ProgManagementForBeginners Ver 1.1

Programme Management for Beginners
A book based on Managing Successful Programmes Best Management Practice
Fundamentals of Managing Successful Programmes
Version 1.1
By Raj Kishore Managing Successful Programmes Syllabus 2011
Crown copyright 2011. Reproduced under license from the Cabinet Office U.K., Source: Managing Successful Programmes
Foundation Level
Preface
Thank you for reading the book Programme Management for Beginners. This book is based on Managing Successful Programmes (MSP), a framework of Best Management Practice for programme management. MSP has become the most widely accepted approach to Programme Management in the world. This book has been designed as a course book for anyone who has an interest in or a need to understand more about the fundamentals of Managing Successful Programmes. The main objective of this book is to provide an easy-to-read and easy-to-understand course contents based on MSP Foundation syllabus. This book describes the principles, governance themes and transformational flow of MSP programmes and provides a high-level overview of each of these core elements of MSP. The information contained in this book is subject to change without notice. This material is property of Crown contents of Best Management Practice and is protected by licensed copyrights. No part of this material may be copied, reproduced, or translated to another language without the prior consent of the author.
Acknowledgements
Author: Raj Kishore (LinkedIn) Email: kishore_raj@hotmail.com
License
License No.: CO090109 ( Crown Copyright 2011) The Cabinet Office Rosebery Court, St. Andrews Business Park, NR7 0HS Licensing@cabinet-office.gsi.gov.uk
Crown copyright 2011. Reproduced under license from the Cabinet Office U.K., Source: Managing Successful Programmes
Contents
Contents
1. 1.1. 1.2. 1.3. 1.4. 1.5. 1.6. 1.7. 1.8. 1.9. Programme Management Overview ............................................................................ 1 Introduction .................................................................................................................... 1 Characteristics of portfolio, programme and project ........................................................ 2 Why use MSP as a programme management tool .......................................................... 2 The three critical organizational elements ....................................................................... 3 The three types of programme ....................................................................................... 3 Six types of drivers for change programmes ................................................................... 4 The three core concepts of MSP .................................................................................... 4 MSP based on set of principles ...................................................................................... 5 MSP uses nine governance themes ............................................................................... 6
1.10. MSP uses transformational flow ..................................................................................... 6 1.11. Programme management strategies and plans............................................................... 7 1.12. Roles and responsibilities ............................................................................................... 8 1.13. Practice questions.......................................................................................................... 8 2. 2.1. 2.2. 2.3. 2.4. 2.5. 2.6. 2.7. 2.8. 2.9. Programme Organization ............................................................................................10 Introduction ...................................................................................................................10 Sponsoring group ..........................................................................................................11 Senior responsible owner (SRO) ...................................................................................11 Programme board .........................................................................................................12 Programme manager ....................................................................................................12 Business change manager (BCM) .................................................................................13 Business change team ..................................................................................................13 Programme office..........................................................................................................14 Programme assurance ..................................................................................................14
2.10. Programme office tools .................................................................................................15 2.11. Programme organization & key roles .............................................................................15 2.12. Practice questions.........................................................................................................16 3. 3.1. 3.2. 3.3. 3.4. 3.5. 4. 4.1. Vision ...........................................................................................................................17 Introduction ...................................................................................................................17 Typical contents of a vision statement ...........................................................................18 Developing the vision statement ....................................................................................18 Vision statement & key roles .........................................................................................19 Practice questions.........................................................................................................19 Leadership & Stakeholder Engagement.....................................................................21 Introduction ...................................................................................................................21
Crown copyright 2011. Reproduced under license from the Cabinet Office U.K., Source: Managing Successful Programmes ii
Contents
4.2. 4.3. 4.4. 4.5. 4.6. 4.7. 4.8. 4.9.
Visioning workshops and do-nothing vision ...................................................................22 Business change management .....................................................................................22 Characteristics of management and leadership .............................................................22 Stakeholder engagement cycle .....................................................................................23 Objectives of communications process ..........................................................................24 Stakeholder engagement strategy .................................................................................24 Programme communications plan .................................................................................24 Stakeholder profiles ......................................................................................................25
4.10. Stakeholder map ...........................................................................................................25 4.11. Influence/interest matrix ................................................................................................25 4.12. Communications channel ..............................................................................................25 4.13. Stakeholder engagement & key roles ............................................................................25 4.14. Practice questions.........................................................................................................26 5. 5.1. 5.2. 5.3. 5.4. 5.5. 5.6. 5.7. 5.8. 5.9. Benefits Management .................................................................................................28 Introduction ...................................................................................................................28 Benefits realization & corporate objectives ....................................................................29 Benefits categorization ..................................................................................................29 Benefits management cycle ..........................................................................................30 Benefits validation (DOAM) ...........................................................................................31 Benefits management strategy ......................................................................................31 Benefits map .................................................................................................................32 Benefit profiles ..............................................................................................................32 Benefits realization plan ................................................................................................32
5.10. Benefits register ............................................................................................................32 5.11. Benefits management & key roles .................................................................................32 5.12. Practice questions.........................................................................................................33 6. 6.1. 6.2. 6.3. 6.4. 6.5. 6.6. 7. 7.1. 7.2. Blueprint Design & Delivery .......................................................................................35 Introduction ...................................................................................................................35 The POTI model............................................................................................................36 Design blueprint delivery through tranches ....................................................................36 Typical contents of a blueprint .......................................................................................36 Development of blueprint & key roles ............................................................................37 Practice questions.........................................................................................................38 Planning & Control ......................................................................................................39 Introduction ...................................................................................................................39 Programme resources ...................................................................................................40
Crown copyright 2011. Reproduced under license from the Cabinet Office U.K., Source: Managing Successful Programmes iii
Contents
7.3. 7.4. 7.5. 7.6. 7.7. 7.8. 7.9.
How live projects are monitored ....................................................................................40 Monitoring and control strategy .....................................................................................41 Resource management strategy....................................................................................41 Resource management plan .........................................................................................41 Projects dossier ............................................................................................................41 Dependency management ............................................................................................42 Planning & control and key roles ...................................................................................42
7.10. Practice questions.........................................................................................................43 8. 8.1. 8.2. 8.3. 8.4. 8.5. 8.6. 9. 9.1. 9.2. 9.3. 9.4. 9.5. 9.6. 9.7. 9.8. 9.9. The Business Case .....................................................................................................45 Introduction ...................................................................................................................45 Typical contents of a business case ..............................................................................46 Business case management .........................................................................................46 Programme costs ..........................................................................................................47 The business case & key roles ......................................................................................47 Practice questions.........................................................................................................48 Risk and Issue Management .......................................................................................49 Introduction ...................................................................................................................49 Sources and perspectives of risks and issues................................................................50 M_o_R risk management principles...............................................................................50 Risk management framework ........................................................................................51 Risk responses .............................................................................................................51 Issue management framework ......................................................................................52 Configuration management ...........................................................................................53 Information management baselines ...............................................................................53 Risk appetite .................................................................................................................54
9.10. Proximity .......................................................................................................................54 9.11. Risk management strategy ............................................................................................54 9.12. Risk register ..................................................................................................................54 9.13. Issue management strategy ..........................................................................................54 9.14. Issue register ................................................................................................................54 9.15. Probability impact grids .................................................................................................54 9.16. Risk and issue management & key roles .......................................................................55 9.17. Practice questions.........................................................................................................55 10. Quality and Assurance Management .........................................................................57
10.1. Introduction ...................................................................................................................57 10.2. Quality and programme management principles ............................................................58
Crown copyright 2011. Reproduced under license from the Cabinet Office U.K., Source: Managing Successful Programmes iv
Contents
10.3. Scope of programme quality..........................................................................................58 10.4. Assurance management principles ................................................................................59 10.5. Information management ..............................................................................................60 10.6. Asset management .......................................................................................................60 10.7. Difference between quality management in programme and project ..............................61 10.8. Difference between configuration and asset management .............................................61 10.9. Difference between assurance review and audit ............................................................61 10.10.Information management strategy .................................................................................61 10.11.Information management plan .......................................................................................61 10.12.Quality and assurance strategy......................................................................................61 10.13.Quality and assurance plan ...........................................................................................62 10.14.Quality and assurance management & key roles ...........................................................62 10.15. Practice questions ........................................................................................................62 11. Transformational Flow ................................................................................................64
11.1. Introduction ...................................................................................................................64 11.2. Programme mandate ....................................................................................................65 11.3. Programme brief ...........................................................................................................65 11.4. Programme preparation plan .........................................................................................65 11.5. Programme definition document ....................................................................................66 11.6. Project briefs.................................................................................................................66 11.7. Programme closure .......................................................................................................66 11.8. Practice questions.........................................................................................................67 12. Transformational Flow Identifying a Programme ...................................................69
12.1. Introduction ...................................................................................................................69 12.2. Activities of Identifying a Programme.............................................................................69 12.3. Inputs of Identifying a Programme .................................................................................70 12.4. Outputs of Identifying a Programme ..............................................................................71 12.5. Document control in Identifying a Programme ...............................................................71 12.6. Practice questions.........................................................................................................71 13. Transformational Flow Defining a Programme .......................................................73
13.1. Introduction ...................................................................................................................73 13.2. Activities of Defining a Programme ................................................................................73 13.3. Inputs of Defining a Programme ....................................................................................76 13.4. Outputs of Defining a Programme .................................................................................76 13.5. Document control in Defining a Programme ..................................................................77 13.6. Practice questions.........................................................................................................78
Crown copyright 2011. Reproduced under license from the Cabinet Office U.K., Source: Managing Successful Programmes v
Contents
14.
Transformational Flow Managing the Tranches .....................................................80
14.1. Introduction ...................................................................................................................80 14.2. Activities of Managing the Tranches ..............................................................................80 14.3. Inputs of Managing the Tranches ..................................................................................83 14.4. Outputs of Managing the Tranches................................................................................83 14.5. Document control in Managing the Tranches .................................................................84 14.6. Practice questions.........................................................................................................85 15. Transformational Flow Delivering the Capability....................................................87
15.1. Introduction ...................................................................................................................87 15.2. Activities of Delivering the Capability .............................................................................87 15.3. Inputs of Delivering the Capability .................................................................................89 15.4. Outputs of Delivering the Capability...............................................................................89 15.5. Document control in Delivering the Capability ................................................................89 15.6. Practice questions.........................................................................................................90 16. Transformational Flow Realizing the Benefits ........................................................91
16.1. Introduction ...................................................................................................................91 16.2. Activities of Realizing the Benefits .................................................................................91 16.3. Inputs of Realizing the Benefits .....................................................................................93 16.4. Outputs of Realizing the Benefits ..................................................................................93 16.5. Document control in Realizing the Benefits....................................................................94 16.6. Practice questions.........................................................................................................94 17. Transformational Flow Closing a Programme ........................................................96
17.1. Introduction ...................................................................................................................96 17.2. Activities of Closing a Programme .................................................................................96 17.3. Inputs of Closing a Programme .....................................................................................98 17.4. Outputs of Closing a Programme ..................................................................................98 17.5. Document control in Closing a Programme....................................................................98 17.6. Practice questions.......................................................................................................100 18. Answers .....................................................................................................................101
Figures ........................................................................................................................................ Figure 1.1 MSP overview principles, governance themes, and transformational flow.............. 5 Figure 2.1 Programme organization overview ..........................................................................10 Figure 3.1 Vision statement overview ......................................................................................18 Figure 4.1 Stakeholder engagement cycle overview ................................................................21 Figure 5.1 Project output, capability, outcome, and benefit overview........................................28 Figure 5.2 Benefits management cycle overview .....................................................................31
Crown copyright 2011. Reproduced under license from the Cabinet Office U.K., Source: Managing Successful Programmes vi
Contents
Figure 6.1 Blueprint design & delivery overview.......................................................................35 Figure 7.1 Planning and control overview ................................................................................40 Figure 8.1 Business case overview .........................................................................................45 Figure 9.1 Risk and issue management framework overview ...................................................49 Figure 10.1 Scope of programme quality overview ..................................................................57 Figure 11.1 Transformational flow overview.............................................................................64 Figure 12.1 Identifying a Programme overview ........................................................................69 Figure 13.1 Defining a Programme overview ...........................................................................73 Figure 14.1 Managing the Tranches overview .........................................................................80 Figure 15.1 Delivering the Capability overview ........................................................................87 Figure 16.1 Realizing the Benefits overview ............................................................................91 Figure 17.1 Closing a Programme overview ............................................................................96
Crown copyright 2011. Reproduced under license from the Cabinet Office U.K., Source: Managing Successful Programmes vii
Programme Management Overview
1. Programme Management Overview

1.1. Introduction
Programme management is a well defined framework used to manage and control a group of projects, which covers vision, objective, scope, design, approach, resourcing, responsibility, risk, quality and benefits. Programme management is a technique that allows organizations to run a group of related projects to achieve a common business objectives or benefits. Portfolio management is all projects, related or unrelated, being carried out by an organization. Programme management is the action of carrying out the coordinated organization, direction, and implementation of a dossier of projects and transformational activities (i.e. the programme) to achieve outcomes and realize benefits of strategic importance to the business."
Programme Management
Organizations often change due to many internal or external reasons, such as innovations in technology, new working practices, mergers and new legislation. The transformational change in any organization can be achieved through running a group of related projects. The outputs of the projects dossier together deliver outcomes and realize benefits. The strategic control and an effective leadership help the organizations to achieve strategic objectives and change successfully. Experiences show that the organizations are likely to fail to achieve the change successfully if there is: Lack of vision and direction in leadership Lack of sufficient board-level support Unrealistic or over expectations from the organization in terms of capacity and capability Lack of sufficient focus on benefits Poorly defined and communicated vision of what needs be achieve Lack of sufficient engagement of stakeholders.
Now if we ask the question: when do we need programme management? The answer would be: any of the following scenarios may be relevant for adopting programme management: There is a series of projects working towards a common strategic objective of the organization The full benefit of the concurrently running interdependent projects will be realized only when most or all the projects have been completed A range of projects that depend on resources beyond the direct control of the project manager.
Programme management involves in selecting the best projects in which to invest. It initiates and defines those projects and realizes the optimal benefits from the transformational change. Programme management focuses on delivering some or all of the following: New capabilities and services Business plan Strategic objectives Change Other initiatives.
Crown copyright 2011. Reproduced under license from the Cabinet Office U.K., Source: Managing Successful Programmes 1
1.2.
Characteristics of portfolio, programme and project
There is often a debate about whether an initiative should be categorized as a portfolio, a programme or a project. The ultimate goal of a programme is to realize outcomes and benefits of strategic relevance. A project focuses on the creation of a set of deliverables within agreed cost, time and quality parameters. The term portfolio is used to describe the total set of programmes and independent projects undertaken by an organization. It is critical to recognize that each of them is a specific tool for different purposes. The table given below tries to compare the characteristics of portfolio, programme and project: Characteristics Management Portfolio Portfolio managers may manage or coordinate portfolio management staff May not exist or may be conceptual On leadership and alignment with corporate strategy Oriented with the organizational benefits linked with its management goal Approach from the view point of outcome dependency and resolving conflicts Viewed from the strategic and business continuity perspectives Programme Programme managers manage the programme staff and the project managers, provide overall leadership Should be focused on benefits realization On direction and delivery of strategy Dominate with significant focus on benefit profiling and realization Project Project managers manage the project team to meet the project objectives Should be focused on cost of the output delivery On management coordination and
Business case
Focus
Benefits
Focus should be on delivery of fit-forpurpose outputs that enable benefits realization Should be product and activities oriented
Planning
Oriented to delivering outcomes through tranches and management of projects interdependencies Focus should be on aggregation of project risk with escalation routes for strategic and operational risks
Risk
Focused on costs, quality and timescales of delivery
1.3.
Why use MSP as a programme management tool
MSP (Managing Successful Programmes) Best Management Practice product offers organizations a structured approach for implementing its business strategies and initiatives through the coordinated management of projects dossier and other business change activities. MSP provides a framework for senior management to direct the change process whilst ensuring that the focus is always on corporate objectives. Through project prioritization and integration, MSP encourages more efficient use of resources and systematically management of benefits realization. Following are five main benefits of using MSP as a programme management tool: An improved and coherent governance structure that addresses the issues of linking business strategy, organizational change and project delivery by establishing clear sets of accountabilities and responsibilities of the people involved.
The agility to react to change to maintain clarity about the current state of the organization and the intended future state that will be delivered. MSP maintains this clarity through rapid impact assessments of changing circumstances and realignment to the new needs of the organization. Improved strategic alignment and clarity of direction is achieved through two core concepts: the blueprint, which is a detailed description of what the programme will achieve, and the detailed benefit profiles explaining how they will be achieved, by whom, and how they will be measured. A focus on delivering benefits from effective business change is a critical advantage with MSP. The focus of programmes moves from coordinating project delivery to preparing for, delivering and establishing change which enables sustainable benefits to be delivered. A foundation for improving organization performance from the proven track record of the MSP framework. There is a Best Management Practice accredited industry providing qualifications, trainers, consultancies and tools to support organizations in adopting and developing their capabilities.
1.4.
The three critical organizational elements
The programme manages natural tension between corporate strategy, delivery mechanism and the business environment whilst delivering transformational change. The programme manages the transition of the solutions developed and delivered by projects into the business operations, whilst maintaining performance and effectiveness. MSP programme management framework aligns three critical organizational elements: Corporate strategy Delivery mechanisms for change, and Business-as-usual environment
The programme management is responsible for managing the programme and the constituent projects, and operations for the delivery of the goods and services for which the organization essentially exists. These three entities not only have entirely different priorities, perspectives and cultures, but are evaluated on entirely different criteria which of course accounts for the natural tension.
1.5.
The three types of programme
There are three types of programme in MSP. All these types are applicable for the MSP programme management framework. These types are the demarcation for the nature of the programme. The three types of programme are: Vision led programmes created from scratch, that start with a clearly defined vision and focus on a strategic objective Emergent programmes evolve from current uncoordinated workloads, where there is a recognition of the strategic value of a joined-up approach Compliance programmes also called must do programmes, where the organization has no choice but to change. Examples of such programmes may include relocation and expansion programmes as well as rationalization and reorganization programmes.
1.6.
Six types of drivers for change programmes
Most organizations aim for long-term strategic goals. The strategies that take them towards these goals are designed to respond to factors that suggest new directions. These factors are the drivers for change. There can be number of drivers for change acting on the organization. They can be different in nature and urgency, from external pressure such as competitive markets or changes in policy, to internal pressure such as new working arrangements resulting from mergers or acquisitions. Given below there are six types of drivers for change programmes in MSP: Political For example election results, changes to an industry regulator or watchdog, change to a major supplier or customer, and changes within a partner organization Environmental For example global warming and increasing incidents of natural disasters, increased risk of pandemics, exposure to global terrorist threats Societal For example awareness of local sustainability for food and other products, attitudes to drugs and alcohol, demographic and migration changes etc. Technology For example discovery of cancer treatment drugs in the health sector, increasing demands on hardware technology from software suppliers, growth of global communications systems Legislation For example health and safety, environmental protection, freedom of information, data protection etc. Economical For example global interest rate changes, taxation policies and incentives, merger and acquisition changing the market balance, entry of a major new player etc.
1.7.
The three core concepts of MSP
MSP provides a framework for effective programme management of any types of the programme in any organization. This feature of MSP enables organizations to integrate the MSP with their particular types of programmes to build a flexible framework for successful performance of the programme. There are three core concepts of MSP: 1. Principles are: Universal in a way that they apply to every programme Self-validating in a way that they have been proven in practice Empowering because they provide practitioners of MSP the added ability to influence and shape transformational change 2. Governance themes address how programmes are defined, measured and controlled 3. And transformation flow processes are used to define the generic programme lifecycle.
Figure 1.1 MSP Overview principles, governance themes, and transformational flow
1.8.
MSP is based on set of principles
The set of principles provides guidance to the programme manager and the business change managers (BCMs) defining and implementing their programmes to achieve business change and realize benefits. There are seven principles as given below: 1. Remaining aligned with corporate strategy - A programme is a usually a big investment which should make a significant contribution towards achieving corporate performance objectives. The programme should be able to maintain coherence with the corporate strategy throughout its lifecycle. 2. Learning from experience A programme should review and improve its own performance during its lifecycle. The programme should be able to learn and adapt accordingly on the basis of experience and results so far. 3. Designing and delivering a coherent capability - A programme is to deliver new business architecture or a final capability. This capability should be embedded into ongoing business operation according to a schedule for delivering capability, with minimal operational impact. 4. Adding value - A programme only remains valid if it adds value to the sum of its constituent projects and major activities. It is better to close the programme and allow the projects to proceed and get coordinated independently if it is not adding value any longer. 5. Focusing on benefits and threats to them - A programme should be aligned with the strategic objectives by realizing the end benefits. Therefore the programme and its
projects and activities should be able to focus on the realization of these end benefits and the effective management of any risks related to the realization. 6. Envisioning and communicating a better future - In order to achieve a beneficial transformational change, the future state, the leaders of a programme must describe a clear vision of that future and then communicate it consistently down the order of leadership. 7. Leading change - Leading change in a programme is about providing clear direction, engendering trust, actively engaging stakeholders, appointing the right people at the right time, and living with a measure of uncertainty.
1.9.
MSP uses nine governance themes
The nine governance themes describe the critical aspects of programme management that must be addressed throughout the programme lifecycle. These themes address how programmes are defined, measured and controlled, and help to achieve business objectives successfully. Each theme focuses on a key aspect of the programme management discipline. Given below are the nine governance themes of MSP: 1. Program organization provides the combination of defined roles, clear responsibilities of each of these roles, and management structures and reporting arrangements needed to deliver the desired outcomes of the programme. 2. Vision and vision statement is the basis for the outcomes and delivered benefits of the programme, and a key enabler for the buy-in, motivation and activity-alignment of stakeholders. 3. Leadership and stakeholder engagement focuses on the importance of stakeholder engagement and their communications for the success of a programme. 4. Benefits management focuses on the need for exploitation of project outputs and delivered capability to achieve benefits from outcomes. 5. Blueprint design and delivery describes how the blueprint acts as a measure and benchmark for defining the detailed deliverables of the programme. 6. Planning and control focuses on managing cross-project themes such as resources and dependencies. 7. The business case provides the basis to test the viability of the programme. 8. Risks and issue management addresses the need for programme risks to be managed within the context of the organization and to the risk management standards. 9. Quality and assurance management should focus on people, communication, information, asset and leadership aspects to ensuring quality within the programme.
1.10. MSP uses transformational flow

The transformational flow processes provide the programme manager a step-wise progression through the programme lifecycle from a controlled start through a controlled middle and on to a controlled end. There are six processes that complete the cycle of the transformational flow of MSP: 1. Identifying a Programme The senior responsible owner (SRO) gets appointed who should then define an outline programme vision, objectives and benefits and an outline business case as a part of the programme brief. This leads to the first key decision by the sponsoring group whether or not to commit resources to Defining a Programme. 2. Defining a Programme The programme manager and business change manager (BCM) get appointed. They refine the programme brief, build the detailed business case, design governance arrangements, and develop plans. The sponsoring group makes the
3.
4.
5.
6.
decision whether or not to commit the resources required by the programme, and to give the senior responsible owner (SRO) authority to proceed. Managing the Tranches This process commences with day-to-day activities of the programme governance. The process ensures that the capability delivery is aligned with the strategic direction of the organization. Changes are implemented through incremental step-change in each tranche to enable the required benefits to be realized. Delivering the Capability - This process covers all the activities for coordinating and managing projects delivery according to the programme plan. Delivery from the projects dossier provides new outputs which enable the capabilities defined in the blueprint. Realizing the Benefits The business change managers (BCMs) ensures that the project outputs are properly embedded into business as usual. They should ensure that the required changes in operational practices and culture are achieved and, as a result, benefits start to be realized and are measured. Closing a Programme - When the whole blueprint for change has been delivered and benefits are realized to satisfy the business case the programme finally closes. Premature closure happens if the business case of the programme is no longer viable. The stakeholders should be notified that the programme is about to close.
1.11. Programme management strategies and plans

The programme works out strategies and plans to implement the governance approach. These strategies and plans validate the need for visibility and control over achieving objectives of the programme. Strategies The strategies define the why and how of the approach that the programme would take to achieve its outcomes and benefits.
These approaches should adhere to the policies and standards of the organization, and responsibilities related to a particular governance theme. Plans The plans explain what activities would take place to deliver that element of governance, as well as where, when and by whom.
Plans are used as the delivery mechanism designed for explaining activities, implementing the management strategies that are important for achieving outcomes and benefits. Given below are the programme management strategies and their relevant delivery mechanisms: Resource management strategy defines how the programme will acquire and manage resources, such as people, finance, systems and facilities that are required to achieve the business change and benefits realization. The delivery mechanism for the resource management is the resource management plan. Monitoring and control strategy defines how the programme will apply internal controls to monitor progress in terms of expected and actual delivery of outputs and outcomes. Programme plans are used as a delivery mechanism for this strategy. Information management strategy defines how the programme related information will be stored, filed, retrieved, and managed. Information management plan should be used as a delivery mechanism for the information management strategy. Quality and assurance management strategy defines the approach to manage quality activities across the programme. It should answer to the question what will be subject to quality assurance/audit/review/control, and responsibilities for quality management? Quality and assurance plan is used as a delivery mechanism for the quality and assurance management strategy.
Risk management strategy defines the programme approach and context in which risks can be identified and assessed, their responses can be planned and implemented. Risk register is used as a delivery mechanism for the risk management strategy. Issue management strategy defines how issues will be managed across the programme and how any resulting changes will be incorporated. Issue register is used as a delivery mechanism for the issue management strategy. Stakeholder engagement strategy defines a framework an effective stakeholder engagement and communication within the programme and its context. Stakeholder profiles and programme communication plan are used as the delivery mechanism. Benefits management strategy defines the delivery framework for identifying, prioritizing and realizing benefits. Benefit profiles and benefits realization plan are used as the delivery mechanism.
1.12. Roles and responsibilities

MSP programme management framework defines roles and responsibilities for all who should be part of the leadership of the programme. An effective leadership of a programme is about informed decision-making ability and a flexible management regime. Following are the key roles involved in the management of a programme: Senior responsible owner (SRO) is accountable for the programme. He ensures that the programme meets the objectives of the organization and realizes the expected benefits. The individual who fulfils this role should be able to lead the programme with energy and drive. He must be empowered to direct the programme and take decisions. He must have enough seniority and authority to take on accountability for delivery. Programme manager is responsible for managing and leading the setting up of the programme through to delivery of the new capabilities and realization of benefits. The programme manager has primary responsibility for establishing the required governance arrangements and day-to-day activities for successful delivery of the programme. Business change managers (BCMs) are responsible for realizing the resultant benefits through embedding capabilities into day-to-day business operations. The business change managers (BCMs) and programme manager must be able to work in close partnership to ensure that the right capabilities are delivered and that they are put to the best use. Programme offices programmes often affect large numbers of people and organizations and generate a substantial volume of information. The programme office acts as the nerve centre and information hub for a programme. All information, communication, monitoring and control activities for the programme are coordinated through the programme office.
1.13. Practice questions

1. Which is NOT one of the reasons for an organization to fail to deliver change? a) Insufficient board-level support b) Lack of vision and direction in leadership c) Insufficient delivery mechanisms for change d) Insufficient engagement of stakeholders 2. Which is NOT one of the three critical organizational elements aligned by programme management?
a) Organizational growth b) Corporate strategy c) Business as usual environment d) Delivery mechanisms for change 3. Which one of the following is an MSP governance theme? a) Remaining aligned with corporate strategy b) Quality and assurance management c) Leading change d) Adding value 4. Which one is a core concept of the MSP framework? a) Blueprint design and delivery b) Business change team c) Governance themes d) Programme assurance 5. Which one of is the characteristics of an emergent programme? a) Start with clearly defined vision b) Evolve from current uncoordinated workloads c) Organization has no choice but to change d) Expansion or relocation programme
Programme Organization
2. Programme Organization
2.1. Introduction
The governance theme programme organization defines an effective organization that provides defined roles and their responsibilities, programme assurance, management structure and reporting arrangements to the programme. The theme covers responsibilities for the programme manager, business change managers (BCMs) and others supporting roles in programme team. A programme organization requires effective combination of the following to realize desired benefits: Defined roles such as sponsoring group, programme board, senior responsible owner (SRO), programme manager, business change managers (BCMs). Clear responsibility of each of these roles for example a programme manager looks after the set-up, management and delivery of the programme, a senior responsible owner ensures that the programme meets its objectives and delivers the benefits. Management structures and reporting arrangements the hierarchical relationship between the programme leaderships, e.g. the sponsoring group, programme board, and project board. Their accountability and reporting modality and arrangements. Programme information and documentation required to manage the programme successfully, e.g. programme plan, risk profile, benefits map. Programme assurance measures such as independent assessment to ensure that the programme is on track, applying relevant practices and procedures, and that the projects, activities and business operations remain aligned to the programmes objectives, e.g. OGC Gated review. Programme office tools that assist programme and its projects in management activities, e.g. project management tools, programme management tools, collaboration tools.
Figure 2.1 Programme organization overview
The programme organization is about programme management, the roles and responsibilities of individuals involved in the programme, and human resource arrangements.
An effective leadership is about informed decision-making ability and a flexible management regime within a programme. This ability in a leadership can be built by a team of good blended personalities and skills and a structure that enables them to fulfill their roles effectively.
2.2.
Sponsoring group
The sponsoring group is the main driving force behind any programme. The sponsoring group provides the investment related decision and top-level endorsement for the rationale and objectives of the programme. The sponsoring group represents senior managers responsible for the following: The investment related decision Defining the direction of the business of the organization Ensuring the ongoing alignment of the programme with the strategic direction of the organization.
The existing executive committee or other board of the organization may perform the role of the sponsoring group. The sponsoring group appoints a senior responsible owner (SRO) from the peer members of the sponsoring group. The corporate portfolio board takes on the role of the sponsoring group in a multiple programme environment. The corporate portfolio board bears the responsibility for ensuring ongoing strategic alignment and prioritization across all the programmes and projects of the corporate portfolio. The sponsoring group has the overall authority of the programme. The sponsoring group delegate major authorities to the senior responsible (SRO) depending on the nature of relationship between them. Following are some of the major responsibilities of the sponsoring group: Authorizing funding for the programme Providing the continuing organizational support for the programme Authorizing the programme mandate Participating in end-of-tranche reviews and approving the progression to the next tranche Providing leadership to implement the values implied by the transformational change Appointing, advising and supporting the senior responsible owner (SRO) Authorizing the vision statement Authorizing programme delivery and sign-off the closure of the programme.
2.3.
Senior responsible owner (SRO)
The senior responsible owner (SRO) is appointed by the sponsoring group. The SRO who acts as a representative of the programme board takes the overall responsibility for ensuring that the programme delivers the desired outcomes and realizes benefits. The senior responsible owner (SRO) should be able to lead the programme with seniority and true leadership skills. He must be empowered to direct the programme and take critical decisions. The senior responsible owner (SRO) is also accountable for enabling the organization to exploit the resultant environment delivered by the programme, meeting the new business needs and
delivering new levels of performance. Following are the some of the responsibilities of the senior responsible owner (SRO): Providing the vision for the programme Providing leadership and direction throughout the lifecycle of the programme Ensuring that the programme delivers a coherent capability, achieves its strategic objectives and realizes the benefits Establishing governance arrangements and assurance for the programme Ensuring the viability of the programme against business case Maintaining relationship with key stakeholders, keeping them engaged and informed Commissioning of assurance and audit reviews Appointing, chairing and setting priorities for the programme board.
2.4.
Programme board
The programme board is established by the senior responsible (SRO). Members of the programme board provide their individual commitments and resources to support the senior responsible owner (SRO) towards successful delivery of the programme. The programme board reports to the senior responsible owner (SRO). The senior responsible owner (SRO), the programme manager and the business change managers (BCMs) are mandatory members of the programme board. Following are optional members who may provide advice and expertise, as and when required by the programme board: Project executives from current or relevant projects in the programme Representatives of corporate functions, e.g. HR, finance, risk etc. Lead suppliers of the programme.
Members of the programme board are individually answerable to the senior responsible owner (SRO) for their own areas of responsibility within the programme. Following are some of the major responsibilities of the programme board: Ensuring the integrity of benefit profiles and benefits realization plan Maintaining focus on the development, maintenance and achievement of the blueprint Proving assurance for operational stability and effectiveness through programme delivery.
2.5.
Programme manager
The programme manager is responsible for the setting-up, management, governance and delivery of the programme. The programme manager is normally appointed as part of the programme management team in Identifying a Programme/Defining a Programme transformational flow process. The individual should have following skills to become a programme manager: To work positively with individuals and groups involved in the programme To develop and maintain effective working relationship with other members of the programme management team Should have strong leadership and management skills Understanding of the objectives of the programme Good knowledge for planning, monitoring and controlling programmes Good knowledge of project management framework such as PRINCE2
Following are some of the responsibilities of a programme manager which may be integrated into individual terms of reference and objectives:
Day-to-day activities of the programme management, including planning, supervising and controlling the programme Developing and implementing programme governance framework Effective coordination of the projects and their interdependencies Managing and resolving any risks and other issues that may arise Managing the budget, monitoring the expenditures against benefits as the programme progresses Ensuring that the delivery of outputs or services from the projects meets programme requirements with appropriate quality, on time and within budget Managing the performance of the programme team Managing internal and external suppliers to the programme Managing communications with stakeholders Reporting the progress of the programme to the senior responsible owner (SRO) at regular intervals.
2.6.
Business change manager (BCM)
The business change manager (BCM) is responsible for realizing benefits, embedding the capabilities delivered by the projects dossier into business operations, and facilitating business changes to exploit those capabilities. The business changer manager should work in close partnership with the programme manager to ensure that the right capabilities are delivered, and are in place for best use. Appointment of the business change managers (BCMs) should be coordinated by the senior responsible owner (SRO) with the help of the sponsoring group. The role of business change manager (BCM) is primarily benefits-focused. Following are some of the major responsibilities of a business change manager (BCM): Maintaining the focus on realizing benefits Development of the benefits management strategy Identifying, defining and tracking the outcomes required of the programme Designing the future operating model within the programme blueprint Identifying organizational changes outside the scope of the programme and may affect the contents of the blueprint Reporting to the senior responsible owner (SRO) on the progress of outcomes and realization of benefits Preparing for the transition to new ways of working, implementing new business processes Ensuring that business stability is maintained during the transition and changes are effectively integrated into the business operation Initiating business assurance reviews to ensure that capabilities are being embedded and established.
2.7.
Business change team
The business change team is a group of specialists appointed to support business change managers (BCMs) in the change management area of benefits realization. Focus of the business change team should be on helping the operational unit to achieve smooth transition.
The individuals of the business change team should report to their relevant business change manager (BCM). The individual of the business change team should have following ability, for example: Change management skills Operational knowledge and experience Ability to influence, and authority of appropriate senior managers.
2.8.
Programme office
Programmes are major ventures, usually involve large number of people and organizations, and generate a substantial volume of information. The programme office functions as information hub for the programme and its delivery objectives. All information, communication, monitoring and control activities for the programme are coordinated through the programme office. The activities of the programme office may be facilitated by corporate portfolio office, hub programme office, programme management office (PMO) or centre of excellence if the programmes are part of the corporate portfolio. Following are two distinct roles of the programme office: Provide support and guidance to the projects and initiatives Provide information hub for governance and control, including standards, approvals, financial monitoring, assurance, provision of health checks etc.
A programme office consists of physical entities, such as people, facilities, tools and equipments. It may or may not exist as one single functional unit. The programme office can be: Part of the corporate portfolio office, a centre of excellence, sets standards for the programmes and projects in an organization A single function for smaller enterprises, fostering all programmes and projects Separate functions for programmes and projects, for example a programme office located at a corporate office Separate functions aligned with the organization structure. This is common for large global organizations.
A programme office may serve to a single programme, or may provide service to a number of programmes. The roles and responsibilities of the programme office may vary depending upon the size and capabilities of the organization. Following are some of the major responsibilities of a programme office: Tracking and reporting the progress against plans Information management e.g. storing and maintaining all programme information, documentation, and standards Financial accounting e.g. providing budget control for the programme List of stakeholders and their interests of the programme Quality control establishing standards for the programme governance, and planning and control Change control identifying and recording items for changes, subsequent investigation and resolution.
2.9.
Programme assurance
The programme assurance is an independent assessment to ensure that the programme is on track and the projects, activities and business rationale remain aligned to the corporate objectives.
The programme assurance activities, such as audit should be carried out by either an internal team or an external review team. Assurance reviews can be carried out at any time during the programme and should be repeated in areas where problems have been identified. Following below are the programme assurance activities: Audits are examination of the programme activities with the aim of determining the extent to which they confirm to specified criteria Effectiveness of measurements to measure progress and assess performance, measures of inputs, resources, activities and outputs Assurance reviews are the tools used by senior managers to determine whether the programme should continue P3M3 maturity assessments provide views on effectiveness of the portfolio of organization, programme and project management Gated reviews recommend that programme should not allow to progress to its next stage unless it has undergone a gated review.
2.10. Programme office tools

A programme office often uses tools which can assist the management of the programme and its projects. The programme office tools provide assistance to facilitate activities and act as an interface between programme and the constituent projects. Following are some of the programme office tools: Project management tools e.g. software for modelling the project Programme management tools help programmes know what is going on in other parts of the organization Programme office tools designed specifically for the programme and project office; typically provide help in risk and issue management, change control, and planning etc. Collaboration tools are software tools store and share documents and data, help to manage etc.
2.11. Programme organization & key roles

Following are the programme management roles and their major focus areas in the governance theme programme organization: Senior responsible owner (SRO) Ensuring that the programme has the necessary skills, resources and experience required to deliver the change Appointment of the programme manager Approval of the BCM appointment by the sponsoring group members Design and appointment of the programme team Appointment of the programme office Facilitating the appointment of project management teams Line management of the programme team Design and appointment of the business change team Development and performance of the individuals in the business change team
Programme manager
Business change manager (BCM)
Programme office
Maintenance of organization information Guidance on roles and responsibilities within the programme team Support in recruitment and appointments.

1. Which one is a requirement of a member of a business change team? a) Accountancy experience b) Risk management experience c) Programme management knowledge d) Operational knowledge 2. Which one is a purpose of assurance in a programme? a) Ensuring that the programme remains on track to deliver the organizations strategic objectives b) Making sure the organizations risk management strategy follows the corporate standards c) Making sure the corporate policy remains aligned with the programme d) Making all staff aware of the organizations commitment to the programme management 3. Which one is best description of the sponsoring group? a) Overall responsible for ensuring that a programme meets its objectives and delivers the desired benefits b) The driving force behind a programme that provides investment decision and objectives for the programme c) A group of business change managers d) A group established to support the senior responsible owner (SRO) to deliver a programme 4. Which one is NOT a responsibility of a senior responsible owner (SRO)? a) Developing and implementing programme governance framework b) Setting priorities for programme board c) Providing vision for the programme d) Establishment of governance arrangements 5. Which one is NOT a responsibility of a programme manager? a) Managing communications with stakeholders b) Managing and resolving programme risks and issues c) Ensuring the integrity of benefits profiles and benefits realization plan d) Day-to-day activities of programme management
Vision
3. Vision
3.1. Introduction
The governance theme vision describes how to establish a picture of the desired change state of the organization. A vision is high level strategy or idea which drives the organization towards the achievement of its goal, benefit or desired outcome. A vision is also known as a brief statement of intent which should be communicated down from the senior management or leadership. Vision A vision is a better future that the programme will deliver.
The vision statement encapsulates the vision of the organization used to communicate the mission to achieve the desired change state. The UK public authorities describe the vision statement a postcard from the future which provides a summary, highlighting the compelling features of the future state. The vision statement is, in outline, a clear statement of the end goal of the programme, supported by a description of the new or changed capabilities.
Vision Statement
The vision statement of a programme provides the basis for engaging with and gaining commitment from the stakeholders. The vision statement enables the stakeholders to understand the bigger picture of the change state. Following are some of the characteristics of a good vision statement: Short, memorable and relevant Easily understood by all stakeholders, target wider groups of stakeholders Describe a desirable future state Describe the current reality as part of the justification for the change Have implicit benefits arising from the transformation to the future state Be compelling and motivating, engage hearts as well as heads Be flexible enough to remain relevant over the life of the programme Provide sufficient context and direction to enable the development of the blueprint.
The blueprint document translates the vision statement into a detailed description of the capability which is required to enable the outcomes of a programme. The blueprint describes the current, or as-is, state of the organization and the future capability which will be delivered through the projects dossier. Vision statement of Ford in early 1900s: Democratize the automobile Sample Vision Statement Current state: To become the world's leading consumer company for automotive products and services.
Vision
Figure 3.1 Vision statement overview
3.2.
Typical contents of a vision statement
The vision statement should act as a beacon that maintains the direction of the programme. Typically an ideal vision statement should be able to encapsulate the following information: Clear statement of the end goal of the programme Any imposed constraints and deadlines Context for the programme and project teams Information to set expectations and context of the broader business Information to support the justification for change, e.g. do-nothing vision.
3.3.
Developing the vision statement
Development of the vision statement should begin alongside the development of the programme mandate. The senior responsible owner (SRO) with a group of interested senior management and key stakeholders sit together and begin building outline vision statement options based on information available in the programme mandate. The first cut vision is included within the programme brief under the heading outline vision statement. This outline vision statement is developed into a complete vision statement once the programme moves into Defining a Programme when more information is available. The future state described in the vision statement should be within the context of strategic objectives of the organization. The vision statement should be regarded as a stable foundation for the programme. It should be flexible enough to accommodate any improvements or amendments to it. If the vision statement requires major changes, then there may be following risks: Confusing stakeholders regarding the credibility of the programme Indicating that the current programme is no longer strategically aligned It is trying to meet the needs of too many stakeholders and becomes a set of compromises.
Vision
3.4.
Vision statement & key roles
The vision statement is produced by the senior responsible owner (SRO), reviewed by the business change managers (BCMs) and approved by the sponsoring group and programme board. Following below are some of the major focus areas of the programme roles in developing the vision statement: Senior responsible owner (SRO) Engaging the sponsoring group in the development of the vision statement Producing the vision statement document Ensuring that the organization is capable of achieving the transformation described Authorizing any changes or formal interpretations to the vision statement Developing programme documentation aligned to the vision statement Coordinating the development of the blueprint based on the vision statement Designing the delivery of capability to align with the vision statement commitments Processing any changes or updates to the vision statement Interpreting the vision statement in the context of their business operations Assessing the impact of the vision statement on business operations Delivering the operational changes needed to achieve the desired end state Configuration management of the vision statement document
Programme manager
Business changer managers (BCMs)
Programme office
3.5.
Practice questions
1. Which document is used to communicate the programmes mission to achieve changed state to its stakeholders? a) Blueprint b) Programme mandate c) Programme brief d) Vision statement 2. Which statement BEST explains why key stakeholders are invited early in the programme to help draft an outline vision statement? a) To engage them early in the programme b) They produce the vision statement c) To approve the contents of the vision statement d) Their involvement helps mobilize the operations to deliver the changed services 3. Which activity should be the focus of the business change manager during the development of a vision statement? a) Carrying out assessment on how business operations may be affected by the vision statement b) Developing the programme document according to the vision statement
Vision
c) Gaining support from senior management for the development of vision statement d) Producing the vision statement document 4. Which of the following is NOT a characteristic of the vision statement? a) It is short and memorable b) Key benefits are implicit c) Describes a desirable future state d) Does not change over the life of the programme 5. Which is NOT a typical content of the vision statement? a) End goal of the programme b) Context for the programme and its projects c) Information to support justification for change d) Cost benefits analysis of the programme
Leadership & Stakeholder Engagement
4. Leadership & Stakeholder Engagement

4.1. Introduction
The governance theme leadership and stakeholder engagement is guided by the programme management principle leading change. This governance theme describes how the programme leadership provides clear direction, engender trust, engage stakeholders, appoint the right people, live with uncertainty, solve problems, support the programme transition and ensure the new ways of working are established. Stakeholder Stakeholders are any individual or group that has an interest in the programme, its outcomes or benefits.
The programme leadership uses the vision statement to communicate and influence the stakeholders for their commitment towards the beneficial future. Stakeholder engagement identifies and analyses stakeholders, defines and makes planning for their engagement, undertakes these engagements and measures their effectiveness to help ongoing stakeholder engagements.
Figure 4.1 Stakeholder engagement cycle overview Good leadership uses visioning workshops to influence stakeholders for drafting the vision statement at the early stage of the programme. These workshops provide opportunity to engage key stakeholders and gather critical information. The programme leaders should engage stakeholders in the following ways: Programme leaders use the vision statement to communicate, influence and persuade stakeholders for their commitment towards the beneficial future.
Business change managers (BCMs) engage their operational stakeholders, leading them through the uncertainty of transition to the new ways of working. In a community of different interests and attitudes the leaders engage stakeholders to identify benefits of common interests. Some stakeholders will be identified as resources within the delivery of the new capability, some with unique or scare skills and competencies.
4.2.
Visioning workshops and do-nothing vision
Visioning workshops provide an opportunity to brainstorm and define do-nothing vision to justify the scenario that the organization cannot stay where it is now. The do-nothing vision allows the leadership to create and support the belief in the need for change. The do-nothing vision is also known as the burning platform or burning bridge, promises that do-nothing is impossible. We are on a burning platform, and if we do nothing we will burn. We have a choice to jump off the platform into the deep cold sea. This is a risk, but a risk that we must take. Doing nothing is certain death, whereas we might survive in the sea. Sometimes, doing nothing might appear to be a good choice.
4.3.
Business change management
A programme exists in a wider context of change. It can be part of a larger strategic change initiative or part of a corporate portfolio of change. The change creates situation where each individuals affected by the programme experience their own cycle of change transitioning from the old way of working to a new way. Business change management provides guidance on how change happens in its broadest context, for example within individuals, within teams and within the organization, and how people can be led through such change. Business change management and the organizational commitment to change should complement each other for successful delivery of the programme. The business change manager (BCM) leads an operational team involved in transition to embed new working practices.
4.4.
Characteristics of management and leadership
A good programme management should have skills and competencies to take on responsibilities to manage and control a group of projects. Good leaders take attitudes and agendas of individuals and understand challenges that transformational change brings for the people. Such leaders having these qualities are likely to become more successful in influencing people, and turning them from blockers into supporters. A best-practice programme recommends all roles in the programme management team should display leadership qualities. However, the senior responsible owner (SRO), the sponsoring group and programme board roles need to display leadership skills on more continual basis. There is clear distinction between essential nature of a leadership and programme management. This distinction does not mean that managers cannot be leaders or that leaders cannot be managers. Following table illustrates the distinction of characteristics between leadership and management: Characteristics of leadership Particularly required in a context of change. It clarifies the current state, the vision of the future, and thrive the gap between the Characteristics of management Always required, particularly in business-as-usual contexts, and focuses more on evolutionary or continual improvement
two Inclined to clarify the what and the why More concerned with effectiveness and purpose direction, Focused on the how and the when Concerned with speed, efficiency and quality Most effective when controlling tasks against plans Focused on tasks, delivery and process
Most effective when influencing people by communicating face to face Focused on meaning, purpose and realized value
4.5.
Stakeholder engagement cycle
The stakeholder engagement is management of perceptions, objections, messages and communications of the stakeholders. Programmes use planned communications approach for the management of stakeholders. The stakeholder engagement cycle supports the MSP stakeholder engagement strategy. The stakeholder engagement strategy should be used within the programme to maintain the quality of the stakeholder engagement. Following are six steps of the stakeholder engagement cycle: 1. Identifying stakeholders Who the stakeholders are? This step in cycle identifies all the stakeholders who are involved in or affected by the programme and its outcomes. There may be large number of individual stakeholders. This step organizes the stakeholders by their categories, such as users/beneficiaries, management boards, steering groups, and audit, influencers, and suppliers or business partners etc. 2. Creating and analyzing stakeholder profiles Why the stakeholder is and what are their interests? The information of stakeholders is consolidated in stakeholder profiles. This document records all the information regarding stakeholders including stakeholder map. Analysis of profiles provides understanding of the influences, interests and attitudes of the stakeholders towards the outcome of the programme. 3. Redefining the stakeholder engagement strategy - How the programme will engage with the stakeholders effectively? The stakeholder engagement strategy is used to define the stakeholder engagement. The stakeholder engagement strategy should specify the following: How to identify, categorize and group the stakeholders How to measure the influence and interest of a stakeholder in the programme Approaches for stakeholder engagement including roles and responsibilities of the people involved How to manage interfaces between the programme and its projects stakeholders What are the communications channels to be used How to measure the success of the stakeholder engagement. 4. Planning the engagements When to engage with stakeholders? The stakeholder engagement strategy should focus on the planning for communications and engagement events. The stakeholder engagement should involve the stakeholders in decision-making and implementation, also consulting with and informing them. 5. Engaging stakeholders Do the engagement with stakeholders. The programme management team uses different communication channels to influence, lobby, cajole,
manipulate, co-opt, flatter and apply pressure on stakeholders to maintain drive and keep the programme on track. The engagement process starts with identifying and analyzing stakeholders in early workshops and seminars. 6. Measuring effectiveness Results for measuring how effective the stakeholder engagement is about checking perceptions of a sample stakeholders group. An independent review of stakeholder perceptions can provide a valid sense-check on programme assumptions about stakeholder perceptions and commitment, and could be included as part of a programme health check.
4.6.
Objectives of communications process
Greater the change the greater the need it will be for clear communication about the reason and rationale behind the benefits expected, the plans for its implementation and its proposed effects. Following are the objectives of the communications process: To keep awareness and commitment of the programme To ensure that expectations always maintain alignment with what will be delivered To explain what changes will be made and when To describe the desired future change state.
Success of communications will be judged on the ability of the programme to meet these objectives listed above. Following are four core elements for the successful communications in a programme: Stakeholder identification and analysis Send the right message to the right people Message clarity and consistency Ensure relevance and recognition, and engender trust Effective system of message delivery Get the messages right, timely and effective to the stakeholders Feedback collection system Assess the effectiveness of the communications process.
4.7.
Stakeholder engagement strategy
The stakeholder engagement strategy defines an approach for effective stakeholder engagement and communication in the programme. The stakeholder engagement strategy should be able to answer to the question: How will the programme engage with the stakeholder effectively? It should be able to identify, categorize and group the stakeholders depending upon the level of interest towards the outcome of the programme.
4.8.
Programme communications plan
The programme communications plan is a schedule and arrangements for implementing the stakeholder engagement strategy. This includes messages, audiences, timing responsibilities, communication channels and feedback processes. The programme communications plan describes what will be communicated, how it will be communicated, and by when and whom. The programme communications plan should be defined as early as possible and should be maintained throughout the programme lifecycle.
4.9.
Stakeholder profiles
The stakeholder profiles, also referred as stakeholder register is used to record the information about stakeholders. This includes current and target positions in terms of levels of stakeholders interest, impact, influence and support towards the success of the programme. It is a summary document illustrating the key information about each stakeholder.
4.10. Stakeholder map

The stakeholder map is used to analyze and compare different stakeholders and their interests within the programme. It is usually a part of the stakeholder profiles. The stakeholder map and the stakeholder profiles should be checked regularly to figure out whether new stakeholders have appeared, new interests have emerged or the earlier assessment of the stakeholders should now be changed.
4.11. Influence/interest matrix

The influence/interest matrix is used to cross-map the potential interest of each of the stakeholders against their areas of interest, and workout approaches and priorities for the engagement and communication of these stakeholders.
4.12. Communications channel

The programme communication channels are the way of ensuring the expectations of stakeholders of the programme. These communication channels may be of type participative approach, such as seminars, workshops etc. The benefit of the participative approach is that it provides the programme management team an opportunity to contact stakeholders directly and obtain first-hand feedback. A non-participative media, for example announcements newsletters are the vehicles for getting messages about the programme to the external audience. This non-participative approach provides the programme team confirmation that their work is significant and important.
4.13. Stakeholder engagement & key roles

Following below are some of the major focus areas of the programme roles in the stakeholder engagement governance theme: Senior responsible owner (SRO) Leading the engagement with high-impact stakeholders and anticipating stakeholder issues that may arise Briefing the sponsoring grouping and gathering strategic guidance on changing business drivers Ensuring the creation, implementation and maintenance of the overall stakeholder engagement strategy. Developing and implementing the stakeholder engagement strategy Day-to-day implementation of the whole stakeholder engagement process Developing, implementing and updating the programme communications plan.
Programme manager
Business change managers (BCMs)
Engaging and leading those operating new working practices through the transition, generating confidence and buy-in from those involved. Active stakeholder engagement is a major part of discharging this role Support to the programme manager in the development of the stakeholder engagement strategy and programme communications plan Providing information and business intelligence for the stakeholder profiles Briefing and liaising with the business change team Communicating with affected stakeholders to identify new benefits and improved ways of realizing benefits. Maintaining information relating to the stakeholders Maintaining an audit trail of communication activity Facilitating activities specified in the programme communications plan.
Programme office

1. What is understood by the definition any individual or group or organization that has interest in the programme, and its outcomes and benefits? a) Business change team b) Programme management team c) Programme board d) Stakeholders 2. Which is NOT a characteristic of a leadership? a) Focus on tasks, delivery and process b) Concerned with efficiency, quality and speed c) Concerned with direction, purpose and effectiveness d) Controlling tasks against plans 3. Which is NOT a core element for the successful communications in a programme? a) Stakeholder engagement strategy b) Stakeholder identification and analysis c) Feedback collection system d) Message clarity and consistency 4. A stakeholder profile is used for one of the following? a) Current and target interest of stakeholders in a programme b) Compare and analyze various stakeholders and their interest in a programme c) Define approach for stakeholder engagement d) Cross-map the potential interest of the stakeholders 5. Which one of the following is the focus of a programme office in stakeholder engagement?
a) Developing and implementing the stakeholder engagement strategy b) Briefing and liaising with the business change team c) Communicating with the affected stakeholders to identify new benefits d) Maintaining information related with the stakeholders
Benefits Management
5. Benefits Management
5.1. Introduction
The governance theme benefits management defines how benefits should be identified, evaluated and managed to ensure that the programme successfully achieves its business objectives. Benefits can be achieved through projects delivering outputs, which then build capabilities, transition into business operation as outcomes, and finally these serve the purpose of realizing benefits for the organization.
Figure 5.1 Project output, capability, outcome, and benefit overview The figure shown above is the sequence of events that occur in benefits realization within a programme. An output is the tangible or intangible product resulting from a planned activity. A capability is the completed set of outputs of the project required to deliver an outcome. An Outcome is a result of change which affects real world behavior/circumstances and may lead to one or more benefits. Benefits are the measurable improvements resulting from, and enabled by, the outcomes. A benefit is the measurable improvement resulting from an outcome perceived as an advantage by one or more stakeholders, which contributes towards one or more organizational objectives.
Benefits
It is likely that there will be some anticipated negative impacts or declines along with improvements of the programme. A forecasted negative impact of the change can be termed as dis-benefit. A dis-benefit is the measurable decline resulting from an outcome perceived as negative by one or more stakeholders, which detracts from one of more organizational objectives.
Dis-benefits
Benefits and dis-benefits both are anticipated from a transformational change programme. Disbenefits should not be taken as risks as they are planned to be realized. However, there may be some risks about the extent of their ultimate impact. Benefits are best known with a change term at the beginning as prefix, such as increased, faster, lower, cheaper, bigger, and should be accompanied by a measurement, such as percent, value etc.
Benefits Management
5.2.
Benefits realization and corporate objectives
Organizations must set long-term corporate objectives and evolve to meet the challenges and grow as the environment within which they can operate changes. The organization set up programmes and projects to enable these changes. The corporate portfolio of an organization comprises all the current and future change activities. The corporate strategy provides the context and balance for planning, running and completing a change programme. The programme delivers new capabilities, for example business processes, new assets, systems, functions, services or sets of working practices. The programme also ensures implementing these capabilities and managing their effects on business performance during the transition, and realizing the benefits. In some cases the benefits realization may continue beyond the programme. Following are some of the reasons why benefits realization may continue beyond the programme: It is not reasonable to maintain the programme structures until the realization of full benefits Benefits can realize themselves at any time and may not require the programme structure to be in place to realize them The business change manager (BCM) will continue to have responsibility for realization even though the formal structures have been disbanded Benefits may have to be realized as per pre-agreed target levels that are yet to be achieved.
5.3.
Benefits categorization
Benefits categorization helps organizations to model their priorities and planning of benefits and ensure that there is a balanced portfolio of benefits. An individual benefit may belong to more than one category as they may show different perspectives or attributes. The categories to which a benefit belongs are documented in the benefit profiles. Categorizing benefits effectively helps organizations in the following ways: Enable effective reporting and tracking by category Identify potential overlaps of benefit counting Understand the impact of changes on different parts of the organization Track the relationship between objectives and benefits Enable a portfolio-level view of benefits across programmes and projects through consistency.
The programme should be decisive on categorizing its benefits. Double-count of benefits should be avoided while analyzing the perspectives and priorities of benefits. MSP defines following benefit categories, but they are not exhaustive: Value This benefit category covers vast majority of potential benefits and is useful for identifying potential programme benefits. There is further sub-categorization of value, as given below: Economic benefit - A financial improvement, releasing cash, increased income or the better use of funds, e.g. credit rating Effectiveness benefit - Doing things better or to a higher standard, e.g. fewer failures
Efficiency benefit - Doing more for the same or the same with less, e.g.
processing more enquiries but with the same number of people. Financial impact This benefit category shows financial impact, either cashable or non cashable. It can be further sub-categorized as:
Benefits Management
Cashable - For example, benefits such as lower supply chain costs, staff savings or lower running costs that are realized in the form of reduced unit costs which can release cash Non-cashable - For example, staff time savings which can be re-invested in improved services but cannot be released as cash. Corporate objective - Benefits can also be categorized by the type of corporate objective they support. Each organization will have different objectives and priorities that they wish to achieve, i.e. internal performance improvement such as improved decision-making or more efficient management processes. Stakeholder impact - Programme outcomes and benefits should have different effects on different stakeholders. An outcome can generate positive benefits for one group of stakeholders, while same causing negative effects, called dis-benefits to other groups. For example, increased efficiency may require staff to work longer hours. Timeline - Different benefits will materialize at different points of time during and after the life of the programme. Timing the realization of benefits is of obvious importance. For example, it is important to produce short-term quick wins to keep stakeholders supportive to the initiative. Level of risk - The level of risk associated with the achievement of benefits contributes to understanding the overall level of risk for the programme. For example, if the benefit identified that worth $10,000,000 and the risk with it is high, you might only account for $7,000,000 in the benefits with low risk forecast.
5.4.
Benefits management cycle
The benefits management cycle is a generic four-step process defined for benefits management within a programme. The benefits management cycle is supported by ongoing operations and activities of the organization to identify and optimize the benefits on a continual basis. Following are the steps of the benefits management cycle: Identify benefits - The benefits management start early in the programme identifying likely benefits and mapping them with the corporate objectives. The optimal way to identify benefits is to engage key stakeholders to get different perspectives on identification of possible benefits. The identification and categorization can be done in a number of different ways, i.e. through benefits modeling and maps, and benefits profiles. The benefits management strategy should define the detail programme framework for realizing benefits. Plan benefits realization - The programme should understand how these identified benefits fit together, attribute responsibilities, validate that they are credible. Using the benefits map interrelations and dependencies between different types of benefits can be managed. Benefits attribution helps to define accountability and responsibility for benefits. Benefits validation should be used to ensure the identified benefit is fit for the purpose. The benefits realization plan is used to define a complete view of all the benefits, their dependencies and their expected realization timescales. Deliver benefits realization The delivery of benefits realization is principally linked to three stage business transition cycle, e.g. pre-transition, transition and post-transition. The capabilities delivered by the projects are transitioned into outcomes, and the legacy working practices are removed and new resultant practices are adopted, and finally realization of benefits achieved. It provides an opportunity for the measurement of the benefits. Benefits review - The review of benefits as minimum should take place at the end of each tranche to ensure that benefits realization is still on track. If the benefits realization found to be out of track immediate changes should be made to the benefits realization
Benefits Management
plan. The findings of a benefits review might also recommend the programme to review its projects dossier to ensure that alternatives in benefits realization have been considered.
Figure 5.2 Benefits management cycle overview
5.5.
Benefits validation (DOAM)
An identified benefit should undergo and pass validation tests to be considered as a benefit. According to the best practice a benefit should pass four basic tests for validation, the DOAM tests: Description Is it clear that what precisely the benefit is, and who owns it? Observation Are there any verifiable differences that should be noticeable between pre and post-programme implementation? Attribution Where will the benefit arise? Can this programme claim its realization? Are there any other programmes that might also claim this benefit? Is the accountability and responsibility for delivering the changes clear and agreed? Measurable How and when will the achievement of the benefit be measured? Is it possible to quantify the benefit?
These are the DOAM validation tests questions asked for each identified benefit. The answers to these questions will determine the qualification of the benefits.
5.6.
Benefits management strategy
The benefits management strategy defines an approach for realization of benefits. It defines rules for engagement on how to identify, design, monitor and review the benefits management cycle.
Benefits Management
The benefits management strategy should identify benefits for the organization and define measures for achievement of the benefits that are acceptable within the programme. The benefits management strategy defines ways to ensure that there is no double-counting of benefits.
5.7.
Benefits map
The benefits map shows relationship between outputs, capabilities, outcomes, benefits and the corporate objectives. These relationships show how projects in a programme are dependent on outputs that ultimately lead to the achievement of strategic objectives. There are cause-and-effect relationships between these elements as failure to deliver specific output or capability may appear minor effect from the project perspective but may have greater impact on overall benefits realization.
5.8.
Benefit profiles
The benefit profiles describe the attributes, dependencies and current/target values for all the benefits and dis-benefits of the programme. Typically each identified benefit has a separate benefit profile which is defined in the programme business case with description and an operational owner of it.
5.9.
Benefits realization plan
The benefits realization plan is used to schedule the benefits measurement activities and benefit reviews to enable tracking of the realization of benefits across the programme. Using the benefits realization plan along with benefits map, benefit profiles, the interrelationships and dependencies between different types of benefits can be analyzed, and their realization can be managed.
5.10. Benefits register

The benefits register is a summary document that contains key information from the benefit profiles.
5.11. Benefits management & key roles

Following below are some of the major focus areas of the programme roles in the benefits management governance theme: Senior responsible owner (SRO) Ensures that the benefits management strategy is created, adjusted, improved and enforced Maintains a focus on business performance sustainability during transition Chairs benefit reviews involving relevant stakeholders, business managers and possibly internal audits Liaises with the sponsoring group on the validation of all benefits claimed by the programme Authorizes benefits achievements
Programme manager
Benefits Management
Develops the benefits management strategy and benefits realization plan in consultation with the BCMs, relevant stakeholders and members of the project teams Ensures that the delivery of capability is aligned to maximize the realization of benefits Initiates benefit reviews as part of benefits realization plan or in response to any other triggers Identifies and quantifies the benefits with the support of relevant stakeholders, the programme manager and members of the project teams Provides information to support the creation and delivery of the benefits realization plan Develops and maintains the benefit profiles Sets business performance deviation levels and early-warning indicators to support realizing benefits Initiates benefit reviews after the programme has closed Monitors the progress of benefits realization against plan Gathers information for the benefits reviews Maintains benefits information under change control and maintains audit trails of changes
Programme office

1. Which is the BEST description of a benefit? a) A measurable improvements resulting from, and enabled by, the outcomes b) A transformational change c) An opportunity to improve a business process d) A profit against the investment in business 2. Which is a description of a dis-benefit? a) Measurable improvement from an outcome b) A risk c) Detracts from one or more organizational objectives d) A relevant event that has happened but was not planned 3. Which word is NOT recommended for describing a benefit? a) Increased b) Better c) Faster d) Lower
Benefits Management
4. What is the objective of a benefits register? a) Tracks realization of benefits within a programme b) Defines benefits and dis-benefits c) Identifies sequential relationship between benefits d) Summarizes information that exists in benefit profiles 5. Which role focuses on identifying benefits? a) Programme board b) Programme manager c) Business change manager d) Senior responsible owner
Blueprint Design & Delivery
6. Blueprint Design & Delivery

6.1. Introduction
The governance theme blueprint design and delivery defines the current, intermediate and the future end sate of the organization, and describes how to manage and control the alignment of the projects and activities to deliver the blueprint. The blueprint acts as a measure and benchmark for defining the deliverables of the programme. The blueprint contains a detailed description of the future state driven by the programme vision, outcomes and benefits described in the programme brief. It includes process, organizational structure, technology and information as shown in the figure 6.1. The blueprint enables the programme board to decide upon whether an appropriate design of the future state has been made. An ideal blueprint should be able to describe the following: The elements of the future state, with categories of processes, people, infrastructure and information The gap between the current state and the future state
Figure 6.1 Blueprint design & delivery overview Blueprint The blueprint is a model of operational capability required to be put in place to enable desired outcomes and benefits of the programme.
The blueprint document provides the basis for modeling benefits, designing the projects dossier and achieving the future state. The blueprint is not concerned about how to deliver the future state; subsequent documents, such as projects dossier and programme plan, and benefits realization plan contain that level of information.
6.2.
The POTI model
The blueprint comprises the key aspects of the business operations comprising information that the organization may require and the technology that supports its operations. An alternative name of the blueprint, target operating model often used to describe the future state of the organization. The POTI model is used to define key elements of future business operations that should be described in a blueprint: Processes, business models and functions and their operational costs and performance levels Organization, staffing levels, skills and culture T echnology, tools, IT system, equipment, buildings and accommodation. Information and data required for future business operations
The programme manager and the business change managers (BCMs) having appropriate skills and experience are responsible for authoring the blueprint. The format of a blueprint should depend on the characteristics of the programme. It should contain structured and consistent texts and diagrams. The blueprint is used throughout the programme to maintain the focus on delivery of the new capabilities and benefits.
6.3.
Design blueprint delivery through tranches
The blueprint shows several intermediate future states as planned tranche ends. These intermediate future states as defined in the intermediate blueprint are the step changes in the future which will deliver elements of a change. The programme plan is designed to show when and how the new capability will be delivered in step changes. A tranche is a group of projects, transition activities and governance structured to step changes in capability and benefit delivery defined in the blueprint. These step changes in capability should be carefully planned to support the realization of the desired benefits. A tranche: Is made up of one or more projects or activities Delivers a step change in capability for the organization, as described in the intermediate blueprint Includes transition activities to achieve the outcomes defined for the tranche Provides a control point at which the programme can be re-directed or stopped.
Managing the Tranches process in transformation flow maintains the strategic control of the delivery of capability and the readiness for change of the organization. A well-designed, tranchebased programme plan can be achieved through careful consideration of the following: Feasibility studies or finding the best way forward where there is uncertainty early in the programme Quick wins; benefits realized early are valuable Incremental expansion of capabilities delivered in earlier tranches.
A term workstream is often used to define a logical grouping of projects and activities together to enable effective delivery of the programme. The workstream is useful in enhancing management control in situations where many projects are running concurrently within a programme. One of the reasons for defining a workstream is to concentrate dependencies within the workstream.
6.4.
Typical contents of a blueprint
The blueprint of a programme can be of many forms, such as prototypes, models, workshops, describing future state. Following are typical contents of the blueprint: The strategic objectives reflecting vision statement of the programme
The expected benefits, focus on the ability of the organization to achieve transformational change Risk profiles indicating major risks to the programme delivery and benefits realization Costs and timescales estimation Investment appraisal Forecast of cash flow and expenditure Options and approaches.
6.5.
Development of blueprint & key roles
Following below are some of the major focus areas of the programme roles in the design and delivery of the blueprint governance theme: Senior responsible owner (SRO) Providing strategic direction for the design of the blueprint and analysis of delivery options Ensuring sponsoring group authorization and commitment to the future state, demonstrated through active cooperation Providing the interface to the sponsoring group and other key stakeholders, maintaining their interests Providing direction to the programme manager and BCMs as required, identifying risks or issues during blueprint design and delivery Ensuring that the programme board understands the implementations of the blueprint and its delivery. Working closely with the BCMs to ensure that the blueprint, programme plan, benefits realization plan and benefit profiles are consistent and aligned the business case Ensuring the programme has access to competent resources to create the blueprint Communicating the details of the blueprint to the relevant projects and other programmes Ensuring that uncertainties and ambiguities relating to the content of the blueprint are captured as risks Contributing to managing stakeholder expectations. Leading the development of the content and taking responsibility for the delivery of the design into business operations Consulting to gain support from senior business managers for the future state Ensuring that the planned step changes in operational capability are clearly understood by the operational areas Providing and coordinating essential input to the blueprint with the assistance of experienced operational staff and specialties Aligning the creation of the capability within the blueprint with benefits realization through approval of project outputs. Providing information and resources that can assist with the design of the blueprint Facilitating impact assessments of changes in the blueprint Maintaining configuration control of the blueprint.
Programme manager
Programme office
6.6.
Practice questions
1. What does the P stands for in POTI model that helps the development of a blueprint? a) People b) Project c) Process d) Payment 2. Which is NOT a purpose of the blueprint? a) To describe elements of the future organization b) To describe the transition activities of the programme c) To describe intermediate future state d) To describe the gap between current state and the future state 3. Which one of the following statements about the blueprint is FALSE? a) The senior responsible owner provides strategic direction for the design of the blueprint b) The programme office maintains configuration control of the blueprint c) It contains costs and timescales estimation to achieve the programme outcomes d) Describes an action plan to achieve the future state of an organization 4. Which is NOT true about a tranche? a) Delivers step changes in capability for the organization b) Made up of one or more projects and activities c) Includes the transition activities to achieve outcomes d) It is a logical group of projects and activities designed to concentrate dependencies 5. Which is NOT a focus area of the programme manager in design and delivery of the blueprint? a) Working closely with business change managers to ensure the alignment of the blueprint with other documents b) Contributing to managing the expectations of stakeholders c) Ensuring that risks are captured in the blueprint d) Providing strategic direction for the design of the blueprint
Planning & Control
7. Planning & Control

7.1. Introduction
The governance theme planning and control describes how to create an effective programme plan and programme control regime to support the management team in tracking, controlling and delivering the programme outcomes and benefits. The theme focuses on managing crossproject issues such as resources and dependencies, and provides guidance for managing transitional change in a planned and controlled way. The development of the programme plan involves: Processing large amounts of information e.g. benefit profiles, benefits realization plan, project plan and information from stakeholders and other various sources Extensive consultation i.e. stakeholder engagement, engagement of the programme and project teams, dependencies between project delivery and transition, and with other internal or external environment that may have impact on the programme Building the plan extensive involvement of programme manager, business change manager (BCM) and the programme team. The programme plan is a key control document for the programme, which forms a complete picture of how the programme is going to work.
Programme Plan
The programme plan should comprise of resources, milestones, interdependencies, communications, governance related activities including tranche structures, and quality management activities. The progress of the programme is monitored and tracked against the agreed plans and schedules. The impact of any change within a project or other parts of the programme needs to be recognized as early as possible for an effective change management. The programme control provides supporting activities and processes that run throughout the lifecycle of the programme to: Refine and improve delivery Minimize the impact of ambiguity Bring certainty wherever possible Justify the continuance of the programme.
The figure 7.1 illustrates planning and control and its scope within a programme.
Planning & Control
Figure 7.1 Planning and control overview
7.2.
Programme resources
The programme resources are people, assets, materials, funding and services required to carry out projects and activities for the successful delivery of a programme. A programme often uses shared resources among two or more projects. The shared resources should be planned and managed by the programme effectively. The shared resources between projects are identified when developing the programme plan. There should be a balance in resource-sharing which may be based on the fact that minimizing resource-sharing between projects prevent bottlenecks whereas maximizing may help in knowledge-sharing, organizational learning, efficiency and fluent working. The resource management strategy describes how programme resources will be identified, acquired and managed to achieve the business change. The programme plan describes arrangements for implementing the resource management strategy.
7.3.
How live projects are monitored
Live projects should report its progress to the programme using an agreed reporting format described in monitoring and control strategy. The progress reports from projects help to aggregate the information at the programme level. The programme manager makes use of the information from projects to update the programme plan. Live projects are monitored by focusing on the areas that are important to the overall performance of the programme, such as: Outputs Project outputs meeting the requirements of their customers, the programme itself Timely completion Scheduled and planned delivery, reporting exceptions as soon as possible to ensure alignment with the programme plan and other dependencies Estimates, costs and benefits Tolerance-tracking and estimating the contribution towards benefits realization, reporting exceptions quickly Resources Confirming suitability and availability of performance, including supplier
Planning & Control
Scope Changes need to be formally managed to avoid scope creep.
The programme manger, who has initiated projects from the projects dossier, needs to supervise progress of the project. Following tasks are involved in supervision: Review projects, and obtain information for benefit reviews and assessments Deal with escalations and exceptions from projects Manage dependencies and interfaces between projects, making sure that projects understand how to combine the outputs to achieve the desired outcomes Check alignment with the requirements of the blueprint Supervise quality, making sure that project outputs fit into the full-scale operational environment to achieve the benefits desired.
7.4.
Monitoring and control strategy
The monitoring and control strategy defines how the programme will apply internal controls for monitoring progress of the programme and its constituent projects. It defines control standards, reporting and the information required for successful delivery, and escalation routes for managing exceptions.
7.5.
Resource management strategy
The resource management strategy defines how the programme will identify, acquire and manage the various resources required to achieve business changes and resulting benefits. It provides direction on addressing resource constraints within a programme.
7.6.
Resource management plan
The resource management plan is a schedule of activities to implement the resource management strategy within a programme, for example activities to establish frameworks agreements with resource providers and recruitment activities to obtain staff for the programme.
7.7.
Projects dossier
The projects dossier, also known as project register is a collection of related projects that deliver combined outputs to achieve required intermediate and final future states as described in the blueprint. The projects dossier allows the organization to achieve the capabilities described in the vision statement. The projects dossier includes information about projects to be commissioned and existing projects that to be merged into the programme. The projects dossier should include the following information about each of its projects: A description of the project and its objectives Requirements and their relationship to the blueprint Specific outputs that are required Time constraints that the project should work to Its dependencies with other projects Its anticipated budget based on the business case The contribution it will make to the programmes benefits.
The information in projects dossier forms the basis for development of project briefs which are used to give each projects a thorough start. The projects dossier gives direct accountability on the
Planning & Control
projects, outlining the project boundaries to gain internal consistency and minimize the number of interfaces and dependencies between the constituent projects.
7.8.
Dependency management
Programme control is about managing dependencies effectively. Dependencies are uncertainty, can be risks to the programme. There are basically three types of dependencies: Internal dependencies within the programme These dependencies can be managed within the boundary of the programme. They may reflect how the projects depend on each other to deliver the blueprint and the benefits. Intra dependencies on other programmes or projects These are external dependencies to an individual programme, but dependent on the organizations another programme or project, most likely linked to the scope of another programme or within a corporate portfolio. External dependencies outside the programme environment These dependencies extend beyond the programme to other parts of the organization or even to other organizations. These dependencies are outside of the control of the programme, potentially in business operations, other partners, legislation and strategic decisions and approvals.
Workstreams can be used to concentrate dependencies within one group or team. For example there may be a number of projects in the IT workstream. The IT workstream may have skills and knowledge across the various projects and able to work together to manage dependencies and share experiences more easily than operating separately.
7.9.
Planning & control and key roles
Following below are some of the major focus areas of the programme roles in the planning and control governance theme: Senior responsible owner (SRO) Leading monitoring and review activities of the programme, mid-tranche and end-oftranche, formal reviews such as audits/health checks Monitoring progress and direction of the programme at a strategic level and initiating management interventions wherever necessary Authorizing the monitoring and control strategy Authorizing the projects dossier, programme plan, and monitoring and control activities Designing the programme plan, project dossier, resource management strategy, monitoring and control strategy and assurance activities Managing the appropriate governance arrangements for the programme and its projects Developing and managing project briefs Indentifying and managing programme dependencies Reporting to the senior responsible owner (SRO) and the programme board on the progress of projects, business case, programme plan and blueprint achievement Managing stakeholder engagement and communications activities to inform stakeholders of progress and issues Designing the projects dossier and scheduling the tranches and constituent projects to ensure the alignment of transition with the required benefits realization
Programme manager
Planning & Control
Ensuring that the business continues to operate effectively during change in progress Planning the transition within operational areas, embedding requirements to maintain business operations Establishing the new ways of working and making sure that old practices do not creep back Supporting the development of planning, control and information management arrangements Gathering information and presenting progress reports on projects Collecting monitoring and measurement data and keeping them up to date Collecting and presenting information on business performance Ensuring that there are coherent and common project-level standards in place for all document management arrangements for the programme
Programme office

1. Which is NOT the purpose of programme control? a) To bring certainty wherever possible b) To minimise the impact of ambiguity c) To build the programme plan d) To refine and improve programme delivery 2. Which one of the following a programme plan should NOT comprise of? a) Costs b) Resources c) Quality management activities d) Governance related activities 3. What is the best description of monitoring and control strategy? a) It defines how the programme will apply internal controls for monitoring progress of the programme and its projects b) It describes arrangements for implementing the resource management strategy c) It describes the project in a programme and its objectives d) Checks the alignment with the requirements of the blueprint 4. Which is NOT the focus of a programme manager in monitoring live projects? a) Timely completion b) Resources c) Exceptions d) Outputs 5. Which is the focus of the senior responsible owner (SRO) in planning and control? a) Authorizing the monitoring and control strategy
Planning & Control
b) Managing governance arrangements for the programme and projects c) Ensuring continuity of the business operations while in change process is on d) Identifying and managing programme dependencies
The Business Case
8. The Business Case

8.1. Introduction
The governance theme business case describes how to establish the information about the benefits of the programme, its costs, risks and timescales that provide the basis for judgment whether or not the programme is desirable, viable and achievable. The business case provides the cost-benefit analysis including financial and non-financial costs and benefits.
Figure 8.1 Business case overview The business case identifies the value addition of managing a change programme and the added costs of the programme above the costs of projects. Validity of the programme is justified if it adds value to the sum of its constituent projects and major activities. The business case is an aggregation of specific information about the programme, such as: Value of the benefits Value of the anticipated benefits and justification Risks to achieving the benefits Indicating the major risks to programme delivery and benefits realization Costs of delivering the blueprint Different areas of cost that should be estimated and balanced against the value of the anticipated benefits when justifying a programme Timescales for achievement Overall timescales and scheduling of the programme milestones. The business case is used to test the viability of the programme and justifies the investment of the programme.
Business Case
Management of the business case is about ensuring the balance of benefits, costs, timescales and risks of the programme throughout its lifecycle. The business case provides confidence to the senior responsible owner (SRO), the sponsoring group and the programme board on viability at every stage of the programme.
The Business Case
8.2.
Typical contents of a business case
The programme brief which contains an outline business case is summary information for making initial assessment on viability and achievability of the programme. Development of business case is an iterative process, requires compilation of information from various sources, including the following: Programme mandate Programme brief Blueprint Benefits realization plan Risk register Resource management strategy and resource management plan Programme plan.
The business case provides leaders key information to convince stakeholders of the programme to gain their support and commitment. Following below are the typical contents of the business case: The strategic objectives, including vision statement and its alignment with the business environment The expected benefits and the ability of the organization to achieve transformational change Major risks to programme delivery and benefits realization, including risk profile Costs and timescales estimation Appraisal of investment Tentative cash flow and expenditure over the timeline of the programme
Integrity of the business case with other related documents within the programme should be maintained and kept up to date.
8.3.
Business case management
The programme management team looks out ways for building new learning and observations to improve the business case. The tranche end provides an opportunity to update the business case document. The business case should be optimized on data on recent trends and growing understanding of the programme management team. The business case should be reviewed at the end of each tranche to assess the continued viability of the programme. The business case should be reviewed at least for every six months particularly for longer tranches. These reviews are often undertaken as part of OGC Gateway reviews. The formal review of the business case should provide answers to the following questions: Is the programme still justifiable to its ability to meet strategic objectives? Is the programme still affordable, able to attract sufficient funding? Is the outcome still achievable, able to make realistic assessment of the ability of the organization to cope with the change envisaged? Is the programme still able to demonstrate the value for money, costs of realization and benefits balanced? Have different possible options been considered, projects dossier capable to achieving the desired outcomes?
The Business Case
8.4.
Programme costs
The business case management involves in budgeting the costs of the programme. These costs are of different types such as project costs, benefits realization costs etc. Following below are the types of programme costs and their possible sources of information: Types of costs Project costs, sometimes referred investment or development costs Benefits realization costs to as Possible source of information Project dossier Programme plan Project business cases Benefits management strategy Benefit profiles Benefits realization plan Programme plan Resource management plan Benefit profiles Resource management plan Information management strategy Programme communication plan Quality and assurance strategy Programme plan Blueprint
Business change and transition costs
Programme management costs
Capital costs
8.5.
The business case & key roles
Following below are some of the major focus areas of the programme roles in the business case governance theme: Senior responsible owner (SRO) Securing investment for the programme Ensuring that the business case is controlled and audit trails are in place to account for changes as the programme develops Ensuring the progress of the programmes remains aligned with the business case Consulting with the sponsoring group to identify any early-warning indicators of change that may cause the business case to lose strategic alignment Initiating independent assurance reviews of business case viability Preparing the business case Supporting the SRO in the ongoing validation and review of the business case Managing the programmes expenditure against the overall investment defined in the business case Profiling the benefits and dis-benefits and their associated costs Ensuring that benefits continue to be valid through regular business case reviews Identifying operational risks to the business case and ensuring that they are controlled
Programme manager
The Business Case
Managing business change costs Managing benefits realization costs Supporting the SRO and the programme manager in compiling the business case Facilitating business case reviews
Programme office
8.6.
Practice questions
1. Which information is aggregated in a business case? a) Key stakeholders b) List of projects c) Risks to achieving benefits d) Dependencies between projects 2. Which document is MOST suitable to test the viability of the programme on the basis of its costs and benefits? a) Benefits map b) Business case c) Programme mandate d) Benefits realization plan 3. Which role is responsible to manage the expenditures of the programme against the investment defined in the business case? a) Programme board b) Senior responsible owner c) Programme manager d) Business change manager 4. Which information is NOT included in the business case? a) Risks to achieving the benefits b) Assurance arrangements c) Timescales to achieving the benefits d) Cost of delivering the blueprint 5. Which does NOT belong to the programme cost categories? a) Project costs b) Transition costs c) Capital costs d) Business costs
Risk and Issue Management
9. Risk and Issue Management

9.1. Introduction
The governance theme risk and issue management defines a framework that identifies risks and issues and their likely impact. The theme describes how to manage and tolerate such uncertainty, complexity and ambiguity across the programme, its projects, its transition activities and operational areas that undergo change. The risk and issue management is about identification, management and escalation of risks and issues within a programme environment. A risk can be considered as either a threat or an opportunity. Threats have negative impact on the programme outcomes, whereas opportunities have positive or advantageous impact.
Figure 9.1 Risk and issue management framework overview These risk events or situations in a programme can affect the direction of the programme. These events can affect delivery of outputs and capabilities, and achievement of outcomes or the realization of benefits. Programmes need to manage and resolve such events or situations effectively. Risk A risk is an uncertain event or set of events when it occurs, will have an effect on the achievement of objectives.
A risk can be either a threat which is an uncertain event that could have a negative impact on objectives or benefits, or an opportunity which is an uncertain event that could have a favorable impact on objectives or benefits.
Issue
An issue is an event that has happened, is not planned and requires management actions.
An issue which has happened that prevents a programme or project from delivering a quality output and has an impact on the realization benefits. Risks once occur they become issues. Risks are the events that may happen and would be cause of concern to the objective of the programme, on the other hand issues are the events that have happened or are the current situations and are the cause of concern.
9.2.
Sources and perspective of risks and issues
Analysis of risks and issues enhances the ability of the management team to overcome them. A good way of identifying risks and issues is to brainstorm them in workshops with key stakeholders. Risks and issues can immerge from a variety of sources, given below are some of those: Dependencies, constraints, assumptions, quality of operations, resources and programme deliverables Stakeholders, organization and programme staff, and third parties Benefits management, transition activities, costs, scope and timescales Anything that cannot be resolved by the project, or issues common to more than one project Degradation of operational performance beyond acceptable levels Ambiguity or lack of knowledge about the current state, intermediate state and desired end state Other projects and programmes under way within the organization.
Programmes need to interface with different perspectives of the organization. Evaluating these perspectives enables the programme management team to anticipate risks at early stage and tackle issues appropriately during the programme. Following are the different organizational perspectives of risks and issues: Strategic Changes in organization strategy can affect the programme, its dependencies with other programme or projects, and ultimately its outcomes and realization of benefits. For example changes driven by external political, social, and environmental issues. Programme Programme level risk and issue areas often relate to lack of consensus within the steering group or the programme board. It also relate with lack of clarity about expected benefits and complexity across the organizational boundaries. Project Majority of the focus of risk and issue within a programme arise from the project perspectives. For example lack of clarity in requirements, lack of visibility of the blueprint and the context of what the project is delivering. These are the major areas where project risks and issues arise. Operational After delivering outputs from projects, transition to new ways of working and new systems can lead to further sources of risk. For example during a handover process, risks and issues could arise from the need to maintain operational stability as well as the integrity of the systems, infrastructure and support services.
9.3.
M_o_R risk management principles
The M_o_R (Management of Risk) risk management principles are essential for the development of good risk management practice. These risk management principles should be subset of internal controls of any organization and derived from corporate governance principles. These principles
should be adapted and applied to the context of the programme. The key principles for risk management at the programme level are: Aligns with objectives Fits the context Engages the stakeholders Provides clear guidance Informs decision-making Facilitates continual improvement Creates a supportive culture Achieves measurable value.
The M_o_R is informed by proven corporate governance principles and the international standards for risk management, ISO 31000:2009. Adapting to these principles enables programmes to customize the risk management practices of the organization.
9.4.
Risk management framework
The risk management framework describes an approach for managing risks, defines steps that should be used to capture and implement these risks. The framework comprises a cycle of steps that are repeated through the lifecycle of a programme. Following are the cycle of steps: Identify This process identifies uncertain events known as either threats or opportunities. It explores the context of the programme, understanding what are the objectives and scope, assumptions, stakeholders and the organization environment. All identified actual risks, e.g. threats, opportunities to the objectives of the programme, are recorded into the risk register. Assess The assessment of risks includes estimating probability, impact and proximity of threats and opportunity to the programme, evaluating the aggregated effect of the identified threats and opportunities to the programme. Plan It prepares specific management responses to the identified threats and opportunities aiming to remove or reduce the threats and enhance the opportunities. For each identified risk there should have a series of responses available to avert a threat and to realize an opportunity. Implement The planned risk management actions are implemented and monitored for their effectiveness, and corrective actions are taken where responses do not match with the expectations. Roles and responsibilities are allocated for management and control of the risk. Following are two key roles: Risk owner responsible for management and control of the risk Risk actionee responsible for implementation of the risk response actions.
9.5.
Risk responses
An effective opportunity management is about categorizing all opportunities as benefits, and including only the threats in the risk register. The risk management strategy and benefits management strategy should explain the approach for risk responses. Following below defines the risk responses applicable for the programme and its constituent projects: Avoid a threat; exploit an opportunity This option is about making uncertain situation certain by removing risk. This can often be achieved by removing the cause of a threat, or by implementing the cause of an opportunity. This option may be adopted for no extra cost by changing the way the work is planned.
Reduce a threat; enhance an opportunity This option chooses definite action to change the probability and/or the impact of the risk. The term mitigate is relevant when discussing reduction of a threat, i.e. making the threat less likely to occur and/or reducing the impact of it. Enhancing an opportunity is the reverse process, i.e. making the opportunity more likely to occur and/or increasing the impact if it. Transfer the risk (threat or opportunity) Transfer is an option that aims to pass part of the risk to a third party. Insurance is a classic form of transfer, where the insurer picks up the risk cost, but where the insured retains the impact on other objectives, e.g. time delay. Transfer can apply to opportunities, where a third party gains a cost benefit but the primary risk taker gains another benefit. Transfer of opportunities is not a commonly used option but transfer of threats is used commonly. Share the risk (threat or opportunity) Share is an option that is different in nature than the transfer response. It seeks for multiple parties, typically within a supply chain, to share the risk on a pain/gain share basis. Rarely can risks be entirely shared in this way, but this can be a successful way of encouraging collaboration on risk management activities in programmes and projects. Accept the risk The accept option means that the organization takes the chance that the risk will occur, with its full impact if it happened. There is no change to residual risk with the accept option, neither are any costs incurred now to manage the risk, or to prepare to manage the risk in future. An example would be the risk to profitability as a result of currency fluctuations. Prepare contingent plans This option involves preparing plans, but not taking action now. Most usually associated with the accept option, preparing contingent plans in this instance is saying: We will accept the risk for now, but well make a plan for what well do if the situation changes. This option applies equally to other responses and is often referred to as a fallback plan.
9.6.
Issue management framework
The issue management framework establishes the approach for the management of issues and defines process steps to be applied across the programme, its projects, and its transition activities. These steps are used to capture and implement issues and repeat throughout the lifecycle of the programme. The issue management cycle comprises the following five steps: Capture Based on the rule defined in issue management strategy the type of issue that has been raised is determined. All the issues are captured in the issue register. The categorization should be based on its severity and impact. The programme management should handle the issues but major issues should be escalated to the sponsoring group. Examine Analysis to determine the impact of the issue and its options for resolution is carried out in this step. The analysis should focus on how the performance of the programme, business case, programme blueprint, projects dossier and the programme dependency network will be affected by the issue raised, and what are the resolutions. Propose course of action Alternative options for the resolution should be considered while proposing a course of action to take. The proposed course of action should maintain an acceptable balance between the benefits to be gained and the impact on timescale, cost and risk. There may be some changes that are mandatory, for example to comply with the legislation. Decide The programme manager should decide or delegate the authority of handling the issue. Once the decision has been made to implement the change, then it should be planned with appropriate contingency, additional resources and a fall-back plan to handle unexpected problems. Implement The issue register is updated, and all other relevant documents are revised wherever the decision affects the content. The programme manager should communicate
the decisions and response action plan to appropriate stakeholders. The change is then applied and impact of the change is monitored. The business case and configuration management information should also be reviewed and updated.
9.7.
Configuration management
The configuration management defines a framework for change control within the programme which is part the information management strategy of the programme. All assets, products, services and documentation created by the programme throughout its lifecycle are the configuration items. The configuration management specifies how the individual configuration items fit together into configurations defined in the blueprint. Configuration Item A configuration item is an asset, a product, documentation that is subject to configuration management
The configuration management recognizes how changing one configuration item can affect the configuration of the product or service of the programme. This change control framework facilitates impact analysis and reduces the risk of change that may have adverse impact on the programme. The configuration items having passed the quality controls become baselined items. There are five basic processes involved in configuration management: Planning It defines the organization approach of configuration management that is described in the blueprint, decides what level of configuration management is appropriate for the programme and how it will be achieved. The programme defines the requirements for configuration management that should be adopted by its projects. Identifying - This process includes identifying all the programme level configurations of assets, documentation, products and services created during the programme and their dependencies. It should define a system for describing configuration items of the programme. Controlling The configuration of the programme is baselined on the agreed programme definition document. As programme undergoes changes, such changes of configuration should be to properly version-controlled as per rules described in the information management strategy. The configuration management should also cover the management of dependencies on external assets in the event of external assets being revised. Status accounting - This process involves maintaining current and historical information related with each configuration, the configuration items and all dependencies i.e. those external to the programme as well as inter-project dependencies. Verifying - This process of the configuration management provides auditing the programme to ensure the conformity between the documented configuration and the actual status of products and configuration items before delivery to operations. The dependencies are also verified as part of this audit.
9.8.
Information management baselines
The information management baselines help planning and development of the programme information. It classifies the programme documents based on their purposes and maintenance requirements. Following below are three categories of information, which are reflected in their information baseline: Boundary Those information which define the direction and the scope of the programme
Governance Those information that defines the standards and frameworks for the programme delivery Management Those that are created and used to manage the delivery of the programme.
9.9.
Risk appetite
Risk appetite is the amount of risk that the organization, or its department or subset is willing to accept. Properly defined and documented risk appetite can help the programme from unwelcomed surprises and provides with clear tolerance to operate.
9.10. Proximity
Proximity reflects that risks will occur at particular times in the future and the expected value will vary according to when they occur. The proximity also helps to identify the appropriate response and the required trigger and timing of the response.
9.11. Risk management strategy

The risk management strategy describes an approach to risk management which reflects the objectives of the programme. The strategy defines the management activities, risk policy and process guidance that will be undertaken within the programme.
9.12. Risk register

The risk register is a repository used to capture information about risks in a consistent and structured manner.
9.13. Issue management strategy

The issue management strategy describes the approach of the programme to issue management. It describes how issues will be identified, categorized and managed, and how change control will be applied.
9.14. Issue register

The issue register is a repository used to capture information about issues in a consistent and structured format. It also focuses on any former risks that have materialized.
9.15.
Probability impact grids
The uncertainty associated with risks is expressed as probability of their becoming issues. The probability impact grid shows the potential impact of a risk on a programme which can be of different types, for example costs, timescales, benefits. The probability impact grid expresses the impact with defined criteria for each level within the scale, such as for very high, high, medium, low and very low. Probability and impact values can be attributed to these ratings so that ranking values can be calculated for each cell of the grid.
9.16. Risk and issue management & key roles

Following below are some of the major focus areas of the programme roles in the risk and issue management governance theme: Senior responsible owner (SRO) Authorizes the risk management strategy and issue management strategy and its adjustment, improvement and enforcement Initiates assurance reviews of risk and issue management effectiveness Ownership of strategic risks and issues, ensuring mitigation actions are dealt with at the appropriate senior level Develops and implements the strategies for handling risks and issues Assures programme adherence to the risk management principles Defines clear rules for escalation, cascade and thresholds Ownership of programme-level risks and issues Escalates items that cross programme boundaries to the SRO for resolution where necessary Designs and implementation of the configuration management system Manages risks that impact on business performance and transition Identifies operational issues and ensures that they are managed by the programme Contributes to impact assessments and change control Monitors and reports on business performance issues that may require the attention of the programme during transition Maintains the programme risk register Maintains the programme issue register Establishes, facilitates and maintains the risk management cycle Establishes, facilitates and maintains the issue management cycle Coordinates risk and issue management interfaces with projects Maintains the configuration management system
Programme manager
Programme office

1. At which organizational perspective is it MOST likely to find risks from interprogramme dependencies? a) Operational b) Project c) Programme d) Strategic
2. Which is a key principle of risk management at programme level? a) Achieves measurable values b) Business continuity c) Aggregating threats from projects d) Realism about timescales 3. Which is a step in the programme risk management cycle? a) Capture b) Assess c) Change d) Control 4. Which risk response is about removal of a threat? a) Share the risk b) Transfer the risk c) Avoid a threat d) Reduce a threat 5. Which role is responsible for implementing the risk responses? a) Programme manager b) Risk actionee c) Risk owner d) Business change manager
Quality and Assurance Management
10.
10.1. Introduction
The governance theme quality and assurance management ensures that all aspects of the programme including constituent projects and transformational activities are working appropriately and remains on target for the successful delivery of the programme. The theme should assure the stakeholders that the planned benefits have the best chance for realization. Quality is defined as the totality of features and characteristics of a product, person, process, service and system that it bears on to the expectations, stated requirements or specification.
Quality
Achieving the right level of quality of the product, person, process, service and system in day-today activities in the programme is an important for the successful delivery of the programme. Assurance is set of actions that provide confidence to the senior management and stakeholders that the programme is under control and on track to deliver, and that it is aligned with the strategic objectives of the organization.
Assurance
Quality and assurance management at the programme level is different from the project level. At the programme level the focus of quality and assurance management remains more on management, processes and alignment with the environment within which it exists. The quality and assurance management within a project is focused on ensuring that the outputs meet acceptance criteria and that they are fit for purpose.
Figure 10.1 Scope of programme quality overview
The project level quality, i.e. delivering fit for purpose capabilities, should be considered at the programme level too to gain confidence on overall ability of the programme to deliver outcomes and benefits. The approach for quality is defined in quality and assurance strategy. The quality and assurance strategy focuses on process effectiveness, and it should be aligned with governance strategies of the programme.
10.2. Quality and programme management principles

The programme management principles act as the focal point for establishing quality management of the programme, ensuring that the programme is doing the right things to achieve its objectives. The programme management principles represent quality factors that emphasize the success of the programme. The programme management principles, as given below explain how they can ensure the quality in a programme: Remaining aligned with corporate strategy This principle can be tested by checking the quality of the vision statement, blueprint, business case, benefits realization plan, ensuring the right projects running in alignment with governance strategies. Leading change This principle can be tested by reviewing the quality of the leadership and behaviors of the people in the programme and the effect that they are having on the stakeholder interests, in terms of levels of support and resistance. It is about deploying the right people to the right roles to have the right solution. Envisioning and communicating a better future This principle can be tested by the level of engagement that the programme is achieving, and the common understanding of what it is intending to deliver and of the benefits which should be supporting processes with effective and innovative use of communications. Focusing on the benefits and threats to them This principle can be tested by checking that benefits are the primary agenda of the programme board, that all the benefits information is in place and current, and that the projects are clearly aligned with the benefits. The risk registers describe the levels of sensitivity that are associated with the benefits and focus the management attention on mitigating the risks. Adding value This principle can be tested by assuring that the programme is still justified in its current form. Changes in the corporate portfolio may lead to more optimal delivery configurations than it existed in the beginning. Designing and delivering a coherent capability This principle can be tested against the validity of the blueprint, ability of the projects to deliver that capability and the ability of the organization to adopt it. Any deviation of outputs at project-level can challenge the outcomes of the programme, leaving organizations with a capability that is not fit for purpose. Learning from experience This principle can be tested by how effectively reviews are carried out, how well lessons from these and previous changes are applied, and the effect that they are having on the programme and business performance metrics being used to measure effectiveness.
10.3. Scope of programme quality

The scope of quality in a programme covers eight different process areas that require management attention for their effectiveness in supporting the achievement of the objectives of the programme. It provides the scope to define the programme quality strategy for good programme management governance. The quality and assurance management is an integral part of programme management, runs throughout the lifecycle of the programme. Usually the portfolio office in an organization is responsible for defining these quality management elements for the programmes. Following management area should fall under the scope of the programme quality:
Communications management The communications management quality activities should focus on testing perceptions of the stakeholders for success of the programme, and the quality of the relationship with them, in order to ensure that there are no surprises for either side. Supply chain management The supply chain management quality activities should assure that suppliers apply quality management to their processes in order to ensure that they deliver their obligations to the programme and that they are aligned to the way the programme operates. Standards management The standards management quality activities should ensure that planned changes continue to be aligned with the relevant parts of the corporate standards and policies and assure the suitability across the programme management standards. Process management The process management quality activities should define and manage processes that lead to achieving the objectives of the programme in most effective and efficient way. It should focus on efforts on the key processes considering the resource constraints, improving systems through measurement and evaluation. Information management The information management quality activities should provide the right information, in the right format, to the right people at the right time. Programmes create large amounts of data and provide access to different people. The good practice of information management should provide access controls to irrelevant documents, templates and reports. Asset management The asset management quality activities should define a process to identify, track and protect the programmes assets. These assets are any buildings, software, documents, office equipments etc. Programme leadership The programme leadership quality activities should establish a governance framework that provides direction, communication and control for the programme, including the delegation of clear authority and responsibility. People management The people management quality activities should focus on leading change, envisioning and communicating better future and learning from experience programme management principles. It should make sure that these principles are appropriately applied to get the best out of the people deployed on the programme.
10.4. Assurance management principles

The assurance management principles define an approach to ensure that the programme is on track and able to deliver its intended objectives. The assurance management principles should comply with the corporate policy. These principles should be independent of the programme, integrated across the programme, linked to major decision points, and result in action as necessary. This approach should be based on the following five assurance management principles: Independence The assessors should be independent, should have no direct link to the programme management team. They should be disinterested in, and have no control over, project outcomes or service operations. Integrated The integrated assurance approach provides with the planning, coordination and provision of assurance activities from the start of the programme through to delivery of benefits. This is achieved through the provision of an agreed plan which indicates how assurance reviews will be scheduled to support decision-making and investment approvals. Linked to major decision points This approach should define the plan and activity to support major events, outcomes, tranche ends or key approval points throughout the lifecycle of the programme, from mandate through to realization of benefits.
Risk based This assurance approach should be based on an independent risk assessment, focused on areas of greatest risks to commercial, legal, regulatory, investment and performance requirements. Action and intervention This assurance approach should focus on whether appropriate follow up actions are taken to resolve any serious issues identified through planned assurance activity. These consequential assurance activities may involve further reviews, e.g. reviews of action plans, case conferences or more detailed reviews to ensure that appropriate action has been taken.
10.5. Information management

The information management provides right information, in the right format, to the right people at the right time and ensures that the information comply with the quality standards of the organization. Programme information and documents should be stored and maintained in a way that encourages active use and sharing of them between programme team and stakeholders. The integrity and security of these documents should always be maintained. Following are the critical success factors that support a successful information management: Compliance The storage of programme information and retention should be compliant with organizational policies. Consideration should be given to data protection, freedom-ofinformation and requirement in terms of length of retention for personnel and financial records. Integrity The Information storage should be under change and release management control. This should ensure that the right versions of information are in circulation and use. Availability The senior management and decision makers should have proper access to the information and documentation they require as and when they need it. Confidentiality The storage of information and documents should maintain the confidentiality within the programme. These documents should be allocated to appropriate levels of sensitivity and their distribution is limited accordingly. Currency The stored information being used should reflect the current situation. Any gaps in reporting from projects or concerns about accuracy of business performance data should be acknowledged. Quality reviews should ensure that adequate and timely information is produced, correctly communicated and properly understood by the recipients. The information management strategy defines the approach of the programme and the information management plan defines how this will be achieved.
10.6. Asset management

Assets are any buildings, software, documents, office equipments used by the programme or its constituent projects. The asset management defines a process to identify, track and protect the assets of the programme. The difference between asset management and configuration management is that configuration management tracks the interrelationships between the assets as well as the assets themselves. These assets can be grouped as follows: External assets exist outside the programme but changes to which can have significant impact on the programme, e.g. legislation or corporate policies or strategies Programme assets are originated by the programme itself, for example the blueprint and the programme plan Internal assets interface between the projects and programme, for example project progress reports or project initiation documents Project outputs for example software, a building or a new organizational structure.
10.7. Difference between quality management in programme and project

Quality management in a programme focuses on management, processes and alignment with the environment within which the programme exists. It is about aligning the blueprint and programme plan with the corporate priorities. It should ensure that its projects are delivering fit-for-purpose products. Quality management in a project ensures that the project delivers fit for the purpose outputs or products and meets the agreed acceptance criteria.
10.8. Difference between configuration and asset management

Configuration management provides control for managing changes in assets. It helps to assess the impact of proposed changes and recognizes that the change in a particular configuration item may trigger a change in other items of the programme. Assets are any buildings, software, documents, office equipments used by the programme or its constituent projects towards the successful delivery benefits. The asset management defines a process to identify, track and protect these assets. These assets can be categorized as programme asset, external asset, internal asset and project asset.
10.9. Difference between assurance review and audit

Assurance reviews are used as a programme assurance tool by the senior management to determine whether or not the programme or project is going to meet its objectives, and conduct health checks to get impartial view of the programme during its lifecycle. Audit is examination of the activities of a programme with the aim to determine the degree of compliance and conformance to specified criteria. Audit may be carried out by internal audit staff or by external audit firm.
10.10.
Information management strategy
The information management strategy defines measures, systems and techniques that will be used to maintain and control the information about the progress of the programme and constituent projects. It should ensure that the programme information remains reliable and robust during the lifecycle of the programme and focus on the stability and performance of the business.
10.11.
Information management plan
The information management plan defines activities, timetable and arrangements for implementing and managing the information management strategy. It should also cover the configuration management, release management and change control regime.
10.12.
Quality and assurance strategy
The quality and assurance strategy defines and establishes activities for managing quality across the programme. It should define a process that will be used to track the performance of the programme against the programme management principles and governance themes.
10.13.
Quality and assurance plan
The quality and assurance plan defines the timetable and arrangements for implementing activities described in the quality and assurance strategy. It should also describe how and who will undertake these quality assurance, review and control activities.
10.14.
Quality and assurance management & key roles
Following below are some of the major focus areas of the programme roles in the quality and assurance management governance theme: Senior responsible owner (SRO) Consults with sponsoring group on programme assurance approach Signs off the quality and information management strategies Initiates assurance reviews and audits Maintains focus on the programme management principles Develops and implements the quality and assurance strategy, plans and coordinates delivery of outputs from the projects Develops and implements the information management strategy and plan Initiates assurance reviews of project and supplier performance Implements transitioning, reviewing of benefits delivered from the outputs of the projects Initiates assurance reviews of business performance and change readiness Ensures that business change lessons learned are implemented Ensures the establishment of the appropriate audit, assurance and review processes for the programme in accordance with the quality and assurance strategy Ensures the establishment of the appropriate audit, assurance and review processes for the programme in accordance with the information management strategy Provides information to support assurance reviews
Programme manager
Programme office
10.15.
Practice questions
a) Independence b) Compliance c) Availability d) Currency
1. Which is an assurance management principle?
2. Which is NOT a focus of quality and assurance management at the programme level? a) Programme management b) Processes and activities c) Acceptance criteria
d) Alignment with programme environment 3. Which does NOT fall under the scope of programme quality? a) Finance management b) Communications management c) Programme leadership d) People management 4. How can remaining aligned with corporate strategy programme management principle ensure the quality in a programme? a) Providing quality leadership to the programme management b) Providing quality vision statement, blueprint, business case and benefits realization plan c) Providing quality with checking the validity of the blueprint d) Lessons learned and measurement of effectiveness 5. Which BEST describes the asset management? a) It is process to identify, track and manage programme assets b) It assesses the impact of proposed changes in programme assets c) It defines activities, timetable and arrangements of the programme assets d) It provides information of the programme assets to review
Transformational Flow
11.
11.1. Introduction
The transformational flow processes are lifecycle of a programme which provide the programme manager a step-wise progression of the programme from a controlled start through a controlled middle and on to a controlled end. During the transformational flow the programme meets with key decision points and the points and produces programme information. MSP programmes use six transformational flow processes and key control documents to achieve transformational change in an organization.
Figure 11.1 Transformational flow overview Following are six processes that complete the cycle of the MSP transformational flow: 1. Identifying a Programme This process is used to appoint the SRO who should then define an outline programme vision, objectives and benefits. 2. Defining a Programme The programme manager and business change manager (BCM) together refine the elements of the programme brief, build the detailed business case, design governance arrangements, and develop the plans. 3. Managing the Tranches This process commences after approval from the senior responsible owner (SRO), carries out the day-to-day activities of programme governance ensuring the capability delivered is aligned with strategic objectives. 4. Delivering the Capability - This process covers the activities for coordinating and managing projects delivery according to the programme plan. Delivery from the projects dossier provides the new outputs that enable the capabilities mentioned in the blueprint. 5. Realizing the Benefits The business change managers (BCMs) ensure that the project outputs are properly embedded into business as usual operations. 6. Closing a Programme - The whole blueprint for change has been delivered and benefits are realized to satisfy the programmes business case. Sometimes premature closure happens if the programmes business case is no longer viable. The programme closes.
Programmes often deliver change through more than one tranche. Processes such as Delivering the Capability and Realizing the Benefits may iterate for each tranche to deliver capabilities and realizing benefits by embedding them in ongoing operations.
11.2. Programme mandate

The programme mandate defines high level information about the proposed programme. The programme mandate aims to the sponsoring group to decide whether to commit resources to explore the potential for the programme or not. It should also provide an idea about required resources, demonstrate the strategic fit of the programme with the organization and provide a context in which the proposed programme would exist. Following are the typical contents of a programme mandate: The strategic objectives of the programme The context of the programme and the organizational involvement Critical success factors for the assessment of the programme The intended outcomes of the programme Assurance strategies for the programme Expected timescales, costs, benefits, potential constraints and deadlines Reference to any external drivers that may challenge the course of the programme Summary of current as-is state Initial budget.
11.3. Programme brief

The programme brief document provides information to the sponsoring group to decide whether to commission the detailed planning and design work to define the programme, or not. The programme brief defines high level business case, high level vision, costs and benefits of the programme. Following are the typical contents of the programme brief: Outline vision statement containing statement for the end goal of the programme Outline description of expected benefits and tentative plan for realization Estimated costs, timescales and effort required to set up, manage and run the programme Potential risks to the programme and any current issue or constraints Options for the programme delivery and do-nothing vision Listing of candidate projects required along with timescales Assessment of the current state and current business operation and performance of the organization.
11.4. Programme preparation plan

The programme preparation plan describes the activities in Defining a Programme process and ways to control and monitor these activities. It also describes basic governance arrangements required in Defining a Programme process until the full governance framework for the programme has been developed. Following are the typical contents of the programme preparation plan: Potential resources required by the programme Description of the deliverables from programme definition Governance and controls to be applied on programme defining team Assurance arrangement for Defining a Programme process
Schedules of activities Estimated effort and costs associated with the plan.
11.5. Programme definition document

The programme definition document provides summary information of the definition of a programme which becomes the basis for the sponsoring group to decide on proceeding with the programme. Following are the typical contents of the programme definition document: Objectives of the programme Context and justification of the programme Vision statement Summary of blueprint Governance arrangements Programme roles and responsibilities Summary of current state Description of outcomes Risks summary Assurance arrangements Projects dossier Summary of stakeholders Timescales, milestones and tranches Information baselines, contents and status.
11.6. Project briefs

The project briefs are designed to provide full and firm information and foundation for the initiation of projects. The project briefs are the basis for the project initiation document, providing direction and scope of the projects. Following are the typical contents of a project brief: Project definition information Project objectives and scope Project outputs and deliverables An outline business case Dependencies with other projects Quality expectations Project acceptance criteria Risks.
11.7. Programme closure

Programme closure comprises of the final assessment of the programme and decommissioning of its resources and infrastructure. It usually happens when the whole blueprint for change has been delivered and benefits have been realized to a sufficient degree to satisfy the business case of the programme. Sometimes programme closes prematurely if the business case is no longer viable or if the programme management no longer adds value. Following are the check-list for the closure of a programme: Blueprint has been delivered
Outcomes have been delivered Business case has been satisfied Benefits are embedded in operations and are self-sustaining Last tranche has been completed There are no risks remain to be outstanding.
The above tests enable the management to announce for a formal closure of the programme. Following are the reasons for the closure of the programme: A programme has a planned closure after successful delivery A programme prematurely closes due to external environment changes A programme prematurely closes because of changed strategy Invalid business case identified later closes the programme prematurely The 80/20 rule suggests that the programme is no longer a benefit; closes prematurely There are alternative actions/events available rather than going with the programme.

1. Which transformational flow process receives the programme mandate as a key input? a) Delivering the Capability b) Realizing the Benefits c) Identifying a Programme d) Defining a Programme 2. Which is NOT a content of a programme mandate? a) Expected timescales, costs and benefits of the programme b) Strategic objectives of the programme c) Summary of current state d) An outline vision statement 3. Which is TRUE about the programme brief? a) It provides the context of the programme and the organizational involvement b) Provides assurance strategies for the programme c) Provides information to decide whether or not to move on into Defining a Programme d) Provides critical success factors for the assessment of the programme 4. Which is NOT a content of a programme preparation plan? a) Schedules of activities b) Potential resources required by the programme c) Outline descriptions of the expected benefits d) Assurance arrangement for Defining a Programme 5. Which is NOT a reason for programme closure?
a) After successful delivery of the blueprint b) There are alternative actions/events available c) Invalid business case identified later d) Project outputs not meeting with the quality expectations
Transformational Flow Identifying a Programme
12.
12.1. Introduction
The objective of Identifying a Programme is to take the programme from an idea to the concept that the organization can support. The corporate strategy, initiative, policy or an idea for emerging programme of an organization along with vision to change trigger the overall process of programme management. The programme mandate from the sponsoring group and signing it off allows this process to begin. This process appoints the senior responsible owner (SRO) who is responsible to define outline vision statement, objectives and benefits of the programme and record the information in the programme brief. This leads to the first key decision by the sponsoring group whether or not to commit resources for defining the programme and its management approach in detail.
Figure 12.1 Identifying a Programme overview Programmes can also emerge as a result of better understanding of the scope of objectives identified through ongoing projects. For such emerging programmes the process Identifying a Programme can assess the current change initiatives that could be practically merged into a programme.
12.2. Activities of Identifying a Programme

Activities in Identifying a Programme should follow the guidance of the programme management principles and governance themes in order to remain focused on achieving success of the programme. Programme controls such as monitoring and authorizing of the sponsoring group, maintaining alignment of programme brief with corporate strategy and formal assurance reviews are applied to ensure the success of the process. Following activities in Identifying a Programme produce outputs and move forward for achieving the transformational change: Sponsoring the programme The sponsoring group accountable for this activity forwards the strategic objectives or policy requirements in the form of programme
mandate. These senior executives of sponsoring group provide necessary commitment to the programme for its successful achievement, resources, timescales, delivery and operational changes which should invite Identifying a Programme process. Confirm the programme mandate The senior responsible owner (SRO) and others involved in the development of programme brief confirm the programme mandate, checking for direction, constraints, priorities and aspirations for the programme. The information in the programme mandate should exhibit a controlled start-up for the programme. The sponsoring group is accountable for this activity. Appoint the SRO and programme board An individual from sponsoring group gets appointed as a senior responsible owner (SRO) who takes the ownership and provides leadership and direction to the programme. There may be a case where the SRO is already in place as a result of an executive decision. The sponsoring group is accountable for this activity. The senior responsible owner (SRO) appoints and chairs the programme board. The programme board is formed to provide the organizations business an early involvement and governance establishment. Produce the programme brief Based on the information available in programme mandate the programme brief document is produced. The programme brief provides a formal basis for assessing whether the proposed programme is viable and achievable. The programme brief should contain specific objectives, required benefits, potential risks, outline costs and timescales of the programme. The senior responsible owner is accountable, and the programme manager and business change managers (BCMs) are responsible for this activity. Develop the programme preparation plan The programme preparation plan is produced for the sponsoring groups to maintain their ongoing commitments in the next part of the programme. The programme preparation plan contains cost, time and resources required for the rest of the programme. The programme preparation plan becomes a useful document while doing detail planning and design of all aspects of the programme in Defining a Programme. The senior responsible owner is accountable, and the programme manager and business change managers (BCMs) are responsible for this activity. Independent review An independent formal review of the programme is conducted to assess the organizations capacity and ability to deliver and realize expected benefits. This review is important for programme assurance. This review should focus on reality, impacts, and possible mitigations of identified risks and assumptions of the programme. The responsibility and modality for this review should be outlined in the assurance arrangements of the programme mandate. OGC Gateway 0 is an example for UK public sector programmes. The sponsoring group is accountable, and the senior responsible owner (SRO) is responsible for this activity. Approval to proceed This approval is based on a confirmed understanding and commitment of the programmes vision, and the preliminary view of its expected benefits, risks, issues, timescales, resources and costs. The programme brief and programme preparation plan define the context and direction for the programme in Defining a Programme. The sponsoring group is accountable, and the senior responsible owner (SRO) is responsible for this activity.
12.3. Inputs of Identifying a Programme

Following inputs from the programme board and the sponsoring group are received in Identifying a Programme: Programme mandate is a document received from the sponsoring group, containing the direction, constraints, priorities and aspirations for the programme.
Business strategy is received from the sponsoring group for developing approach to achieve the business objectives of the organization. Current status and plan of emerging programme information is required to support the decision for converting the ongoing project to a programme for better results.
12.4. Outputs of Identifying a Programme

Following are programme outputs produced by the activities carried out in Identifying a Programme: An Independent assurance report or a P3M3 maturity assessment report is produced to help the organization to assess its internal resource capability for delivering the programme. The confirmed mandate exhibiting direction, constraints, priorities and aspirations for the programme is forwarded. An approved programme brief containing specific objectives, required benefits, potential risks, outline costs and timescales of the programme is produced. Decision on current activities for emerging programmes is made whether these activities should be formed into a programme or not. Programme preparation plan for Defining a Programme is developed which contains cost, time and resources required for the rest of the programme. Approval to start Defining a Programme based on agreed understanding in programme brief and programme preparation plan is done. Appointing SRO and programme board is done by the programme sponsoring groups and the senior responsible owner (SRO) for providing leadership to the programme.
12.5. Document control in Identifying a Programme

The programme baseline documents help the planning and development of the programme. Following table illustrates creation and maintenance of these baseline documents in Identifying a Programme. Documents Programme mandate Programme brief Programme preparation plan Action Review/Update Create Create Action by Sponsoring group SRO Programme manager Baseline Boundary boundary Management

1. Which is an output of Identifying a Programme? a) Project initiation plan b) Approved business case c) Approved programme brief d) Corporate strategy
2. Which programme control is NOT applied in Identifying a Programme? a) Monitoring and authorization of the sponsoring group b) Formal assurance review c) Verify programme brief with the corporate strategy d) Confirm the programme mandate 3. Which is an activity of Identifying a Programme? a) Establish programme infrastructure b) Refine the vision statement c) Confirm the programme mandate d) Model the benefits and refine the profiles 4. Which is an input to Identifying a Programme? a) A confirmed programme mandate b) Current status and plan of emerging programme c) Appointment of SRO and programme board d) Independent assurance report 5. Which is NOT an activity of sponsoring the programme? a) Development of the programme brief b) Forward strategic objectives and policy requirements c) Senior executives provide necessary commitment to the programme d) Sponsoring group provides resources to invite Identifying a Programme
Transformational Flow Defining a Programme
13.
13.1. Introduction
The objective of Defining a Programme is to provide a basis for deciding whether to proceed with the programme or not. The programme manager and business change managers as a team refine and elaborate the elements of the programme brief, build a detailed business case, design governance arrangements and develop the programme plan.
Figure 13.1 Defining a Programme overview The programme management team should design the programme governance arrangements, define strategies for quality and assurance, focus on monitoring and control, information management, stakeholders, risks and issues, and benefits realization. The tradeoff between resources, costs, quality, timescales and benefits are analyzed by the sponsoring group and the senior responsible owner (SRO) before agreeing to proceed further.
13.2. Activities of Defining a Programme

Activities in Defining a Programme should follow the programme management principles and governance themes to remain focused on achieving success of the programme. Programme controls such as governance arrangements defined in the programme preparation plan, programme boards focus on the business case, approval from sponsoring group and assurance reviews are applied to ensure the success of the process. Following activities in Defining a Programme produce outputs and move forward for achieving the transformational change: Establish the infrastructure for Defining a Programme Defining a Programme begins with establishment of programme infrastructure which is important aspect for successful conduct of necessary activities. The programme infrastructure covers the following items: Office buildings Configuration management
Software tools Other office equipments. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Establish the team to define the programme A team of people with appropriate skills, knowledge and experience in relevant areas of the programme and its management is formed. The members of the team fulfill with formal roles such as: Programme manager Business change managers (BCMs) Other specialists exclusively skilled to help in construction of blueprint and benefits analysis. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Identify and analyze stakeholders This activity identifies the programme stakeholders based on their specific interest and impact. Analysis of stakeholders helps to identify information needs and communication flows that need to be established in programme communications. Stakeholder profiles contain the following: Stakeholder map Impact assessment Analysis information. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. The business change managers (BCMs) provide inputs to identify operational stakeholders who are highly impacted by the programme and engage them at the early stage. Refine the vision statement The outline vision statement contained in the programme brief is refined into the vision statement of the programme. The vision statement should communicate the transformed future state to the stakeholders of the programme. This activity provides an initial feedback from stakeholder engagement. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Develop the blueprint This activity involves analyzing organizations cultural aspects as well as its structure, processes and activities and how they need to change. Design and development of blueprint analyzes the required benefits and the cost for realizing those benefits. The current-state and future-state of the organization is defined and its gap is analyzed and included in the blueprint. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Develop the benefit profiles This activity defines the required benefits or dis-benefit in the benefit profiles. These benefits are initially identified in the vision statement and programme brief. The total set of benefit profiles provides a tool for planning and control to track progress on the delivery and realization of the benefits. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Model the benefits and refine the profiles The first cut benefit profiles are based on the information in the vision statement and the programme brief. Along with the development of the blueprint the benefit profiles are refined and elaborated. Modeling of benefits maps to express clarity in understanding of benefits, dependencies on project outputs, and other benefits is done based on projects dossier and programmed plan information. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Validate the benefits Each benefit should have some aspect of the desired outcomes of the programme. These benefits should have link with the strategic objectives of the
programme. The validation of benefits is done through tests of emerging business case. There are four critical validation tests for benefits: Description Observable outcomes Attribution Measurement The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Design the projects dossier Designing projects and other activities to deliver a new capability is done on the basis of vision statement, blueprint, benefit profiles and benefit maps. These projects and activities together form the projects dossier of the programme. The projects dossier describes the approach of the programme to deliver the future organization. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Identify tranches Outcomes described in the vision statement and blueprint can be achieved through progressive step changes of the capabilities within a programme. The projects and activities which are related or dependent in a dossier of projects are scheduled together. This delivery of projects is built into tranches showing step changes in capability. The senior responsible owner (SRO) is accountable, and the programme manager and business change managers (BCMs) are responsible for this activity. Design the programme organization A programme to be successful an organization for directing, managing, controlling and providing support from all aspects of delivery of the programme is designed. The structure of the organization should support effective decision-making and effective communications among the programme teams and stakeholders. Each role within the organization should have specific accountabilities, responsibilities and tasks. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Develop the governance arrangements Programmes need to have governance arrangements to handle situations of inevitable complexity and interdependencies. The strategy for programme management and governance is developed which enables the programme integrating its programme governance arrangements with the existing corporate governance of the organization. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Develop the programme plan The programme plan consisting information on projects, resources, timescales, risks, monitoring and control is developed. The programme plan should identify the assurance review points of the progress and benefits realization of the programme. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Develop and confirm programme business case The outline business case defined in Identifying a Programme should be refined and developed into the final business case. The programme business case covers the costs, benefits, timescales and risks which justify the overall value of the programme and its viability. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Consolidate the programme definition All the information produced in Defining a Programme is consolidated into a set of information along with an executive summary. This set of information is should go under configuration management and change control. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Prepare for first tranche There should be clarity in approach to move forward, therefore the programme prepares for the first tranche with greater confidence. Preparing for the first tranche includes the following activities:
Prepare to establish the programme organization and governance Specify the infrastructure and environment for the next tranche Develop plans to establish governance and the organization structure.
The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Approval to proceed The programme definition is assembled and information produced in Defining a Programme is summarized and consolidated into one single document. Approval to proceed has four-stage process: Senior responsible owner (SRO) approves the complete set of documents and plans Sponsoring group endorses that the design meets with the programmes expectations Independent reviews such as OGC Gateway review conducted for assurance The senior responsible owner (SRO) is accountable, and the programme manager and business change managers (BCMs) are responsible for this activity.
13.3. Inputs of Defining a Programme

This process receives inputs from the activities in Identifying a Programme. Following inputs are received in Defining a Programme: Programme brief contains the concept, an outline vision statement of the programme and basis for an initial assessment for its viability and achievability, organizations objectives, required benefits, potential risks, outline costs, timescales and options for delivery of the programme. Strategy contains approach of the programme detailing plans and schedules on resources, timescales and dependencies. Programme preparation plan contains governance arrangements, cost, time and resources required for delivery of Defining a Programme work. Current status and plans for emerging programmes contains the status of ongoing projects and plans for their formation into a programme. Decisions on current activities for emerging programmes contain justification for making decision on projects which can be formed into a programme.
13.4. Outputs of Defining a Programme

Following are the outputs produced by the activities in Defining a Programme: Assurance reports containing strategies and plans for quality and assurance, and for information management of the programme are created. Programme structure in place which ensures the establishment of the governance and infrastructure needed for successful delivery of the programme. Emerging programme current activities stopped as the scope of the proposed programme is finalized and ready for formal approval. Management baseline in place which contains stakeholder profiles, risk register, quality and assurance plan, programme communications plan and benefits realization plan to measure management performance of the programme. Government baseline in place which contains stakeholder engagement strategy, resource management strategy, risk management strategy, organization structure and benefits management strategy to measure governance performance.
Boundary baseline in place which contains benefits map, blueprint, business case, programme definition document, projects dossier and vision statement defining the scope or boundary of the programme. Approved business case includes the costs, benefits, timescales and risks to justify the viability and achievability of the programme. Approval to start first tranche, or stop includes programme definition and other summarized information containing information for start or stop of the progress of the programme.
13.5. Document control in Defining a Programme

The programme baseline documents help the planning and development of the programme. Following table illustrates creation and maintenance of these baseline documents in Defining a Programme. Documents Benefit profile Benefits management strategy Benefits map Benefits realization plan Blueprint Business case Information management plan Information management strategy Issue management strategy Issue register Monitoring and control strategy Organization structure Programme communications plan Action Create Create Create Create Create Create Create Create Create Create Create Create Create Action by BCM Programme manager BCM Programme manager Programme manager Programme manager Programme manager Programme manager Programme manager Programme manager Programme manager Programme manager Programme manager Baseline Boundary Governance Boundary Management Boundary Boundary Management Governance Governance Management Governance Governance Management
Programme definition document Programme plan Programme preparation plan Projects dossier Quality and assurance plan Quality and assurance strategy Resource management plan Resource management strategy Risk management strategy Risk register Stakeholder engagement strategy Stakeholder profiles Vision statement
Create Create Review/Update Create Create Create Create Create Create Create Create Create Create
Programme manager Programme manager Programme manager Programme manager Programme manager Programme manager Programme manager Programme manager Programme manager Programme manager Programme manager Programme manager SRO
Boundary Management Management Boundary Management Governance Management Governance Governance Management Governance Management Boundary

1. Where in the transformational flow modeling of the benefits map is done? a) Identifying a Programme b) Defining a Programme c) Managing the Tranches d) Delivering the Benefits 2. Which is NOT a critical validation test for benefits? a) Description b) Attribution
c) Measurement d) Measurable outputs 3. Which is NOT an activity of prepare for the first tranche? a) Prepare to establish programme organization and governance b) Specify the infrastructure and environment for the next tranche c) Develop plans to establish governance and the organization structure d) Identify and manage the engagement of stakeholders 4. Which is NOT a content of stakeholder profiles? a) Stakeholder map b) Impact assessment c) Analysis information d) Stakeholder attributes 5. Which is an output from Defining a Programme? a) Assurance reports b) Programme preparation plan c) Programme brief d) Strategy
Transformational Flow Managing the Tranches
14.
14.1. Introduction
The objective of Managing the Tranches is to implement day-to-day governance of the Programme. The basic principle of Managing the Tranches is to maintain the balance between the rate of change being offered by the Delivering the Capability and the rate of change that the operational areas can cope with while in Realizing the Benefits. It ensures that the capabilities delivered in tranches are aligned with the strategic objectives, and enable the realization of benefits.
Figure 14.1 Managing the Tranches overview The projects and activities of the programme are grouped into tranches. Each of these tranches delivers a step change in capability delivery. This step change becomes the basis for the assessment of benefits realization.
14.2. Activities of Managing the Tranches

Activities in Managing the Tranches should be influenced by the programme management principles and governance themes. Programme controls such as sponsoring group authorization, programme board controls, governance baseline controls, end-of-tranche reviews, benefits reviews and assurance and audits are applied appropriately to ensure the success of the process. Following activities in Managing the Tranches facilitate the work to coordinate the processes Delivering the Capability and Realizing the Benefits: Establish the tranche The people, infrastructural and environmental requirements for the progress of the tranche are established. The establishment of tranche covers the following aspects: Programme organization with identified individuals with specific roles and responsibilities
Business change team representing the interests of the organizational change and are part of the business transition Programme office provides information hub for the programme Support for governance with various options for required arrangements, information and procedures Physical environment covers buildings, office space, facilities and services Communications includes publicity events and other promotional articles for the programme.
The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Direct the work Directing the work covers the day-to-day activities of the programme manger to facilitate benefits realization, includes the following activities: Programme reporting Appointment of project organizations Managing the programme and project teams Conducting workshops on programme risks Dealing with project expectations. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Manage risks and issues Risks and issues are actively managed throughout the programme. Risk and issue profiles are continually monitored. Management of risk and issue has following three perspectives: Programmes internal risks and issues External risks and issues arising from outside of the programme boundary and those that arise from outside of the organization Risks and issues escalated from the projects and other operational areas. The senior responsible owner (SRO) is accountable, and the programme manager and business change managers (BCMs) are responsible for this activity. Control and delivery of communications The communication activities should ensure that the stakeholders are properly informed and kept engaged in their works of programme, its projects and benefits. The activities ensure that there is feedback system working between the programme and its stakeholders to avoid misunderstanding in communications. The senior responsible owner (SRO) is accountable, and the programme manager and business change managers (BCMs) are responsible for this activity. Undertake audits and assurance reviews Audits and assurance reviews of the programme are undertaken regularly to assess the performance of its projects and processes. These performances should be acceptable and be in accordance to the criteria and plans defined in quality and assurance of the programme. The senior responsible owner (SRO) is accountable, and the programme manager and business change managers (BCMs) are responsible for this activity. Maintain alignment between programme blueprint and business strategic objectives Changes in corporate strategy in the organization may impact on its ongoing programme to become out of align with its strategy. Such changes invite amendment in programme blueprint, business case and other relevant documents to maintain alignment. An impact assessment should take place to identify gaps between the blueprint and business strategy. The senior responsible owner (SRO) is accountable, and the programme manager and business change managers (BCMs) are responsible for this activity.
Maintain information and asset integrity As the volume of work increases the requirement for tracking new asset or change in existing asset become important task for the programme management. Configuration management alongside with information management provides way out for maintaining information and asset integrity. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Manage people and other resources The resource management strategy defines rules for engaging and utilizing programme resources. Resources are often shared across programmes, projects and other operational works. Within this critical stage of programme delivery the programme pays careful attention to managing people and resources especially when the tranche end approaches. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Procurement and contracts Procurement and contract management activities of the programme should be aligned with the organizations corporate policy and standards. The programme pays specific management attention to managing suppliers and their activities, ensuring their alignment with the overall purpose of the programme. There should be regular reviews of suppliers and their performance against expectation and the contract. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Monitor, report and control Arrangements for monitor and control strategies of the programme are implemented and used for controlling the progress. Following monitoring and control activities are applied to get attention of the senior responsible owner (SRO) and the programme board: Checking that the information is complete, accurate and timely Authorize decision for planned or exceptional activities Approval of major exceptions from projects Approval of outcomes, accepting deviations Approval of benefits realization, accepting deviations Handle exceptions in benefits realization Handle capability delivery escalations Authorize communications activities on stakeholders issues Monitor benefits realization and achievements Tracking business performance. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity.
Transition and stable operations The programme board should focus on transition and organizational stability whilst moving towards the programmes benefits realization. When the project outputs are combined and tested, and ready for transition, the transition plans prepared earlier in the tranche are brought into effect. Performance measures should be tracked during the transition and after, to make sure that the operations are stable and do not drift back to old ways of working. The senior responsible owner is accountable, and the business change managers (BCMs) are responsible for this activity. Prepare for next tranche Preparing for the next tranche after having lessons learned in the first tranche may invite changes in the programmes approach in the next tranche. Following activities should be changed in accordance: Lessons learned should be informed to the next tranche Adapting changes in governance and organization structure Changes in resource management plan Specification of physical environment and infrastructure Refining the blueprint, benefit profiles, benefits maps and projects dossier
Reviewing and refining information baselines.
The senior responsible owner is accountable, and the programme manager is responsible for this activity. End-of-tranche review and close The end-of-tranche review provides the basis for go/no-go decision for the programme. Programmes information is updated with lessons learned and experiences gained in the tranche. A full review to access the ongoing viability of the programme is done to ensure optimal delivery options and alignment with strategies. The senior responsible owner (SRO) is accountable for the end-of-tranche review. The sponsoring group provides authorization to support the recommendations of the end-of-tranche review. The senior responsible owner is accountable, and the programme manager is responsible for this activity.
14.3. Inputs of Managing the Tranches

This process receives various inputs from Defining a Programme, Delivering the Capability and Realizing the Benefits processes. Following inputs are received in Managing the Tranches: Approval to proceed is a formal decision about continual of the programme. Governance baseline documentation such as benefits management strategy, information management strategy, monitoring and control strategy, quality and assurance strategy and risk management strategy for control and measure the governance of the programme are received. Boundary baseline documentation such as vision statement, business case, programme brief, blueprint, benefit profiles and programme definition documents to measure the performance of the programmes functional area are received. Management baseline documentation such as programme preparation plan, quality and assurance plan, information management plan, benefits realization plan and programme plan to measure the performance of the programme management are received. Outputs from Delivering the Capability such as project outputs and the project documentation, such as project briefs, received as delivered capability for the programmes benefits realization. Outputs from Realizing the Benefits such as delivered capabilities being embedded into the organizations operations for the change. For the subsequent tranches following inputs are received: External changes (e.g. legislation, strategy) may lead changes in the programmes governance and management strategies Lessons from previous tranche may need to be incorporated into the next tranches End-of-tranche review reports contains the alignment of the programme to the strategic objectives Programme structure accommodating structural changes if there are any.
14.4. Outputs of Managing the Tranches

Following are the important programme outputs produced by the activities in Managing the Tranches process: Boundary baseline updated including changes experienced in tranche boundary information documentation Governance baseline updated including changes experienced in tranche governance strategies and plans learned
Management baseline updated including changes experienced in approaches and strategies Programme management infrastructure implemented including physical environment and infrastructure Capability delivered including project outputs enabling capabilities described in the blueprint Outcome accepted including delivered capabilities enabling programmes outcome Benefit measures including performance criteria from contracts, agreements and targets Next tranche action plan including refined business case and tranche plans, and lesson learned Assurance review reports including assessment of projects and processes of the programme Approval to close tranche and start next tranche, or realign, or stop including end-oftranche review report.
14.5. Document control in Managing the Tranches

The programme baseline documents help the planning and development of the programme. Following table illustrates creation and maintenance of these baseline documents in Managing the Tranches. Documents Benefit profile Benefits management strategy Benefits map Benefits realization plan Blueprint Business case Information management plan Information management strategy Issue management strategy Issue register Monitoring and control strategy Organization structure Programme communications plan Action Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Action by Programme manager BCM Programme manager BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM Baseline Boundary Governance Boundary Management Boundary Boundary Management Governance Governance Management Governance Governance Management
Programme definition document Programme plan Programme preparation plan Projects dossier Quality and assurance plan Quality and assurance strategy Resource management plan Resource management strategy Risk management strategy Risk register Stakeholder engagement strategy Stakeholder profiles Vision statement
Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update
BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM
Boundary Management Management Boundary Management Governance Management Governance Governance Management Governance Management Boundary

1. Which is an activity of Managing the Tranches? a) Refine the vision statement b) Maintain alignment of the blueprint with strategy c) Produce the programme brief d) Develop the benefit profiles 2. When may audits be used during Managing the Tranches? a) They are only used for business processes that have undergone transition b) They are only used for projects currently under progress c) They can be used for both projects currently in progress and the business processes that have undergone transition d) They are not used during Managing the Tranches 3. Which programme control is NOT applied in Managing the Tranches? a) Benefits review b) End-of-tranche review c) Verify programme brief with strategies d) Assurance and audits
4. Which is NOT an activity of Managing the Tranches? a) Maintain alignment between blueprint and business strategic objectives b) Manage risks and issues c) Consolidate the programme definition d) Establish the tranche 5. Which is an input to Managing the Tranches? a) Programme brief b) Strategy c) Programme preparation plan d) Outputs from Realizing the Benefits
Transformational Flow Realizing the Benefits
15.
Transformational Flow Delivering the Capability
15.1. Introduction
The programme manager initiates projects in the projects dossier to deliver outputs and capabilities. The objective of this process is to provide coordination and management of delivery of the projects according to the programme plan. Delivery from the projects dossier provides new outputs that enable the capabilities as described in the blueprint. These activities in Delivering the Capability may be repeated for each tranche of the programme.
Figure 15.1 Delivering the Capability overview Delivering the Capability and Realizing the Benefits processes in the transformational flow work together in coordination. These two processes complement each other with project delivery, benefits realization and transition to operations, and achieve programme objectives.
15.2. Activities of Delivering the Capability

Activities in Delivering the Capability should be influenced by the programme management principles and governance themes. Programme controls such as governance baseline controls, project quality, acceptance and tolerances, dependency management, programme board monitoring, and project assurance and audits are applied appropriately to ensure the success of the process. Following activities in Delivering the Capability facilitate the work to coordinate the processes Managing the Tranches and Realizing the Benefits: Start projects When projects start the programme manager ensures that each member of the project management team understands the project brief, its context to the blueprint, benefits and tranches, and the standards. The programme manger should ensure the following elements: Appointment of project manager and project executive (or sponsor) Design and appointment of the project team
Project brief with all required information Establish the project strategy and approach Establish the quality expectations Understand interdependencies with other projects in the tranche Design capability delivery plan for benefits realization Define acceptance criteria.
The senior responsible owner (SRO) is accountable, and the programme manager is responsible for the activity. Engage stakeholders Stakeholders of the programme need to have confidence that the outputs of the projects are delivered according to their needs. These stakeholders may involve in specific activities of the projects, for example, requirements analysis, design reviews and user acceptance tests etc. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for the activity. Align projects with benefits realization The outputs of the project should be aligned with the particular benefits of the programme. The business change manager (BCM) should have the following responsibilities ensuring the alignment of a particular benefit: Alignment of projects Ensuring business requirements and time constraints Assessing designs, prototypes from the help of operational staff Considering the overall suitability of the proposals in the operational environment. At the time of project initiation, the project briefs should be aligned with the relevant benefit profiles and the benefits realization plan. The senior responsible owner is accountable, and the programme manager and business change managers (BCMs) are responsible for ensuring the alignment in the benefits realization plan. Align projects with programme objectives The project brief should provide an initial alignment to the programme with continuous reporting to the programme management. There should be a close and continual monitoring by the programme manager with an objective whether the proposed outputs and capabilities of the project align with the strategic objectives defined in the blueprint, or not. In emergent programmes their project information such as project initiation document should be regularly reviewed by the programme team. Any amendment to the requirements in these projects may trigger re-planning or re-scoping to gain alignment with the programmes blueprint, programme plan and benefits realization plan. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for the activity. Governance: manage and control delivery Assurance for controlled delivery of the capability can be achieved through continuous monitoring and control of the progress and proper management of risks and resolution of issues. There should be an effective communication link between the programme team and the project boards for an effective governance structure of the programme and its projects. According to the monitoring and control strategy the projects should report the progress in an agreed format of information to the programme at a regular basis. Any departure from the schedule is tracked and its likely impact on the rest of the programme is assessed, and updated in the programme plan. Any risk identified need to be reviewed and challenged, responses are planned or action taken. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for the activity. Close projects The project outputs should meet the acceptance criteria defined during the project start-up. Project closes after formal delivery of its outputs to the programme. Post-project review is done to assess the effectiveness of the capability delivered to the realization of benefits, and lessons-learned is shared across the programme. The senior
responsible owner (SRO) is accountable, and the programme manager is responsible for the activity.
15.3. Inputs of Delivering the Capability

This process receives various inputs from Managing the Tranches and Realizing the Benefits processes. Following inputs are received in Delivering the Capability: Boundary baseline documentation such as blueprint and projects dossier are received Management baseline documentation such as benefits realization plan, programme communications plan, stakeholder profiles and risk and issue registers are received Governance baseline documentation such as benefits management strategy, stakeholder engagement strategy, monitoring and control strategy, quality and assurance strategy, risk and issue management strategy and project delivery plans are received Decision from programme board for starting projects in projects dossier of the programme Current projects in an emergent programme detailing their status and challenges in formation of a programme.
15.4. Outputs of Delivering the Capability

Following are the programme outputs produced by the activities in Delivering the Capability process: Project outputs delivered and accepted containing all the expected products which pass through acceptance criteria, are handed over to the relevant business units of the organization. Project highlight and delivery reports should contain detailed specification and design of delivered products, formal acceptance from project board, recommendations for followups and end-of-project report. Escalations from projects should contain major issues identified during the project, reported to the highest level of programme management for responses or action plan. Communication events should inform the stakeholders of the programme for their proper engagement. Project definition document should explain project objectives, scope, deliverables, outline business case, acceptance criteria and any know risks. Project lessons learned and evaluation reviews should contain issues associated with the project and its management processes, which may impact on benefits realization. Management baseline updated with recommendations of the post-project review, lessons learned to share knowledge and experiences with other projects.
15.5. Document control in Delivering the Capability

The programme baseline documents help the planning and development of the programme. Following table illustrates creation and maintenance of these baseline documents in Delivering the Capability. Documents Issue register Action Review/Update Action by BCM Baseline Management
Programme communications plan Projects dossier Risk register Stakeholder profiles
Implement Implement Review/Update Review/Update
BCM BCM BCM BCM
Management Boundary Management Management

1. Which is NOT a key input to Delivering the Capability? a) Current projects in an emergent programme b) Decision from programme board to start projects in dossier c) Blueprint, business case and projects dossier d) Programme mandate, outline vision statement 2. Which element needs to be ensured by the programme manager while starting projects? a) Ensuring business requirements and time constraints b) Establish the project strategy and approach c) Considering overall suitability of the outputs of the project in the operational environment d) Assess designs and prototypes with the help of operational staff 3. Which is an activity of Delivering the Capability? a) Close projects b) Manage people and other resources c) Monitor, report and control d) Undertake audits and assurance reviews 4. Which is NOT an output of Delivering the Capability? a) Escalations from projects b) Project definition document c) Communications events d) Programme plan 5. Which is NOT an aspect of the controlled delivery of the programme? a) Continuous monitoring and control of the progress of the programme b) Proper management of risks and resolution of issues c) Effective communications between programme team and project board d) Establish the project strategy and approach
16.
16.1. Introduction
The objective of this process is to realize benefits that are identified in earlier stage of the programme and ensure its stabilized integration to the business operations. Business change managers (BCMs) use to ensure that the project outputs are properly embedded into business-asusual. The BCMs ensure that the required changes in operational practices and culture are achieved and, as a result benefits start to be realized and are being measured. It facilitates the planning and management activities for the successful transition of an organization, from legacy to new ways of working, and towards achievement of outcomes.
Figure 16.1 Realizing the Benefits overview Realizing the Benefits focuses on monitoring the progress of the programme to ensure that the outputs of the projects are fit for the purpose and are aligned with the benefits expected. Activities in this process may be repeated for each tranche of the programme, maintaining close coordination with Delivering the Capability.
16.2. Activities of Realizing the Benefits

Activities in Realizing the Benefits should follow the programme management principles and governance themes. Programme controls such as programme board monitoring, benefits realization plan and benefit profiles forecast, business performance monitoring, dependency management and assurance and audit reviews are applied appropriately to ensure the success of the process. Following activities in Realizing the Benefits provide transition of delivered capabilities of the projects into the business operations of the organization: Manage pre-transition The pre-transition activities analyze, prepare and plan for the transformation of the business. Following activities are carried out for the management of the pre-transition phase:
Establish benefits measurements for ensuring the control and effectiveness of benefits realization process of the programme. These measures are defined in the benefit profiles of the projects and overall benefits management strategy of the programme. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Monitor benefits realization progress of the programme against the business case, programme plan, benefits realization plan and blueprint to identify opportunities to enhance benefit achievement or minimize dis-benefits. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Plan transition should detail the changes in requirements of an organization, e.g. working practices, system, facilities, cultural and infrastructural migration, and maintaining business operations etc. The senior responsible owner (SRO) is accountable, and the programme manager and business change managers (BCMs) are responsible for this activity. Communicate the change among the affected business areas, operating units and individuals through the engagement events for planned changes, to create awareness and interest, and to get involvement stakeholders. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Assess readiness for change should come at a point where the project outputs are being delivered to the business change managers (BCMs). The business change manger (BCM) needs to make decision whether the capability delivered is up to the requirement of the business, and is ready for transition. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Manage transition Following activities are carried out for the management of the transition phase: Initiate transition as the relevant business operations need to be prepared for implementation of the outputs from the projects. The transition can be achieved in a single change to the operations or it can be achieved through a series of incremental changes. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Establish support arrangements for operational change in the organization requires consideration of individuals personal concerns about their working environment. The transition may also affect individuals and organizations external to the organization. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Enact transition as all the outputs from projects are ready for operational use and verified through quality assurance. All the concerned operational staffs are trained on their roles and responsibilities. There is a contingency and temporary transition management in place and the senior responsible owner (SRO) has given the approval for transition. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Review transition requires reviews of new ways of working implemented through the transition. This can be a testing time for everyone concerned to settle down to new working environment and practices. There should be engagement of stakeholders to guide their perception, interest and support for the programme. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Manage outcome achievement through acknowledgement of the achieved outcomes actively, communicating these achievements to make the business
stabilized at the desired new ways of working practices. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Manage post-transition Following activities are carried out for the management of the post-transition phase: Measure benefits for each benefit in the benefit profiles. This measure can be part of end-of-tranche review or any other planned review. Key performance indicators selected in the benefit profiles become the basis for the measurement of benefits. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Remove access to legacy working practices and systems and replace them with the new working practices and systems. This can be the toughest challenge in delivering the change. The business change manager (BCM) must ensure that old working practices and systems are identified, and the impact of removal of them is understood. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Respond to changing requirements which are never foreseen while embedding the new ways of working and systems. These changing requirements need to be highlighted as they emerge as a natural part of the programme flow. Once an additional requirement is identified, it is included into the projects dossier through programmes issue register. This requirement should also be included in the blueprint, programme plan, benefit profiles and benefits realization plan. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Monitor and report benefits realization for any deviation from the planned parameters, where the business performance moves out of tolerance, should be escalated to the senior responsible owner (SRO) and the sponsoring group. The benefit profiles and benefits realization plan should be updated in accordance to the benefits management strategies. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity.
16.3. Inputs of Realizing the Benefits

This process receives following inputs from Managing the Tranches and Delivering the Capability processes: Management baseline information which contains benefit realization plan and quality and assurance plan Boundary baseline information which contains benefit profiles and benefits maps Governance baseline information which contains benefits management strategies and monitoring and control strategies Outputs from Delivering the Capability containing outputs delivered by the projects, lessons learned in evaluation reviews, project definition document, projects highlights and delivery reports, and communications events.
16.4. Outputs of Realizing the Benefits

Following are the outputs produced by the activities in Realizing the Benefits process: Management baseline updated containing business performance updates in benefits realization plan
Transition prepared and completed with the implementation of new ways of working and systems, proper monitoring and reporting for the stability of the changed business operation Benefit measurement and reports defined in benefit profiles and benefits realization strategies are implemented and produced Business performance reports indicating the improvement resulting from benefits realization, comparing the current state with the future state in the blueprint Benefit reviews are part of the end-of-tranche review and any other planned benefit reviews for measuring the realized benefits are produced New operations stabilized removing access to the old ways of working and systems, understanding the impact of their removal, and responding to the changing requirements for the achievement of stabilized business operations Outcomes achieved as the programme has successfully completed its transition, new working practices are established and business is stabilized at the desired new state Legacy working practices and systems removed to ensuring that the business will not revert back to its old ways of working and new operations are stabilized.
16.5. Document control in Realizing the Benefits

The programme baseline documents help the planning and development of the programme. Following table illustrates creation and maintenance of these baseline documents in Realizing the Benefits. Documents Benefit profile Benefits map Benefits realization plan Issue register Programme communications plan Risk register Stakeholder profiles Action Implement Review/Update Implement Review/Update Implement Review/Update Review/Update Action by Programme manager Programme manager BCM BCM BCM BCM BCM Baseline Boundary Boundary Management Management Management Management Management

1. Which is a set of activities in Realizing the Benefits? a) Manage capability b) Manage post-transition c) Manage stakeholders d) Manage resources
2. Which programme control is applied while in Realizing the Benefits? a) Business performance monitoring b) Dependency management c) Project quality acceptance criteria d) Sponsoring group authorizations 3. How should a programme respond to changing requirements while in Realizing the Benefits? a) They should be included in programme business case b) They should be managed as a risk to the programme c) They should be treated as an issue and included in issue register of the programme d) They should be avoided and must not be handled 4. Which is NOT an input to Realizing the Benefits? a) Lessons learned and evaluation reviews b) Project definition document c) Project highlights and delivery reports d) Programme mandate and brief 5. Which is NOT an output of Realizing the Benefits? a) Benefits measurement and reports b) Legacy working practice and systems removed c) Transition prepared and completed d) Update and finalize programme information
Transformational Flow Closing a Programme
17.
17.1. Introduction
The Closing a Programme process ensures that the blueprint for change has been delivered and benefits are realizing to a sufficient degree to satisfy the business case of the programme. If the business case is no longer viable or if programme management no longer adds value, it goes for a premature closure.
Figure 17.1 Closing a Programme overview Some benefits may take longer time to realize. They may take longer even after delivery of the last project within the projects dossier. This situation may initiate post-programme activities to handle the benefits realization separately after closure of the programme. Closing a Programme initiate the final assessment of the programme and the decommissioning of its resources and infrastructure. The final assessment of the programme should ensure the following: Blueprint has been delivered Outcomes have been achieved Business case is aligned with the outcome Benefits are stabilized.
17.2. Activities of Closing a Programme

Activities in Closing a Programme should be influenced by the programme management principles and governance themes. Programme controls such as sponsoring group authorization, governance baseline controls, formal assurance reviews and reasons for closure are applied appropriately on the process. Following activities in Closing a Programme provide formal closure of the projects and programme: Confirm ongoing support is in place There are chances of disputes and issues arising from different parts of the organization, migrating from old working practices to the
new system. There are gaps in communications and processes as people are not properly aware of the changed system. These gaps need to be bridged in order to continue with smooth-running operations and working practices. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Confirm programme closure The senior responsible owner (SRO) should propose the closure of the programme to the sponsoring group. After evaluation of the outcomes of the programme the sponsoring group recommends for the closure of the programme. Programme closure involves formal confirmation of the following: Business case has been satisfied All projects close and capability delivered Stabilized business performance Any remaining transition activities have been assigned to relevant business operations. The senior responsible owner (SRO) in consultation with the programme manager and business change managers (BCMs) is responsible for this activity.
Notify programme is about to close Notification to programme organization, stakeholders and programme office about the closure of the programme facilitate smooth closure of the programme. The notification should comprise of the timetable and instructions for closing activities and review procedures. For premature closure of the programme the communication and engagement of stakeholders become critical to avoid spoiling the previous good work done so far. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Review programme A formal review should be conducted to assess the delivery of the blueprint, realization of overall benefits and achievement of the business case of the programme. This review should also assess the performance of the programme and its management process to identify lessons learned. Throughout the programme, the end-oftranche review and other independent reviews for benefits should have also been carried out. The senior responsible owner (SRO) is accountable, and the business change managers (BCMs) are responsible for this activity. Update and finalize programme information The senior responsible owner (SRO) should ensure that the programme information are reviewed and finalized so that any residual programme risks and issues are properly dealt with, and outstanding actions are taken. The programme information which includes strategies, plans and boundary documents used at various stages should be reviewed for their effectiveness, appropriateness and lessons learned. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Provide feedback to corporate governance Programmes are initiated to deliver the strategic objectives of an organization. Feedbacks from the programme to its corporate governance should help the organization to develop understanding and enable to better strategic decisions for the future. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity. Disband programme organization and supporting functions Programme needs to disband its infrastructure and management processes and release the individuals and resources back to take their regular responsibilities in the organization. Skills and experiences of the staff should be updated and used for their personal development. Contracts used by the programme should be finalized and closed, and handed over to the relevant business management. The senior responsible owner (SRO) is accountable, and the programme manager is responsible for this activity.
17.3. Inputs of Closing a Programme

This process receives following inputs from Managing the Tranches process to prepare closure of the programme: Management baseline information containing risk register and issue register, benefits realization plan, quality and assurance plan and stakeholder profiles Boundary baseline information containing blueprint, business case, vision statement and projects dossier Governance baseline information containing benefits management strategy, risk & issue management strategies and other governance baseline documents Assurance review report containing measurement of programme performance, audit report, P3M3 maturity assessment and an independent OGC gated review reports End of tranche review at the time of delivery of each tranche Reasons for closure of a programme, describing prematurely closure due to various internal or external factors or after the successful delivery Lessons learned while executing projects, the pros and cons that need be incorporated in the following tranches Warranties and contracts related to capabilities and outcomes delivered containing expectations and delivered products to be compared and for the acceptance.
17.4. Outputs of Closing a Programme

Following outputs are delivered in Closing a Programme transformational flow process: Confirmation of programme closure which includes information regarding satisfied business case, projects completion, stable business operations and any outstanding transitional activity due to be implemented Programme team disbanded including infrastructure, management process and release of resources Independent insurance review for programme assurance, for example OGC Gateway review Updated programme baselines which includes programme management, governance and boundary documents Programme lesson learned report covering all aspects of experiences gained while execution of the programme and its projects Post-programme benefits realization activities which includes any remaining handover or transition activities required to be assigned to relevant business operations Final information handed over which includes the strategies, plans and boundary documents Governance arrangements for remaining projects that are still running after the formal closure of the programme, managed as a separate project or programme.
17.5. Document control in Closing a Programme

The programme baseline documents help the planning and development of the programme. Following table illustrates creation and maintenance of these baseline documents in Closing a Programme. Documents Action Action by Baseline
Benefit profile Benefits management strategy Benefits map Benefits realization plan Blueprint Business case Information management plan Information management strategy Issue management strategy Issue register Monitoring and control strategy Organization structure Programme communications plan Programme definition document Programme plan Programme preparation plan Projects dossier Quality and assurance plan Quality and assurance strategy Resource management plan Resource management strategy Risk management strategy Risk register Stakeholder engagement strategy Stakeholder profiles Vision statement
Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update Review/Update
Programme manager BCM Programme manager BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM BCM
Boundary Governance Boundary Management Boundary Boundary Management Governance Governance Management Governance Governance Management Boundary Management Management Boundary Management Governance Management Governance Governance Management Governance Management Boundary

1. Which is an activity in Closing a Programme? a) Manage transition b) Assess the readiness for change c) Respond to changing requirements d) Confirm ongoing support is in place 2. For a programme that is closing as planned, what state must be achieved before the start of the process Closing a Programme? a) All programme risks have been resolved b) Business change managers have confirmed that all transition activities have taken place c) Outcomes have been achieved and it is aligned with the business case d) Programme office has completed the configuration management process 3. Which programme control is applied in Closing a Programme? a) Formal assurance review of the programme b) Dependency management c) Programme board monitoring d) Business performance monitoring 4. Which is NOT an activity of Closing a Programme? a) Confirm programme closure b) Update and finalize programme information c) Provide feedback to corporate governance d) Remove access to legacy working practices and systems 5. Which is an output of Closing a Programme? a) Governance arrangements for remaining projects b) New operations stabilized c) Outcomes achieved d) Benefits measurement and reports
Answers
18.
Answers
18.1. Programme Management Overview

Question 1.1 1.3 1.5 2.2 2.4 3.1 3.3 3.5 4.2 4.4 5.1 5.3 5.5 6.2 6.4 7.1 7.3 7.5 8.2 8.4 9.1 9.3 9.5 Answer C B B A A D A D C A A B C B D C A A B B D B B Question 1.2 1.4 2.1 2.3 2.5 3.2 3.4 4.1 4.3 4.5 5.2 5.4 6.1 6.3 6.5 7.2 7.4 8.1 8.3 8.5 9.2 9.4 10.1 Answer A C D B C A D D A D C D C D D A C C C D A C A
Answers
10.2 10.4 11.1 11.3 11.5 12.2 12.4 13.1 13.3 13.5 14.2 14.4 15.1 15.3 15.5 16.2 16.4 17.1 17.3 17.5
C B C C D D B B D A C C D A D A D D A A
10.3 10.5 11.2 11.4 12.1 12.3 12.5 13.2 13.4 14.1 14.3 14.5 15.2 15.4 16.1 16.3 16.5 17.2 17.4
A A D C C C A D D B C D B D B C D C D

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Programme Management for Beginners

A book based on Managing Successful Programmes Best Management Practice

Fundamentals of Managing Successful Programmes

By Raj Kishore Managing Successful Programmes Syllabus 2011

Programme Management for Beginners

Programme Management for Beginners

Programme Management for Beginners

4.2. 4.3. 4.4. 4.5. 4.6. 4.7. 4.8. 4.9.

Programme Management for Beginners

7.3. 7.4. 7.5. 7.6. 7.7. 7.8. 7.9.

Programme Management for Beginners

Programme Management for Beginners

Transformational Flow Managing the Tranches .....................................................80

Programme Management for Beginners

Programme Management for Beginners

Programme Management Overview

1. Programme Management Overview

Programme Management for Beginners

Programme Management Overview

Characteristics of portfolio, programme and project

Focused on costs, quality and timescales of delivery

Why use MSP as a programme management tool

Programme Management for Beginners

Programme Management Overview

The three critical organizational elements

The three types of programme

Programme Management for Beginners

Programme Management Overview

Six types of drivers for change programmes

The three core concepts of MSP

Programme Management for Beginners

Programme Management Overview

MSP is based on set of principles

Programme Management for Beginners

Programme Management Overview

MSP uses nine governance themes

1.10. MSP uses transformational flow

Programme Management for Beginners

Programme Management Overview

1.11. Programme management strategies and plans

Programme Management for Beginners

Programme Management Overview

1.12. Roles and responsibilities

1.13. Practice questions

Programme Management for Beginners

Programme Management Overview

Programme Management for Beginners

Figure 2.1 Programme organization overview

Programme Management for Beginners

Senior responsible owner (SRO)

Programme Management for Beginners

Programme Management for Beginners

Business change manager (BCM)

Business change team

Programme Management for Beginners

Programme Management for Beginners

2.10. Programme office tools

2.11. Programme organization & key roles

Business change manager (BCM)

Programme Management for Beginners

2.12. Practice questions

Programme Management for Beginners

Programme Management for Beginners