Timesaver

v5 April 2014
Designed by:
Salahuddin Khawaja
s@decklaration.com
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I
Introduction
II
Basic Slides
III
Executive
Summary
Templates
IV
Models and
Objects
V
Project
Management
Templates
VI
Frameworks
and
Methodologies
VII
7 Deck Rules
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Slides here have evolved over the years based on my work at these organizations
(primarily consulting)
Salahuddin Khawaja has 15 years of experience,
primarily in the Financial Services Industry. Before
joining JP Morgan he spent 11 years at Deloitte &
Touche helping Fortune 500 clients with various
types of Strategic Initiatives.
He believes in the power of Presentations,
Storytelling and Visual Design. That is why he
started Decklaration.com
About the
Author
I
Introduction
II
Basic Slides
III
Executive
Summary
Templates
IV
Models and
Objects
V
Project
Management
Templates
VI
Frameworks
and
Methodologies
VII
7 Deck Rules
8
Organized Sections Bullets
Over the years MorphApp has evolved and it is increasingly complex to add functionality. Programs have been
launched to strategically change the core platform.
Key Issues
Go Forward Approach
Current State
ProcessX has evolved over the last 30 years
Processes and systems have been cobbled together as a result of mergers and acquisitions
The core platform has had no strategic structural change
The organization is currently structured in functional silos
Enhancing or adding functionality is increasingly complex and requires significant effort and cost
Increasingly difficult to keep pace with the changing business landscape and providing value added services
It is expected that current and new business strategic initiatives will make increasing demands
The ProcessX lifecycle has become fragmented which increases internal control risks
High risk of not being able to meet certain complex requirements
Launched multiple programs to move towards:
A single integrated global Platform (from a process and technology perspective)
The adoption of a Utility Mindset
Leverage Like Functions, Centers of Excellence, Across LOBs
Holistic business process management (alignment with client, end-to-end control framework etc.)
9
Simple Table
Overall project is green and on track. Planning, Scoping & Analysis and Build are 50% complete. Testing has
commenced and a significant number of defects have been found.
# Phase Status Progress Trend Status
I Planning Green
Vision workshop completed
Determine critical path Operating Model items
Develop high-level roadmap
Develop detailed 2013 plan
2
Scoping &
Analysis
Green
Selected MVPs for functional delivery to Operations
Drafted Conceptual To-Be process flows for MVP
Performed analysis to validate products supported by MorphApp for the NY Market
Translated the existing BRD into Process Flows
Drafted Requirements Catalog of existing requirements
3 Build Green Build activities are underway
4
Operational
Readiness
(Not started) Documentation of procedures and controls to start
5 Testing Amber
185 defects remain open
104 are under review, 52 are in the process of being
fixed and 29 are ready for retesting
Key Complete Not Started Initiated Closing In Progress
10
Chevrons
Approach to Change Understanding the future of the Banking Sector and a bank can get there will involve
launching a Strategic Initiative that will have 3 phases.
Determine future state based
on strategic objectives, change
drivers and leading practices
Perform Gap Analysis
Develop business case and
roadmap based on project
priorities, impact, cost and
resource requirements
Develop methodology for
prioritization and critical path of
the identified projects, and
define resources and cost
implications with executive
inputs
Implement various program


Assess internal and external
factors (Risk Appetite,
Regulations, Technology trends
etc)
Identify change drivers
Perform a current state
assessment across People,
Process and Technology
Define the strategic objectives
Phase III:
Roadmap
Phase II:
Future Architecture
Phase I:
Strategy Development
Approach
I II III
11
Model 1
A model for strategy development
Strategy Development Current State Assessment
Risk Appetite
Business Constraints
Regulatory Drivers
Leading Practices
Technology Trends
Economic Environment
and Forecast
Geographical
Considerations
Mission, Values and
Vision
Strategic Objectives
Performance Measures
and Targets
Regulatory Drivers
Competitive Position
Scenario Analysis
Industry Direction
Financial Modeling and
Planning
Strategy Formulation
Customer Analysis
Market Analysis
Organizational Analysis

Process
People
Technology
Line of
Business
Securities
Services
Treasury
Services
Asset
Management
Commercial
Banking
Investment
Banking
Private
Banking
OUTPUTS INPUTS
12
Regionally defined
processes with increased
automation
Functional/Product aligned
organization
Fragmented focus on
customer experience
Defined / Proactive
Globally defined and
integrated processes
Business and customer
aligned organization
Technology strategy is
developed in conjunction
with the business strategy
Engaged focus on customer
experience
Service / Advocate
Locally defined processes
Indigenously grown
organization and
technology
Initial / Ad hoc
Utility mindset Leverage
Like Functions, Centers of
Excellence, Across LOBs
Process optimized across
the enterprise and globe to
support business innovation
Technology is a value
enabler and becomes a
core part of the client
offering
Focus on customer
experience is embedded in
BAU
Agile business model with a
decreased time-to-market
Value / Leader
E
f
f
e
c
t
i
v
e
n
e
s
s

Future Today Past
Model 2
Maturity Model A maturity model can be used to help develop the Future State Architecture and perform the
Gap Analysis.
13
Call Out
Developing a business case can show management the business imperative and value of adopting a particular
approach.
Components of a Business Case
Risks and
Derailers
Vendor
Evaluation
(optional)
Strategy and
Current State
Assessment
Executive
Summary
Implementation
Plan
Change Drivers
Cost and
Benefits
The financials show the overall
investment, break-even point
and Return on Investment
(ROI).
1 4 2 3 5 6 7
One of the critical components of the
business case is the Total Cost of
Ownership Model
14
Methodology
The assessment methodology can evaluate coverage across 7 Risk Management Domains and 9 Risk
Categories
Observations &
Recommendations
Assessment
Approach
Risk
Categories
Program
Domains
Strategic
Compliance /
Legal
Financial Stability
Contractual Reputation
Confidentiality
of Information
Transaction /
Operational
Integrity of
Data
Business Continuity
Thematic areas of opportunities to get to
the next level were identified
Over 15 processes expected to cover these
9 risks categories
Governance and Reporting
Risk Appetite
Supplier Classification
Supplier Risk Management Processes
Other Supplier Risk Management Enhancements
Control Objectives Assessment
Risk Processes and Scenarios
Governance Model and RACI Analysis
Audit Analysis
Interviews
Risk Management Processes
Strategy Governance
Policies,
Standards &
Procedures
Metrics and
Reporting
Tools and
Technology
Communication,
Training &
Awareness
Analysis was completed to determine
improvement opportunities
Standard domains in an Enterprise Risk
Management Program
15
List
Changes in technology will play a critical role in ensuring the organization maintains and extends its leadership
position over the next few years.
Disruptors
Disruptors are technologies that can create sustainable
positive disruption in IT capabilities, business operations and
sometimes even business models.
Enablers
Enablers are technologies in which investments have been
made, but which warrant another look. Enablers may be more
evolutionary than revolutionary.
Data Analytics (aka Big Data)
Geospatial Visualization
Digital Identities
Measured Innovation
Outside-in Architecture
Social Business
Gamification
Enterprise Mobility Unleashed
User Empowerment
Hyper-hybrid Cloud 5
4
2
3
1
5
4
2
3
1
16
General Timeline
2006 2011 2004 2010 2007 2009 2008 2005 2003
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX XXXXX XXXXX XXXXX XXXXX
XXXXX XXXXX XXXXX XXXXX XXXXX
XXXXX XXXXX XXXXX XXXXX XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
17
Timeline Gantt Chart
The best way to plan out a project is to look at the various activities visually. The best tool to do that is a simple
Gantt Chart. A Gantt Chart is a visual representation of the various project activities.
2014 2015 2016 2017
Q2 Q3 Q4 Q1 J J A M O D N S F M A J Q1-4 Q1/2 Q3/4
Wave 1
Develop Business Case
Develop Business Architecture Requirements
Development / Build
Design Technical Architecture
User Acceptance Testing Complete
Go-Live
System Integration Testing Complete
Parallel Test Complete
Post Implementation Review
Wave 3
Wave 4
Wave 2
Wave 1 Complete
Today
I
Introduction
II
Basic Slides
III
Executive
Summary
Templates
IV
Models and
Objects
V
Project
Management
Templates
VI
Frameworks
and
Methodologies
VII
7 Deck Rules
19
Executive Summary 1 (Situation, Complication, Resolution)
To support the future growth of our business, lower the cost of running the Clearing process, and more efficiently
manage our business we recommend the implementation of the Strategic Enhancement Program (StEP).
Internal meetings with customer and commerce development teams confirmed that current and new strategic initiatives,
and evolving business needs will continue to put increasing demands on the legacy system
Enhance customer experience, reduce time-to-market, improve controls and reduce costs
To support the future growth of our business, lower the cost of running Clearing, and more efficiently manage our
business and financial risks the program team recommends the implementation of the Strategic Enhancement Program
(StEP)
Since September 2007, we have completed the ProgramX Planning & Analysis (P&A) phase, updated the Total Cost of
Ownership (TCO) model, gathered internal & external customer views, and complied a list of key infrastructure projects
Based on the P&A results the new proposed platform meets our needs and could be implemented within an 18-24 month
period
Complication
Resolution
Situation
20
Executive Summary 2 (Business Case View)
To support the future growth of our business, lower the cost of running the Clearing process, and more efficiently
manage our business we recommend the implementation of the Strategic Enhancement Program (StEP).
Internal meetings with customer and commerce development teams confirmed that current and new strategic initiatives,
and evolving business needs will continue to put increasing demands on the legacy system
Enhance customer experience, reduce time-to-market, improve controls and reduce costs
Implementing and operating the new system is essentially cost neutral over a 10 year period
The 10 year tax effected NPV cost for implementing and operating new system is $XX.X M compared to operating the
legacy system is $XX.X M
Since Sep 2007, we have completed the ProgramX Planning & Analysis (P&A) phase, updated the Total Cost of
Ownership (TCO) model, gathered internal/external customer views, and complied a list of key infrastructure projects
Based on the P&A results the proposed new solution meets our needs and could be implemented within an 18-24 month
period
Business Imperative
Financial Summary
Program Status
To support the future growth of our business, lower the cost of running Clearing, and more efficiently manage our
business and financial risks the program team recommends the implementation of the Strategic Enhancement Program
(StEP)
Recommendation
21
Executive Summary 3 (Analysis Summary)
The cross functional team has determined that the UAT can be executed in the timeframe
with the resources allocated
A cross functional team performed the following analysis:
Detailed out the UAT Test Plan (activities, timeline and roles and responsibilities)
Determine headcount and their % allocation to UAT activities for each group
Performed test case/scenario analysis in the context of UAT activities, timeline and resource availability
Developed assessment framework to analyze feasibility of successfully executing the UAT phase
Analyzed results to come up with a set of conclusions
Overall, the team has determined that the UAT can be executed in the timeframe with the resources allocated
We have reached a common understanding that testing at the scenario level facilitates successful completion within 8 weeks
21 UAT testers compares favorable to 22 System Testers
The 8 week UAT test window has no contingency built-in (however, there is a 4 week overall program contingency)

Key Question: is the ProgramX program adequately resourced across key groups to support the UAT phase
Key Groups: Operations, QA, Development, Finance

Analysis
Conclusion To-Date
Background
As per original plan, the UAT resource plan will be updated based on the following:
Finalization of the UAT Game Plan which will detail out the planned activities
Agreement on the acceptance and exit criteria
Finalization of test cases/scenarios (currently test cases for 3 of 14 areas have been developed)
Next Steps
I
Introduction
II
Basic Slides
III
Executive
Summary
Templates
IV
Models and
Objects
V
Project
Management
Templates
VI
Frameworks
and
Methodologies
VII
7 Deck Rules
23
List 1 Simple
The ProgramX system has been operating in a near-full volume production mode for 3 months. The following
metrics illustrate some of the progress that has been achieved across various areas of the program.
1 Design for Growth
3 Design to Balance Flexibility and Integration
5 Design for Collaboration
Design for Efficiency and Centralized Strategic Guidance 2
4 Design for Robust Governance
6 Design for Clear Accountability
7 Design with Market and Customer Focus
24
List 2 Depicting Numbers
The mobile revolution is underway enterprises need to capitalize.
Tablets # of Tablets in the enterprise by 2016 (up from 13.6)
Mobility Ratio of all workers that have some level of mobility associated with their job
PC Shipment US PC Shipments is falling by 5%
Mobile app development projects will outnumber PC projects by 4 to 1 App Development
Smartphones # of Smartphones worldwide
Mobile Apps # of Apps downloaded per year
96.3 M
75%
-5%
4 x
1 Billion
200+ Billion
25
Chevrons 1 Timeline / Roadmap
The future roadmap is a culmination of the ERM enhancement assessment and the actionable initiatives from
the current state assessment and gap analysis.
Identified projects and
initiatives to address the
recommendations and
realize strategic benefits
Develop methodology for
prioritization and critical
path of the identified
projects, and define
resources and cost
implications with executive
inputs
Defined ERM program
objectives and
enhancements to evolve
the ERM Program to the
next level based on key
internal and regulatory
drivers
Analyzed the current
landscape and
composition, risk
categorization
methodology, and risk
management processes to
evaluate efficacy of the
current state and identified
gaps. Proposed
recommendations based
on gaps and improvement
areas identified, and
validated with key
stakeholders
Roadmap Development Recommendations Current State Assessment
Vision and Strategic Objectives
Definitions
Approach
26
Chevrons 2 Process
Supplier Risk Management is broken up into 3 parts: pre-contract, post-contract and close out. It has 9
components.
Event
Management
Risk
Evaluation
Controls Assessment
Sign Contract
Risk
Identification
Pre-contract
(Due Diligence)
Risk
Response
KRI
Monitoring
Close Out
27
Chevrons 3 Circular
Text
Text
Text
Text
Text
Text
Text Text
Text
Text
Text
Text
Text
Text
Text
28
Chevrons 4 Methodology
The core assessment will occur at the management process level. The management processes can be broken
up into three life-cycle phases, each with a distinct set of control objectives.
2. Contract
1. Pre-contract
(Due Diligence)
3. Post- Contract
(Execution)
1.9 Contingency Planning
1.3 Reputation/Ref Check
1.4 Financial Stability
1.5 Use of Sub-contractors
1.7 Information Security
1.8 Sanction Screening
1.1 Supplier Selection
1.6 Compliance practices
1.2 Supplier Classification
3.6 Periodic Contract Review
3.9 COB Assessment
3.4 Capacity Management
3.5 Compliance Management
3.3 Performance Management
Interim
reporting
Debt collection
and
remittance
Close
account
Start collection
action
Demand letter
and phone
calls
Legal
action (if
necessary)
Collection process
3.10 Contingency Plan Monitoring
3.8 Key News Event Monitoring
3.7 Bankruptcy Monitoring
3.2 BSRM Survey
3.1 Customer Complaint Management
2.4 NDA
2.2 Contracting Process
3
rd
Party Collection
Agency Selected
2.5 Local Legal/Regulations
2.7 Right to Audit
2.1 Standard Template
2.6 Policies
2.3 Performance / Reward
Collection Placed
29
Pyramid 1 Three Levels
How we are organized to
deliver
What we are delivering
Program View
How tech will delivery
Operational
Delivery
Business
Delivery
Technical
Delivery
30
Trust Commitment
Leading
Bank
Performance

Client Service
MISSION
VALUES
VISION
Leading
Bank
Pyramid 2 Multi-dimensional
31
Venn Diagrams
Text
Text Text
Text
Text Text
Text
Text Text
32
MISSION
VALUES
VISIONS
Shareholders Board
Customers Management
Society Employees
Partners Regulators
Circle 1 Basic
33
Circle 2 Callouts
Key to getting the certification is getting a deep understanding of the 9 Knowledge Areas and their corresponding
sub-process (a total of 42).
Time
Management
Quality
Management
Integration
Management
Scope
Management
Communications
Management
Risk Management
Cost Management
Human Resource
Management
Procurement
Management
Collect Requirements
Define Scope
Create WBS
Verify Scope
Control Scope
Define Activities
Sequence Activities
Estimate Activity Resources
Estimate Activity Durations
Develop Schedule
Control Schedule
Develop Project Charter
Develop Project Management Plan
Direct and Manage Project Execution
Monitor and Control Project Work
Perform Integrated Change Control
Close Project or Phase
Estimate Cost
Determine Budget
Control Costs
Plan Quality
Perform Quality Assurance
Perform Quality Control
Develop Human Resource Plan
Acquire Project Team
Develop Project Team
Manage Project Team
Identify Stakeholders
Plan Communication
Distribute Information
Manage Stakeholder
Expectations
Report Performance
Plan Risk Management
Identify Risks
Perform Qualitative Risk
Analysis
Perform Quantitative Risk
Analysis
Plan Risk Response
Monitor and Control Risks
Plan Procurements
Conduct Procurements
Administer Procurements
Close Procurements
3
5
2
4
1
6
8
7
9
34
Circle 3 Orbit
X X
X X
X
X
X
35
Circle 4 Cross-hair
Invoices
Detailed Reports
Company Division
Region
Product/
Service
Customer
36
Circle 5 Flow (4 steps)
Focus
Heading
[Summary text]
Heading
[Summary text]
Heading
[Summary text]
Heading
[Summary text]
37
Circle 5 Flow (5 steps)
Focus
Heading
[Summary text]
Heading
[Summary text]
Heading
[Summary text]
Heading
[Summary text]
Heading
[Summary text]
38
Honeycomb
Risk
Management
Major Lines
of Business
Audit &
Risk Review
Compliance
Control
Operations &
Technology
Finance
2
4
6
5
3
1
Risk
Management
39
Organizational Chart
Pillar_name_here Pillar_name_here Pillar_name_here
Name_here
Title_here
Name_here
Responsibility1
Responsibility1
Name_here
Title_here
Name_here
Responsibility1
Responsibility2
Name_here
Responsibility1
Responsibility2
Name_here
Responsibility1
Responsibility2
Name_here
Responsibility1
Responsibility2
Name_here
Responsibility1
Responsibility2
Name_here
Responsibility1
Responsibility2
Name_here
Responsibility1
Responsibility2
Name
Role
Name
Role
Name
Role
Name
Role
Name
Role
Name
Role
Name
Role
Name
Role
Name
Role
Name
Role
Name
Role
Name
Role
Name
Role
40
Cube 1 Basic
Business Requirements
Technical Requirements
Operational Requirements
Regulatory Requirements
O
p
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P
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E
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i
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I
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41
Virtualized Operating Platforms
Simplified App & DB Infrastructure
Operational
Support and
Control
Securities
Cash
Svc1
App2
Svc2
App1
Svc 3
Capacity Management & Workstream Coordination
Cube 2 Multi-layered
42
Cube 3 Callout
In order to reconcile each feeder, the teams are working across a number of challenging areas. Each must be
properly aligned in order for the new system to reconcile to legacy system.
Two change requests for filters are underway
to ensure the proper filtering
Filters
Matching Rules
Rates
Tiers
Customer setup
Changes are identified during review of daily
and weekly bill runs
Changes are made in PROD once weekly and
DR twice weekly
Tiers are being deep dived to ensure they are
working properly
Key items within customer setup method must
be maintained
An increase in incidents have occurred over
the last 3 weeks; delays in schedules limit the
review time of business analysts
Defects continue to be worked through,
(impact: untimely billing, duplicate or missed
files and rates/tiers issues)
D
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43
Architecture Option 1 Layered
Technology infrastructure is fragmented, inconsistent and costly to maintain
Systems are batch cycle oriented, disallowing real-time processing
Data is inconsistent and redundant, complicating production of enterprise wide risk and performance information
SWIFT
SWIFT
Gateway
FAX
Relaying
other products
Corporate
Tax
Other
Management and Corporate Reporting
Tender P&L
(T+3)

Risk and
Compliance
Public &
Regulatory
Books and Records
Corporate
GL
Manual
interventions &
redundant
processes built
to overcome
technology and
operational
shortcomings
Firm-wide
operational
information is
hard to
assemble
quickly and
accurately
Numerous
reconciliations
are required to
ensure data
integrity
Broker/Dealer Processing Environment
Front Office
Foreign Exchange
Money Market
Equity
Derivatives
Foreign Exchange
Equity
Fixed Income
Foreign Exchange
Derivatives
Fixed Income
Bank Adjustments
Reconciliations
Bank Adjustments
Reconciliations
Bank Adjustments
Reconciliations
Bank Adjustments
Reconciliations
Bank Adjustments
Reconciliations
Bank Adjustments
Reconciliations
Money Market
Derivatives
Corporate
Credit
T+3
T+2
T+1
T+3
T+2
T+1
T+3
T+2
T+1
T+3
T+2
T+1
T+3
T+2
T+1
Corporate
Risk
Corporate
Consolidations
Back Office
FX MM EQ Deriv FI
Reference Data
Indicatives
and Accounting
Product-Based Reference and
Operational Data
Front Office Reporting
Trader
Positions

Excel
Based

Business logic
imbedded into
product specific
systems
Redundant
reference data
sources stored
in product silos
Product
Specific
Processes &
Architectures
44
Architecture Option 2 Pillars
These services form the core
business engine
They are represented as running
throughout the infrastructure
providing successful transaction
management capabilities at all times
Application Integration
Services
Application Support
Services
System Management
Services
Security
Services
These services are represented as
the core of the infrastructure.
They interoperate with all of the
other services and provides system-
wide management to enable
coordination of resources, processes
and technology
These services are represented as
the core of the infrastructure.
They interoperate with all of the
other services and provides system-
wide management to enable
coordination of resources, processes
and technology
These services are the glue that
hold all other services together.
They provide seamless integration
and communication capabilities to
ensure reliable transaction
processing
Disaster Recovery Service
Capacity Management
Application Management
Database Management
Reporting
Queuing Service
Message Transformation
Service
Content Based Routing
Service
Protocol Transformation
Service
Transport Services
Workload Management
Event Management
Encryption Service
Authentication Service
Access Control Service
Authorization Service
Single Sign on
Roles & Profiles
Data Validation Service
Data Enrichment Service
Data Consolidation Service
Data Transformation
Service
Rules Management
Transaction Monitoring
Exception Reporting
Network Management
Output Management
45
Architecture Option 3 Tunnels
The architecture is illustrated as the pipe between processing nodes as represented in the functional model. It
is the sole conduit of transactional data across applications both internally and externally.
BACK OFFICE
Fixed Income
Equity
Derivatives
Foreign Exchange Derivatives
Foreign Exchange
Money Market
FRONT OFFICE
Equity
FI
FX
FX Deriv
PORTAL
Corporate
MM
Security Services
Application Integration Services
A
d
a
p
t
e
r
s

Application Support Services
System Management Services
A
d
a
p
t
e
r
s

Derivative
Books and Records
Corporate
GL
FX MM EQ Deriv FI
Reference Data
Indicatives
and Accounting
Product-Based Reference and
Operational Data
Corporate
Tax
Other
Management and Corporate Reporting
Tender P&L
(T+3)

Risk and
Compliance
Public &
Regulatory
Front Office Reporting
Trader
Positions

Excel
Based

Derivatives
Corporate
Consolidation
Corporate
Credit
Corporate
Risk
Equity
Fixed Income
Foreign Exchange Derivatives
Foreign Exchange
Money Market
46
Architecture Option 4 Multi-component
Real-time for Capital
Markets - SWIFT Offering
S
e
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v
i
c
e
s

Core Components
Optional
Optional
Future
Components
Optional
Optional Optional
Optional
Core Components
Core Components
Core Components
Message Transport
Message Transformation, Enrichment,
Routing & Error Handling
Legacy Adapters
Message Repository
S
e
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v
i
c
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s

S
e
r
v
i
c
e
s

B
u
s
i
n
e
s
s

A
n
a
l
y
s
i
s

&

P
r
o
j
e
c
t

M
a
n
a
g
e
m
e
n
t

T
e
c
h
n
i
c
a
l

S
o
l
u
t
i
o
n

D
e
l
i
v
e
r
y

T
e
c
h
n
i
c
a
l

I
n
f
r
a
s
t
r
u
c
t
u
r
e

S
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v
i
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e
s

47
Architecture Option 5 Multi-component and Layers
Market
- Customer
- Products
- Delivery
- Geographies
Common Platform
Securities
Reference Data
MARKET DATA
Analytics
Common Platform
Research
Advisor Workstation
Institutional (IIG / IFG)
CRM
Advisor Workstation
Personal Wealth Management
CRM
Advisor Workstation
International Private Bank
CRM
Account Opening
INVESTMENT ADVISORY
CompanyX Private Bank
CRM
Account Maintenance
Advisor Workstation
Order Entry
Common Platform
Order Routing
Order Execution
Web Access
Institutional (IIG / IFG)
Call Center
Client Reporting
Fees and Invoicing
Web Access
Personal Wealth Management
Call Center
Client Reporting
Fees and Invoicing
Web Access
International Private Bank
Call Center
Client Reporting
Fees and Invoicing
Web Access
CompanyX Private Bank
Call Center
Client Reporting
Fees and Invoicing
Clearing / Custody
Common Platform
Settlement
Trust Accounting (SEI)
Confirms
Brokerage Accounting
Compliance
ACCOUNTING / CUSTODY
Brokerage Statements
CLIENT SERVICE
ORDER PROCESSING PRODUCT SUPPORT
CompanyX
CRM
Account Maintenance
Advisor Workstation
Web Access
CompanyX
Call Center
Client Reporting
Client Data
Fees and Invoicing
I
Introduction
II
Basic Slides
III
Executive
Summary
Templates
IV
Models and
Objects
V
Project
Management
Templates
VI
Frameworks
and
Methodologies
VII
7 Deck Rules
49
Status Report 1
Overall project is green and on track. Planning, Scoping & Analysis and Build are 50% complete. Testing has
commenced and a significant number of defects have been found.
# Phase Status Progress Trend Status
I Planning Green
Vision workshop completed
Determine critical path Operating Model items
Develop high-level roadmap
Develop detailed 2013 plan
2
Scoping &
Analysis
Green
Selected MVPs for functional delivery to Operations
Drafted Conceptual To-Be process flows for MVP
Performed analysis to validate products supported by MorphApp for the NY Market
Translated the existing BRD into Process Flows
Drafted Requirements Catalog of existing requirements
3 Build Green Build activities are underway
4
Operational
Readiness
(Not started) Documentation of procedures and controls to start
5 Testing Amber
185 defects remain open
104 are under review, 52 are in the process of being
fixed and 29 are ready for retesting
KEY Even
Progress
Negative
Green Status Amber G R A No Update Not Started On Hold U N H
Positive
Red
Trend
Complete Not Started Initiated Closing In Progress
Complete C
50
Status Report 2
Current status is Green for Go Live on Nov 5. Phase 2 scheduled for Q2 2013.
Phase Status Progress Achievements Current Focus / Next Steps
Phase IV:
UAT
Amber
82% UAT Test Cases completed (75% passed)
58 defects remain open (18 are critical)
Total 122 defects have been opened till-date
Due to high number of defects UAT Sign off delayed to
Oct 15 (from Sep 28)
Complete UAT by October15
th

Phase V:
Parallel Plan
Green
Parallel Plan framework developed; details are being
documented
Risk have been identified (environment, reference data
etc) and action plans are being developed
Complete Parallel Plan by October 5
th

Finalize action plans to address risks
Parallel run to start Oct 16
th

Phase VI:
Go Live
Green
Go-Live and Migration plan being developed
Plan developed to communicate to external stakeholders
during the week of Oct 15
Complete Go-Live and Migration plan by Oct 12
th


Status Rating G
2015
A O D N S J J M F M A J J M F M A J
2014
Go Live Nov 5
Parallel Test Complete
Build
System Integration Testing
UAT
UAT Completed
Parallel Testing
Phase 2 Go Live
(TBD)
N
A

KEY
Green Amber G A
Not Started On Hold Complete N C
Red R
H
N
51
Gantt Chart
The best way to plan out a project is to look at the various activities visually. The best tool to do that is a simple
Gantt Chart. A Gantt Chart is a visual representation of the various project activities.
Q2 Q3 Q4 Q1 J J A M O D N S F M A J Q1-4 Q1/2 Q3/4
Today
Wave 1
Develop Business Case
Develop Business Architecture Requirements
Development / Build
Design Technical Architecture
User Acceptance Testing Complete
Go-Live
System Integration Testing Complete
Parallel Test Complete
Post Implementation Review
Wave 3
Wave 4
Wave 2
Wave 1 Complete
2014 2015 2016 2017
52
Gantt Chart Variations and Symbols
Various variations and symbols can be used to give more dimensions/depth to visual Gantt charts
2014 2015 2016 2017
Q2 Q3 Q4 Q1 J J A M O D N S F M A J Q1-4 Q1/2 Q3/4
Today
G
R
A
H
C
N
Sprints
99%
Green
Amber
Not Started
On Hold
Red
Complete
Build Complete
(In Stages)
18 Days
Delay

Additional Symbols
+
RAG Milestones
53
Objects Harvey Balls and Status
KEY
Red: Major delay
(3+ weeks delay)
Amber: Slight delay
(1-3 weeks delay)
Green: On track (0-1
week delay)
G
R
A
Complete
Significant Progress
Not Started
Identified
Underway
Complete
Closing
Not Started
Initiated
In Progress
Even
Progress
Negative
Green Status Amber G R A No Update Not Started On Hold U N H
Positive
Red
Trend
Complete Not Started Initiated Closing In Progress
Complete C
54
Dashboard Overall Project Summary
Status Trend # Key Areas
G
Strategic
Initiatives
1
G Category 4 4
G Category 3 3
G
Tactical
Initiatives
2
Initiative Status
Subcategory
Subcategory
Subcategory
Subcategory
Subcategory
Subcategory
Subcategory
Subcategory
Subcategory
Subcategory
Subcategory
Project Name Project Name G G
Project Name G
Project Name Project Name Project Name Project Name G G G H
Project Name
Project Name
Project Name
Project Name
Project Name
Project Name
Project Name
Project Name A
G
G
G
A G
A
G
Project Name Project Name Project Name Project Name G G G
Project Name Project Name Project Name A A A
Project Name FATCA Project Name
Project Name G
Project Name
Project Name Project Name
Project Name R
G
Project Name Project Name
G
G
Project Name G G Project Name G
Project Name
Project Name Project Name
Project Name
Project Name
Project Name
Project Name
Project Name A
G
P
G
G G
G
Project Name G
G
C G
Project Name Project Name G G G G
G
Project Name Project Name Project Name G G H
Amber (At risk)
R
A
Red (Off track)
Green (On track)
G
55
Risk/Issue Template
Type Title Description Impact Mitigation Strategy Impact Owner Date Raised
Target
Date

Red

Red

Amber

Amber

Green

Green
56
Actions Item Template
# Item Action Update Owner Date Opened Status
1 Day 2 Items Management requested that the program
team get firm commitment from the Global
Steering Committee that any Day 2 items (i.e.
items that are addressed in the interim by
manual work around) will be delivered and
would be outside the BAU budget demand
queue.
Manual Workaround are being tracked; once consolidated
will be taken up to the Global Steering Team
Day 2 Items being tracked by project teams to ensure
delivery
Jack June 7 Open
2 Production
Parallel
Review issues that resulted in the parallel
being turned off on 4-Jul
Post Mortem and Lessons learned completed on Jul-9
Jane July 5 Closed
57
Risk and Issues are communicated to management via the Dashboarding process.





Off-Track Template Risk / Issue
Additional Comments Overall Status Gantt / Roadmap
Slide 63
Slide 61
Slide 58 Slide 59
Post Implementation
Slide 60
Slide 62
Project Dashboarding
RAG Status
Achievements Current Focus / Next Steps
Tech Lead: Manager: Initiative Lead:
Scope
Current Status Summary
Initiative Background
Completion Date:
Objective
Benefits/ROI
Priority:
Financials
Risk
Dependency
58








2014 2015 2016 2017
Q2 Q3 Q4 Q1 J J A M O D N S F M A J Q1-4 Q1/2 Q3/4
Roadmap Gantt
RAG Status
Tech Lead: Manager: Initiative Lead:
KEY
Green Amber
G R A
Not Started On Hold Complete N H C
Red
59
Additional Comments
RAG Status
Tech Lead: Manager: Initiative Lead:
60

Risks / Issues
1
3
Severity # Risk / Issue Mitigation Strategy and Current Status Open Date
Target
Date
Owner Likelihood
2
4
6
5
RAG Status
Tech Lead: Manager: Initiative Lead:
Type
Close
Date
Change
61






RAG Status
Tech Lead: Manager: Initiative Lead:
Planned Objectives Gap / Delta Achieved Objectives
Post Implementation Review
62

RAG Status
Tech Lead: Manager: Initiative Lead:
Off-track Summary Get Well Plan Root Cause
Off Track
63

I
Introduction
II
Basic Slides
III
Executive
Summary
Templates
IV
Models and
Objects
V
Project
Management
Templates
VI
Frameworks
and
Methodologies
VII
7 Deck Rules
- 65 -
Slides
presented in
this section are
in no particular order
66
Business Transformation Approach
A complex business transformation could take multi-years. Not all phases depicted below are necessary.
2014 2015 2016 2017
Q2 Q3 Q4 Q1 J J A M O D N S F M A J Q1-4 Q1/2 Q3/4
Phase I: Strategy Assessment
Phase II: Business Case
and Roadmap
Phase III:
Vendor Selection
Phase IV:
Program
Implementation
I
II
III
IV
67
Business Transformation Approach Details
High-levels steps of the 4 phases are detailed below.
Document high-level
requirements; issue RFI
and RFP
Conduct Deep Dive
Assessments
Conduct reference calls &
customer visits
Performed independent
research
Performed due diligence
Develop methodology for
prioritization and critical
path of the identified
projects, and define
resources and cost
implications with
executive inputs
Sign agreements with
vendors (MSA, SOW etc)
Implement various
program and project
initiatives.

Define overall vision and
strategic objectives
Perform a strategy &
current state assessment
across People, Process
and Technology (identify
gaps)
Determine target state
based on strategic
objectives, change
drivers and leading
practices

Develop business case
and roadmap based on
project priorities, impact,
cost and resource
requirements
Phase IV:
Program Implementation
Phase III:
Vendor Selection
Phase II:
Business Case & Roadmap
Phase I:
Strategy Assessment
Approach
I II III IV
68
Approach
Strategy: Plan to Change
Mobile applications should be developed using a methodology tailored for mobile devices
Develop various mobile
products
Develop/modify services
Integrate mobile with
existing channels
System Testing
End to end testing
Launch various mobile
products
Mobile web
Mobile app
Blog
Social Media
Defined mobility goals
(revenue, efficiency,
customer experience
etc.)
Define business case and
prioritize the roadmap
Budget approval
Current state assessment
of Mobility infrastructure

Develop mobile use
cases
Process requirements
User interface
Data requirements
Develop overall solution
architecture
Develop wireframes
Prototype critical features
Develop launch approach
Deploy Develop Design Define I II III IV
69
Program Office Vision
Program Vision and Strategic Principles
The Program Management Office (PMO) vision and associated strategic objectives guide all change related
activities.
Manage and execute all change initiatives to help maintain a
leadership position in Trade Processing.
Strategic Objectives
Tier 1
Tier 2
2
1
3
Continuously improve efficiencies (initially by consolidating processes and systems)
Address existing and new regulatory requirements
Partner with key stakeholders to drive enhanced experience and new functionality
6
4
5
Enhance organizational capabilities
Ensure a structured and methodical approach is in place to manage change
Streamline processing business and technical architecture to increase time to market
70
Strategy Development Framework
Approach to Strategy Development A strategy can be developed based on a current state assessment in
conjunction with a set of external/internal inputs.
Strategy Development Current State Assessment
Risk Appetite
Business Constraints
Regulatory Drivers
Leading Practices
Technology Trends
Economic Environment
and Forecast
Geographical
Considerations
Mission, Values and
Vision
Strategic Objectives
Performance Measures
and Targets
Regulatory Drivers
Competitive Position
Scenario Analysis
Industry Direction
Financial Modeling and
Planning
Strategy Formulation
Customer Analysis
Market Analysis
Organizational Analysis

Process
People
Technology
Line of
Business
Securities
Services
Treasury
Services
Asset
Management
Commercial
Banking
Investment
Banking
Private
Banking
OUTPUTS INPUTS
71

Background
Regionally defined
processes with increased
automation
Functional/Product aligned
organization
Fragmented focus on
customer experience
Defined / Proactive
Globally defined and
integrated processes
Business and customer
aligned organization
Technology strategy is
developed in conjunction
with the business strategy
Engaged focus on customer
experience
Service / Advocate
Locally defined processes
Indigenously grown
organization and technology
Initial / Ad hoc
Utility mindset Leverage
Like Functions, Centers of
Excellence, Across LOBs
Process optimized across
the enterprise and globe to
support business innovation
Technology is a value
enabler and becomes a core
part of the client offering
Focus on customer
experience is embedded in
BAU
Agile business model with a
decreased time-to-market
Value / Leader
E
f
f
e
c
t
i
v
e
n
e
s
s

Future Today Past
The Finance Department has played a critical role over the years from both a revenue and business support perspective
We have evolved globally as a result of marketplace demands, mergers and acquisitions and changes in regulations
The existing platform has been developed in an unstructured manner, resulting in a fragmented lifecycle
Varying drivers have resulted in a compelling business case to strategically re-architect the platform
Maturity Model
72
Forresters Mobile Maturity Model
Background
Everyone needs a mobile strategy, but what is the right approach and what are the appropriate objectives and metrics? To help
product strategists and executives in charge of defining their companys mobile consumer approach build winning mobile strategies,
Forrester has created a mobile maturity model.
Developing a mature mobile consumer strategy will help firms more easily adapt to new consumer behavior and to anticipate the
disruption that mobile consumer technologies will increasingly create.

Experimenters have
launched different mobile
initiatives and have
experience with different
technologies but lack a clear
vision of what they want to
achieve via mobile
Defined / Proactive
Practitioners are companies
that have agreed on a
shared mobile vision and are
starting to implement it
successfully.
Usually companies that
understand the disruptive
potential of mobile, even
though they havent yet
dedicated significant
resources to it.
Service / Advocate
Novices are the least mature
mobile organizations
Initial / Ad hoc
Models excel at most of the
core mobile disciplines and
Models are often large firms
that have committed
significant resources to
mobile and have top-level
executives championing
mobile efforts.
Value / Leader
E
f
f
e
c
t
i
v
e
n
e
s
s

Future Today Past
73
Business Case
Developing a business case can show management the business imperative and value of adopting a particular
approach.
Components of a Business Case
Risks and
Derailers
Vendor
Evaluation
(optional)
Strategy and
Current State
Assessment
Executive
Summary
Implementation
Plan
Change Drivers
Cost and
Benefits
The financials show the overall
investment, break-even point
and Return on Investment
(ROI).
1 4 2 3 5 6 7
One of the critical components of the
business case is the Total Cost of
Ownership Model
74
Process Inputs
Process Analysis SIPOC
SIPOC Framework is a Six Sigma tool used for process analysis and can be used to perform a current statement
assessment.
Suppliers
S P C I O
Outputs Customers
Materials, resources
or data required to
execute the process
A structure ser of
activities that transform a
set of inputs into specified
outputs, providing value
to customers and
stakeholders
Products or services
that result from the
process
The recipients of the
process outputs
Provider of inputs to
the process
End Step 2 Step 3 Step 4 Step 1 Step X Start
Process is typically broken into 5-7 steps
75
SIPOC Analysis Example

File Interfaces contain batch detail transaction files extracted from the various source systems or are manually created utilizing the manual upload process. Interfaces are developed and
maintained by Technology

Definition
Process File Interfaces
1

Data Quality and Integrity:
Input data has missing data (in the interface file). The input data frequently has
invalid customer names, invalid dates, etc
Lack of source ownership/responsibility on the delivery of the interface files
Lack of automated tools to track file delivery from source systems
Lack of appropriate controls at source systems such as reconciliation processes
before files are transmitted
#
Business unit source applications
Source systems
Various exceptions reports
The output of the file interface is a non-standard flat file that is passed on as input
into the feeders
Output
Supplier
MorphApp Transaction files
There are 75 Interfaces with 20+ source feeding systems
Input
DepartmentX
Customer
In the majority of cases data extracted from source system is not filtered
Interfaces are owned by the source applications except for SystemY and SystemZ
The five largest sources for transaction data files are A, B, C, D and E
Interface data is extracted from various sources (e.g. Oracle Tables, flat files) with
no overall standardization
File interfaces have different delivery frequencies (e.g. daily, weekly, etc.)
Interfaces are automatically reconciled/validated for the following:
- Number of records
- Date and time stamp
- File duplication through audit history
File that do not meet variance are sent to feeders or an exception report is created
Process
2
Exception Management:
Internal control processes are not standardized and most of the exceptions are not
auto generated.
There are 36 exception reports (5are automated) in the report verification process
which are categorized by Job name and ID.
Manual reports are organized specifically by process and are performed on a daily
and weekly basis
High number of false positives impacts the time spent on reviewing the exception
reports

Standardization and Lack of Controls in the Environment:
Limited standardization of interface files
Interface logic is hard coded without proper documentation
Issue/Concern
Flexibility and Extensibility:
Quality of the interface file coding impacts performance and maintenance
Overuse of Generic Tables instead of control cards
Highly manual process of keying revenue for users
Reliance on hard coding and generic tables
3
4
76
Rationale for Platform Upgrade
Varying drivers have resulted in a compelling business case to strategically re-architect
the processing platform.
Aging
Systems
Customer
Experience
Time-to-
Market
Operational
Efficiency
Regulation
Industry
Leader
A more efficient process will improve the
experience of internal and external stakeholders.
Maintain and extend our
competitive, business and
operational leadership
A renewed focus on increasing
operational efficiency
Pressure to quickly deliver
functionality to support new
business, products and services
Compliance with regulation is
becoming complex
Deliver a solution which supports a
growing global business footprint
Globalization
Highly disjointed and has become
increasingly costly to maintain (30
years of accretive development)
Process
Driven
Setup
Move to a process driven
construction that is region agnostic
77
Derailers Key Implementation Risks
As with any large undertaking, we foresee a series of risks that can potentially derail various programs and
projects under the PMO umbrella.
4
1
5
Accelerated implementation approach
Budget
Key Dependencies on multiple external initiatives
8 Organizational strategy changes
3 New regulations or changes to existing ones
2 Resources constraints
9 Shift in priorities
7 Vendor dependencies for some program
78
Roadmap Development Approach
A structured and methodical approach was used to develop the roadmap.
Part II
Project Consolidation
Part I
Project Templates
Part III
Prioritization and
Dependency Analysis
Roadmap Development Approach
Request Project owners to
complete Project scoping
Consolidate project
information
Perform cost/benefit analysis
to determine prioritization
Identify initiative
interdependencies
Develop strategic roadmap
Part IV
Roadmap Development
79


X
N/A
Project
Description
Customer Experience
Security and Reliability
Value Add External
Customers
Enable Growth
Operational Efficiency
Value Add Internal
Customers
Information Accuracy
High / Medium / Low Project Size
X Project Name
Project Impact
Project Timing

Organization
High / Medium / Low
Project
Complexity
Q3 Q4 Q1 Q3 Q4 Q1
2012 2011
Q2 Q2
Project Template
Simple template to gather high-level project information.
Process X System X X
80
Roadmap Option 1
2013 2014 2015 2016
Q2 Q3 Q4 Q1 J J A M O D N S F M A J Q1-4 Q1/2 Q3/4
Develop Business Case
Select Vendor
Operating Model and
Business Architecture
Sprint 0 Complete
(Entry into Build)
Update Business Case
System Test Complete
Parallel Test
Complete
Decommission
Legacy System
Post Implementation
Review
Build Complete
(In Agile Sprints)
UAT Complete
Go Live
Scoping & Analysis
(Requirement Definition)
81
Roadmap Option 2
Oracle GL EMEA (Walker)
Management Reporting
TRS (GRS)
AEB (Hyperion Enterprise)
Multi-Dimensional (Product,
Customer)
Point of Departure
Point of Arrival
Pilot GL and Reporting Foundation
Oracle GL - Ledger Unit 021
AXP Consolidation Ledger
Oracle GL LA/C
(Walker)
Financial Accounting
Services Hub
External Reporting (FCH)
AXP (HFM)
AEB (Hyperion Enterprise)
Oracle GL J/APA
(Walker)
Oracle GL AEB
(FAS / non-FAS)
Charge and Credit
Cards
Financial Products and
Services
- Financial Institutions
(Worldwide)
Financial Products and
Services
- High Net-Worth
Affluent Individuals
(Outside US)
- Network Services
- Merchant Acquisition
- Merchant Processing
Travel Agency Services
Stored Value Products
Travel Related
Services
(TRS)
American Express
Bank
(AEB)
LA/C
Walker GL
J/APA
Walker GL
EMEA
Walker GL
US Canada
Walker GL
18
Installations
FAS GL
6 Installations
Non-FAS GL
Hyperion Enterprise
AEB Management
Reporting and
AEB External Reporting
Operational Data Store
HFM
Consolidation and
External Reporting
GRS
Management Allocations and
Management Reporting
Propriety Payment
Foundational Future State Design
Develop Strategic COA
Review Corporate & BU Processes
Project Governance and Structure
Oracle GL TRS US-
Canada (Walker)
82
Vendor Evaluation Approach
A full blown vendor evaluation could include up to 7 phases.
P
h
a
s
e
s

Due Diligence
Total Cost of
Ownership
Independent
Research
Ref. Calls &
Customer Visits
Deep Dive
Assessments
RFP RFI
W
e
i
g
h
t

K
e
y


A
c
t
i
v
i
t
i
e
s


Determine RFI
approach
Draft/issue RFI
Develop RFI
response
evaluation
criteria &
assessment
framework
Score RFI
responses
Create vendor
profiles for
short-listed
vendors
Determine RFP
approach
Document RFP
requirements
Draft/issue RFP
Develop RFP
response
evaluation
criteria and
assessment
framework
Score RFP
Create vendor
profiles for
short-listed
vendors
Develop
detailed deep
dive agenda &
schedule
Develop dive
assessment
framework and
scoring
mechanism
Conduct deep
dive analysis
Create vendor
deep dive
assessment
based on onside
reviews

Determine
business &
technology cost
components
Refine high-
level program
timeline
Document High-
level business
and technology
cost estimated
Developed TCO
model
Review
historical &
projected
financial data
provided by
companies or
available via
public filings
Model to
determine the
likelihood of
bankruptcy
Assess overall
financial
strength based
on financial data
Determine
customers to be
part of the
reference calls
and visits
Develop
assessment
framework and
scoring
mechanism
Conduct calls &
visits
Create Ref. Call
and Customer
assessment
deck
Identify relevant
Independent
Research
organizations
Schedule and
conduct
Independent
Research calls
Create
Independent
Research
assessment
decks

15 30 25 10 15 5 N/A
83
Vendor Evaluation Guiding Principles
A set of principles should be defined to guide the Customer Relationship Manager (CRM) vendor evaluation
process.
Select a flexible, functionally rich, and industry proven package that can support
our CRM vision and objectives
Work with a strategic partner that is proven in the CRM space
Any vendor/solution selected is expected to have a 80 to 85% fit
Limited customization of the CRM product will be undertaken to ensure that
inherent product functionality and flexibility is not degraded
Ensure ability to take ownership of product (not source code) and support with
minimal reliance on vendor post implementation
1
3
5
2
4
84
Option Analysis
Phase Option 1: Go West Option 2: Go East
Pro
Pro 1
Pro 2
Pro 3
Pro 1
Pro 2
Pro 3
Con
Con 1
Con 2
Con 3
Con 1
Con 2
Con 3
Conclusion ????
85
Program Implementation Organization
The Program System Implementation has 4 key roles: Program Office, Business Integrator, Systems Integrator
and Solution Delivery
System
Implementation
Systems
Integrator
Business
Integrator
Solution Delivery
Program
Office
Clearing Development
department with support from
other tech departments is
responsible for performing the
Systems Integrator role
The vendor will perform the
application configuration,
customization, module
integration, data migration
and documentation of the
vendor software products
The organization has
established a PMO staffed
by Consulting resources.
The Clearing department is
responsible for performing
the Business Integrator role
86
Program Implementation System Implementation
Program Management
Scope Management
Status Reports
Risk Management
Financial Management
Communication Management
Integrated Work Plan
Release Management
Data Migration
Overarching Integration
Go-Live Plan
Knowledge Transfer
UAT Plan
Technology Integration
Vendor Management
Business Integration
Functional Requirements
Vendor Management
Communication Plan
Review and QA Review and QA
Infrastructure
Security
Create approach and detailed plans
for activities such as Go-Live
planning, Data reconciliation, UAT
resource planning, Parameterization,
and UAT game plan with support from
various teams.

Work jointly with QA team to develop
detailed UAT and Parallel Testing
Plans.
Lead the overall Program
Management stream to monitor
program effectiveness, track progress,
identify program risks/issues, enable
creation of mitigation strategies,
manage change control activities and
report on program status.
Technical Requirements
Work jointly with Tech to address a variety of
technology implementation areas including
Infrastructure sizing, Data Migration, Environment
management, Security, Performance Testing and
Reporting
Data Migration
Parallel Testing Plan
Assist with Functional Requirements Management
and the execution of the Communication Plan
(internal/external customers). Manage ongoing data
migration activities. Review design documents to
determine tables/fields required for data migration.
Interface with the new system around:
RTM, Change Control, Contracts,
Requirement Facilitation, Issue
Escalation/Resolution and Communication
87
Business Strategy and the 3 Ps
To manage change the Program Management Office (PMO) is tasked with putting in a disciplined approach
towards: Portfolio Management, Program Management and Project Management.
A group of related projects managed
in a coordinated way to obtain
benefits and control not available
from managing them individually
Program Management
A project is a unique process
consisting of a set of coordinated and
controlled activities with start and
finish dates, undertaken to achieve
an objective conforming to specific
requirements including the
constraints of time, cost and
resources
Project Management
Corporate and Individual Business
unit strategies that define the
direction of the corporation
Business Strategy
The effective, centralized
management (including identifying,
prioritizing, authorizing and
controlling) of a collection of projects
or programs and other work that are
grouped together to meet strategic
business objectives. The projects or
programs of the portfolio may not
necessarily be interdependent or
directly related
Portfolio Management
Business Strategy
Portfolio Management
Program Management
Project Management
88
Requirements Traceability Matrix (RTM)
The RTM provides a framework to trace the requirements to the types of testing being performed to ensure
complete coverage. When properly implemented framework will help manage cost and quality.
Development
Unit Test
Specifications
Coding / Debugging Unit Testing
Business Requirements User Acceptance Testing
Technical Requirements
and Detailed Design
System and Integration
Testing
Analysis
User Acceptance Test Specifications
Design
System/Integration Test Specifications
Reconciliation
Requirements
Parallel Testing
Deployment
Parallel Test Specifications
89
Risk Management Framework Domains
A comprehensive Strategic Risk Management (SRM) Framework encompasses seven domains / core building
blocks.
Enterprise strategy that defines the SRM function role, SRM program objectives and establishes
going-forward strategic roadmap
SRM oversight structure with well defined roles and responsibilities to manage risks
pertinent to the risk management lifecycle
Policies, Standards and Procedures defining risk management methodology and
activities, risk tolerance levels and integration points between risk management
functions to ensure consistency and quality in program activities
Coordinated communication channels and programs to
educate stakeholders of responsibilities at all stages of
the risk management lifecycle.
Tools and technology that drive commonalities in risk management
process, and support data accuracy, availability and timeliness.
Due diligence and ongoing oversight that a company must exercise
throughout the risk management lifecycle

Metrics and reports that provide a comprehensive view of
enterprise risk to the relevant stakeholders across the
enterprise.
Strategy
Governance
Risk Management Processes*
Metrics and Reporting
Policies, Standards
and Procedures
Tools and Technology
Communication, Training and Awareness
90
Continuous Improvement Strategic Roadmap
Successful evolution of Strategic Risk Management (SRM) is achieved by: 1) continuously analyzing the current
state Program components 2) identifying enhancement opportunities 3) updating the strategic roadmap.
Drivers
Drivers such as a emerging industry
trends, new laws and regulations,
changing threat landscape and risk
events are used as input into a
current state analysis.


2. Analysis
of Results
3. Update Strategic Roadmap
Prioritize enhancement opportunities based
on benefit.
3. Update Strategic
Roadmap
1. Current
State Analysis
1. SRM Program Current State
Analysis
Analyze the current SRM Program, utilizing
industry drivers and the changing risk
landscape to identify potential enhancements
to the current state
2. Analysis of Results
Review potential enhancement
opportunities with SRM governing bodies and
additional key stakeholders
SRM Governance Model Strategic SRM Reporting
Risk Appetite Classification
Risk Management Processes Tools and Technology
Training and Awareness
SRM Program Components
91
Control Domain Control Domain Maturity Summary Observations
Strategy

The organization has adopted a risk-based approach for operational risk management. However, there
are additional requirements with respect to the operational classification and identification of critical
processes that should be addressed.
Governance

The organization has established governance, but there are certain items that should be addressed with
respect to the current distributed nature of the governance model and involvement of the Board of
Directors in operational risk management.
Policies,
Standards and
Procedures

The organization Policies, Standards and Procedures appear to satisfy regulatory expectations, except
for a procedure for managing exceptions which should be defined.
Risk
Management
Processes

The organization has established risk management processes and governance activities around
regulatory requirements, but there are certain deficiencies that should be addressed related to the
management of Strategic, Reputation, Transaction / Operational, Continuity of Business / Contingency
Planning risk.
Tools and
Technology

Consequently, current tools and technologies appear satisfactory from the regulatory standpoint.
Metrics and
Reporting

The organization quarterly issues reports focused on critical processes; but enhancements in reporting
with respect to the broader coverage of other critical processes, and the presentation of aggregate risk
views are recommended.
Communication,
Training and
Awareness

The organization has dedicated, trained staff in several groups / functions that manage critical
processes; however Risk Relationship Managers could benefit from having a more formal risk
management training, communication and awareness program in place.
Control Domain Maturity
CS R
CS R
CS R
CS
CS
CS R
CS R
CS
Current
state
R
Regulatory documented
standards and guidance
Non-existent: Not understood, not formalized, need is not recognized;
Ad hoc: Occasional, not consistent, not planned, disorganized;
Repeatable: Intuitive, not documented, occurs only when necessary;
Defined: Documented, predictable, evaluated occasionally, understood;
Measured: Well managed, formal, often automated, evaluated frequently;
Optimized: Continuous and effective, integrated, proactive, automated.
Maturity Levels
R
Optimized Non-existent Repeatable Defined Measured Ad Hoc
92
Risk Analysis Methodology
Risk Analysis Methodology maps risks to various assets. The process determines a threat-vulnerability pair and
the existing controls that mitigate the threat. The process then identifies the likelihood of the vulnerability being
exploited, which is used do determine the impact. Then the risk is identified.
Phase 4: Implementation
Phase 1: Risk Analysis
Phase 2: Remediation Option
Analysis
Phase 3: Cost Benefit Analysis
Regulation / Business Option
Asset
Remediation Options
Risk
Decision
Cost Benefit
93
Risk Analysis Methodology
Risk Analysis Methodology maps risks to various assets. The process determines a threat-vulnerability pair and
the existing controls that mitigate the threat. The process then identifies the likelihood of the vulnerability being
exploited, which is used do determine the impact. Then the risk is identified.
Threat Analysis
Vulnerability Analysis
Existing Controls Assessment
Likelihood Assessment
Risk Identification
Impact Assessment
Asset Assessment
Qualitative Impact
Financial Impact
Impact Rating
Vulnerability Identification
Vulnerability Exposure
Rating
Threat Identification
Classification of Threats
Threat Likelihood
Threat Exposure Rating
94
Market Volatility
High
High
Low
M
a
r
k
e
t

G
r
o
w
t
h

Recovery scenarios
Paradise Regained
Moderate regulation
Markets stabilize
Spending recovers
Credit conditions improve
Pricing flexibility returns
Beta Markets
Markets shun risk
Growth recovers slowly
Government grip tightens
Innovation retreats
Vanilla products dominate
Alpha Markets
Markets overheat
Inflation picks up
Market turbulence increases
Risks proliferate
Product life cycles shorten
Paradise Lost
Aggressive regulation
Zero pricing flexibility
Escalating defaults
Quality customers migrate
Disruption of the card model
95
Operational Performance /
Productivity
High
High
Low
C
o
s
t

E
f
f
i
c
i
e
n
c
y

Organization Design
Organization Design impacts both productivity and cost in a business.
Organization Design is impacting
productivity
Organization Design based on
unsustainable Business Model
Optimal Organization Design
Organization Design is eroding margins
96
Business Portfolio 3x3
C
o
m
p
e
t
i
t
i
v
e

P
o
s
i
t
i
o
n

L
o
w

M
e
d
i
u
m

H
i
g
h

Product/Market Attractiveness
Low Medium High
97
Emerging Market Growth Framework Archetypes
Four distinct archetypes exist for a company to grow revenue in emerging markets. Increasing capability levels
are required to unlock potential across each archetype.
Capability Sophistication & Scale
Participant
(Establish Presence)
Adaptor
(Enhance Competitiveness)
Creator
(Break Constraints)
Assimilator
(Leverage Innovations)
A
d
d
r
e
s
s
a
b
l
e

M
a
r
k
e
t

98
High Level Evaluation of Opportunities
The risk-value matrix provides a visual interpretation of projects across various business units and investment
volume to represent the projects mostly likely to create valuable for an appropriate risk level.
Risk
High
High
Low
V
a
l
u
e

Reassess
Pl an Now
Do Now
Circle size
represents
approximate
cost
99
Enterprise Cost Management Potential Initiatives
Cost Management Tradeoffs
Pain
Cost
Reduction
Opportunity
High
Medium
Low
Low Medium High
G
a
i
n

Align, prioritize and rationalize project portfolios
to increase strategic alignment and reduce
overall spend
Focuses on operational efficiency and cost
performance in a specific functional area e.g.
Sales Force, Finance or IT
Successful efforts address functional excellence
at the BU and/or enterprise level
A cost focus is either an integral part or added
on as a key objective to an already existing re-
engineering effort
The pursuit of business performance
improvement through rapid identification and
implementation of cost management solutions,
while simultaneously creating value
Successful efforts cover many functional areas
in an holistic, integrated program
Cost Management Example Efforts
1
2
3
1
2
3
Level 1 - Incremental
Short-term Portfolio
Rationalization
Level 2 -
Transformational
Functionally Focused
Cost management
Level 3 - Radical

Division/BU &
Enterprise Program
100
Options
Withdraw
Many short term marketing, product and
operational initiatives driven by a crisis
PMO
Exiting the business at least for
a while
Cutting lines, reducing risk
and expenses, waiting for
the storm to pass
Scramble
Innovate
Retrench
Stepping back and redefining business
and operating models to capitalize on
industry opportunities
101
World Map
102
United States Map
I
Introduction
II
Basic Slides
III
Executive
Summary
Templates
IV
Models and
Objects
V
Project
Management
Templates
VI
Frameworks
and
Methodologies
VII
7 Deck Rules
104
7 Deck Rules Overview
Follow 7 rules to make compelling presentations.
4
Understand
the Canvas
Keep it
Simple
Make it
Sing
Tell a
Story
Leverage
a Library
Solve a
Problem
Focus on
Composition
7 DECK RULES
I
V
II
III VI
VII
IV
Follow them all to
successfully convey your
message.
There are 7 Rules behind the
art and science of creating a
great presentations.
105
7 Deck Rules Benefits
Leverage a tested mechanism to produce excellent presentations in a short time-frame.
It inspires you with proven
problem solving
techniques.
It will save you time by
helping you quickly build
deliverables
7 deck rules provides a
methodical approach to
building deliverables
It helps structure your
ideas and information in
solution oriented way.
Bottom line:
It will help you convey your
message in a compelling
way.
It provides a template so
you can focus on the
content & not the format.
106
Rule I: Understand the Canvas
A typical slide has 6 distinct components.
The Headline is a short title
describing the slide
1
The Lead is a brief, sharp
statement summarizing the slide
2
The Body is the core part of the
slide (also known as the Storybox)
3
The Company Logo is displayed
for branding purposes
4
Page number in the middle of the
slide
5
The Department or Project Name
is displayed for branding purposes
6
107
Rule II: Keep it Simple
Simplicity is necessary to properly convey an idea.
Reducing complexity is in of itself complex and
takes a focused approach
Continuously Organize, Collect and Reduce
content as the Deck as the deck is being built
The goal of simplicity is to emphasize the
insightful and remove the distractful
Natural tension between simple and powerful,
finding the right balance is the goal
Powerful Simple
Eliminate
Reducing
Complexity
108
A great storyline has an
engaging beginning,
insightful content & a clear
conclusion
Its easier for the audience
to understand complex
concepts when explained
in a storyline
In combination, the Slide
Title and the Slide Lead will
summarize the entire deck
The storyboard process
converts brilliant, abstract
ideas into a coherent
storyline
Storyboarding is the
method for the creation of
a storyline of a deck
How these 5 point would be
storyboarded
Rule III: Tell a Story Storyboarding Depicted
Storyboarding is a simple method to keep the Deck focused and coherent.
2 5 1 4 3
109
Principle 2: Organization Principle 1: Process
Divide the problem into smaller discreet parts such that there is no
overlap, no gaps.
A methodical process should be used to find the right viable solution,
not just any solution.
Principle 3: Frameworks Principle 4: Focus
Problems can be complex typical with little effort a major part of the
problem can be solved. So focus on what is important.
Using formal frameworks to structure your analysis will help support the
conclusions reached.
Rule IV: Solve a Problem
A Deck should solve a problem. A methodical approach should
be taken when solving a problem.
110
Rule V: Focus on Composition
Follow these 6 principles to ensure writing is informative and direct.
Focus writing on the subject matter

Align writing with the deliverable objective
Use clear, concise and precise language

Utilize ethical and inoffensive Language
Use correct grammar, punctuation & spelling

Follow conventional rules
Use active voice (vs. passive voice)

Express ideas in positive terms

Distill your message (levels of details)

Using headings to label content
Group thoughts into clusters

Sequence thoughts logically
Principle 5: Leveling & Labeling Principle 6: Voice & Tone Principle 4: Structure
Principle 2: Language Principle 3: Substance Principle 1: Rules
111
All objects and models that can be used for visuals Work bench with basic objects that are frequently used
Set 2: Objects and Models Set 1: One Pager
Established frameworks and methodologies A standard one page executive summary template
Set 3: Executive Summary Set 4: Frameworks and Methodologies
Rule VI: Leverage a Library
Why re-invent the wheel when building deliverables? Have a library of slides handy and leverage.
112
Rule VII: Make it Sing
Function (information) and form (design) go hand in hand.
Accentuate with Visuals Choose your Colors Direct the Eyes
Colors have deep meaning.
Choose your colors as would choose your
words carefully.
Use creative diagrams to illustrate as
simply as possible concepts, models
and processes
The slide flow should be understood in a
flash. To achieve this, structure the slide
in a way so as to guide the viewer eyes.
Design Information
Humans are
visual creatures
Information
is power
Design your information so it can be
conveyed in an understandable power
Keep reading at:
decklaration.com/bullets-do-kill
114
Authors Message
This deck will save you time, ensure a consistent look-feel and help
you produce a more polished and powerful product.
The purpose of this slide deck is to help you create insightful presentations.

This timesaver has a large number of preformatted slides (40+) that can be
easily leveraged. It also has frameworks and methodologies (35+) that you
can utilize when faced with a challenging problem.

Why re-invent the wheel? Just come here. Leverage.

Or, cant think of the right way to depict a thought? Brain-cramp? Peruse the
content. This will get the creative juices going.

Happy decking!