Appendices*
T1 Vision Statement Template
Overview
Outline the corporate aspirations, setting out the business intent and benefits being sought.
Business context
Present overview of the state as it is now.
Strategic need
What are the business needs that the organization is aiming to achieve? The needs should be clear and specific, not generic aspirations.
Programme vision
How would the future look when the programme is delivered and the benefits achieved? This can be represented quantitatively and or qualitatively.
Constraints and limitations
Include known and foreseeable constraints or exclusions that may apply and any other outcome that will be necessary but not within the programme.
High-level programme scope
Provide an overview of the scope of the programme, outputs and deliverables and list of projects, if possible.
T2 Programme Mandate Template
Business need/vision statement
Use this section to set out the drivers that have created the need for this programme. This will include how the programme contributes to the organisation’s strategic objectives and fits with other initiatives.
Outcomes
Briefly articulate the outcomes that the programme is expected to achieve. Specify if there are any constraints (e.g. must be achieved by x).
Next steps
List the activities, time and resources required to complete the programme brief and programme delivery plan.
Sign-off
The programme mandate needs to be signed off by the sponsoring board who will commit the resources to develop the programme brief and programme delivery plan.
T3 Programme Brief Template
Programme vision
Describe a compelling picture of the future that this programme will enable. This should include the new and/or improved services and how they will look and feel and be experienced in the future.
Financial benefits
Describe the measurable improvements that the programme will achieve.
Non-financial benefits
Describe other benefits that will arise from this programme which are not easily measured.
Dis-benefits
Describe the negative results of undertaking this programme.
Programme activity and projects
Describe the project and programme activities identified so far that will be required to deliver the programme benefits, with estimates of what they will cost and how long it will take to complete the work.
Quick wins
State what business activities should start, be done differently or cease, in order to achieve quick wins.
Key risks and issues
List the potential threats (risks) and current issues to the benefits of the programme as they are currently understood. If there is one, use the corporate approach to risk and issues management. This section should be structured according to the corporate guidance.
Financial information
- Set out the estimated financial costs and benefits
- List all currently identified or potential sources of funding
- Describe how these figures in the tables below have been arrived at, outlining all your assumptions
Financial costs
Constraints
Describe any known constraints that apply to the programme.
Assumptions
Describe any assumptions made that underpin the justification for the programme.
Programme capability
Describe how the organisation will provide the necessary programme management resources and capability required to carry out the proposed programme successfully.
Sign-off
This section should be signed by a representative of the sponsoring group to confirm acceptance of the brief. Use the version and authority sign-off on the front page.
T4 Business Case Template
Contents
Appendices
Executive summary
An executive summary indicates what decision is being sought and what is the basis of the recommendation.
Strategic case
The strategic case summarises the vision and the strategic drivers for this investment, with particular reference to supporting strategies, programmes and plans.
The strategic context
Contents of this section may include the following:-
- Organisational overview
- Current business strategies
- Other organisational strategies
The case for change
The case for change summarise the business needs for this investment, with particular reference to existing difficulties and the need for service improvement. This should clearly set out the investment objectives and the related benefit aspirations. Contents may include these elements:-
- Existing arrangements
- Business needs
- Potential business scope and key operational requirements
- Investment objectives
- Main benefits criteria
- Main risks with controls proposed
- Constraints and dependencies
Economic case
The economic case should include the options appraised and the outcomes, including the critical success factors. Contents may include the following:-
- Critical success factors
- Long and short list of options
- Economic appraisal of options
- Estimated benefits
- Estimated costs
- Qualitative benefits appraisal
- Qualitative risk appraisal
- Sensitivity appraisal including scenario considerations
- Overall conclusion and recommendation
Commercial case
A commercial case may include the delivery model, risks and contingency options. Appropriate indices may be used to represent non-quantifiable risks and benefits. Contents may include the following:-
- Agreed outputs and deliverables
- Risk management mechanism including risk transfer arrangements
- Contractual arrangements (including risks and personnel issues)
- Delivery timescales
- Accountancy arrangements
Financial case
The financial case should demonstrate the affordability model, where the scheme requires the support and approval of external parties, and indicate that this is committed and forthcoming. A letter of support should be attached as an appendix. Contents of this section may include the following:-
- Impact on the organisation’s income and expenditure profile
- Funding and expenditure profile
- Affordability and balance sheet treatment
Management case
The management case should include the management arrangements, including delivery, benefits realisation and risk management. Contents of this section may include these elements:-
- Programme management arrangements
- Project management arrangements
- Use of specialist advisors and consultants
- Arrangements for change management
- Arrangements for benefits realisation
- Arrangements for transition management
- Arrangements for risk management
- Arrangements for delivery governance and review
- Contingency plans
T5 Monthly Programme Report Template
T6 Programme Highlight Report Template
Programme Detail
Explanation of RAG Status:
- Red – Overall slippage
- Amber – Slippage in current period
- Green – As planned
- Grey – Slippage previously reported, recoverable within overall programme
- Black – Project completed, on hold or cancelled
Note: The distinction between capital and revenue is only relevant to public sector programmes
T7 Benefits Profile Template
Prepare a benefits profile for each benefit. Benefits profiles describe benefits in more detail and record information to:
- Define the extent of the improvement that the benefit will deliver
- Ensure an appropriate person is accountable for delivery of the benefit
- Prioritise benefits
- Clarify the project outputs that are needed to enable the benefit
Sign-off
The benefits profiles should be signed-off by the PrgS (or BCM on their behalf) to confirm acceptance of the benefit profiles.
T8 Tracking Benefits: Benefits-Monitoring Template
T9 Programme Closure Report Template
Context
Use this section to outline the history of the programme, a few paragraphs that include why it was needed, when it started and the reason for its closure.
Delivery
Outline how much of the programme has been implemented. If not all of its components have been created, outline the reasons for the shortfall; if the partially changed state of the organisation requires any further activities, where does the responsibility for those activities now lie.
Benefits
Using the table below, for each benefit list the benefit measures that have been captured to show how well the business case has been achieved. The first three columns are copied from the benefit profile.
Handover
For any benefit that has yet to be fully realised, list who is the new owner of the benefit realisation activities and whether this responsibility has been formally handed over and accepted.
Risks
List all outstanding risks and where the ownership now lies.
Issues
List all outstanding issues and where the ownership now lies.
Projects (optional section for premature closure only)
Normally, all projects will be closed at the end of the programme. In the case of premature closure, there may be some projects that will still be valuable. List the existing projects that will still be useful to the organisation and where the new ownership now lies.
Lessons learned
Highlight key lessons learned (positive and negative) that should be passed to on-going and future programmes. Consider the following:
- Governance organisation
- Stakeholder engagement and communications
- Vision and blueprint creation and delivery
- Benefits realisation
- Business case management
- Financial management
- Resource management
- Programme risk and issue management
- Programme planning, monitoring and control
- Quality management
- Change control
Sign-off
The closure review needs to be signed off by the PrgS, who will report to the PrgSB in order to gain approval for the formal closure of the programme.
Use the version and authority sign-off on the front page.
Key Roles: Skills and Competencies
Programme manager
Main duties
- Lead and direct the programme management team comprising:
- Planning and control
- Cost
- Finance
- Risk and opportunity
- Other programme support as required from time to time such that the programme team successfully provide the required support, guidance, analysis and advice at project and programme level as required
- Building and maintaining strong relationships within the client organisation to ensure that the programme team integrates with the client organisation, addressing any cultural and procedural issues that may arise with integration in a positive and constructive manner
- Implementation of a structured programme management methodology including supporting processes, procedures and tools
- Analysis of information from projects at programme level, with outcome reflected in period reporting to the programme sponsor. Analysis to reflect sensitivity of information and to include recommendations for actions, covering cost, funding, risk and opportunity, time, quality, interdependency and so on
- Continually seek to identify and fulfil client requirements and meet them in innovative and structured ways that add value and increase the probability of success of the programme
- Positive promotion of the programme to all key stakeholders
Key competencies
Leading others
- Works across boundaries sharing information and matching resources to priorities
- Is a visible leader who inspires trust, actively uses teamwork to deliver objectives and takes responsibility for overcoming setbacks
- Communicates at all levels and with diverse groups and able to present complex information clearly
- Is honest and realistic providing clear direction, focusing on strategic outcomes.
Managing people and performance
- Communicate and agree on measurable objectives with teams and staff
- Manage change and continuous improvement dealing with resistance and conflict in a constructive way
Project and programme management
- Make cross-cutting connections between issues and departments
- Use communication strategies to present ideas in a clear and positive way
- Be aware of the wider political environment
- Analyse and use evidence
- Use evidence to evaluate projects and programmes
- Engage with relevant specialists to supply and evaluate all evidence
Financial management
- Ensure that agreed objectives are delivered on time and within budget
- Interpret trends and risks in financial management reports
- Understand the wider expenditure and financial decision-making environment
- Set targets to improve value achieved from resources
Key criteria
Key communicator recognises that the role of programme manager demands regular contact and negotiation with the team, clients, consultants, contractors and other stakeholders. Focus on customer satisfaction is paramount.
Essential skill is to be able to see the big picture; recognise the detail of projects and how they could contribute the success or otherwise of the programme.
Business skills include cost funding reconciliation reporting, HR management and leadership skills, budget information and control, including forecasting, payment processes and so on.
Strategy and planning
Project and programme management skills
- Implementation and monitoring adherence to programme management procedures
- Sound technical knowledge in a variety of disciplines involved in the delivery of the projects and programme
- Understanding of what is involved to identify and develop potential projects from feasibility through evaluation, culminating in the production of a business case, including investment appraisal and identification and implementation of most suitable procurement strategy for a portfolio of projects
- Proven, successful experience in the management of alliance or partnering working, co-locating a team within a client organisation
- Successfully coordinating activities including the ability to organise the workload of the team, balancing priorities and scheduling resources; able to deal with problems on own initiative and to make sound and timely decisions on a day-to-day basis
- Ensuring the co-ordination and identification of programme risks and management of risks through development and maintenance of relevant tools
Business change manager
Main duties
The business change manager (BCM) role is mainly benefits focused. The BCM is responsible, on behalf of the programme sponsor, for defining the benefits, assessing progress towards realisation and achieving measured improvements. The BCM role is associated mainly with programmes that tend to be more benefits focused than projects, although projects that deliver benefits in their own right may warrant the creation of a BCM role.
The BCM role must be the ‘business side' in order to bridge the programme and business operations. Where the programme affects a wide range of business operations, more than one BCM may be appointed, each with a specific area of the business to focus on.
The BCM is responsible for the following:
- Ensuring that the interests of the programme sponsor(s) are met by the programme
- Obtaining assurance for the sponsoring group/programme sponsor that the delivery of the new capability is compatible with the realisation of benefits
- Working with the programme manager to ensure that the work of the programme, including the scope of each project, covers the necessary aspects required to deliver the products or services that will lead to operational benefits
- Working with the programme manager to identify projects that will contribute to realising benefits and achieving outcomes
- Identifying, defining and tracking the benefits and outcomes required of the programme
- Ensuring that maximum improvements are made in the existing and new business operations as groups of projects deliver their products into operational use
- Leading the activities associated with benefits realisation and ensuring that continued accrual of benefits can be achieved and measured after the programme has been completed
- Establishing and implementing the mechanisms by which benefits can be delivered and measured
- Taking the lead on transition management, ensuring that business as usual is maintained during the transition and the changes are effectively integrated into the business
- Preparing the affected business areas for the transition to new ways of working
- Optimising the timing of the release of deliverables into the business operations
Key competencies
The individual appointed as BCM should be drawn from the relevant business areas wherever practicable. Their participation in the programme should be an integral part of their normal responsibilities to enable changes resulting from the programme to be firmly embedded in the organisation.
BCMs require detailed knowledge of the business environment and direct business experience. In particular, they need an understanding of the management structures, politics and culture of the organisation owning the programme. They need effective marketing and communication skills to sell the programme vision to staff at all levels of the business, and BCMs ideally should have some knowledge of relevant management and business change techniques such as business process modelling and re-engineering.
Benefits realisation manager
Main duties
The benefits realisation manager role is responsible for identifying, base-lining, profiling, planning, tracking and reporting the benefits. The role involves developing and then managing the processes and management systems needed to support and govern effective benefits enablement and realisation to ensure the programme meets its objectives and realises its target financial savings
The role is responsible for embedding and aligning the concept and principles of benefits realisation and contributes to a change in culture and behaviour across the programme in respect of benefits management and trains, educates and mentors, where appropriate, those staff directly involved in the delivery of business benefits.
- Develops and supports the benefits management strategy and ensure that it reflects the direction of travel within the business and continues to be fit for purpose
- Defines the benefit policies and procedures for the organisation
- Defines, evaluates, recommends, monitors and assures benefits derived from component projects and the overarching change portfolio across the whole investment life cycle
- Defines, manages and updates the organisation’s benefit map against investment outcomes, profiles, interdependencies and realisation plans
- Provides assurance that all selected component projects are aligned to the agreed benefits strategy and map and any impact identified
- Provides the cost-benefit analysis data of the component projects’ business cases and how these align to the portfolio benefits map
- Supports management's decision-making by analysing benefit options and predicting future costs
- Supports strategic business change by developing working practices that link benefits management into efficiency planning, performance measurement and ‘value for money’ delivery, ensuring benefit-led project prioritisation
- Monitors benefit realisation plans and benefit review schedules
- Ensures benefit owners are in place and the benefits are profiled, communicated, understood and being managed
- Analyses variances and initiates corrective actions with the benefit owners
- Reviews the impact on the organisational benefits of new projects and change requests
- Provides assurance to the organisation that the benefits are measurable, realistic and achievable and that the risks to the benefits are being effectively managed
- Expedites delivery of benefits by establishing and maintaining working relationships with sponsoring board, business change managers, project/programme managers and other key stakeholders to ensure the benefits are planned and realised
- Initiates benefit reviews to provide assurance of benefit realisation plans
- Is responsible for enhancing the organisational understanding and knowledge of benefits management
- Maintains industry standard professional and technical knowledge
- Prepares reports by collecting, analysing, and summarising information and trends as requested by the programme management office or other performance/governance bodies
- Monitors benefit trends and analysis methods from other organisations
- Attends relevant project and programme boards and departmental meetings to provide updates on benefits management and to provide practical advice to support delivery
- Identifies proactively business benefit opportunities by liaising with key organisational stakeholders and assists, offers advice and guidance to enable a systematic business benefits process to be established
- Monitors benefit realisation activity after component project delivery
- Reviews benefits realisation achievements and puts continuous improvement processes in place
- Identifies benefits within the various stages of the business case development
Key competencies
- Have training in benefits realisation management with 5 years plus experience in a relevant field
- Have recent financial accountancy experience
- Demonstrate experience with the development of benefits management strategies, techniques, processes and tools
- Demonstrate experience of cost-benefit analysis methods, benefit mapping and benefit-profiling tools
- Have proven record of stakeholder engagement and working directly with executive teams, programme sponsors and corporate finance
- Have recent experience of the development and implementation of management information processes and products related to benefits realisation
- Able to apply structured business improvement techniques to identify business benefits
- Have financial accountancy experience
- Able to understand the strategic aims and objectives of the organisation
- Demonstrate strong numerical and verbal critical reasoning ability
- Demonstrate strong financial accountancy skills in terms of defining and projecting future benefits and associated costs
- Able to analyse both qualitative and quantitative benefits information
- Possess a high degree of accuracy and attention to detail
- Demonstrate leadership of, and a positive approach to benefits management, demonstrating a willingness to challenge existing practises to support the organisation to continuously deliver benefits
- Able to mentor and coach project managers and other practitioners in the benefits management processes
- Demonstrate experience and competence in the use of MS Office applications (specifically Word, Excel and PowerPoint)
- Demonstrate a personal commitment to own professional development
- Able to recognise where processes are required and to develop and improve existing processes
Programme financial manager
Main duties
- The core responsibility of this role is the co-ordination, control and reporting of cost information related to the programme
- Client reporting requirements include working with project teams and finance to review delivery organisation information and then assemble individual project reports, including quality check; working with programme manager to compile overall programme report and quality check; ensure reports meet customer requirements, including analysis of costs at project and programme level, variance analysis, forecasts, cost plans, budgets requirements, third-party funding and so on and implement agreed performance indicators to monitor projects more effectively; in addition, ensure substantiation and audit trail is maintained
- Supervise other commercial resources that may be supplied by the programme office to ensure reporting requirements for all projects within the programme are met
- Interface with head of programme, programme managers and project management teams and manage cross-project dependencies from a high-level business perspective
- Implement structured programme management cost information gathering and reporting methodology, including supporting processes and procedures and tools
- Promote the programme to all key stakeholders
- Build and maintain strong relationships with senior colleagues within the client organisation
- Support project management teams to ensure successful project delivery
- Contribute with other programme managers for planning and control, cost and finance to ensure accuracy and uniformity of project reporting across the programme
- Assist in supporting interface with finance for affordability analysis across the programme and other corporate information exercises
- Contribute to the programme risk and opportunity review by identifying possible conflicts and synergies visible through commercial analysis
- Implement a structured programme management cost information gathering and reporting methodology, including supporting processes and procedures and tools
Key competencies
- Significant commercial and cost management experience with proven track record of cost planning, monitoring and control, applying tools, principles, skills and practices to major programme of work
- Knowledge of programme and project management methodologies and experience in tailoring generic approaches to practical business situations
- Effective interpersonal and communication skills, verbal as well as written
- Able to find ways of solving or pre-empting problems and flexibility to be able to react to change in a positive manner
Key criteria
- Estimating and/or reviewing capital cost estimates
- Identifying and/or reviewing of operating cost
- Evaluating different funding sources and making recommendations
- Managing cash flow (aligned with project schedule)
- Projecting revenue
- Assessing risks/opportunities and associated cost
- Evaluating procurement strategies and making recommendations
- Identifying programme level savings (supply chain, strategic purchases)
- Assessing indexation/inflation
- Managing and controlling cost including change control
- Implementing common CBS/WBS/OBS required for programme
- Assessing trends, sampling, measuring, benchmarking, whole life costing
- Providing business case analysis, project gateway reviews, lessons learned
Head of programme management office
Main duties
- Monitoring, independently reviewing, and reporting on the delivery of the programme
- Establishing robust programme delivery reporting across the domain using the existing system, reports and tools available or to set up new systems where necessary
- Establishing independent health check criteria on programmes that will provide an independent view of delivery successes, risks and issues
- Performing regular independent health check reviews on a material portion of the programme
- Setting up and running high-level independent health check meetings
- Updating the programme sponsor on overall programme delivery, identifying key delivery challenges, and proposing viable solutions to risks and issues in conjunction with programme managers
- Ensuring programme static data and ongoing delivery updates are accurately captured in clarity, useable for the appropriate audience, and beneficial for future planning and prioritisation exercises
- Managing the team of PMO resources
- To act as the trusted partner and adviser around programme delivery
Key competencies
- Have a technology background, including both programme/project management and application development experience
- Have management experience working within a change division
- Demonstrate an understanding of programme management and change practices
- Show a desire to provide independent, agnostic oversight on a large portfolio of programmes separate from the teams actually owning and delivery of the programmes
- Have technical development experience, an essential but not primary focus of the role
Key criteria
- Educated to degree level in technology or engineering from a university
- Experienced in a financial services institution desirable but not mandatory
- Able and willing to manage and control detailed metrics, risks, and issues related to technology programme delivery
- Experienced in using management information software application is desirable
- Experienced with corporate strategies and organisational structure, and business policies and procedures in order to provide senior leadership
Risk manager
Main duties
- Produce and manage the risk register
- Own and promote the risk management process as defined in the quality management system
- Produce and manage the risk register
- Advise project teams on ‘best practise’ project risk and opportunity methodology
- Conduct quantitative schedule risk analysis on the schedules
- Conduct quantitative cost risk analysis on the cost plans
- Assist project teams to manage project risks as part of the individual project risk registers
- Attend and participate in risk and opportunity management workshops where required by the project teams
Key competencies
Leading others
- To promote risk and opportunity management throughout the programme and projects teams
- To act as point of contact for all technical/specific risk and opportunity management related queries
- To produce programme risk and opportunity management process proposals and communicate
- To coordinate management of programme risk and opportunities register
Project and programme management
- To ensure risk management methodology is incorporated fully within programme and project management
- To offer advice and recommendations on risk plus opportunity management to project teams
- To understand how risk management fits into the overall project and programme lifecycle
Analysis and use of evidence
- To understand risk and opportunity products and processes to inform project and programme reports
- To understand programme implications of projects risks
Key criteria
- Project risk management skills
- Technical risk skills such as use of risk management software, risk modelling skills, risk analysis skills
- Understanding of project management lifecycle, planning and cost principles
- Workshop facilitation skills
- Presentation skills
- Report-writing skills
- Problem-solving skills
- Communication
- Process implementation management
Scheduling manager
Main duties
- To set up, maintain and use the master programme schedule and key milestones from the individual projects analysed at programme level to identify cross-project critical path, schedule risks, resource peaks/troughs and so on. This will involve detailed and regular communication with the project management teams to ensure that robust bottom-up information is flowing from the projects to enable programme level analysis
- To analyse potential problem areas – observations and recommendations for action will be required. Establish cost on cash flow and funding, commercial risks, cross-reference with risk for schedule risk analysis and so on
- To manage schedule control system (master schedule), conceived to serve as the management tool for planning, monitoring and controlling the design, procurement and construction of the individual projects and overall programme at a strategic level
- To achieve the programme goals through the development of a well-defined and realistic plan
- To provide a visual means of conveying the information contained in the plan to stakeholders
- To facilitate regular updating and monitoring of the programme
- To prepare a master schedule that contains all relevant time schedule information from the individual projects
- To ensure that the project teams update their current schedule with actual executed information and submit this each period. Review the submitted reports and compare with the master schedule. Assessments sheets will be produced four weekly
- To examine the period progress report from the delivery organisation project teams by the responsible project manager in conjunction with the relevant key personnel
- To update the master schedule on a monthly basis. The master schedule will form part of the periodic report to the programme board
- To undertake milestones trend analysis to identify all relevant project and programme milestones
- To prepare a cost-loaded programme in an agreed level to get qualified and schedule-interdependent information for the cash flow
- To connect the information for risk to the master programme
- To add to the general section of the master schedule to reflect key decision points and milestones
- To continue communication with project managers to remind them of standard and frequency of time schedule reporting
Key competencies
- General understanding of the interfaces and interdependencies between the projects/departments
- Qualities to lead people
- Highly effective interpersonal and communication skills
- Ability to find ways of solving or pre-empting problems
- Flexibility to be able to react to change in a positive manner; willingness to provide support in areas outside core role for the overall benefit of the programme management team
Key criteria
- Significant schedule management experience with proven track record of activity planning, monitoring and control applying tools, principles, skills and practices to major programme of work
- Knowledge and experience in the established tools from Microsoft and Primavera software
- Knowledge of programme and project management methodologies and experience of tailoring generic approaches to practical business situations
Cost manager
Main duties
- Check/validate applications for payment from delivery organisations with reference to numerical accuracy, allowable/disallowable costs, duplication, valuation against progress, valuation against elements of project
- Advise the project manager and assist with resolution of anomalies
- Assist finance with checking/validation of Invoicing from delivery organisations
- Review and confirm (as deemed appropriate) delivery organisations’ estimated costs, operational expenditure, revenues and forecasts
- Work with delivery organisations to increase levels of confidence in financial information being provided both on a periodic, annual and out-turn basis
- Act as ‘bridge’ to facilitate better reporting of commercial issues and their subsequent financial impact
- Review (and align) delivery organisations’ accruals methods
- Facilitate early intervention through speedy identification of issues affecting projects with major implications for project financing
- Identify early any issues relevant to current funding/budget availability and help provide clarity on impact of issues such as rollover or transfers on budget
- Deliver project cost information that is accurate, timely and reliable
- Ensure tight commercial, financial and business controls are in place
- Measure project performance against objectives, forecasts and budgets
- Assist in the clear presentation of project expenditure
- Prepare and analyse periodic cost reports at the programme level
- Identify process improvement opportunities
Key competencies
- Understand applications for payment and invoice process – to liaise with delivery organisations and project teams to ensure TS pay only for valid services or products and to ensure value for money
- Have experience in management accounting, including project reporting – to review and interrogate delivery organisations’ reports to TS to ensure accuracy, consistency and completeness
- Understand capital grant funding, RAB financing and other available funding options and the associated reporting requirements – to enable preparation of the TS affordability models
- Interface between financial and project/programme teams
Key criteria
- Have experience preparing project accounting information
- Have experience with contracting or project environment
- Be commercially aware, with strong analytical and communication skills
- Be adaptable and a motivated self-starter
- Have strong interpersonal skills with non-financial management
- Demonstrate planning, organisational and analytical skills
- Have high degree of computer literacy, including spreadsheet and MS office skills
The skills, competence and key criteria for the roles outline are for the guidance purposes only. The specific will vary depending on the individual requirements and context of each role and programme.
Programme Management Case Studies
Case Study 1 – Example of a Vision-Led Programme: London Olympics 2012
1 Introduction (organisation and programme)
London’s successful bid for the 2012 Olympic and Paralympic Games created the need for a major regeneration and construction programme to provide the venues and infrastructure needed to stage the Olympic Games.2 The programme of construction was extensive and technically and politically challenging. It was also up against a fixed deadline of the Opening Ceremony of the Games in July 2012. Turning the vision of the Olympic bid into the reality of roads, bridges and stadia was the job of the Olympic Delivery Authority (ODA), a new, publicly funded body established by an Act of Parliament in April 2006.
2 Programme description
2.1 Aim/objectives
Vision statement: “We will use the power of the Games to inspire change.”
Programme goal: “To host an inspirational, safe and inclusive Olympic Games and Paralympic Games and leave a sustainable legacy for London and the UK.”
Strategic objectives
- To stage an inspirational Olympic Games and Paralympic Games for the athletes, the Olympic and Paralympic family and the viewing public;
- To deliver the Olympic Park and all venues on time, within agreed budget and to specification, minimising the call on public funds and providing for a sustainable legacy;
- To maximise the economic, social, health and environmental benefits of the Games for the UK, particularly through regeneration and sustainable development in East London; and
- To achieve a sustained improvement in UK sport before, during and after the Games, in both elite performance – particularly in Olympic and Paralympic sports – and grassroots participation
2.2 Content, scope and scale
The programme scope, broadly, was to procure and deliver £6 billion of major construction works, comprising:
- The deconstruction and land remediation of an approximately 400 hectare site
- Planning and submission of approximately 950 individual planning applications
- The delivery of the infrastructure (20 km roads, 13 km tunnels, 26 bridges, new utilities ([gas, water, electricity, drainage and telecommunications])
- Delivery of 14 permanent and temporary sporting venues; 12,000 sqm broadcast centre and 29,000 sqm media centre (for commercial use as a legacy benefit)
- Delivery of the athlete’s village (converted to 2,800 homes as a legacy benefit)
- Creation of approximately 100 hectare of parklands, gardens and public open space
- Transport improvements including station and infrastructure works
The ODA budget was set at £8 bn in 2007 including a £2bn of contingency, with the overall delivery budget of approximately £9.298 bn.
2.3 Duration/time line
The timeline for the programme and the individual phases is summarised below:-
3 Programme organisation
3.1 Overall structure and relationships
Although delivery responsibility was cascaded down to project level, all key policies and processes were determined and implemented at a programme level. All projects followed a standard approach for governance, control and reporting mechanisms.
3.2 Roles of key participants and responsibilities
3.3 Key stakeholders
Responsibility for preparing and delivering the Olympic and Paralympic Games and their Legacy resides with the lead delivery stakeholders, namely LOCOG (London Organising Committee of the Olympic Games and Paralympic Games Ltd.), ODA (Olympic Delivery Authority), GLA (Greater London Authority), LDA (London Development Agency), BOA (British Olympic Association), BPA (British Paralympic Association), OPLC (Olympic Park Legacy Company), OSD (Olympic Safety and Security Directorate) and HMG (Her Majesty’s Government - GOE [Government Olympic Executive]).
4 Programme management process and practices
4.1 Key stages and management practices conducted in each stage
From the outset, ODA instituted processes and systems, meeting structures and delegations to ensure strategic direction, performance management and value for money. The delivery partner (a private sector consortium CLM comprising a partnership from the three parent companies of CH2M, Laing O’Rourke and Mace) was fully integrated into all aspects of governance and was appointed to be the ODA’s overall programme management partner, as well as have the responsibility of project manager for the major construction projects: this was preferred over the alternative approach of separating project and programme management, as it was judged that there were clear benefits of having a common programme and project manager and that the potential conflicts of interests could be managed by having ODA in an overall assurance role.
Delivery Partner (DP) was responsible for leading programme and project delivery review meetings; stakeholder meetings were also held on every project. For each priority theme, dedicated boards were formed to assure that at a programme level the priority themes were achieving the targets, and where shortfalls were forecast, appropriate measures were put in place to enable delivery.
There were several aspects to managing integration across the programme – these included dependency management, design management, physical integration and change management. Across all aspects of managing integration, the two key elements were issues identification and issues resolution; at project level these were managed within the project governance, and at programme level additional processes were required to manage cross-project interfaces to ensure that consequential impacts were identified and programme priorities applied in resolution.
Where escalation was required, this was assessed in context of the overall impact – both from delivery and consequential issues, a key element of managing this having been the integrated programme schedule. Decisions were prioritised and options assessed in the programme (as opposed to an individual project) context.
5 Benefits realisation
The majority of benefits generated by the ODA Programme delivering venues and infrastructure are to be realised after the transformation from Games format to legacy, through future sporting and regeneration uses. The management of the direct benefits obtained from hosting the London 2012 Games was a responsibility of LOCOG and HM Government (DCMS-GOE). The legacy benefits are to be delivered by other agencies, such as the Lea Valley Regional Park Authority (LVRPA) and the Olympic Park Legacy Company (OPLC).
The project business cases contain a summary of the anticipated benefits for each of the projects. At the close-out stage, ODA reported on any benefits achieved and identified owners from other stakeholder organisations for the realisation of future benefits. The process for transferring the benefits was managed by the GOE through the Evaluation Steering Group.
In addition to the benefits identified in individual business cases, London 2012 also appeared to have delivered a number of unintended benefits. These include benefits obtained through coordination exercises (particularly in context of organisations who normally would not work together), communication benefits (in terms of a variety of partnerships working together) and enhanced delivery capacity for participating organisations.
6 Lessons learned
A report by the Department for Culture, Media and Sport3 identified that the Games have enabled a number of lessons to be learned about how to maximise the benefits to the host country and city from the staging of mega-events. These include:
- Setting a clear legacy vision at the outset
- Political commitment
- Clear remit and accountability structures
- Engagement and participation of key stakeholders from the outset
- Adequate funding to support the objectives
- Ability to remain flexible and change plans
- Sustaining momentum and focus once the projects are finished
- Shared agenda and common understanding across the delivery organisation and key stakeholders
Case Study 2 – Example of an Emergent Programme: High Street Retail Store Re-branding
1 Introduction
Following the introduction of a new-generation design of display unitary and finishes for the retail floor space of a franchised high street retailer, a board level directive required that 100 stores of the group’s 550 store portfolio were to be re-branded by the end of that financial year – a period of just 5 months. The retail organisation had an existing, experienced in-house project management team structure but it was already committed to delivering existing projects. With relative low technological complexity, the challenge of this undertaking was the severely limited time for delivery, the number of projects to be executed and the organisational complexity created by the number of interested stakeholders. The successful solution was the adoption of programme management to provide centralised strategic direction and control mechanisms.
2 Programme description
2.1 Aims and objectives
Vision statement – To increase sales turnover by enhancing the attractiveness of the customer store experience.
Programme goal: To effectively re-brand 100 stores within a 5 month period.
Strategic objectives
- Allow the 100 store target to be completed in the given time
- Permit the projects to be ‘stand alone’ and not be part of the existing re-brand programme
- Ensure a seamless project delivery to every store involved – these were based in England, Scotland, Wales, Northern Ireland and the ROI
- Allow all necessary approvals to be given with minimum or no delay
- Allow drawings to be provided without impacting on the in-house architectural team
- Allow swift implementation of the works with approval of the stores
- Ensure minimal or no disruption to the trading stores
- Determine likely project durations for typical stores sizes (small, medium and large), so stores can be briefed regarding the anticipated in-house disruption
- Ensure all unitary take-offs were correct and deliveries were arranged for the most suitable time slots
- Ensure the required quality of workmanship was achieved and maintained with minimal supervision
- Meet all legislative requirements (health and safety etc.)
2.2 Content, scope and scale
The site works comprised the execution of the following activities at each of the 100 premises:
- Remove all existing wall-mounted displays
- Isolate any unwanted power supplies on the retail walls and fit blanking plates to the back-boxes
- Make good decoration to walls by removing old wall coverings, lining the walls and painting in a new colour finish – in many cases it was necessary to extend the area within the retail space beyond that on which the new displays were being installed
- Alter, where required, the demise lines of the carpet and vinyl tile floor finishes to suit the re-designed layout
- Unpack all new displays – these were manufactured and shipped from China, and as such the packaging comprised plywood crates, cardboard boxes and considerable volumes of polystyrene packaging
- Dispose of all unwanted materials. The old unitary itself would require at least a single skip to dispose of the waste, and the packaging for small- and medium-sized stores would require at least a further skip while large stores could need up to three additional skips. Where practical, the waste was removed from the site using the contractors’ own vehicles and taken either to their respective depots for sorting and recycling, or in some cases sent for separation and re-cycling to local waste disposal sites (NB: The unitary generally comprised of timber, metal and Perspex and could easily be separated)
- Install new design wall-mounted displays
- Dismantle and remove all island units (floor displays)
- Assemble and install new island units
- Re-position, where required, any lighting to ensure optimum lighting levels and make good any suspended ceilings
- Undertake a comprehensive clean of the retail area and unitary, so the store staff could re-merchandise the displays the following morning and recommence trading at the earliest opportunity
Prior to these works being implemented, an exercise was required to determine in which 100 stores the work could most effectively be carried out. In addition to the necessary statutory consents, there was an extensive range of internal approval processes, such as individual brand design sign-off on a store-by store basis, financial approvals, landlords’ consents and so on.
2.3 Duration
Within the overall 5 month period for completion of the works, typical timescales for individual projects were:
- Start: Two weeks lead-in from receiving all approvals
- Completion:
- Small store: 1 night
- Medium store: 1–2 nights (additional labour allowed a single night in some cases)
- Large store: 2 to 3 nights (the physical size of some stores outweighed the benefit of additional labour)
- Defect inspection: Within 3–4 months from practical completion (PC)
- Payment: 100% made 2 weeks from PC
3 Programme organisation
3.1 Overall Structure and relationships
Overall sponsorship and governance of the programme was provided at an executive level within the retailer’s organisation together with joint venture partners who supplied all funding for the works. While programme strategic direction, policies and processes was controlled at the programme level, actual implementation was delegated down to the project level. All projects followed a standard approach for governance, control and reporting mechanisms.
3.2 Roles of key participants and responsibilities
Key Stakeholders
- Main retailer (High Street Brand)
- Joint venture partners (JVPs) – Financial responsibility for all funding of projects on a store-by-store basis
- Retailer/JVP representatives:
- Programme manager – Overall responsibility for programme delivery
- Programme administrator (PMO) – Day-to-day co-ordination of programme and projects. Determining high, medium and low priority sites based on various factors (i.e. mall stores have no requirement for advertising consents, any stores known to have asbestos would require further investigation and store likely to be relocated in the next 12–14 months may not be worth progressing, etc)
- Business development managers – Business to JVP interface
- Design – Ensuring brand protection and practical operational design
- Property – Co-ordination with landlords’ agents for necessary approvals
- Compliance – Checking asbestos register and advising of at-risk sites
- Finance – Ensuring JVP funding is available for subsequent payment of all invoices
- Legal – drafting of power of attorney document for each project, and overall control of bespoke shopfitting contract with the appointed shopfitters
- Visual merchandising – Ensuring optimum display of products in each location
- Procurement – Forecasting of unitary and other goods for manufacturing
- Logistics – Co-ordinating purchase and delivery of all direct supply goods
- Business development project delivery team – Completion of 3 month defects inspections and compliance of ‘as built’ drawings issued by each contractor. Carried out on a regional basis
External Parties
- Shopfitting contractors (x3) – All onsite works
- Landlords’ agents – Approval of proposed works
- Signage manufacturer – Signage design, submission of advertising consents to appropriate local authorities, manufacture and installation of new signage
- Local authority – processing and approval of advertising consents
- Centre management teams – processing and approval of all works within shopping malls
- Unitary manufacturer – Manufacturing and shipping of all unitary from China to UK
- Logistics and distribution – Importing, shipping and site delivery of all unitary and free issue goods to store addresses
4 Programme management process and practices
In this case study the early stages of the programme life cycle relating to inception, initiation and definition had been developed at an executive level in the retailer’s organisation. At the end of Stage C the definition of what the programme needed to achieve and the expected benefits were passed to a newly appointed programme manager for implementation.
During a rapid review of potential delivery strategies, it was concluded the only realistic way of achieving the objectives within the required timescale was to adopt a programme management approach to provide centralised direction, control and monitoring of the 100 projects and to embrace a partnering arrangement with existing contractors who were given extended responsibilities and autonomy for project delivery. Contractors were given responsibility for confirming the store layout design, drawing production, site management and supervision, determining project duration and cost, self-snagging and agreeing sign-off with the store.
The process required little induction or training of either the approved contractors, designers or project teams as their historical knowledge and experience of working with the clients was extensive. However their delivery teams were clearly briefed on each aspect of the fit-out to eliminate any doubt as to how the finished product would look. Upon completion of the first two sites for each of the contractors, a quality control inspection was carried out with both the client’s lead project manager and contractor’s project manager and site supervisors present to ensure all parties understood the acceptable parameters with regard to the finishes and to discuss the general project delivery. To finalise the whole process, a joint meeting with all of the contractors was held upon completion of five stores each. The final agreed process was then passed over to the PMO who had responsibility to ensure this process was rolled out across all the 100 projects. The PMO monitored the progress of each project against this process and ensured any issues preventing contractors from proceeding were rapidly escalated to the programme manager for resolution.
5 Benefits realisation
The principal and expected benefits that were anticipated from adopting the programme management approach were:
- Speed of delivery
- Cost effectiveness – The project format offered notable savings due to the opportunity to negotiate with each shopfitter
The 100 projects were very cost effective, with minimum variations, and the overhead cost to the franchisees and the main group was minimal. The turnaround of the sites successfully met the board’s target of 100 stores by the required date, and as a result a further 150 stores were added to the programme.
No major dis-benefits were found. There were unintended benefits that resulted from the programme:
- The new retail appearance generated increased sales more than anticipated. This, along with the speed of delivery, increased store turnover dramatically and, in effect, brought the increase in turnover and profit earlier than a conventional project delivery would have done
6 Lessons learned
Implementation of this programme of works identified a number of factors that were considered important to the successful delivery of further similar programmes or projects:
- Providing open sharing of knowledge across the wider team
- Giving total delegation of tasks to capable individuals and teams
- Placing trust in those individuals to deliver
- Embracing a partnering ethos to implementation
- Establishing a strong client/supplier relationship
Case Study 3 – Example of an Emergent Programme: Highways England
1 Introduction
Highways England (prior to 2015 known as the Highways Agency) is the government body with responsibility for operating, maintaining and modernising the strategic road network in England; all motorways and major A roads totalling 4,300 miles and carrying a third of national traffic. In common with all public bodies, Highways England was required to obtain funding for new capital works by bidding to HM Treasury on a project by project basis with monies being released on an annualised basis. Although a 4 year rolling plan of schemes was put in place, the release of annual funding necessary to achieve this was not secure as often changing priorities of other categories of transport regularly caused peaks and troughs in availability of funds. This lack of certainty of funding created substantial inefficiencies in the delivery of new schemes.
Coinciding with the new coalition government beginning to instigate their austerity programme, Highways England had carried out a strategic business review of their delivery requirements and processes and on the basis of the findings approached HM Treasury with a unique proposal. They made an offer that if HM Treasury would allow them to adopt a programme approach and if they would guarantee availability of funds for this 5 year programme of 14 schemes without the restrictions of annualisation, Highways England would offer a 20% reduction to the cost of delivering the schemes.
The success of the adoption of programme management has resulted in HE promoting a ‘programmatic approach’ as an organisational culture that they apply to their capital delivery and change management activities.
2 Programme description
2.1 Aims and objectives
Programme goal: To undertake their 2010–2014 Delivery Plan with a 20% reduction in cost.
Highways England had a number of strategic objectives:
- To adopt a programme management approach to the 2010–2014 Delivery Plan to radically increase the effectiveness of delivery
- To achieve savings of at least 20% on the costs of delivery
- To establish a culture of collaboration and openness in delivery
2.2 Content, scope and scale
The programme comprised the delivery of 14 major roadway schemes of a total estimated cost of £1.78 billion.
2.3 Duration/time line
The overall programme of works was to complete within a 5 year period with flexibility in the order and timing of individual projects.
3 Programme organisation
3.1 Overall structure and relationships
On HM Treasury’s acceptance of their offer, HE established a programme management organisation headed by a programme director (at divisional director level within HE), with a delivery hub acting as a programme management office as the central driving force of programme delivery.
3.2 Roles of key participants and responsibilities
Key roles and participants comprised the following:
- Programme Director: overall responsibility for the successful delivery of the programme of 14 schemes and for securing funding from HM Treasury
- Programme Management Board: a steering group comprised of senior personnel from across the programme that provided overall direction to the programme
- Head of Delivery Hub: responsible for ensuring all policies and processes for the programme were defined and that individual projects proceeded in accordance with these
- Delivery Hub (PMO): team responsible for developing and maintaining policies and processes and for monitoring the development and performance of projects. Also provided an element of technical design for the projects
- Project Managers: prime responsibility for the delivery of one of the 14 individual projects
3.3 Key stakeholders
Key external stakeholders consisted of the following:
- Department of Transport: government ministry responsible for the country’s transport infrastructure
- HM Treasury: government funding agency
- Office of Rail and Road: government body that monitors HE’s management of the strategic road network
- Local Authorities/Police Forces: critical role in facilitating statutory and regulatory approvals and for communications regarding impact/disruptions caused by works.
- Trade Press/Notable Think Tanks (e.g. RAC Foundation): able to influence perceptions of project success
Key internal stakeholders consisted of the following:
- HE Operations: Body within HE with the responsibility for the ongoing traffic management and maintenance of the road network
- Programme Management Board: steering group for the programme
- Programme Management Delivery Structure: comprising programme director, head of delivery hub and members of the delivery hub
- Projects Delivery Structure: comprising HE project managers, PM consultants, design consultants, contractors and suppliers
- HE Technical/Engineering Functions: holders of design standards
- HE Strategic and Business Planning functions: advisers on HE’s strategic direction and policies
4 Programme management processes and procedures
4.1 Key stages
Whereas previously the methodology for carrying out schemes followed a traditional contractual arrangement of having two teams each with its own stage, one for design and one for construction, on adoption of the programme approach a new process involving three stages was introduced.
Product Development
This first stage was focused on understanding the general requirement and features of each scheme, highlighting potential risks and problems, identifying any potential negative/positive interfaces between schemes and consideration of any critical operational characteristics.
Key outputs from this stage were:
- setting of overall delivery objectives
- developing overall sequencing and target deadlines
- developing cost targets
- identifying efficiency savings
This stage highlighted the significant benefits gained from being able to discuss programme-wide requirements and demands with the supply chain rather than being restricted to only being able to consider each scheme independently.
Construction
To take full advantage of the ability to adopt a programme approach it was decided to promote an open, collaborative culture; a framework arrangement with four delivery partners was established for the construction works. Partners were invited to share in both the pain and the gain of the programme. Incentives were introduced whereby a third of any savings to the target cost on a project were retained by the contractor with the rest going into a programme pot. Contractors were therefore directly concerned with the financial performance of every project, leading to the sharing of experiences, techniques and methods.
Testing and commissioning
Historically incorporating a new scheme into the live road network was a separate process carried out by a separate unit within HE, HE Operations. Often during this process problems arose requiring additional modifications and causing delays to the opening of the new roadways. As a consequence of adopting programme management, this unit was included as part of the programme team and was able to review design proposals to eliminate or minimise any issues arising between the construction works and the final operational facility.
4.2 Process and practices
In addition to the three key programme management stages HE also operate on each project within a detailed project control framework (PCF) which consisted of sequential stages 1–7, each with a gateway approval. (For more detail see HE, The Project Control Framework Handbook).4
The Delivery Hub was responsible for maintaining 14 different functional areas across the programme:
- Risk
- Planning
- Efficiency and Lean Construction
- Health and Safety
- Commercial
- Financial
- Procurement/Category Management
- Visualisation
- Design Development and Departures
- Organisational Development
- Operations
- Communications
- Technology
- Governance/Document Control
Implementation and maintenance of these functional areas was carried out by a mix of HE internal staff, consultants and contractors. Aspects of particularly important programme functions are highlighted in the following sections.
Risk: Initial consideration of risk disclosed that in the past risk had been treated in different ways on projects. Adoption of common definitions and process uncovered a high degree of commonality of risk type so that strategies could be developed at the programme level, which could either eliminate or minimise risk or its impact. Considering risk at the programme level allowed for a more cost effective way of dealing with the likelihood of aggregate risk occurring. Overall, across the programme it was estimated that this resulted in between 2% and 6% saving on costs.
Planning: Production of an integrated high-level schedule for the programme provided a wider perspective which helped to introduce a level of flexibility into the sequencing of projects that would not have been possible on a project by project basis. This allowed for more efficient balancing of demand for plant, materials, technology and labour. Developing schedules in conjunction with the supply chain had the additional benefit of their being better informed about future requirements. Discussions on scheduling with open and transparent attitudes being displayed by all parties contributed to a 5% improvement in project durations with a saving on preliminary costs, which on civil engineering projects can represent as much as 45–50% of total cost.
Health and Safety: The inherent nature of highway construction, involving major items of plant, means the industry does have closely monitored health and safety processes. Consideration of health and safety at the programme level meant that good practice could be taken from some projects and shared on others. In addition, a detailed investigation by the Delivery Hub of a category of ‘near misses’ across projects led to significant reductions in reportable accidents. Overall the whole programme had a very low accident frequency rate.
Visualisation: The procedure, replicated practice from the car industry, of starting each week with a production meeting involving all parties was implemented. Similar to the methodology of the concept of The Last Planner, the meeting considered performance attained in the previous week and the activities to be undertaken in the coming week. This approach provided full transparency of the current issues, identified problems and blockers, and allowed collective solutions to be developed. Open display of performance measurement was provided by visibility boards in the Delivery Hub’s offices and gave a highly transparent view of performance against goals.
4.3 Collaboration
A critical aspect of HE’s adoption of programme management was the desire to introduce a behaviour of open, collaborative working with their supply chain. This was the focus of the organisational development function area and was achieved by entering into framework agreements with preferred suppliers and by involving them at an early stage in the programme, giving them full visibility of the programme’s performance and allowing them to contribute towards jointly developed solutions to problems.
A fuller description of HE’s approach to collaboration is contained in the Infrastructure Client Group paper ‘Improving Infrastructure Delivery: Alliancing Best Practice in Infrastructure Delivery’.5 This document describes an alliance as:
Successful alliancing is based on four aspects; the behaviours displayed by the individuals involved and their organisations need to be sympathetic to objectives of the programme, all parties needed to be highly integrated, there needs to be strong and committed leadership of the alliance and there are commercial rewards in place for delivery performance.
On this programme HE brought together an alliance comprising their internal programme management structure and delivery hub together with their external delivery partners.
5 Benefits realisation
The principal benefits that resulted from adopting the programme management approach were as follows:
- A significant saving in the costs of schemes providing better value to government expenditure
- Increased speed of delivery
- The development of an open, integrated team culture throughout HE’s supply chain
- Better utilisation of resources and reduction in project timescales leading to the savings in preliminary costs
- Engagement of a wider programme teaming a smoother transition from construction to operation
- Earlier engagement with the supply chain making them better informed and therefore more prepared for future demands
- A more effective treatment of risk exposure
- Better health and safety, with a dramatically improved accident frequency rate
No major dis-benefits were identified by HE. HM Treasury being impressed by HE’s achievement instructed the addition of six further schemes to the 2010–2014 Delivery Plan. Having demonstrated the benefits of using programme management to delivery 5 year plans of work, in agreement with HM Treasury, this has become the preferred method of delivery for capital works at HE
6 Lessons learned
Implementation of this programme of works identified a number of factors which were considered important to the successful delivery of further similar programmes or projects:
- Need for programme leaders to demonstrate their real commitment to openness and trust before this behaviour gets fully taken on board by other team members
- Acknowledging the different objectives of different parties/organisations
- Placing trust and empowerment in individuals/organisations to deliver
- Increased contribution and commitment of participants as a result of their early engagement
- Motivation created by high visibility of performance information
- Benefits from using framework arrangements with the supply chain
- Benefits to supply chain of being informed about future resource demands