Programme Governance Model

Copyright © Peter Wheelhouse 2014

 

Gate 1 Entry and Exit Criteria

1.  Overview.

Change Programme Identified; Approval sought to initiate Programme.

2.  Purpose of Gate Review.

For the Programme Board to confirm that:

 

  • There is a need for a Programme to realise the aspirations of the Corporate Executive, as defined in the Authority to Proceed(Gate 0) and in the Corporate Business Strategy;
  • The Programmeís scope has been validly identified and has been properly documented in the Programme Mandate;
  • The Programme Mandate is aligned the Authority to Proceed (Gate 0) and defines, within the approved tolerances, the target timescales & costs.
  • The Programme Mandate is a sufficient and appropriate baseline document for the Initiate stage of the Programme.

3.  Identify the Programme Exit Criteria.

The Programme Mandate has been fully and properly developed by the Programme Sponsor, compliant with the Authority to Proceed (Gate 0) and Corporate Business Strategy.

 

The Programme Sponsor is confident that the Programme Mandate provides a solid baseline for the Initiate stage of the Programme.

 

The Programme Sponsor is confident that there is no requirement to refer the Programme back to the Corporate Executive for revision to either the Authority to Proceed (Gate 0) or to the Corporate Business Strategy or to both.

4.  Initiate the Programme Entry Criteria.

The Programme Director, if not the same person as the Programme Sponsor, is identified and available for appointment.

 

The Programme Sponsor and the Programme Director accept that the Programme Mandate is a clear & fully articulated baseline for the Initiate stage of the Programme and that the Authority to Proceed (Gate 1) properly provides them with the Authority to start & complete the Initiate stage of the programme.

 

The Programme Board is satisfied that:

 

  1. There is a substantive need for a programme to realise the aspirations of the Corporate Executive, as expressed in the Approval to Proceed (Gate 0);
  2. The Programme Mandate properly & fully articulates, as far as possible at this stage in the Programme, the scope of the programme, supplementing that defined in the Authority to Proceeed (Gate 0).
  3. The Programme Mandate is a clear & sufficient baseline, together with the Authority to Proceed (Gate 0), for the Initiate stage of the programme.

5.  Next Steps.

There are 3 options for Next Steps:

 

  1. Programme Initiation Stage Authorised. If the Programme Board is satisfied that both the Exit & Entry Criteria have been properly satisfied, the 2nd stage of the programme (Initiate the Programme) will be authorised to proceed. The Programme Director will be formally appointed. The output from the Gate 0 Review for this option will be the:
  2.  

  3. Referred for Rework & Resubmission. If the Programme Board is not satisfied that both the Exit & Entry Criteria have been properly satisfied but is convinced of the need for the programme, the Programme Sponsor designate will be directed to review the programme scope and the programme board and to make such changes as may be needed for resubmission.
  4. Business Change Initiative Rejected. If the Programme Board is not satisfied that there is a need for the Programme, the submission will be rejected and its decision, together with the rationale behind it, will be referred to the Corporate Executive for ratification.

Note: How the Programme Board decides on the Next Steps and whether it is by unanimous, majority or chairís directive will depend on the specific organisation and upon its corporate governance rules.

6.  Audit Trail.

It is imperative for proper governance that the proceedings and decision of the Gate 1 review are minuted, including particularly any dissenting opinions with regard to decisions taken, and that these minutes are securely stored for future reference.

 

It is possible that some of the minutes may be highly sensitive and may be subject to strict confidentiality constraints, which may exclude even Programme Executive members from seeing them in their entirety, but the Programme Board members will need to be of sufficient seniority & clearance to be privy to the unredacted minutes.

 

If the minutes are too highly sensitive for wider access, the Programme Board will need to decide whether a redacted version of the minutes should be made available or whether the Programme Mandate and Authority to Proceed (Gate 1) are sufficient in their own right to fully articulate the Programme Boardís intent for the programme.

Programme Gateways and Lifecycle