University of St Andrews Financial Operating Procedure Management of Business Transformation Initiatives

Transcription

1 University of St Andrews Financial Operating Procedure Management of Business Transformation Initiatives Updated: October Introduction This procedure exists to ensure operational adherence with the University s Standing Financial Instructions by providing guidance to University staff in the management of Business Transformation initiatives. The University has defined Business Transformation as the high complexity business changes required to achieve our institutional objectives. These changes can vary from a project internal to one unit or school to an institution wide programme. Business Transformation could involve doing what we are currently doing more effectively and/or efficiently, doing what we are currently doing in a fundamentally different way, or changing the very essence of what we are currently doing. The purpose of this procedure is to ensure that all Business Transformation initiatives are governed, developed and delivered in a consistent and controlled manner following principles of programme and project management best practice. This procedure also enables the prioritisation of initiatives by ensuring there is consistent information available to support decision-making. In line with other Standing Financial Instructions, failure to adhere to this procedure could result in disciplinary action. Although this procedure is not mandatory for low complexity business change, the principles contained herein should be considered, tailored and applied. Business Transformation initiatives are those that meet any of the complexity criteria below: total costs charged to the initiative for the entire business transformation lifecycle, are over 25,000 (inc. VAT) This includes: o o non-pay costs such as consultant support, new equipment, software or other expenditure required for implementation pay related costs resulting from any change to the staffing complement on a temporary basis This does not include: o Recurring pay and non-pay costs within and beyond the initiative lifecycle. These should feature in the business case as appropriate, but would be articulated as recurring operational costs 1

2 total staff effort including initiative board, team and project manager/business analyst time is more than 100 days elapsed time from proposal to initiative completion is over 6 months major impacts on or major behaviour change from students and/or external customers major impacts on the work processes of the business area and/or any ripple effect on work processes of other business areas major impacts on the work processes of suppliers, partners or other external stakeholders major impacts on the organisational structure of the business area and/or any ripple effect on the organisational structure of other business areas more than five key stakeholders, with each representing a group of people either internal or external to the organisation limited knowledge of the technology, especially if not in house and not easily available software applications and business processes where limited knowledge or documentation exists IT platform infrastructure that is complex, including middleware, operating systems, systems software key systems with more than one interface, data exchange with external sources or data of a sensitive nature multiple suppliers (internal or external solution providers) working together to provide a solution high risk of major impact to reputation and/or downstream systems/processes if errors were found in the solution being implemented other initiatives with dependencies on the outputs from this initiative If you expect a seed idea will meet the criteria set out above, please submit a proposal to BTB as detailed on the Business Transformation web pages. If you are unsure, please ask for advice via the BTPO helpdesk service. If you expect your idea will not meet the criteria set out above, please use this FOP as guidance to engage the right expertise across the institution before reconsidering your initiative against the criteria at both outline and full business case. If your initiative meets the criteria set out above at either of these points, please submit your business case to BTB via the BTPO helpdesk service. Technology focused initiatives where no business change is required will not be considered Business Transformation initiatives and will instead be managed by IT Services within a local portfolio. 2

3 2. Governance The University's Business Transformation activities are governed and supported by three main structures, as illustrated in figure 0.1. The Business Transformation Portfolio (BTP), which is the current and upcoming Business Transformation initiatives required to help the University achieve its strategic objectives. The Business Transformation Board (BTB), which is the governance body responsible for making investment decisions and monitoring progress of all initiatives within the BTP. Further information is contained within the board s Terms of Reference, available on the Business Transformation webpages. The Business Transformation Portfolio Office (BTPO), which supports the BTP and BTB by providing a range of support, assurance and delivery related services. Figure 0.1: Business Transformation Business Transformation Portfolio Office Portfolio support Business Transformation Board Heading Business Transformation Portfolio Delivery support a Programme 1 b c a Programme 2 b c d e f Centre of expertise Programme 3 Programme 4 Delivery team (flexible) a d b c a d b e c In carrying out its remit, the BTB liaises with other decision making bodies as below: Principal s Office (PO) The Principal s Office is the main Executive Management Group for the University. It has supported the formation of the Business Transformation arrangements to ensure opportunities for improvement are considered and prioritised appropriately, and where then approved, to give an assurance that management of delivery is effective with appropriate lessons learned from the process. 3

4 For Business Transformation initiatives that include University policy changes within scope, PO will make the policy decision in relation to this element, on the understanding this decision could materially impact the business case of the wider Business Transformation initiative. For PO policy changes that require wider business change of a complex nature, a Business Transformation initiative may be required to encompass the additional elements in scope. In addition, the Principal s Office will act as the main assurance/consultation group where appropriate during the lifecycle of a Business Transformation initiative. Workforce Planning Group (WPG) For Business Transformation initiatives that include staff recruitment within the scope of the required operational changes, WPG will make the investment decision in relation to this element, on the understanding this decision could materially impact the business case of the wider Business Transformation initiative. For WPG decisions that require wider business change of a complex nature, a Business Transformation initiative may be required to encompass the additional elements in scope. In addition, any additional staffing required to deliver the project (e.g. backfill) will be recommended to WPG by BTB. Space and Asset Management Group (SAMG) For Business Transformation initiatives that include space/asset changes within scope of the required operational changes, SAMG will make the investment decision in relation to this element, on the understanding this decision could materially impact the business case of the wider Business Transformation initiative. For SAMG decisions that require wider business change of a complex nature, a Business Transformation initiative may be required to encompass the additional elements in scope. PARC BTPO will submit an annual report on portfolio progress to the University Planning and Resources Committee (PARC). It should also be noted that for schemes where additional investment (of 1m or more) is needed, approval of PARC will be required to proceed. The impact of such an approval on timelines should be considered as early as is practicable. Where additional investment of 5m or more is required consent of the University Court will also be required. Access to decision making by the Court will be via PARC. 4

5 3. Approvals BTB acts as a prioritisation point for all Business Transformation programmes and projects (as outlined in Section 1). This should ensure the University is able to focus resources on the delivery of initiatives that will best improve its performance. BTB has the authority to approve any initiative that can be delivered within the resources of the Schools and Units involved in the process and the resources of the BTPO. Additionally, BTB has the authority to approve any initiative that will require additional financial resources, subject to meeting authorized authority levels contained within the University Scheme of Delegation, to cover non-pay costs such as consultant support, new equipment, software or other expenditure, required for implementation or as ongoing investment to operate changed services. Separate approval routes will have to be followed where financial resources are for additional facilities (buildings) or additional staffing, as outlined in Section 2. BTB also has the authority to stop projects that which been taken forward by Schools or Units, operating within their own resources if they believe that such a project is working against established University strategy or is in itself inhibiting progress of higher priority projects. 5

6 4. Business Transformation Lifecycle The Business Transformation Lifecycle (figure 0.2) is the process used to control the delivery of all initiatives within the Business Transformation Portfolio (BTP) and validate their continued business justification at key points via a series of stage gates. The Business Transformation Lifecycle consists of five consecutive stages, the second stage having two phases, as illustrated below. Figure 0.2: Business Transformation Lifecycle Business Transformation Lifecycle Propose stage 1 Appraise stage 2 Define stage 3 Deliver stage 4 Benefits stage Gate 1: BT proposal Phase 1 Phase 2 1a Gate 1a: Mandate Gate 2: Outline business case & plan Gate 3: Full business case & plan Gate 4: End report Initial problem/ opportunity Full problem/ opportunity Outline solution Outline costs/ benefits/risks Plan for define Full problem/ opportunity Full solution Full costs/benefits/ risks Plan for deliver Resolved problem/ opportunity Transitioned solution Performance assessment and Plan for benefits More benefits realised Stakeholder engagement & communication Propose stage An initial statement of an improvement idea is pulled together as a business transformation proposal, focused in and around a business problem (issue or opportunity) which is perceived to exist. Appraise stage The appraise stage has two distinct phases. In the first phase, the proposal is used to guide further work, with senior stakeholders collaborating to analyse the idea from various perspectives and to agree an initial vision for how the University will be improved, alongside estimated costs, benefits and risks within the initiative mandate. The mandate is used to guide the second phase of work with key stakeholders and subject matter experts (business and technical) collaborating to articulate the high level solution requirements alongside expected costs, benefits and risks within the outline business case. Define stage A wider group of stakeholders and subject matter experts (business and technical) collaborate to articulate the detailed solution requirements alongside confirmed costs, benefits and risks within the full business case. 6

7 Deliver stage The plan to further design, build, test and transition the initiative's new/enhanced/reduced capabilities or services is now executed. Benefits stage The plan to embed change, achieve desired outcomes and realise expected benefits is now executed. 7

8 5. Business Transformation Organisational Model The organisational model below (figure 0.3) shows the governance structures and roles at portfolio, programme and project level alongside BTPO services. Figure 0.3: Business Transformation Organisational Model Business Transformation Portfolio Office Portfolio support Senior unit rep(s) Senior academic rep(s) Business Transformation Board Heading Head of BTPO BTB chair Portfolio analyst CIO Finance Director Sponsor User role role Facilitation role Programme Sponsor Delivery support Programme manager Programme board Change Champion BA Lead (s) Sponsor Sponsor Sponsor Centre of expertise Senior user board Senior supplier Senior user board Senior supplier Senior user board Senior supplier BA PM BA PM BA PM Delivery team (flexible) User User team User User team User User team User User User The following roles detail responsibilities for project delivery only. Roles and responsibilities for the Business Transformation Board are outlined within the board s Terms of Reference, available on the Business Transformation webpages ( Board The project board is responsible for the overall direction and management of the project and is accountable to BTB for the success of the project. board responsibilities include project assurance, reporting to BTB, approval of changes to scope within tolerances and the management of issue and risk escalations. Sponsor The Sponsor is ultimately responsible for the project, supported by the Senior User and Senior. The Sponsor s role is to ensure that the project is focused throughout its life on achieving its objectives and delivering a product that will achieve the forecasted benefits. The Sponsor has to ensure that the project gives value for money, ensuring a cost-conscious approach, balancing the demands of the business, user and supplier. The Board is not a democracy controlled by votes. The Sponsor is the ultimate decision maker and is supported in the decision-making by the Senior User and Senior. Throughout the project, the Sponsor is responsible for the Business Case and beyond project closure the Sponsor is 8

9 accountable for ensuring the forecasted benefits, which were the basis of project approval, have in fact been realised. Senior User The Senior User is responsible for specifying the needs of those who will use the project s products, for user liaison with the project management team and for monitoring the solution will meet those needs within the constraints of the Business Case in terms of quality, functionality and ease of use. There can be more than one Senior User. The role represents the interests of all those who will use the project s products (including operations and maintenance), those for whom the products will achieve an objective or those who will use the products to deliver benefits. The Senior User role commits user resources and monitors products against requirements. This role may require more than one person to cover all the user interests. For the sake of effectiveness, the role should not be split between too many people. The Senior User(s) is responsible for initiative benefits, from identification through to realisation and for ensuring the implementation and embedding of the new capabilities being delivered by the initiative. The Senior User is responsible for demonstrating to BTB that the forecasted benefits, which were the basis of project approval, have in fact been realised. This is likely to involve a commitment beyond the end of the life of the project. Senior The Senior represents the interests of those designing, developing, facilitating, procuring and implementing the project's products. This role is accountable for the quality of products delivered by the supplier(s) and is responsible for the technical integrity of the project. This role will include providing supplier resources to the project and ensuring that proposals for designing and developing the products are feasible and realistic. There may be more than one Senior representing multiple suppliers to the project. Each supplier may have more than one representative to encompass multiple specialisms for the project s products (or appropriate subject specialists called in when required). Team In addition to the formation of a project board, the project team will also include individuals with supporting specialisms in terms of business and technical expertise. Team members may be required to assume team manager responsibilities for a set of tasks delegated by the project manager or attend board meetings where appropriate. It is also possible that during certain stages or activities a user or supplier will become a board member (e.g. student representative for user testing, HR supplying support during recruitment). Due to the nature of business change, a project team member may be involved as a supplier and a user. When this occurs, projects should be cognisant of any capacity pressures or conflicts of interest that may result. Manager/Business Analyst The project manager and business analyst both play leadership roles - the project manager for leading the team and delivering the solution and the business analyst for ensuring the solution meets the business need and aligns with business and project objectives. These two roles, equally, are required for project success. For all business transformation projects, the above roles must be filled. Additionally the following rules/recommendations apply: the sponsor and project manager role must not be combined there should be no more than one sponsor or project manager project assurance cannot be carried out by the project manager or team manager 9

10 it is not recommended to combine the roles of senior user and senior supplier it is not recommended to combine the roles of senior user and project manager or business analyst if combining roles, consideration should be given to conflict of interest, responsibilities and capacity The preference is to have separate individuals working in business analyst and project manager roles to ensure specific skill sets, contingency, challenge and security are in place. Portfolio delivery resourcing decisions will be made by the BTB. 10

11 6. Key User Model The following model (figure 0.4) details key areas representing user interests to initiatives and lists the types of interests they represent. Users should join the project at board or team level as appropriate to the initiative and stage in the lifecycle. Figure 0.4: Key User Model Key user model To represent the interests of prospective/current/former students who will use the changed services or capabilities within engagement, learning or alumni activities Students Key users should join the project at board or team level as appropriate to the initiative or stage in lifecycle. Example users are as detailed. To represent the interests of academic staff who will use the changed services or capabilities within teaching and research activity Academic staff Sponsor To represent the interests of school support staff, both academics and administrators, who will use/maintain the changed services or capabilities to support teaching & learning and research activity School support staff board Senior To represent the interests of the University s executive who will use/ maintain the changed services or capabilities to achieve strategic objectives Principal s Office BA PM To represent the interests of unit support staff, who will use/ maintain the changed services or capabilities to support teaching and research activity and/or other support services Unit staff team To represent the interests of staff who will support and maintain the technical elements of the changed services or capabilities ITS To represent the interests of commercial customers who will use the changed services or capabilities within engagement activities Commercial customers 11

12 7. Key Model The following model (figure 0.5) details the key areas supplying services to initiatives and lists the types of support they provide. s should join the project at board or team level as appropriate to the initiative and stage in the lifecycle. Figure 0.5: Key Model Key supplier model Key suppliers should join the project at board or team level as appropriate to the initiative or stage in lifecycle. Example services are as detailed. ITS External/ Internal To provide expertise in relation to a commercial product or service as contractually agreed (external staff) To provide expertise in building solution elements (internal staff) To provide technical expertise in the data, applications and hardware changes required for the new operations being delivered To provide in-house application development services as required Sponsor HR To provide support in the recruitment of staff to deliver the initiative To provide HR expertise in the staffing changes required for the new operations being delivered Senior user board Corporate Comms To provide advice in project communication strategies and plans To provide expertise in relation to digital content standards To provide content development services as required BA PM Finance To provide info. regarding financial elements of business cases To provide expertise in the financial changes required for the new operations being delivered User Procurement To ensure value for money from non-pay expenditure To provide procurement expertise on areas including tendering, contract negotiation and contract management team User Information A & G To provide expertise in information assurance and security compliance within the context of the changes required for the new operations being delivered User CAPOD To provide expertise in the design and delivery of staff development activity both within the project and following as part of ongoing operations BTPO To provide PM and BA expertise in the design, development, facilitation and implementation of the business changes required for the new operations being delivered (only as senior supplier) 12

13 8. Business case The business case is the backbone of all business transformation initiatives. It explicitly documents an initiative s justification for investment built around a comparison of resources required and risk levels set against the benefit expected. Benefits could be revenue growth, cost reduction, risk reduction, improved service delivery, increased productivity or compliance. As well as providing justification for investing in an initiative in and of itself, including the recommendation of options contained within its scope, the business case also demonstrates why an initiative should be prioritised to receive investment ahead or instead of another. Within the Business Transformation Lifecycle the business case is developed through a series of stages, ensuring an initiative has continued business justification at key points. The business case is a critical management product throughout the lifecycle, both as a high-level guide for work but also as a living document to be updated and reconsidered in the event of any changes that materially impact ongoing justification. 13

14 9. Procedure (for projects) The following procedure details activities based on the Business Transformation Lifecycle and Business Transformation Organisational Model above for project delivery only. This is a high-level procedure and is augmented by a more detailed method, including a suite of project management templates and best practice guidelines/processes, alongside training for the various roles. Further information, including a glossary of terms, can be found on the Business Transformation webpages. Propose stage Overview Propose stage 1 Appraise stage 2 Define stage 3 Deliver stage 4 Benefits stage Phase 1 Phase 2 1a Gate 1: BT proposal An initial statement of an improvement idea is pulled together as a business transformation proposal, focused in and around a business problem (issue or opportunity) which is perceived to exist, alongside the anticipated benefits. Board Governance arrangements are light touch and simply exist between the proposer and senior manager who may or may not be the same person. At this stage, sponsorship activities are carried out by the senior manager and revolve around any wider stakeholder engagement required alongside the endorsement and presentation of the proposal to the BTB. No board is required at this stage. Business Analyst (BA) The initial analysis should be carried out by the proposer and/or senior manager and may not require significant stakeholder engagement. Activities should focus in on articulating the problem or opportunity being investigated. It is expected that at this stage we would have an idea around what we are trying to achieve but not how we are going to achieve it. If more in-depth analysis is available (i.e. internal audit) this should be referenced/drawn in to the proposal. Manager (PM) The initial management activities are carried out by the proposer and/or senior manager and simply revolve around the creation and submission of the proposal. BTPO Support BTPO support team provide guidance to proposer and/or senior manager in the compilation of the proposal and the wider Business Transformation Lifecycle. Stage gate 1 14

15 Gate 1 submissions requirement Business Transformation Proposal Business Transformation Portfolio Office Reviews quality of proposal and ensures sign off by endorser Business Transformation Board Assess the idea outlined in the submitted proposal and decide if it warrants further investment in the appraise stage, needs re-work or should stop Prioritise approved proposal Assign sponsor to approved proposal Business Transformation Portfolio Office Confirm start date, considering; o time constraints o operational readiness o business analyst and project manager availability and expertise Arrange sponsor training if required 15

16 Appraise stage (phase 1) Overview Propose stage 1 Appraise stage 2 Define stage 3 Deliver stage 4 Benefits stage Phase 1 Phase 2 1a Gate 1: BT proposal Gate 1a: Mandate The appraise stage has two distinct phases. In the first phase, the proposal is used to guide further work, with senior stakeholders collaborating to analyse the idea from various perspectives and to agree an initial vision for how the University will be improved, alongside estimated costs, risks and benefits within the initiative mandate. Board Governance arrangements continue to be informal, but now exist between the assigned project manager and the sponsor. The sponsor is responsible for the creation of the mandate, ensuring continued alignment with University strategy(ies). Business Analyst (BA) The business analyst s initial focus is on the validation of information obtained to date and clarification with key stakeholders over the state/issues of the current business activity(ies) and associated systems under review. Following this activity the BA will work with key user and supplier representatives (see supplier model) to identify the new/enhanced/reduced services or capabilities to be delivered along with the estimated benefits. The business analyst will also focus on articulating any options which may exist at this early stage, which for complex solutions may include running the initiative as a programme (see section 9). Manager (PM) The project manager s initial focus is on supporting the business analyst through co-facilitation and activity planning for the immediate work within appraise phase 1 and the forecasted activities within appraise phase 2. The PM supports the sponsor through the informal management of issues and risks, stakeholder engagement and in the creation of the mandate. The PM is responsible for settingup the initiative s document library and ensuring Business Transformation Portfolio access and document management standards are communicated. BTPO Support BTPO support team provide support to designated project managers and business analyst role holders in starting up the initiative. This includes tailoring advice and guidance, templates and processes, co-facilitated workshops and project documentation library set-up. Stage gate 1a Gate 1a submissions requirement Business transformation project mandate Plan for Appraise stage, phase 2 16

17 Business Transformation Portfolio Office Reviews quality of mandate and ensures sign off by sponsor Reviews appropriateness of sponsorship Ensures no significant change to objectives from that specified in the BT proposal Ensures any options known at this early stage are referred to BTB for an investment decision Business Transformation Board BTB assess the mandate in terms of business, technical and financial feasibility and decide if it warrants further investment in the Appraise stage phase 2, needs re-work or should stop Prioritise approved mandate Confirm sponsor is appropriate Approve additional resources required to take to Outline Business case, subject to approval where appropriate from Workforce Planning Group and/ or Space and Asset Management Group Release budget for next phase, if required Business Transformation Portfolio Office Confirm start date considering; o time constraints o operational readiness o business analyst and project manager availability and expertise Arrange sponsor training if required 17

18 Appraise stage (phase 2) Overview Propose stage 1 Appraise stage 2 Define stage 3 Deliver stage 4 Benefits stage Gate 1: BT proposal Phase 1 Phase 2 1a Gate 1a: Mandate Gate 2: Outline business case & plan The mandate is used to guide the second phase of work within the Appraise stage with key stakeholders and subject matter experts (business and technical) collaborating to articulate the high level solution requirements alongside expected costs, benefits and risks within the outline business case. Board Governance arrangements are developed with a guiding coalition being formed in the shape of a project board. The project board has the authority to direct the project and is accountable to the BTB for its success. During this stage the sponsor is ultimately responsible for establishing the project board, project governance and the outline business case. Business Analyst (BA) The business analyst s focus is now on working with user and supplier representatives (see supplier model) at both board and team level to define the main products to be delivered by the project, by analysing the as is and to be business activity across the following elements of business architecture: People - roles and job descriptions, skills and competencies, staff development, motivation, culture Organisation - management style, business values, strategy, structure Processes - value streams, core processes, procedures Information - data, content, policies, reporting Technology - software, hardware, applications, equipment, accommodation This will enable the BA to elicit and validate the high level requirements and in doing so capture the breadth of what is needed to create the services and capabilities desired. The BA should be cognisant of the whole business system under consideration, not only because changes to one element of architecture may have an impact on others, but also because the outcomes and benefits being targeted by the project may require more holistic change. The BA will articulate any outline solution options that may exist for meeting these requirements and the project s objectives, with solution prototyping being employed if appropriate. Options of do nothing, do something or do a lot will normally be defined, alongside the possible strategies (build, buy or re-use) for sourcing the solution elements. Manager (PM) The project manager continues to support the business analyst through co-facilitation for appraise stage phase 2 activities. The PM assists the sponsor in establishing the project board and team alongside agreeing and implementing more formal governance arrangements. 18

19 The PM validates/tailors the approach to project management and working closely with the BA and sponsor completes the required project documentation, including the outline business case and the plan for the Define stage. Throughout the stage the PM is responsible for providing the Board with regular updates in regards to progress against the planned activities. BTPO Support BTPO support team continue to provide support to the designated project manager and business analyst role holders in starting up the initiative. This includes tailoring advice and guidance, templates and processes, co-facilitated workshops and project documentation library set-up. Stage gate 2 Gate 2 submissions requirements Outline business case Plan for Define stage and outline plan for Deliver stage Business Transformation Portfolio Office Reviews quality of project documentation and ensures sign off by sponsor Reviews appropriateness of sponsorship Ensures no significant change to scope from that specified in the mandate Business Transformation Board BTB assess the Outline Business Case recommended option in terms of business, technical and financial feasibility and decide if it warrants further investment in the Define stage, needs re-work or should stop Prioritise approved Outline Business Case Confirm sponsorship is appropriate Agree resource allocation for Define stage activities Approve additional resources required to take to Full Business case, subject to approval where appropriate from Workforce Planning Group and/ or Space and Asset Management Group Release budget for next phase, if required BT Portfolio Office Confirm start date of Define stage considering: o time constraints o operational readiness o business analyst and project manager availability and expertise Arrange sponsor training if required 19

20 Define stage Overview Propose stage 1 Appraise stage 2 Define stage 3 Deliver stage 4 Benefits stage Gate 1: BT proposal Phase 1 Phase 2 1a Gate 1a: Mandate Gate 2: Outline business case & plan 20 Gate 3: Full business case & plan The work from the previous stage provides the basis for the next set of activities, with a wider group of stakeholders and subject matter experts (business and technical) collaborating to articulate the detailed solution requirements alongside established costs, benefits and risks within the full business case. Board Governance arrangements already developed in Appraise phase 2 are further established and built upon. Additional user and supplier representation should now be identified to join the project team and help ensure specialist input from both perspectives where appropriate. Supporting strategies and plans (e.g. stakeholder engagement and comms, benefits management, resource management, risk and issue management, etc.) should be agreed by the project board. During this stage the sponsor is ultimately responsible for developing more detailed project governance, leading the project board, escalations to the BTB where appropriate and the timely delivery of the full business case. Business Analyst (BA) The business analyst s focus is now to analyse the gaps between the as is and to be business system at a lower level of detail and in doing so establish the depth of what is needed. This work is the decomposition of high level requirements already catalogued during Appraise and will include both the validation and prioritisation of requirements. Again, the BA will pull on subject matter and solutions expertise from user and supplier representatives at board and team level respectively. These activities will enable the project to explore solution options, considering the business, technical and financial fit for each. For any solution elements to be procured, the University tendering process must be followed. It may be that some elements of architecture (e.g. policies, manual processes) can be more fully designed and prototyped during the Define stage, but those which are dependent on procurement and subsequent configuration/customisation of, for example, an information system, should be left until an appropriate point in the Deliver stage. Manager (PM) The PM continues to support the BA through co-facilitation for Define stage activities. The PM supports the project board, in particular the sponsor, providing regular updates in regards to the project team s progress against the plan. The Manager is responsible for the proactive management of any risks, issues, assumptions, dependencies or change requests within their delegated thresholds and for escalating to the Board for decisions where appropriate. Working closely with the BA, the PM supports the sponsor in writing the full business case and delivery plan. This includes presenting solution options and recommendations alongside established

21 timescales, costs, risks, and benefits for the project overall. The level of detail in the deliver plan may be limited by the level of engagement allowed with solution providers in line with procurement legislation. BTPO Support BTPO support team continue to provide support to the designated project manager and business analyst role holders as required. Stage gate 3 Gate 3 submissions requirements Full business case Plan for Deliver stage Business Transformation Portfolio Office Reviews quality of project documentation and ensures sign off by sponsor Reviews appropriateness of sponsorship Ensures no significant change to scope from that specified in the outline business case Business Transformation Board BTB assess the Full Business Case recommended option in terms of business, technical and financial feasibility and decide if it warrants further investment in the deliver stage, needs rework or should stop Prioritise approved Full Business Case Confirm sponsorship is appropriate Agree resource allocation for Deliver stage activities Approve additional resources required to take to project closure, subject to approval where appropriate from Workforce Planning Group and/ or Space and Asset Management Group. Release budget for next phase, where required Business Transformation Portfolio Office Confirm start date, considering; o time constraints o operational readiness o business analyst and project manager availability and expertise Arrange sponsor training if required 21

22 Deliver stage Overview Propose stage 1 Appraise stage 2 Define stage 3 Deliver stage 4 Benefits stage Gate 1: BT proposal Phase 1 Phase 2 1a Gate 1a: Mandate Gate 2: Outline business case & plan Gate 3: Full business case & plan Gate 4: End report The plan to further design, build, test and transition the initiative's new/enhanced/reduced capabilities or services is now executed. Board The main focus of the board is to make decisions as and when required in regards to progress against the Delivery plan. In doing so the project board will deal with any escalations from the Manager and refer up to the BTB for decisions out with their delegated remit. During this stage the board are accountable for assuring the quality of the delivered solution and that the business is preparing for and is ready for change during transition. The sponsor is ultimately responsible for ensuring the business case is kept under review and that justification for the project remains valid throughout the Deliver stage. Business Analyst (BA) The Business Analyst s focus is now on further elaborating on the detailed requirements and prototypes developed in the define stage. The BA will work with the solution development team to more fully design and develop a solution that meets the needs of the business, including the refinement of any products required to successfully operate and support the solution in live operation. The BA will coordinate/facilitate testing of all products to ensure all essential requirements have been met and signed off by the users and where applicable will help train the end users of the solution. Manager (PM) The Manager s focus is to manage the ongoing performance of the project and re-plan as required. The PM will continue to support the project board, in particular the sponsor, providing regular updates in regards to the project team s progress alongside the proactive management of any risks, issues, assumptions, dependencies or change requests. During this stage the PM will provide user representatives across the wider organisation with periodic views of the evolving solution they will eventually use, this will include both end users and those who provide support and maintenance. They will also manage the deployment of the solution (or increment of it) into the live business environment, following the necessary approvals from those stakeholders. The PM will work with user representatives within the project board and team to agree who will monitor the achievement of the expected outcomes and measure the associated benefits post project. In addition the PM will be responsible for reviewing overall project performance (including lessons learned) and for planning and executing project closure. 22

23 BTPO support BTPO support team continue to provide support to the designated project manager and business analyst role holders as required. Stage gate 4 Gate 4 submissions requirements End report, including lessons learned Plan for ongoing benefits realisation Business Transformation Portfolio Office Reviews quality of project documentation and ensures sign off by sponsor Business Transformation Board BTB assess the delivery stage activities and decide whether the initiative can close and proceed to the Benefits stage. Business Transformation Portfolio Office Assign ownership of benefits review and schedule review dates within the portfolio register 23

24 Benefits stage Overview Propose stage 1 Appraise stage 2 Define stage 3 Deliver stage 4 Benefits stage Gate 1: BT proposal Phase 1 Phase 2 1a Gate 1a: Mandate Gate 2: Outline business case & plan Gate 3: Full business case & plan Gate 4: End report The plan to embed change, achieve desired outcomes and realise expected benefits is now executed. These activities will ensure legacy working practices are removed and the new operating model is fully established. Sponsor and senior user(s) As the initiative has now formally closed, responsibility for Benefits stage activity sits with the business area(s) involved. The sponsor remains accountable, but should appoint an individual who will maintain the plan for activities beyond project delivery through to complete benefits realisation. This individual will have held a senior user role on the project board and be well versed in the solution being transitioned. Where the change is of a complex nature, this individual could form a team of colleagues to help take stakeholders through transition as smoothly as possible. As forecasted benefits are the basis of project approval, as balanced against cost and risk, activities to ensure they are actually achieved through use of the solution within business as usual is paramount. Dedicated capacity for carrying out this role may be required beyond the end of the project. Benefits reviews will be carried out at appropriate intervals for an agreed period of time and submitted to BTB for review. BTPO support BTPO support team provide guidance as required. Benefits review Submissions requirements Benefits report Business Transformation Portfolio Office Reviews quality of benefits report and ensures sign off by the sponsor Business Transformation Board BTB assess the realisation of benefits and whether further change may be required Business Transformation Portfolio Office Include benefits realised in annual portfolio report for PARC 24

25 10. Procedure (for programmes) For more complex initiatives, consisting of a number of related and inter-dependent projects, the University may decide a programme management approach is required. This approach, aligned with the Business Transformation Lifecycle and the project procedure outlined above, includes a number of additional arrangements specific to the running of a programme. BTPO will provide more detailed programme guidance directly into initiatives as appropriate. 25