OGC Best Practice – Gateway to success...The OGC Gateway™ Process A manager’s checklist 3 1 2 5 4 0 OGC Best Practice – Gateway to success. This is a programme-only review

The OGC Gateway™ Process

A manager’s checklist

3

21

5

4

0

OGC Best Practice – Gateway to success

This is a programme-only review that investigatesthe direction and planned outcomes of theprogramme, together with the progress of itsconstituent projects. It is repeated over the life ofthe programme at key decision points.

Why do we have to deliver this programme,and does it have to be done now?Is there a good strategic fit:

with other programmes planned or underway?with wider organisational and publicsector strategies?

Who are the main stakeholders, and do wehave their support?Do we understand the scope and what willconstitute success?Are there realistic plans for achieving andevaluating the desired outcomes, and how willwe monitor progress?Have we identified the main programme risks, including the track record of theorganisation and made effective arrangementsfor managing them?Are we confident that we have the right skills,leadership and capability to achieve success?Are appropriate management controls in place?Has provision been made for the financial andother resources required?Have we engaged adequately with the marketto identify delivery options?

Strategic assessment (for programmes only)

Ongoing strategic assessmentThe need for the programme confirmed;

check that it is likely to achieve the desired outcomes

OGC Gateway™ ProcessReview 0

This first Project Review comes after the StrategicBusiness Case has been prepared. It focuses onthe project's business justification, prior to the keydecision on approval for a development proposal.

How does this project contribute to widerorganisational and public sector strategies,within and outside the organisation?Is the Strategic Business case complete androbust – does it meet the needs of thebusiness, is it affordable and achievable, will it deliver value for money?Are the scope, scale and requirements realistic,clear and unambiguous?Do we have internal/external authority and stakeholder support for the project?Have the critical success factors and desired benefits been identified and agreed with stakeholders?Have we explored a sufficiently wide range ofoptions to meet the business need andidentified a preferred way forward?Have we identified major risks, and do wehave outline risk management plans?Can we confirm our planning assumptions, andare there plans, for the project in place for thenext stage?Is there a clearly defined and agreed projectmanagement structure, with key roles andresponsibilities identified?Has the interest of the market beenconsidered?

OGC Gateway™ ProcessReview 1 Business justification

Business justificationThe business requirement can be

delivered; affordability, achievability and value for money established

This Review investigates the Outline Business Caseand the delivery strategy before any formalapproaches are made to prospective suppliers ordelivery partners. The Review may be repeated inlong or complex procurement situations.

Is the Outline Business Case complete and robust, and does it still meet the business need?Are the requirements clear and unambiguous,and are they aligned with the programme towhich the project contributes?Are we being realistic about our ability toachieve a successful outcome?Have we explored all relevant options fordelivery of the requirement?Is the recommended delivery strategy robust,legal and appropriate, with the right approachto development and implementation that isbroken down into manageable components?Is the Project Plan, through to completion,sufficiently detailed and realistic?Do we have the right skills, capabilities andmanagement expertise to ensure success?Do we have adequate financial controls,funding and resourcing? Can we confirmavailability of funding for the whole project?Do we have enough commercial expertise tounderstand the supplier market capability andtrack record?Do we have adequate risk and issuemanagement plans and procedures?

Delivery strategy

Delivery strategyThe acquisition and delivery strategy

are appropriate for the desired business change; implementation

plans are in place


This Review investigates the Full Business Caseand the governance arrangements for theinvestment decision. The Review takes placebefore a work order is placed with a supplier,funding and resources committed.

Can we confirm the Full Business Case andBenefits Realisation Plan, now that we haverelevant information from prospectivesuppliers?Are the objectives of the project still alignedwith those of its programme and widerorganisational and public sector strategies?Is the recommended decision on deliveryapproach likely to deliver what we need ontime and within budget, and will it providevalue for money?For procurements: Have we followed theagreed procurement strategy, and have wemet all statutory and procedural requirements?Do we have continuing stakeholder support forthe project?Do we have sound plans for managingimplementation, risk and change, and are theyagreed across the supply chain?Have we addressed the technical implications,such as “buildability” for construction projects, and information assurance for IT-enabled projects?Do we have the expertise and resources tomanage the supplier relationship, and areappropriate management controls in place?Have we agreed draft contracts and/or ServiceLevel Agreements?

Investment decision

Investment decisionThe project is still required, affordable

and achievable; implementation plans are robust; investment decision

is appropriate


This Review focuses on the readiness of theorganisation to go live with the necessarybusiness changes, and the arrangements formanagement of the operational services.

Is the Full Business Case still valid andunaffected by internal or external events or changes?Can we confirm that the Benefits RealisationPlan is likely to be achieved?Are commercial/legal arrangements with thesupplier up-to-date?Can we confirm that our plans for managingimplementation, roll-out and operation areachievable and that we have the resources we need?Are management controls in place to managethe project through to operation?Do we have shared plans for managing risk, with contingency and business continuity plans in place?Has full user and system testing and/orcommissioning been done to our satisfaction so that we can approve full implementation and roll-out?Is the business ready to implement thebusiness change, with the necessary resourcesin place?Do we have client-side plans for managing the working relationship, including contractmanagement, reciprocated on the supplierside?Are lessons for future projects being identifiedand recorded?

OGC Gateway™ ProcessReview 4Readiness for service

Readiness for serviceThe organisation is ready to make the transition to implementation; ownership and governance are in

place for operation

This Review confirms that the desired benefits ofthe project are being achieved, and the businesschanges are operating smoothly. The Review isrepeated at regular intervals during the lifetime ofthe new service/facility.

Was the Business Case justification for theproject at OGC Gateway Review 3 realistic, and are the expected benefits actually being delivered?Have we done a post-implementation reviewor equivalent review of business benefits?Do we have enough skills and resources tomanage the contract/SLA successfully and withcontinuity of key personnel?If we have made agreed changes, can we besure that they do not compromise anyrequirements of the procurement approachadopted (e.g. change of scope)?Is there still a business need for thiscontract/SLA? If circumstances have changed,are the service delivery approach and contractadapting to the new situation?Are we actively seeking to improve value formoney and performance?Are we ready for the future, with plans forfuture service provision?Are we managing the working relationshipeffectively, with the right ‘intelligent customer’ skills?Are the exit strategy and arrangements forrecompetition still appropriate?Are we actively learning from experience andsetting maturity targets?

Operations review & benefits realisation

Operations review & benefits realisation

Confirm smooth operation, delivery ofoutputs, and achievement of benefits


A workbook for each OGC GatewayTM Review provides areas of investigation to support eachreview. The workbooks can be downloaded from the OGC website, which also includes guidance on procurement, and programme & projectmanagement: www.ogc.gov.uk

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The wider context of theOGC Gateway™ Process

Policyimplementation

PROGRAMME

STARTPROGRAMME

CLOSEPROGRAMME

DELIVERPROGRAMME

Managedelivery

Key decision point

Key decision point

Key decision point

Managedelivery

Key decision point

Managedelivery

Key decision point

Close

Policy design& evaluation

Developprogramme

mandate

Developprogramme

brief

Key decision point

MidGateway 0

FinalGateway 0

EarlyGateway 0

OGC GatewayReview 0:

Strategicassessment


Strategicassessment


Strategicassessment


Strategicassessment


Strategicassessment


Strategicassessment

Feeds into subsequent programmes

The wider context of theOGC Gateway™ Process

OPERATIONALSERVICE

Developbusiness

case

Developdeliverystrategy

Establish service

Undertakecompetitiveprocurement

Key decision point

Key decision point

FinalGateway 5

MidGateway 5

InitialGateway 5

Key decision point

Close project,manage

delivered solution

andperformance

Decommissionsolution/exit

contract

Key decision point

Key decision point

Key decision point

PROJECT(S)

Policyoperation

Policyreview

Design,build, test


Operational reviewand benefitsrealisation


Business justification


Deliverystrategy

OGC GatewayReview 3:Investment

decision


Readinessfor service





How to use this guide

The questions in this guide help a SeniorResponsible Owner (SRO) to prepare for an OGC GatewayTM Review, by considering how their programme/project is progressing at the key decision points, and the potential for success. Each question relates to a critical aspect of theprogramme/project, which will be addressed in the relevant Review.

Further guidance on programme and projectmanagement, and on the OGC Gateway Process,can be found at www.ogc.gov.uk.

What are OGC Gateway Reviews?

These are reviews carried out at key decision pointsin a programme or project, by a team ofexperienced people, independent of theprogramme/project team.

OGC Gateway Review 0 is for programmes only andis repeated throughout the life of the programme.OGC Gateway Reviews 1-5 are for projects.

Value of the OGC Gateway Process

OGC Gateway Reviews are used to provide avaluable perspective on the issues facing theinternal team, and an external challenge to therobustness of plans and processes.

The OGC Gateway Process provides support toSROs in the discharge of their responsibilities toachieve their business aims, by helping the SRO to ensure:

the best available skills and experience aredeployed on the programme or projectall the stakeholders covered by theprogramme/project fully understand the currentstatus and the issues involvedthe programme/project can progress moreconfidently to the next stage of development,implementation or realisationachievement of more realistic time and costtargets for the programme/project.

Tailoring the OGC Gateway™ Review

The workbooks published by OGC provide guidanceon the structure of each OGC Gateway Review, and the areas of investigation to be addressed bythe Review Team, together with examples of theevidence which would demonstrate the satisfactorynature of responses to the various topics.

These topics and the examples of evidence shouldbe regarded as indicative and not prescriptive;within the overall objectives of each Review, theReview Team will consider whether additional ordifferent topics need to be addressed, and theevidence to be sought. Approaches may varyaccording to the context of the programme or project.

Where a Review is repeated, there will be variationsin the emphasis attached to each Review.

Role of the SRO

An OGC Gateway Review is conducted on aconfidential basis for the SRO, who has the prime responsibility for initiating the Review. The ownership of the Review Report rests with theSRO, who is accountable for the implementation ofthe recommended remedial action and theprogramme/project progression.

The SRO is the individual responsible for ensuringthat a programme of change or a project meets itsobjectives and delivers the projected benefits.He/she should be the owner of the overall businesschange that is being supported by the project. The SRO should ensure that the change maintainsits business focus and has clear authority, and thatthe context, including risks, is actively managed. This individual must be senior and must takepersonal responsibility for successfully delivery. The SRO should be recognised as the ownerthroughout the organisation.

OGC Gateway™ Reviews as part of the assurance framework

Every public sector body will have its ownstructures and resources for carrying out internalreviews, healthchecks and audits of its activities,including programmes and projects. The OGCGateway Process provides a snapshot view ofprogress, at a point in time and, therefore, shouldbe seen as complementary to these internalprocesses, not a replacement for them.

None of these review processes is a substitute for arigorous governance framework in the organisationto manage key processes including businessplanning, investment appraisal and business casemanagement (including benefits management),programme and project portfolio management, risk management, procurement/ acquisition, service& contract management.

What are the things you must getright for successful delivery?

Recent lessons learned from OGC GatewayReviews, and investigations into project failures,identify these factors as essential for success:

clear senior management ownership and leadershipappropriate skills for the programme/project teamclear roles and responsibilities effective financial controlsuccess criteria that clearly link objectives tooutcomes, and clear links with theorganisation's key strategic prioritieseffective risk managementsound commercial knowledge of the suppliermarketplace, linked to the requirement, and management of the supplier over thecontract terminvolvement of key stakeholders throughout theprogramme/projectbreaking development and implementation intomanageable stepseffective project team integration betweenclients, the supplier team and the supply chain.

Which programmes and projectsneed an OGC Gateway™ Review?

OGC Gateway Reviews are applicable to a widerange of programmes and projects, including:

policy development and implementationorganisational change and other change initiativesacquisition programmes and projectsproperty/construction developmentsIT-enabled business changeprocurements using or establishing framework arrangements.

The principles and process in this checklist can alsobe applied to management of other areas ofexpenditure in the organisation. The OGC GatewayProcess is mandatory for procurement, IT-enabled,and construction programmes and projects incentral civil government.

Why getting programmes andprojects right matters?

Programmes and projects provide an importantvehicle for the efficient and timely delivery ofgovernment aims. Procurement expenditure throughprogrammes and projects is therefore a significant,and increasing, proportion of total governmentexpenditure. Good and effective management and control of programmes and projects istherefore essential to the successful delivery ofgovernment objectives.

What is the process?

Every OGC Gateway Review goes through asequence of activities, as indicated in the diagram,starting with the completion of a Risk PotentialAssessment (RPA) by the SRO and concluding withthe delivery of the final Review Report.

Each Review takes 3-4 days, and is undertaken by aReview Team of 3-4 reviewers. A spirit of opennessand a willingness to work together are essential tothe achievement of a useful Review Report. The Review aims to produce candid and practicalrecommendations, based on Best Practice.

Overview of the OGC Gateway™Review process

Initiating an OGC Gateway Review

The typical sequence of events is as follows:

The SRO contacts the local Centre ofExcellence (COE) or Departmental Gateway Co-ordinator (DGC) as soon as a requirementfor a Review is established, and completes a Risk Potential Assessment (RPA)The COE/DGC sends a copy of the completedRPA to OGC OGC arranges an Assessment Meeting with theSRO/Project Manager to, understand theprogramme/project key issues and assessreadiness for Review before selecting the teamOGC requires 8 weeks in order to undertake thenecessary planning and team selectionThe Review Team Leader makes initial contactwith the SRO to confirm the agenda for thePlanning MeetingA Planning Meeting is heldBefore the Planning Meeting, the Programme/Project Team will plan and undertake all theadministrative aspects involved in setting up aneffective Review.

RPA – completed by SRO, sent to OGC

Assessment Meeting – agree need for Review

Identify & engage Review Team

Review Team Leader – initial contact with SRO

Planning Meeting – agree logistics for Review

Reading time by the Review Team

Review – issue draft Review Report to SRO

Get feedback and finalise Review Report

Planning for an OGC Gateway™ Review

The OGC Gateway Process incorporatesa Planning Meeting that takes place up to2 weeks before the Review.

The Planning Meeting is where the Review andProgramme/Project Teams meet for the first time.The outcomes of the Planning Meeting are:

understand the Review process and agree theCode of Conduct for the Reviewshare information on the current status of theprogramme/projectclarify the issues that the Review Team willfocus onconfirm the documents neededconfirm the stakeholders to be interviewedagree the logistics for the Reviewconfirm appropriateness of the Review Teamorganisation and skillsidentify any problems affecting the Review, and agree remedial action.

Conducting an OGC Gateway Review

Each workbook suggests a schedule of thedocumentation that is likely to be useful for eachGateway Review.

The Review team establishes its findings primarilyon the basis of:

the documentation supplied by the programme/projectinterviews with key staff and stakeholders.

A schedule of interviews is confirmed at thePlanning Meeting. The Review Team uses theseinterviews to establish the scope, stakeholders, theirlevel of commitment, progress to date, major risksand issues.

The Review Team produces a report summarisingthe findings and recommendations. Ownership ofthe report, recommendations and actions rests withthe SRO. OGC also receives copy of ReviewReports for the analysis of VFM and lessons learned.

Documents

OGC Best Practice – Gateway to success...The OGC Gateway™ Process A manager’s checklist 3 1 2 5 4 0 OGC Best Practice – Gateway to success. This is a programme-only review