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# Activity Responsible

Issue Project Mandate Corp/prog mgmt

Apoint Exec and PM Corp/prog mgmt + PB

PM (largely) + Exec
Design and appoint Project Mgmt Team

Initialize Daily Log PM

Capture previous lessons in Lessons log PM

Assemble Project Brief PM (facilitator)

Background, six objectives

Scope/Out of scope
Desired outcomes

Exec + PM (support) +
Someone from Finance
(assists on Exec's
Outline Business Case behest) + Project
Assurance (assists,
ensures info

PM + Team mgr
Project approach
Roles and responsibilities
Project Mgmt Team structure

PM + Sr. user (info,

Project Product Description + Quality Planning approval) + Team mgr

Create detailed initiation stage plan PM
Send [Project Brief + Initiation Stage Plan] to PB and
request to initiate project
Authorize initiation of the project PB
PM + PB/Exec
Prepare 4 Strat docs

Risk Mgmt Strat PM

Initialize Risk Register PM

Quality Mgmt Strat PM

Initailize Quality Register (QR) PM

Config Mgmt Strat PM

Initialize Configuration Item Records

(CIR), Product Status Account (PSA), PM
Issue Register (IR), Issue Report

Comm Mgmt Strat PM

Setup Project Controls PM
PM + Team mgr + Sr.
User + Sr. Supplier +
Plan products (Product Based Planning) other specialists +
Project Assurance

Create Product Breakdown Structure (PBS)

Create Product Descriptions (PDs)

Create Product Flow Diagram (PFD)

Scheduling: Activities, Dependencies,

Milestones, Estimates, Resource allocation
(resource assessment, assignment, leveling,
total resource costing)

PM + Sr. user (info) +

Compile Project Plan
Project Support (assists)

Exec + PM (support) +
others (at Exec's
Refine Business Case
behest) + Project
PM (assembles) +
Project Assurance
Assemble Project Initation Document (PID)
(reviews) + Exec
Project definition/approach
Business Case
PM + Sr. Supplier
Project Mgmt Team Struct
Role Descriptions
4 Strat Docs
PM + Team mgr
Project Plan (assists) + Sr. Supplier
Project Controls
Tailoring P2

Create Benefits Review Plan PM + Sr. user (info)

Send PID to PB and Request to authorize the project PM

Authorize the project PB

PM + [Team mgr +
Create next Stage Plan (or Exception Plan) + Request Other specialists +
to approve Project Support]
(assistance optional)
Authorize Stage Plan (or authorize Exception plan or
escalate Exception to Corp/Prog mgmt)
WP activities
PM (assign) + Team mgr
Authorize WP
Create Team plan + Execute WP Team mgr
Report WP issues (Conditional) Team mgr

Check WP progress via Checkpoint Reports

and QR

Quality Review by TM (Update QR + Update

Team mgr
CIR) + Deliver WP

Quality Review of WP by PM PM
Monitor/report activities
Check stage status by comparison against
Stage Plan
PM + Project support
Report progress to PB via Highlight Report
Report out of tolerance scenario to PB via
Exception Report (Conditional)
Issue activities
Capture issues in Issue Register (and Risk
Register if required)
Assess impact on 6 variables + Recommend
solutions + Create Issue Report + Escalate to PM
CA or Resolve w/o escalating

Decide on recommendation (CA or Exec) CA, PM

Take corrective action (assign WP) + Update

IR + Update CIR + Update Stage Plan
Give guidance to PM PB
Assures stage and project progress Project Assurance
Update Daily log PM
Update Lessons Log PM
Update Project Plan with actuals (whats done) +
forecast of next stage
Update Business Case with costs of latest stage +
forecast of next stage
PM + Project support
Update QR, IR, RR
Update Benefits Review Plan PM
Confirm benefits Exec

Create End Stage Report + Create next Stage Plan (or PM + Project support
Exception Plan) + Request PB to approve (assists)

Create Lessons Report PM

Document Follow-on Action Recommendations PM

PM + Project Support
Update Configuration Item Records
Plan Benefits Reviews PM
Handover of Products to customer + Receive Proof of
PM + Project support
Create End Project Report

Send Closure Notification to PB recommending closure PM

Authorize project closure PB

a) Mandate not enough to decide if OK to initiate the project, so Project brief needed
b) Project-level tolerances are specified which Exec is responsible for.
a) Exec appoints PM if not already appointed. PM generally comes from customer side.
b) Corp/Prog Mgmt decide how PB would keep it updated about the project

a) PMT = PB [Exec, Sr. user, Sr. supplier] + PM + Assurance + Change Authority + TM (optional) + Project Support
b) One peson can have more than one role.
c) Only one person can be Exec while multiple persons can represent Sr. user and Supplier roles.
d) Exec has final say on decisions so PB is not a democracy.
e) PB is accountable for success or failure of project with Exec being the single point of accountability. PB has to support PM.
f) Sr. User specifies requirements of users and supplies benefits info for Benefits Review Plan
g) Sr. supplier is responsible for providing resources (people, tools) to the project; can come from customer organization or fr
h) Assurance provides 2nd opinion in addition to info provided by PM. PB can either play this role itself or appoint separate p
(responsible Sr. user), Supplier Assurance (responsible S. Supplier). Assurance people support PM.
i) Change Authority considers RFCs and off-specs. This group can further delegate to a number of levels (L1: Corp/Prog mgm
j) PM is responsible for TM and Project Support roles. TM role is optional. Project Support role provides adminsitrative and adv

Record here anything that's not getting recorded elsewhere. This is like PM's diary. If issues recorded here become serious, th
it open on desktop for easy additions.

a) Most of the brief already provided if project part of program

b) Creating brief is an iterative process
c) PM + PB + other stakeholders' collaboration needed
d) Info in the mandate and previous lessons also used
Project level tolerance info comes from Corp/prog mgmt

a) Contents:
[Exec summary,
Reasons to do the project,
Business Options (Nothing, Minimum, Something),
Expected Benefits,
Costs vs Benefits or ROI,
Major Risks]
b) Business justification = Desirable (Benefits Vs Disbenefits) + Viable (Possible to do?) + Achievable (Possible to deliver the
c) Info for Outline BC comes from project mandate.
d) Exec is responsible for securing funding.

Best way forward (Start from scratch?, Internal people or external people? Etc)

a) Contents:
[Key high level requirements of Project Product,
Customer's quality expectations (sorted Moscow) + tolerance + quality test method,
Acceptance criteria (sorted Moscow, measured) + tolerance,
Aceptance method (how project product will be accepted),
Acceptance responsibility (who will be responsible for accepting)]
b) Sr. User provides the quality expectations, acceptance criteria of the Project Product. Later also approves Project Product D
d) Project Product description can be further refined in the initaton stage.

Day to day plan for initiation stage

This step involves 1st verification of Business Case (Options, Benefits, Timescales, Costs, ROI, Risks) by Exec
It's an iterative activity

a) Risk = An uncertain event that will have a +/- effect (ie, threats or opportunities) on 6 performance targets of the project
b) Risk Mgmt Strat Doc = How risks would be Identified, Assessed, Planned, Implemented and Communicated (I Ate Peaches
part of a program.
c) Contents:
[Project's context (Org's risk appetite, Project's risk tolerance, procedures for escalation),
Risk budget (not to be used as change budget),
Risk register usage and associated activities (Identify, Assess, Plan, Implement),
Scales of likelihood, impact, proximity etc.
Roles and responsibilities,
Risk reporting protocol (what reports, when, how often)]
d) Risk Mgmt is done throughout the project. Exec is responsible for the Risk in the project and PM does the mgmt. TM assist
Assurance reviews risk mgmt practices against Risk Mgmt Strat.
e) Techniques for risk identification: Review lessons from older projects, Readymade checklists, Brainstorm with experts (Sr. U
f) Risk Estimation techniques: Probability trees, Expected Value, Pareto analysis
g) Risk Evaluation = Risk value of the whole project = Sum (all estimates)
h) 2 tools to use: Risk register, Summary risk profile (Probability-Impact grid)
i) Reports used to communicate risk info: Checkpoint Reports, Highlight Reports, End Stage Reports, End Project Report, Less

a) Risk Register schema:

[Risk Author,
Date registered,
Risk category (quality, network, legal, supplier etc),
Risk Description [Due to (cause)... there is the risk of (event)... that could result in (effect)],
Risk probability (%),
Risk Impact (Damage in monetary terms),
Expected value of risk (Probability X Impact),
Risk Proximity,
Response category (Threat: Avoid/Reduce (prob or impact or both)/Fallback (plan B)/Transfer/Accept/Share gain or loss; Oppo
Risk Status,
Risk Owner (Monitor),
Risk Actionee (Doer; can be same as Owner)]
b) PM is reponsible for Risk Register but Project Support maintains it. PM provides risk updates to PB periodically and also as

a) How quality would be done in the project? (What QM System to use? Who are responsibles?, What tools and techniques w
b) QM System info comes from Corp/Prog mgmt. Project Assurance advises PM on this matter.
c) Quality Mgmt Strat gets approved by Exec when sent as part of PID.
QR is a diary of Quality verification activities; continually updated; provides complete audit trail of quality activities.
Config Mgmt Strat Doc = How to identify products (coding system), How to control products (change control, access control)
supplied?), How are issues/changes handled?, What data to keep for various products, Frequency of Issue and change contro
and responsibilities, Change Budget
b) Can be provided by Corp/Prog Mgmt.
c) Change budget is set aside by Exec.
d) Project Assurance reviews config mgmt practices against Config Mgmt Strat.
e) Project SUpport performs administrative tasks of Issue and Change control (eg maintain CIR records, look after Project pro

a) Issue = RFC (change to a baselined product) or Off-Specification (agreed to be done but not provided and/or not forecast t
or escalate)
b) CIR = Contains metadata for a config item
c) PSA = Information about current and historical status of products; related to CIR.
d) IR = Used to capture issues. Spreadsheet with columns like Priority (Moscow), Severity, Raised by, Raised on, Target date,
role that should handle the issue (Minor - Project Support; Normal - PM; Significant - Change Authority; Major - Project Board;
e) Issue Report = Contains impact assessment of one or more issues and also discussion on solution.

Communication: How (email, phone etc) + How often + Report type

How PB can control project
a) PBS = Hierarchical break down of Project Product into component products.
b) PBS should be created as part of workshop involving User, Supplier and other specialists. Use post-its or whiteboard. Then
mindmap before worrying about taxonomy. Also identify external products that will be used.

a) PD = Purpose, Composition, Quality planning (Quality criteria, Tolerance, Verification method, Skills required, Responsibilit
b) Not all PDs have to be described upfront. They may be created/updated during Stage Boundary process. But they need to

a) PFD = Diagram depicting flow of development and interdependencies between products

b) For PFD, PM should involve people from Delivery team.
c) PBS, PDs, PFD can be done in the same workshop.

For smaller projects, PBS, PDs, PFD and scheduling can all be done in the same workshop.

a) Project Plan is updated in each Stage Boundary process to show what's been done and what is planned to be done. It is al
b) Project Plan is high level and is used by PB. It's a control doc for PB and is kept updated by PM. PB can use this plan to com
c) Contents: [Description, Prerequisites, Ext dependencies, Assumptions, Lessons incorporated, Monitoring/control approach,

Business case is completed here.

a) Project Brief + Project Initation Doc from SU become the basis for PID
b) PID is a contract between PM and PB

a) When benefits (=measurable improvements) will be realized both during and after project
b) Benefits must be timeboxed
c) Benefit measurement method must be defined.
c) Exec is responsible for Benefits Review Plan. PM creates and updates it. Sr. User provides info and is responsible for specif

This step involves 2nd verification of Business Case (Exec) among other things.

a) Product Based Planning

b) Exception Plan requires info from Exception Report; it's a request to PB to complete the current stage. If approved, it repla
stage. This plan picks up from where the current Stage Plan leaves off.

a) Stage-level tolerances are instituted for PM to follow. (Tolerance = variances allowed on 6 performance project variables)
B) In case of Exception plan from PM, Exec should also check if Project overall is within Project-level tolerance. If not, the Exc
a) WP-level tolerances may be set which Team mgr is supposed to work within (optional).
b) Technical stages are not broken up. Rather PM asks Team mgr what they expect to achieve in a given Mgmt stage.

Checkpoint Report sent by Team mgr. PM and TM agree on the frequency of Checkpoint Report.

a) QR updated by Teammgr when products pass/fail quality test.

b) 3 outcomes of quality review - Complete/pass, Conditionally complete/tidy up some minor issues, Incomlete/fail. In each c
b) Delivery is as described in Config Mgmt Strat Doc.

PB and PM agree on frequency of highlight report.

For RFCs and Off-specifications, the Issue Report is escalated to CA. For Problem/Concerns, PM can also solve issues him/hers
Exec or Sr. User or Sr. Supplier, ie PB or Project Assurance) if Stage is expected to go out of tolerance.

Possible CA decisions on RFC: Approve, Reject, Defer decision, Request more info, Ask or exception plan
Possible CA decisions Off-specification: Grant a concession, Instruct it be resolved, Defer decision, Request more info, Ask for
Possible Exec decisons on Problem/Concern: Provide guidance, Ask for Exception Plan

In response to escalations or Highlight Report or generally

a) Update can be done whenever assessing Risks or Issues or at the end of the stage
b) PB review: Is the project still worthwhile? (Exec)

Confirming benefits is done at the end of the stage and after the project. New results are compared to current situation and
a) Info for End Stage Report comes from current Stage Plan
b) Info for next Stage Plan comes from Project Plan
c) Exception Plan equires info from Exception Report; it's a request to PB to complete the current stage
d) This steps involves 3rd verification of Business Case (Exec)
e) End stage report compares performance of the stage to the baselined Stage plan.

a) Info comes from Lessons Log

b) Info valuable for future projects
c) Sent to PB
a) Info comes from Issue Log
b) These are comments given to people who would support the project in the future

Make sure all product CIR docs are up to date

To be conducted by Corp/Prog Mgmt after project closure

As described in Config Mgmt Strat Doc

a) Compare project objectives with actuals (ie project performance)
b) Info comes from Project Plan, Business Case, baselined PID
P2 theme
Pre BC

SU Org

SU Org

SU Progress

SU Progress





SU Org


SU Plans



IP Risk

IP Quality

IP Change

IP Change

IP Org
IP Progress
IP Plans

IP Plans


IP Plans

IP Plans

IP Plans




IP Org

IP Org

IP Plans






MP Progress


MP Quality


CS Plans


CS Progress


CS Change

CS Change

CS Change

CS Progress
CS Progress

SB Plans





CP Progress

CP Progress

CP Change


CP Org

DP Progress