Transparency data

Passport Transformation Programme appointment letter for Oliver Banner, February 2024 (accessible version)

Updated 3 April 2024

To: Oliver Banner, Senior Responsible Owner for the Passport Transformation Programme

From: Matthew Rycroft Permanent Secretary of the Home Office; and

Nick Smallwood, Chief Executive Officer of the Infrastructure and Projects Authority

21 February 2024

Dear Oliver,

Appointment as Senior Responsible Owner for the Passport Transformation Programme

We are writing to confirm your appointment as Senior Responsible Owner (SRO) of the Passport Transformation Programme with effect from 17 April 2023. This letter sets out your responsibilities to, and the support you can expect from, the Home Office (HO) and the Infrastructure and Projects Authority (IPA).

As SRO, you are directly accountable to Joanna Rowland, under the oversight of the Permanent Secretary as Accounting Officer for the Home Office, and the Secretary of State for the Home Department.

Your programme forms part of the Home Office Portfolio, under the oversight of the Chair of the Investment Committee (InvestCo) and is included in the Government Major Projects Portfolio (GMPP).

You have personal responsibility for the delivery of the Passport 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 initiative. You are also responsible for ensuring the ongoing viability of the initiative and recommending its pause or termination if appropriate. Where issues arise, which you are unable to resolve, you are responsible for escalating these to InvestCo, and/or other HO governance bodies as appropriate to the resolution of those issues.

You remain accountable to Ministers, as set out in the Civil Service Code, and should deliver the programme 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 initiative.

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 summarised in the document at Annex 1, and detailed in the IPA’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 Home Office Project Delivery Framework.

Key decisions on GMPP level projects/programmes and anything which is otherwise novel, contentious or commercially sensitive, or which Ministers have asked to see, must be submitted in a timely manner to the Permanent Secretary and Ministers as appropriate.

Time commitment and tenure

You will undertake this SRO role alongside your other responsibilities. You must ensure that you allocate sufficient time to fulfil the responsibilities that being an SRO entails and these are expected to take up at least 50% of your time. This will be periodically reviewed to ensure that an appropriate balance is maintained across the full range of your responsibilities.

You are required to undertake this role until achievement of all objectives, planned for April 2025, have been completed. 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 Home Office and IPA consent. Consent to leave the role early will not typically be withheld but where permission is given it may be accompanied by conditions relating to handover of your accountabilities.

Please note that individuals are not normally permitted to act as SRO for more than one major programme at any one time. As such you should resist taking on any additional programmes during your tenure as SRO. At the end of your tenure you are expected to ensure the best possible handover of the programme and/or its outputs to a new SRO and/or business owners.

Objectives and performance criteria

The policy intent supported by this programme is ODP3 Legal migration and the border. A fundamental role of the migration and borders system is to enable increasing volumes of travellers to secure permission to travel to the UK and cross the border - while maintaining the UK’s national security - and stay for the period they are entitled to. The programme specifically supports Sub-outcome 5 – Facilitate the issue of passports, citizenship and provide identity and status services.

Any proposed changes to scope which impact upon this intent, the spending objectives or exceed Home Office tolerances for the realisation of benefits must be authorised by InvestCo and may be subject to further levels of approval.

The vision of the programme is to deliver modernisation, automation and digitisation of the passport service and its objectives are to:

• Complete the build of HMPO’s Digital Application Processing system so it processes 100% of applications
• Successful exit from legacy contracts
• Efficient and paperless back office driven by the Scanning, Validation and Storage solution
• Complete replacement of the legacy supported Main Index (the record of all historic and current passports issued) with HMPO’s own in-house solution called Passport Data Services (involving a new platform (Terminal Repository) and database).
• Complete deployment of Prysm, HMPO’s new Business Intelligence system, that allows us to report upon and manage the operational business
• Complete replacement of the Fraud Management Information (FMI) system with a new system, Optic, integrated into DAP
• Complete build of in house / Home Office Infrastructure & Platforms

If you do not believe these objectives can be delivered – either at all or within time, cost or other constraints imposed upon the programme, you should not sign this letter. If at any stage constraints are imposed upon the programme that mean you consider successful delivery has become unachievable you must escalate the matter to both your sponsoring DG and InvestCo. Such discussions must involve the Chief Portfolio Officer (CPO) and Corporate Finance Director.

You must agree personal goals relating to this role with your line manager. These personal goals and success criteria must be based on the template goals provided in Annex 2 to this letter. Elements may be added to the Delivery and Corporate Contribution Goals. Relevant stakeholders including line manager, Perm Sec and IPA CEO will be notified of major changes to the programme that impact delivery and personal goal.

You are expected to run your programme in accordance with the Government Functional Standard for Project Delivery, the other Functional Standards as applicable, and the requirements of the Government and Home Office Project Delivery Frameworks.

Extent and limit of accountability

Finance and Controls

HM Treasury spending controls and the Treasury Approval Point process apply to this initiative, and the details of each approval process must be agreed with your HM Treasury spending team. You should consult Home Office Portfolio colleagues on how to go about this.

The overall estimated budget, resourcing requirements and tolerances for this initiative will be agreed as part of the approval process. Budget responsibility currently sits with the Programme Director – to whom personnel also report. The Programme Director and the programme team will be expected to deliver within these tolerances and report quarterly on these as part of GMPP reporting. Funding approval for 2024/2025 has yet to be secured/ confirmed. Programme updates as well as a request for funding approval for 2024/2025 will be submitted to InvestCo in Spring 2024.

There is currently a live service overseen by DDAT and there will be times (given limited resources) where a live service change is prioritised over and above a programme request. You will utilise your SRO status to influence decisions and outcomes, however there will be occasions when the live service issue will be prioritised over programme delivery. There is a risk that variables such this and others outside of your control will impact on timeline, cost and the quality delivered. You should utilise your influence to resolve these issues or escalate to InvestCo and other relevant parties when required.

Moreover, you should influence and outline your priorities for funding and resource allocation to always operate within the rules set out in Managing Public Money. In addition, you must be mindful of the specific HM Treasury delegated limits and Cabinet Office controls relevant to this initiative. Information on these controls can be found here: Cabinet Office controls.

In addition to the above points, you will be expected to progress this initiative by influencing budget allocations in line with HM Treasury and Home Office allocations, and investment stages as agreed by InvestCo. InvestCo spend authorisations will be confirmed separately and will keep under review in the light of delivery progress.

Delegated authority

You are authorised to:

• Work with the programme budget holder (Programme Director) and influence expenditure up to the limits granted by InvestCo plus stage tolerances described by Home Office Portfolio Change Control. Appropriate authority must be sought for expenditure which breaches tolerances. The CPO and Corporate Finance Director should be involved in such discussions along with the Director General of Corporate and Delivery.
• Agree the rescheduling of delivery within the tolerances described by Home Office Portfolio Change Control. Exceeding these tolerances requires the agreement of InvestCo, and the CPO should be involved in discussions seeking such agreement; and
• Recommend to Joanna Rowland and InvestCo the need to either pause or terminate the initiative where appropriate 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.

You must escalate to InvestCo and DG Corporate and Delivery:

• Proposed changes to the programme scope which impact on the intent or its expected benefits realisation, or which have wider impacts for other programmes or projects, or for Home Office transformation more generally.
• Slippage or any proposed change which materially impacts on wider Home Office objectives, including ministerial objectives, or adversely affects completion of any of the programme stages or its funding.
• Issues which you are unable to resolve, including the need to either pause or terminate the programme where necessary.

Your role as SRO is a corporate responsibility and you are expected to:

• Establish and progress the programme in line with the Home Office Project Delivery Framework, ensuring the effectiveness of its governance, assurance and programme management arrangements, including:
  • Appointing, chairing and setting priorities for the Programme Board;
  • Ensuring the effectiveness and performance of the programme organisation;
  • Supporting the Programme Director to ensure the programme, including its PMO, to succeed;
  • Ensuring your programme’s delivery, resource & financial plans are collaboratively developed, properly integrated, baselined and used;
  • Ensuring delivery plans contain sufficiency contingency to properly manage expectations; and
  • Ensuring appropriate first line assurance is in place backed up by the commissioning of timely assurance and audit reviews.
• Ensure that the programme is progressed according to the Home Secretary’s agreed portfolio prioritisation, recognising that under some circumstances resource may need to be diverted to higher priority programmes and discussing with the CPO’s team any factors which may change the priority of your programme. In doing so, you will:
  • Ensure there is clarity about perceived constraints upon delivery as whether they are genuine constraints (such as imposed deadlines) or only desirable;
  • Keep a tight focus on the agreed scope and prevent the dilution of the programme’s objectives that can result from being used as a delivery vehicle for unowned requirements; and,
  • Ensure that the performance of all contracts (within your remit) used in the delivery of the programme is monitored with suitable qualified / experienced individuals appointed to actively manage those contracts.
• Submit the programme’s business cases and other reports as appropriate to InvestCo, the IPA and HM Treasury. In doing so, you will:
  • Monitor the programme’s status, its forecast timescales, costs and benefits and key risks and dependencies;
  • Report issues openly and transparently;
  • Require that the programme’s resource plans allow time for the continuous professional development of all team members;
  • Ensure that the programme’s business cases include sufficient funding for a properly resourced PMO and that you actively use the PMO to help you control the programme; and
  • Ensure that the programme’s business cases make specific funding allocations for networks, infrastructure and cyber security: should your programme need work performed on any of these areas, base these allocations on estimates agreed with the appropriate leads in Enterprise Services, and provide the funds identified for these purposes to those leads to deliver on your behalf.
• Ensure that the programme’s anticipated impacts upon business-as-usual operations are informing forecasts of those operations, including workforce planning and running costs.
• Lead the programme in a way which maximises delivery of shared corporate capabilities, for use across the Home Office and wider government.
• Ensure that Home Office data management principles are adopted in taking forward the programme to ensure that data is collected and stored in such a way as to enable sharing and reuse where appropriate, that it is protected in line with GDPR requirements.
• Take account of Home Office and wider government initiatives.
• Ensure that any legacy systems replaced by the programme are decommissioned as appropriate.

Appointments

There is currently a sitting Programme Director (Sarah Ormerod) in position and there is no need to appointment a new PD or undertake a recruitment campaign. However, the current Programme Director will require an appointment letter issued by the SRO. The SRO will be required to share this appointment letter with the Infrastructure and Projects Authority, and make other appointments as required for the control and delivery of initiative within your delegated authority.

In the event a new PD is required you should appoint a full-time Programme Director to support you in the management of this programme, share that appointment letter with the Infrastructure and Projects Authority, and influence the appointments as required for the control and delivery of initiative within your delegated authority.

Governance and assurance

As SRO, you must ensure that the programme secures business case approval from InvestCo and HMT, together with all relevant spend control approvals from Cabinet Office. You should also ensure that the initiative remains within the strategic outcomes, costs, timescales, and benefits described by the latest 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 accountable for following the Home Office Portfolio change request approval process and setting a new, approved, business case baseline.

The Accounting Officer assessment is complete and was published on GOV.UK as part of the government’s transparency requirements on major projects on 6th September 2022. You are accountable 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 Home Office’s overall strategic objectives. This means that you and your team are expected to work collaboratively with other SROs and Project Directors in associated projects and programmes and with the CPO and Home Office Portfolio and Project Delivery Directorate (PPD) to manage dependencies, resources, schedules, and funding to support delivery of the overall change the Home Office needs to achieve its strategic objectives.

You must 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 IPA.

Programme status, reporting and transparency requirements

We note the presentation provided to InvestCo in April 2023 recorded the status of the initiative at this point and is the agreed position as you assume formal ownership of the initiative.

You are responsible for ensuring the honest and timely reporting on the position of the programme to the IPA and PPD while it remains on the GMPP. Should it be relevant to the initiative, reporting should include carbon measurement, and other sustainable development goals in accordance with evolving government policy and standards. Information on the programme will be published annually by the IPA.

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 Home Office will assist you in securing the necessary resources to support the programme and sets via the Home Office Project Delivery Framework 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 Home Office’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 Home Office CPO for project delivery to discuss the maintenance and development of your delivery and leadership skills.

The IPA will be available to you for support, advice, and assurance throughout the initiative’s time on the GMPP.

The Passport Transformation Programme is already part of the portfolio, and the Portfolio and Project Delivery Directorate will continue to 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,

Sir Matthew Rycroft, Permanent Secretary, Home Office

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 Passports Transformation Programme including my personal accountability for implementation, as set out in the letter above.

Oliver Banner, 21 February 2024

Annex 1 - SRO Role and Responsibilities

The Role of the Senior Responsible Owner

You are personally accountable for ensuring the ongoing delivery of your Programme. You are responsible for securing the resources necessary for the success of the Programme and for ensuring that the related implementation and transition activities realise the agreed objectives and benefits. You will be personally accountable to Parliamentary Select Committees and be expected to explain the decisions and actions you have taken. This could include where a Minister has intervened to change the Programme during the implementation phase in a way which has implications for the cost and/or timeline of implementation. You will be able to disclose your advice about any such changes.

You must ensure the effectiveness of the governance, assurance and programme management arrangements and maintain them throughout the life of the Programme. You should adopt best practice and be prepared to justify any deviation from it, in line with the Government Functional Standard for Project Delivery and other guidance published by the Cabinet Office.

An SRO will:

• Be a visible, engaged and active project leader, not a figurehead;
• Deliver the agreed outcomes and benefits;
• Create an open, honest and positive culture committed to delivering at pace;
• Challenge senior officers and Ministers when appropriate and escalate quickly;
• Provide appropriate support, steer and strategic focus to the Programme Director and ensure that they have a clear and current letter of appointment; and
• Have sufficient time, experience and the right skills to carry the full responsibilities of the role.

Specific SRO accountabilities:

Ensure that the Programme is set up for success

• Ensure that the Programme is set-up to make an unambiguous and demonstrable link to strategic policy;
• Translate this policy intent into clear deliverables which are established and agreed with senior stakeholders;
• Carry out a robust and commercially viable options appraisal, which balances risk with opportunity, as part of initial programme feasibility;
• Establish a firm business case for the Programme during the initiation/definition phase and ensure that any planned change continues to be aligned with the business;
• Identify and secure the necessary investment for the Programme’s business case (this includes both budget and operational resource);
• Design and implement robust, appropriate and transparent programme governance; and
• Build strong and effective relationships with key stakeholders, justifying their trust and retaining their confidence, and obtain their commitment to benefits realisation.

Ensure that the Programme meets its objectives and delivers the projected benefits

• Gain agreement to the programme objectives and benefits amongst stakeholders, including ministers where appropriate;
• Ensure that the Programme’s anticipated impacts upon business as usual operations are informing forecasts of those operations, including workforce planning and running costs.
• Understand the broader government perspective and its impact on the Programme;
• Ensure the strategic fit of the programme objectives and benefits;
• Agree a clear and simple approach to performance management and monitor delivery of the objectives and benefits, taking appropriate action where necessary to ensure their successful delivery;
• Develop the programme organisation structure and plan;
• Ensure that there is a coherent organisation structure and appropriately detailed programme plan;
• Build the right team, securing necessary resources and skills and providing clear lines of accountability; and
• Provide appropriate support, steer and strategic focus to the Programme Director.

Monitor and take control of progress

• Monitor and control the progress of the Programme at a strategic level, being honest and frank about its progress, risks and issues;
• Ensure that any changes to agreed programme benefits are flagged appropriately within programme governance and that the business case is updated accordingly (throughout programme lifecycle);
• Ensure that the integrity of the Programme is maintained and speak truth to power – including to Parliamentary Select Committees; and
• Communicate effectively with senior stakeholders regarding programme progress and provide clear, appropriate and delivery-focused decisions and advice to the Programme Director.

Ensure problem resolution and referral processes are appropriate and effective

• Identify, understand and drive the successful mitigation of programme risks;
• Escalate serious issues quickly and with confidence to senior management and/or Ministers;
• Develop strong and effective engagement between the programme team and its stakeholders and sponsors;
• Ensure that communication processes are effective and that the Programme’s objectives and deliverables continue to be consistent with the organisation’s strategic direction;
• Ensure that the Programme is subject to suitable assurance arrangements, including reviews at appropriate stages, and that these are captured in an Integrated Assurance and Approval Plan (IAAP) that includes commercial, technical, financial and other assurance;
• Recognise the value of robust programme review and ensure it occurs at key points in the programme lifecycle, particularly at the pre-initiation (feasibility) and initiation stages;
• Make certain that any recommendations or concerns from reviews are met or addressed in a timely manner; and
• In the event of a ’red’ or ’amber-red’ review or a ‘red’ or ‘amber-red’ quarterly GMPP review rating, ensure that the Permanent Secretary (copying in the Chief Portfolio Officer) has been made aware of the situation and has been briefed accordingly.

Manage formal programme closure

• Formally close the Programme and ensure that the lessons learned are documented within the final evaluation report and disseminated to key stakeholders;
• Ensure that the post implementation review takes place and that the output is communicated to appropriate stakeholders;
• Ensure that arrangements for a return on investment report, including benefits realisation plans are agreed with the Portfolio and Project Delivery Directorate (PPD); and
• Ensure a plan for both long term benefits realisation and on-going sustainability is agreed with key stakeholders as part of the process of transitioning the Programme to “business as usual”.

Annex 2 - SRO Goals and Success Criteria

Business Delivery Goal - Description

As SRO for the Passport Transformation Programme, I will carry out my role in accordance with my letter of appointment. I will achieve this goal by creating high performance in Programme delivery covering the outcomes and scope agreed with Investment Committee (InvestCo) to the time and cost / benefits plans last baselined with InvestCo, and those requirements and constraints outlined in my SRO appointment letter.

The scope of Passport Transformation delivery is to digitise and automate passport applications and support the key dependencies such as Digital Customer Services (DCS) platforms, and Scanning, Validation and Storage (SVS) to do that. The Programme is in its final stages with around 90% of applications now being processed end to end through the new Digital Application Processing (DAP) system. The programme is due to conclude in spring 2025 and has its final InvestCo approval in spring 2024.

I will establish / maintain a culture of learning, collaboration and transparency across the Programme and with dependent stakeholders, in particular transparency of performance i.e. when performance / standards have and or have/will not be achieved, or where assistance / interventions are required. I will build a Programme team that has strong Project & Programme delivery skills, including a capable PMO that provides the data, information and insight required to inform decision making and to make the necessary interventions, underpinned by appropriate governance structures and change control mechanisms. I will ensure compliance with the Home Office Project Delivery Framework and address any identified gaps in performance or development to ensure compliance.

Success Criteria

• Programme performance regarding time (schedule and milestones), scope, cost (financial forecasts) and benefits, including the management of identified dis-benefits. Performance data / feedback will be supplied from PPD / CPO / HoP.
• Actual time commitment and review against that.
• Programme’s consistent application of Microsoft Project Online standards and compliance with the Home Office Project Delivery Framework – compliance reports supplied by PPD and any gaps addressed / rectified.
• Feedback from the IPA in relation to formal quarterly reporting and any actions / recommendations.
• Quality and timeliness of actions in response to assurance and audit recommendations
• Evidence of analysing, collecting and sharing of Lessons learned across the Programme and wider Portfolio / sub-Portfolios.
• Evidence of creating a psychologically safe and inclusive environment for Programme team members by role modelling curiosity, acknowledging own fallibility, and framing work as an opportunity to learn and develop.
• Acting on the provision of data provided by PPD on the proportion of my Programme team using the Government Online Skills Tool to understand skills and development needs, ensuring that their development and progress against actions are recorded. Continuing to promote Project Delivery Accreditation ensuring that 10% of project delivery professionals within my Programme are accredited by January 2025.
• Management and evidence of Programme resourcing risks / issues and recruitment and staff deployment activity has been undertaken to address capacity gaps across the Programme, and includes adherence to workforce and recruitment controls, as set out in relevant delegation letters.

Corporate Contribution Goal - Description

As SRO for Passport Transformation Programme, I will support the Home Office SRO and Project / Programme Delivery community through the provision of support, advice and guidance to other SROs and/or, as required, to staff developing their skills, knowledge and experience to become future SROs.

Success Criteria

• Proactively looking out for my SRO colleagues, creating space for the community to be open about the challenges faced, and pulling together as one community.
• Volume and quality of interaction and support across the SRO community, e.g. assist knowledge and skills gaps - specific upskilling interventions made and the impact – feedback from colleagues and the PPD / CPO / HoP (feedback supplied)
  • attendance / interaction, e.g. PPD-led SRO events and also IPA-led activity
  • sharing Lessons Learned with other SROs/the wider Project Delivery Community
• Awareness of the wider operating and Portfolio environment and supporting the wider Project / Programme delivery community to adjust to priorities and the unforeseen, including proactive reprioritisation of work and resource, and collaborating across boundaries to seek out expertise and experience of others.

Development Goal - Description

As part of my SRO role, I have graduated from MPLA 18 September 2023. I will also undertake Creating a Digital Culture Training within six months (provisional completion date July 2024). I will also undertake an IPA Assurance Review of another major programme each FY.

Success Criteria

• I will have completed the online mandatory ‘Creating a Digital Culture’ Training as set out for all Home Office SCS by July 2024.
• Completed the IPA review by May 2024.