Transparency data

NHS Electronic Staff Record Transformation Programme: SRO appointment letter 2023

Updated 16 January 2024

To: Gordon Coyne, senior responsible owner for the NHS ESR Transformation Programme

From: Michael Brodie CBE, Chief Executive of NHS Business Services Authority
Nick Smallwood, Chief Executive Officer of the Infrastructure and Projects Authority

28 September 2023

Appointment as senior responsible owner for the NHS Electronic Staff Record (ESR) Transformation Programme

Dear Gordon,

We are writing to confirm your appointment as senior responsible owner (SRO) of the NHS ESR Transformation Programme with effect from 1 November 2020. This letter sets out your responsibilities and the support you can expect from your department and the Infrastructure and Projects Authority.

As SRO, you are directly accountable to Michael Brodie, CEO of NHSBSA, under the oversight of the Permanent Secretary as accounting officer for the Department of Health and Social Care, and Will Quince, Minister of State for Health and Secondary Care.

Your programme forms part of the DHSC and NHSBSA portfolio, under the oversight of the chairs of the DHSC Portfolio Board and NHSBSA Portfolio Board and is included in the Government Major Projects Portfolio (GMPP).

You have personal responsibility for the delivery of NHS ESR Transformation Programme and will be held accountable for the delivery of its objectives, with policy intent and outcomes expected. This encompasses securing and protecting its vision, ensuring that it is governed responsibly, reported on honestly, escalated appropriately and for influencing the context, culture and operating environment of the programme. You are also responsible for ensuring the ongoing viability of the programme and recommending its pause or termination if appropriate. Where issues arise which you are unable to resolve, you are responsible for escalating these to NHSBSA Portfolio Board.

You remain accountable to ministers, as set out in the Civil Service Code, and should deliver the project in accordance with the objectives and policy intent as set by ministers.

In addition to your internal accountabilities, SROs for GMPP projects and programmes are personally accountable to Parliamentary select committees. This means that, from the date of this letter, you will be held personally accountable to and could be called by select committees to account for and explain the decisions and actions you have taken to deliver the programme. It is important to be clear that your accountability relates only to implementation, within the agreed terms in this letter; it will remain for the minister to account for the relevant policy decisions and development.

More information on this is set out in Giving evidence to select committees - guidance for civil servants, sometimes known as the Osmotherly Rules. Information on the roles and responsibilities of the SRO are detailed in the Infrastructure and Project Authority’s guidance on the role of the senior responsible owner. You should also make yourself familiar with the Government Functional Standard for Project Delivery, the requirements of the Government Project Delivery Framework, and the guidance and requirements for project delivery as set by NHSBSA Portfolio Management Directorate.

Time commitment and tenure

This role will require at least 75% of your time to enable effective delivery of the role and execute your responsibilities in full. You are required to undertake this role until achievement of the invitation to submit initial tender (ISIT) completion milestone or commencement of proof of concept (POC) and negotiation milestone, planned for March 2024. You will commit to support the handover process to your successor SRO as may be required through April, May and June 2024. Progress towards this will be reflected in your personal objectives. Any changes to the agreed time commitment or tenure of the role, as set out above, will require both departmental and Infrastructure and Projects Authority consent.

Objectives and performance criteria

The policy intent supported by this programme is defined in the approved outline business case (OBC) as follows:

2.3 Alignment to existing policies and strategies

2.3.1.1 The ESR service and transformed future NHS workforce solution will not exist in isolation. It exists not only to support legislative compliance with respect to payroll and HR activities but as a key enabler that supports:

• the delivery of initiatives being proposed in both existing and emerging national and local workforce strategies
• DHSC’s pay and pensions policy including the work of the NHS Pay Review Body on the pay of NHS staff paid on Agenda for Change terms and conditions, and the Review Body on Doctor’s and Dentists’ remuneration
• improved sharing of information and system integration
• the pursuit of best value for the NHS

Any proposed changes to scope which impact on this intent or the realisation of benefits must be authorised by NHSBSA Main Board and may be subject to further levels of approval.

The vision and mission of the programme, in delivering the future workforce solution to employees within the NHS, is defined as follows.

Vision: ‘Helping you to perform your best every day.’

Mission: ‘The solution empowers you to carry out your role effectively and efficiently, supporting you throughout your NHS working life. It is accessible, easy to use, and provides the data and insights to enable better decision-making and planning, as a catalyst for better healthcare.’

The programme objectives, as informed by an extensive discovery phase and defined in the OBC are set out below.

2.4 Spending objectives

Spending objective 1: to maintain service security, stability and continuity ensuring each user organisation has access to a robust and reliable workforce solution and workforce data beyond the expiry of the current ESR contract. Both transition and transformation of the services must be achieved with no breaks to service or agreed functional coverage.

Spending objective 2: to provide a holistic user experience to maximise ease of use, user centricity, simplicity, consistency, accessibility and inclusivity across channels and devices.

Spending objective 3: to enable the provision of high‐quality workforce data with assurance on data integrity and management in the delivery of the emerging health and social care landscape.

Spending objective 4: to adopt a fit for purpose operating and commercial model providing flexibility to allow the services to adapt to future changes in requirements and changes across the health and social care landscape. This will include technology, application, integration, interoperability, configuration, enhancement and exit flexibility.

2.1.2 Your personal objectives and performance criteria

Your personal objectives and performance criteria which relate to the programme are:

• continue to set the foundation for the transformation of ESR: put in place the necessary programme organisational structure and resources to deliver discovery and prepare for follow on phases of re-procurement by December 2021
• complete transformation discovery phase in line with project plans by December 2021 to determine transformation options for Future Service Delivery Model based on user needs and technology capability
• complete data centre transformation from IBM data centres to crown-hosted data centres by October 2022 in line with project timelines
• build on discovery findings, complete market preparation activity and approval process for ESR Transformation OBC enabling procurement to formally begin in summer 2022 following HM Treasury approval of OBC
• continue to put in place the necessary programme organisational structure and resources to commence next phases of transformation readiness and procurement by summer 2022
• commence procurement of new NHS workforce solution following approval of OBC by HM Treasury, undertaking supplier questionnaire evaluation and longlisting of consortia by January 2023
• commence ISITs with longlisted consortia by summer 2023 to determine shortlist by February 2024
• commence proof of concept and negotiation stage of procurement with shortlisted consortia by March 2024
• working with the wider NHS system, continue optimising use of existing ESR platform across NHS organisations so that readiness for migration to the new workforce solution is enhanced

You are expected to run your project in accordance with the Government Functional Standard for Project Delivery, the other functional standards as applicable to this programme and the requirements of the Government Project Delivery Framework.

Extent and limit of accountability

Finance and controls

HM Treasury spending controls will apply on the basis set out within the department’s delegated authority letter. Where the programme exceeds the delegated authority set by HM Treasury, the Treasury approval point process will apply, and the details of each approval process must be agreed with your HM Treasury spending team. You should consult departmental finance colleagues on how to go about this.

You should note that where expenditure is considered novel, contentious, repercussive or likely to result in costs to other parts of the public sector, HM Treasury approval will be required, regardless of whether the programme expenditure exceeds the delegated authority set by HM Treasury. If in doubt about whether approval is required you should, in the first instance, consult departmental finance colleagues before raising with the relevant HM Treasury spending team.

The overall estimated budget, resourcing requirements and tolerances for your project or programme will be agreed as part of the approval process. You will be expected to deliver within these tolerances and report quarterly on these as part of GMPP reporting.

You should operate at all times within the rules set out in Managing public money. In addition, you must be mindful of, and act in accordance with, the specific HM Treasury delegated limits and Cabinet Office controls relevant to NHS ESR Transformation Programme.

Delegated authority

You are authorised to:

• approve expenditure of £500,000 in line with NHSBSA Standing Financial Instructions

• agree project rescheduling within the tolerances described by the NHSBSA Portfolio Delivery Framework, but rescheduling beyond that must be agreed with DHSC Workforce Policy Director and NHSBSA Portfolio Board or NHSBSA Main Board

• recommend to DHSC Workforce Policy Director and the NHSBSA Main Board the need to either pause or terminate the programme where necessary and in a timely manner

These authority limits are subject to change and other conditions or tolerances may be set as part of the business case approval and ongoing monitoring processes which you should then operate within.

Where issues arise which take you outside of these authority limits which you are unable to resolve, you are responsible for escalating these issues to the DHSC Workforce Policy Director and NHSBSA leadership team or NHSBSA Main Board.

Appointments

You should appoint a full time programme director to support you in the management of this programme and make other appointments as required for the control and delivery of your programme within your delegated authority.

Governance and assurance

You should pay attention to ensuring effective governance for your programme, including the establishment of a programme board and appropriate project boards, with appropriate membership and clear terms of reference.

As primary owner, you must ensure that the programme secures business case approval from NHSBSA Main Board, DHSC Investment Committee, Cabinet Office and HM Treasury. You should also ensure that the programme remains aligned to the strategic outcomes, costs, timescales and benefits in line with the approved business case as well as monitoring the context within which the programme is being delivered to ensure it remains valid.

Where a change impacts the scope, costs, benefits or planned delivery milestones agreed as part of an agreed business case, you are responsible for following the agreed change request approval process and setting a new, approved, business case baseline.

You should ensure that an accounting officer assessment is completed alongside the approval of the outline business case and that this is published on GOV.UK as part of the government’s transparency requirements on major projects. You are responsible for bringing to the attention of the accounting officer any material changes in the programme which could require a new accounting officer assessment to be completed and published. Guidance on completing accounting officer assessments for major projects is available from HM Treasury.

Although you are directly accountable for this programme, you are also expected to support delivery of the department’s overall strategic objectives. This means that you are expected to work collaboratively with other SROs and project directors in adjacent projects and programmes and with the DHSC and NHSBSA portfolio management offices and portfolio directors to manage dependencies, resources, schedules and funding to support delivery of the overall change the department needs to achieve its strategic objectives.

You should ensure that appropriate and proportionate assurance is in place and agree on the level and frequency of assurance reviews through the maintenance of an integrated assurance and approvals plan. You should develop this plan and its maintenance in collaboration with the departmental assurance coordinator and the Infrastructure and Projects Authority.

Programme status, reporting and transparency requirements

The programme status at the date of your appointment is reflected in the most recent quarterly return on the programme to the Infrastructure and Projects Authority and is the agreed position as you assume formal ownership of the programme.

You are responsible for ensuring the honest and timely reporting on the position of the programme to the Infrastructure and Projects Authority while it remains on the GMPP and for providing reports and information to the DHSC and NHSBSA portfolio management offices as required. Reporting should include carbon measurement, and other sustainable development goals demonstrating evidence that the project contributes to an overarching environmental strategy and is aligned with defined net zero pathways. Information on the programme will be published annually by the Infrastructure and Projects Authority.

You are responsible for publishing on GOV.UK a summary of the accounting office assessment completed in line with the approval of the outline business case and summaries of any subsequent assessments should they be required.

Development and support

As a graduate of the Major Projects Leadership Academy, you are expected to maintain your continuing professional development as a project leader, including your status as an accredited assurance reviewer. To maintain your accreditation, you will be required to participate in a review at least once every 12 months. The department will assist you in securing the necessary resources to support the programme, and will set clear guidance, requirements and standards, which align to the Government Functional Standard on Project Delivery, to enable good governance and effective delivery. You will be part of the department’s cohort of major project leaders who will be expected to support each other, share good practice and lessons learned and to collectively develop solutions. You should liaise with the department’s head of profession for project delivery to discuss the maintenance and development of your delivery and leadership skills.

The Infrastructure and Projects Authority will be available to you for support, advice and assurance throughout the programme’s time on the GMPP. Following approval of the business case and entry onto the DHSC and NHSBSA portfolios, the DHSC Portfolio Oversight Board and NHSBSA Portfolio Board will provide ongoing oversight and support and will take steps to help resolve and escalate risks, issues or constraints that are acting as a blocker to successful delivery.

We would like to take this opportunity to wish you every success in your role as SRO.

Yours sincerely,

Michael Brodie, CBE, Chief Executive Officer, NHS Business Services Authority
Nick Smallwood, Chief Executive Officer, Infrastructure and Projects Authority

Confirmation of acceptance of appointment

I confirm that I accept the appointment of senior responsible owner for the programme, including my personal accountability for implementation, as set out in the letter above.

Gordon Coyne