Define the programme |
 The Define process takes the detail in the Programme Brief and develops the scenarios and options that the business should consider to solve the challenge. The main pieces of information developed during this process are: a. The Blueprint or Target Operating Model which the programme will create b. Clear understanding of the Benefits that will come from the change c. The step changes in capability that will be produced at various stages of the programme lifecycle and the projects required to deliver them. |
Objective:
Ensure that the SRO and the Portfolio Board undertake a measured approach to consider the viability of the programme and come to the best decision for the organisation.
Detail:
Depending on the scale of the programme appropriate assurance should take place and appropriate approvals sought for the preferred approach.
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.
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.
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.
Output:
Approval to proceed into Design
Management Control
Task:
Check that the proposed controls for the next stage are robust.
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.
Identify lessons learned related to management controls.
Task:
Check that the proposed controls for the next stage are robust.
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.
Identify lessons learned related to management controls.
Guidance:
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.
There should be lessons learned that can be applied to this and other programmes and may require changes to the framework.
Input:
Tranche Plan
Programme Brief
Programme Issue Register
Programme Assurance Plan
Links:
Output:
Approved programme controls
Revised assurance plan for next stage
Decision audit trail
Updated Issue Register
Benefits Management
Task:
Review and confirm the projected benefits and their ownership.
Independent assurance of the validity and viability of the benefits.
Document any lessons learned in the Gate report.
Task:
Review and confirm the projected benefits and their ownership.
Independent assurance of the validity and viability of the benefits.
Document any lessons learned in the Gate report.
Guidance:
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.
A review of the programme needs for benefits should also be undertaken to help with lessons learned.
Output:
Approved benefits realisation plan
Approved benefit profiles
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.
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.
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.
Input:
Stakeholder profiles
Communications plan
Project communications plan
Links:
Output:
Project stakeholders integrated into programme stakeholder profiles
Decision announcement plan
Communications plan for next stage
Lessons learned in Gate review report
Planning
Task:
Formalise plan for the programme tranches and review.
Stop decisions on existing projects.
Go decision on projects to initiate during Design.
Task:
Formalise plan for the programme tranches and review.
Stop decisions on existing projects.
Go decision on projects to initiate during Design.
Guidance:
There should be a coherent plan that recognises project delivery, business change capability and constraints in the delivery of the programme. There should be a plan in place to transition the new team that will deliver Programme Design.
At this point, the programme blueprint, benefits and delivery strategy will be signed off, which will provide the direction needed to make decisions about the destiny of some of the projects.
This is the point where they should be stopped or re-scoped, take care to ensure that the project closure process is followed and that continuing work relating to projects is included within other projects or delivery mechanisms.
There will probably be a need to initiate early projects that have longer lead times but the need is certain.
Output:
Risk & Issue Management
Task:
Review the individual major risks.
Scan for aggregating risks.
Task:
Review the individual major risks.
Scan for aggregating risks.
Guidance:
The overall risk profile should be a key element of the decision process. The Portfolio Board should have visibility of all the risk and the overall risk profile for the programme, and the plan to mitigate the level.
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 effectiveness 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:
Resource Management
Task:
Approve resources that will be required for the programme.
Approve the resource plan for ‘Design the Programme’ stage.
Task:
Approve resources that will be required for the programme.
Approve the resource plan for ‘Design the Programme’ stage.
Guidance:
The gate review should test the viability of the resource plan and the outline resource management strategy.
It is very common for programmes to underestimate their resource requirements through over optimism about productivity and capability, particularly of in-house resources.
It is important to remember that this is not just people - there are physical resources. Knowledge is also a resource and, the absence of which, leads to poor decisions.
The approval at this gate is validating the delivery strategy and the resource implications.
Input:
Resource Management Plan
Resource Management Strategy
Links:
Output:
Approved Resource Management Strategy
Finance and Business Case
Task:
Review the funding strategy and anticipated costs.
Task:
Review the funding strategy and anticipated costs.
Guidance:
Ensure there is commitment to the anticipated Business Case and funding for the Design phase. Significant effort should have gone into the options appraisal, which should be visible to the Portfolio Board. The budget for the next stage should also be established.
Output:
(Programme) Outline Business Case
Commercial
Task:
Review the procurement strategy.
Task:
Review the procurement strategy.
Guidance:
During the gate review, the procurement/commercial plans should be approved and confirm that these are aligned with procurement policies and frameworks.
Input:
Procurement Policies/Frameworks
Output:
Procurement Plans
Vision & Blueprint
Task:
Ensure independent validation of the chosen option.
Sign off the commitment to the Blueprint
Task:
Ensure independent validation of the chosen option.
Sign off the commitment to the Blueprint
Guidance:
The Vision and Blueprint need the commitment of the Portfolio Board.
These define the level of change and the impact on their business areas. If they can't sign up to their part of the business change, then the programme is doomed.
The Blueprint will spawn the projects and underpin the benefit projections, so this is a critical gate for the programme.
Input:
Programme Vision Statement
Blueprint for the Programme
Output:
(Programme) Outline Business Case
Blueprint for the Programme confirmed
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 programme into the next phase, and launching some early projects. This would be a good point to re-validate your brief and Terms of Reference from the Sponsoring Group. It is essential that you gain their endorsement for the way forward to ensure that you are not too personally exposed.
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.
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.
Task:
Liaise with your business area leads to confirm viability.
Guidance:
You are now signing up to begin the process of delivering the benefits and managing the change. You should ensure that you have had one to one reviews with the SRO and your Sponsoring Group executive so they understand your private and public concerns.
Input:
Output:
Theme tasks for Business Change Manager:
Benefits Management
Task:
Review and confirm the projected benefits and their ownership.
Independent assurance of the validity and viability of the benefits.
Document any lessons learned in the Gate report.
Guidance:
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.
A review of the programme needs for benefits should also be undertaken to help with lessons learned.
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.
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.
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 start to implement the Design Plan. You will need to ensure that all elements of the decision are auditable and maintained.
Input:
Output:
Theme tasks for Programme Manager:
Management Control
Task:
Check that the proposed controls for the next stage are robust.
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.
Identify lessons learned related to management controls.
Guidance:
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.
There should be lessons learned that can be applied to this and other programmes and may require changes to the framework.
Inputs:
Links:
Management Control Techniques Page
Outputs
Risk & Issue Management
Task:
Review the individual major risks.
Scan for aggregating risks.
Guidance:
The overall risk profile should be a key element of the decision process. The Portfolio Board should have visibility of all the risk and the overall risk profile for the programme, and the plan to mitigate the level.
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 effectiveness 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:
Approve resources that will be required for the programme.
Approve the resource plan for ‘Design the Programme’ stage.
Guidance:
The gate review should test the viability of the resource plan and the outline resource management strategy.
It is very common for programmes to underestimate their resource requirements through over optimism about productivity and capability, particularly of in-house resources.
It is important to remember that this is not just people - there are physical resources. Knowledge is also a resource and, the absence of which, leads to poor decisions.
The approval at this gate is validating the delivery strategy and the resource implications.
Inputs:
Links:
Resource Management Techniques Page
Outputs
Finance and Business Case
Task:
Review the funding strategy and anticipated costs.
Guidance:
Ensure there is commitment to the anticipated Business Case and funding for the Design phase. Significant effort should have gone into the options appraisal, which should be visible to the Portfolio Board. The budget for the next stage should also be established.
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 a independent of the decision process and provide any comments you believe will help the programme groups.
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: