Praxis Foundation™

Trademark of Praxis Framework Limited

User Guide
10/01/2022

Version 1.1
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Praxis Framework™ is a trademark of Praxis Framework Limited.
 Contents

Foreword 6
Session 1 Overview and Benefits of Praxis Framework 8

Session 2 Characteristics of Projects, Programmes and Portfolios 15

Session 3 Integrative Management Functions 22

Session 4 Principles, goals, procedures and documentation of Scope Management 34

Session 5 Schedule Management 42

Session 6 Finance Management 48

Session 7 Risk Management 53

Session 8 Change Management 57

Session 9 Resource Management 59

Session 10 Project and Programme Processes 62

Session 11 Interpersonal Skills 73

Session 12 Foundation Exam Simulator 84

Foreword
ILX Group is a leading developer and distributor of e-learning training products specialising in the area of project and
programme management.

This training course uses the very latest educational techniques to provide a learning environment which is stimulating,
easy-to-use and stress-free.

We hope you enjoy the course and that you find it a useful starting point in your project management training programme.

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 Session 1: Overview and Benefits of Praxis Framework
Session 1: Overview and Benefits of
Praxis Framework
S1P1: Introduction to the Course - 1
Welcome to this foundation e-Learning training course
in Praxis.
Praxis is a community driven framework which can help
you and your organisation realise the intended benefits
of projects, programmes and portfolios.
The Praxis Framework is a combination of four types of
best practice guidance – Knowledge, Method,
Competency and Capability. It’s the first free framework
to integrate projects, programmes and portfolios into a
single guide.
The certifications are designed for all current and
aspiring project and program managers. If you or your
organization is currently using a framework you will find
the courses valuable, as Praxis combines and builds on
existing best practice.
These certifications are also appropriate if you wish to
complete your first formal training, as you will gain the
knowledge needed to be a modern-day project or
program manager.
S1P2: Introduction to the course - 2
Tony: Before we go any further, I’d like to introduce
myself. My name is Tony and I'm the course tutor and
you’ll be hearing my voice throughout the course. I have
three students with me who’ll be helping me in many of
the sessions.
Pete: Hi, I’m Pete and I’ll be working with the team
asking questions and providing some of the answers as
well.
Nita: I’m Nita, and I will be working through the course
with the team.
Priya: And I’m Priya. Like Pete and Nita, I’ll also be
answering some of Tony’s questions with you. I hope
you enjoy the course.
Tony: We will also be involving other colleagues who will
be participating in the Scrums that we will be simulating
for you.
The course consists of a number of sessions and we
recommend that you go through them in the order that
they are presented, although each session is free-
standing and it is possible to go anywhere within the
course at any time. You will find this feature useful for
revision purposes, once you have formally completed
the course.
We have included an exam simulator which you can use
to test your knowledge of the method. The results from
the tests will help you to focus your revision activities.
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We expect the course to take around 18 hours study
time to complete. Each session lasts around 25 minutes.
If you require technical support or you consider some
aspect of the course to be unclear, please contact ILX
using the contact details shown on screen.
S1P3: Praxis Foundation Examination
The course is based on the Praxis Framework. This
framework is available for free online at
www.praxisframework.org. It includes a body of
knowledge, methodology, competency framework and
capability maturity model.
The framework is supported by a knowledge-base of
resources and an encyclopaedia.
The Praxis Foundation certification is an introductory
certification that demonstrates your understanding of
Praxis in the following areas:
• Overview and benefits of the Praxis Framework
• Characteristics of project, programme and portfolio
management
• The Integrative Management Functions
• Scope Management
• Schedule Management
• Financial Management
• Risk Management
• Change Management
• Resource Management
• The Project and Programme Processes, and
• Interpersonal Skills.
You can find an online guide with a lot of supplementary
support at www.praxisframework.org. It is extremely
useful for understanding Praxis, but not examinable.
We’re including the link in the ‘Resources’ tab on the
left, and we’ll let you know on specific pages when
there’s useful extra content online for you to access.
S1P4: Examination
The Praxis Foundation examination comprises 75 simple
multiple-choice questions, offering you the question text
with four answer choices. There is only one correct
answer to each question.
The exam lasts for 60 minutes, although extra time can
be allowed. Contact the APMG for further clarification if
the English language and grammar is likely to pose you a
problem. The pass mark is 50%, or a minimum of 38
marks out of the 75 available. The exam is conducted in
closed book format. No reference materials are allowed.
A sample paper and its accompanying answer and
rationale files can be found in the ‘Resources’ tab, along
with the ‘APMG Praxis Foundation - Candidate
Guidance’ file, which details the exam procedure and
the question styles in more detail. You can also
download the complete Foundation and Practitioner
syllabus, all as pdf files.
 Session 1: Overview and Benefits of Praxis Framework
To familiarise yourself with the online exam format, you
can use the link displayed and select ‘Praxis Foundation’
from the list. This is a realistic representation of the live
exam and great preparation.
S1P5: Introduction to Praxis - 1
Tony: There are a number of guides, standards and
models which have evolved over the years to serve the
world of project, programme and portfolio
management. This can be confusing, especially when
trying to combine and integrate different publications.
Can anyone suggest any such publications?
Priya: I have heard of Prince2 for projects and
Management of Risk, or MoR as it is known.
Pete: I have worked with Managing Successful
Programmes, or MSP, in the past. And I have used the
APM Body of Knowledge and AgilePM.
Nita: I also took the ILX Scrum Master online course
previously. That’s an Agile framework.
Tony: Clearly there are many reference sources that we
can utilise in isolation. Wouldn’t it make sense to bring
them together and harness the best of all these
frameworks, according to need and complexity?
S1P6: Introduction to Praxis - 2
Tony: In 1995, when Martin Cobb was the CIO for the
Secretariat of the Treasury Board of Canada, he asked
the question that has become known as Cobb’s Paradox:
“We know why projects fail, we know how to prevent
their failure – so why do they still fail?”
The people at Praxis believe this is primarily because
organisations train people in good practice but do not
provide them with the means to apply and embed that
practice so that it becomes the natural way of doing
things.
Pete: “Where’s the value of the training?” is a phrase I
have heard many times.
Tony: To create a project delivery framework,
organisations have to combine different guides,
standards and resources. Can anyone see any obvious
problems here?
Priya: Some joined up thinking is needed. There is lots of
different terminology.
Nita: It is also time consuming and expensive to combine
frameworks in a bespoke solution.
Tony: Just two of the most common problems when
confronted with a sea of frameworks.
The Praxis Framework seeks to address this problem by
integrating an extensive body of knowledge with an
established methodical approach.
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Additionally, it provides a competency framework and a
capability maturity model that are based on proven
approaches, seamlessly integrated with the knowledge
and method sections.
As with all bodies of knowledge and methods, the
framework makes frequent references to techniques
and models that are regularly used in project delivery, as
well as the real experiences of the P3M community.
These are all described in the library, or the ‘Praxis
Encyclopaedia’ as it is sometimes called.
The Praxis website was created to promote and
encourage the uptake and application of good practice.
S1P7: Introduction to the Course
Tony: The Praxis method is the first to bring together the
four elements (knowledge, method, competence, and
capability maturity model) into one all-encompassing
framework that integrates these elements with the
latest thinking. The Praxis Library complements the
other four sections.
Before we begin our journey, let’s go over some key
concepts.
First, Praxis is free.
Nita: Does that mean totally free?
Tony: Absolutely Nita. Praxis is entirely free to use under
the terms of the Creative Commons licence. You may
adapt and use the Praxis Framework for your own
purposes as long as you acknowledge its source. You
must also make your work available to others free of
royalties. Ideally, your contribution will be incorporated
into the web site for the benefit of others.
Pete: Is Praxis suited to specific types of projects only?
Tony: Not at all Pete! There is no such thing as a typical
project, programme or portfolio, and Praxis is not
prescriptive in the way its components are applied. The
framework is designed to provide building blocks that
can be tailored and assembled to suit all manner of
different contexts.
Praxis is a framework for the management of projects,
programmes and portfolios, which is where the
abbreviation ‘P3 management’ or ‘P3M’ comes from.
We will use these terms interchangeably during the
course.
S1P8: Discontinuous Mind - 1
Tony: Can anyone suggest categories that may be useful
to consider in P3M?
Priya: Public versus private sector projects? IT versus
non-IT projects?
Pete: Large, medium or small programmes perhaps?
 Session 1: Overview and Benefits of Praxis Framework
Tony: These are interesting categories, but perhaps a
little too quantitative. I would like to suggest a different
unit for measuring projects, programmes and portfolios.
Namely, their respective complexity.
In simple terms, initiatives with low complexity are
called projects. As the complexity increases, we may
choose to manage the initiative as a complex project or
a programme. As the complexity increases even more it
becomes a portfolio.
Priya: That sounds subjective. What is complex and what
is not? Everyone sees things differently.
Tony: That is true Priya. Maybe we should consider the
complexity of scope. The distinction between the
organisational structures and techniques used in
projects, programmes and techniques are related to the
complexity of scope.
The terms project, programme and portfolio are useful,
but they are qualitative terms. They are our choice of
discontinuous labels on a continuum of scope
complexity.
Pete: Wow – that sounds pretty complicated.
Tony: Not really Pete. The question is simply, “How
complex is the scope, and how do I need to manage that
complexity?” If it looks like a project, then it is a project.
If it looks like a programme, then it is a programme. The
same goes for portfolios.
S1P9: Discontinuous Mind - 2
The aim is to define the building blocks of the discipline
of P3M, based on the concept of a functional analysis.
The functions described in this section are split between
context and management.
Contextual functions are not directly responsible for
achieving project,
programme or portfolio objectives, but are part of the
context which
supports that endeavour.
Management functions are the ones that are applied in
the completion of
projects, programmes and portfolios.
A key concept of Praxis is that the dividing lines between
projects,
programmes and portfolios are blurred. Some ventures
will exhibit
characteristics of all three. The underlying principle is
that the terms
project, programme and portfolio simply represent
points on a continuum, described by the complexity of
the work being managed.
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Therefore, wherever appropriate, a function is described
in terms of its
general application, and then by its adaptation to
increasing complexity.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S1P10: Part 1 - Knowledge
Tony: When building any structure, there needs to a
number of building blocks. The knowledge section of the
Praxis framework looks at the building blocks for the
discipline of P3M, and utilises the concept of functional
analysis.
The functions described in this section are split into two
categories.
First, contextual functions. As I said previously, these are
not directly responsible for achieving project,
programme or portfolio objectives, but are part of the
context which supports that endeavour.
Nita: I see, helping to understand ‘why’ something
happens.
Tony: Yes. The dividing lines between projects,
programmes and portfolios are blurred. The underlying
principle is that the terms project, programme and
portfolio simply represent points on a continuum that is
described by the complexity of the work being managed.
A function is described in terms of its general application
and then by its adaptation to increasing complexity.
The second category is management functions. These
are applied in the completion of projects, programmes
and portfolios.
Nita: So, these tell us ‘how’ something happens.
Tony: Yes, and the management functions also provide
the structure and specific goals for the capability aspect
of maturity.
The knowledge section integrates with all the other
sections of the Praxis framework. Each function
describes the procedures, tools and techniques that can
be used in management processes. The method section
provides a structure for the use of the functions within
the lifecycle.
The procedures described in each function are used as
the basis for defining different levels of capability. The
attributes described in the maturity model provide
benchmarks for the organisational implementation of
the function.
The Praxis Foundation Certification will focus on the
knowledge and method sections.
 Session 1: Overview and Benefits of Praxis Framework
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S1P11: Context - 1
Tony: The P3M context comprises of two aspects that
can be likened to nature and nurture.
Priya: What does nature mean in this context?
Tony: Good question Priya. The nature aspect, which we
could call the setting, is concerned with where the
initiative sits. It deals with factors that define the
properties or inherent nature of a project, programme
or portfolio and its surrounding environment, as well as
the complexity of the work being managed. The nature
or setting also influences how the work will be
governed.
Pete: Something strategic, for example, as opposed to
something operational?
Tony: Precisely. If you are involved in P3M at a strategic
level, the lifecycle is longer and the setting is created by
external factors. It is the starting point for P3M
professionals to understand and to start nurturing both
the governance of specific projects, programmes and
portfolios, but also the profession that will deliver them.
S1P12: Context - 2
Priya: Is P3M seen as a profession?
Tony: There is a constant debate about that Priya! But
it’s largely academic – what is important is the attitude
of people who manage projects, programmes and
portfolios. This section, about context, addresses
different aspects of creating a professional attitude,
amongst all stakeholders.
In Praxis, references to ‘the profession’ refers to those
who practise the discipline P3M with a professional
attitude. ‘The discipline’ is the set of methods, tools and
techniques employed, such as using Communities of
Practice, or applying ethical considerations, as well as
constantly improving through learning and
development.
Hence, context comprises three sections: setting,
governance and professionalism.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S1P13: Goals of Project, Programme and
Portfolio Management
Tony: Project, programme and portfolio management,
or P3M, is the application of methods, procedures,
techniques and competence to achieve a set of defined
objectives. Pete, can you tell us about the goals of P3M
please?
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Pete: Sure Tony. P3M has two key goals:
• To deliver the required objectives to stakeholders in
a planned and controlled manner, and
• To govern and manage the processes that deliver
the objectives effectively and efficiently.
Investing in effective P3M will provide many benefits,
primarily:
• Increase the likelihood of achieving the desired
results
• Ensure effective and efficient use of resources, and
• Satisfy the needs of different stakeholders.
A consistent approach to P3M, coupled with the use of
competent resources, is central to developing
organisational capability maturity. A mature
organisation will successfully deliver objectives on a
regular and predictable basis.
Tony: Thanks Pete. You can find supplementary content
on this at www.praxisframework.org, access it through
the ‘Resources’ tab.
S1P14: Central elements of Project and
Programme Management
Nita: Thanks for that explanation Pete. So what exactly
is the difference between projects and programmes?
Pete: Projects and programmes are very similar. They
are both unique, temporary sets of endeavours,
intending to achieve clear objectives. The major
distinction is in the different degrees of complexity of
scope. The differences in project management and
programme management reflect this distinction.
Let’s focus for a moment on the similarities, rather than
the differences. They both:
• Demonstrate a clear reason why the work is
necessary
• Capture requirements, specify objectives and
estimate resources and timescales
• Prepare a business case to explain that the work is
desirable, achievable and viable
• Secure funding for the work
• Develop and implement management plans
• Lead and motivate the management and delivery
teams
• Monitor and control scope, schedule, finance, risk
and resources
• Maintain good relations with stakeholders, and
• Close the project or programme in a controlled
manner when appropriate.
Nita: There must some differences though?
Tony: There are several differences Nita, as Priya will
explain on the next screen. Before moving on, you can
find supplementary content on this subject at
www.praxisframework.org, access it through the
‘Resources’ tab.
 Session 1: Overview and Benefits of Praxis Framework
S1P15: Programme Management
Characteristics
Priya: The main difference between projects and
programmes, relates to scope complexity. When
differences occur and we identify a programme, the
typical characteristics are:
• Project co-ordination, which involves identifying,
initiating, maintaining momentum, changing and
closing projects within the programme
• Managing dependencies that exist between
projects, and possibly changing management activity
• Transformation work that takes project outputs and
manages the change into the business
• Managing benefits including defining, quantifying,
measuring and monitoring benefits.
Nita: That’s a lot of work. Who is responsible?
Priya: The sponsor and manager share responsibility for
these elements, with the sponsor being ultimately
accountable for achievement of the business case.
When it comes to day-to-day running of the project or
programme, the manager is responsible and needs to be
competent in the six aspects of delivery:
• Scope management
• Schedule management
• Finance management
• Risk management
• Resource management, and where necessary
• Change management.
Again you can find supplementary content on this
subject at www.praxisframework.org, access it through
the ‘Resources’ tab.
S1P16: Core Elements of Portfolio
Management
Tony: When we reference portfolios, it’s worth being
aware that there are two types, namely standard and
structured. Does anyone know the difference?
Pete: I think a standard portfolio is a collection of
independent projects and programmes.
Tony: Exactly. In standard portfolio management we
focus on the project and programme management
across multiple projects and programmes with
independent objectives.
The core elements of standard portfolio management
include:
• Establishing a supporting infrastructure for projects
and programmes
• Defining procedures and processes to be used in
managing the projects and programmes, and
• Co-ordinating and optimising the allocation of
limited available resources, by matching supply and
demand.
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Pete: So a structured portfolio is one where there are
integrated objectives?
Tony: That’s right Pete. A structured portfolio co-
ordinates projects and programmes that work towards
realising an organisation’s strategic objectives by
balancing the change introduction with the maintenance
of business-as‐usual activities.
So in addition to the standard portfolio elements,
structured portfolio management includes:
• Keeping a balanced portfolio aligned with strategic
objectives
• Improving the delivery of projects and programmes
• Co-ordinating the need for change with the capacity
to absorb change, and finally
• Reducing costs by removing overlapping and poorly
performing projects and programmes.
There is more supplementary content on this subject at
www.praxisframework.org, access it through the
‘Resources’ tab.
S1P17: Commonly Identified Areas of
Complexity - 1
Tony: To recap, what is one of the key differentiators
between a project and a programme?
Nita: Complexity!
Tony: Absolutely Nita. Tell us more.
Nita: Well, the inherent nature or setting of a project,
programme or portfolio is derived from the objectives it
seeks to achieve. Some objectives are clear and well
defined. Others are ambiguous and uncertain, due to
unfamiliarity or innovative technology. These factors
represent complexity.
Complexity will affect the way that a project,
programme or portfolio will be set up and managed, and
the skills needed to manage it.
And projects, programmes and portfolios will have many
inter‐related functions and processes. They are
therefore uniquely complex.
Projects and programmes have differing degrees of
complexity which, when aggregated, will be reflected in
the complexity of their respective portfolio.
Once again, take a look at the supplementary content on
this subject at www.praxisframework.org, access it
through the ‘Resources’ tab.
S1P18: Commonly Identified Areas of
Complexity - 2
Tony: Priya, can you tell us what areas of project,
programme or portfolios could be considered complex?
Priya: This is by no means a definitive list, but the
following are the most common sources of complexity:
 Session 1: Overview and Benefits of Praxis Framework
Scope is the most obvious area, ranging from the
production of a single output to the delivery of several
inter-related outputs and outcomes. The complexity of
scope that is most influential is the choice of life cycle
and method.
Then there’s uncertainty - all projects and programmes
are, by definition, uncertain. Project and programme
management is therefore designed to manage
uncertainty.
Change is something that can impact on stakeholders, in
extreme cases requiring them to change the way they
live or work.
Innovation is another area of complexity, and may be
required in either the technical approach to the work or
in the management methods, such as putting a
programme into practice for the first time.
Dynamics can also be a source of complexity in projects
or programmes, when one considers the relationships
between different stakeholders and the environments,
be they political, social, or technical in nature.
There is supplementary content on this subject at
www.praxisframework.org, access it through the
‘Resources’ tab.
S1P19: Triple Constraint
Tony: Has anyone heard of the Triple Constraint?
Nita: Does that refer to the three variables that need to
be balanced in Project Management?: Pete: The three
that spring to mind are Time, Cost and… what is it again?
Nita: Quality
Tony: Correct. Time, cost and quality are the three
variables most closely associated with that term, usually
attributed to Dr. Martin Barnes. The basic idea is that
you can’t have everything you want.
Nita: You mean that these three variables need to be
kept in balance?
Tony: In most people’s eyes, that is the case. The fact is
that any project is a compromise between what you get,
when you get it and how much you have to pay for it.:
Nita: Do you really think quality should be a variable?
Pete: Good point. I would view quality as something that
should be inherent in all aspects of a project – not
something to be traded off against time and cost.
Tony: Personally, I agree with both of you. I prefer the
terms time, cost and scope. What we should really do is
to put quality at the heart of every function, in the forms
of planning, control and assurance. That is the real route
to achieving quality in project management. Quality
should never be a variable.
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There is supplementary content on this subject at
www.praxisframework.org, access it through the
‘Resources’ tab.
S1P20: The Triple Constraint within Praxis - 1
Tony: Whether we talk about quality or scope, the triple
constraint, also known as the ‘iron triangle’, has
spawned many variations.
In its simplest form, the triangle shows the relationship
between the objectives of the work (scope), the time it
will take to produce them, and how much it will cost to
complete the work. Pete, why do we talk about a
triangle here?
Pete: The significance of the triangle is that it is the most
stable geometric shape, and emphasises that any
attempt to make changes to one corner of the triangle
will have an immediate impact on the other two.
The triangle illustrates this beautifully, as well as all the
other connections. For instance, if you increase the
scope, it will take longer and cost more; if you restrict
the budget, you will have to settle for lower scope; and
restricting the timescale will increase costs.
S1P21: The Triple Constraint within Praxis - 2
The Praxis delivery functions address these three
constraints in scope management, schedule
management and financial management, but Praxis also
identifies three other fundamental components of
delivery: risk, change and resource.
Change is primarily related to scope. It is necessary for
the achievement of benefits and will affect time and
cost through that relationship.
Risk is related to all three corners of the triangle, and
risk management should assess how any specific risk
event will impact on each of the three corners.
Finally, resource is most directly related to time and
cost, and resource management is concerned with
sourcing resources that can perform the required work
on time at an acceptable cost.
There is supplementary content on this subject at
www.praxisframework.org, access it through the
‘Resources’ tab.
Tony, could you give us a quick summary of this session,
before we move on?
S1P22: Summary
In this session we:
• Introduced the Praxis Framework, along with
accompanying resources and the four elements of
Knowledge, Method, Competence and Capability
maturity model
 Session 1: Overview and Benefits of Praxis Framework

• Understood the concept of complexity, and the

differences (and similarities) between projects,
programmes and portfolios
• Described contextual and management functions,
and the concept of project, programme and
portfolio management, or P3M
• Looked at the differences between standard and
structured portfolios
• Discussed the ‘triple constraint’ or ‘iron triangle’.

That concludes session 1.

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 Session 2: Characteristics of Projects, Programmes and Portfolios
Session 2: Characteristics of Projects,
Programmes and Portfolios
S2P1: Introduction
Welcome to module two of Praxis Foundation, where
we will look into the characteristics of project,
programme and portfolio management.
In Module 1, we gained an overview of the formation of
the Praxis framework and its scale and connection to
other methods and frameworks.
In this module we will investigate Praxis further and take
a look at:
• Life Cycle Management
• Goals of Sponsorship
• Goals of Knowledge Management
• Goals of Capability and Maturity Management, and
• Relationship with other P3 guidance.
As in module 1, you can find an online guide with a lot of
supplementary content at www.praxisframework.org. It
is extremely useful for understanding Praxis, but not
examinable. We’re including the link in the ‘Resources’
tab on the left, and we’ll let you know on specific pages
when there’s useful extra content online for you to
access.
Let us begin!
S2P2: Goals of Life Cycle Management
Priya: We talk a lot about Projects, Programmes and
Portfolios. What sort of lifecycle do they have?
Tony: A life cycle defines the phases of a project,
programme or portfolio, and provides a structure for
governing the progression of the work.
The simplest life cycle is a project life cycle that is only
concerned with developing an output.
Someone has an idea that is worth investigating. High
level requirements are captured and assessed and the
viability of the idea is illustrated in a business case.
A decision is made whether or not to proceed to more
detailed definition of the work, producing a full
justification, which culminates in a decision being made
on proceeding to the delivery phase. Nita, can you tell us
more?
Nita: Sure, thanks Tony.
Once the output has been produced it is usually subject
to an acceptance process before being formally
delivered to its new owner. The life cycle comes to an
end with the closure of the project.
All outputs are intended to deliver benefits, and this can
be shown as an additional phase.
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The life cycle is influenced by the complexity of the
scope of work. These more complex contexts require
more sophisticated life cycles, and these are generally
referred to as programmes.
S2P3: Life Cycle Phases and Governance
Mechanisms
Pete, can you explain whether there is any governance
built into these life cycles?
Pete: Absolutely. The phased structure of life cycles
facilitates the creation of governance mechanisms.
These can include:
• Defined processes - each phase can be described as
a process made up of a number of relevant activities
and managed accordingly
• Stages and tranches - where the delivery phase can
be subdivided into packages of work, typically called
stages on projects and tranches on programmes
• Gate reviews - conducted at the end of a phase,
stage or tranche. The performance to date and plans
for the next phase, stage or tranche will be
considered before deciding to progress
• Post-reviews - where we learn from experience.
Post-project and post-programme reviews provide
lessons learned for the future
• And finally, benefit reviews, where the achievement
of benefits against the business case are measured.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P4: Serial Project Life Cycle
Tony: There are two main approaches to the life cycle
phases, namely serial and parallel. Two factors will
influence whether a serial or parallel life cycle will be
used. Priya, can you explain please?
Priya: First, where the deliverables can, or need to be,
substantially specified before work starts on delivery,
the life cycle will be predominantly serial. Where a
specification evolves as work proceeds, the life cycle will
be parallel.
Second, even if the work could be fully specified in
advance, it can reduce the overall duration of a project
or programme if specification work and delivery are run
in parallel. This is often called ‘fast tracking’.
The scope of a project life cycle can take various forms
to suit the context. Some projects will be part of a
programme and will only be concerned with delivering
outputs (the traditional project life cycle). Some projects
will be expected to incorporate the management of
change and realisation of benefits (the extended project
life cycle).
Where a contractor is working for a client, the
contractor’s ‘project’ may simply be the development,
handover and closure phases of the client’s project that
 Session 2: Characteristics of Projects, Programmes and Portfolios
includes identification, definition and benefits
realisation.
The full product life cycle also includes Operation and
Termination.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P5: Parallel Project Life Cycle
Priya: What is the difference between a typical serial
project life cycle and a parallel project life cycle? Is it
simply the fact that they can start and run together?
Tony: Precisely Priya. In a parallel project life cycle, most
of the phases overlap and there may be multiple
handovers of interim deliverables prior to closure of the
project.
The significant characteristic of a parallel lifecycle is the
feedback between phases. The delivery of the initial
work to be defined influences the next piece of
definition.
Similarly, the experience of handover, benefits
realisation and operation may all feed back into prior
phases to create a series of iterations.
Pete: Can you explain this in a bit more detail?
Tony: Rather than show a parallel life cycle in
chronological terms, it can be illustrated as an iteration
that is repeated as often as necessary to deliver the
output, after which the project is closed.
Priya: That sounds like an Agile way of working.
Tony: Very much so. The idea of iterative or parallel
working is taken to its logical conclusion in the Agile
methods commonly used in IT systems development.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P6: Typical Programme Life Cycle
Tony: As I’ve often said, ‘projects make programmes’.
Pete, can you explain how programmes work?
Pete: With a typical programme life cycle, projects
conclude within the boundaries of the programme,
enabling the realisation of benefits to continue after the
closure of the programme. Some members of the
programme team (typically the programme sponsor and
business change managers) will continue in their roles to
ensure that benefits are realised as required by the
business case.
Programme life cycles are inherently parallel. Although
the definition phase will produce sufficient detail to
authorise delivery, each tranche and project will
instigate further detailed definition. As each project
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delivers outputs, benefits realisation will run in parallel
with the programme delivery phase.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P7: Typical Portfolio Life Cycle
Pete: And Programmes and Projects make a portfolio.
Tony: Precisely Pete. Unlike projects and programmes,
portfolios are less likely to have a defined start and
finish. Portfolio management is a more continual cycle,
coordinating projects and programmes. It may,
however, be constrained by a strategic planning cycle
that reviews strategy over a defined period. Priya, can
you explain further?
Priya: If an organisation has, for example, a three-year
strategic planning cycle, then the portfolio cycle will
have compatible time constraints.
The aim of the portfolio is to co-ordinate projects and
programmes.
The portfolio life cycle is inherently parallel. At any point
in time the emphasis may be on one phase or another,
but aspects of all will be undertaken simultaneously.
Pete: What about governance?
Priya: Portfolio management incorporates the overall
governance of projects and programmes within the host
organisation. The portfolio management team
may be responsible not only for coordinating the
projects and programmes to deliver strategic objectives,
but also for improving the maturity of project,
programme and portfolio management.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P8: Agile Projects and the Triple Constraint
Tony: So how do Agile working practices fit in with
Praxis? There is a growing trend towards embracing
Agile practices. Nita, can you tell us more?
Nita: Sure Tony. Agile project management is an
umbrella term for incremental and iterative approaches
towards development. Agile working originated in
software development but can be applied to other
disciplines.
Pete: How do Agile projects differ?
Nita: Agile projects can be characterised by the
following primary practices:
• There are several short development iterations
known as sprints
• High level of customer and stakeholder involvement
 Session 2: Characteristics of Projects, Programmes and Portfolios
• The work is prioritised, for example, based on
business value
• There is a rapid and flexible approach to addressing
scope change which can involve team
empowerment.
Pete: Are there other differences?
Nita: Many Pete, but the triple constraint relationship is
probably the biggest one.
In traditional projects, the emphasis is on scope. Within
the identification and definition processes,
requirements management plays a major role as the
planning for these derives time and cost from scope.
In Agile projects, the emphasis moves away from the
requirements and towards time and cost. The scope
represents what can be delivered within the time and
cost constraints. The identification and definition
processes are reduced, as it is accepted that detail
emerges later through close co-operation between
stakeholders and developers.
One of the most common development frameworks for
Agile projects is Scrum, which Tony will explain on the
next screen.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P9: Scrum Development Process
Tony: Scrum was co-created by Ken Schwaber and Jeff
Sutherland in the 1990s, to help organisations struggling
with complex development projects.
In Scrum there are three roles, effectively four artifacts,
and five events or ceremonies.
A key role, the product owner, creates a prioritised
requirements list contained within a product backlog.
This ongoing backlog can be managed using
prioritisation techniques such as MoSCoW (acronym for
‘Must have, Should have, Could have, Won't have).
A sprint backlog is created during sprint planning, where
the developers select a batch of high priority products
that it aims to complete during the sprint which typically
lasts 2- 4 weeks.
The team meets every day at a ceremony called the
daily Scrum, facilitated by the Scrum Master, to share
progress information. The Scrum Master keeps the team
focused and aims to remove obstacles that may affect
the achievement of the sprint goal.
Progress may be visualised in a burn down chart
(showing work left to do versus time), and tracked via a
Kanban board.
At the end of the sprint, there is a Sprint Review where
developed increments are accepted by the product
17
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owner. Any unfinished products are returned to the
backlog.
A sprint should end with a retrospective of how that
sprint progressed with lessons taken into the next
sprint.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P10: Context - 1
Tony: Pete, can you tell us how compatible Agile
projects are with Praxis?
Pete: Sure Tony. Let’s look at a project lifecycle using the
AgilePM method. AgilePM is now authored by the Agile
Business Consortium, who are the equivalent of the
DSDM consortium. Agile and DSDM are interchangeable
terms.
At first sight, the DSDM lifecycle looks very different
from the parallel version of Praxis lifecycle, but let’s look
at it in detail.
Prior to project commencement, there is the ‘Pre-
project Phase’ that is intended to ensure that “only the
right projects are started”, and that they are started up
correctly. For a simple project, kicked-off by a simple
mandate, this could be part of the Feasibility phase.
Where a project is part of a programme or a portfolio,
the pre-project work should be performed as part of the
programme management or portfolio management
processes.
S2P11: Context - 2
The feasibility phase of the DSDM project lifecycle is
primarily intended to “establish whether the proposed
project is likely to be feasible from a technical
perspective, and whether it appears to be cost-effective
from a business perspective.”
This definition is identical in principle to the
identification process in Praxis. In fact, DSDM goes on to
say that “the effort associated with Feasibility should be
just enough to decide whether further investigation is
justified, or whether the project should be stopped
now.”
Praxis refers to the identification phase resulting in an
outline business case that takes a view on whether the
project is desirable (‘starting with the right project’ in
DSDM), achievable (‘technically feasible’ in DSDM) and
viable (‘cost-effective in DSDM’).
So Agile and Praxis are very similar. The Feasibility phase
and the Praxis identification phase are essentially the
same thing.
 Session 2: Characteristics of Projects, Programmes and Portfolios
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P12: Goals of Sponsorship
Tony: Priya, can you explain who is ultimately
responsible for the project?
Priya: That’s a really interesting question Tony, as all
projects need sponsoring. Every project needs a
business case which someone owns and is accountable
for. Sponsorship provides this.
There are a number of goals of sponsorship, which you
can see on screen now. Click continue when you are
ready.
A sponsor could describe a role such as that of an
executive or a senior responsible owner or client. In
Praxis the role referred to as the sponsor will require
someone who is committed to performing the activities
of the sponsorship process.
Sponsorship is provided by an individual alone or by
other managers who may be on a project or programme
board.
Pete: The sponsor must surely work with others?
Priya: Correct Pete. In order to ensure that the business
case continues to justify the work throughout the life
cycle, you need an effective working relationship with
the project or programme manager.
Pete: And what if there isn’t one?
Priya: That’s a fair question. If the business case ceases
to justify continuing investment, the sponsor needs to
work with the manager to redefine or prematurely close
the project or programme. Other processes will help the
sponsor and others make the correct decision.
To ensure that the work is being managed effectively,
the sponsor will use assurance, which is an independent
review of the management of the work.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P13: Characteristics of a Sponsor - 1
Priya: So, what exactly does it take to be a sponsor?
Tony: Well Priya, a good understanding of the project or
programme manager’s role will help any sponsor.
A sponsor can be appointed soon after the issue of the
mandate, and will be involved until the end of the life
cycle. For non-complex projects this will be once the
final output has been completed and handed over. For
projects and programmes that include benefits within
their scope, the sponsor will typically remain in post
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until the benefit realisation process is completed and
the business case has been achieved.
S2P14: Characteristics of a Sponsor - 2
Priya: Are sponsors always an internal appointment?
Nita: Ordinarily, the answer is yes. Where a project is
performed by a supplier organisation on behalf of a
client, it is often the case that the sponsor is from the
client organisation and the manager is from the supplier.
In this situation it can be useful to have a senior
representative of the supplier working with the sponsor
on a project or programme board.
The stakeholder environment on a project or
programme is independent of the complexity of its
scope. Even small projects can have difficult
stakeholders to deal with. The seniority and credibility of
the sponsor must reflect the complexity of the
stakeholder environment. Excellent communication and
influencing skills will be needed, especially where there
is opposition to change.
In the programme and portfolio environment, an
individual may combine sponsorship and managerial
roles. For example, a programme manager may act as
sponsor to the programme’s component projects. In
fact, on a large complex project, the relationship
between the overall project manager and the project
managers of supplier ‘sub-projects’ is very similar to the
sponsor-manager relationship.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P15: Goals of Knowledge Management
Tony: There are a number of goals for knowledge
management, which you can see on screen now.
Pete: Lessons form knowledge. There must be many
lessons learned during projects and programmes?
Tony: That’s why we need knowledge management,
which is the identification, recording, and distribution of
insights and experiences that may be adopted and
applied in new situations.
Pete: Is this where the expression ‘lessons learned’
originates?
Tony: Precisely Pete. Lessons, wherever they occur,
should be recorded in a lessons log. This is especially
useful during reviews at the end of a stage or a tranche.
Prior to new initiatives commencing, reviewing lessons
learned from previous projects and programmes is a
part of the identification process. This can prevent a
repeat of past mistakes.
Knowledge is usually described in one of two forms:
tacit and explicit.
 Session 2: Characteristics of Projects, Programmes and Portfolios
Tacit knowledge is the sum of experiences, insights,
observations and communications that every person
holds in their memory. Managers and sponsors, for
example, will have large amounts of tacit knowledge
that they use every day.
This tacit knowledge is converted into explicit
knowledge and made accessible to those who wish to
develop their knowledge and learn from the experience
of others.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P16: Establishing Knowledge Management
Nita: Establishing Knowledge Management is quite
important.
Tony: Priya, can you tell us about some of the many
sources of knowledge?
Priya: No problem Tony. Capturing lessons learned is
only one way of creating explicit knowledge within an
organisation.
External sources of knowledge can be captured through
involvement with broader communities of practice,
including professional bodies.
The risk involved in managing projects, programmes and
portfolios, can be reduced by using the lessons noted by
proven methods and techniques. Senior management
commitment to the principles of knowledge
management is critical to its successful adoption.
In more mature organisations, there should be an
existing knowledge management system that all
projects, programmes and portfolios can
access. For smaller stand-alone projects in less mature
organisations, reliance is on individual management
team members to apply their tacit knowledge.
Implementing and maintaining a system for storing and
maintaining knowledge will help avoid losing knowledge,
and the capability to manage projects when skilled staff
leave. Project diaries retained by the organisation can
help mitigate this risk as well as providing time for
project managers to get together to exchange
experiences.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P17: Activity
Which of the following is NOT a goal of Knowledge
Management?
1. Capture useful knowledge from projects,
programmes and portfolios
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2. Make tacit knowledge available to all
3. Identify how the organisation can improve its P3
management
4. Support capability maturity management and
continuous improvement in P3 management
S2P18: Activity
Which of the following is NOT a governance
mechanism?
1. Stages and tranches
2. Gate reviews
3. Benefit reviews
4. Risk register entry
S2P19: Goals of Capability and Maturity
Management
Priya: You have mentioned Capability and Maturity
several times. What are these concepts?
Pete: Are there scales by which these concepts can be
assessed?
Tony: A capability represents the ability to perform or
achieve certain actions or outcomes. Maturity can be
described as a measurement of the ability of an
organisation for continuous improvement in a particular
area.
Capability and maturity management brings the two
concepts together, and its goals are to:
• assess an organisation’s ability to perform P3M
effectively and efficiently
• identify how the organisation can improve its P3M,
and
• promote the improvement of P3M against an
independent standard.
A capability maturity model describes the essential
elements of effective processes and work on the
premise that the quality of a system or product is highly
influenced by the quality of the process used to develop
it. As such, a capability maturity model describes an
organisation’s increasing effectiveness in sequential
stages or levels.
The concept of a Capability Maturity Model was first
published in 1993, and has been replicated for many
areas of business, including project, programme and
portfolio management. Capability and maturity are
usually represented as a model against which an
organisation’s performance can be measured and
improved.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P20: CMMI Capability and Maturity
Levels - 1
 Session 2: Characteristics of Projects, Programmes and Portfolios
Tony: The CMMI, or Capability Maturity Model®
Integration, identifies two scales,
one for capability and one for maturity. Nita, can you
give us some more detail please?
Nita: Thanks Tony. There are four levels on the capability
scale, running from level 0 to level 3. Click each level (in
the red box) to read more.
• Level 0 shows an organisation to be Incomplete.
Namely, the capability is not performed or is
partially performed. The goals of the function are
not achieved
• Level 1 shows the capability being Performed, and
the goals are partly
achieved, but the procedures and application are
inconsistent
• Level 2 shows the capability being Managed in
accordance with policy. It is performed by
competent people with adequate resources and
produces controlled outputs
• Level 3 is the highest level, where the capability is
Defined. The capability is consistently managed, as
well as lessons being captured and contributing to
organisational knowledge.
Praxis adapts and applies the principles of CMMI® to the
functional and process elements of P3 management.
In the Praxis capability maturity model, knowledge
functions are assessed on the capability scale, and life
cycle processes (which integrate the functions) are
assessed on the maturity scale.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P21: CMMI Capability and Maturity
Levels - 2
Tony: If the Capability scale measures how effective you
are at delivering a function, how does maturity
compare? Pete, can you take over?
Pete: No problem. The maturity scale has five levels,
identifying the stages in an organisation’s development,
from its initial chaotic attempts to manage projects,
programmes and portfolios, to a point where most
initiatives succeed, and the organisation has the ability
to improve continuously.
Unlike Capability, there is no level zero. Like on the last
screen, click each level (in the red box) to read more.
Level 1 is described as Initial, where processes are ad
hoc and success often depends upon individual effort.
Whilst project, programme and portfolio objectives are
delivered, they often exceed their budgets and
schedules.
Level 2 is Managed, where the relevant functions are
managed to capability level 2. Here, you will find life
20
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cycle-based processes that ensure that functional
procedures are maintained during times of stress and
progress is visible.
With Level 3, Defined, the relevant functions are
managed to capability level 3. Projects, programmes or
portfolios will tailor functional procedures and perform
these within a centrally defined but tailored set of life-
cycle based processes which can be improved.
Level 4 is called Quantitatively managed, where
performance metrics are gathered and used to control
future performance.
At Level 5, Optimising, there is continuous process
improvement enabled by quantitative feedback from
the process and from piloting innovative ideas and
technologies.
The aspiration of most organisations is to achieve
maturity level 3. The return on investment for achieving
level 3 is provided by a reduction in time and cost over-
runs, greater predictability in the achievement of
objectives and a more robust (and therefore less risky)
delivery environment.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P22: Praxis and Other P3 Guidance - 1
Nita: There must be many lessons learned during
projects and programmes?
Tony: That’s true Nita. Much of the method section of
Praxis is similar to PRINCE2, a project management
method, and Managing Successful Programmes (MSP), a
programme management framework, as all three are
based on a common life cycle.
Praxis is not just a process model, as it also contains
sections describing functions, competence and
capability maturity that are intended to make Praxis
adaptable to a wider range of contexts. Whilst PRINCE2
and MSP both promote the idea of tailoring, they are
both sufficiently prescriptive to be used ‘out of the box’,
and this inevitably leads to some limitations.
Praxis requires greater knowledge of the underlying
principles in order
to allow tailoring to any given situation.
PRINCE2 and MSP are seen as distinct approaches.
Praxis takes an alternative view, the decision to manage
a piece of work as a project or a programme will depend
upon its context and complexity. Many pieces of work
may be managed using a combination of both.
S2P23: Praxis and Other P3 Guidance - 2
Tony: Priya, can you give us an example?
 Session 2: Characteristics of Projects, Programmes and Portfolios
Priya: It is often assumed that in PRINCE2 and MSP,
projects only deliver outputs, and any benefits will be
delivered by a programme. In Praxis, projects can
include benefits realisation. We’re back to that word
again - complexity. A piece of work that delivers one
output and one benefit is probably a project that
includes ‘benefits realisation’. A piece of work that
delivers multiple outputs that have complex
relationships with multiple benefits, should be managed
as a programme. It is a matter of choice.
Praxis additionally calls upon functions such as risk
management or leadership ‘functions’ to make up the
discipline of P3M. In PRINCE2 and MSP these functions
are referred to as ‘themes’ or ‘governance themes’
respectively.
The Association for Project Management’s Body of
Knowledge represent the full range of functions that
make up the discipline of P3M and provide the basis for
Praxis functions.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S2P24: Praxis and Other P3 Guidance - 3
Nita: The knowledge section of Praxis very closely
follows the structure of the Association for Project
Management’s Body of Knowledge 6th edition (BoK),
which will be very familiar to users of the BoK. The
essence of everything described in the BoK is retained,
with the following enhancements:
• Most of the functions now have a one-to-one
relationship with competencies and capabilities,
helping to ensure the overall integrity of the Praxis
framework in use
• There are a set of goals which provide a common
point of reference
• A procedure is described for each function, where
relevant, providing additional compatibility with
ISO21500 and the PMBoK Guide
• The project, programme and portfolio sections of
the BoK have been merged to better describe the
continual progression from simple project through
to portfolio
• Praxis is referred to frequently, incorporating many
additional references to the tools and techniques
described in the encyclopaedia.
Tony: Prince2, MSP, APM BoK references. Are there any
more?
Nita: Absolutely Tony. The Praxis comparative glossary
lists all the processes and functions from PRINCE2®, the
PMBOK® guide, ISO21500, the APM BoK, PRINCE2 Agile,
the APM's guide to Planning, Monitoring, Risk and
Control, and Praxis.
21
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S2P25: Praxis Delivery Functions - 1
Nita: What is common between projects, programmes
and portfolios?
Tony: In essence, Nita, it is the delivery functions which
are concerned with the delivery of outputs, outcomes
and benefits. There are six sections which are
fundamental to every project, programme and portfolio:
• Scope: what are the objectives and scope of the
work?
• Schedule: how long will it take to achieve?
• Finance: how are necessary funds acquired and
costs managed?
• Risk: what threats and opportunities are involved?
• Change: what areas of business-as-usual must be
changed to realise
benefits?
• Resource: how will the necessary resources be
acquired, mobilised and managed?
S2P26: Praxis Delivery Functions - 2
Tony: Pete, are the delivery functions mutually
exclusive?
Pete: Not entirely Tony. Some Integrative functions
operate across these fundamental components and are
referred to as integrative management. That is, they
work across the delivery functions.
Most Integrative functions contain a procedure that
describes the typical steps that should be followed.
Common to all procedures are the following two steps:
• plan - creating a plan that describes the policies,
procedures, tools and techniques to be used, and
• initiate – mobilising resources required to perform
the procedure.
The plan and initiation steps are largely performed for
all functions. Planning is normally part of preparing
governance documents in the definition process.
Initiation will be spread across part of the definition
process and the beginning of the delivery process.
The specific steps relate to work that is unique to each
function, and these are repeatedly performed
throughout delivery.
S2P27: Summary
In this session we looked at:
• Life Cycle Management
• Goals of Sponsorship
• Goals of Knowledge Management
• Goals of Capability and Maturity Management, and
• Relationship with other P3 guidance.
That concludes session 2.
 Session 3: Integrative Management Functions
Session 3: Integrative Management
Functions
S3P1: Introduction
Welcome to module three of Praxis Foundation, where
we will look into the principles, goals, procedures and
documentation of Integrative Management Functions.
In Module 2, we gained an insight into the
characteristics of project, programme and portfolio
management. Now we will investigate Praxis further and
take a look at:
• Organisation Management
• Stakeholder Management
• Business Case Management
• Governance and Delivery Planning
• Control
• Information Management, and
• Assurance.
As with the two previous modules, you can find an
online guide with a lot of supplementary content at
www.praxisframework.org. It is extremely useful for
understanding Praxis, but not examinable. We’re
including the link in the ‘Resources’ tab on the left, and
we’ll let you know on specific pages when there’s useful
extra content online for you to access.
Let us begin…
S3P2: Integrative Management Functions
Tony: Nita, can you get us started? Tell us how the
integrative functions interact with the delivery
functions.
Nita: Thanks Tony. As we had six delivery functions, also
referred to as fundamental components for delivery,
they will need co-ordinating. The integrative functions
will work across those components.
Planning looks at all aspects of the work. It sets out the
policies for managing the components, but also defines
and estimates what needs to be done, and how and
when it should be done.
Developing and maintaining a business case is an
ongoing activity for projects and programmes. Preparing
a business case requires the summarisation and
integration of information from various components.
The control function monitors and controls
performance. It tracks what actually happens and
compares against what was planned to happen. Control
methods will deal with deviations.
Information will be created, and will be updated to
ensure it is accurate, current and accessible and
communicated through formal information
management.
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A management team will need to be established across
a project, programme or portfolio. Organisation
management describes the management team and its
roles and responsibilities.
Stakeholder management will explain how people who
are involved in the work must be identified, engaged
and communicated with.
Finally, to ensure that the management of the work is
relevant and conducted according to the policies and
procedures, there needs to be an assurance function.
S3P3: Principles, Goals and Procedure of
Organisation Management
Tony: Thanks Nita. Now let’s review the integrative
functions in more detail. Organisation management will
design and create an organisation appropriate to the
scope of work, as well as manage and maintain that
management structure.
Pete, can you tell us the further goals of organisation
management and take us through the steps that need to
be followed?
Pete: The first activity is planning for organisation
management, which includes the design of an
appropriate organisational structure that matches the
context and scope of the work.
The initiate step involves making appointments and
delivering any necessary training.
As the project or programme evolves, the structure will
change and will therefore need to be maintained during
the course of the life cycle, to take these changing
requirements into account. Different stages or tranches
of work may require different organisational designs.
Finally, the organisation is closed down and disbanded.
Tony: And is any documentation created here?
Pete: Only one document, the organisation
management plan. On small projects an organisation will
often be in place before any management planning. An
organisational management plan may not be needed. As
the complexity of the work increases, so does the need
for an organisation management plan.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P4: Organisation Management - Levels
Pete: Priya, can you explain whether the organisation
has a fixed structure?
Priya: No problem, Pete. The organisational structure of
individual projects, programmes and portfolios will vary,
but the organisation will always have four main levels.
 Session 3: Integrative Management Functions
Click each level in the diagram to reveal more
information.
The external level in the organisation represents the
body that first
mandated the work, be it a company, a client or a
department mandating a project or a programme.
Whatever the nature of the external organisation, it
delegates responsibility for looking after its interests to
the sponsorship level.
The sponsorship function, in conjunction with the
sponsorship process, provides the link between the
management and external levels. The sponsor
champions the work and owns the business case.
The management level is where the day-to-day
responsibility for managing the work resides. The
sponsorship and management levels form the
management team, whether it be a project, programme
or portfolio management team.
Finally, the delivery level represents the staff,
contractors and suppliers involved in the delivery
process.
Alongside the main four levels are an assurance team
that reports to the sponsor, providing confidence on the
management and delivery of the work being conducted.
Additionally, a support function provides administrative
and technical services to both the management and
delivery levels.
Pete: Thanks Priya, seems fairly straightforward.
Priya: It is Pete, though the whole structure relies upon
good delegation and control systems that keep the right
level of management involved in key decisions.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P5: Standard Project Structure
Tony: In the diagram, we can see the standard structure
for projects. What are your first impressions?
Priya: The layout is very similar to the Organisation
model we have just seen.
Pete: There are a few differences in the names of the
roles.
Tony: You are both right. The standard structure for a
project is very similar to the organisation.
The Host organisation is the client mandating a project.
The sponsor is an individual. They may be supported by
other senior managers in a larger, more complex
project, and such a group may be known as a project
board or steering group. In a programme, the
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programme manager may also take the role of project
sponsor.
The project manager reports to the sponsor and
assurance works alongside the project manager,
providing confidence on the management and delivery
of the work being conducted, by the project manager to
the sponsor.
On small projects, the support and team manager
responsibilities will be taken on by the project manager.
As the scale of the work increases, there will be a need
for separate support resources and team managers who
look
after specific work packages.
The structure of the project organisation showing
contractors, departments, teams and sometimes
individuals is often represented by an organisational
breakdown structure (OBS). This can be combined with a
work breakdown structure to produce a responsibility
assignment matrix (RAM).
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P6: Programme Structure
Tony: When we consider the programme structure, the
main addition to the basic organisation structure is the
role of the business change manager, or BCM. Nita, can
you explain please?
Nita: BCMs focus on change management and benefits
management, to achieve the benefits set out in the
business case.
The programme sponsor will usually be supported by a
group of senior managers, although the sponsor will still
be ultimately accountable for the business case. These
senior managers are sometimes known as the
sponsoring group, which should comprise the senior
managers from the business units most affected by the
programme. This supports a close working relationship
and understanding between the programme and those
affected by it.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P7: Organisation Management Plan - 1
Tony: Pete, you started talking about an organisation
management plan earlier. What does that contain?
Pete: Essentially, it contains two sections: Policy and
Procedure. Click each of the six elements in the Policy
section for more information.
In the Policy section we need a brief introduction to
identify the type of organisation required, be it a
project, programme or portfolio, and whether it is
 Session 3: Integrative Management Functions
internal or external to the organisation, or somewhere
in between.
The roles and responsibilities section describes who is
responsible for designing, recruiting and demobilising
the P3 organisation itself. Information management will
describe how each individual fits into the organisation
and how they should interact with others.
The assurance section will describe the criteria for
successful organisation management that will be used in
any assurance reviews.
In the budget section, as the name implies, we have the
cost of managing the project, programme or portfolio.
This may be budgeted and controlled separately, as
opposed to centrally funded, because a mature
organisation may measure the performance of its P3M.
Interfaces simply covers the relationships between
different departments, companies or individuals working
within the overall organisation, that may be relevant to
the project, project, programme or portfolio.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P8: Organisation Management Plan - 2
Tony: Thanks Pete, the Policy section seems fairly
straightforward. Priya, can you tell us what goes in the
Procedure section?
Priya: Actually, not too much is required for the
Procedure section. Click each of the three elements in
the Procedure section for more information.
The manner in which the management team should be
designed, in response to its context, will be set out in
the Design section.
The Identify section lists all members of a management
team based on their suitability for the specific project,
programme or portfolio, including their competence in
the relevant functions and experience of the context.
Individual availability is often a greater influence in
being selected for a piece of work, and how individuals
should be recruited and appointed, given the context of
the work.
As no organisation is constant nor permanent, the
Maintain section should set out how the management
team should be adjusted throughout the life cycle, as
well as describing the mechanisms for introducing new
team members and redeploying those who are no
longer required.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
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S3P9: Activity
Which of the following are goals of Organisation
Management?
1. Identify and appoint members of the management
team
2. Maintain and adapt the organisation throughout
the life cycle
3. Maximise the impact of supportive stakeholders
4. Minimise the impact of unsupportive stakeholders
S3P10: Exercise 1 – Organisation
Management
Take a look at the ‘Foundation Course Exercises’
document, which you can find in the ‘Resources’ tab.
On page 2 you’ll see the background to a scenario about
Brooks Bicycles, a bicycle manufacturer planning to
move its factory and offices to a newly developed
business park on the outskirts of town.
Read the background info, along with all the pen
pictures on pages 3-4, then suggest an appropriate
organisation structure for the relocation of the factory
and offices.
Once you have made your selections, compare your
answers with those on pages 2-3 of the ‘Foundation
Course Exercise Answers’ document.
How did you do? Does your structure look similar to the
sample answer? Remember that there is no ‘right or
wrong’ answer, two planners are likely to see different
ways of organising the work.
S3P11: Principles, Goals and Procedures of
Stakeholder Management - 1
Tony: We now need to look at Stakeholder
management, to ensure that stakeholders are
appropriately involved in all aspects of the project,
programme or portfolio.
Priya: What is a stakeholder?
Tony: Stakeholders are individuals or groups with an
interest in the initiative, because they are involved in
the work or affected by the outcomes.
Most initiatives will have a variety of stakeholders with
different and sometimes competing interests. These
individuals and groups can have significant influence
over the eventual success or failure of the work.
Given that an understanding of stakeholders is so
important to other functions, it is worth investing
significant effort on this early in the identification
process. This will ensure a more robust brief and a more
efficient start to the definition process.
Working with stakeholders is a vital component of many
functional procedures.
 Session 3: Integrative Management Functions
S3P12: Principles, Goals and Procedures of
Stakeholder Management - 2
Tony: Nita, can you give us an example?
Nita: No problem, Tony. Let’s consider requirements
management. This is based on stakeholders’ wants and
needs, as well as risk context. Risk management is based
on understanding the stakeholders’ appetite for, and
attitude to, risk.
The stakeholder management procedure has six steps. It
starts with the planning step that defines the scope and
objectives of stakeholder management, and results in
the stakeholder management plan. The initiation step is
performed once the work is approved and the resources
needed to manage stakeholders are mobilised.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P13: Stakeholder Map - 1
Nita: Understanding the relationships between
stakeholders and their different areas of interest is
usually achieved through stakeholder mapping.
Tony: Pete, with so many potential stakeholders, is there
any technique for keeping track of them all?
Pete: Well not all stakeholders are the same, Tony. A
stakeholder map is a great way to present stakeholders
in terms of their interest in the work and influence over
the way it is performed. Key stakeholders are those who
can directly affect objectives.
Although it’s called a map, it’s really just a table.
Tony: So, is that all a stakeholder map shows?
Pete: Not quite. Detailed analysis will also estimate the
level of influence and
interest of each stakeholder, as well as identifying those
who are for, those who are against and those who are
ambivalent. We’ll look at this in more detail on the next
screen.
S3P14: Stakeholder Map - 2
Nita: The level of influence is important. Is influence a
one-way street?
Pete: It works both ways Nita. Communication is key.
When stakeholders have been assessed, plans can be
put in place to communicate with them, as described in
the stakeholder management plan and communications
plan.
Stakeholders with high levels of interest and influence
will be communicated with differently, just as people
who are positive will be.
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Stakeholder management becomes more complex when
stakeholders’ views, roles or allegiances change, as we
need to repeat the stakeholder management steps
throughout the life cycle.
On a small project, the project manager will be able to
identify who all the stakeholders are, and a simple
stakeholder map will suffice. In programmes and large
projects, stakeholder maps should be created at
different levels to reflect their respective interest and
ensure that stakeholders appear in only one
communication plan, avoiding the danger of mixed
messages.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P15: Stakeholder Management Plan - 1
We’ve mentioned the Stakeholder Management Plan a
few times. Priya, is it similar to an Organisation
Management Plan?
Priya: They are similar Tony, in terms of having the same
two sections, a Policy section and Procedure section.
Let’s look at the Policy section first. Click each of the six
elements in the Policy section for more information.
The Introduction needs to take into account the context
of the work.
A stakeholder management plan produced for a small
project will be quite different from a major programme.
The introduction would describe the background to the
work and the relationship to other relevant areas, such
as risk management.
In Roles and responsibilities, the stakeholder
management responsibilities and the means of engaging
with and maintaining stakeholder relationships, are laid
out.
The composition and format of the stakeholder register
and communication plan is defined in the Information
management section, along with any other specialist
stakeholder management documents.
The criteria for successful stakeholder management are
described in the Assurance section. Assurance may also
audit the end results of stakeholder management.
The cost involved in communication with stakeholders,
along with reference to any relevant budgets, is
described in the Budget section.
Finally, stakeholder information is recorded in the
Interfaces section, where there are links to documents
on benefits, issues and risk, and how these cross-
references will be managed.
 Session 3: Integrative Management Functions
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P16: Stakeholder Management Plan - 2
Priya: Tony, can you explain the Procedure section to
us?
Tony: Sure Priya. It looks very different from the
corresponding section in the Organisation Management
Plan. Click each of the four elements in the Procedure
section for more information.
The techniques that should be used to identify
stakeholders, and the sources of information available,
will be listed in the Identify section, as well as any
lessons learned from previous work.
Stakeholders will be assessed in terms of their areas of
interest, levels of interest and influence. These would
typically be represented as stakeholder maps and
influence / interest matrices. The choice and format of
such documents will be defined in the Assess section,
along with parameters for the scales to be used for
interest and influence.
The channel, frequency, format and content of
communication with stakeholders will be designed to
suit their interests and influences, and will be detailed in
the Plan section. The policies set out in this section will
provide guidance on all these factors. Any guidance
required on terminology and the language to be used
should also be detailed.
Finally, in the Engage section, the allocation of
responsibilities for engaging with stakeholders should be
defined. These must reflect the interest, influence and
the levels of management seniority that should be
considered.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P17: Stakeholder Register
Pete: Is there a central repository of stakeholder
information? Where can we find that?
Nita: Indeed there is Pete. The Stakeholder Register
records information about individuals and groups who
have an interest in the work being performed. Typical
headings for each entry in the register include:
• The Title section, which should include the name of
the stakeholder
• The Contact section, which details points of contact
for stakeholders, along with their preferred methods
of contact
• The Area and level of interest section, which
outlines the stakeholder’s area of interest in the
work, along with an estimate of their level of
interest
26
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• The Influence section, which documents whether
the stakeholder is generally supportive of, or
opposed to, the work, the level of their influence,
and how that influence may be manifested
• The Communications log should be a simple record
of communication with the stakeholder
• The Cross-references section outlines how specific
stakeholders may be associated with particular
aspects of delivery documented elsewhere
• The supporting information section is often useful
to view stakeholder information as a whole. This
may include a stakeholder map and also an interest /
influence matrix.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P18: Principles and Goals of Business Case
Management
Pete: What document or product do you think all
projects and programmes must have, that demonstrates
the value of their objectives?
Nita: It’s got to be a business case.
Pete: Absolutely Nita. Apart from justifying the initiative,
what key activity do you think a business case would
support?
Nita: I cannot imagine any decisions being made without
a business case.
Pete: That’s it exactly. Take a look at the goals of
Business Case management below, and you’ll see they
support your thinking. Click the ‘Business Case’ image
when you’re ready to move on.
Business case management is the function concerned
with developing, communicating and maintaining the
business case.
In the identification process an outline business case is
incorporated into the project or programme brief, that is
used by senior management to assess whether to give
the go-ahead for the definition process. The business
case grows more detailed during the latter process, and
is then used to decide whether full approval for the
work should be given.
Once approved, the business case must be kept up to
date, reflecting approved changes. In this way, it can be
used as the primary document at gate reviews (for
instance, at the end of a tranche or stage) to determine
if the work should continue.
Unlike most other delivery functions, there is no
procedure to describe the development of the business
case. This is adequately covered by activities in the
Praxis process model.
 Session 3: Integrative Management Functions
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P19: Business Case - 1
Pete: Why does a business case have a life cycle?
Tony: The business case is the central document to a
project or programme
life cycle. The reason for defining a life cycle with
phases, tranches and / or stages is to enable go / no-go
decisions to be made that prevent wasted
investment. These decisions are primarily made based
on the viability of the business case.
Pete: So what exactly should it contain? Is it the usual
set of fields?
Tony: Pretty much Pete.
There is a need for some background to explain the
context of the project or
programme. Any assumptions made will be
documented, along with constraints and dependencies
on other projects or programmes.
S3P20: Business Case - 2
Tony: Priya, can you explain the project or programme
summary please?
Priya: No problem, Tony. It covers many aspects of the
project or programme delivery, and is structured as
follows:
• The Scope summarises the objectives, in terms of
outputs, outcomes and benefits
• The Schedule is high-level and lists start and finish
dates for major sections of work, such as phases or
tranches
• Finance details the funding arrangements and a
summary cash flow
• The Risk field captures major risk events and the
overall risk profile
• The Resource field outlines sources of resource,
contract arrangements and summary volumes
• The Change field details the breadth and depth of
change required
• Finally, the Stakeholders field lists key supporters
and opponents.
The Justification section weighs the benefits of the work
against the investment needed to achieve them. The
simplest justification will be financial. A project or
programme will have to balance the ‘investment’ in
terms of risk taken; it may need to consider costs
compared to intangible benefits.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
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S3P21: Justification - 1
Pete: The Justification section sounds like the most
important field in the business case. Can you expand on
that Tony?
Tony: It is certainly an important field when it comes to
making a decision on the project. To ensure the right
decision is made, the Justification comprises three tests:
1. Is it Desirable? This will be determined from
requirements management, which demonstrates that
the objectives of the work are required by the
stakeholders and that there is a need
2. Is it Achievable? Benefits management will define
achievable benefits, solutions management will specify
achievable outputs, and Planning establishes the
practicality of the work
3. Is it Viable? An investment appraisal will assess the
financial return on investment, and risk management
assesses the exposure to risk.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P22: Justification - 2
Pete: And who actually owns the business case?
Nita: That’s a really important question Pete. The
business case is owned by the sponsor, who has
ultimate accountability for ensuring that the benefits are
achieved.
If the project is performed by a contractor on behalf of a
client, the two partners in the project may have
different business cases, and this can be a source of
conflict. Each party must be realistic and understand the
driving factors in each other’s business case.
Where the project is delivering an output, the project
manager will probably be responsible for updating the
business case and ensuring that plans for realising
benefits remain achievable and viable.
Programmes are usually broken down into tranches and
it is useful to have a business case to justify each
tranche. It should be noted that one project in a
programme may have a knock effect on the business
case of another. The programme management team
must monitor the effect of interdependencies between
business cases.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P23: Activity
Which of the following should be included in a
Stakeholder Register?
 Session 3: Integrative Management Functions
1. Schedule
2. Area and level of interest
3. Influence
4. Communication log
S3P24: Principles and Goals of Planning
Priya: The overall viability of an initiative will be based
on the cost and time elements in the business case.
Where do we capture those elements?
Tony: That’s a good point Priya. Take a look at the goals
of planning, on screen now. Planning will determine
what is to be delivered, how much it will cost, when it
will be delivered, how it will be delivered, who will carry
it out and how all this will be managed. All this
information feeds the business case.
It should be stressed that delivery planning is just one
level of planning. The other level of planning occurs at
the governance level. There are some goals on screen
now.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P25: Management Plans - 1
Tony: At the governance level, a series of management
plans sets out the principles of how each aspect of the
work will be managed. These plans include documents
such as the risk management plan, the scope
management plan and the financial management plan.
Pete, can you tell us more?
Pete: Thanks Tony. These governance-level plans set out
policies and procedures for each aspect of management.
They list preferred techniques, including templates for
documentation and defined responsibilities. These plans
ensure the quality of the P3 management processes and
deliverables.
In a more mature organisation, governance documents
will exist in a
standard form, ready to be adapted to different
contexts. The standard
governance documents will be used by competent
members of the
identification team to guide their documentation during
the identification process.
During definition, the standard governance documents
will be
tailored to the context of each project and programme,
thus providing
guidance for the detailed management and content of
documents thereafter.
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S3P26: Management Plans - 2
Tony: These documents set out the way a function will
be managed. They contain two main sections. Anyone
like to guess what they are called?
Pete: Judging on what we learnt earlier, I’d guess one
will be Policy?
Priya: And the other is probably Procedure?
Tony: Absolutely! Glad you’ve been paying attention!
We see those section names in other documents, and
they are used again here. The two main sections cover
the policy and procedure of the function, with the detail
being adapted to the context of the work.
The Policy section includes details on roles and
responsibilities, information management, assurance,
budget and interfaces to other functions.
The Procedure section, on the other hand, begins by
defining the steps to be used in performing the function,
followed by detailed recommendations on the tools and
techniques to be used in each step.
A number of Management plans may be created,
according to the needs of the work. We will look at
these next.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P27: Delivery Plans
Tony: We have mentioned Delivery Plans. What exactly
is their purpose?
Pete: To address aspects of delivery, such as when work
is being performed, and by whom.
Priya: Are they the same for projects and programmes,
or does it all depend on context?
Nita: I can explain this. Delivery plans address seven key
planning questions. Click each of the seven images for
more information.
• Why? This may take the form of a vision of the key
elements. As more detailed information is
developed, it will be documented in the business
case
• What? The key objectives will be determined in
requirements management, being described as
outputs, outcomes and/or benefits
• How? There are many ways of achieving the stated
objectives. Solutions development determines the
best way, and this is stated in the business case, and
embodied in many other detailed delivery plans
• Who? As you would expect, this covers the
management organisation and the delivery
resources. Who will do the work is clearly addressed
in the detailed delivery plans
 Session 3: Integrative Management Functions
• When? This is where Schedule management
determines the timing of milestones, stages,
tranches, work packages and individual activities
• Where? This looks at the location. Many projects
are located in one physical location, whereas more
complex projects, programmes and portfolios are
spread across many locations, and sometimes time
zones
• How much? Here we look at the cost of the work.
Financial management determines how much the
work will cost and how it will be funded.
The projects and programmes life cycle is designed to
answer these seven questions.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P28: Inherent Uncertainty
Priya: All delivery plans originate from estimates. The
more information available, the more accurate the
estimates will be. As less information is available in the
early phases of a project or programme than in the later
phases, this results in uncertainty in estimates in the
early phases.
Nita: Is this what they call the Cone of Uncertainty?
Priya: It can be described that way. It is a funnel where
the range of estimates narrows throughout the life
cycle. This inherent uncertainty is often ignored or
misunderstood by key stakeholders, which is why
techniques such as the use of reserves as part of
budgeting and cost control should be used.
The management and delivery plans should be
developed with the wider team as this will set
expectations and develop commitment.
Once agreed at the end of the definition process,
delivery plans provide baselines which are periodically
reviewed and updated.
As we have stated previously, all planning documents
must be tailored to the context of the work, be they
large or small pieces of work.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P29: Typical Sections of a Delivery Plan
Pete: So, what typically goes into a delivery plan?
Tony: They vary in size and detail, Pete. The first delivery
plan to be prepared will be the project or programme
definition plan, with subsequent delivery plans prepared
later.
It is useful for all types of delivery plans to follow a
consistent format,
29
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which typically should include the following sections:
• A Description covers a brief description of what the
plan encompasses
• Dependencies list any external factors upon which
the plan is dependent, such as approvals
• It is always good practice to state any Assumptions
upon which the plan is based
• Additionally, any Lessons incorporated from
previous similar work
• The scope of the plan defines the objectives the
plan should cover
• The schedule can encompass activities that
generate outputs and implement change
• The main concern of the Finance section is the
budget, including estimated costs of the resources
involved in the schedule
• The control section details how the plan will be
monitored and controlled, including tolerances
• Finally, any complementary documentation that
might be relevant to this plan should be included.
S3P30: Principles and Goals of Control
Pete: Before we look at control as a topic, let me ask you
a question. When you are asked “are you in control?”,
what does that really mean?
Nita: For me it is about being informed. Do you know
what is happening, and have you responded
appropriately.
Priya: I would say it involves comparison of your ideal
position against a targeted position, and how you
respond.
Pete: Great answers, as always! Let’s take a look at the
goals of Control. Control involves monitoring
performance against approved baselines, updating
delivery documents and taking corrective action as
necessary. Control is required throughout the life cycle,
but this explanation is primarily aimed at controlling the
delivery process.
Specific control methods are used according to the
nature and complexity of what is being controlled. All six
components of delivery need to be controlled.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P31: Categories of Control Techniques
Nita: Thanks Pete. Priya, are there any particular
techniques for control we need to be aware of?
Priya: Control techniques fall into one of three broad
categories:
• Cybernetic, which is part of the day-to-day
management of the work
• Go / no-go is applied at the key decision points in
the life cycle
• Post is concerned with learning from experience.
 Session 3: Integrative Management Functions
The key element of cybernetic control is feedback. A
system is monitored, feedback is provided and
compared to a norm. Action is taken to align the system
to the norm within agreed tolerances. If we are
expected to exceed the agreed tolerances, this is
escalated and corrective action is agreed.
Go / no-go control is used at key decision points built
into the life cycle, typically at the end of a stage or
tranche of work. The sponsor considers the available
information and decides whether to proceed with the
remaining work, or if it should be terminated.
Post-control is entirely retrospective, as it is concerned
with learning from experience, for example, through
post-project or post-programme reviews.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P32: RAG Reports - 1
Tony: As we alluded to earlier, the key to being in
control is being informed. What form of information do
you think is the best for creating a reaction?
Pete: Something that grabs my attention.
Priya: Something that is readily understood.
Tony: What does RAG, or Red Amber Green indicate to
you?
Priya: Traffic lights.
Pete: Stop – take care – go.
Tony: Excellent. RAG is a form of report where
measurable information is classified by colour, where
each colour is associated with some pre-determined
action, for example, escalation to a higher level of
management. Nita will explain on the next screen.
S3P33: RAG Reports - 2
In creating RAG reports, there are three aspects that
need to be decided (and usually set out in a control
management plan).
First, what will be monitored?
Any quantity may be tracked in this way by selecting key
indicators that are appropriate to the context of the
work.
Second, what action should be taken in each case? The
control management plan may set out the guidelines to
be followed.
Green indicates that the project is on target and no
escalation is required.
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Amber moving towards either red or green implies that
the project is deviating or returning to target. Either
way, the sponsor should be notified.
Red demands that the sponsor should be notified
immediately with recommendations.
The final aspect is, what are the thresholds for green,
amber and red?
These will be set according to numerous possible
factors, including the sensitivity of the indicator being
monitored, relative experience and expertise of the P3
manager, and the importance of the project or
programme to the business.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P34: Control Management Plan - 1
Pete: So what sections do you think a Control
Management Plan will typically contain?
Tony: As per other plans, I would expect to see Policy
and Procedure.
Pete: That’s right. The Policy section contains a number
of fields that are similar in usage to other plans.
The introduction describes the background to the work
and makes it clear how this document relates to other
relevant documents.
The roles and responsibilities field details the
responsibilities of the sponsor and any specialist roles in
assessing the impact of progress or quality control.
Information Management details the format and
frequency as well as the templates that should be used
to track progress and report any issues.
The Assurance field describes the criteria for successful
control to be used in any assurance reviews.
As you would expect, the Budget field details the costs
of management effort, as well as the costs associated
with facilitating control.
Finally, the Interfaces field details the lines of
communication to be observed in controlling the piece
of work.
S3P35: Control Management Plan - 2
Pete: So, the Policy section is reasonably
straightforward. Tony, can you run through the
Procedure section please? That’s usually very specific.
Tony: The Procedure section contains three fields:
• Monitor performance - we specify how
performance data will be captured and what reports
will be used to communicate progress, covering both
cybernetic and go / no-go types of control
 Session 3: Integrative Management Functions
• Assess performance - we specify which techniques
for assessing performance are to be used, in which
circumstances
• Corrective action - describes the approach to how
plans will be updated and changes communicated,
and also sets out the principles for escalation of
issues.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P36: Exercise 2 - Controls
Take a look at the ‘Foundation Course Exercises’
document, which you can find in the ‘Resources’ tab.
You’ll remember that on page 2 you can read the
background to a scenario about Brooks Bicycles, a
bicycle manufacturer planning to move its factory and
offices to a newly developed business park on the
outskirts of town.
Last time we asked you to suggest an appropriate
organisation structure for the relocation of the factory
and offices. This time, go to page 5 and, using the
template supplied, suggest appropriate controls for the
relocation project.
Once you have made your selections, compare your
answers with those on page 4 of the ‘Foundation Course
Exercise Answers’ document.
How did you do? Do your controls look similar to the
sample answers? The controls you suggest will depend
on your perception of the complexity of the project.
S3P37: Activity
Which of the following is a recognised Management
Plan?
1. Resource Management Plan
2. Schedule Management Plan
3. Assurance Management Plan
4. Equipment Management Plan
S3P38: Principles and Goals of Assurance
Tony: Priya, tell us how quality fits in with all these
plans that are being created?
Priya: The term assurance is often used in the context of
‘quality assurance’. The goals of assurance are on screen
now. With Praxis, it is an inherent characteristic, with
quality planning covered in the planning function and
quality control covered in the control function. Read the
goals of assurance and then click the ‘goal’ image to
continue.
Assurance is the set of systematic activities intended to
ensure that the
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objectives and management processes of a project,
programme or portfolio are fit for purpose. Its targets
can be split into two simple categories:
The Objectives of the work will usually be the subject of
quality control techniques. Assurance will audit the
management plans to ensure appropriate standards
have been set, and check that the results of quality
control have been acted upon.
The Processes and Procedures should also be set out in
the management plans and, again, Assurance should
check that the appropriate management plans are in
place and that the processes and procedures are fit for
purpose.
Tony: And do you know who exactly has responsibility
for Assurance?
Priya: Yes, I do. Assurance is the responsibility of the
sponsor. Anyone performing Assurance must be
independent of the management and delivery teams,
and report directly to the sponsor.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P39: Assurance
Tony: Can you think of the areas that Assurance will
typically review?
Nita: Various policies, and the procedures that should
follow those policies.
Tony: Yes, procedures have been identified as one of the
main sources of conflict in projects, as there is usually an
element of interpretation in following procedures.
Nita: Absolutely. When independent auditors arrive to
check that procedures are being followed, this can cause
concern amongst the management
team. The sponsor should ensure that Assurance
happens, but also that they visibly make a positive
contribution.
To be effective, Assurance should ideally concentrate on
the riskier areas of what is being assured, and not just
go through a straightforward box-ticking exercise.
As well as checking, the assurance role should assist and
advise, as well as review. People in this role move from
project to project and programme to programme. They
are in the perfect position to promote good practice and
disseminate lessons learned.
Additionally, Assurance should be seen as a sign of the
organisation’s commitment to developing the discipline
and profession of P3M.
The intended approach to Assurance, the resources
required and the scheduled reviews are all set out in the
 Session 3: Integrative Management Functions
assurance management plan. The sponsor must ensure
this is plan is independently prepared.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P40: Assurance Management Plan
Pete: The Assurance Management Plan is one of the
simpler plans. It contains just a Policy section, made up
of five fields.
• The introduction describes the background to the
work and makes it clear how Assurance supports
sponsorship and delivery
• Roles and responsibilities identifies the Internal and
External Assurance, and who is responsible for
carrying it out. Clearly these will be individuals who
are not connected with the day-to-day management
of the project, programme or portfolio
• With Information Management, we identify the
composition and format of Assurance reports,
together with the principles of how these should be
communicated to the management team and other
stakeholders
• The assurance field explains the operational
relationship between internal and external
Assurance
• Finally, a budget identifies the cost of Assurance
activity, which will only be necessary in complex,
rigorously assured contexts.
Tony: Why is there no Procedure section?
Pete: As there is not a standard procedure for
assurance, the specific steps are entirely dependent
upon the context of the work. In principle the procedure
must include steps that fulfil the goals of the Assurance
function.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P41: Activity
Which role is ultimately responsible for assurance?
1. Project Manager
2. Sponsor
3. Business Analyst
4. CEO
S3P42: Principles, Goals and Procedure for
Information Management - 1
Tony: Information management is the collection,
storage, dissemination, archiving and eventual
destruction of information. The goals of Information
Management are on screen now. Read through them
and then click the ‘goal’ image to continue.
During the course of a project, programme or portfolio,
large amounts of data will be collected, which all needs
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careful analysis and interpretation. When do you think
data starts to be created in a piece of work?
Pete: I would say almost as soon as the piece of work is
started.
Tony: You are correct Pete. The creation of data starts as
soon as the mandate is issued. This means information
management procedures and responsibilities need to be
defined early in the life cycle, as well as any
organisational standards which documents must
conform to. It should all be set out in an information
management plan.
S3P43: Principles, Goals and Procedure for
Information Management - 2
Pete: So how do we keep track of all these documents?
Tony: Key documents will be subject to configuration
management, and the information management plan
will define how information is classified, identified and
stored, with accessibility, security and confidentiality in
mind.
The expected distribution of documents will be set out
in many relevant management plans, such as:
• the stakeholder management plan, to identify
recipients
• the communications plan, for the timing.
The information management system must be able to
support this.
Pete: What about lessons learned? They need managing
too.
Tony: Indeed they do, Pete, as they contain a different
intrinsic value. These will become part of a knowledge
management system, to enable others to learn and help
the organisation to develop its capability maturity.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S3P44: Principles, Goals and Procedure for
Information Management - 3
Priya: Here is a typical information management
procedure for you. We’ll look at it in greater detail later
in the course.
In the early phases of the life cycle, data collection will
focus on requirements management and solutions
development. It will then move on to the creation of
management plans and delivery plans, showing how the
solution will be delivered.
The initiation step will ensure the necessary resources
are mobilised and the IT infrastructure is in place.
 Session 3: Integrative Management Functions

As the work progresses, performance data will be information, as well as identify who may receive certain
collected. The data is then managed and formatted into information.
information to support control of the work.
By archiving superseded documents rather than
Documentation is a bit like insurance. Until it’s needed destroying them, we can retain an audit trail of
to solve a problem, it isn’t missed if it isn’t there. How revisions.
an organisation supports its managers in this area is a
key indicator of its capability maturity. Finally, we may be required to destroy information
which may persist beyond the duration of a project or
A mature organisation will have standards and resources programme, to conform to organisational standards.
in place to lighten the administrative burden, There may also be security or contractual reasons for
particularly on the managers of small projects, and will the destruction of information.
ensure that all project managers understand the
importance of good information management. You can find supplementary content on this at
www.praxisframework.org, access it through the
You can find supplementary content on this at ‘Resources’ tab.
www.praxisframework.org, access it through the
‘Resources’ tab. S3P47: Summary
In this session we looked at:
S3P45: Information Management Plan - 1
Thanks Priya. Let’s take a look at this latest management • Organisation Management
• Stakeholder Management
plan, namely the Information Management Plan. As with
• Business Case Management
other plans, there are Policy and Procedure sections.
• Governance and Delivery Planning
The introduction describes the background to the work • Control
and relationship to other relevant documents. • Information Management, and
• Assurance.
The Roles and responsibilities section identifies who will
be involved in the management of information in one That concludes session 3.
form or another.

The criteria to be used in any assurance reviews is also

described in this section.

Where there are complex or unusual information

management requirements, a Budget will be identified.

Finally, in Interfaces, we may identify some specific

interfaces, such as how information management
relates to configuration management.

S3P46: Information Management Plan - 2

Tony: Finally, let’s discuss Procedure. Nita, can you talk
us through it?

Nita: No problem, Tony.

The activities listed in the Procedure section are seen to

be typical.

Once we have moved past Initiation we need to collect

and create data using any specific techniques that are
identified to ensure consistency across data capture
activities.

Documenting and storing information should help

establish consistency and may set out policies in areas
such as formats of paper and electronic documents,
secure storage or backup.

At some point, this information needs to be shared.

Access and disseminate should cover any security
clearances or authorisation procedures for access to

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 Session 4: Principles, goals, procedures and documentation of Scope Management
Session 4: Principles, goals, procedures
and documentation of Scope
Management
S4P1: Introduction
Welcome to module four of Praxis Foundation, where
we will look into the principles, goals, procedures and
documentation of Scope Management. This follows the
insights into Integrative Management Functions from
module three.
Let’s investigate Praxis further and take a look at:
• Requirements Management
• Solutions Management
• Benefits Management
• Change Control, and
• Configuration Management
As with previous modules, you can find an online guide
with a lot of supplementary content at
www.praxisframework.org. It is extremely useful for
understanding Praxis, but not examinable. We’re
including the link in the ‘Resources’ tab on the left, and
we’ll let you know on specific pages when there’s useful
extra content online for you to access.
Let us begin!
S4P2: Principles and Goals of Scope
Management
Tony: So, what does the term Scope actually mean?
Priya, can you start us off?
Priya: No problem, Tony. Scope is the totality of outputs,
outcomes and benefits that should be delivered. The
way in which scope is managed depends upon three
things: the nature of the objectives (outputs, outcomes
or benefits), the definability of the objectives, and the
complexity of the work.
Scope management has four goals, namely:
• Identify stakeholders’ wants and needs
• Specify outputs, outcomes and benefits that meet
agreed requirements
• Maintain scope throughout the life cycle, and
• Maximise value for money.
The scope of a project will typically only include outputs,
whereas the scope of a programme invariably covers
benefits realisation. A standard portfolio is defined by its
component projects and programmes; a structured
portfolio is defined by the strategic objectives it is
designed to achieve.
Scope management has five main areas that work
together:
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• Requirements management captures and manages
the stakeholders’ wants and needs, but does not
determine the outputs required to meet them
• Solutions development takes the requirements and
investigates how they may be met
• Benefits management takes requirements and
manages them through to their eventual delivery, in
terms of expressed benefits
• Change control captures and assesses potential
changes to scope, ensuring that only desirable,
achievable and viable changes are made
• Configuration management monitors and
documents the development of products, recording
approved changes and archival of superseded
versions.
Tony: What about Value? You haven’t mentioned that.
Priya: Well spotted Tony! A sixth area often considered
is value management, which ensures that an investment
is optimised for the potential return it can deliver.
S4P3: Scope Management Procedure - 1
To manage Scope effectively, we need a scope
management procedure, which could follow a simple
process as shown, where the ‘implement solution’ step
covers both change control and configuration
management. This linear approach is appropriate in a
project where a small number of outputs support a
small number of benefits.
Requirements management will always trigger solutions
development, which
designs the tangible outputs. Benefits management will
be triggered if the requirements have been defined in
terms of benefits.
Once outputs have been specified and benefits have
been defined, then the work has a baseline for what
must be delivered. This normally occurs at the end of
the definition phase of the life cycle, with potentially
some detail at the beginning of later stages or tranches.
S4P4: Scope Management Procedure - 2
Nita: Definition of the work needed to deliver the
specification and benefits is covered as part of schedule
management.
Once work commences on delivery, any changes to
baseline scope must be subject to formal change control
and recorded in configuration management, along with
the results of quality control.
Benefits management continues beyond the production
of the benefits profiles, to cover the use of change
management to realise benefits.
How detailed requirements are at the beginning of an
initiative will influence how scope is managed. If the
objective is well understood, the scope can be defined
as accurately as possible in the definition phase. Change
 Session 4: Principles, goals, procedures and documentation of Scope Management
control will then assess any potential changes to scope
in terms of cost and viability.
Pete: What about scope creep?
Nita: Yes, that’s a perennial problem Pete. It is useful to
define what is outside of scope, in order to avoid
misunderstandings and manage stakeholders’
expectations.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S4P5: Terminology of Scope
Tony: Can you think of any terms that are relevant to
scope management?
Priya: Objective. Output. Benefit.
Tony: All good choices. We do need some clarity though.
An objective can be an output, outcome or benefit.
An output is a product, or a “thing”, which can be
tangible or intangible. Most outputs are formally handed
over from one party to another – hence the term,
deliverable.
A more complex output may be made up of multiple
products, some of which may be deliverables in their
own right.
Some products will also be entered into a configuration
management system and defined as configuration items.
Products and groups of products, and the work to
produce them, are collectively known as work packages.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S4P6: Scope Documents - 1
Tony: Can you think of any documentation that could be
useful here?
Nita: Vision and Blueprint statements. Business case,
and some benefits realisation.
Pete: Correct, and there are more to consider.
The starting point is a mandate, which is used to trigger
the identification process. It could be as simple as some
minutes in a meeting, or an email.
A vision statement is effectively a “postcard from the
future”, a brief description of the end goal of a complex
project or programme. It needs to be succinct and
memorable. It will be light on detail but will give a good
understanding of why the work is needed. There are no
standard sections to a vision statement, but it is
important that it promotes the justification of the work.
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S4P7: Scope Documents - 2
Specifications define outputs and are created by the
solutions development procedure. The structure and
content of a specification is entirely dependent on the
context. The specification is whatever is required by
good practice, in the relevant context.
The Business Case has already been covered in Business
Case Management.
A blueprint is a form of specification that represents the
sum of all outcomes resulting from the outputs of
projects, and the change activity performed by business-
as-usual, which should enable the described benefits
being realised.
A benefits map is a diagram showing the relationships
between outputs, benefits and the strategic objectives
they support.
A benefit profile is used to define both benefits and dis-
benefits, describing how they can be realised and
measured.
Finally, the project or programme brief is submitted to
the sponsor to seek approval to start the definition
process, where each section of the brief will be used as a
basis for development of multiple specialist documents.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S4P8: Product Documents - 1
Nita: It is possible that other supporting documents may
be needed, but this depends on the context of the work.
Rather than prescribe separate documents, Praxis
identifies a number of fields that need collecting, and
assumes that suitable documents will be constructed
accordingly. Sometimes there is one all-encompassing
document for simple work, with separate documents
depending upon complexity.
Whichever document is used, there needs to be
descriptive information, which may include product
identifier, title, description, composition, owner and
cross references.
Additionally, development information may include the
developer, planned and actual dates of work, quality
criteria and tolerances, quality control methods and
responsibilities, testing dates and results, and any cross
references.
Configuration information may include the current
version, status and date of last change, as well as other
relevant fields.
S4P9: Product Documents - 2
Tony: Many different documents can be assembled. The
ones described commonly occur in guides and methods,
and are not intended to be a prescriptive list.
 Session 4: Principles, goals, procedures and documentation of Scope Management
A product description is a mini-specification for a
particular component of the project, programme or
portfolio’s objectives. It can detail the nature, purpose,
function, appearance and acceptance criteria of the
product, as well as identify sufficient information to
determine development resources and testing activity.
The product descriptions may be summarised in a
product register, which may give an index of products
and their status.
A quality register is used as a diary of quality control
activities for all products.
Its purpose is to document all the planned quality
management activities along with those that have been
completed. After the project is complete, it can be used
a useful reference for future projects.
Every product is recorded as a configuration item,
providing a record of that item, which could include
current status and version.
A status account provides a summary about the current
state of a defined set of configuration items.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S4P10: Product Definition Techniques
Tony: How do we work out how these products get
created? Pete, can you help out?
Pete: Thanks Tony. Once an output has been specified,
work definition will determine the individual activities
needed to create it. This information can be presented
as a product breakdown structure (PBS) and / or a work
breakdown structure (WBS).
Developing a breakdown structure is an iterative
exercise. It will initially be done during the definition
process, in parallel with detailed planning for other
aspects of the project.
The products in a PBS will become configuration items,
and any proposed changes of scope will go through a
formal change control procedure.
Tony: And what do they look like? Organisational charts?
Pete: Yes Tony, they do. A breakdown structure is a
hierarchy of components of some aspect of a project,
programme or portfolio.
With the products that make up the output, namely the
PBS and the work required to create it, the WBS, we can
then use the project or programme delivery team
(represented by an Organisational Breakdown
Structure), to create a responsibility assignment matrix
(RAM) that shows who is responsible for which activity.
36
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The breakdown structures could form the basis of cost
accounting and reporting.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S4P11: Scope Management Plan - 1
Scope is the defining characteristic when choosing to
manage work as a project or a programme. An all-
encompassing scope management plan will work for a
less complex scope. As the complexity increases, other
management plans are needed, such as the benefits
management plan.
Broadly speaking, a scope management plan will exist
for projects, whereas a programme will have separate
management plans for the different components of
scope management. As you would expect, we have the
usual two sections, Policy and Procedure.
Priya, can you take us through the Policy section? Nita
can go through the Procedure section on the next
screen.
Priya: Thanks Tony. In the Policy section we will need an
introduction, describing the background to the work and
how the governance of scope is documented.
The roles and responsibilities part may contain all the
information about roles and responsibilities, or it may
just be an overview, with more detail in each of the
relevant ‘procedure’ sections of the plan.
The composition and format of scope documents may
be defined in information management.
The criteria for successful scope management that will
be used in any assurance reviews will be described in
assurance.
The cost of scope management is to a large extent a cost
to the project or programme. The budget section should
concentrate on certain specialist areas that may be
required.
Interfaces will provide an opportunity to list other
related documents such as a benefits management plan
or a configuration management plan.
Finally, any cross-references to other functions to
highlight areas of scope should appear in the interfaces.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S4P12: Scope Management Plan - 2
Tony: Your turn Nita – can you tell us about the
procedure section of the Scope Management Plan?
Nita: No problem, Tony. The procedure section will
depend on the scale and complexity of the scope. One
 Session 4: Principles, goals, procedures and documentation of Scope Management
simple overall procedure may be appropriate, or a
number of more specialised procedures may be defined.
We mentioned earlier that there are five main areas that
need to work together, so the procedure needs to
include them.
In requirements management, we must ensure
consistency with the complexity of the scope of work
and stakeholder involvement.
The solutions development procedure and techniques
will therefore be defined in accordance with the
complexity of the outputs required.
Benefits management may only contain a section on
benefits if the number of outputs and benefits is small.
Otherwise, a full benefits management plan will be
used.
Change control must define clear procedures, including
levels of authority, change budgets and assessment
techniques. It should also describe how associated
communications should be handled.
In configuration management, we need to consider
complexity. The more complex the scope of a project or
programme, the more inter-relationships there are
between outputs, outcomes, benefits and their
component products. Configuration management may
also cover management documentation.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
Time for a quiz question next, before Pete tells us about
requirements management.
S4P13: Activity
Tony: Which of the following documents would assist
Scope Management?
1. Vision Statement
2. Benefits Map
3. Mandate
4. Highlight Report
S4P14: Principles, Goals and Procedures of
Requirements Management - 1
Pete: Requirements management establishes
stakeholders’ wants and needs, and then reviews these
to create a set of baseline requirements for use in
solutions development and benefits management. Its
goals are to:
• Ensure that all relevant stakeholders have the
opportunity to express their wants and needs
• Reconcile multiple stakeholder requirements to
create a single viable set of objectives, and
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• Achieve stakeholder consensus on a baseline set of
requirements.
A clear and agreed expression of requirements, and
their acceptance criteria, is essential for success in any
project, programme or portfolio, and they can be seen
as physical deliverables, business benefits, functions or
technical needs.
The planning and initiation steps are usually performed
as part of an overarching scope management procedure,
where techniques and approaches will be defined in the
planning step. In initiation, resources are mobilised and
requirements management can start.
S4P15: Principles, Goals and Procedures of
Requirements Management - 2
Tony: The first specific step in the procedure is to
capture all types of requirements, whether they come
from internal and external stakeholders or other legal or
regulatory areas.
The requirements must be analysed to ensure they are
practical, achievable and define ‘what’ is required rather
than ‘how’ it will be achieved.
The remaining steps of Consult and Baseline
Requirements will be undertaken according to the
context of the work.
Capturing requirements can be done in any number of
ways, ranging from personal interviews, surveys and
workshops, to focus groups, modelling and simulation.
Analysing requirements involves looking for any gaps,
overlaps or conflicts in what different stakeholders have
asked for. The result is a thorough understanding of
requirements and the way they contribute to the overall
objective.
The consult step is primarily about providing feedback to
stakeholders and building consensus. Consultation may
well result in further requirements being captured and
analysed, with the eventual result being a baselined set
of functional requirements.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S4P16: Characteristics of a Well Specified
Requirement
Priya: What makes for a well-defined requirement?
Nita: There are no pre-determined criteria for
requirements. However, this list of characteristics may
prove useful.
• All requirements need to be unique, in that they
address only one core requirement
 Session 4: Principles, goals, procedures and documentation of Scope Management
• The information about a requirement needs to be
current, up to date and relevant to the business
need
• Requirements should be expressed consistently, so
that they do not conflict with other requirements
• All requirements need to be understandable to all
by being clear and unambiguous
• Requirements need to be verifiable to check the
compliance of products designed to meet the
requirement through inspection, demonstration or
testing
• Requirements should be traceable from the
originating need, through the delivery process to the
delivered product
• Finally, it should be possible to prioritise a
requirement so that its importance is understood,
relative to other requirements.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S4P17: Purpose of Value Management
Pete: Didn’t we mention a sixth area relevant to Scope
management earlier?
Tony: Value Management was mentioned.
Priya: That’s right Tony. Value management is the name
given to a well-established technique that addresses
requirements management, solutions development and
some aspects of benefits management. While value is a
subjective term, and means different things to different
people, in the P3 environment it is a means of
maximising value for money.
It does not entail merely maximising the satisfaction of
requirements. Nor is it about minimising the use of
resources. Instead, it tries to establish the balance that
maximises the ratio of the two, as shown.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S4P18: Requirements Management in
Projects and Programmes
Priya: How do you gather requirements in a project or
programme? Surely they are different.
Tony: Great question Priya. The failure to fully
understand stakeholder requirements is one of the most
common causes of project failure. Hopefully this will
help explain.
Initial project requirements are defined during the
identification process. Requirements management is
performed in detail during the definition process, along
with solutions development in order to establish their
viability.
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© ILX Group.
On small projects with relatively straightforward
objectives this may all be done by the project manager.
As the requirements become more complex, specialists
may need to be involved.
An early question to resolve is whether the
requirements are expressed as outputs, outcomes or
benefits. This will govern whether the project includes
benefits realisation as part of an extended project life
cycle. If the requirements include multiple benefits that
involve more than one area of business change and
multiple outputs, the work is best governed as a
programme rather than a project.
Programme requirements will typically be expressed as
a combination of outputs and benefits, that can be
described in a benefits map.
A useful dividing line between programmes and projects
is for the programme to express the functional
requirements needed from an output. It is then for the
project teams to manage the technical requirements
that will deliver the required functionality.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S4P19: Principles, Goals and Procedures of
Solutions Development - 1
The second of the five areas we need to work on is
Solutions Development, which determines the best way
of satisfying the requirements for an output. Its goals
are to:
• Evaluate baseline requirements, and alternative
solutions to achieve them
• Select the optimum solution, and
• Create a specification for the solution.
Requirements management produces a clear set of
stakeholder requirements but does not explain how to
meet those requirements. Solutions development
investigates the technical options for meeting the
requirements and will work in conjunction with
investment appraisal that investigates the financial
implications of the different options.
Nita, can you tell us more?
S4P20: Principles, Goals and Procedure of
Solutions Development - 2
Solutions development needs to be planned and
initiated, since the solutions development steps follow
on naturally from those in the requirements
management procedure.
Evaluation looks at alternative approaches and assesses
how well they will perform against stated criteria, such
as capital cost, speed of delivery and degree of risk. The
 Session 4: Principles, goals, procedures and documentation of Scope Management
techniques involved range from simple ‘make or buy’
considerations, to full blown modelling and simulation.
As one solution is selected as the optimum solution, it
will be developed into a specification.
The solution should be regularly checked against the
requirements (as these are subject to change) from two
perspectives:
• ‘Verification’ ensures that the solution is being built
right, while
• ‘Validation’ ensures that the right product is being
built.
Verification of products is part of quality control and
configuration management. Validation is similar to the
continuing confirmation that the objectives remain
justifiable, as defined by the business case.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
Priya, can you tell us about Benefits Management on the
next screen?
S4P21: Principles, Goals and Procedures of
Benefits Management - 1
Priya: Benefits management is the third area we need to
work on. It defines benefits and implements the
necessary changes to ensure the benefits are realised.
Its goals are to:
• Define benefits and dis-benefits of the proposed
work
• Establish measurement mechanisms
• Implement any change needed in order to realise
benefits, and
• Measure improvement and compare to the business
case.
The realisation of benefits is the driving force behind any
project, programme or portfolio. A benefit can be
viewed simply as a positive impact of change.
Change can also have a negative impact, and therefore
benefits management also covers the management of
dis-benefits - the negative effects of change an
organisation is prepared to accept.
Some benefits are tangible, such as cost reduction, and
others are intangible benefits, such as improved
corporate reputation.
S4P22: Principles, Goals and Procedures of
Benefits Management - 2
Tony: Benefits are expressed in the business case, which
is owned by the sponsor who is ultimately accountable
for the realisation of benefits. Benefits are derived from
outcomes through change management. Day-to-day
responsibility for the implementation of change and
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realisation of benefits lies with one or more business
change managers.
The relationship between project or programme
managers and the business change manager (or
managers) is crucial. The delivery of outputs and the
management of change must be closely coordinated.
The benefits management procedure has five main
steps.
Planning explains how benefits will be managed.
Once the work has been authorised, the resources
needed to perform benefits management are mobilised
so that benefits management work can start in the
initiation step.
Benefits depend on the delivery of outputs and the
achievement of outcomes. The inter-relationships
between these will have been defined during
requirements management, using techniques such as
benefits mapping. Each benefit (and dis-benefit) then
needs to be quantified and valued.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S4P23: Benefits Management Plan
Tony: Benefits Management is the third area of interest
to be worked on in relation to Scope Management. A
separate benefits management plan will often be
required where there are multiple benefits, or if the
benefits are more complex. As you would expect, there
are two sections, namely, Policy and Procedure.
Nita, can you take us through the policy section, then
Pete can explain the procedure section on the next
screen.
Nita: Thanks Tony. The opening Policy section is the
introduction, which describes the background to the
work and how this document relates to others.
The roles and responsibilities section identifies the key
roles involved in benefits management. This includes
business change managers representing the business
areas affected. Project and programme managers who
coordinate with the business change managers as well
as the sponsor,
The composition and format of benefits documents will
be defined in information management here, as well as
any progress reports with their timing and intended
recipients.
The criteria for successful benefits management that will
be used in any assurance reviews will be described in
assurance.
The costs of achieving benefits include the cost of
developing the outputs and the cost of implementing
 Session 4: Principles, goals, procedures and documentation of Scope Management
change in business as usual will be captured in the
budget section.
Interfaces, as you would expect, should details any
cross-references between individual benefits.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S4P24: Benefits Management Plans
The Procedure section of the Benefits Management Plan
should include the following.
In the quantify section you will find the methods and
techniques to be used in quantifying benefits.
The value section of the management plan must set out
the rules that will be used to value the benefits. The
methods for allocating costs to benefits, especially
where multiple outputs and multiple benefits have
complex inter-relationships, may also be defined here.
The plan benefits realisation section will set out how the
benefits realisation work will be coordinated with the
delivery of outputs; how communications will be
maintained and how the organisation should prepare
for change. This section should define the performance
indicators that will be used to measure the before-state,
which will be compared with the end-state parameters
to confirm whether the stated value of benefits has
been achieved.
To explain how the transition will be managed, the
realise benefits section will include the approach to
coordinating output delivery with organisational change
activities and the preferred approaches for change
management. On complex programmes this section will
be expanded and may be supplemented with a separate
change management plan.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S4P25: Principles, Goals and Procedure of
Change Control
Tony: The fourth area of relevance to Scope
Management is Change Control.
Change control is the means by which all requests to
change a scope baseline are captured, evaluated and
then approved or rejected. Its goals are to:
• Capture stakeholders’ requests to make changes to
scope
• Ensure that requests are only approved if viable and
achievable and
• Integrate changes into the existing scope.
Priya, can you tell us more?
40
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Priya: In a typical procedure, the planning step will
define how the management team will work with
stakeholders to handle change.
The initiation step will ensure that resources are
mobilised with the necessary competences to deal with
the complexity of the scope.
The first specific step in the procedure is when a
stakeholder makes a change request. The request is
entered into a change log.
The change request is reviewed to determine its high-
level impact on outputs, outcomes and benefits. A
decision is made on whether it is worthwhile or not.
The detailed impact on delivery plans will be assessed
and a recommendation to approve, reject, defer, or
request more information is made. The decision is then
communicated to the management team and
stakeholders, including feedback where appropriate.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S4P26: Principles, Goals and Procedure of
Configuration Management - 1
The final area surrounding Scope Management is
Configuration Management. This encompasses the
administrative activities concerned with the creation,
maintenance, controlled change and quality control of
products.
Its goals are to:
• Identify the products that will be treated as
configuration items
• Support the assessment of change requests and
document the results of change control
• Maintain the validity of the configuration and the
accuracy of the configuration management system.
S4P27: Principles, Goals and Procedure of
Configuration Management - 2
Tony: Nita, can you tell us what a configuration is
please?
Nita: A configuration is the complete set of functional
and physical characteristics of a final deliverable defined
in the specification. At its simplest, configuration
management is the same as version control.
Configuration management provides control over the
development of products. It provides the verification of
products as required by solutions development. A
typical configuration management procedure starts with
configuration identification. This involves breaking down
the work into component products or configuration
items.
 Session 4: Principles, goals, procedures and documentation of Scope Management

The control step ensures that all changes to S4P30: Summary

configuration items are documented, including In this session we looked at:
identifying the relationships between configuration
items. • Requirements Management
• Solutions Management
Status accounting tracks the current status of a • Benefits Management
configuration throughout its development and • Change Control, and
operation. Regular status reports will indicate if change • Configuration Management.
requests are being processed and may highlight those
products frequently receiving requests for change. That concludes session 4.

Verification and audit, as the name implies, determines

whether a product conforms to its requirements and
configuration information.

Configuration audits can be:

• A physical audit, confirming that an item meets its

specification
• A functional audit, checking that it performs the
function for which it was designed
• Or a system audit, checking that the configuration
management system is working.

You can find supplementary content on this at

www.praxisframework.org, access it through the
‘Resources’ tab.

S4P28: Activity
Which word completes the quotation?

A configuration is the complete set of [?] and physical

characteristics of a final deliverable defined in the
specification.

1. Integrative
2. Functional
3. Non-Functional
4. Iterative

S4P29: Exercise 3 – Change Control

Take a look at the ‘Foundation Course Exercises’
document, which you can find in the ‘Resources’ tab.

Please take another look at the background on page two

to the scenario about Brooks Bicycles, a bicycle
manufacturer planning to move its factory and offices to
a newly developed business park on the outskirts of
town.

In previous exercises you’ve already suggested an

appropriate organisation structure and appropriate
controls for the relocation project. Now we want you to
go to page six and, using the template and information
supplied, carry out an impact analysis on the change
request.

Once you have made your selections, compare your

answers with those on page five of the ‘Foundation
Course Exercise Answers’ document.

How did you do? Does your analysis look similar to the
sample answer?

41
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 Session 5: Schedule Management
Session 5: Schedule Management
S5P1: Introduction
Welcome to module five of Praxis Foundation, where we
will look into the principles, goals, procedures and
documentation of Schedule Management. This follows
the insights into Scope Management from module four.
Let’s investigate Praxis further and take a look at:
• Time scheduling techniques, and
• Resource Scheduling techniques.
As with previous modules, you can find an online guide
with a lot of supplementary content at
www.praxisframework.org. It is extremely useful for
understanding Praxis, but not examinable. We’re
including the link in the ‘Resources’ tab on the left, and
we’ll let you know on specific pages when there’s useful
extra content online for you to access.
Let us begin!
S5P2: Principles, Goals and Procedures of
Schedule Management
Tony: Whether it be a project, programme or portfolio, a
schedule is required showing the work involved.
Schedules are an important means of communication
with team members and stakeholders alike.
Pete, can you tell us a little about schedule management
please?
Pete: Thanks Tony. Schedule management has three key
goals or objectives:
• Determine timescales for the work
• Calculate profiles of resource demand, and
• Present schedule reports in a format suitable for
different stakeholders.
The schedule management procedure will typically
follow these steps.
In the planning step, we define the techniques and
approaches that will be used, closely followed by
initiation step ensuring the necessary resources are
acquired and mobilised.
Scheduling starts with the identification and definition
of the work that is needed to deliver the objectives. This
identification will be performed both top-down and
bottom-up.
Schedule management is concerned with the time and
resource aspects and is therefore closely inter-related to
the functions that deal with scope management and
financial management. To be realistic, schedules must
reflect the impact of resource availability.
Schedule reports range from simple milestone charts to
more complex reports for different stakeholders. They
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can be set out in a schedule management plan, or a
stakeholder management plan if preferred.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P3: Time Scheduling
Tony: Managing time is a crucial part of schedule
management. Are there any recommended techniques?
Nita: That is a great observation, Tony. Time scheduling
is a critical part of schedule management. There are a
number of time scheduling techniques to develop in
order to show when work will be performed and
products will be delivered.
Time scheduling seeks to:
• Construct a model for use in numerical analysis
• Calculate dates for components of work
• Determine where there is flexibility in the schedule.
Once the work has been identified a model is built that
reflects the sequence of working and the time required
to complete each component. Once the model reflects
the internal logic of the work and the external
constraints, the schedule is calculated.
In reality these steps are by no means sequential. The
model will be adjusted, constraints will be reviewed and
the calculation repeated in order to arrive at the
optimum schedule.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P4: Factors Affecting Choice of Technique
Priya: The range of techniques available to model,
schedule and report the work involved in a project,
programme or portfolio is very broad, and the
appropriate choice of technique depends upon the
context and how much information is available at the
point when the scheduling is being done.
Factors to consider include:
• Does the Scheduling take place in the identification
or delivery phase of the life cycle, as the level of
detail available will vary
• Is the Scope of the work well defined, or is it
flexible, with the detail emerging later?
• Does the Schedule represent a summary of other
schedules, with differing needs?
• Is the Output aimed at members of the delivery
team or external stakeholders?
• Finally, is the Work inherently innovative or
uncertain?
The use of scheduling methods that are inappropriate to
the needs of the project, programme or portfolio can
cause significant problems. An overly complex approach
 Session 5: Schedule Management
is just as bad as a simplistic approach, so care must be
taken to ensure techniques are appropriate and
correctly applied.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P5: Time Scheduling Techniques
The most common mechanism for building a model is a
network diagram. This is made up of all the
interconnected activities required to achieve the
objectives. One method of calculating a schedule is
critical path analysis, or CPA. Network diagrams are
most applicable to projects. Nita, can you tell us more?
Nita: Thanks Tony. CPA calculates start and finish dates
for all the activities in the network. Some activities have
flexibility or float. The sequence of activities with no
float are referred to as the critical path.
Once the activity dates are calculated, they are typically
represented on a Gantt chart.
The main advantage of the network diagram is that it
can be frequently updated with new information and
quickly recalculated. This is an ongoing process
throughout the life cycle and uses information about
actual progress to predict the eventual completion of
the work.
Activities in the network diagram may have allocated
costs as well as durations. A technique that combines
the effect of both time and cost as part of project
control is earned value management. This measures
progress in terms of value delivered rather than elapsed
time and is used to provide more accurate predictions of
future progress and completion based upon progress to
date.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P6: Gantt Chart
Tony: Pete, can you tell us why it is called a Gannt chart?
Pete: Gantt charts took the name of their creator, Henry
Lee Gantt, who was an American engineer.
Sometimes known as a bar chart, the Gantt Chart simply
shows bars on a horizontal time scale. They are equally
applicable to use in projects as well as programmes and
at the portfolio level.
On most projects, a Gantt Chart would be showing the
results of critical path analysis, including highlighting
critical activities and float.
The basic format can be enhanced, for example, in the
form of linked bar charts and slip charts.
43
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You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P7: Network Diagram – Precedence
Diagram
Tony: Network diagrams represent the way that
activities will be performed in order to achieve the
objectives.
There are two main formats for preparing a network
diagram: activity-on-node (the most common form of
which is a precedence diagram); and activity-on-arrow.
In precedence diagrams the essential component that
represents an activity and shows the sequence in which
the activities will be performed, is a box, or node.
The table shows a list of activities followed by their
predecessors. The second column shows the activities
that have to be finished before the activity in the first
column can start. The resultant network is shown.
In this example, all the links show that when one activity
is finished, another can start. This is known as a finish to
start link.
Pete: Are these the only relationship types?
Tony: There are three other relationship types:
• Start-to-start, where two activities can start
simultaneously
• Finish-to-finish, where two activities can finish
simultaneously
• Start-to-finish, one activity cannot finish until
another has started.
Pete: Can you have combinations of relationships?
Tony: Indeed, you can. Some activities can run in parallel
with a combination of start-to-start and finish-to-finish
links. These sequences of activities are known as
ladders.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P8: Critical Path Analysis
Tony: Critical path analysis is a time scheduling
technique for analysing a network diagram. It calculates
dates when activities in the network should occur and
identifies flexibility in the performance of some
activities. Priya, can you explain the calculation please?
Priya: No problem, Tony. The calculation comprises
three phases:
• A forward pass
• A backward pass, and
• Float calculations.
 Session 5: Schedule Management
The forward pass, left to right, calculates the earliest
times when activities can occur and the backward pass
calculates the latest times. The difference between the
two indicates the float.
Each activity in the network diagram will have seven
basic elements:
• Activity Name
• Earliest Start
• Duration of the activity
• Earliest Finish
• Latest Finish
• Latest Start, and
• the Float.
The upper dates will indicate the earliest time the
activity could be performed, and the lower dates will
indicate the latest time the activity could be performed.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P9: Forward Pass
I’ll explain forward passes on this page, then Nita will
cover backward passes, before Pete takes us through
float calculations.
To perform a forward pass, start by placing 0 as the
earliest start of activity A. In this example, its duration is
2 days, therefore its earliest finish is day 2. If A is
finished by day 2 then that is the earliest start of B and
D, and so the calculation continues.
The next point to note is activity F. This activity has two
predecessors, C and D.
C’s earliest finish is 8, but D’s is 12. Therefore, the
earliest time that F can start is day 12.
Following the calculation to its conclusion the earliest
finish for G (and therefore the project) is 21 days.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P10: Backward Pass
Having gone forwards, we now need to complete the
backward pass.
The earliest finish for the project is assumed to also be
its latest finish, and both values are the same. The
process is repeated, but in reverse.
If G’s latest finish is day 21, and it takes 3 days, its latest
start is therefore day 18. This means that F and E must
be finished by day 18 at the latest.
E’s latest start is 14 and therefore D, perhaps, has a
latest finish of 14. But D also has to be complete in time
44
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for F to start. The latest start of F is 12, and hence D has
a latest finish of 12.
The same principle applies to A. Even though B doesn’t
have to start until 6, A
must be finished by 2 because that is the latest time D
can start.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P11: Float Calculations
The last phase of CPA is the simplest. If there is a
difference between the earliest and latest times that an
activity can be done, it must have a degree of flexibility.
This is calculated by first taking the earliest start from
the latest finish. By deducting the time required to
perform the activity from the time available, the total
float is calculated. This Float is sometimes referred to as
Slack.
In this example, on activity B, we calculate the Time
available by subtracting the earliest start from the latest
finish, which in this example is 9 minus 2.
Therefore, the time available is 7 days.
Total float is calculated by subtracting the duration from
the time available, which is 7 minus 3, resulting in 4 days
total float. The activity could be delayed or extended by
4 days without extending the network finish date of 21
days.
For some activities, such as Activity D, the float will be 0.
These are the critical activities and the sequence of
these from the first to last activities is the critical path.
In the sample network that is: A-D-F-G.
The critical path is the longest path through the network
and has the least float, usually zero.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P12: Types of Float
Priya: For Pete’s example on the last page, where do you
think we should be focusing?
Tony: I would say the focus should be on, A, D, F and G,
because they have no flexibility. E has only two day’s
float and also needs to be watched carefully.
Priya: Totally agree Tony.
The example network uses only start-to-finish
dependencies. The use of other types of network
diagram dependencies make the calculation slightly
more complex and can lead to activities having different
amounts of float at their start or finish.
 Session 5: Schedule Management
There are two aspects of float that we need to look at
more closely, namely Shared and Free Float. These are
demonstrated by activities B and C.
If B is delayed at all, it will have an immediate knock-on
effect on C. This is normally just referred to as total
float, although it would be more accurate to qualify it as
‘shared’ total float.
Free float is the amount by which an activity can be
delayed without affecting any subsequent activities.
Activity C can be delayed by up to 4 days without having
any knock-on effect because F cannot start until day 12
anyway.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P13: Activity
What is being described by the text below?
“The amount by which an activity can be delayed
without affecting any subsequent activities.”
1. Critical float
2. Non-critical float
3. Shared float
4. Free float
S5P14: Exercise 4 – Schedule Management
Take a look at the ‘Foundation Course Exercises’
document, which you can find in the ‘Resources’ tab.
Please take another look at the background on page two
to the scenario about Brooks Bicycles, a bicycle
manufacturer planning to move its factory and offices to
a newly developed business park on the outskirts of
town.
In previous exercises you’ve already suggested an
appropriate organisation structure and appropriate
controls for the relocation project, as well as an impact
analysis on the change request.
Now you should look at page seven, take a sheet of
paper and draw a precedence network from the
information provided.
Once you have made your diagram, compare it with
those on pages six and seven of the ‘Foundation Course
Exercise Answers’ document. Don’t assume your
network is wrong if they aren’t the same - two planners
are likely to see different ways of performing the work.
S5P15: Resource Scheduling
Tony: Now we have the activities in place, we can look
at the resourcing. Resource scheduling is a collection of
techniques used to analyse the resources required to
deliver the work, and when they will be required.
Priya, can you tell us more please?
45
© ILX Group.
Priya: First, we need to allocate resources to activities.
This will comprise quantities of consumable resources,
or the effort required by re-usable resources. Once the
resources have been allocated and a time schedule
calculated, the resources can be aggregated.
The schedule may reveal issues with materials or
components that have to be ordered well in advance,
leading to orders being placed before the work is fully
authorised.
Second, where we have limited resources or time, we
can use resource smoothing and resource levelling.
Resource smoothing reschedules activities while
retaining the finish date calculated by critical path
analysis.
Resource levelling ensures that resource demand never
exceeds availability. This usually results in an increase in
the time taken to complete the work and is more
appropriate when there are strict limits on the available
resources.
Pete can tell us about Resource Limited Scheduling on
the next page.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P16: Resource Limited Scheduling - 1
Pete: Resource limited scheduling is based on critical
path analysis, but schedules activities according to the
availability of resources.
The diagram shows a Gantt chart and resource
histogram. The resource limit indicates the number of
resources available and the finish date of the ‘project’ is
calculated by critical path analysis. The red area
indicates the period during which demand exceeds
supply.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P17: Resource Limited Scheduling - 2
Resource levelling schedules activities so that there are
no resource overloads.
However, this almost invariably results in a later finish
date for the project.
Resource smoothing assumes that the finish date
calculated by critical path
analysis cannot be delayed. This means that no activity
can be delayed by more than its total float. The resource
histogram is ‘smoothed out’ as much as possible, but
some overloads remain.
 Session 5: Schedule Management
In our example, Activity B has been delayed so that it no
longer conflicts with activity A. Activity D has also been
delayed and this has resulted in a delay to the finish
date.
In a different approach, Activity B has been delayed in
order to take up some of the spare capacity. Because it
has not been delayed beyond its available float, it has
not affected the finish date, although it has resulted in
Activity D being delayed. There is still some overload,
but less than before.
This example only uses one scheduling option, that is, to
delay activities. There are many other options and these
are supported to a greater or lesser degree by different
scheduling software.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P18: Options for Manipulating Activities
Tony: Nita, can you tell us what options there are to
allow for Resource Limited Scheduling?
Nita: No problem, Tony. You could consider the
following:
• Delaying an activity within its float to a period when
resources are available
• Stretching an activity to use resources at a lower
rate
• Compressing an activity to use resources at a higher
rate
• Altering the profile of resource usage across the
duration of the activity
• Delaying an activity beyond its float and extending
the project, which is what resource levelling advises
• Splitting an activity so that the resulting smaller
activities can make use of pockets of resource
availability
• And finally, altering the logic of the network to allow
activities to start earlier.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P19: Options for Manipulating Resources
Pete: In reality, is there ever one recommended
solution?
Priya: In practice the best solution is likely to be a
combination of a number of actions. It may be
acceptable to delay completion a couple of days, with
overtime to compress an activity.
Care must always be taken when using computer
software for resource limited scheduling.
It is often beneficial to use resource limited scheduling
as a ‘what if’ approach
46
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coupled with sensitivity analysis, rather than a means of
producing a definitive project schedule.
Some of the most common options may include the
following:
• Recruiting more resource
• Provide training to help develop multiple skills
• Employing less labour-intensive working methods,
and finally
• Working overtime.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P20: Estimating Techniques
Tony: Is it possible that resource scheduling would
benefit from revisiting estimates?
Nita: We may find some assistance in revisiting the
initial estimates. Estimating is the activity of predicting
what a piece of work will require in terms of time,
resource and cost.
Almost all estimating goes through two stages, namely,
top-down and bottom-up.
In the early stages of the project or programme,
approximate estimates are needed, based upon limited
information. As the work becomes increasingly well-
defined, greater accuracy can be achieved, that is,
definition and the estimate are developed from the top
down.
Once the detail has been established, small chunks of
work can be more accurately estimated. Individual
activity estimates can be consolidated to develop more
accurate total costs and timescales, that is, from the
bottom up.
There are a number of estimating methods, ranging in
accuracy. Parametric estimating is based upon certain
parameters and statistical formulae. Comparative
estimating is based on empirical evidence. Analytical
estimating analyses the individual costs in detail. Finally,
subjective estimating is based on people’s opinions of
costs.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P21: Schedule Management Plan - 1
Tony: To bring all the scheduling considerations into one
place, we can create a Schedule Management Plan. As
per previous documents of this type, there are two
sections - Policy and Procedure. Priya, can you take us
through the Policy section please?
Priya: Thanks Tony. As more complex projects and
programmes are undertaken, more thought should be
 Session 5: Schedule Management

given to the range of techniques available for both time
scheduling and resource scheduling. This is particularly
important where different parts of the work may need
to use different techniques, but still facilitate
consolidation to produce high-level schedules.
As before, the introduction will describe the background
to the work and make it clear how this document relates
to other relevant documents.
The Roles and responsibilities section of the
management plan must clearly describe which roles
have which responsibilities for schedule management
including paths of escalation and communication.
Pete: I would have thought in the stakeholder
management plan.
Nita: Correct Pete, that would be the alternative
document. Time for one more question activity, before
Tony wraps up this module.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S5P23: Activity
Which type of estimating is based on empirical
evidence?

Information management will detail the composition 1. Parametric

and format of schedule reports, such as Gantt charts.
2. Comparative
The criteria for successful schedule management that
3. Analytical
will be used in any assurance reviews will be described
in Assurance. 4. Subjective

Any expenditure attributable to schedule management S5P24: Summary

should be noted in Budget. In this session we looked at:
Schedules can interface with all other aspects of P3 • Time scheduling techniques, and
management. How cross-references will be handled • Resource Scheduling techniques.
should be explained here in Interfaces.
That concludes session 5.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.

S5P22: Schedule Management Plan - 2

Tony: Thanks Priya. Nita, can you now take us through
the Procedure section please?

Nita: The use of techniques to document activity, for

example work breakdown structures and estimating
techniques for time and resource, should all be specified
in Identify and estimate.

The techniques and methods to be used are defined in

Build model, including how the outputs of different
methods and techniques may be consolidated.

The techniques and methods to be used for analysis are

defined in Analyse, including how the outputs of
different methods and techniques may be consolidated
to produce an overall schedule for a complex piece of
work.

Communication of the schedule is a key part of ensuring

all stakeholders have a common understanding of the
progress and predicted performance of the work.
Reports should be carefully tailored to their recipients
and be as consistent in approach as possible. How that
will be achieved is defined in Report.

If a schedule management plan does not exist, where do

you think this information should be covered?

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 Session 6: Finance Management

Session 6: Finance Management Estimated costs will be collated onto budgets for
different aspects of the work. These are combined with
S6P1: Introduction the delivery schedule to create cash flow information.
Welcome to module six of Praxis Foundation, where we
Securing funds continues in parallel with these steps and
will look into the principles, goals, procedures and
with the different phases of the life cycle.
documentation of Financial Management. This follows
the insights into Schedule Management from module If the brief is approved at the end of the identification
five. process, that approval should be accompanied by
sufficient funds to complete the work.
Let’s investigate Praxis further and take a look at:
Financial control systems will need to be implemented
• Investment Appraisal
that are consistent with the volume and nature of
• Funding
• Budgeting and Cost Control. financial transactions to predict cash flow and track
expenditure against budget.
As with previous modules, you can find an online guide
You can find supplementary content on this at
with a lot of supplementary content at
www.praxisframework.org, access it through the
www.praxisframework.org. It is extremely useful for
‘Resources’ tab.
understanding Praxis, but not examinable. We’re
including the link in the ‘Resources’ tab on the left, and S6P4: Principles, Goals and Procedures of
we’ll let you know on specific pages when there’s useful
Investment Appraisal
extra content online for you to access.
Part of Financial management is the investment
Let us begin! appraisal activity, which is a collection of techniques
used to identify the attractiveness of an investment.
S6P2: Principles, Goals and Procedures of
Investment appraisal is very focused on the early phases
Finance Management - 1
of a project or programme and is performed in parallel
Priya: Financial management covers all aspects of
with the early work on management plans and delivery
obtaining, deploying and controlling financial resources.
plans.
It is made up of three main areas:
The first specific step is to collect the relevant
• Investment appraisal is the procedure by which the
information in conjunction with stakeholders.
viability of the work is assessed. This is one of the
primary inputs to the business case The next step is to perform the appraisal using suitable
• Funding is concerned with securing the investment
techniques. Finally, the results of the appraisal are
required to complete the work and ensuring it
reported, usually in the form of a business case.
supports cash flow
• Budgeting and cost control estimates costs, predicts At the heart of an investment appraisal lies a
cash flow and then applies controls to monitor cash comparison between investment and return. Any
flow.
objective comparison requires both sides to be
measured in the same units.
There is a simple procedure for the management of
finance. The return can also usually be measured in terms of cash
but subjective benefits can often be a significant
Starting with the planning, we define the scope and
component.
objectives of financial management and results in the
finance management plan. There are numerous techniques for investment
appraisal, and where there is a significant emphasis on
The initiation step is performed once the work is
subjective benefits, scoring methods may be most
approved and the resources needed to manage finances
appropriate.
are mobilised.
You can find supplementary content on this at
You can find supplementary content on this at
www.praxisframework.org, access it through the
www.praxisframework.org, access it through the
‘Resources’ tab.
‘Resources’ tab.

S6P3: Principles, Goals and Procedures of S6P5: Factors to be Included

Finance Management - 2
The first specific step is to estimate what the work may
cost. The estimated costs are balanced against the value
of benefits (as calculated in the benefits management
procedure) and documented in the business case.
Pete: What factors do we need to take into
consideration?
Tony: Good question Pete. Most investment appraisals
are based on cash flows, but there are other factors that
may need to be included, such as:

48
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 Session 6: Finance Management
• Legal considerations - can a project enable an
organisation to conform to new legislation?
• Environmental impact - the effects of work on the
natural environment are increasingly a factor when
considering an investment
• Social impact - for charitable organisations, return
on investment could be measured in non-financial
terms such as ‘quality of life’ or even ‘lives saved’
• Operational benefits - could include less tangible
elements such as ‘increased customer satisfaction’
• Business and operational risk - all organisations are
subject to it. An investment decision may be justified
because it reduces risk.
Investment appraisal needs inputs from all these factors.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S6P6: Investment Appraisal Techniques
Tony: How do we apply Investment Appraisal?
Pete: The simplest of the financial techniques is the
payback method. This calculates
the payback period, namely the time taken for the value
attributable to benefits to equal the cost of the work.
This can be useful for initial screening.
Where there is a significant time difference between the
expenditure and the consequent financial return,
discounted cash flow techniques are more appropriate.
The simplest of these is the calculation of net present
value, or NPV, which calculates the present value of all
cash flows associated with an investment. An NPV of
zero is called the internal rate of return, or IRR.
There are also a number of Scoring methods which we
will consider next.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S6P7: Scoring Methods
Scoring methods are used in investment appraisal. They
have two primary purposes. First, they are useful where
benefits are difficult to quantify objectively, and second,
they can be used to aggregate the results of multiple
appraisal methods to provide an overall comparison.
The simplest form of scoring model is where a list of
criteria is assessed in a binary way, i.e. they are either
met or not.
On this basis the scoring shown seems to indicate that
Project B should be preferred over Project A.
Take a moment to look at the table and then click the
binary code to move on when you’re ready.
49
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A more accurate picture is gained by scoring each factor
according to how well it meets the criteria, and
weighting each factor according to its importance to the
organisation. This suggests that Project A is the
preferred option.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S6P8: Payback Method
The payback method is one of the simplest forms of
investment appraisal. It is most suited to projects of
lower complexity in contexts where liquidity is
important. The method is easy to apply and simple to
communicate to stakeholders. Let’s consider an
example.
A company is refurbishing an existing property and
wants to understand the impact on cash flow. It
estimates the refurbishment costs and net income.
When comparing income and expenditure (shown by
the two lines on the graph), it is clear that the payback
period is between three and four years.
The exact payback period can be calculated with the
formula:
Payback period = A + B divided by C
In this example, A is the last period with a negative net
cash flow, which is 3.
B is the absolute value of the net cash flow at the end of
period A, which is 1,050,000.
And C is the net income in the period after A which is
2,000,000.
Therefore, the payback period is 3 plus 1,050,000
divided by 2,000,000, which equates to 3.53 years.
Nita: Doesn’t the value of money change over time?
Priya: Indeed it does, Nita, and that factor is ignored by
the payback method. However, there are more
sophisticated methods.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S6P9: Discounted Cash Flow - 1
Discounted cash flow (DCF) is an investment appraisal
technique that, unlike payback and accounting rate of
return, takes the value of money over time into account.
In essence, money today doesn’t have the same
purchasing value as money tomorrow. Most people are
familiar with the idea of investing a sum of money so
that it attracts interest, which compounds over time.
 Session 6: Finance Management
Over a four-year period, £1000 at 7% interest would
equate to £1311.
Economic inflation has the opposite effect. Money
placed in a box under the mattress will decrease in
purchasing value over time.
Let’s look at an example. We have an initial sum of
£1000 and we have an assumed discount rate of 7%.
Over four years, the discount factor would be 0.763,
equivalent to 1000 divided by 1.07 four times, meaning
our £1000 is now worth £763.
This is important to projects and programmes as they
expend cost over a period of time.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S6P10: Discounted Cash Flow - 2
Pete: The table shows project costs and benefits
discounted according to the year in which they occur.
The costs and benefits are summed and the difference
represents the net present value, that is, the net value
of undertaking the project in terms of today’s value of
money.
A table like this is suitable for a non-complex project
delivering one benefit. In more complex projects or in
programmes it is not so simple to relate one project and
its output to one benefit.
At programme level is it likely that there will be multiple
project cash flows and multiple benefit cash flows that
would be aggregated to provide an overall programme
discounted cash flow and net present value.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S6P11: Exercise 5 - Financial Management
Take a look at the ‘Foundation Course Exercises’
document, which you can find in the ‘Resources’ tab.
Please take another look at the background on page two
to the scenario about Brooks Bicycles, a bicycle
manufacturer planning to move its factory and offices to
a newly developed business park on the outskirts of
town.
In previous exercises you’ve already suggested an
appropriate organisation structure and appropriate
controls for the relocation project, and you’ve created
an impact analysis on the change request and drawn a
precedence network.
Now you should look at pages 9-10 and, using the tables
provided, calculate the net cash flow for each year and
the cumulative cash flow over five years. All figures are
in thousands.
50
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Once you have made your calculations, compare your
answers with those on pages 8-9 of the ‘Foundation
Course Exercise Answers’ document.
S6P12: Principles, Goals and Procedures of
Funding
Funding is the means by which the finance required to
undertake a project,
programme or portfolio is secured and made available
to perform the work. Funding has three goals, namely:
• Determining the best way to fund the work
• Securing commitment from the fund holders, and
• Managing the release of funds throughout the life
cycle.
We must first identify the possible sources of funding,
which could come from internal, external sources or a
combination of the two.
Internal funding is where all the costs of the work are
funded from the host organisation’s existing resources
in operational and capital budgets.
Where funding is provided by an external body such as a
bank or by shareholders, terms and conditions will need
to be negotiated which can include interest rates and
charges.
Administering funds therefore involves initially
committing and reserving funds for the identification
process, the definition process and the delivery process.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S6P13: Principles, Goals and Procedures of
Budgeting and Cost Control
Budgeting and cost control includes the detailed
estimation of costs, the setting of agreed budgets, and
control of costs against that budget.
Its goals are simply to:
• Determine the income and expenditure profiles for
the work
• Develop budgets and align with funding, and
• Implement systems to manage income and
expenditure.
A budget identifies the planned expenditure for a
project, programme or portfolio. It forms the baseline
against which the actual expenditure and predicted
eventual cost of the work is reported.
Initial cost estimates are based on comparative or
parametric estimating
techniques. These are refined as the achievability and
desirability of the work
 Session 6: Finance Management
are investigated and a detailed understanding of scope,
schedule and resource is developed.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S6P14: Base Cost
The base cost is the cost of the work according to the
schedule. This is typically made up from costs from areas
such as:
• Resourcing of staff
• Accommodation and infrastructure costs
• Consumables such as power or stationery
• Expenses such as staff travel and subsistence, and
• Capital items such as purchase of equipment.
These base costs have two pairs of possible attributes.
They can be direct (costs that are directly attributable to
the work) or indirect (costs such as overheads shared
with other parts of the organisation).
Costs can also be fixed (remain the same regardless of
how the work proceeds), or they can be variable
(fluctuate with the amount used).
Any cost will be a combination of attributes from these
pairs (for instance, variable direct costs or fixed indirect
costs) and it is useful to break costs down into a cost
breakdown structure, or CBS.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab
S6P15: Three Major Components of a P3
Budget
Pete: With the base costs calculated, we need to
consider other elements that make up the budget. Can
anyone suggest other budget areas?
Priya: Risk is an area that always gets overlooked.
Tony: Unexpected things that could occur.
Pete: Great answers. Risk management will identify the
potential cost of dealing with known risk, and allocate
this to a contingency budget.
Even the best risk management cannot foresee all
possible causes of additional cost so a further level of
reserve is held by the sponsor. This is known as the
management reserve.
Therefore, the three major components of a P3 budget
are:
• the base cost estimate
• the contingency reserve and
51
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• the management reserve.
Once the costs and reserves have been approved at the
end of the definition process, they become the budget.
As the delivery process gets underway so does
accounting control. Actual costs may be recorded
directly by the management team, or indirectly through
operational finance systems.
The ‘accounting control’ step of this procedure should
be closely aligned with the ‘administer funding’ step of
the funding procedure to ensure that funds are ready to
be released to meet the costs incurred.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S6P16: Types of Costs to be Tracked
Priya: There are three types of costs which must be
tracked:
• Committed costs, which reflect confirmed orders for
future provision of goods and/or services
• Accruals, for work partially or fully completed for
which payment will be due, and
• Actual costs, which is money that has been paid.
The forecast cost is the sum of commitments, accruals,
actual expenditure and the estimated cost to complete
the remaining work.
Nothing goes exactly according to plan and the actual
expenditure will inevitably be different from planned
expenditure.
Thresholds, known as tolerances, will be set that trigger
escalation to and the involvement of the sponsor.
Dealing with increased costs may include drawing funds
from either the contingency reserve or the management
reserve.
Finally, periodically, the business case must be formally
reviewed to ensure the work is still viable.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S6P17: Activity
Tony: Which of the following would NOT be considered
to form part of base cost?
1. Management reserve
2. Resourcing of staff
3. Accommodation and infrastructure costs
4. Consumables such as power or stationery
S6P18: Finance Management Plan - 1
Priya: Finally, to bring this section on finance together,
we need a Finance Management Plan.
 Session 6: Finance Management

Pete: Two sections, as usual? S6P20: Activity

What type of cost is the sum of commitments, accruals,
Priya: Correct Pete, Policy and Procedure. The policy
actual expenditure and the estimated cost to complete
section includes:
the remaining work?
Introduction - the introduction will describe the
1. Committed
background to the work and make it clear how this
2. Accrual
document relates to other relevant documents.
3. Actual
The Roles and responsibilities section will describe which 4. Forecast
roles have which responsibilities for financial
management. S6P21: Summary
In this session we looked at:
The composition and format of financial reports such as
• Investment Appraisal
cash flows, will be described in Information
• Funding, and
management.
• Budgeting and Cost Control.
Any assurance reviews will be described in Assurance.
That concludes session 6.
Any expenditure attributable to finance management
should be noted in Budget.

Finally, all aspects of the work will need funding.

Interfaces will show how costs are aggregated from
different aspects of the work.

You can find supplementary content on this at

www.praxisframework.org, access it through the
‘Resources’ tab.

S6P19: Finance Management Plan - 2

Finally, the procedure section will include the following.

Estimate costs will detail the approach to estimating

costs, sources of information and techniques to be used.

Any Investment appraisal techniques being applied

should be detailed here.

Establish funding should detail the acquisition of funding

as it is phased throughout the life cycle, as well as any
procedures to do this.

The Develop budget section should describe how

budgeting should be

performed and how it should be maintained as progress

is recorded. The approach to contingency reserves and
management reserves should also be defined here.

Financial information must often be extracted from

corporate systems that are more tuned to business-as-
usual than project or programme work. The Financial
control section will explain how that situation is to be
managed.

It will also contain levels of authority for approving

expenditure and tolerances that should be applied to
financial plans.

You can find supplementary content on this at

www.praxisframework.org, access it through the
‘Resources’ tab.

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 Session 7: Risk Management
Session 7: Risk Management
S7P1: Introduction
Welcome to module seven of Praxis Foundation, where
we will look into the principles, goals, procedures and
documentation of Risk Management. This follows the
insights into Financial Management from module six.
Let’s investigate Praxis further and take a look at:
• Risk assessment techniques and responses.
As with previous modules, you can find an online guide
with a lot of supplementary content at
www.praxisframework.org. It is extremely useful for
understanding Praxis, but not examinable. We’re
including the link in the ‘Resources’ tab on the left, and
we’ll let you know on specific pages when there’s useful
extra content online for you to access.
Let us begin!
S7P2: Principles, Goals and Procedures of
Risk Management - 1
We have mentioned risk a few times in the finance
section. What exactly is a risk?
Pete: It is good to get a consistent view on what
constitutes a risk. A risk event is an identifiable event
that, if it occurs, will have an impact on the objectives.
Risk management is all about dealing with things that
could, or may, happen.
Risk management allows individual risk and overall risk
to be understood and managed proactively, optimising
success by minimising threats and maximising
opportunities.
The goals of Risk Management are as follows:
• To ensure that levels of overall risk within a piece of
work are compatible with organisational objectives
• Ensuring that individual risks and responses are
identified
• Minimising the impact of threats to objectives, and
• Optimising opportunities within the scope of work.
All projects, programmes and portfolios will have an
inherent level of overall risk. Risk has two components:
risk events and uncertainty.
Uncertainty relates to a form of risk that cannot be
identified as a specific risk event. For example, every set
of plans has a degree of uncertainty because they are
based on estimates of varying accuracy.
Risk events can be either positive or negative. A negative
risk (threat) is something that will have an adverse effect
on the objectives if it occurs. A positive risk
(opportunity) can enhance the value of the work if it
occurs.
53
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S7P3: Principles, Goals and Procedures of
Risk Management - 2
The procedure as illustrated starts with the planning
step that defines the scope and objectives of risk
management and results in a risk management plan.
The initiation step is performed once the work is
approved and the resources needed to manage risk are
mobilised.
The first specific step of the procedure is to identify risk
events and uncertainty, and document these in the risk
register.
Next, the risk is assessed and its potential effect on
objectives is estimated. A variety of risk techniques are
available.
Planned responses are added to the risk register once
the risk is understood. The planned responses are
implemented appropriately.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S7P4: Risk Context
Priya: Risk is a part of all our lives. Can you think of an
everyday situation where we would consider risk?
Tony: Crossing a road, or preparing a meal using a sharp
knife.
Priya: Both are simple, yet relevant examples which we
would all deal with in different ways. A risk procedure
needs to be established to provide guidance and some
consistency. Risk context can have a significant impact
on the effectiveness of the procedure.
Risk context addresses the attitudes and behaviours that
affects the way risk may be managed. Its two
components are risk attitude and risk appetite.
Risk attitude describes an individual or group’s natural
reaction to risk which in turn, is influenced by a range of
factors at both the conscious and unconscious level.
Attitudes can be classified in three ways:
• Risk averse, where people don’t like taking risks
• Risk neutral, where people may be indifferent to
risk, and
• Risk seeking, people who are prepared to accept a
risk.
Appetite represents the amount of risk that an
individual or organisation is prepared to take in order to
achieve their objectives and, as such, it is important to
understand the host organisation’s risk appetite.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
 Session 7: Risk Management
S7P5: Risk Assessment Techniques
To assist us, a number of Risk Techniques are available.
Many identification techniques represent different ways
of extracting risk-related information from people who
have knowledge of the work and its context. This could
be achieved with one-to-one, groups or workshop
interactions.
Information can be found from previous pieces of work,
and it’s always a good idea to review lessons-learned
reports and archived risk registers.
Techniques for assessing risk are generally divided into
qualitative and quantitative, although the line
distinguishing the two is sometimes blurred.
• Qualitative risk assessment focuses on individual
risk events, and qualitative techniques are based on
two properties of a risk event: its probability or
likelihood and its impact on the objectives. This may
introduce quantitative elements such as expected
value, which can be very useful for calculating
contingency reserves
• Quantitative risk assessment focuses more on
estimating uncertainty. Quantitative techniques can
also be used to assess different scenarios to
compare the effect of events happening or not
happening.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S7P6: Probability-Impact Assessment - 1
Priya: So, what’s the Probability-Impact Assessment? It
sounds rather subjective.
Pete: It could be, Priya, though it can be standardised to
a certain extent.
Every risk event has two characteristics, namely the
probability that it might happen and the impact it would
have if it did happen.
On the simplest of projects, both probability and impact
can be assessed on a scale of high, medium and low. As
the complexity of the work rises, the sophistication of
the assessment should also rise.
The APM’s PRAM guide provides a thorough assessment
of risk events for projects and programmes of higher
complexity, with a five-point scale with guidelines and
numerical values for each point on the scale.
This ‘risk criteria table’ provides numerical ranges for
the probability scale from very low (or VLO) to very high
(or VHI).
It also provides impact criteria in the three elements of
the triple constraint (time, cost and scope). The
guidelines are not universal.
54
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For example, a risk event with a probability of 0.3 and an
impact of 0.4 would have a ranking value of 0.12.
Probability scores are defined on a linear scale, while
impact scores are on a logarithmic scale. The effect of
this is to put more emphasis on impact than on
probability.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S7P7: Probability-Impact Assessment - 2
Nita: Is there an easy way to present this graphically?
Priya: If all the possible combinations of ranking value
are calculated for both threats and opportunities, the
table we can see is formed.
This can be presented in a RAG format, with associated
guidelines as to how each event should be managed,
according to its red, amber or green status.
The guidelines for scales, scores and status should be set
out in the assessment section of the risk management
plan.
Pete: Like traffic lights?
Priya: Exactly Pete.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S7P8: Risk Responses
Nita: Once we have assessed our risks, we need to
formulate a response. Risk threats or opportunities have
four possible responses each, which you can see in the
on-screen table.
For threats, our response could be to ‘avoid’, where we
change the project’s objectives so that the risk can no
longer have any affect.
We could transfer all or part of the impact of the threat
to a third party.
Priya: Like taking out insurance?
Nita: Exactly Priya. We could look to reduce the threat
by lessening its probability or impact. If there is nothing
that can be done or, because the threat is small, it isn’t
worth taking any action, we could choose to Accept the
threat.
For opportunities, our responses may include Exploit,
where we look to take advantage and gain greater
benefits. Alternatively, enhancing an opportunity could
increase its positive impact.
 Session 7: Risk Management
It may be prudent to Share an opportunity with a
supplier or partner or Reject it if it is too costly or
uncertain.
The choice of response will be influenced by a
probability-impact assessment.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S7P9: Risk Management Plan - 1
All of this should culminate in a Risk Management Plan,
consisting of two sections as usual, policy and
procedure.
In the Policy section, we should include the following:
The introduction will describe the background to the
work and make it clear how this document relates to
other relevant documents.
The Roles and responsibilities section must clearly
describe which roles have which responsibilities for risk
management.
The composition and format of a risk register will be
defined in Information management, along with any
other specialist risk management documents.
The criteria for successful risk management that will be
used in any assurance reviews will be described in
Assurance.
There are two financial aspects to risk management,
which are captured in the Budget section. A budget for
the management of risk and a budget that covers the
cost of risk responses.
Risk events and overall risk have links to documents on
benefits, issues, stakeholders and how these interfaces
and cross-references will be managed. This should be
defined in the Interfaces section.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S7P10: Risk Management Plan - 2
Pete: The Procedure section should include:
The Identify section recommends the tools and
techniques to be used to identify risk events. This may
include check lists and prompt lists of risk events or risk
categories captured from previous lessons.
There are many tools and techniques used in risk
assessment. The Assess section may also describe the
parameters for the way some techniques are used.
The preferred responses to risk will depend upon the
risk context, and in particular the risk attitude of the
organisation. Conversely, an organisation may prefer to
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retain control over all threats and opportunities and any
preferred responses should be detailed in Plan
responses.
Guidance for the selection of risk owners and actionees
will be described in the Implement responses section,
along with how response actions will be monitored and
controlled.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S7P11: Risk Register
Tony: Where are all these risks going to be located?
Nita: The obvious place is the Risk Register.
The purpose of the risk register is to record information
about identified risk events. The amount of information
that needs to be recorded will depend upon the context
of the work.
In its simplest form the register will be a list of risk
events and the results of qualitative analysis. A much
more sophisticated risk register will be designed to
enable aggregations across multiple projects and
programmes. It will also record, or cross-reference to,
more specialised documentation showing quantitative
analysis of general uncertainty using, for example,
Monte Carlo analysis or sensitivity analysis.
The purpose of Monte Carlo Analysis is to predict
possible outcomes of uncertain events. Characteristics
include:
• Its output must generate random samples<br />
• Its input distribution must be known<br />
• Its result must be known while performing an
experiment
A general structure for the risk register will follow the
risk management procedure. Ideally there would be four
groups of headings, typically covering:
• Identification of the risk
• An assessment of the risk from a probability-impact
view
• An indication of the planned response, and
• Details of who will implement these responses,
particularly the Risk Owner, who will monitor the risk,
and the risk actionee, who will implement the
responses.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S7P12: Activity
Tony: Which of the following variables should be
considered primarily when evaluating a risk?
 Session 7: Risk Management

1. Impact
2. Urgency
3. Probability
4. Proximity

S7P13: Exercise 6 – Risk Management

Take a look at the ‘Foundation Course Exercises’
document, which you can find in the ‘Resources’ tab.

Please take another look at the background on page two

to the scenario about Brooks Bicycles, a bicycle
manufacturer planning to move its factory and offices to
a newly developed business park on the outskirts of
town.

In previous exercises you’ve already suggested an

appropriate organisation structure and appropriate
controls for the relocation project, you’ve created an
impact analysis on the change request and drawn a
precedence network, and you’ve calculated the net and
cumulative cash flow.

Now you should look at pages 12-14 and, based on the

high-level definition of what the project includes,
complete the four activities.

When you’re done, compare your answers with those

on pages 10-11 of the ‘Foundation Course Exercise
Answers’ document.

S7P14: Summary
In this session we looked at:

• Risk assessment techniques and responses.

That concludes session 7.

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 Session 8: Change Management
Session 8: Change Management
S8P1: Introduction
Welcome to module eight of Praxis Foundation, where
we will look into the principles, goals, procedures and
documentation of Change Management. This follows
the insights into Risk Management from module seven.
Let’s investigate Praxis further and take a look at:
• Models for the management of change.
As with previous modules, you can find an online guide
with a lot of supplementary content at
www.praxisframework.org. It is extremely useful for
understanding Praxis, but not examinable. We’re
including the link in the ‘Resources’ tab on the left, and
we’ll let you know on specific pages when there’s useful
extra content online for you to access.
Let us begin!
S8P2: Principles, Goals and Procedures of
Change Management
Nita: To achieve the benefits in a business case, changes
are very often needed in the organisational working
practices.
The goals of Change Management are:
• To define the organisational change required to
convert outputs into benefits
• To ensure the organisation is prepared to
implement change, and
• To implement the change and embed it into
organisational practice.
Planning produces the change management plan, which
will define the principles of how organisational change
should be managed. This is a key document which must
align with other management plans.
The initiation step makes sure that the resources
needed to manage change are in place.
Assessment involves determining the nature of the
organisation and predicting its likely response to change,
and identifying existing embedded behaviours likely to
be impacted by the change.
Preparation will promote a vision for the change to gain
support, with emphasis on changes required to
business-as-usual.
Implementation will include communicating the benefits
of change, removing obstacles and coordinating the
activities.
For changes to deliver the benefits, they have to be
embedded. The sustain step will continue to ensure that
value is continually realised.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
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S8P3: Change Management Models - 1
There are a number of Change Management Models
that can help with the management of change in an
organisation. Resistance to change is a natural
phenomenon and managing change in a controlled
manner is essential to realise the benefits in a business
case.
Gareth Morgan, professor of organisational behaviour
and industrial relations, created a model where he
identified eight metaphors that liken an organisation to
machines, organisms, brains, cultures, political systems,
psychic prisons, flux and transformation, and
instruments of domination.
These metaphors can help us understand the nature of
an organisation, and the best way to manage change
within it. Each organisation will respond to change
differently.
In ‘Making Sense of Change Management’,
organisational change consultants Esther Cameron and
Mike Green suggest that the most common metaphors
are machines, political systems, organisms, and flux and
transformation. They then describe how different
change models, such as those proposed by Kotter,
Carnall and Lewin, can be applied to different
metaphors.
We’ll look at Kotter’s model on the next page.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S8P4: Change Management Models - 2
An alternative change model is thought leader John
Kotter’s Eight Key Steps, ordered across three
categories: plan, deliver and embed. These correlate to
the phases and processes of the project / programme
life cycle.
The planning steps align with the identification process
and the definition process, the deliver steps are
synonymous with the delivery process, and embed is a
key element of benefits realisation.
Let’s go through the steps of the model. Creating a
sense of urgency will help establish the need for, and
desirability of, the proposed changes.
A powerful guiding coalition is concerned with
stakeholder management and organisation
management.
Creating and communicating a vision will provide a focus
for communicating what the project or programme is
trying to achieve.
Empowering others to act on the vision will be needed
within those parts of business-as-usual which will be
affected.
Quick wins will greatly influence the organisation,
creating an early sense of achievement.
 Session 8: Change Management
As change is consolidated in order to achieve the
required benefits, new change should be identified,
adding to the overall benefits.
For the realisation of benefits to continue, the changes
need to be institutionalised and change needs to
become accepted as the norm.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S8P5: Change Management Models - 3
Tony: Both those models are very complete. Is there
anything simpler?
Nita: That’s a good question Tony. Psychologist Kurt
Lewin’s model for the management of change is one of
the simplest. It comprises three steps:
• Unfreeze
• Change, and
• Refreeze.
These align closely with the ‘prepare, implement and
sustain’ steps in the change management procedure.
Unfreeze involves reducing the forces that are resistant
to change and want to
maintain the status quo. The Business Change Manager
will need to establish
the need for change and dismantle the prevailing
mindset.
The Change is where new behaviours and attitudes are
developed, outputs are adopted and outcomes
achieved.
Refreezing supports the notion that benefits can only be
realised longer-term if the changes are embedded in the
organisation and become the normal way of doing
things. Lewin originally called this step ‘freezing’, but it is
most commonly reproduced as ‘refreezing’.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S8P6: Change Management Plan - 1
Priya: Is there a change management plan to accompany
this function?
Pete: Indeed there is Priya, and it comprises the usual
two sections, policy and procedure.
The Introduction section should define the context,
describe the procedure and define preferred techniques.
The Roles and responsibilities section should define the
responsibilities of all those involved.
Effective communication is key to overcoming resistance
to change. The Information management section should
explain how information management will be used to
prepare and disseminate all types of change related
communications.
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The criteria for successful change management that will
be used in any assurance reviews will be described
Assurance.
The Budget section should define related budgets for
the management of change. Additionally, there should
be budgets held within business-as-usual, which should
be identified here.
How these cross-references to related documents, such
as risk registers, will be managed should be explained in
the Interfaces section.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S8P7: Change Management Plan - 2
Priya: The procedure section should include the
following:
The preferred mechanisms for assessing the nature of
the organisation and its readiness to change are
described in Assess.
The Prepare section of the change management plan
must carefully integrate with stakeholder management
and communications as it will describe how to generate
support for change and potentially break down barriers.
In the Implement section, we describe how change
should be managed. It may also link to corporate policy
for areas such as redundancy, relocation, and
recruitment.
For benefits to be continually realised, change must be
embedded. The Sustain section will describe on-going
actions designed to support the changed organisation.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S8P8: Activity
In Lewin’s model for the management of change, what
are the three steps?
1. Unfreeze, Change, Refreeze
2. Stop, Change, Start
3. Pause, Change, Resume
4. Extinguish, Change, Reignite
S8P9: Summary
In this session we looked at:
• Models for the management of change.
That concludes session 8.
 Session 9: Resource Management
Session 9: Resource Management
S9P1: Introduction
Welcome to module nine of Praxis Foundation, where
we will look into the principles, goals, procedures and
documentation of Resource Management. This follows
the insights into Change Management from module
eight.
Let’s investigate Praxis further and take a look at:
• Procurement
• Contract Management, and
• Mobilisation.
As with previous modules, you can find an online guide
with a lot of supplementary content at
www.praxisframework.org. It is extremely useful for
understanding Praxis, but not examinable. We’re
including the link in the ‘Resources’ tab on the left, and
we’ll let you know on specific pages when there’s useful
extra content online for you to access.
Let us begin!
S9P2: Principles, Goals and Procedures of
Resource Management - 1
Resource management covers all aspects of the
deployment of resources that deliver the project,
programme or portfolio. Goals include to:
• Determine the best way to resource the work
• Acquire and mobilise the necessary resources
• Control resources throughout the life cycle
• Demobilise resources at the end of the life cycle,
and
• Finalise all contractual arrangements.
The resources needed on a piece of work, be they
internal or external, include people, machinery,
materials, technology, property and anything else
required to deliver the work.
There are three main components of resource
management:
• Procurement is primarily concerned with identifying
and selecting external suppliers
• Contract management deals with the continuing
relationship between the management team and
suppliers
• Mobilisation is about getting the right resources in
the right place at the right time. This also covers
demobilisation, when the resources are no longer
required, which forms part of the closure.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S9P3: Principles, Goals and Procedures of
Resource Management - 2
There are a few other considerations that are relevant
to resource management.
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A resource management plan will initially define how
resources should be procured, mobilised and controlled.
Once decisions have been made about how resource
management applies, the planning and initiation steps
can be revisited in more detail.
Additionally, where resources are acquired internally, it
may be that service-level agreements may exist
between the project, programme or portfolio and the
providing department.
Once resources are acquired, the management
infrastructure must be set up and resources need to be
put in place. This is called mobilisation. Projects and
programmes are temporary organisations, whereas a
portfolio may be permanent or semi-permanent.
When resources are in place, they need to be controlled,
for example, in terms of monitoring progress,
rescheduling work and responding to resource issues.
Finally, at the close of the work, the resource
infrastructure needs to be dismantled, including the
disposal of capital assets, closure of contracts and
redeployment of internal staff.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S9P4: Principles, Goals and Procedures of
Resource Management - 1
As always, we need to document all the relevant
resource information in a Resource Management Plan,
consisting of the usual two sections, policy and
procedure. I’ll go through the policy section before Tony
covers procedure on the next page.
The policy section could contain the following.
In the introduction section, the context of the work and
the decisions made on how to resource the work will be
documented.
The Roles and responsibilities section of the
management plan must clearly describe which roles
have which responsibilities.
The Information management section will advise on the
extent, content and use of a wide range of documents
relating to resources.
The criteria for successful resource management that
will be used in any assurance reviews will be described
in the Assurance section.
Most costs associated with managing resources are part
of the general management overhead. Specific budgets
may need to be identified, and they would be listed in
the Budget section.
Resources will have specific links to stakeholders,
associated risks and specific schedules. The Interfaces
section will detail how these cross-references will be
managed.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
 Session 9: Resource Management
S9P5: Principles, Goals and Procedures of
Resource Management - 2
The procedure section could outline the key activities.
The Research into resource options should be described
here. This could include approved suppliers lists or
existing framework or outsourcing arrangements.
Tendering must be transparent and, as such, the Tender
section will define the procedures to be used and
guidelines to be followed.
It is important for the management plan to set out the
host organisation’s policies for entering into contracts,
and who is entitled to award them on the organisation’s
behalf. This is covered in the Contract award section.
The Mobilise section will describe any guidelines for
mobilising all forms of resource, from software
installation through to mechanisms for seconding staff.
The administration and control of resources will be a
varied topic. Any guidance surrounding topics such as
insurance and secondment, should be documented in
the Manage section.
Finally, the Close section covers disposal of assets,
redeployment of internal resources and formal closure
of contracts.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S9P6: Principles, Goals and Procedures of
Procurement - 1
Procurement covers the acquisition from a supplier of
the products and services required for completion of a
project, programme or portfolio.
The goals of procurement would typically include:
• Identifying potential external suppliers
• Selecting external suppliers, and
• Obtaining commitment for provision of internal
resources.
Where the external source is a separate legal entity, the
terms under which
goods and services are procured will be the subject of a
legal contract. When
the source is part of the same organisation, a less formal
approach may be used, such as a service-level
agreement.
A procurement procedure would start with the Research
step, which would identify suppliers that have the
required capability. A shortlist could be achieved
through various means, such as sending out a pre-
qualification questionnaire.
S9P7: Principles, Goals and Procedures of
Procurement - 2
Tony: Can the procedure be accelerated?
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Pete: Indeed it can, Tony. Pre-qualification would result
in a shortlist of suppliers, who will be asked to provide a
full bid against a defined statement of work, with final
selection based on a formal tender.
Tendering can be an extensive procedure in some
regulated industries, and it is important that the
requirements are clear and all suppliers are given an
equal chance of success.
The contract award step will involve the negotiation and
agreement of a contract.
Acquisition of internal resources is often not seen as a
procurement exercise, and does not result in a contract
award. Steps must be taken to formalise the relationship
with internal suppliers.
At the end of the procedure, we have mobilisation.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S9P8: Principles, Goals and Procedures of
Contract Management - 1
Contract management includes the negotiation, creation
and administration of a contract between two or more
parties. Its goals are to:
• Support procurement by negotiating terms and
conditions
• Document contractual agreements
• Monitor contractual performance, and
• Conclude contracts.
The procedure starts with the planning step that defines
the scope and objectives of contract management and,
if necessary, results in a contract management plan. The
initiation step is performed once the work is approved
and the resources needed to manage contracts are
mobilised.
The first step is to negotiate contract terms with a
supplier. A contract is an agreement that creates legally
binding obligations between them and the actions that
can be taken if they are not met.
The monitoring of the contract performance will
illustrate whether all parties perform as expected. There
may be mitigating circumstances explaining why
performance sometimes falls short of expectations.
Here the value of the supplier must be weighed against
the benefits of resolving the dispute.
Once the contract is concluded, it should be confirmed
that the legal obligations created under the contract
have been discharged.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S9P9: Principles, Goals and Procedures of
Contract Management - 2
Contracts are covered by contract law. Specialist advice
should be sought to
 Session 9: Resource Management

ensure that the legal ramifications of any proposed
contract are fully understood.
While the law governing any contract will depend on the
applicable jurisdiction, there are general principles that
are universal. There are five such principles on screen
now – take a look and move on when you’re ready.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S9P10: Principles, Goals and Procedures of
Contract Management - 3
Many industries have standard forms of contract. Some
large organisations have systems for constructing
contracts from standard components.
The main advantage of using standard forms of contract
is that they take account of established best practice
within the particular industry sector or organisation. The
disadvantage is that it may not fully address all the areas
required by the resource management plan for a
particular project or programme.
Standard contracts don’t work for all situations. It is
often the case that they
have to be significantly tailored, or a contract has to be
built from scratch. These are called bespoke contracts
and they are able to reflect the specific context and
content of the work. The P3 manager will have to ensure
that contracts are properly executed and should ensure
they are subject to version control.
Whether standard or bespoke, all contracts have the
same typical information and ‘conditions’. A list of
typical conditions is shown, take a look and move on
when you’re ready.
The initial management organisation is put in place to
execute the identification and definition phases and,
after approval of the full business case, the various posts
are filled.
S9P12: Principles, Goals and Procedures of
Mobilisation - 2
Pete: Are there any things to be mindful of here?
Priya: Yes, Pete. Management teams should ideally be
co-located, and on the occasions where that’s just not
possible, there will be additional pressure on the team.
The IT infrastructure that facilitates virtual teams must
help alleviate this.
Once resources are acquired, their ongoing involvement
and maintenance may require careful management.
Resources from internal sources that operate within a
matrix organisation, for example, may retain their
departmental home as well as having a role in the piece
of work. This may cause conflict between the P3
manager’s resource plans and business-as-usual
demands, which calls for good conflict management and
influencing skills.
Mobilisation will always be followed by demobilisation,
once the work is complete. As the need to demobilise
approaches, plans must be drawn up to dispose of
assets, redeploy staff and, if necessary, reinstate
premises to their previous condition.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S9P13: Activity
Which of these items is NOT a Contract Condition
example?

You can find supplementary content on this at 1. Clear and definite terms
www.praxisframework.org, access it through the 2. Supplier’s responsibilities
‘Resources’ tab. 3. Agreed milestones
4. Change and quality control
S9P11: Principles, Goals and Procedures of
Mobilisation - 1 S9P14: Summary
Pete: Mobilisation makes sure that appropriate In this session we looked at:
organisational and technical infrastructures are in place
• Procurement
for acquiring and deploying resources. It also ensures
• Contract Management, and
that these are dismantled or redeployed when no longer
• Mobilisation.
required.
The goals of mobilisation include the following: That concludes session 9.

• Capital assets are operational and accessible

• Facilities are operational and accessible
• Delivery team members are competent and
capable, and
• All resources are redeployed, returned or disposed
of, at the end of the work.

Mobilisation occurs at various points in the life cycle.

During the identification process and definition process,
some mobilisation will be required. Mobilisation of the
full project infrastructure will occur once authorisation
has been given. Mobilisation is also used to a lesser
extent as each tranche or stage is started and finished.

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 Session 10: Project and Programme Processes
Session 10: Project and Programme
Processes
S10P1: Introduction
Welcome to module 10 of Praxis Foundation, where we
will look into the goals, responsibilities and typical
activities that make up the project and programme
processes. This follows the insights into Resource
Management from module nine.
Let’s investigate Praxis further and take a look at the
following areas:
• Identify and sponsor a project or programme
• Define and deliver a project or programme
• Manage boundaries
• Develop products
• Close a project or programme, and
• Realise benefits.
As with previous modules, you can find an online guide
with a lot of supplementary content at
www.praxisframework.org. It is extremely useful for
understanding Praxis, but not examinable. We’re
including the link in the ‘Resources’ tab on the left, and
we’ll let you know on specific pages when there’s useful
extra content online for you to access.
Let us begin!
S10P2: Project and Programme Processes - 1
Now we have delved into the knowledge provided by
the integrative management functions, it’s time to
review the method and look at the process models and
the role they play across respective project and
programme lifecycles.
The generic process model for both projects and
programmes, is based on life
cycle phases consisting of identification, definition, the
delivery processes and closure at the end. An additional
process will be needed to address the sponsorship
function and benefits realisation. These will be tailored
to the specific context of the work.
Each process is supported by competence and maturity
definitions that remain relevant, even if the Praxis
process is replaced with a corresponding process from
another guide, such as PRINCE2® or ISO21500.
As the scope of the work becomes more complex, its
primary impact is on the
delivery phase. Hence the reference to multiple delivery
processes in the
diagram and those that follow. Where the delivery work
is delegated to multiple production teams, the
development process can also be used, and where the
delivery phase needs to be segmented into stages or
tranches, the boundaries process is required.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
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S10P3: Project and Programme Processes - 2
This generic model should be adapted in accordance
with the context of a project or programme. For
example, where a project is part of a programme, the
benefits realisation process will usually be performed by
the programme. The project identification may also be
done at programme level, resulting in a reduced set of
processes for the project.
A similar approach could be taken for a project or
programme that is part of
a portfolio. The primary difference between a project
and a programme is the
complexity of the objectives, and this is reflected in the
relationship between
the delivery processes and the benefits realisation
process.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P4: Project and Programme Processes - 3
The generic model can also be adapted for different
environments. For example, where a contracting
organisation is delivering a project on behalf of a client
organisation, the client may perform the identification
and benefits realisation processes. They may also
perform much of the definition process.
The process model for the contracting organisation
would then be limited to the elements shown here in
the darker colour.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P5: Identification Process
Tony: Let’s look at these processes in more detail,
starting with the identification process. The goals of the
process are on screen now. Read through them and then
click the ‘goal’ image when you’re ready to continue.
This process manages the first phase of the project or
programme life cycle, and is triggered by a mandate. The
mandate is the result of an idea or an identified need. It
can take many forms, ranging from a client’s invitation
to tender to a verbal instruction.
The first goal is addressed in the form of a brief, and the
second in the form of a definition plan. At the end of the
process these two documents will be presented to the
sponsor with a request to authorise the definition
process.
Identification should be a separate phase, with a review,
before proceeding to definition. This can avoid the cost
of substantial definition work.
Nita: Can these documents be created outside the
process?
Tony: Yes, they could. Where a project is part of a
programme, the brief may be prepared by the
programme management team, and the identification
 Session 10: Project and Programme Processes
process is bypassed at the project level. The same could
be true of a programme that is part of a portfolio.
In fact, on large, complex projects and programmes, the
definition phase may also constitute a small project in its
own right.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P6: Appoint Identification Team
Nita: After the mandate is received, we then need to
appoint the identification team.
Someone will be the initial recipient of the mandate and
must take the necessary actions to formalise the work
into a project or programme. This will involve putting
together a team to perform the identification activities,
under the guidance of a sponsor and manager.
The sponsor and manager appointed here will usually
see the work through the whole life cycle. In some
cases, sponsorship and management of the
identification and definition processes may involve
others.
Once the sponsor and manager have checked the
mandate for any gaps and ambiguities, they will then
need to agree a timescale and budget for the work. A
team will need then need assembling to complete the
identification activities.
Tony: How do we keep track of all the information that
will be generated in this phase?
Nita: Good question Tony. Information will be gathered
for use in the brief and definition plan, and much of it
will be diverse. It will be useful for the manager to
maintain a daily log that acts as a repository for
information about assumptions, risks, issues, constraints
etc., until more formal documentation is established.
Additionally, role descriptions for sponsorship and
management should be assembled and agreed with the
relevant individuals.
On small projects the identification activities may be
managed and performed by one person, as well as
combining the identification and definition phases into a
single process.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P7: Review Previous Lessons
Pete: Can anyone think of any information that might
save you time at this point?
Priya: I would like to know if anyone has previously
attempted anything similar.
Tony: And I would like to know what advice they would
then give me.
Pete: Excellent thoughts, both of you. Yes, it is
important to learn from the past. The availability of
documented lessons learned will help, where they’re
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available. It will depend on how good the organisation’s
capability in knowledge management is.
The initiation team should review available lessons,
identifying those that are relevant. These will be entered
into a lessons log.
There are two sections to a lessons log. First, the team
should log any lessons learned that are applicable from
previous work. Second, log any lessons that have arisen
from current work that may be applicable in the future.
The capture and use of lessons learned is a dynamic
process. How these experiences are transferred is the
subject of knowledge management.
If records are not available, it is still important for
lessons to be gathered from previous projects or
programmes. External sources, such as other
organisations or professional networks, should also be
considered.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P8: Prepare Brief - 1
Priya: Based on the confirmed mandate, the
identification team will start work on the project or
programme brief. The purpose of the brief is to provide
sufficient information to justify investing in the
definition process.
Pete: Is there a template for the brief?
Priya: No Pete, there isn’t. The exact content and format
will vary in scope and detail, according to circumstances.
The key decision made during this process will be how
the work is to be governed. This is predominantly
determined by the early stages of scope management.
The nature and complexity of the requirements, and the
scale and complexity of the solution, will collectively
indicate how the work should be managed. This decision
will, in turn, influence scope management, schedule
management and risk management, amongst others.
The extent and detail of information that should be
included in the brief must be sufficient to give the
sponsor confidence to authorise the budget for the
definition phase.
Pete: It sounds like preparing the brief is a joint effort.
Priya: It really is, Pete. Preparing the brief will utilise
many functions. Each of these should be applied at an
appropriately high level, as each aspect of the work is
only documented in outline in the brief.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P9: Prepare Brief - 2
The brief contains outline information about all of the
components of the delivery function. The identification
team will take the following actions:
 Session 10: Project and Programme Processes
• Work with stakeholders to establish their
requirements
• Develop a solution and scope of work
• Determine whether to manage the work as a project
or programme, or a hybrid of the two
• Estimate high-level timescales
• Identify sources of funding and estimate budgets
• Identify and assess the main risks that could affect
successful completion
• Outline the type and quantity of resource that will
be needed, and whether it can be sourced internally
or externally
• Highlight areas of business-as-usual that will be
subject to change, and
• Identify and assess the most influential stakeholders
and propose initial communications.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P10: Prepare Definition Plan
While the brief outlines the project or programme as a
whole, the sponsor will also need to know what is
required to produce a full set of detailed
documentation.
The work required to define the project or programme
in detail will range from the concise to the extensive.
The definition plan follows the normal format of a
delivery plan, but has the specific purpose of describing
how the definition process will be performed.
Typical actions followed here include:
• The scope of the definition work is well defined
• Any specialised resources required for detailed
definition are identified and available
• Any risks specific to the definition work are
identified, along with proposed responses
• The cost and timescale of the definition phase is
estimated as accurately as possible, and
• Arrangements are in place to mobilise the definition
team, should the definition phase be approved.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P11: Sponsorship Process
The sponsorship process does not have an equivalent
phase in the project or programme life cycle. It describes
the activities that a sponsor must perform to exercise
overall control and make key decisions during the life
cycle, including aspects of the relationship between the
sponsor and the manager.
This process is designed to achieve the goals of the
sponsorship function, which include:
• Provide ownership of the business case
• Act as champion
• Make go/no go decisions
• Address matters outside the scope of the manager’s
authority
• Oversee assurance, and
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• Give ad-hoc advice to the management team.
As the complexity of the work increases and the
sponsorship process grows, the sponsor may need to be
supported by a programme board or senior members of
a support office, to whom some responsibilities may be
delegated.
Regardless of their makeup, these boards are chaired by
the sponsor, who retains ultimate accountability for the
business case and the decisions that affect it.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P12: Review Request for Authorisation
A request for authorisation typically occurs at one of
three points.
First, authorisation may be requested to proceed with
the definition phase. This occurs at the end of the
identification process, when the sponsor will be
presented with a brief and a definition plan. Based on
the information provided, the sponsor must decide
whether it is worth investing in the definition phase.
The brief and outline business case will give an
indication of the viability and practicality of the
proposed work. The definition plan will provide detailed
information about completing definition.
Second, authorisation may be requested when a stage
or tranche needs to commence, for example at the end
of the definition process. This is the key decision in any
project or programme. As the work proceeds, further
authorisations will be needed.
Finally, authorisation may be requested when an
exception plan needs implementing. Where tolerances
are exceeded, or predicted to be exceeded, a revised set
of plans need to be authorised.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P13: Provide Management Support and
Assurance
In addition to formal requests, such as those to
authorise a stage or tranche, the sponsor should provide
informal, ad-hoc support to the manager, and possibly
other members of the management team.
There are many times during the course of a project or
programme where the manager may need to make use
of the sponsor’s experience or authority within the host
organisation. For instance, the manager may want:
• Advice on how to deal with a predicted breach of
performance tolerances
• Help in areas where the manager has limited
experience
• Resolution of internal conflicts between projects or
programmes and business-as-usual
• Clarification of relationships between organisational
strategy and the project or programme
 Session 10: Project and Programme Processes
• Dealing with stakeholder issues or risks that are
outside the manager’s span of control or influence.
The assurance function is concerned with verifying that
management processes are adequate in design and
application. Whilst detailed assurance activities will be
performed by roles outside of the management team,
the assurance role will report to the sponsor.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P14: Confirm Closure and Review
Business Case Achievements
The final sponsorship activities include, confirm closure
and review the achievement of the business case.
A project or programme is closed when all the outputs
have been delivered and the management and delivery
teams can be disbanded. The manager will need to
present the sponsor with a report showing how
products have been handed over and accepted, that
contracts have been concluded and infrastructure has
been demobilised.
A post-project or post-programme review should also be
completed. The sponsor may then declare the project or
programme closed and inform stakeholders accordingly.
A business case will contain a list of benefits that
justified the project or programme in the first place. In
most cases these benefits will not have been achieved
when closure is confirmed. The realisation of benefits is
usually something that is achieved by the users of the
outputs and may continue for some time after the
project or programme has been closed.
The sponsor owns the business case and will continue to
monitor the achievements of benefits after closure.
Sponsors remain in post until a benefits review
demonstrates that the business case has been achieved.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P15: Definition Process
The second process is definition, which manages the
definition phase of the project or programme life cycle.
An authorised brief and definition plan will trigger the
process. The output will be a set of documents that
describe all aspects of the work.
The definition process will plan the management and
delivery of the work. A summary of the plans is then
presented to the sponsor, to gain authorisation for the
delivery phase.
Planning how the work will be managed involves the
development of policies and procedures for all the
relevant functions that will be used. The resulting
delivery documents define the project or programme,
and once authorised they will be baselined to provide a
starting point for monitoring and controlling progress.
Tony: Sounds like a lot of documentation is created.
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Nita: This process definitely creates a lot of
documentation, Tony. But too much can be just as
damaging as too little. Deciding on the particular set
that best suits the scale and complexity of each project
or programme is an important part of this process.
Click the goal to see the specific goals of the definition
process, then move on when you’re ready.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P16: Appoint Definition Team and Define
Scope
We need to look at the appoint definition team and
define scope activities.
On smaller projects the identification team may have
sufficient expertise and
capacity to continue and carry out the full definition. On
larger projects and
programmes it is likely that the identification team will
need to be
supplemented to provide sufficient resource with the
necessary capabilities. These capabilities will be helpful
in defining the scope of the work.
The procedures described in the scope management
function will be used to
capture stakeholder requirements and help define
scope.
Documents that are appropriate to the project or
programme could include the following:
• Specifications
• Blueprint
• Benefits profiles
• Vision statement
• Product breakdown structures, and
• Work breakdown structures.
The range of scope documents and the detail they
contain will also be influenced by the chosen life cycle.
In a serial life cycle, the objectives will be defined in
greater detail, whereas in a parallel life cycle, scope is
continually developed.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P17: Plan Delivery
The content and extent of the plan delivery activity are
unique to each project or programme. Various planning
documents will address different aspects.
Typical examples would include:
• Scheduling documents, such as Gantt charts
• Risk documents, such as the risk register
• Stakeholder documents, such as a stakeholder map
 Session 10: Project and Programme Processes
• Resource documents, such as service level
agreements, and
• Financial documents, such as investment appraisals.
The process will be iterative with, for example, the first
draft stakeholder map providing information for the first
draft of the risk register, which may, in turn, affect the
initial investment appraisal.
It is not usually necessary, or even desirable, to plan the
whole project or programme in detail. In a project, the
first stage will be planned in detail, but the remainder of
the work will be planned at a higher level. In a
programme, the plans for the first tranche will be in
greater detail than the rest of the work.
Once the project or programme has been authorised,
these documents will be ‘baselined’ for monitoring and
comparison during delivery.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P18: Pre-authorisation Work and
Governance Documents
In parallel with planning, the management team should
identify any necessary pre-authorisation work that
should be done before it is fully defined or authorised.
The performance of pre-authorisation work should be
planned and agreed with the sponsor. The completion of
this work must be reflected in the plans.
Governance documentation includes internally-
produced management plans and any relevant external
policy documents. Various management plans can be
written for many functions. Every functional procedure
starts with a plan step.
Based on the scope of the work, the definition team will
decide which functions need a management plan. There
may be standard management plans that can be
adapted to the specific context of the work.
Management plans should not be prepared in isolation,
as they will be influenced by the delivery documents and
other management plans.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P19: Consolidate Definition
Documentation and Mobilise
Nita: At the end of the definition process, a request for
authorisation will be
submitted to the project or programme sponsor, which
will be made after reviewing the relevant
documentation. If authorisation is given, the next step is
to mobilise the first stage or tranche of the delivery
phase. If authorisation is declined, the closure process
will be performed.
What is submitted for approval will vary according to the
context. It is common to provide three documents.
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First, a project or programme management plan will
bring together all the relevant management plans. It
may be a single, self-contained document, with a section
for each relevant function.
Second, a business case will explain the justification for
the work. It will summarise the scope and balance this
against the cost and risk required to achieve it.
Finally, a project or programme delivery plan will show
how the objectives will be achieved, including an overall
timescale, resource requirements, cash flow and
organisational structures.
Once the authorisation is received, the project or
programme can be mobilised. This puts in place all the
equipment, facilities and other resources that are
required to deliver the objectives.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P20: Delivery Process
Pete: The goals of the delivery phase are on-screen now.
Take a good look and click the goal when you’re ready to
continue.
The delivery phase of a small project may comprise only
one stage. The delivery phase of a programme may
comprise only one tranche. Most projects and
programmes will comprise multiple stages or tranches
that are conducted in serial or parallel.
Whatever the context, managing each stage or tranche
will follow a basic
PDCA cycle - plan, do, check, act.
In the delivery process:
• ‘Plan’ becomes ‘authorise work’
• ‘Do’ becomes ‘coordinate and monitor progress’
• ‘Check’ becomes ‘update and communicate’, and
• ‘Act’ becomes ‘corrective action’.
Priya: Wasn’t this also known as the Deming Cycle, after
William Deming?
Pete: It was originally, Priya, although later in Deming's
career, he changed PDCA to PDSA (Plan, Do, Study, Act),
because he felt that ‘check’ emphasised inspection over
analysis. Nowadays, the method is also known as the
Shewhart Cycle, after Walter Shewhart, sometimes
known as the father of statistical quality control.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P21: Authorise Work, Corrective Actions
and Monitor Progress
Tony: Before any work commences in a stage or tranche,
it must first be authorised.
Much of the planning work will actually have been
completed in the definition or boundaries processes.
 Session 10: Project and Programme Processes
The stage or tranche is broken down into manageable
sections which are documented and delegated to
individuals, groups or suppliers, who should be clear
about the objectives and how the work will be
coordinated and monitored.
Clear specifications for the delegated work should be
accompanied by relevant extracts from the governance
documents, to ensure that those managing and
performing the work understand how the relationship
will operate.
The greater the complexity, the more closely the work
needs coordination from the management team. Each
delivery team must have clear lines of communication
that allow them to escalate issues or ask for guidance at
any point. The issue register records all problems that
need to be escalated from one level of management to
another.
Progress information may be in the form of regular time-
based progress reports, or periodic event-based
progress reports. These must be consolidated to
understand the overall status.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P22: Progress Report
Pete: As we have stated earlier, progress needs to be
communicated at regular intervals.
A progress report is a time-driven control document
used in the delivery process. Content should reflect the
context of the work and target audience, but the
primary categories of information are:
• The date of the report
• The period covered by the report
• The summary should contain an overview of
progress, highlighting the key points in the report
and any actions or decisions required by the
recipients
• This reporting period section reports progress in all
elements of delivery.
This should summarise progress and focus on key
performance indicators. The type of information that
should be included could be:
o Scope, detailing the deliverables completed and
accepted
o Schedule, summarising actual versus baseline
schedules
o Finance, displaying key financial performance
indicators
o Any new risks
o Resource situation, showing actual versus baseline
resource usage
o Any readiness for change indicators
o Stakeholders should identify communications
completed.
• The next reporting period section summarises what
will be covered by the next progress report
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• Current tolerance status
• Lessons learned in the lessons log.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P23: Event Report
In addition to time-driven progress reports, progress
may be reported at a particular event.
The report needs to explain what has been done
compared to what was planned; what, if anything,
comes next; what lessons have been learned. The
content should include the primary categories of
information:
• The date of the report
• The segment of work covered by the report
• The summary should contain an overview of
progress, highlighting the key points in the report
and any actions or decisions required by the
recipients
• Performance - this report can inform stakeholders
of performance in a segment of work that has been
completed, or it may be a key part of deciding
whether to continue with the next segment of work.
It should summarise performance in the areas of:
o Scope, listing deliverables completed and accepted
o Schedule, a summary of actual versus baseline
schedules
o Key financial performance indicators
o Any new risks and their responses
o Resource: actual vs. baseline resource usage;
contract performance
o How has change been received
o Stakeholder communications completed.
• The next event report should detail if the segment
of work covered by this report is followed by
another related segment that should be described
here
• Any lessons to be included in the lessons log.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P24: Update and Communicate and
Corrective Action
Documentation will be updated on a regular basis, as
specified by the relevant management plans, and some
documents, such as schedules, will be updated
frequently. Others, like the business case, will be
reviewed at significant points, such as stage or tranche
boundaries.
There will additionally be ad-hoc reviews by the
management team. Progress will be routinely
communicated with stakeholders, and where tolerances
are likely to be exceeded, there will be escalations.
Some degree of corrective action will be happening all
the time. The corrective action activity is about more
significant action constituting a deviation from the
baseline plan.
 Session 10: Project and Programme Processes
Priya: What would constitute corrective action?
Nita: Two defining characteristics are:
• Which aspects of the work does the corrective
action involve? For example, a product has failed its
quality control test, or deliveries are delayed
• How severe is the corrective action? This may look
at how likely an issue is to occur, and how severe it
might be. This may involve some re-planning.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P25: Accept Completed Work
At some point during the coordinate and monitor
progress activity, a delivery team will notify the
management team, ‘this piece of work is finished’.
Depending upon the context, the delivery team may
have performed quality control, and simply present the
results as evidence that the work is complete.
Or it may be that the management team is responsible
for quality control and must now test the results of the
delivery team’s efforts.
This can range from straightforward inspection of
standard components, to extensive testing and formal,
contractual sign-off. Whether formal or informal,
acceptance signifies the transfer of ownership of the
work and its products from the delivery team to the
management team.
Once work has been accepted, delivery documentation
should be updated and, if required, the acceptance
should be communicated to relevant stakeholders.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P26: Boundaries Process
Pete: The goals of the boundaries process include:
• Concluding a stage or tranche in a structured way,
and
• Preparing for the next tranche or stage.
The initial impression of a boundaries process may be
that it all takes place
between the end of one stage or tranche and the
beginning of the next. In reality it is rarely that clear cut.
In programmes, tranches of work often overlap, and
even in projects, where stages are sequential, the
activities will span the end of one stage and the
beginning of the next.
Tony: How do you know where one piece of work ends
and the next begins?
Pete: Collaboration, Tony. The links between the
activities are purely indicative. Where stages or tranches
overlap, it may be that mobilising later work comes
before the closure of earlier work. The manager and
sponsor should work together closely throughout this
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process to ensure the smooth transition from one
tranche or stage to the next, or possibly terminate the
work early.
The key consideration for managing boundaries is not so
much the complexity of the work, but whether the
stages and tranches are serial or parallel. In a small
project, stages will typically be serial.
On larger, more complex projects, the stages may
overlap, and in a programme, the tranches are usually
performed in parallel.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P27: Close and Review Previous
Tranche/Stage
Closing a stage or tranche may be as simple as reviewing
performance and updating and archiving the relevant
delivery documentation. In more complex contexts, the
conclusion of a stage or tranche may involve
demobilising some parts of the project or programme,
and mobilising new resources.
Where stages and tranches are employed, the planning
done during the definition process will normally take the
rolling wave approach. Therefore, this activity is
primarily about taking the high-level project or
programme delivery plans and expanding the detail for
the next stage or tranche of work. This may require
reviews of three main areas of documentation in more
detail:
• The project or programme management plan,
where the environment changes significantly at a
boundary, and changes are therefore necessary to
some management plans
• The business case will be updated at a stage
boundary within a project. For programmes, a new
tranche business case will be prepared and the main
programme business case updated
• The management team must decide whether stage
or tranche delivery documents are simply a
continuation of the existing project or programme
delivery documents, or whether new documents
should be created.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P28: Plan Next Tranche/Stage
Common sense dictates that any new work should be
planned taking into account the experience gained from
the work done so far. The closure of a tranche or stage
should include a review of lessons learned, estimating
accuracy, effectiveness of risk responses, stakeholder
satisfaction, actual vs. planned performance, and so on.
The link from this activity to the assemble
documentation step in the process diagram indicates
that the documentation pack submitted to the sponsor
should demonstrate how plans for the next tranche or
stage have taken performance-to-date into account.
 Session 10: Project and Programme Processes
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P29: Assemble Documentation,
Mobilisation and Pre-authorisation
The purpose of assembling documentation is to prepare
a submission to the sponsor with the objective of having
the next stage or tranche authorised.
Care must be taken to provide essential documentation
that is not burdened with unnecessary detail.
Detailed delivery documentation will be summarised
into delivery plans, which will be detailed or summarised
for stage or tranche plans, depending on context. A
similar approach will be taken with the business case or
cases.
In smaller projects, the great majority of mobilisation
work will be performed earlier in the life cycle. For larger
projects or programmes it may be more efficient to
mobilise different resources on a stage-by-stage or
tranche-by-tranche basis.
In parallel with planning, the management team should
identify any necessary pre-authorisation work that
should be done before it is fully authorised. The cost of
placing provisional orders for materials or initiating a
tendering procedure must be weighed against the risk
that the next stage or tranche is not authorised.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P30: Development Process
The development process is where things actually get
produced. It is very simple but very context sensitive.
Its goals are straightforward and include:
• Transferring responsibility for a package of work
• Executing the package of work, and
• Transferring ownership of the finished products.
The principles of the development process can be
applied to any scope of work. In essence it is simply a
process for delegation from one level in the organisation
structure to another.
In some contexts, this may be replaced with a
specialised approach, for example in Agile projects it
may be replaced by the use of the Scrum framework.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P31: Accept Work Package, Perform
Work, Deliver Products
A work package can take many forms. It could be an
entire project, a sub-project or a single work package
delegated to a small team. Whatever the scale of the
work package, the principles remain the same:
• It must be adequately defined in terms of scope and
performance
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criteria, and
• Both parties to the transfer must be clear on what
the work package is, and the recipient’s ability to
perform it.
This activity is primarily about the creation of products.
Most of the effort will be about technical functions and
processes, rather than anything uniquely P3M.
The person with primary responsibility for the work
package will need to do the planning, and as the work is
performed it will need monitoring for quality, schedule,
resources, cost and risk, as specified in the acceptance
of the work package. Progress information must be fed
back for consolidation, with information from other
work packages.
This is a two-way exercise, with information coming
from the higher level that may affect the performance of
the work, for instance, approved changes, delays in
connected work, changes in priority, and so on.
The delivery of the products in the work package may
involve concluding a contract, or perhaps simply
receiving, testing and accepting a product created by a
single person. Records should accompany any handover.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P32: Context of the Development Process
The project and programme processes in Praxis are
designed to be used in different contexts. In small
projects, a separate development process may not be
required. In larger projects, the delivery process can
represent work delegated to a team or an external
contractor.
In a programme, the delivery process is effectively a
summary version of the project life cycle, as you can see
on the bottom right.
In this context, the authorisation of work at the
programme level may be the same as the identification
and / or definition process for the component project.
Once this has been accepted by the project
management team, they start to perform the work, that
is, the delivery process.
Finally, the project delivers its products, which are
accepted by the programme, and performs the closure
process.
This demonstrates that the basic sequence of life cycle
phases and their associated processes are common to all
contexts. The difference is that in complex work there
are more nested levels of life cycles.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P33: Closure Process
Tony: The goals of the closure process are as follows:
 Session 10: Project and Programme Processes
• Closing a project or programme that has delivered
all its outputs
• Closing a project or programme that is no longer
justifiable, and
• Reviewing the management of the work and
learning lessons.
Pete: Does closure imply that all objectives are
complete?
Tony: Not quite, Pete. Objectives may be described as
outputs, outcomes or benefits, and these are all
achieved at different times. Closure is principally
concerned with a temporary organisation handing over
responsibility for its objectives and disbanding.
Sometimes closure is referred to as ‘premature closure’,
since it occurs earlier than intended. The obvious place
for this to occur is at a boundary, where the business
case is updated and found to be no longer viable,
achievable or desirable.
That is not to say that the project or programme can
only be closed at a boundary. Ongoing control of
performance during the delivery phase may reveal
serious issues which cannot be satisfactorily resolved.
When the issue is escalated to the sponsor, the decision
may be to prematurely close the project or programme.
As complexity increases there is simply more to do to
hand over products, demobilise and close contracts.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P34: Prepare for Closure and Handover
Closing a project or programme in a controlled way
needs to be planned in advance. It can be all too easy to
focus purely on achieving objectives, to the detriment of
how they will be handed over, how the organisation will
be disbanded and how the administrative loose ends will
be tied up.
When closure is in sight, effort must be invested in
updating delivery documentation.
Handover can have practical and legal aspects. First and
foremost is the need for the receiving organisation to be
clear what it is taking over and satisfy itself that
everything being handed over is as described and fit for
purpose.
Handover often constitutes a legal transfer of ownership
and can include ownership of assets and transfer of
employment contracts or other legal responsibilities.
In addition, associated records of quality control and
configuration management should be handed over, as
well as the assets themselves.
Sometimes deliverables are handed over with some
follow-on actions still to be done. A follow-on actions
report must list the actions that remain outstanding and,
as a minimum, the report should contain the following
information:
• Description of the outstanding action
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• Owner
• Planned date for resolution, and
• Actual date of resolution.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P35: Review and Demobilisation
This activity conducts a formal review of the governance
and delivery of the project or programme. A key input is
the lessons log, which will be used to distil lessons
learned that will be included in an end project report or
end programme report.
During mobilisation, a project or programme
infrastructure will be assembled,
including resources as diverse as premises, software and
people. Demobilisation is simply the opposite of that
activity.
Physical assets need to be sold, redeployed or
agreements terminated. Human resources may simply
require termination of contracts, or internal staff may
need redeploying.
Many projects and programmes are closed before all the
benefits in the business case have been realised.
Business change managers still have work to do, and will
report directly to the sponsor until the change is
completed.
The sponsor will be the ‘last person standing’. Where
the scope includes benefits, the role of the sponsor does
not formally come to a conclusion until a benefits review
concludes that the business case has been achieved.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P36: Benefits Realisation Process
The goals of the benefits realisation process are as
follows:
• Establishing the current state of what is being
changed
• Coordinating the delivery of outputs with the
management of change
• Ensuring changes are permanent, and
• Establishing whether benefits have been achieved.
Producing an output does not automatically realise
benefits. Realising benefits is about measuring current
performance, helping the people who make up the
organisation through the period of change or transition,
and finally, measuring the improvement in performance.
The inclusion of this process is often seen as a clear
differentiator between projects and programmes.
Project management guides do not include benefits
realisation on the assumption that that is the
responsibility of someone external to the project,
typically a client or host programme.
At the least complex level, a single output may lead to
an easily measured benefit, with little need for
 Session 10: Project and Programme Processes

organisational change. This would be a project that continuously once the transition has been embedded
included benefits realisation. into business-as-usual. On this basis, any investment
could be justified simply by counting the benefits for a
At the other end of the complexity scale, multiple
sufficient period of time.
outputs create many outcomes that require significant
organisational change. The change may be controversial The business case should specify the period over which
and involve a diverse array of stakeholders. Benefits benefits may be accumulated, to generate the value
may overlap and not always be easy to measure. This is used to justify the work. At the end of this period a final
benefits realisation in a programme context. benefits review should be conducted.
You can find supplementary content on this at In many organisations, business-as-usual is subject to
www.praxisframework.org, access it through the multiple changes that interact, and it may be difficult to
‘Resources’ tab. isolate value generated by specific elements of change.
Assessment of benefits should be clear and quantified
S10P37: Prepare for and Manage Transition wherever possible.
The first step in realising benefits must be to assess
current performance. Without a starting point, You can find supplementary content on this at
improvements cannot be quantified and the business www.praxisframework.org, access it through the
case cannot be accurately assessed at the start of the ‘Resources’ tab.
work, or reviewed at the end.
S10P39: Activity
Preparing for transition will cover coordinating the Which of these items are goals of the identification
delivery of outputs that enable change, and also winning process?
the hearts and minds of the people who need to use
1. Determine what effort and investment is needed
those outputs to achieve beneficial change.
to define the work in detail
Planned changes must be effectively communicated to 2. Describe governance policies that describe how
all those affected. the work will be managed
3. Gain the sponsor’s authorisation for the definition
Project management teams need to understand that the
phase
delivery of outputs must to be coordinated with change
4. Ensure changes are permanent
management, to ensure the ‘readiness to change’ of all
those affected is assessed, as this will dictate the ease
with which change can be implemented. S10P40: Activity
What is the cycle of activities in the Shewhart Cycle?
Initiating the transition involves the coordination of
output delivery with mobilisation of the operational 1. Plan-Act-Check-Refine
infrastructure and support needed to realise the 2. Plan-Do-Refine-Act
benefits. Outputs are accepted and handed over to staff 3. Plan-Act-Check-Refine
who have been briefed on any follow-on actions. 4. Plan-Do-Check-Act
Configuration, risk and quality information is handed
over, and the planned operational changes are S10P41: Activity
implemented. In which process would you potentially be called upon to
create an Event Report?
During the period of change new opportunities may
come to light for additional benefits, which is why the 1. Delivery
benefits management procedure has the feedback loop 2. Identification
to the definition of new benefits. 3. Sponsorship
4. Benefits Realisation
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S10P42: Activity
Which of these activities forms part of the Boundaries
S10P38: Conclude Transition and Final process?
Review 1. Transfer responsibility for a package of work
In a programme or portfolio where multiple benefits and 2. Prepare for the next tranche or stage
associated change are planned, it is particularly 3. Develop a detailed picture of the project or
important to embed and consolidate one set of changes programme
before considering more. 4. Determine whether the work is justified
As the changes take effect it will be possible to
decommission the previous systems. Only once the
change is well on track to becoming the normal way of
working should the support infrastructure be
demobilised.
The timing of the final benefits review is set according to
the original business case. Most benefits are realised

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 Session 10: Project and Programme Processes

S10P43: Summary
In this session we looked at:
• Identify a project or programme
• Sponsor a project or programme
• Define a project or programme
• Deliver a project or programme
• Manage boundaries
• Develop products
• Close a project or programme, and
• Realise benefits.

That concludes session 10.

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 Session 11: Interpersonal Skills
Session 11: Interpersonal Skills
S11P1: Introduction
Welcome to module 11 of Praxis Foundation, where we
will look into developing P3M interpersonal skills. This
follows the insights into project and programme
processes from module 10.
Let’s investigate Praxis further and take a look at the
following areas:
• Communication
• Conflict Management
• Delegation
• Leadership
• Influencing
• Negotiation, and
• Teamwork.
As with previous modules, you can find an online guide
with a lot of supplementary content at
www.praxisframework.org. It is extremely useful for
understanding Praxis, but not examinable. We’re
including the link in the ‘Resources’ tab on the left, and
we’ll let you know on specific pages when there’s useful
extra content online for you to access.
Let us begin!
S11P2: Interpersonal Skills
Pete: Let’s start by considering interpersonal skills. What
skills do you think a P3 manager would need to call
upon?
Priya: Leadership.
Pete: Yes, a manager needs to lead and motivate their
management team and delivery teams. The manager
must also lead the stakeholder community, who are not
technically part of a team, and to whom delegation is
rarely appropriate.
Nita: Negotiation.
Pete: When dealing with stakeholders, influencing and
negotiation are very important. For senior stakeholders
who may be vital to the achievement of objectives, the
P3 manager will inevitably call upon the support of the
sponsor.
Tony: Conflict management.
Pete: Yes, whenever delegating work, conflict will
inevitably arise. The manager will need to have conflict
management skills.
Priya: They need to be a good communicator.
Pete: Absolutely. Communication is at the heart of all
human interactions. If a manager can apply all these
skills with professionalism and within an ethical
framework, they will engender trust and respect.
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S11P3: Goals of Communication
Priya: Communication is the means by which
information is exchanged and a common understanding
achieved. The goals of communication, both general and
specifically in a P3 environment, are on screen now.
Read through and click the image of a goal to continue.
Communication comes in many forms. The obvious
primary forms are written, verbal and body language,
but these are modified by many other factors, such as
whether they are formal or informal, active or passive,
conscious or unconscious.
Communication involves the person who originates or
transmits a message and a person who receives the
message.
One of the first things to do is decide what needs to be
communicated, and to whom. Time should be invested
in seeking to understand who needs what information
and when.
The range of available channels of communication is
increasing constantly. Paper, telephone and face-to-face
are being supplemented by email, social media and tele-
conferencing. Every new channel brings its own
opportunities and challenges for communication. Can
you suggest any barriers to effective communication?
Tony: Languages seems to be the obvious one.
Pete: And the physical environment of the receiver.
Nita: The use of acronyms, or a lack of trust in the
transmitter.
Priya: Those are all significant barriers, and must be
considered as part of the communication process.
Consistency of documentation is very useful but it must
not become the primary objective. A message needs to
be structured and presented in a way that makes it
effective.
S11P4: David Berlo’s Components of
Communication
Nita: Communications theorist David Berlo set out the
SMCR model, based on its four components: source,
message, channel and receiver.
All communications have a source, which could be an
individual or group, which ‘encodes’ the message that
needs to be communicated. This will be affected by
several attributes such as its communications skills; its
attitude towards its audience; its knowledge of the
content of the message; its social background and
culture.
The source must encode a message that contains the
right content. Content refers to everything that is
communicated. The elements of the communication
could include speech or body language. The treatment
 Session 11: Interpersonal Skills
of the communication could be formal or informal. The
message may be structured, with multiple layers
conveyed. They also need to be coded appropriately by,
for example, using a language that the recipient
understands.
The ability to convey a message is not just about the
words we hear. Rarely will we include touch, smell and
taste. The focus is on hearing and seeing. Channels could
include presentations, e-mails and video conferencing.
Finally, the receiver is the person, group or company
that is the intended recipient of the message. They have
to decode it and the factors that affect this are similar to
those affecting the original encoding by the source.
S11P5: Goals of Conflict Management
Tony: Let’s talk about conflict. It’s usually perceived as
negative and almost invariably having a detrimental
impact on the achievement objectives. The goals of
Conflict Management are to:
• Utilise the positive aspects of conflict
• Resolve organisational and interpersonal conflict,
and
• Minimise the impact of conflict on objectives.
Priya: Conflict doesn’t sound very positive.
Tony: Very true Priya. Some aspects of conflict can be
used positively and it is important to recognise the
difference between conflict management and conflict
resolution.
While a P3 manager may be skilled in conflict resolution,
it is important that conflict management is applied to
pre-empt and avoid conflict before it occurs.
When negative conflict occurs, it needs to be resolved to
minimise the damage caused. Individual conflicts can
emerge suddenly or gradually, they can be single events
or a build of many small events.
Priya: So how do you spot conflict?
Tony: Typical indicators of an emerging conflict include
hostility, lack of cooperation or an obvious direct
challenge, opting out of team activity or changes in
behaviour.
If left unresolved, conflict creates uncertainty, affects
morale and undermines the effectiveness of a team,
potentially delaying, or halting, the delivery of
objectives.
For some forms of conflict, a mediator may be useful as
they can focus on the issues rather than the
personalities as they facilitate a resolution.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
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S11P6: Thamhain and Wilemon - Sources of
Conflict
Thamhain and Wilemon conducted a study to
investigate the sources of conflict in the project
management life cycle.
They identified seven main sources of conflict on a
project: schedule, priorities, manpower, technical
options, procedures, cost and personality. They then
assessed the relative intensity of conflict from these
sources at different phases in a four-phase life cycle.
The importance of the different sources of conflict vary
according to the four
phases in the life cycle, and the average total conflict
indicates that the greatest levels occur in the early
stages. This simple model is quite intuitive, but in the
modern context the pattern could vary significantly
according to the context of the project or programme
and the capability maturity of the host-organisation.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P7: Tuckman - 1
Another model that may help resolve conflict, but does
call upon the P3 manager to have good leadership and
influencing skills, is Bruce Tuckman’s four-stage model:
forming, storming, norming and performing.
Forming occurs when individuals are first brought
together, without a common objective. They may be
anxious about why they have been brought into this
team or maybe they are unsure of what they have in
common with other team members. Individuals will look
for information, find common ground and form possible
allegiances.
In storming, conflict may arise within the team. The
more assertive individuals will try to impose some order
by defining rules, resulting in leadership being
challenged whilst a ‘pecking order’ is established.
In norming we see that as the issues and conflicts of the
storming stage are resolved, the team starts to
concentrate on tasks and issues rather than
personalities. An acceptance of common values and
behaviours develops and the team is starting to become
a cohesive unit, truly working as a team with its
capabilities being greater than the sum of its parts.
Performing is when the team is working as a focused
unit. There is collaboration between team members to
solve problems and a shared responsibility for the
common goal. Individuals have the confidence to
innovate and deal with problems.
 Session 11: Interpersonal Skills
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P8: Tuckman - 2
Managers need to be aware of the potential for the
team to slip from performing back to storming. This can
happen if there are major changes or setbacks. The
boundaries between stages or tranches are times when
the momentum of team performance can be lost.
To address this, Tuckman added a fifth stage in 1977 –
adjourning - and others later added a sixth and final
stage - mourning. The adjourning stage comes as the
close of a project or programme process is near, and
demobilisation gets close. Some team members’
thoughts may turn to life after the project, and
therefore they pay less attention to the work in hand.
Mourning is often considered the final stage. Inevitably,
after a successful initiative, there will be a sense of loss.
The mourning stage mainly affects the manager of the
next piece of work, who has to get a group of people
together and form a new team, some of whom are
mourning the passing of the last team.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P9: Conflict Management Models -
Maccoby and Scudder
In their book ‘Leading in the heat of conflict’, Michael
Maccoby and Tim Scudder identify a five-step process
for conflict management. Its component activities have
many parallels in P3 management.
P3 managers spend a lot of time planning, and a lot of
time is spent on trying to anticipate potential sources of
conflict to eliminate or reduce them.
Functions such as requirements management and
stakeholder management sift out many potential
sources of conflict and develop plans to deal with them.
Risk management is also a key function here, since it will
identify potential sources of conflict and develop a
range of responses. All this contributes to Maccoby and
Scudder’s prevention activity.
No amount of planning will remove all sources of
conflict, and the management team must use both
control techniques and empathy to identify obvious
technical and subtle human, emerging conflict.
The management of conflict draws upon skills such as
communication, negotiation and influencing, in the
context of a manager’s personal style, as identified by
the Thomas-Killmann model.
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Resolution involves confirming what has been agreed to
all parties and updating future plans to reflect the
solution.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P10: Conflict Management Models –
Thomas and Kilmann
Kenneth Thomas and Ralph Kilmann based their conflict
style inventory on the
managerial grid, where they arranged five conflict-
resolution approaches on scales of two individual
characteristics - assertiveness and cooperativeness. The
five approaches are competing, collaborating,
compromising, accommodating and avoiding.
Competing people favour taking a firm stand because
they are confident in their position. This style is useful
when the conflict needs to be resolved urgently or is
unpopular.
The collaborating style tries to meet the needs of
everyone involved. Those who adopt this style can still
be assertive, but they acknowledge everyone’s views
have equal importance.
Compromising often means that all parties feel only
partially satisfied as everyone has to give up something.
It is useful when the impact of the conflict on objectives
outweighs the effects of breaking the impasse between
equal parties.
Accommodating indicates that someone is prepared to
meet the needs of others, at the expense of their own
needs. It is adopted if it is the only way to resolve a
conflict, where non-resolution is worse than the
concessions.
Finally, avoiding people prefer to evade conflict or pass
it on to another. This is useful where a P3 manager
genuinely believes that someone else is better placed to
resolve a conflict such as a senior stakeholder.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P11: Goals and Procedures of Delegation
Nita: Delegation is the practice of giving a person or
group the authority and
responsibility to perform specific activities on behalf of
another. The goals of delegation are to:
• Allocate work effectively to individuals, teams and
suppliers within the project, programme or portfolio
• Use delegation as a motivation and development
tool.
 Session 11: Interpersonal Skills
Pete: Are there any initial limits to delegation?
Nita: The act of delegation does not transfer
accountability and the person who has delegated the
work remains accountable for its results.
The first step is to define the task or work package. A
team or individual can then be selected but their
capability to do the work should be assessed.
Some degree of responsibility and authority is also being
transferred, so the manager must explain the role as
well as the outputs.
The next two steps cover discussions about the
resources needed and the required timescales for
delivery.
Once the work is underway, the manager should
exercise a suitable degree of supervision, and provide
support as required.
Feedback is useful throughout the procedure but is
shown at the end where the feedback on the end result
is delivered.
Delegation is also a means of motivating teams and
individuals to realise their full potential.
Potential obstacles to effective delegation include:
• Complex lines of authority in a matrix organisation
• The ability of the P3 manager to select the members
of their teams
• A blame culture where there is intolerance of
mistakes making people reluctant to accept
responsibility, and finally
• The reluctance to delegate (‘By the time I’ve
explained it, I could have done it myself’).
Delegation is an essential component of developing
high-performing teams.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P12: SMART Objectives
When delegating work, setting SMART objectives is
advised. SMART is an acronym for the characteristics of
well-defined delegated objectives.
• Objectives should be specific. They should describe
the result that is desired in a way that is detailed,
focused and well-defined
• Measurement is hugely important as it will enable
you to confirm whether an objective has been
achieved. To be measurable, an objective should
describe an achievement or outcome which is or can
be related to a percentage, rate or number
• An objective can be said to be achievable if the
necessary resources are available or similar results
have been achieved by others in similar
circumstances
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• Realistic suggests that there is a clear understanding
of how the objective might be reached and that
there are no circumstances or factors which would
make the achievement of the objective impossible
or unlikely
• Time-bound refers to setting a date or time by
which the objective should have been accomplished
or completed and this contributes to making
objectives measurable.
Many sources extend the acronym to SMARTER with the
addition of ethical and recorded.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab
S11P13: MoSCoW Prioritisation
In addition to defining objectives clearly, it is essential to
ensure priorities are clearly communicated.
MoSCoW prioritisation is often used in agile
environments to classify objectives as: ‘must have’,
‘should have’, ‘could have’ and ‘would like to have’.
Some sources suggest the ‘W’ stands for ‘won’t have’.
Within each timebox (or sprint) the objectives are
prioritised so that:
• ‘Must have’ requirements are fundamental to the
system being developed, and without them it won’t
work
• ‘Should have’ requirements are important, but if
they are not completed there is an alternative
• ‘Could have’ requirements are not essential in the
current timebox and can be left until the next one
• ‘Would like to have’ are requirements that have
value if they can be done in this timebox, but it is
expected that they won’t be done until later.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P14: Goals of Leadership
Leadership has many definitions, because it is exercised
in so many different contexts. The goals of leadership
are to:
• Provide focus and promote commitment to
objectives, and
• Inspire team members to successfully achieve the
objectives.
Leadership theory revolves around the relationship
between the leader and those who follow. The most
basic managerial relationships were described by
American management professor Douglas McGregor,
with his description of Theory X and Theory Y managers,
and these evolved into the idea of transactional and
transformational leaders.
 Session 11: Interpersonal Skills
A transactional leader ensures that requirements are
agreed and that the rewards and penalties for
achievement, or lack of it, are understood. It is an
exchange process to do with setting objectives,
communicating plans and explaining what team
members or suppliers will receive in return for their
effort.
A transformational leader is one who does everything
possible to help people succeed in their own right and
become leaders themselves. They help those people to
transform themselves and achieve more than was
intended. This approach primarily addresses the second
goal and is reflected in the many leadership models that
link the style of the leader to the development of the
team being led.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P15: Hersey and Blanchard - 1
Paul Hersey and Ken Blanchard developed the theory of
‘situational leadership’, which describes four different
leadership styles and four levels of individual or team
maturity or readiness. It then combines these to suggest
which style of leadership best suits which level of
maturity.
The leadership styles are:
• S1 Telling - this style is characterised by one-way
communication where the manager defines roles
and is very directive about how work will be
performed
• S2 Selling - the manager is still providing direction
but is using two-way
communication. The team or individual buy into the
decisions being made by the manager
• S3 Participating - the manager and team share the
decision making regarding some aspects of how the
work will be performed. The manager focuses more
on supportive behaviour
• S4 Delegating - while still involved in decisions, the
manager has delegated much of the responsibility
for performance of the work to the team or
individual but retains responsibility for monitoring
progress.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P16: Hersey and Blanchard - 2
A P3 manager needs to be competent in all four styles.
While ‘S1’ may be appropriate where a project manager
has enlisted help from a short-term contractor, ‘S4’ is
very much the relationship that should be seen
between, for example, a programme manager and
project manager.
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Alongside the leadership styles are the characteristics of
the team or individual. In the earlier version of the
model this was called ‘levels of maturity’, but in later
versions this became ‘follower readiness’. The four
levels of readiness are:
• R1 - unable and unwilling or insecure
• R2 - unable but willing or confident
• R3 - able but unwilling or insecure
• R4 - able and willing or confident.
Putting the leadership styles together with the levels of
readiness, we can see where readiness and leadership
styles match up.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P17: Hersey and Blanchard - 3
Bringing these styles together results in the following
approaches being adopted.
Telling - when a team member first arrives, there may
be anxiety. The manager should adopt a task-oriented
approach, and closely supervise performance.
Selling - as individuals begin to understand what is
required, the manager will spend more time establishing
a relationship of trust and mutual understanding.
Participating - as individuals develop a high level of
competency and motivation, the leader concentrates on
developing relationships with individuals.
Delegating - a point is reached where team members
are confident in their ability, trusted to get on with the
task and have a good relationship with the manager.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P18: Adair’s Action-Centred Leader
John Adair was one of the first proponents of the idea
that leadership can be trained and developed, rather
than being a purely innate ability in born leaders.
Adair identified three overlapping areas of core
responsibility - task, team and individual - and he
referred to balancing these elements as ‘Action-Centred
Leadership’.
The task is the job in hand, that needs defining in terms
of what and how. Typical characteristics of this are a
belief that the end justifies the means, but with no
innovation or team identity.
The individual will come to the team with their needs
and ambitions. If the needs of the individual coincide
with the needs of the task, the team as a whole will be
 Session 11: Interpersonal Skills
more effective. If too much emphasis is placed on the
individual, anarchy can result.
The team element relates to the maintenance of the
team, ensuring that individuals work together to
complete the task. If the leader concentrates on
teamwork too much, the result is a democracy that can
result in poor performance due to poor decision making,
and excessive and unproductive meetings resulting in
poor control of the task.
What is needed is a balance between the three. Adair
describes six key functions that help find that balance. In
every case (planning, initiating, controlling, supporting,
informing, evaluating) there is a match to P3
management techniques.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P19: Maslow’s Hierarchy of Needs
Tony: Abraham Maslow proposed his hierarchy of needs
in 1943. The hierarchy shows a progression of
motivational factors. Starts at basic human survival and
progressing to higher intellectual needs. The hierarchy
starts with basic physiological needs - can you suggest
what these may be?
Pete: For me they would include, food, water and
oxygen.
Tony: Great examples. The hierarchy then progresses
through another four levels, culminating with self-
actualisation, which is about satisfying yourself that you
have fulfilled your potential. As each of these needs is
satisfied it ceases to become a motivator.
Only needs that have yet to be satisfied are
motivational, but as with all models of human
behaviour, this initial theory is sound, generally true, but
simplistic. Maslow himself identified a number of
exceptions.
Some creative people can be motivated by the higher
needs in spite of the fact that lower ones remain
unsatisfied. Take the example of the artist Vincent Van
Gogh. His basic needs were not satisfied. He was
starving and lived in a cold home yet he produced
brilliant works of art.
Once somebody has progressed to higher needs, those
will continue even if lower-level needs suddenly become
unsatisfied.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P20: In P3 Management Terms
Priya: There are impacts of Maslow in P3M terms. Take
Level 1 - while a P3 Manager in a matrix organisation
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rarely has control over pay and rations, they can
establish a good working environment.
For Level 2, a P3 manager can ensure a safe working
environment within the confines of the project or
programme. Projects and programmes are transient and
P3 managers must be aware that someone’s time on the
project or programme will come to an end.
At Level 3 and beyond, the P3 manager has more
influence. Teamwork and leadership are very much part
of the P3 manager role, and this is where Maslow
resonates with models such as Tuckman and Hersey and
Blanchard.
Level 4 offers recognition for achievements in projects
and programmes, for overcoming problems to deliver
objectives.
At Level 5, a project or programme should definitely be
an opportunity for personal development and an
expression of creativity.
Click the pyramid to see a little more detail on the five
levels, then move on to the next screen when you’re
ready.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P21: Hertzberg
Pete: Were there any alternatives to the Maslow model
to address these failings?
Tony: Frederick Hertzberg tried to address the situation
with his two-factor theory. He said that the factors that
create dissatisfaction at work are not the same as, and
not opposite to, those that create satisfaction. He
identified job dissatisfiers (also known as hygiene
factors) and job satisfiers (also known as motivational
factors). Can you suggest any potential hygiene factors?
Pete: Poor pay. Low job security.
Tony: Those are great examples. The absence or failure
of hygiene factors leads to satisfaction, but does not
motivate. When the hygiene factors are all satisfactory,
a team member will be ‘not dissatisfied’, but will also
not be especially motivated. Hygiene factors remove
dissatisfaction, but do not motivate.
To create a feeling of motivation rather than just a lack
of dissatisfaction, someone needs to have, for example,
work that interests them, or the opportunities for
personal achievement. Motivational factors such as
these provide motivation for those who are not
dissatisfied. Take a look at the list of motivational and
hygiene factors on screen now.
For a P3 manager working in a matrix organisation, they
may not be able to influence the hygiene factors, but
 Session 11: Interpersonal Skills
should have greater influence over some of the
motivational factors.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P22: Goals of Influencing - 1
P3 managers will often be in a position where the
exercise of direct authority is either inappropriate or
impossible. In these situations, the manager must seek
to affect the behaviours and actions of others through
influence rather than authority.
The goals of Influencing are:
• To develop and maintain a high performing team
• To persuade stakeholders to support the objectives,
and the achievement of those objectives.
Models of leadership, such as Hersey and Blanchard, and
models of teamwork, such as Tuckman, have a common
theme. As a team develops, the manager’s style must
change from authoritative to supportive. For high
performing teams, a key skill that will be needed is the
ability to influence team members to do the right thing,
rather than telling them.
Influencing is a very useful skill where a P3 manager
doesn’t have the necessary authority.
To be a successful influencer, the P3 manager will need
to:
• Understand their own behaviour and how it relates
to others
• Have a clear vision of what the work involves and
how it affects others
• Communication effectively using all appropriate
means
• Negotiate to find mutually acceptable solutions to
issues
• Understand context, including cultural, social and
political factors
• Behave ethically at all times.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P23: Goals of Influencing - 2
Pete: A P3 manager needs to be clear on their sources
and levels of power, in order to use them constructively.
If influencing is successful, it will result in changes of
attitude and behaviour of those being influenced,
resulting in acceptance of, and support for, the
objectives of the work.
Tony: How many forms of influencing exist?
Pete: Influencing can take many forms. It can be:
• Deliberate or accidental
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• Overt or discrete, and
• Focused or widespread.
Some of these aspects are both beneficial and
detrimental and a P3 manager must be aware of this.
What may positively influence one person may
negatively influence another.
Priya: Are there elements that change the effectiveness
of influencing?
Pete: Excellent question. Influencing is only as effective
as the environment and context in which it is applied.
The P3 manager must regularly review their behaviour
and consider the consequences of their actions. An
individual’s ability to influence will be based largely on
their personality and behaviour, and it is dependent on
their position in the organisation.
Priya: What options can be called upon if your
influencing skills fail?
Pete: Sometimes the most skilled P3 manager will need
support from their sponsor. Sometimes influencing skills
need to be backed up by the kind of authority or
credibility that is linked to seniority in the organisation.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P24: Cialdini’s Six Principles of Influence
Robert Cialdini set out six principles of influence, often
referred to as Six Universal Truths. He observed the
behaviours of people in sales and advertising to see how
they influenced their audience. These principles are:
Reciprocity – also known as ‘give and take’, is a powerful
human motivator. If a project or programme has a
benefit to a stakeholder, they are more likely to support
it, so the stakeholder management plan must
concentrate on explaining the benefits to the relevant
stakeholders.
Commitment - people like to be consistent, and once
they have taken a position, they will tend to stick with it.
It is often best for the P3 manager to seek support early.
Social proof - this could be expressed as ‘peer pressure’.
People are naturally influenced by those around them.
Liking - people are more likely to be influenced by
people they know or like. A P3 manager will need to
carefully select how messages are conveyed.
Authority - we respect authority in others, for example
doctors or police. A P3 manager with a clear vision, who
can speak authoritatively, will find it easier to influence.
Scarcity - when things are in short supply, it can often
appear that now is the right time to conduct a project,
 Session 11: Interpersonal Skills
otherwise the opportunity to realise benefits will
disappear.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P25: Cohen and Bradford Influence Model
The Cohen and Bradford model comprises six steps:
1. First, assume that all parties are potential allies. It
is useful to assume that an unsupportive
stakeholder can be turned into a supporter, with
the right information
2. Second, the model advises that goals and
objectives should be clarified. This is where
requirements management and solutions
development can help
3. The third step, diagnose the world of the other
person, benefits from stakeholder management to
help understand why a stakeholder has the
attitude that they do, and act upon that
understanding
4. Fourth, identify relevant currencies, theirs and
yours. ‘Currency’ is what someone values.
Currencies are very personal – don’t
underestimate their value to others.
5. Fifth, dealing with relationships. It is worth
investing time in getting to know the person who
you wish to influence and developing a
relationship of mutual trust.
6. The final step, influence through give and take,
uses one of Cialdini’s six universal truths, namely,
reciprocity. If someone’s support is needed, then
hopefully they will receive something in return.
Priya: Sounds a bit manipulative.
Tony: One of the problems with influencing is that it can
sound manipulative, but it is also important to act
professionally and ethically.
You can find supplementary content on this
S11P26: Ethics
Priya: Ethics are the moral principles that govern
someone’s behaviour or the way they perform an
activity. Ethical behaviour could be said to be the
cornerstone of competence in a professional
environment. Hence, most professional bodies have a
code of conduct.
The goals of ethics are:
• Encourage ethical behaviour in the practitioners of
the P3M discipline
• Raise the standards of professionalism by which P3
managers are judged and thereby raise the status of
the profession.
Tony: Ethics looks like a very subjective area.
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Priya: Subjectivity is one of the inherent problems with
ethical behaviour. Cultural considerations and lack of
consistency in adherence to statutory requirements are
just two examples.
A P3 manager needs to understand the moral values of
different stakeholders, as well as the relevant national
and international laws. If a professional believes there
are conflicts or differences, then advice should be
sought.
The need for ethical behaviour must be clearly
articulated, understood and maintained by all. This can
be achieved through training and assurance.
With society in general demanding increasing
transparency, and expecting professionals to behave in
an ethical manner, the P3 manager needs to be able to
explain ethical decisions in a way that maintains the
commitment of all stakeholders.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P27: Montana and Charnov’s Seven
Forms of Power
Patrick Montana and Bruce Charnov set out seven forms
of power involved in leadership and influencing in an
organisational setting.
Legitimate power is gained through position in the
organisation. Sometimes we may have to call the
sponsor to provide a higher level of legitimate power.
Reward power arises from administrative power over
rewards. In a contract, a P3 manager may have
significant reward power over external resources.
Coercive power is concerned with the manager’s ability
to punish. This is simply the opposite of reward power.
Expert power is attained through a manager’s personal
knowledge, skills and abilities. Someone with a strong
reputation for good P3 management or a strong
technical background, will have expert power.
Charisma power is clearly a personal characteristic and
very dependent upon the subjective views of the team
being led or the stakeholders being influenced.
Referent power is gained through association, where a
P3 manager draws upon the support of a powerful
sponsor.
Finally, information power is gained by anyone who has
information that others need to do their work. It is
rarely in the interests of effective P3 management to
hold back information.
 Session 11: Interpersonal Skills
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P28: Goals of Negotiation
Negotiation is a collective term for various mechanisms
that seek to resolve differences between individuals,
groups or companies.
Its goals are:
• Find solutions to issues involving two or more
parties, and
• Develop beneficial relationships between two or
more parties.
The principles of negotiation are used in many different
contexts. Addressing personal conflict often involves
emotional and cultural issues, whereas procurement
negotiation is usually about contractual terms and
conditions.
Whatever the context, there are common factors that
exemplify a good
negotiator:
• The ability to describe common goals and
boundaries
• Emotional control and equal treatment of all parties
• Good listening and communication skills
• Thorough knowledge of bargaining tactics, and
• An ability to close a negotiation in a way that
secures the outcome.
A negotiation can often be described as being
competitive or collaborative. Anybody like to suggest
what they represent?
Priya: Competitive negotiation suggests that one party is
primarily concerned with getting the best deal,
regardless of the needs and interests of the other.
Collaborative negotiation is where all parties involved
get part or all of what they were looking for from the
negotiation.
Nita: Excellent summaries Priya. Collaborative
negotiation is often referred to as Win-Win.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P29: Typical Procedure of Negotiation
Tony: Negotiation typically follows a procedure,
regardless of whether it is competitive or collaborative.
The key activities include:
• Plan, where all parties should prepare thoroughly,
gathering information, setting goals and agreeing
escalation routes
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• Discuss, they set the scene by identifying key issues
and communicating objectives
• Propose puts forward a clear and unambiguous
solution
• Bargain involves discussing the proposal and
communicating personal boundaries and areas of
flexibility
• Agreement on the core issues should be
documented, as well as recording any other relevant
items
• Implement relates to communicating the outcome
of the negotiation, as well as updating any related
documentation.
Can you think of any negotiation mistakes?
Pete: Not being prepared?
Priya: Rushing into and through negotiations?
Tony: Great examples both. It is important when
negotiating to stay calm and know when to take a break.
The result of a negotiation will have repercussions
throughout the remainder of the lifecycle, so it is worth
the investment to get it right, or as close to being right
as possible, before moving on.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P30: Shell’s Five Styles of Negotiation
Nita: Professor Richard Shell, director of the Wharton
Executive Negotiation Workshop, identified five styles of
negotiation:
• Accommodating - this style indicates that someone
is keen to solve the other party’s problem and
preserve the personal relationship. However, if the
other party does not reciprocate, they can feel taken
advantage of
• Avoiding - some people simply don’t like to
negotiate until absolutely necessary. They will
typically dodge the confrontational aspects of a
negotiation, which may be interpreted as tactful and
diplomatic
• Collaborating - someone who enjoys negotiating
and solving problems is said to be collaborating. The
danger is that this enthusiasm can lead to simple
problems being made complex
• Competing - a naturally competitive person will
enjoy a negotiation because it is an opportunity to
win in the context of ‘win-lose’ not ‘win–win’. This
style can come to dominate the bargaining process
and damage relationships
• Compromising - when an individual is keen to
conclude a negotiation in a fair and equitable way,
they may rush the bargaining process and make
concessions too quickly.
Priya: This sounds like the Thomas-Kilmann conflict
model.
 Session 11: Interpersonal Skills
Nita: You are correct Priya. These five styles of
negotiation are closely based on the Thomas-Kilmann
conflict model.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P31: Goals of Teamwork
Teamwork is how a group of people come together to
collaborate and cooperate in achieving common
objectives. Its goals are:
• Create a team from a collection of individuals, and
• Develop and maintain the performance of the team.
The difference between a team and a group of
individuals, is the team’s collective commitment to
agreed objectives.
Given that project, programme and portfolio teams are
temporary in nature, teams need to be built as quickly
as possible. It helps considerably if team members are
comfortable in a dynamic environment.
Models of teamwork, for example Belbin’s, or
Katzenbach and Smith’s (we’ll look at these models on
the next two pages), typically address two aspects. First,
the nature of the individuals who make up the team
and, second, the developmental stages of the team as a
whole.
P3 managers can rarely select their team, often
availability is the deciding factor. As such, the manager
must work with individuals to develop behaviours.
Once assembled, teams do not automatically become
high-performing. P3 managers must be able to adjust
their leadership style to suit the team.
Once a team is established, a P3 manager is responsible
for the continued cohesion of the team and should
strive to keep individuals motivated and feeling
supported.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P32: Belbin Team Roles
An often-quoted system for categorising people’s roles
within a team is that of
Raymond Meredith Belbin. Belbin concluded that a high
performing team needs a complementary mix of
characters. He identified nine team types, each of which
have positive contributions.
The following team types are used to illustrate the
concept:
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1. A plant is a person who is creative, imaginative
and unorthodox and they often solve difficult
problems
2. A monitor evaluator is typically mature, confident
and makes a good chairperson clarifying goals
3. A specialist is a single-minded, self-starting and
dedicated individual who provides knowledge and
rare skills
4. A coordinator is a respected leader who helps
everyone focus on their task
5. Resource investigators are extrovert, enthusiastic
and communicative. They explore opportunities
and network well
6. Teamworkers are cooperative, mild, perceptive
and diplomatic. They listen well and work to avoid
friction in the team
7. Completer finishers are painstaking, conscientious
and anxious. They search out errors and omissions
and usually deliver on time
8. Implementers are disciplined, reliable,
conservative and efficient. They turn ideas into
practical actions
9. Finally, shapers are challenging, dynamic and
thrive on pressure and have the drive and courage
to overcome obstacles.
You can find supplementary content on this at
www.praxisframework.org, access it through the
‘Resources’ tab.
S11P33: Katzenbach and Smith’s Level of
Teamwork
Another definition of a team was formulated by Jon
Katzenbach and Douglas Smith. They defined a team as
“a small group of people with complementary skills who
are committed to a common purpose, performance
goals and approach for which they are mutually
accountable”.
This simple definition brings together several teamwork
models, such as Belbin, with models of leadership, such
as Tuckman, and Hersey and Blanchard. It brings
together a team’s effectiveness with its performance
impact. They identified the following team types:
• A working group is where team members come
together to share information, but as yet there is no
common purpose or performance goals that require
mutual accountability
• A pseudo team is at the bottom of the performance
curve. Members
may believe they are part of a team, but are not yet
acting like one
• In a potential team, the team members are moving
towards a common goal and approach to achieving
it
• A real team is a small group of people who share a
common purpose and approach with
complementary skills and shared accountability
• A high performing team differs from a real team in
the relationships between the team members. Each
 Session 11: Interpersonal Skills

member is committed to one another’s personal

growth and development.

You can find supplementary content on this at

www.praxisframework.org, access it through the
‘Resources’ tab.

S11P34: Activity
In the Thomas-Kilman conflict model, which type is
being described by the following?

“Tries to meet the needs of everyone involved”

1. Competing
2. Collaborating
3. Compromising
4. Accommodating

S11P35: Activity
Which type of objective is being described in the
following?

“They should describe the result that is desired in a way

that is detailed, focused and well defined.”

1. Specific
2. Measurable
3. Achievable
4. Timed

S11P36: Activity
Which of the following is NOT one of Cialdini’s Universal
Truths?

1. Commitment
2. Liking
3. Authority
4. Benefit

S11P37: Activity
Who is most closely associated with the seven forms of
power?

1. Hersey and Blanchard

2. Cohen and Bradford
3. Katzenbach and Smith
4. Montana and Charnov

S11P38: Summary
In this session we looked at:

• Communication
• Conflict Management
• Delegation
• Leadership
• Influencing
• Negotiation, and
• Teamwork.

That concludes this session, the last of 11 modules on

Praxis Foundation.

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 Session 12: Foundation Exam Simulator
Session 12: Foundation Exam Simulator
S12P1: Exam Introduction - 1
Welcome to the Exam simulator.
The exam consists of multiple choice questions which
are randomly selected from our database. The pass
mark is shown on screen. The examination is timed and
the exam duration is shown at the top right of the
interface.
Once you begin the exam you will be presented with a
page that looks like this.
You will notice that the bottom portion of the page
contains a question reference matrix.
You can choose to answer the questions in numerical
sequence by clicking the forward and back buttons, or
you can select a question by clicking its number in the
matrix.
You can come back to any question you've previously
answered in the same way. Questions which have been
answered are highlighted in blue.
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S12P2: Exam Introduction - 2
Once you are happy with your answers, you can submit
them for marking by clicking the submit button - shown
here.
At this point you will be given your score. Valuable
feedback on which of your answers were correct or
incorrect is also provided. Again you can review your
answers by selecting them in the question reference
matrix. Green question numbers indicate a correct
answer and those in red were marked incorrect.
At the end of the quiz you will be given an assessment of
your performance.
Having completed the exam you can review your given
answers. You also have the opportunity to add any
question to your Revision Pad, which stores questions
for review at a later date. The stored questions can be
accessed from the Revision Pad icon in the course’s
main menu.
If at any point you exit the quiz before completion, you
will have to restart from the beginning.
Good Luck.
S12P3: Exam simulator