Session 6: Finalize Identify phase and Proceed to Deliver Phase

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Finalize Identify phase and Proceed to Deliver Phase

Develop Programme Business Case

The Business Case collates together information about the programme covering costs, benefits, timing and risks so that the overall value for money and achievability of the programme can be assessed and appropriate management decisions made about the viability of the programme.

The Programme Manager is ultimately responsible for producing the Business Case but to create a compelling case will need to consult closely with the Business Change Owner (ultimately responsible for identifying and quantifying the benefits that will contribute to generating a viable Business Case). Depending on their stake in the programme’s outcomes, there may be times when it is appropriate to also involve external stakeholders in the development of the Business Case.

Note: the Business Case will be a living document that is regularly reviewed and updated during the programme (at the very least at the end of each tranche) refining benefits / outcomes as required.

Overlooking this task could cause the following challenges:

  • No case for the programme to continue.

Exit Criteria

The following criteria should be met before completing this activity:

  • Business Case completed.

Activities to be completed

During this step, the Programme Manager should:

  • Work with the Business Change Owner to produce a compelling Business Case
  • Consider what stakeholders (internal and external) need to be involved.

Inputs

Outputs

Roles

  • Programme Manager
  • Business Change Owner

Design Programme Structure and Management Controls

Once an acceptable Business Case is emerging, effort can be assigned to defining the management and structure of the programme.

The organisation structure created earlier in the phase will need to be updated in line with the progress made since it was first created. The programme structure should be designed to enable effective decision making and efficient communication flow across the governance groups, programme team and stakeholders. The nature and size of the programme will influence the design of an appropriate programme organisation structure.

The programme structure will need to integrate with and operate alongside the existing management structures within the organisation. Each role within the structure is defined with the role specific responsibilities, tasks, skills and required competencies.

The programme structure also covers how the programme will be managed and controlled, this involves creating (or updating) the following management strategies and plans/logs:

Benefits Management

Benefits Management Strategy – used to detail the framework and approach to realising benefits including: measurement methods/processes, benefit roles and responsibilities, priorities of benefits being sought, tools and systems to be used.

Benefits Plan (section in Business Case) – used to track the realisation of benefits including: a schedule outlining when benefits will be realised, milestones for benefit reviews, dependencies, how benefit realisation will be sustained post programme closure.

Information Management

Information Management Strategy –  used to describe how the programme will maintain and control programme information including: systems to be used  to store information, responsibilities for management and maintenance of information, confidentiality and information security, audit approach, release management process for programme information/documents, configuration management.

Information Management Plan (included in Management Strategy) – sets the timetable and arrangements for implementing the strategy including: timetable to have in place storage systems, configuration management, release management, information change control, security controls, etc. Also includes how and when information management work will be monitored.

Risk Management

Risk Management Strategy – used to define the programme’s approach to risk management including: processes, techniques, scales for probability and impact, response categories, budget, templates, timing of risk management activities, reports and standards to be applied.

Risk Register – used to capture and actively manage programme risks including: risk description, probability, impact, proximity, mitigation, residual risk, risk actionee, risk owner and status.

Issue Resolution

Issue Resolution Management Strategy – used to define the process for resolving issues including: issue management and monitoring process, criteria for allocating issue severity ratings, change control process, exception management.

Issues Register – used to capture and actively manage programme issues including: issue description, who raised the issue, impact, severity of issue, issue owner, issue actionee and status.

Quality Management

Quality Management Strategy – used to describe the activities for managing quality across the programme including: what will be subject to quality assurance, review and control and the quality criteria to be applied. Also included, is the criteria to assess programme success, quality management processes and tools, use of audits and health checks, quality roles and responsibilities, standards and regulations to be adhered to.

Quality Management Plan (included in Management Strategy) – sets the timetable and arrangements for implementing the Quality Management Strategy including: schedule of activities, who will undertake activities, how and when audits/health checks will occur, monitoring and reporting.

Resource Management

Resource Management Strategy – used to identify how the programme will acquire and manage resources including: funding, accounting and expenditure processes, procurement, financial reporting, assets required, technology and services required, profile of programme resources and management of human resources (internal and external).

Resource Management Plan (included in Management Strategy) – sets the timetable and arrangements for implementing the Resource Management Strategy including: schedule of activities, tracking resource usage and who will be responsible for the resource management activities.

Stakeholder Engagement and Communication

Stakeholder Engagement and Communication Management Strategy – created in Define Phase in step Stakeholder Engagement and Communication Planning is updated.

Stakeholder Engagement and Communication Plan (included in Stakeholder Engagement and Communication Management Strategy) – used to describe how the stakeholder engagement framework and communications approach will be applied to the programme specifically.

Dependency Management

Dependency Management Strategy – describes how the programme will apply the organisation’s guides and methods for dependency management. Ownership, assessment and monitoring of dependencies should be described. The process for on-going identification of dependencies and for closing completed dependencies needs to be included.

Change Management

Change Management Strategy – details the Change Management Strategy for the programme of work The Change Management Strategy is an output from the Preparing for Change state in Change Management process (see Change Management Wrapper).

Monitoring and Control

Monitoring and Control Management Strategy – used to define how the programme will apply internal controls to itself including: criteria to assess effectiveness, how projects will be monitored, standards to be applied, tolerances within which the programme will operate, escalation route for managing exceptions.

Other Organisation Processes

Any other organisation processes that will be applied need to be documented including the actions to be taken, the people to be involved and the measures to be applied. These processes may include: policy, procurement, partnering, HR, ICT and others.

Overlooking this task could cause the following challenges:

  • No clearly defined programme organisation, roles or responsibilities
  • No defined programme management controls reducing the likelihood of successful outcomes.

Exit Criteria

The following criteria should be met before completing this activity:

  • Programme organisation, roles and responsibilities defined
  • Programme management controls defined.

Activities to be completed

During this step, the Programme Manager should:

  • Define programme organisation, roles and responsibilities
  • Define the programme management controls.

Inputs

Outputs

Roles

  • Programme Manager
  • Specialist support and guidance

Consolidate Programme Definition Documentation

The full set of programme definition documents are assembled with an Executive Summary into one baseline document called the Programme Definition Documentation. Alternatively, this can be a summary document that references all of the detailed documents. This becomes the baseline information to define the programme.

The Programme Definition Documentation should consolidate or summarise the following programme information:

  • Objectives for the programme
  • Executive Summary
  • Justification and context for the programme
  • Criteria against which the programme will be measured
  • Vision Statement
  • Blueprint Summary
  • Description of outcomes
  • Programme Organisation chart
  • Programme roles and responsibilities
  • Management Strategies and Plans
  • Programme Plan, including
    • Tranche structure
    • Projects Dossier
    • Timeframes, dependencies and milestones
  • Benefits Plan (in Business Case), including
    • Benefits Profiles
    • Benefit Maps (optional)
  • Stakeholder summary
  • Summary of risks
  • Application of other processes.

Overlooking this task could cause the following challenges:

  • No baseline definition document for the programme to monitor and track progress from and deliver to.

Exit Criteria

The following criteria should be met before completing this activity:

  • The Programme Definition Documentation produced with an Executive Summary.

Activities to be completed

During this step, the Programme Manager should:

  • Assemble all of the key programme definition documents
  • Create the Programme Definition Documentation combining all of the key definition documents or references to them
  • Write an Executive Summary to complete the Programme Definition Documentation
  • Exit the partnering process, if the partnering arrangement is no longer mutually beneficial.

Inputs

Outputs

  • Programme Definition Documentation.

Roles

  • Programme Manager.

Approval to Proceed to Deliver Phase

This governance step is a formal meeting to authorise the continuation of the programme into the Deliver Phase. It verifies all the required management products for the Define phase have been created so the programme will be managed to the correct level.

The Programme Definition Documentation and Business Case should be submitted to the Sponsoring Group for review prior to the meeting. These documents will provide guidance to the Sponsoring Group in making their decision on whether to approve the programme to proceed to the next phase, request additional work to be undertaken before a decision can be made, put the programme on hold or terminate the programme.

Overlooking this task could cause the following challenges:

  • The programme will not be assessed for sufficient value to justify progressing with the delivery of the programme
  • The programme will not have formal approval to proceed into the Deliver Phase.

Exit Criteria

The following criteria should be met before completing this activity:

  • Approval to proceed and OPO informed, or
  • Programme hold notification and OPO informed, or
  • Programme closure notification and OPO informed (in this instance the programme should then go directly to the Close Phase to formally close down the programme).

Activities to be completed

During this step, the SRO and Programme Manager should:

  • Seek approval for the programme to proceed into the Deliver Phase.

Inputs

  • Programme Definition Documentation.
  • Programme Business Case.

Outputs

  • Programme Definition Documentation (approved).
  • Programme Business Case (approved).
  • Approval to proceed / hold programme / close programme.

Roles

  • Programme Manager.
  • Senior Responsible Owner.

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