Home Office Delivery Readiness Assessment Lifecycle
The readiness assessments aim to enhance visibility and scrutiny of new programs and projects within the Home Office change portfolio. These assessments support project initiation, deeper scrutiny of investment proposals, and assure closure and transition plans to Business as Usual. They involve key partners in open discussions, address project issues, and encourage self-assessment for project initiation and closure.
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Slide 2 Aims and Objectives Home Office Delivery Lifecycle and Readiness Assessment Products Slide 3 Readiness Assessments and the Assurance and Approvals Process Slide 4 Format of the meeting Readiness Assessment Slide 5 Ideas or Initiation Phase Readiness Assessment Slide 6 Slide 7 Delivery Phase Readiness Assessment Delivery Phase Readiness Assessment options and criteria Slide 8 BaU Transition/Closure Readiness Assessment Slide 9 High Level Process for each Readiness Assessment Slide 10 Supporting Materials and Templates Slide 11 Home Office Readiness Assurance Guidance Portfolio and Project Delivery Directorate (PPD) September 19, version 3 1
Aims and Objectives Readiness Assessments aim to increase the visibility of new programmes and projects ( projects ) prior to the consideration of their entry to the Home Office change portfolio and throughout the project delivery lifecycle. They will: Support project initiation to help the development of projects ahead of the formal assurance and approval process Provide deeper scrutiny of investment proposals before consideration by the Portfolio and Investment Committee (PIC) Assure plans for closure and transition to Business as Usual (BaU) before PIC agrees closure (transition readiness assessment sits alongside other assurance interventions at closure and projects should select the most appropriate assurance intervention(s) in consultation with the PPD assurance team) Readiness assessments are part of the assurance and approvals process and should be planned for and included in an integrated assurance and approval plan (see slide 4 for further information). Readiness assessments aim to: Bring together key partners from business areas and Corporate Services for an open discussion Explore key issues appropriate for the project stage before formal assurance and approval Provide support for projects to address issues directly with key partners Projects are encouraged to carry out a self-assessment before the readiness assessment, which will enable them to consider all pertinent actions for project initiation and closure. 2
Home Office Delivery Lifecycle and Readiness Assessment products Stages Ideas Idea Development Review Approval to proceed Stages Strategic Outline Business Case) SOBC Outline Business Case (OBC) Full Business Case (FBC) Programme Business Case (PBC) Post FBC Stages Plan Pre-closure Closure Post Closure Delivery Readiness Assessment Closure Readiness Assessment Initiation Readiness Assessment Formal Touchpoints Impact Assessment Reporting Assurance event (incl. Assurance self assessment) Infrastructure and Projects Authority (IPA) Liaison Formal Touchpoints Closure discussion between PPD and project OGD Liaison Assurance event (incl. assurance self-assessment) IPA Liaison Business benefit reporting Formal Touchpoints Assurance event OGD liaison Involved in this phase (external to project and stakeholders) PPD IPA Economists Finance Commercial Relevant delivery interests Sub-portfolio Involved in this phase (external to project and stakeholders) PPD IPA Other Government departments (OGD) Economists Finance Commercial Relevant delivery interests Sub-portfolio Involved in this stage (external to project and stakeholders) PPD IPA OGD Finance 3
Readiness Assessments and the Assurance and Approvals Process Appraise and Select (Initiation) Define (Investment approval) Operate, embed & close Feasibility (Idea) Benefits realisation Deliver Readiness Assessment Project Validation Review (PVR) Gate 5 (operations) or Exit review Gate 1 Business Justification Gate 2 Delivery Strategy Gate 3 Investment Decision Gateway 4 Readiness for service Gate 5 (benefits realisation) Project Assurance Project Assessment (PAR) or Gate 0 (strategic Assessment) Project Validation Review (PVR) Gate 0 Review or Exit review Gate 0 with focus on benefits realisation Programme Assurance PAR or Gate 0 PAR or Gate 0 PAR or Gate 0 BDA: assures strategic fit and deliverability PIC: Business Case Approval (OBC, FBC or PBC) Data Board: compliance with data strategy Governance PIC: Return on investment(RoI) report PIC: Agree Closure TDA: assures technical solution HMT, GDS, CCS and MPRG consideration if required CAB: assures commercial approach 4
Format of the meeting Each meeting will have a tailored input from the project; this can take the form of a presentation drawing on existing project documentation appropriate for the stage. Meetings will also draw on external reference material such as guidance or finance allocation There will be a tailored agenda appropriate for the project stage and a proposed list of attendees The outcome of each meeting will be a note with recommendations and actions The schematic below illustrates how elements work together The following slides show the specific elements for each readiness assessment INPUT: EXTERNAL KEY REFERENCE Material produced outside the project that needs to be referenced at this stage e.g. financial allocation OUTCOMES Note of the meeting covering decisions, key issues, actions outline of documents specific to the project stage Readiness Assessment Proposed Agenda and areas to copy appropriate to the project stage (90 minute workshop) INPUT: PROJECT Internal to the project Key information about the project appropriate to the project stage This could take the form of a presentation, where possible summarising actual project documentation Where appropriate, draw on a self-assessment INPUT: KEY ROLES Proposed chair and key participants appropriate to the project stage List of suggested additional invitees for consideration 5
Ideas or Initiation Phase INPUT: EXTERNAL KEY REFERENCE Overall Portfolio Map Portfolio Indicative Allocations Business Area Budget Business Area Transformation Plans OUTCOMES Notes of initiative, decisions, key issues, actions Recommendation for portfolio adoption/tier Plans to engage with Business Design Authority (BDA), Technical Design Authority (TDA) Commercial Approvals Board (CAB) and Data Board as applicable Integrated assurance and approval approach Detailed approach to next approval point Initial contact with key assurance and scrutineer colleagues IDEAS/INITIATION READINESS ASSESSMENT 90 minute workshop, examining: Strategic Fit Benefits Affordability Deliverability What do we know? What don t we know? How will we plug the gaps? What needs to change? Next Steps? INPUT: PROJECT Ownership Evidence of strategic need Stakeholders Outcomes Objectives Constraints and assumptions Scope and exclusions Delivery approach High Level Plan Dependencies/interfaces Requirements for impact assessments Cost estimate and evidence of funding availability Benefits map and estimate Risk Potential Assessment (RPA) and risk exposure Resource requirement Lessons learnt INPUT: KEY ROLES Project and Portfolio Directorate Chair and Notetaker Senior Responsible Owner (SRO), Programme Director (PD), Project Manager (PM) Business/operational teams Commercial Directorate (refer to the Outsourcing Playbook) Corporate Financial Planning Team Strategy Directorate Digital, Data and Technology (DDaT) Cyber GRA Networks and Infrastructure (email - N&I Capability Programme) Economic Assessment Unit (EAU); (Decision Support for Operations) Finance Business Partner CONSIDER INVITNG Infrastructure and Projects Authority PPD Capability Team 6
Delivery Phase INPUT: EXTERNAL KEY REFERENCE Overall Portfolio Map Project Delivery framework Portfolio Indicative Allocations Business Area Budget Business Area Transformation Plans OUTCOMES Approval to proceed to PIC Notes of initiative, decisions, key issues, actions High level Investment Appraisal incl. potential PIC recommendations Confirmed Integrated Assurance and Approval Plan Detailed approach to next approval point DELIVERY READINESS ASSESSMENT 90 minute workshop, focusing on obtaining the necessary assurance for PIC on the reliability of the programme s cost estimates and profile, programme specific issues and that the optimum approach is being pursued to meet its priority requirements and to support any discussions on affordability. Project performance? Affordability? How will we plug any gaps? What needs to change? Next Steps? INPUT: PROJECT Output from PIC appearance (where available) Business Case and supporting assurance Outputs from BDA, TDA and CAB Detailed plans and delivery against plans Benefits realisation plans Historic spend record Requested spend profile Evidence of funding availability Confirmation of strategic need Constraints and assumptions Scope and exclusions Delivery approach Confirmation of dependency / interface delivery RPA and risk exposure Resource requirement INPUT: KEY ROLES Project and Portfolio Directorate Chair and Notetaker SRO, PD, PM Commercial Directorate Corporate Financial Planning Team Strategy Directorate DDaT Cyber GRA Networks and Infrastructure (email - N&I Capability Programme) EAU (Decision Support for Operations) Benefits Owners (Business/operational teams) for OBC, FBC and PBC PIC appearance Finance Business Partner / Project Accountant CONSIDER INVITNG Infrastructure and Projects Authority Business/operational teams PPD Capability Team PPD Assurance Lead 7
Delivery Readiness Assessment (DRA): consideration criteria Criteria No DRA Desk based DRA Full/formal DRA Cost Below 5m WLC On track with spending Above 5m WLC; and Within spend tolerance Above 5m WLC; and Significant over / underspend Type of programme CAB approved contract renewal BAU spend Project Programme Programme Portfolio Portfolio Tier Business transformation (Tier 3) unless novel and contentious Mission Critical or GMPP (Tier 1/2) Not novel and contentious Subject of a PIC sub-group Novel and contentious Business case Business case has been developed with input from relevant assessors (FPU, EAU, PPD) Assessors content and have not raised any issues Well-established business case, developed with input from relevant partners Regular engagement with external approvers, where necessary Business case is late in arriving (history of late business cases) Limited engagement with partners and external approvers Change of scope not proactively managed Latest Assurance Review DCA Amber/green or amber Recommendations have been addressed No assurance necessary Amber Recommendations have been addressed Amber/Red or Red In reset External assurance interest (PAC, HASC, NAO, MPRG) Dependencies Dependencies within business area Dependencies within system Dependencies across systems, or across departments Concerns about dependency management Risks No black risks, red risks are proactively managed 0 to 2 black risks; or black risks are proactively managed More than 2 black risks Limited evidence of proactive risk management Governance Regular and proactive board engagement and decision making where appropriate Regular and proactive board engagement and decision making Evidence that board meetings are often cancelled at short notice Limited decision making 8
BaU Transition/Closure Phase INPUT: EXTERNAL KEY REFERENCE Project Delivery Framework OUTCOMES Closure plan, including PIC appearance timing Resource (finance and people) hand back plans Return on Investment Report CLOSURE READINESS ASSESSMENT 90 minute workshop, confirming: Readiness for closure Transition plans Resource hand back plans Asset handback plans BaU Arrangements Delivery performance? Financial performance? Follow on actions? Business area readiness? INPUT: PROJECT Closure case and supporting assurance BDA, CAB, TDA outputs Draft Return on Investment Plan, including PIC appearance timing Delivery against plans Benefits realisation plans Spend record Resource requirement Follow on action plan Notes of initiative, decisions, key issues, actions Lessons learnt and PIR arrangements INPUT: KEY ROLES Project and Portfolio Directorate Chair and Notetaker SRO, PD, PM Project Accountant PPD Capability Team Benefits Owners (Business/operational teams) CONSIDER INVITNG Infrastructure and Projects Authority PPD Assurance Lead Business/operational teams DDaT Commercial Directorate Finance Business Partner 9
High Level Process for each Readiness Assessment Identification Identification of initiatives for readiness assessment. Sources include: Contact with Business areas/programmes Monthly reporting Quarterly review funding candidates Assurance outcomes Project seeks approvals Project Closure notification Readiness Assessment PPD Portfolio Business Partner (PBP) advises PPD Governance team and register on system Project may carry out self-assessment to prepare for readiness assessment PBP undertakes initial assessment of initiative to include: Owner Objectives Approach Issues to be explored PBP agrees detailed Terms of Reference (ToR,) which informs facilitation and invite list If external facilitator PBP agrees approach and provides template brief Governance team book room and issue agenda PBP to prep and run readiness assessment (facilitating or supporting facilitator) Post Readiness Assessment PBP to issue notes PBP to advise governance team PBP to follow up actions, including brokering support provision 10
Supporting Materials and Templates Project delivery guidance on Horizon and K-Hub Government guidance on Outsourcing: the Outsourcing Playbook Assurance Guidance (available from PPD) Agenda templates for readiness assessments Notes templates for readiness assessments Self-assessment templates for Project initiation (available from PPD) Project closure (available from PPD) 11
