Better Business Cases

Scoping Document

28 February 2014

Purpose of the Scoping Documents

The purpose of the Scoping Document is to secure early agreement on a programme or project business case development process between the lead organisation and the monitoring function[1]. It is a working document aimed at facilitating discussion and agreement on how the Better Business Cases Guidance will be applied. It helps ensure that the level of effort and assurance through each part of the business case development process is commensurate with scale and risk of the proposal.

The scoping document is designed to assist you to right-size the team, the effort and the engagement. As a business case developer, agreeing this up front with your business owner, and the monitoring function, reduces the risk of too little or too much analysis being undertaken.

How to use the Scoping Documents

The business case development process differs depending on the scale and risk of a proposed programme or project. The process can be tailored in two ways:

·  Which business case documents are required to be completed? That is, a Programme Business Case, Indicative Business Case, Detailed Business Case, Single Stage Business Case and/or Implementation Business Case.

·  What analysis and engagement is appropriate to develop the specific business case? How the guidance will be tailored to recognise the scale, risk or special circumstances of the proposal?

The Programme Cover Sheet and the Project Cover Sheet templates are designed to answer the first question “Which business case documents are required to be completed?” Only complete the Programme Cover Sheet template if you are intending to complete a Programme Business Case, otherwise complete the Project Cover Sheet template. The Cover Sheet is expected to change as the proposal progresses and you learn more about the investment. The Cover Sheet should be completed prior to starting the Business Case process and updated or reconfirmed as the Business Case process progresses.

The Programme Business Case, Indicative Business Case, Detailed Business Case, Single Stage Business Case and Implementation Business Case scoping document templates are designed to answer the second question “What will need to be completed in the Business Case document?” Only complete the template for the business case document that you are about to progress. The template may change as the proposal progresses and you learn more about the investment. The template should be completed prior to starting the business case.

The scoping documents can be completed in a number of ways: through a meeting between the lead organisation and the monitoring function, or by the lead organisation submitting a completed version to their monitoring function for consideration (or a mix of the two approaches). Please contact the monitoring function for their preferred approach.

Programme Cover Sheet

Organisation name:
Proposal title:
Sponsor/Senior responsible owner:
Monitoring function
Date / Version / Document revision history / Document reviewer
Why is this investment being considered?
Risk[2] and scale[3] / Low risk – small scale / Low risk – large scale / High risk – small scale / High risk – large scale
Anticipated business case development process / Strategic Assessment (SA)
Yes/No/TBC / Programme Business Case (PBC)
Yes/No/TBC
Reasoning for pathway
Previous decisions and/or documents already completed? / Document / Decisions made and by whom / Date
Preliminary impact and Risk Assessment (PIRA)? [4]
Type of assurance
http://www.ssc.govt.nz/gateway-iqa-relationship / Business Case Type / Reasoning for level of assurance
SA / PBC
Internal assurance e.g. Internal audit, PMO / Yes/No / Yes/No
Monitoring function e.g. Treasury, Ministry of Health, Tertiary Education Commission, MBIE, GCIO / Yes/No / Yes/No
Quantitative Risk Assessment / Yes/No / Yes/No
Project IQA / Yes/No / Yes/No
Technical IQA / Yes/No / Yes/No
Gateway / Yes/No / Yes/No
Functional Lead (GCIO)[5] / Yes/No / Yes/No
Functional Lead (procurement) [6] / Yes/No / Yes/No
Other: [Please specify] / Yes/No / Yes/No

Anticipated tranches and business case development process

(Only complete this section when you have some understanding of the likely tranches or projects)

Tranche/Project / Strategic Assessment / Indicative Business Case / Detailed Business Case / Single Stage Business Case / Project Implementation Business Case
Yes/No/TBC / Yes/No/TBC / Yes/No/TBC / Yes/No/TBC / Yes/No/TBC
Yes/No/TBC / Yes/No/TBC / Yes/No/TBC / Yes/No/TBC / Yes/No/TBC
Yes/No/TBC / Yes/No/TBC / Yes/No/TBC / Yes/No/TBC / Yes/No/TBC

Project Cover Sheet

Organisation name:
Proposal title:
Sponsor/Senior responsible owner:
Monitoring function
Date / Version / Document revision history / Document reviewer
Why is this investment being considered?
Risk[7] and scale[8] / Low risk – small scale / Low risk – large scale / High risk – small scale / High risk – large scale
Anticipated business case development process / Strategic Assessment (SA)
Yes/No/TBC / Indicative Business Case (IBC)
Yes/No/TBC / Detailed Business Case
(DBC)
Yes/No/TBC / Single Stage Business Case (SSBC)
Yes/No/TBC
Reasoning for pathway
Previous decisions and/or documents already completed? / Document / Decisions made and by whom / Date
Preliminary impact and Risk Assessment (PIRA)? [9]
Type of assurance
http://www.ssc.govt.nz/gateway-iqa-relationship / Business Case Type / Reasoning for level of assurance
SA / IBC / DBC / SSBC / PIBC
Internal assurance e.g. Internal audit, PMO / Yes/No / Yes/No / Yes/No / Yes/No / Yes/No
Monitoring function e.g. Treasury, Ministry of Health, Tertiary Education Commission, MBIE, GCIO / Yes/No / Yes/No / Yes/No / Yes/No / Yes/No
Quantitative Risk Assessment / Yes/No / Yes/No / Yes/No / Yes/No / Yes/No
Project IQA / Yes/No / Yes/No / Yes/No / Yes/No / Yes/No
Technical IQA / Yes/No / Yes/No / Yes/No / Yes/No / Yes/No
Gateway / Yes/No / Yes/No / Yes/No / Yes/No / Yes/No
Functional Lead (GCIO)[10] / Yes/No / Yes/No / Yes/No / Yes/No / Yes/No
Functional Lead (procurement) [11] / Yes/No / Yes/No / Yes/No / Yes/No / Yes/No
Other: [Please specify] / Yes/No / Yes/No / Yes/No / Yes/No / Yes/No

Better Business Cases: Scoping Document | 1

[1] Monitoring function in this context means the organisation that provides a second opinion or advice to decision makers.

[2] This is informed by a Gateway Risk Profile Assessment self-assessment, available at http://www.ssc.govt.nz/gateway-rpa-agency-responsibilities. Gateway applies for agencies in the state sector

[3] Refer to Cabinet Office Circular CO(10)2, Capital Asset Management in Departments and Crown Entities: Expectations, available at the Cabinet Office website at http://www.dpmc.govt.nz/cabinet/circulars/co10/2.

[4] For more detail on the Regulatory Impact Analysis requirements for Cabinet proposals with potential regulatory implications, refer to the guidance at http://www.treasury.govt.nz/publications/guidance/regulatory/impactanalysis

[5] Refer to the Government Chief Information Officer (GCIO) web-site at http://ict.govt.nz/ for the assurance requirements for potential Government ICT programmes and projects.

[6] Refer to the Government Rules of Sourcing at http://www.business.govt.nz/procurement for the assurance requirements for potential significant State service agency procurements.

[7] This is informed by a Gateway Risk Profile Assessment self-assessment, available at http://www.ssc.govt.nz/gateway-rpa-agency-responsibilities. Gateway applies for agencies in the state sector

[8] Refer to Cabinet Office Circular CO(10)2, Capital Asset Management in Departments and Crown Entities: Expectations, available at the Cabinet Office website at http://www.dpmc.govt.nz/cabinet/circulars/co10/2.

[9] For more detail on the Regulatory Impact Analysis requirements for Cabinet proposals with potential regulatory implications, refer to the guidance at http://www.treasury.govt.nz/publications/guidance/regulatory/impactanalysis

[10] Refer to the Government Chief Information Officer (GCIO) web-site at http://ict.govt.nz/ for the assurance requirements for potential Government ICT programmes and projects.

[11] Refer to the Government Rules of Sourcing at http://www.business.govt.nz/procurement for the assurance requirements for potential significant State service agency procurements.