Operational Procedure Note 4.1
Progress Reporting for ETTF Schemes
Purpose of Operational Procedure Note 4.1
To set out the process for the reporting of progress with implementation of ETTF schemes after receiving formal support to progress.
Background
The ETTF Pipeline comprised 284 schemes that were prioritised by the 5 London STPs; it was ratified by NHS England – London region on 31st October 2016.
62 schemes were initially supported to progress to the next stage in 2016/17; which represented a financial over-commitment of 40% on funds available for the life of the programme at that time (to 31st March 2019).
Following confirmation that the ETTF Programme would be extended to 31st March 2020 a further 7 schemes were supported to progress. The current “live” pipeline comprises 65 schemes following the withdrawal of 2 schemes and the removal of 2 schemes from the live pipeline due to making insufficient progress.
Whilst the schemes are being delivered by third parties (GP practices or CCGs) the requirement for reporting progress remains with NHS England – London region. This Procedure Note sets out progress reporting requirements to enable the Senior Responsible Officer [SRO] in NHS England – London region to discharge this responsibility.
Format
A template has been developed to enable the recording of the required key data in a consistent form – see Appendix A.
The fields in this template correspond to the reporting fields required by NHS England nationally and feed directly into the national Tracker that the ETTF PMO is required to complete monthly.
The template will be regularly reviewed and revised as necessary to ensure compliance with NHS England requirements – both regional and national.
Completion
Information will be pre-completed by the ETTF PMOs where this is possible; i.e. scheme reference, name, CCG, STP, NHS England approvals history and milestone dates – forecast date at last report or FBC approval.
The scheme lead must complete:
Date of Report / Date that the report is completed. The entry box is validated to accept date entries only.Completed by / Please enter your name so that we know who has completed the return
Email / Please enter your email address so that you can be contacted in the case of queries/ clarifications
Overall Scheme Delivery Risk Rating / The rating must be selected from the drop-down list. Definitions of the ratings can be found on the Tab “Guidance and Lookups“of the workbook.
NHSPS/ CHP Risk Ratings / Where the scheme is supported by NHSPS/ CHP they will have assessed the scheme for risk against the three domains of Strategy, Construction and Lease. You should liaise with your NHSPS/ CHP contact to review the risk ratings of these domains, and the overall risk rating. There must not be a significant divergence in the overall risk rating as assessed by the CCG and NHSPS/ CHP.
Forecast Outturn Expenditure / Please enter forecast scheme expenditure by year, analysing revenue and capital expenditure.
The forecast should be for the period 1 April to 31 March and include any accrued sums (i.e. expenditure relating to value of work completed even if not physically paid in that year).
Actual YTD Expenditure / Please enter actual expenditure in the current year as at the reporting date; analysing revenue and capital expenditure. This figure should include any accrued sums (i.e. expenditure relating to value of work completed even if not physically paid in the reporting period).
Forecast Expenditure Profile / With effect from 2018/19 there is a [national] requirement to provide a monthly profile for the Forecast Outturn Expenditure. Please enter profiled expenditure for the year:
Total expenditure for capital and revenue must reconcile to the forecast outturn
Expenditure for the months up to the reporting date must reconcile with actual YTD expenditure
Milestone Dates – Forecast Date (at last Report or FBC Approval) / If the scheme has received LCC approval for funding (as opposed to support to progress) these dates will be included in the approval paper. If no approval has yet been given, please enter current forecast dates.
After receipt of the first report these dates will be pre-populated by the ETTF PMO and will be either:
- Dates provided at the previous reporting cycle as “Forecast Date (at date of Progress Report)” or;
- Dates provided at the time of FBC approval
NB the term FBC approval is used to define the final approval at which funds for implementation of the scheme are granted; whether this require a formal FBC or some other documentation (e.g. Enhanced PID)
Milestone Dates – Forecast Date (at date of Progress Report) / These should be completed to provide assurance that the project remains on timetable. Realistic completion provides an early indication of potential problems that, if addressed in a timely manner, may be mitigated.
The entry boxes are validated to accept date entries only and conditional formatting provides a visual indicator where forecast dates have moved beyond pre-set parameters.
These dates are required to be input at each submission.
Milestone Dates – Achieved Dates / These should only be entered once the milestone has been achieved.
The entry boxes are validated to accept date entries only and conditional formatting provides a visual indicator where forecast dates have moved beyond pre-set parameters.
Current Status of Scheme / The status must be selected from the drop-down list and corresponds with the latest milestone that the project has achieved (in line with description above).
Full details of the definitions of these statuses are shown in the tab “Milestones and Gateways”
Commentary / A free text box is provided for the project lead to enter comments to aid the PMO’s understanding of the project’s progress and risk rating.
The commentary must include explanations where:
- Forecast expenditure is at variance with actual and/ or forecast scheme approvals – either in total or phasing and:
- Milestone dates are forecast not to be achieved.
Key Risks / The scheme lead should outline the key risks to the project in terms of timetable, finance and delivery of the outcomes and benefits set out in the approved business case.
NHSPS/ CHP Risk Ratings
Where a scheme is being supported or led by NHSPS/ CHP the scheme owner must liaise with these organisations and ensure that their assessed risk rating and that of NHSPS/ CHP are consistent with one another.
NHS England Approvals History
This section is pre-populated by the ETTF PMO. Whilst referenced as “history” the final row includes a forecast of future approvals based on the forecast outturn expenditure forecast submitted by the scheme owner in the previous reporting period.
This section must not be adjusted without prior consultation with the ETTF PMO, who will make any agreed changes to the template.
The ETTF PMO will complete high level checks on the returns to assure internal consistency, these include:
- Completion of all required fields
- Confirmation that Approvals History section has not been altered without PMO knowledge
- Verification that forecast expenditure is in line with forecast milestone dates; in particular that the expenditure profile is consistent with the implementation dates
- Confirmation that the commentary addresses areas of variance highlighted by the return
The returns include a number of checks to ensure that all data is entered and, on exiting the workbook, messages will alert the user to missing data.
Frequency
Completion of the Progress Reporting Template will be required at least quarterly in line with advised return dates.
This frequency may be increased if closer monitoring of the scheme is considered necessary or to meet ad-hoc reporting requirements outside of the normal cycle.
Completed returns should be sent to the ETTF PMO at .
Post Project Evaluation
A post project evaluation [PPE] will be required for all projects. The timing of this will be agreed at project approval to ensure that project characteristics are properly allowed for; e.g. a project delivering change in a “big bang” approach may require less “bedding in” time than one that necessitates a more gradual change in working practices.
The PPE will focus on the 4 pillars of project management – scope, time, cost and quality.
For further details of the PPE process see Procedure Note 6.2 – ETTF Schemes Post Project Evaluation.
Operational Procedure Note - Review
This Operational Procedure Note was endorsed by LCC on 19th April 2017 and reviewed/ updated on 20th February 2018.
Date of next review – April 2018
APPENDIX A
ETTF SCHEME PROGRESS REPORTING TEMPLATE
Date of last review: 19 December 20171
Date of last review: 19 December 20171