy and option
appraisal:
DH Procure 21+
61.
Schedule of
Accommodation and
Derogation
Key Content of section
P21+ should be the default option for construction
projects. Where it is not used, sufficient justification must
be provided as to why as this alternative approach
contributes to the aims and outcomes of the
Government. Construction Strategy.
Excel s/sheet format provided on room-by-room basis
with any derogation to stat/mandatory /DH standards
highlighted. To support Cost Forms, drawings and
infection control, fire safety etc. certificates of
compliance
Guidance and links to
guidance
http://www.procure21plus.nhs.uk/co
ntacts/
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Commercial Case (Estates)
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
https://www.gov.uk/government/pub
lications/government-constructionstrategy
Yes
https://www.gov.uk/government/pub
lications?keywords=&publication_filt
er_option=all&topics%5B%5D=all&
departments%5B%5D=departmentofhealth&world_locations%5B%5D=al
l&direction=before&date=2013-0901&commit=Refresh+results
Both
http://webarchive.nationalarchives.g
ov.uk/20130107105354/https:/public
ations.spaceforhealth.nhs.uk/?optio
n=com_documents&task=new_pub
s&Itemid=1&region=England
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 31 of 42
Key Content of section
62.
DH Consumerism
issues affecting the
design and
operation of the
facility
There is a need for evidence that the design solution
complies as appropriate with DH Consumerism
requirements for healthcare buildings. which include:
a. A design that provides acceptable levels of privacy
and dignity at all times.
b. Gender specific day rooms.
c. High specification fabric and finishes to reduce
lifecycle costs.
d. Natural light and ventilation
e. Zero discomfort from solar gain.
f.
Dedicated storage space to support high standards
of housekeeping and user safety.
g. Dedicated storage for waste awaiting periodic
removal
h. Inpatient bed room configurations of >50% single
en-suite and >5 bed bays with separate en-suite
WC and shower facilities with 3.6m bed centres
i.
Single sex washing and toilet facilities
j.
Safe and accessible storage of belongings including
cash
k. Immediate access to patients to call points for
summoning assistance
l.
Patient control of personal ambient environmental
temperatures
m. Task lighting at bed head conducive to reading and
close work
n. Patient bedside communication and entertainment
systems
o. Elimination of mixed sex accommodation (2011)
63.
Clinical and nonclinical adjacency
review
Confirmation that health organisation has appointed a
healthcare planner as part of the design team and has
actively contributed to the planning and evaluation
process.
Description of service model backed up by plans/
drawings demonstrating clinical / non clinical
adjacencies
Guidance and links to
guidance
Yes
Yes
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Commercial Case (Estates)
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
Refer to HBN appropriate to service
(s) type
Both
https://www.gov.uk/government/pub
lications?keywords=HBN&publicatio
n_filter_option=all&topics%5B%5D=
all&departments%5B%5D=departm
ent-ofhealth&world_locations%5B%5D=al
l&direction=before&date=2013-0501
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 32 of 42
64.
Achieves
compliance with DH
>50% single ensuite bedrooms
Key Content of section
Achieves compliance with DH >50% single en-suite
bedrooms and 3.6m bed centre in <5 bed en-suite bays
Yes
Guidance and links to
guidance
See also Schedule of
Accommodation
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Commercial Case (Estates)
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
Health Building Note 04-01: Adult
in-patient facilities:
https://www.gov.uk/government/pub
lications/adult-in-patient-facilities
65.
The disposal /
acquisition
requirements of this
business case are
explained
The business case identifies any acquisitions or
disposals that are associated with the proposed
development. The business case contains the details
justifying the disposal/acquisition in line with the
recommendations found in NHS Estatecode.
66.
Drawings 1:200
Numbered and dated drawings , not loaded and with m2
NIA
Yes
Consistent with ‘Schedule of
Accommodation / Derogation’
Both
67.
Drawings 1:50
Numbered and dated drawings, loaded and with m2 NIA
Yes
Consistent with ‘Schedule of
Accommodation / Derogation’
FBC
68.
Commitment to
Government
Construction
Strategy
Evidence of commitment to Govt. Construction Strategy
and cost reduction c 15%,
https://www.gov.uk/government/upl
oads/system/uploads/attachment_d
ata/file/61152/GovernmentConstruction-Strategy_0.pdf
Both




Procurement Reform
Building Information Modelling (BIM)
Government ‘Soft Landings’
Benchmarking
Applies to all construction including LIFT schemes.
Guidance on the acquisition and
disposal of property can be found in
Estatecode;
Both
https://www.gov.uk/government/pub
lications/guidance-for-nhsorganisations-on-management-ofland-and-property
http://www.bimtaskgroup.org/govern
ment-soft-landings-videos/
http://www.bimtaskgroup.org/wpcontent/uploads/2013/05/Governme
nt-Soft-Landings-Section-1Introduction.pdf
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 33 of 42
69.
Key Content of section
Compliance : Health
Building Note (HBN)
compliance
Health Building Notes give “best practice” guidance on
the design and planning of new healthcare buildings and
on the adaptation/extension of existing facilities.
Guidance and links to
guidance
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Commercial Case (Estates)
Yes
https://www.gov.uk/government/pub
lications?keywords=HBN&publicatio
n_filter_option=all&topics%5B%5D=
all&departments%5B%5D=departm
ent-ofhealth&world_locations%5B%5D=al
l&direction=before&date=2013-0501
Both
Yes
See ‘Schedule of Accommodation /
Derogation’ (above)
Both
They provide information to support the briefing and
design processes for individual projects in the NHS
building programme. They should be complied with,
however where they are not, the deviation from guidance
should be included in the derogations.
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
See also ‘Schedule of Accommodation / Derogation’
(above)
70.
Compliance : Health
Technical
Memorandum (HTM)
Health Technical Memoranda (HTMs) give
comprehensive advice and guidance on the design,
installation and operation of specialised building and
engineering technology used in the delivery of
healthcare.
https://www.gov.uk/government/pub
lications?keywords=HTM&publicatio
n_filter_option=all&topics%5B%5D=
all&departments%5B%5D=departm
ent-ofhealth&world_locations%5B%5D=al
l&direction=before&date=2013-0501
Healthcare providers have a duty of care to ensure that
appropriate governance arrangements are in place and
are managed effectively. The Health Technical
Memorandum series provides best practice engineering
standards and policy to enable management of this duty
of care. They should be complied with, however where
they are not, the deviation from guidance should be
included in the derogations.
71.
Compliance :
BREEAM
assessment
The Department of Health require, as part of the
Business Case approval, that all new builds achieve a
BRE ‘Excellent’ rating and all refurbishments achieve a
BRE ‘Very Good’ rating under BREEAM Healthcare with
schemes of value in excess of £2m (>500m2).
A BREEAM pre-assessment completed by a registered
BREEAM assessor demonstrating the required target
score should be provided at OBC. A BREEAM interim
design certificate demonstrating the required target
score issued by BRE should be provided with
FBC/Stage 2 submissions
Yes
The Pre assessment documentation
can be found at (log-in required):-
Both
http://www.breeam.org/page.jsp?id=
87
Further information for BREEAM
can be found at the BRE website:http://www.breeam.org/about.jsp?id
=66
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
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72.
Compliance : Fire
safety (Fire Code)
Key Content of section
Formal confirmation from the responsible person for fire
precaution compliance in the organisation that Firecode
compliance is achieved quoting drawing numbers / date
of review
Yes
Guidance and links to
guidance
HTM 05-01
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Commercial Case (Estates)
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
https://www.gov.uk/government/pub
lications/managing-healthcare-firesafety
HTM05 –03 (A to M)
https://www.gov.uk/government/pub
lications/suite-of-guidance-on-firesafety-throughout-healthcarepremises-parts-a-to-m
73.
Compliance :
Infection Control
Letters of compliance are provided by Consultant
Microbiologist and/or Infection Control lead.
Yes
Healthcare buildings must be designed with appropriate
consultation with specialists to ensure the design
facilitates good infection prevention and control (IPC)
practices and has the quality and design of finishes and
fittings that enable thorough access, cleaning and
maintenance to take place.
74.
Compliance: Single
sex accommodation
Formal confirmation from the responsible person for
privacy and dignity compliance in the organisation that
compliance with regard to single sex accommodation
and privacy and dignity is achieved quoting drawing
numbers (where appropriate) / date of review
75.
Design/project
solutions are
appropriate and, in
addition, will actively
support healthcare
outcomes
Confirmation that design/project solutions are
appropriate and, in addition, will actively support
healthcare outcomes. This may be achieved by the use
of one or a combination of the all of the following design
toolkits (75, 76 and 77)
See Health Building Note 00-09:
Infection control in the built
environment
Both
https://www.gov.uk/government/pub
lications/guidance-for-infectioncontrol-in-the-built-environment
yes
https://www.gov.uk/government/upl
oads/system/uploads/attachment_d
ata/file/147655/dh_121860.pdf.pf
Both
http://webarchive.nationalarchives.g
ov.uk/20130107105354/http://www.
dh.gov.uk/en/Publicationsandstatisti
cs/Publications/PublicationsPolicyA
ndGuidance/DH_082089
Both
Seek advice from NHS England
Project Appraisal Unit
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 35 of 42
76.
Design Review:
ASPECT
Key Content of section
ASPECT deals with the way the healthcare environment
can impact on the levels of satisfaction shown by staff
and patients and on the health outcomes of patients and
the performance of staff.
Yes
Guidance and links to
guidance
Links to ASPECT
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Commercial Case (Estates)
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
TBA
http://webarchive.nationalarchives.g
ov.uk/20130107105354/http://www.
dh.gov.uk/en/Publicationsandstatisti
cs/Publications/PublicationsPolicyA
ndGuidance/DH_082089
ASPECT can be used as a stand-alone tool, but should
be used to support AEDET Evolution (to be replaced by
DQI) to provide a more comprehensive evaluation of the
design of healthcare environments.
Seek advice from NHS England
Project Appraisal Unit
Also see DQI item below
77.
Design Review:
External review
panel
78.
Design Review / DQI
Owner organisation should consider external Design
Review Panel particularly for high value / complex
projects as it could be related to Planning Permission
requirements or other internal/external influences.
Yes
Design Quality Indicator (DQI) is an established design
quality assessment method which has been updated for
health use with the support of the DH to succeed
AEDET.
Yes
This item is not mandatory
TBA
Seek advice from NHS England
Project Appraisal Unit.
www.dqi.org.uk
Both
Seek advice from NHS England
Project Appraisal Unit.
DQI focuses on the quality of projects under three
headings of Functionality, Build Quality, Impact, and
engages a wide range of stakeholders.
There are 5 assessments stages which are led by an
independent Accredited DQI Facilitator. These are1.
Briefing, 2. Mid Design, 3. Detailed Design, 4. Ready for
Occupation, 5. In-Use.
Projects are required to undertake all 5 stage
assessments in order to be DQI Health Accredited.
The Briefing Stage DQI should be held early in the
Briefing process and is required to be complete before
the end of the Strategic Outline Case
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 36 of 42
79.
Key Content of section
Planning permission
A copy of the planning application, letter of approval from
the Local Authority and schedule of any planning
conditions and costs is provided.
On schemes where, exceptionally, Planning Permission
cannot be achieved at OBC, the organisation submitting
the OBC must be able to demonstrate that planning
authorities have no major objections to the scheme. The
form of that assurance can be considered on a case by
case basis.


strategy to engage the local planning authority to
minimise forward risks is described
the impact of any significant conditions included in the
planning permission or communications with the
planning authority are set out, and
Yes
Guidance and links to
guidance
NB: FBC will not be approved
without planning approval (where
this is required) or change of use
approval (where this is required)
Required
OBC, FBC,
both
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Commercial Case (Estates)
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
Planning
https://www.planningportal.gov.uk/w
ps/portal/genpub_LocalInformation?
docRef=LocalInformation&scope=2
02&langid=0
Change of Use
https://www.gov.uk/planningpermission-england-wales/whenyou-need-it
Evidence must link with Risk Register and cost forms for
affect /compliance with s106, s278, etc. requirements
This item should also include reference to any judicial
review period that may apply and NHS England’s
expectation that works will not commence until any JR
period has ended.
80.
DH Energy and
sustainability targets
Confirmation that the scheme meets the DH Energy
Target and sustainability issues has been addressed
throughout the case.
http://www.sdu.nhs.uk/documents/r
esources/Ext_Ch_energy_and_carb
on_management.pdf
Note. At the time of preparing this checklist (Nov 2013)
there are proposals to amend Part L of the Building
Regulations. Once implemented, there may be an
impact on cost and design.
https://www.gov.uk/government/upl
oads/system/uploads/attachment_d
ata/file/226965/Part_L_2013_IA.pdf
Both
When these revised regulations are in force, the
business case is to provide conformation that these
changes have been taken into account for both cost and
design purposes.
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 37 of 42
Costed Equipment
Schedule
Information must be consistent with costs provided in the
business case and Cost Forms
Yes
Key Content of section
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
Both
Local Business Case Reference Number
Appendix
suggested
Item No.
Management Case (Estates)
Heading
Guidance and links to
guidance
Required
OBC, FBC,
both
Key Content of section
Guidance and links to
guidance
Required
OBC, FBC,
both
91.
Heading
Local Business Case Reference Number
Appendix
suggested
Item No.
Financial Case (Estates)
Project Team/SRO/Sponsor
to confirm where referenced
in the business case
NHS England PAU
use only during BC
review.
None
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 38 of 42
FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Section 3. Schedule of PAU Comments on the Main Checklist. (Feedback to SRO from NHS England PAU)
MANDATORY COMPLETION REQUIRED FOR ALL BUSINESS CASE SUBMISSIONS > £3 MILLION
NHS England: Projects Appraisal Team
Schedule of comments resulting from the review of the business case
Item
Ref
Business Case
Checklist Heading
BC Doc
Ref /
Page
NHS England comment (Date)
Local Business Case
Reference Number
Business Case Owner Response (Date)
PAU closed
Insert additional rows as required
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 39 of 42
FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Section 4. Schedule of PAU Comments on the Estates Checklist. (Feedback to SRO from NHS England PAU)
MANDATORY COMPLETION REQUIRED FOR ALL BUSINESS CASE SUBMISSIONS > £3 MILLION
NHS England: Projects Appraisal Team
Schedule of comments resulting from the review of the business case
Item
Ref
Business Case
Checklist Heading
BC Doc
Ref /
Page
NHS England comment (Date)
Local Business Case
Reference Number
Business Case Owner Response (Date)
PAU closed
Insert additional rows as required
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 40 of 42
FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Section 5. General Checklist feedback to NHS England PAU
Comments on use of checklist
This section is to allow users to comment on the checklist to assist with its continuous development by NHS England.
Item No
Heading
Comment or problem
Suggested solution
Insert additional rows as required
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
Page 41 of 42
NHS England
National Suport Team: Projects Appraisal Unit
Section 6. Construction / refurbishment project activity guide: 2013-2014
Version: 1st October 2013
Strategic Outline Case
(SOC)
Standard project business case phasing
Outline Business Case
(OBC)
[Project Initiation Document -PID- for smaller schemes]
Private Finance Initiative (PFI) business case
phasing
Strategic Outline Case
(SOC)
Full Business Case
(FBC)
1. OJEU 2. Shortlist Bidders 3. Issue ITPD 4. Draft
Appointment Business Case (dABC) approval 5. Issue
ITSFB 6. Final Tenders 7 .Recommend Preferred Bidder
8.Appointment Business Case (ABC) approval 9.HM
Treasury approval 10. Confirmatory Business Case
Outline Business Case
(OBC)
(CBC) approval.
NHS Local Improvement Finance Trust (LIFT)
business case phasing
Strategic Outline Case
(SOC)
Department of Health (DH) ‘Health Gateway
Reviews’ (updated by DH Health Gateway team July 2013)
(Strategic Assessment)
(Business
Justification)
Optimum point for
action
▀
LIFT Stage 2
business case
Financial
Close
Post Project Evaluation
(PPE)
Gateway 4
(Readiness for Service)
Gateway 5
Construction Phase
DATA DROP
(Benefits Evaluation)
4
DATA DROP 5
DATA DROP 3
Construction Information Model
Operation and Maintenance Information
Model
Issue Interim
Certificate
Construction &
Post Construction Assesment
Pre Assessment
Briefing
Procure 21 plus (P21+)Key
Stages
Construction Phase
11. Financial/Contract close
DATA DROP 2
Stage 1
RIBA 2013 ►
Post Project Evaluation
(PPE)
Outline Solution Model
(Updated by Construction Industry Council July 2013)
Royal Institute of British
Architects (RIBA) Stages
(Investment Decision)
Construction Phase
DATA DROP 1
Design (Quality Indicator) assessments (DQI)
RIBA 2007 ►
Gateway 3
Gateway 2
Procurement Strategy)
Post Project Evaluation
(PPE)
Requirement & Constrain Model
BRE Environmental Assessment Model
(BREEAM)
External Design Review Panel (DRP) via
CABE / Design Council
LIFT Stage 1 business case
Gateway 1
Gateway 0
Building Information Modelling (BIM)
(Updated by BIS BIM TaskGroup July 2013)
OBC /procurement
decision
Construction Phase
Design Stage Assessment
Stage 2
Stage 3
Mid Design
Dependant on nature of scheme
Detailed Design
Dependant on nature of scheme and Local Authority
planning requirements
Stage D/E
Stage A
Stage B
Stage C
Stage D
Project Appraisal
Design Brief
Design Concept
Developed Design (1:200)
Design and cost
estimates
Dependant on nature of
scheme and Local Authority
planning requirements
Stage E: Technical Design
Stage F: Production
Stage G: Tender documentation
Stage H: Tender Action
Construction Phase
Post Occupation Validation Information
Model and on-going O&M
Evaluation and
Issue Final Certificate
Stage 4
Stage 5
Ready for Occ
In use
Construction Phase
Stage J: Mobilisation
Stage K: Construction to practical
Stage L
Post Practical Completion
completion.
0
1
2
3
4
5
6
7
Strat Definition
Preparation & Brief
Concept
Definition
Technical Design
Construction
Handover
In use
P21+
Stage 3
P21+
Stage 4
P21+
Stage 1
P21+
Stage 2
Post Project Evaluation
(PPE)
Trust registers scheme
PSCP selection process
PSCP selected
Contract entered into
Design Development
Construction
Construction Phase
Reach GMP
Other key activity / milestones
Approved clinical service strategy
Approved Estates Strategy
Approved Travel Plan
Approved Sustainable Dev. Policy/Plan
Commissioner support
Local Authority Planning Approval (Full)
Construction Phase
For SOC
For OBC
NHS ENGLAND PAU. FIVE CASE MODEL CONSOLIDATED BUSINESS CASE CHECKLIST
NHS England Project Appraisal Unit October 2013
For FBC
Allow 13 weeks post written approval for challenge / judicial review
Page 42 of 42