Delivering the Tranches |
 Managing the Tranches is the combination of processes and activities which keeps the balance between the rates of potential change being delivered by projects with the ability of the organisational to absorb that change. The activities are designed to ensure that controls are in place and working. They also focus on ensuring that the programme remains aligned to the organisations strategic direction. Problems with projects and realising the benefits are managed at this level. |
Objective:
This is a major review point that commits the organisation again to the strategic direction of the programme and the way it is controlled.
Detail:
This is a major activity and a point where the Portfolio Board can decide to stop the programme or continue into the next Tranche.
This needs to be handled formally to make sure that the commitment to continue is transparent and auditable.
If the decision to stop the programme is made, then the process of Close the Programme is triggered.
Governance Structure
Task:
Check strategic alignment of the programme outcomes.
Confirm that the gate reviews of projects are effective.
Confirm that the support of high impact stakeholders is in place.
Confirm the stability of business operations.
Document lessons learned from the Tranche.
Initiate independence assurance of the viability of the programme direction.
Task:
Check strategic alignment of the programme outcomes.
Confirm that the gate reviews of projects are effective.
Confirm that the support of high impact stakeholders is in place.
Confirm the stability of business operations.
Document lessons learned from the Tranche.
Initiate independence assurance of the viability of the programme direction.
Guidance:
This work to gain the approval will be led by the SRO, but with the support of the programme team.
Having an independent review of the programme and how it has achieved progress and decisions would be a wise move to ensure thoroughness.
The governance theme is checking that the political support is in place for the level of change, it should also be ensuring that there is thorough impact assessments on other initiatives for alignment.
The current membership and terms of reference for the programme board should be reviewed and updated to reflect the changing roles as the programme moves forward.
Input:
Programme Governance arrangements
Project Dossier
Programme plans
Business Case
Links:
Output:
Approval to proceed to next tranche or Close the Programme
Document sessons learned from the tranche
Revised programme governance framework
Revised programme plans
Revised programme business case
Management Control
Task:
Check that the proposed controls for the next stage are robust and appropriate.
Maintain an audit trail of decisions.
Review effectiveness of project controls.
Gate review should be undertaken in line with the assurance plan.
The level of issues and the ability to resolve should be included in the decision process.
Task:
Check that the proposed controls for the next stage are robust and appropriate.
Maintain an audit trail of decisions.
Review effectiveness of project controls.
Gate review should be undertaken in line with the assurance plan.
The level of issues and the ability to resolve should be included in the decision process.
Guidance:
At this point the programme could be preparing to move into the next tranche or planned or premature closure, the actual review will depend on these.
For the gate review the controls should ensure that the approvals are auditable and any changes are recorded and actioned.
The gate should be undertaken in accordance with the assurance plan.
The gate should ensure that controls from the programme are being applied consistently to projects.
The approval should be auditable. The Authorisation must take into account the internal review.
The assurance plan will need to be reviewed and may need to be updated for the next stage.
The effectiveness of the programme in controlling the projects and their alignment with the framework should be part of the review.
Input:
Governance and control lessons learned
Programme Issue Register
Programme assurance plan
Programme plans
Links:
Output:
Approved programme controls
Revised assurance plan for next stage
Benefits Management
Task:
Prepare the business performance monitoring metrics in first tranche.
Review and confirm m the projected benefits and their ownership.
Independent assurance of the validity and viability of the benefits.
Review effectiveness of benefits management strategy.
Identify benefits management lessons from the Tranche.
Task:
Prepare the business performance monitoring metrics in first tranche.
Review and confirm m the projected benefits and their ownership.
Independent assurance of the validity and viability of the benefits.
Review effectiveness of benefits management strategy.
Identify benefits management lessons from the Tranche.
Guidance:
Business Performance monitoring should already be in place to track benefits, but they may need to be extended to monitor other factors for negative or positive impact. The provision of regular performance information and impact analysis should be built into the plan.
It is essential that the level of benefits are fully defined, their level of sensitivity and dependency on the Blueprint is fully understood. The justification for the programme will be based on the anticipated benefits.
Independent assurance of the basis for estimates and risk for the benefits should be undertaken to give the programme board confidence.
The next tranche could be Close, if that is the case then ownership of the benefits release activities will be need to be handed over in the benefits realisation plan.
Output:
Approved benefit profiles
Benefits Realisation Plan
Benefits management lessons in the Gate report
Revised benefits management strategy
Stakeholder Management
Task:
Confirm adequate high impact stakeholder support exists.
Revise the stakeholder profiles as a result of the impact assessment.
Develop the communications plan for the next stage.
Develop communications materials to announce the decision to proceed.
Review the effectiveness of communications up to this point and lessons learned.
Review project communications plans to ensure alignment with the programme.
Prepare the communications events to support the launch of the programme.
Task:
Confirm adequate high impact stakeholder support exists.
Revise the stakeholder profiles as a result of the impact assessment.
Develop the communications plan for the next stage.
Develop communications materials to announce the decision to proceed.
Review the effectiveness of communications up to this point and lessons learned.
Review project communications plans to ensure alignment with the programme.
Prepare the communications events to support the launch of the programme.
Guidance:
There should be a communications plan to communicate the decision and launch the programme into the next stage.
There should be a review of the main stakeholders and a rescan to see if any new groups will be affected in the next stage.
Beware of project communications plans not aligning with the programme, the programme communications team should have the final say on what communications happens from projects.
The gate review process should actively include high impact stakeholders to include their views and include them in the decision to proceed.
The Communications Plan should include launch activities and a process for managing feedback to ensure optimal communications channels are developed.
Input:
Stakeholder profiles
Communications plan
Project communications plan
Links:
Output:
Project stakeholders integrated into programme stakeholder profiles
Decision announcement plan
Communications plan for next tranche
Lessons learned in Gate review report
Planning
Task:
Revise the plan to reflect the key delivery dates in the next tranche or closure.
Stop decisions on existing projects.
Go decision on projects to initiate for next tranche.
Task:
Revise the plan to reflect the key delivery dates in the next tranche or closure.
Stop decisions on existing projects.
Go decision on projects to initiate for next tranche.
Guidance:
After this gate review the programme will move into full delivery of the next tranche or into Close the Programme activities.
There may be projects that are already completing or will undergo significant governance or structural changes, in this situation they should follow the project closure steps to ensure that lessons learned and handovers are formalised.
The decision to go into the next Tranche delivery will trigger the initiation of a number of projects, preparations should be made for this. If the programme moves into closure plans will need to be put into place to re-allocate governance arrangements.
Output:
Risk & Issue Management
Task:
Review the individual major risks.
Review the overall risk profile.
Scan for aggregating.
Review the effectiveness of risk management strategy.
Task:
Review the individual major risks.
Review the overall risk profile.
Scan for aggregating.
Review the effectiveness of risk management strategy.
Guidance:
The overall risk profile should be a key element of the decision process. The Portfolio Board should have visibility of all the risks and the overall risk profile for the programme, and the plan to mitigate the level.
The risk profile will be a key element of the decision to continue or close the programme
This is a good point to re-scan (to identify) any new risks or aggregating impacts that had not been identified before.
Viability of existing mitigation plans should be reviewed as well as the effective of the risk management activities so far.
Depending on the nature of the programme, external independent assurance of the risk profile may be required.
Output:
Revised Programme Risk Management Strategy
Resource Management
Task:
Mobilise the resources to launch the next tranche or closure.
Task:
Mobilise the resources to launch the next tranche or closure.
Guidance:
This gate may well herald a change in the culture of the programme as it moves into a different Tranche, a completely new set of resources may be required to build the next capability.
There may even be a significant change in direction for the programme if external events have conspired to provide opportunities.
A key element of this is taking the lessons learned, identifying opportunities to improve and undertaking impact assessments on the benefits.
There may well be suppliers or resources leaving at this point as the team changes.
Those leaving the programme to return to an operational role should have debriefs through exit interviews to ensure knowledge is recorded and available to future tranches.
Updates may need to be made to HR records for full time staff.
If the programme is closing early, then an impact assessment on resource and contract commitments is essential - it could be very expensive.
Input:
Lessons learned on resource management
Resource Management Plan
Resource Management Strategy
Links:
Output:
Knowledge capture from outgoing suppliers and individuals through exit interviews
Revised resource management strategy
Revised resource management plan
Impact assessment of early closure
Finance and Business Case
Task:
Confirm availability of funding to support next tranche or closure.
Task:
Confirm availability of funding to support next tranche or closure.
Guidance:
Commitment to the anticipated Business Case and funding for the next Tranche should be put into place.
Output:
Full Business Case
Commercial
Task:
Ensure there are effective communications to the supply chain about the impact of next tranche or closure.
Confirm the Commercial Strategy and Procurement plan.
Task:
Ensure there are effective communications to the supply chain about the impact of next tranche or closure.
Confirm the Commercial Strategy and Procurement plan.
Guidance:
At this point the commercial activities may be completed or may be going into a new phase.
The gate approval should endorse the ongoing commercial strategy and plan if appropriate.
Handover of commercial management arrangements from the programme to the contract management function should completed.
Input:
Output:
Signed off Commercial Strategy and Procurement Plan
Vision & Blueprint
Task:
Set performance metrics to track evidence of intermediate Blueprint achievement.
Confirm the achievement of the intermediate or end states in the Blueprint.
Task:
Set performance metrics to track evidence of intermediate Blueprint achievement.
Confirm the achievement of the intermediate or end states in the Blueprint.
Guidance:
The re-defined programme should achieve the organisation's vision and the original Vision Statement should be valid. This is an opportunity to build on and reinforce it, where possible. It should be clear what parts of the Blueprint will be delivered by the next Tranche. The end Blueprint and any other intermediate Blueprints should be amended.
Input:
Blueprint for the Programme
Output:
Senior Responsible Owner
Task:
Authorise the programme to continue
Task:
Authorise the programme to continue
Guidance:
You are now signing up to leading and delivering the next wave of your Sponsor colleagues. This would be a good moment to have your terms of reference ratified and ensure you still have their confidence.
Input:
Output:
Theme tasks for Senior Responsible Owner:
Governance Structure
Task:
Check strategic alignment of the programme outcomes.
Confirm that the gate reviews of projects are effective.
Confirm that the support of high impact stakeholders is in place.
Confirm the stability of business operations.
Document lessons learned from the Tranche.
Initiate independence assurance of the viability of the programme direction.
Guidance:
This work to gain the approval will be led by the SRO, but with the support of the programme team.
Having an independent review of the programme and how it has achieved progress and decisions would be a wise move to ensure thoroughness.
The governance theme is checking that the political support is in place for the level of change, it should also be ensuring that there is thorough impact assessments on other initiatives for alignment.
The current membership and terms of reference for the programme board should be reviewed and updated to reflect the changing roles as the programme moves forward.
Inputs:
Links:
Outputs
Business Change Manager
Task:
Liaise with your business area leads to confirm viability to continue or close.
Task:
Liaise with your business area leads to confirm viability to continue or close.
Guidance:
You are now signing up to deliver the operational changes and benefits for your part of the business for the next Tranche, re-establishing your Terms of Reference and commitment to yourself would be a reasonable request for you to make.
Input:
Output:
Theme tasks for Business Change Manager:
Benefits Management
Task:
Prepare the business performance monitoring metrics in first tranche.
Review and confirm m the projected benefits and their ownership.
Independent assurance of the validity and viability of the benefits.
Review effectiveness of benefits management strategy.
Identify benefits management lessons from the Tranche.
Guidance:
Business Performance monitoring should already be in place to track benefits, but they may need to be extended to monitor other factors for negative or positive impact. The provision of regular performance information and impact analysis should be built into the plan.
It is essential that the level of benefits are fully defined, their level of sensitivity and dependency on the Blueprint is fully understood. The justification for the programme will be based on the anticipated benefits.
Independent assurance of the basis for estimates and risk for the benefits should be undertaken to give the programme board confidence.
The next tranche could be Close, if that is the case then ownership of the benefits release activities will be need to be handed over in the benefits realisation plan.
Inputs:
Links:
Benefits Management Techniques Page
Outputs
Stakeholder Management
Task:
Confirm adequate high impact stakeholder support exists.
Revise the stakeholder profiles as a result of the impact assessment.
Develop the communications plan for the next stage.
Develop communications materials to announce the decision to proceed.
Review the effectiveness of communications up to this point and lessons learned.
Review project communications plans to ensure alignment with the programme.
Prepare the communications events to support the launch of the programme.
Guidance:
There should be a communications plan to communicate the decision and launch the programme into the next stage.
There should be a review of the main stakeholders and a rescan to see if any new groups will be affected in the next stage.
Beware of project communications plans not aligning with the programme, the programme communications team should have the final say on what communications happens from projects.
The gate review process should actively include high impact stakeholders to include their views and include them in the decision to proceed.
The Communications Plan should include launch activities and a process for managing feedback to ensure optimal communications channels are developed.
Inputs:
Links:
Stakeholder Management Techniques Page
Outputs
Programme Manager
Task:
Lead the work to prepare for the decision gate with supporting evidence
Task:
Lead the work to prepare for the decision gate with supporting evidence
Guidance:
If authorised, you will need to mobilise the next Tranche programme and deal with any issues that come out of the review.
Input:
Output:
Theme tasks for Programme Manager:
Management Control
Task:
Check that the proposed controls for the next stage are robust and appropriate.
Maintain an audit trail of decisions.
Review effectiveness of project controls.
Gate review should be undertaken in line with the assurance plan.
The level of issues and the ability to resolve should be included in the decision process.
Guidance:
At this point the programme could be preparing to move into the next tranche or planned or premature closure, the actual review will depend on these.
For the gate review the controls should ensure that the approvals are auditable and any changes are recorded and actioned.
The gate should be undertaken in accordance with the assurance plan.
The gate should ensure that controls from the programme are being applied consistently to projects.
The approval should be auditable. The Authorisation must take into account the internal review.
The assurance plan will need to be reviewed and may need to be updated for the next stage.
The effectiveness of the programme in controlling the projects and their alignment with the framework should be part of the review.
Inputs:
Links:
Management Control Techniques Page
Outputs
Risk & Issue Management
Task:
Review the individual major risks.
Review the overall risk profile.
Scan for aggregating.
Review the effectiveness of risk management strategy.
Guidance:
The overall risk profile should be a key element of the decision process. The Portfolio Board should have visibility of all the risks and the overall risk profile for the programme, and the plan to mitigate the level.
The risk profile will be a key element of the decision to continue or close the programme
This is a good point to re-scan (to identify) any new risks or aggregating impacts that had not been identified before.
Viability of existing mitigation plans should be reviewed as well as the effective of the risk management activities so far.
Depending on the nature of the programme, external independent assurance of the risk profile may be required.
Inputs:
Links:
Risk & Issue Management Techniques Page
Outputs
Resource Management
Task:
Mobilise the resources to launch the next tranche or closure.
Guidance:
This gate may well herald a change in the culture of the programme as it moves into a different Tranche, a completely new set of resources may be required to build the next capability.
There may even be a significant change in direction for the programme if external events have conspired to provide opportunities.
A key element of this is taking the lessons learned, identifying opportunities to improve and undertaking impact assessments on the benefits.
There may well be suppliers or resources leaving at this point as the team changes.
Those leaving the programme to return to an operational role should have debriefs through exit interviews to ensure knowledge is recorded and available to future tranches.
Updates may need to be made to HR records for full time staff.
If the programme is closing early, then an impact assessment on resource and contract commitments is essential - it could be very expensive.
Inputs:
Links:
Resource Management Techniques Page
Outputs
Finance and Business Case
Task:
Confirm availability of funding to support next tranche or closure.
Guidance:
Commitment to the anticipated Business Case and funding for the next Tranche should be put into place.
Inputs:
Links:
Finance & Business Case Techniques Page
Outputs
Head of Business Architecture
Task:
Sign off business architecture alignment.
Task:
Sign off business architecture alignment.
Guidance:
As part of the Internal Scrutiny Gate procedures you should ensure that the direction and change being proposed by the initiative is aligned with the needs of the business architecture.
Input:
Output:
Theme tasks for Head of Business Architecture:
Portfolio Office
Task:
Prepare the logistics of the review and any specialists that should be involved
Task:
Prepare the logistics of the review and any specialists that should be involved
Guidance:
You should be part of the decision process and provide any comments you believe will help the Sponsoring Group.
Input:
Output:
Theme tasks for Portfolio Office:
Head of Portfolio
Task:
Sign off portfolio alignment.
Task:
Sign off portfolio alignment.
Guidance:
As part of the Internal Scrutiny Gate procedures you should ensure that the direction and change being proposed by the initiative is aligned with the objectives, direction, delivery, dependencies and plans within the portfolio.
Input:
Output:
Theme tasks for Head of Portfolio:
Head of Business Change
Task:
Sign off change team alignment.
Task:
Sign off change team alignment.
Guidance:
As part of the Internal Scrutiny Gate procedures you should ensure that the direction and change being proposed by the initiative is aligned with the ability of the organisation and the change team to support it.
Input:
Output:
Theme tasks for Head of Business Change: