OFFICIAL SENSITIVE
Ref:
National Data Opt-out Programme/Programme Board/Paper 02
Title:
National Data Opt-out Programme – Outline Business Case
Author:
Paul Arrowsmith, Senior Project Manager/Justine Banks, Senior Project Manager
Programme Board Sponsor:
Tim Magor, Programme Head
Purpose:
The purpose of this paper is to present a summary of the Outline Business Case (OBC) to the
Programme Board and, subject to any feedback received, gain their endorsement to submit the full
document to the Technology and Data Investment Board (TDIB) for approval. A full version of the OBC is
currently being reviewed under the tripartite assurance process.
Background:
A Programme Business Case (PBC) was approved in March 2017 to secure overall funding for the
programme to 2020/2021. The PBC outlined that the approvals for subsequent business cases would be
completed as follows:
• Tranche 1 - National Implementation and NHS Digital Uphold
• Tranche 2 - Local Implementation and Upholding
This OBC seeks approval for the costs associated with Tranche 1 which will enable delivery of the
technology and infrastructure to support the central functions of the National Data Opt-out Programme to
April 2018.
A separate OBC will be produced for Tranche 2 of the programme.
Key Points:
There are 3 key points to note with respect to the Tranche 1 OBC:
• The OBC is seeking approval for an investment of £9.81m in 2017/18 to complete Tranche 1 of
the National Data Opt-out Programme.
• The forecast cost for the programme now aligns to the budget allocated to the programme.
• The OBC is scheduled to be reviewed at the NHS Digital Investment Committee (IC) on 09
August 2017, which is a pre-requisite to review at TDIB. Assuming that no issues are raised at
the NHS Digital IC it will be presented for approval at TDIB on 11 August 2017.
The full OBC document is currently being reviewed through the tripartite assurance process and may
result in changes subject to feedback received.
Desired outcome(s):
The Programme Board is asked to review and provide feedback on the OBC to enable submission to the
TDIB for review 11 August 2017.
Circulation:
Programme Board attendees only.
Dates considered by Programme Board:
11 July 2017 (Not to disclose)
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Introduction
1. The purpose of this paper is to summarise the Outline Business Case (OBC) for
Programme Board review. The paper aims to obtain Programme Board approval of the
OBC to progress through to the tripartite assurance and approvals process under the
Technology and Data Investment Board (TDIB).
Preferred Option
2. Options for delivery of the overall programme were considered and approved within the
Programme Business Case (PBC). Based on the Value for Money (VfM) Analysis from
the PBC and the refinements and associated reduced costs and risks identified within
this OBC, the preferred option remains as recommended within the PBC:
Item
Preferred option(s)
Scope
Support national bodies, GPs, local bodies & trusts
Support Model
Regional support model plus
On-line Solution
NHS.UK and GP Online
In-person Solution
GP practice and National Back Office
Upholding opt-outs
Self-service filter & consultancy
Transparency
IG Toolkit & Fair Processing Notices.
Implementation timing
Setting 2017; NHS Digital upholding 2017
Table 1 – the preferred option from the PBC
3. Since the PBC was approved, further analysis has been completed to elaborate the
options for delivering an in-person (non-digital/offline) preference setting functionality and
communicating with patients and organisations. In summary, decisions and changes
that have been made as part of the OBC development are:
• External contact centres will not be used to provide information to patients and
organisations;
• NHS Digital Contact Centre will be the primary resource to support non-digital users
and/or assisted digital users
• A paper based process will be implemented to support patients not using the online
option or the telephone/email option; and,
• Communication material will not be printed for distribution to each GP Practice.
Tranche Delivery Plan
4. The OBC seeks approval for an investment in 2017/18 to progress completion of
Tranche 1 –
National Implementation and NHS Digital Uphold. The activities and
expenditure associated with Tranche 1 are elaborated in the OBC and will enable
delivery of the technology and infrastructure to support the central functions of the
National Data Opt-out Programme as follows:
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Tranche
Output
Delivery Date
NHS.UK website to enable collection of opt-outs (Private 09/2017
Beta)
Advice lines for patients and health care professionals 09/2017
operational
Digital assisted solution for setting preferences
09/2017 –
1 - National
03/2018
Implementation
GP Online and GP systems capability to collect opt-outs 12/2017 –
and NHS Digital
(Digital Service Plus)
03/2018
Uphold
Public Beta available to general public
03/2018
NHS Digital uphold of opt-outs
09/2017 –
03/2018
Handover Tranche 1 solutions to Business As Usual 03/2018
(BAU)
Table 2 – Tranche Delivery Plan
Tranche 1 Costs
5.
The total forecast cost for Tranche 1 of the programme is £11.14m to the end of
2017/18; this is broken down as £1.58m capital and £9.56m revenue (including optimism
bias and a contingency sum for risk).
6. The optimism bias assessment from the PBC for delivery of Tranche 1 has been
reappraised within the OBC. Overall, the optimism bias for the preferred option for
delivery of Tranche 1 is 12%. This is compared to 24% which was the optimism bias
applied to the whole life delivery of the programme within the PBC.
Programme Affordability
7. Funding for the programme is provided from the Paperless 2020 budget and was
approved through the PBC. Since approval of the PBC, the affordability position has
improved as a result of i) changes to the preferred option and a significant reduction in
costs for Tranche 1 and ii) other programme cost savings identified in 2016/17 and
2017/18. Current affordability analysis shows that the programme is within the allocated
programme budget and therefore affordable. This analysis is summarised in Appendix
A.
8. As the OBC covers only Tranche 1 and financial year 2017/18, there is a much higher
confidence that programme costs have been accurately assessed compared with the
overall programme costs assessed within the PBC.
Commercial
9. In contrast to the PBC, the elements of the programme that require procurement from
external suppliers have been significantly reduced. The external procurements required
to support Tranche 1 of the programme are summarised in Appendix B.
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10. Overall the quantity and complexity of procurement activity is low. Excluding services
called off from existing contractual frameworks, e.g. GPSoC, this is reduced to 8% of the
total cost that will be delivered by external suppliers compared to 33% in the PBC.
Main Programme Benefits
11. The National Data Opt-out Programme is an enabling programme, which is primarily
designed to increase public trust and confidence by giving people choice about how their
personal confidential information is being used and demonstrating that these patient
preferences are upheld across the health and social care system. Programme benefits
have been reappraised as part of the OBC and no substantive change has been
identified from the assessment presented within the PBC. A Benefits Management
Strategy has been produced to support the identification, measurement and realisation of
benefits which is expected to be considered by the Programme Board in August 2017.
Main Programme Risks
12. The top three strategic risks for the Programme are identified in the table below:
Risk Description
Mitigating Action Plan / Issue Resolution Plan
Care Professional Engagement Strategy
The Paperless 2020 Strategic Communications
team have appointed an external agency to
There is a risk that professional engagement is develop a communication and engagement
ineffective impacting on the success of the strategy on making the case for patient
programme or the rate of opt-outs.
information. During June, they have progressed
the work to develop the communication and
engagement strategy and held meetings with
various stakeholder groups.
The National Data Opt-out Programme
Stakeholder Engagement Plan has now been
reviewed and approved by the National Data
Opt-out Programme Board.
Citizen Communication Effectiveness
The strategy for making a clear case for data use
across the Paperless 2020 Portfolio is being
There is a risk that if there is a lack of effective developed that will feed into the plan for
communication, or if the programme are unable to communications to be delivered within the
articulate how the national opt-out aligns to the National Data Opt-out Programme.
GDPR Right to Object or local data sharing
initiatives, then citizens will not understand and The programme communication plan will need to
trust the national opt-out approach.
clearly articulate alignment of communications to
the public on local record sharing initiatives and
the national opt-out.
Outcome of Consultation on Data Security, The Programme team are working closely with
Consent and Opt-Outs
the Department of Health to further understand
the emerging findings and themes from the
There is an issue that the outcome of the public consultation responses, and subsequent
consultation and engagement process is not yet engagement.
confirmed and the formal Government response
to the National Data Guardian (NDG) review has A Policy Implementation Group has been
not yet been published.
considering the key policy issues.
Table 3 – Programme Risks
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Appendix A: Current Affordability Analysis
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Appendix B: External Procurements
Required Services
Procurement
Preferred
Value
Contract
route
Supplier
(estimated
Dates
£000)
Production of
Public Sector
The APS Group
£74
2017
communication materials
Managed Print &
including accessible
Digital Solutions
formats.
RM3785
Independent research
NHS Digital
Various
£135
2016-2018
and insight – assisted formal quotation
digital, service
process or via a
functionality and
suitable
accessibility
appropriate
framework.
Independent research
Single supplier
Behavioural
£120
2017
and insight – presentation framework
Insights Team
of the national opt out.
agreement via
DH – call off
existing contract.
Digital Accessibility
NHS Digital
AbilityNet
£15
2017
formal quotation
process or via a
suitable
appropriate
framework.
Outbound and inbound Crown
The APS Group
£465
2017 - 2018
mailing.
Commercial
Services
Return mail handling.
Framework -
Postal Goods
and Service –
RM1063
Helpline & Information NHS Digital
Helpline
£10
2018
support services
formal quotation Partnership
process or via a
suitable
appropriate
framework.
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