chapter  3
68 Pages

The Model

Documented evidence that high-level benefits have been identified

2. Analyzes expected benefits Documented evidence enumerating the information the program’s stakeholders will receive

Example: The strategic directive

ELEMENT 1.2 A PLAN TO INITIATE THE PROGRAM IS PREPARED

PERFORMANCE CRITERIA TYPES OF EVIDENCE 1. Analyzes the key stakeholders and

strategy area to be addressed Stakeholder analysis document

2. Develops a high-level plan High-level plan showing the stimuli that triggered the program, the objectives, and how objectives align with those of the organization

3. Follows principles of organizational change management

Documents showing the organizational change approach to be used

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Follows the organization’s selection process for programs and projects

Documents showing-• the program’s strategic objectives

and benefits • that the objectives are best realized if a

program is established 2. Assesses organizational and business

strategies Documents showing the alignment of the

program with the organization’s strategic goals

3. Uses the strategic directive Example: The organization’s strategic objective for the concept, vision, and mission for the program

4. Describes high-level program goals to key stakeholders

Example: The strategic directive

ELEMENT 1.4 A HIGH-LEVEL BUSINESS CASE IS DEVELOPED FOR THE PROGRAM

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Develops a high-level business case Documents showing the needs, costs, benefits, feasibility, and justification for the program

2. Justifies the effort to assess the program’s costs and benefits

Example: The business case

3. Determines program parameters and constraints

Documents showing the parameters used to assess objectives and constraints for the program

Example: A list of parameters in the business case

4. Determines whether existing projects or other components will be part of the program

Example: The business case, noting expected program benefits

ELEMENT 1.5 A NUMBER OF STAGE GATES OR CHECK POINTS ARE IDENTIFIED WHEN PROGRAM STATUS (INCLUDING BENEFITS REALIZATION) WILL BE REVIEWED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Determines how governance will be practiced in the program

Document showing-• the existing governance structure in

the organization • a proposed program governance structure • how program reviews will be conducted as

part of a portfolio management process at the organizational level

2. Establishes check points to be used throughout the program

Document showing how stage gates will be used to ensure that the program is on track

3. Begins the program initiation phase Document showing that the program has passed the first stage gate and can be initiated

ELEMENT 2.1 A PROGRAM CHARTER IS PREPARED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Consolidates existing information about the program

Example: An initial draft of the program charter

2. Prepares the information to begin program charter

Example: The program charter; its approval will lead to the Set-Up phase in the life cycle

3. Identifies program constraints A documented list of constraints Example: The business case for the program

ELEMENT 2.2 THE PROGRAM VISION IS DOCUMENTED TO DESCRIBE THE END STATE AND ITS BENEFIT TO THE ORGANIZATION

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Determines the end state of the program Example: The program charter, which will include a description of the end state

2. Establishes a process to define the program’s benefits or expectations

Example: An enumeration of the high-level benefits to be achieved

3. Determines the program’s feasibility and ensures it is agreed to by key stakeholders

Example: The program charter, which includes benefits, objectives, and critical success factors to achieve

4. Determines how the program links to the organization’s ongoing work and strategic objectives

Documents showing-• the program’s objectives and how they link

to those of the organization’s strategic objectives in the charter

• the extent to which the program meets organizational needs

5. Uses the strategic directive Documents showing-• the organization’s concept, vision, and

mission for the program • high-level program goals

6. Prepares a “what if” analysis Documents showing results of a comparative advantage analysis to see if strategic directives and intended benefits might be achieved in other ways

ELEMENT 2.3 KEY PROGRAM DECISION MAKERS ARE IDENTIFIED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Identifies potential members of the Program Governance Board

Documents showing-• official appointment of the executive

sponsor • official appointment of the program

manager 2. Determines whether a preliminary pilot

program may be warranted Documents showing the decision regarding

the need for a pilot

1. Identifies all stakeholders noting the most important ones

Example: A list of key stakeholders and their probable attitudes toward the program

2. Prepares an initial strategy to manage each stakeholder

Documents showing an initial stakeholder management strategy that depicts potential expectations of probable stakeholders

3. Obtains formal acceptance of the program’s concept and approach from key stakeholders

Documented sign-off by key stakeholders showing that the program can achieve strategic benefits

4. Communicates the overall scope of the program

Examples include: The program roadmap The program communications plan

ELEMENT 2.5 HIGH-LEVEL RISKS TO THE PROGRAM ARE IDENTIFIED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Prepares a list of high-level known program risks and issues

Documents showing-• risks and issues known during initiation • the most critical risks whose impact may

significantly affect achievement of program objectives

Example: The business case for the program 2. Analyzes risks with any existing projects

that will be part of the program Example: The risk registers for these extant

projects 3. Analyzes strengths, weaknesses,

opportunities, and threats Documents showing the results of a

strengths, weaknesses, opportunities, and threats (SWOT) analysis

ELEMENT 2.6 CANDIDATE PROJECTS TO BE IN THE PROGRAM, AS WELL AS NON-PROJECT WORK, ARE IDENTIFIED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Determines criteria to group proposed or existing projects and non-project work into the program

Documents identifying candidate projects and other work to be included in the program, including the benefits from grouping them into a program

2. Develops an initial program roadmap Example: A roadmap at a high level describing the program’s intended direction

ELEMENT 2.7 AN INITIAL INFRASTRUCTURE FOR PROGRAM MANAGEMENT IS DETERMINED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Determines what type of infrastructure is required to manage the program

Documents showing the management infrastructure needed for a new organization to plan, develop, and manage the program

2. Provides a high-level view of the program’s infrastructure

Example: The program roadmap and program organization chart

1. Prepares an order-of-magnitude estimate of the time required to complete the program

Example: A high-level integrated schedule of all program components

ELEMENT 2.9 INITIAL ESTIMATES OF THE PROGRAM’S COST ARE PREPARED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Prepares an order-of-magnitude estimate of the budget requirements

Example: An initial cost estimate

2. Determines funding goals Documents showing-• the funding goals for the program

(e.g., business case updates or program financial framework)

• funding constraints 3. Prepares financial analyses Documents showing results of the identification

of sources and schedules of funding 4. Obtains funding to initiate the program Example: Funds available according to

identified program milestones Documents showing ways to obtain funds to

bridge the gap between paying out monies to develop and obtain the program benefits

5. Identifies the overall financial framework Documents showing-• the program’s financial framework to

show how it will be financed • updates to the business case • the type of program and the funding

structure 6. Prepares a cost/benefit analysis Documents showing the financial and

nonfinancial results to define benefits and compare them to costs

7. Establishes payment schedules Documents showing milestones when payments to contractors are required

8. Determines funding methods Documents showing factors that affect different methods of program funding

ELEMENT 2.10 KEY RESOURCES FOR PROGRAM MANAGEMENT ARE IDENTIFIED TO SET UP THE PROGRAM

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Prepares an order-of-magnitude estimate of needed resources

Example: A list of resources (personnel, materials, etc.) required for the initial stages of the program

2. Uses the strategic directive Documents showing the core resources and desired competencies required for the program team

3. Analyzes existing programs and other work under way in the organization in terms of available resources

Documents showing the results of analyses performed, noting where resources may be used for the program

1. Receives approval from the Program Governance Board to begin planning the program

Documents showing sign-offs of the charter’s approval; if not approved, document showing why the program was not approved

2. Receives authorization to use resources according to stated guidelines

Example: The charter providing guidelines as to how to use organizational resources

3. Assigns the program manager Documents showing the program manager’s roles and responsibilities, and delegation of authority to apply resources to the program

4. Revises the business case (as necessary) Example: Updated business case, to include any information regarding approval or disapproval of program charter

ELEMENT 3.1 A PROGRAM MANAGEMENT PLAN IS PREPARED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Develops a program management plan

Documents showing-• the plan for the program • key elements of program direction and management • how decisions are to be presented and recorded • how performance reports are prepared and

distributed 2. Prepares a Program Work

Breakdown Structure (PWBS) Example: A PWBS to formalize the program scope

3. Prepares a program master schedule for the program

Example: A schedule showing the timeline for milestones and deliverables

4. Determines how quality will be planned

Example: A quality management plan describing the program’s quality management approaches and activities in quality assurance and quality control

5. Prepares a program transition plan

Documents showing how to move from the development stage to an operational stage when the program has delivered its benefits

6. Integrates the subsidiary plans for the program

Documents showing the various plans that are part of the program management plan

ELEMENT 3.2 A BENEFITS REALIZATION PLAN IS PREPARED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Develops a benefits realization plan

Documents showing how the program’s benefits will be realized

Example: Metrics to use to track progress in benefits delivery

2. Assesses the program’s outputs/ deliverables

Documents showing links of the desired outputs/ deliverables to the planned program outcomes

3. Performs benefits analysis Documents showing those benefits that have been achieved on an ongoing basis

4. Identifies processes and resources needed for transition of program’s products and service to the organization

Example: The program transition plan

5. Describes the high-level requirements needed to deliver program benefits

Documents showing program requirements

6. Establishes program financial metrics

Documents showing how program benefits are measured and are linked to expenditures

1. Identifies and analyzes risk and plans program risk responses

Example: The risks listed in the scope statement Documents showing-

• risk categories • identification and analysis approaches used

Example: Program risk register 2. Defines risk profiles Documents showing-

• risk profiles of the organization to help manage program risks

• stakeholder tolerances for risk 3. Conducts risk planning

meetings Documents showing results and action items as these

meetings are held 4. Prepares a program risk

management plan Example: The program’s risk management plan

5. Identifies the interdependencies between component risks

Documents showing-• approaches that will be used to integrate program

component risks in the life cycle • factors that will provide an environment to support

risk management of program components 6. Establishes contingency

reserves for identified contingency plans

Documents showing the existence of reserves for risk responses noted in the risk register

7. Establishes a management reserve for risks that are unknown and unknowable

Documents showing the existence of a management reserve in the program’s budget

8. Establishes an issue escalation process

Documents showing methods to track issues and resolve them at the program level and intercomponent level, and when to escalate them to the sponsor or the Program Governance Board

ELEMENT 3.4 THE PROGRAM’S BUDGET IS DETERMINED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Prepares a budget for the program

Documents showing the initial program budget plus overhead

Examples include: Program budget baseline Payment schedules at the program level Payment schedules at the component level

2. Performs cash flow analysis Example: The program’s funding schedule 3. Determines funding goals Documents showing the program’s funding goals 4. Prepares a program financial

framework Documents showing-

• a plan to define and describe program funding flows

• the needed changes to the business case 5. Prepares a program financial plan Example: The program financial plan

7. Identifies program operational costs

Documents showing operational and infrastructure program costs

8. Determines the total cost of ownership

Documents showing use of value analysis or value engineering to minimize the total cost of ownership

9. Prepares a program cost estimate

Example: An overall cost estimate for the total program

ELEMENT 3.5 DEPENDENCIES, CONSTRAINTS, AND ASSUMPTIONS ARE DOCUMENTED PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Identifies assumptions and constraints

Example: Program assumptions and constraints are included in the scope statement

2. Identifies the program’s boundaries

Example: Boundaries are defined in the scope statement

3. Performs capacity planning Documents showing resource availability and limitations

Example: A program resource plan 4. Determines schedule constraints Documents showing the program’s schedule constraints

in the program master schedule Example: Component milestones to indicate internal

program dependencies 5. Determines communications

constraints and assumptions Documents showing constraints and assumptions in

communications planning 6. Determines funding constraints Documents showing the funding constraints affecting

the program

ELEMENT 3.6 A STRATEGY TO MANAGE THE PROGRAM AND ITS COMPONENTS IS AGREED UPON AND DOCUMENTED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Prepares a process for customer acceptance reviews for each deliverable

Examples include: Relevant testing and inspection techniques and the

results of such reviews Ways to improve deliverables to meet requirements

2. Prepares a strategy to mitigate customer dissatisfaction

Documents showing an approach to assess customer acceptance issues early in the process

3. Uses design reviews to ensure compliance to best practices

Documents showing the results of various design reviews held during the program

4. Decomposes high-level program requirements for components

Example: Component requirements documents

5. Identifies relationships among components

Documents showing the structure of the program’s components

Example: A program architecture baseline 6. Uses the PWBS for control and

communication with managers of component projects

Documents showing the WBS of program components Example: The PWBS

8. Prepares a plan to administer contracts

Example: The contract/vendor management plan

9. Prepares criteria for component initiation

Documents showing component initiation criteria

ELEMENT 3.7 NECESSARY FEASIBILITY STUDIES ARE CONDUCTED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Assesses market environmental factors

Documents showing-• environmental factors affecting the program • factors that could affect procurements • environmental factors that may lead to significant

financial impacts on the original business case • financing options for contractors and

subcontractors 2. Conducts benchmarking to

generate ideas for improvement and provide certain measurement criteria for performance

Documents benchmarking studies

ELEMENT 3.8 A ROADMAP OR ARCHITECTURE SHOWING THE INTERRELATIONSHIPS AMONG THE COMPONENT PROJECTS AND NON-PROJECT WORK IN THE PROGRAM IS PREPARED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Describes program’s vision Example: A scope statement to define the vision Documents about the broad outcomes expected

of the program 2. Evaluates program management

best practices and applies those as required

Example: The use of a best practice library

3. Updates the program roadmap Example: The program roadmap, using a rolling wave approach with more details as the program ensues

ELEMENT 3.9 A COMMUNICATIONS STRATEGY FOR EACH KEY STAKEHOLDER IS DETERMINED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Establishes a strategy for stakeholder communications

Documents showing-• the key stakeholders on the program-both internal

and external • each stakeholder’s communications requirements • the results of a communications requirements

analysis Examples include:

• A stakeholder management plan • A stakeholder register • A communications strategy

2. Uses the scope statement for stakeholder acceptance criteria

Documents showing stakeholder sign-off on deliverables and benefits

• communications factors affecting the program

Examples include: The communications management plan A communications log Results of interviews with stakeholders Results from focus groups

4. Reviews the organization’s communications strategy

Documents showing results to make sure the program’s strategy supports that of the organization

5. Uses a variety of methods to identify program stakeholders

Documents showing-• Stakeholder register • Stakeholder inventory • Stakeholder management strategy • Program stakeholder management plan

ELEMENT 3.10 A PROGRAM MANAGEMENT OFFICE (PMO) IS APPROVED AND IMPLEMENTED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Obtains approval to set up a PMO Example: A charter for the PMO 2. Identifies program management

artifacts for use by the PMO Example: The PWBS Documents showing items from a best practice library

3. Uses organizational policies and guidelines

Example: Program-level processes that do not conflict with organizational processes

4. Shares and optimizes scarce resources

Documents showing resource allocation approaches used

5. Structures the PMO to address reporting and governance requirements

Documents showing the reports prepared and distributed

6. Uses the PMO to prepare and coordinate assessments of change requests

Documents showing the results of change request assessments

7. Uses the PMO to support tracking of risks and issues

Example: Risk and issue logs

8. Uses the PMO to assist in managing contracts and procurements

Documents showing-• the specific requirements of each procurement on

the program • the unique terms and conditions for each program

contract 9. Uses the PMO to implement the

program management methodology

Documents showing the organization’s program management methodology as tailored for the program

10. Uses the PMO to ensure each project is using the same project management methodology

Documents showing each component project is using the same project management methodology for consistency and reporting purpose

11. Uses the PMO to manage the program management information system (PMIS)

Example: The tools and processes in the PMIS

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Acquires needed processes and systems for program support

Examples include: The benefits realization plan, which lists what is

required for ultimate transition The program management methodology

2. Uses a variety of methods to gather requirements

Documents showing the results of interviews with stakeholders, focus groups, brainstorming sessions, and questionnaires and surveys

3. Prepares a task responsibility matrix

Example: A matrix showing roles and responsibilities and the level of involvement of team members

4. Obtains system configuration tools

Example: A document repository and version control tools

5. Establishes a program management information system (PMIS) to manage program data and information

Example: The PMIS Documents showing how to communicate status,

changes, and performance

6. Uses a variety of planning techniques

Documents showing techniques for planning the schedule, program finances and budget, required resources, risks, quality standards, and procurement requirements

7. Acquires a program scheduling tool that provides high-level program timelines, plus individual project-level plans

Examples include: The schedule that first is high level and later is

updated, showing component milestones that are an output of the program or have an interdependency with another component

The timing of program packages for forecasts of completion dates

A schedule management plan 8. Provides contractors access to

tools and other resources as required

Documents showing contractors using technologycompatible tools with those of the program team

9. Uses a variety of tools and techniques to identify potential suppliers

Documents showing approaches used to identify suppliers

Example: A qualified seller list

ELEMENT 3.12 THE PROGRAM MANAGEMENT PLAN IS APPROVED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Obtains approval of the plan Documents showing sign-offs by the sponsor, key stakeholders, and members of the Program Governance Board

1. Determines key governance roles and responsibilities

Documents showing roles and responsibilities for program governance

Example: A program governance plan 2. Determines program governance

goals Example: A program governance plan

3. Conducts periodic health checks Documents showing action items and minutes of program performance and status reviews by the Program Governance Board

4. Holds program-level review meetings at defined stage gates

Documents showing action items and minutes of discussions of individual project reports with the Program Governance Board in terms of overall program progress

5. Approves the program management methodology to be followed

Documents showing the existence of the methodology at the organizational level

6. Determines objectives and timing of program audits

Example: The program audit plan

ELEMENT 3.14 A PROGRAM CONTROL FRAMEWORK IS ESTABLISHED TO ASSIST IN BENEFITS MEASUREMENT AS WELL AS IN OVERALL MANAGEMENT OF THE PROGRAM’S COMPONENTS

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Prepares a program scope statement

Example: A scope statement as the basis for future program decisions to manage scope throughout the program

Documents showing the product scope 2. Establishes a process to

manage all stages of the program to satisfy the use of the program’s outputs

Documents showing-• the use of the program’s outputs, included as part

of the benefits realization plan • that outcomes are achieved as part of the benefits

realization plan before formal closure 3. Uses a program management

methodology Documents showing practices, techniques, procedures,

and guidelines for managing the program 4. Sets defined limits for various

levels of authority and responsibility

Documents showing delegation of authority levels of project and operations managers, the program manager, and the Program Governance Board concerning cost, quality, schedule, scope, issues, or risks

ELEMENT 4.1 PROJECTS ARE INITIATED AS PART OF THE PROGRAM

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Initiates and terminates projects and non-project work with the program

Documents showing the strategic direction and business case

Example: The program roadmap to show timing of components

Documents showing-• requests to initiate a component • requests to terminate a component

Example: A governance structure to monitor and track benefits delivery and progress of projects in the program and non-project work

2. Facilitates and resolves inter-project issues, risks, and constraints

Examples include: A risk register An issue register Documents showing how any constraints

were handled 3. Assesses change requests Documents showing-

• the impact analysis of the change request • the change requests escalated to the Program

Governance Board and the results • updates to the program roadmap

4. Executes the program management plan

Documents showing-• updates to the program management plan • progress and completion of deliverables

Example: A decision log 5. Executes the procurement

management plan Example: Procurement management status reports

indicating progress on plan elements 6. Executes the contract management

plan Documents showing engagement and management

of suppliers for such activities as quality assurance, acceptance of deliverables, and receipt and payment of invoices

Example: A payment control system Documents showing-

• the results of contract performance reviews • the results of inspections and procurement

audits 7. Updates the budget allocations Documents showing updates to the program budget

allocations affecting the different components in the program management plan

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Monitors program-level resource use Documents showing-• reallocation of resources as required • compliance with the Human Resources/Talent

Management Personnel guidelines • updates to the program resource plan

Example: Activities of the PMO staff to support the acquisition and allocation of program resources

2. Provides required program resources Documents showing resources needed at the project or non-project work level and how these resources were acquired

3. Supports organizational strategic planning and budgeting processes

Example: Documents showing changes required to execute the program management plan

4. Uses the program management information system (PMIS) in all phases of program and component management

Example: Use of the PMIS to assist in early identification of resource issues as well as on-going resource allocation activity

ELEMENT 4.3 CHANGE REQUESTS ARE REVIEWED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Uses the change control process Example: The change control system 2. Analyzes change requests from the

program’s projects or non-project work

Documents showing the impact on the overall program and other projects and non-project work in the program

3. Approves, disapproves, or defers change requests (Program Manager)

Documents showing approval/disapproval/deferral of changes within the program manager’s authority

4. Approves, disapproves, or defers change requests (Program Governance Board)

Documents showing approval/disapproval/deferral of changes within the Program Governance Board’s authority

ELEMENT 4.4 ADDITIONAL WORK IS AUTHORIZED AS REQUIRED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Changes overall projects and non-project work as required

Documents showing-• the business case for a new project or

non-project work • updates to the program management plan • the link for a new project to the organization’s

strategic plan Examples include:

Charters for new projects A change in overall priorities based on changes in

the program’s projects and non-project work

or its projects or non-project work

• the escalation criteria to follow • go/no-go decisions

ELEMENT 4.5 COMMUNICATION WITH STAKEHOLDERS IS FOSTERED AND ENCOURAGED AT ALL LEVELS

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Collaborates with stakeholders to ensure involvement

Documents showing interaction with stakeholders on the program

Examples include: The stakeholder register The stakeholder inventory

2. Communicates with stakeholders throughout the program

Documents showing the strategic objectives and program status provided to stakeholders

3. Follows the program stakeholder management plan

Examples include: Metrics to measure stakeholder engagement

activities Tools and techniques used to engage stakeholders Documents showing-• updates to metrics in the stakeholder

management plan • any updates to the stakeholder management

strategy 4. Prioritizes the impact of stakeholders Examples include:

The stakeholder register A stakeholder tracking and prioritization system

Documents showing the urgency and probability of stakeholder-related risks

5. Provides required information to stakeholders

Documents showing ad hoc requests for information

Examples include: Stakeholder reports on program status

information The communication log

6. Uses a variety of information systems and distribution methods

Examples include: Information gathering and retrieval systems Information distribution methods

ELEMENT 4.6 COMMUNICATION WITH MEMBERS OF THE PROGRAM GOVERNANCE BOARD OCCURS ON A REGULAR BASIS

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Presents information to the Program Governance Board regularly

Example: Presentations to Program Governance Board members at scheduled and ad hoc meetings

Documents showing requests for ad hoc information

Example: Program cash flow analysis

• contractor performance and status reports

Example: List of contract modifications in the past six months

3. Ensures sponsors are assigned for new projects and non-project work

Example: Documents showing official sponsor identification

ELEMENT 4.7 ALIGNMENT OF THE PROGRAM’S GOALS, AND ITS BENEFITS, IS ASSESSED AGAINST THAT OF THE ORGANIZATION

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Translates strategic goals into tactical activities

Example: Documents showing the links from each project or non-project work in the program to the strategic goals of the organization

2. Provides suggestions for updates in corporate policies, procedures, and processes

Documents showing-• suggestions and recommendations • audit findings • team suggestions based on lessons learned

from the program

ELEMENT 4.8 COMMON ACTIVITIES AMONG THE PROGRAM’S PROJECTS AND NON-PROJECT WORK ARE COORDINATED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Manages interrelationships among projects and non-project work

Documents showing-• the interrelationships for scope adherence • requested change requests due to interface

and integration issues • updates to the program management plan

Example: The lessons learned database 2. Follows the communications

management plan and stakeholder guidelines

Documents showing updates to the communication plan for modifications requiring additional deliverables

ELEMENT 4.9 DEPENDENCIES WITH OTHER ORGANIZATIONAL INITIATIVES ARE COORDINATED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Maintains a lessons learned database

Examples include: Updates to the current lessons learned database The organization’s knowledge management

system 2. Conducts lessons learned sessions

with program team members Documented minutes of lessons learned meetings

and any updates to pertinent database

1. Delivers the intended benefits of the program

Documents showing-• the benefits that have been realized as planned • the deliverables and other work that has been

completed • the overall product and service improvements

2. Conducts lessons learned sessions with stakeholders

Documents showing meetings held, including those if the program did not deliver its intended results

ELEMENT 5.1 PROGRESS IS ANALYZED ACCORDING TO THE PROGRAM MANAGEMENT PLAN

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Sets up a process to ensure each project in the program or non-project work meets its requirements

Documents showing the process that is used

2. Analyzes progress of projects in the program according to the program management plan as well as the individual project management plans

Documents showing how the program management plan is used, updated, and modified as required

Example: The various performance analyses and resulting reports that are produced

3. Determines whether requests for corrective or preventive actions are needed

Documents showing change requests and their disposition by the Program Manager or Program Governance Board

4. Determines whether schedule milestones and budget goals are met

Example: Program performance reports to show status and forecasts to predict the likelihood of achieving planned outcomes

5. Monitors progress of suppliers Documents showing-• contract modifications • change requests to update the

procurement management plan Examples include:

Supplier performance reports The results of inspections and audits The results of supplier reviews

ELEMENT 5.2 BENEFITS REALIZATION IS ANALYZED ACCORDING TO THE BENEFITS REALIZATION PLAN

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Provides reports and benefits metrics to assess overall program progress in benefits delivery

Examples include: The benefits realization report to show

benefits realized versus those in the plan The number of change requests to the

benefits realization plan, especially regarding timeliness of the realized benefits

The results of stakeholder surveys to see if there is successful benefits delivery

2. Performs benefits realization analysis Example: The results of the benefits review process to determine the extent to which benefits were delivered, value offered, resources consumed and risks encountered in doing so

to be provided by each benefit

4. Arranges for or conducts periodic program health checks

Example: Whether the life-cycle costs will exceed the benefits to be realized or whether the benefits will not be delivered on time

ELEMENT 5.3 ISSUES AND RISKS ARE CONTINUOUSLY IDENTIFIED, AND CORRECTIVE ACTIONS ARE TAKEN AS REQUIRED

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Identifies program-level and componentlevel risks throughout the life cycle

Documents showing-• actions taken to resolve each major risk • actions used to continually identify risks • the results of assumptions analysis

Example: The program risk register 2. Determines effectiveness of risk responses Documents showing-

• the actual response used and analyses of the usefulness of the response

• whether any subsidiary or residual risks resulted from the response

• the use of contingency plans and reserves Example: The trigger conditions

3. Provides oversight of risks at the program level

Documents showing-• the results of risk reviews and audits • the results of program risk review

meetings • the results of lessons learned reviews

4. Identifies, tracks, and resolves program issues

Documents showing-• the results of issue management to

ensure stakeholder expectations remain aligned with the program’s activities and deliverables

• those issues escalated to the Program Governance Board for resolution

Example: The tracking system that is used, such as an issue log or register

Documents showing-• the frequency of updates to the log or

register • updates to the program risk management

plan 5. Establishes an issue analysis process Example: Methods used to assess issue impact

and severity Documents showing change requests based

on the analysis Example: An issue log

PERFORMANCE CRITERIA TYPES OF EVIDENCE

1. Identifies any external changes that may affect the program and its anticipated benefits

Documents showing-• analysis of these changes and the overall

effect on the program and its deliverables and benefits realization

• the integration of these external changes with other program changes

Example: Results of natural disasters, war, social unrest, competitive environment, political issues, labor problems, materials shortages, inflation, etc.