M - CPS - HCC - 0516 - Functional Proposal - Strategy and Organization Restructure

FUNCTIONAL
PROPOSAL FOR STRATEGY AND

ORGANIZATION RESTRUCTURE
COMPANY A
MAY 2016
© 2016 Protiviti
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to another third party.
TABLE OF CONTENT
• COVER LETTER 3
• EXECUTIVE SUMMARY & OUR UNDERSTANDING 4
• DETAILED APPROACH & DELIVERABLES 19
• PROJECT TIMELINE 165
• RELEVANT EXPERIENCE 170
• PROJECT TEAM STRUCTURE AND CVS 192
• ABOUT PROTIVITI 221
• ABOUT PARTNER 240

COVER LETTER
Mr. xxx
22 May 2016
Dear Mr. ABC,
We are delighted to be given this opportunity to demonstrate our credentials to Company A. This is an exciting assignment for us
and we believe Protiviti is particularly well qualified and experienced to deliver such an important assignment.
We have deployed specialist resources with in-depth experience in the Food and Beverages sector as well as specific technical
experience that would suit your business needs. Collectively, the team has extensive experience in Strategy Development, Human
Capital Consulting, Business Process Re-engineering and IT Strategy Design. Our proven methodologies combined with knowledge
of your business and our track record in similar engagements will enable us to deliver the highest quality results.
We have partnered with Partner, who are our SMEs on food an beverage sector. Partner brings a rich pool of specialist technical
consultants, who have worked extensively within food industries worldwide as well as within the ME region. Partner’s rich dairy
market experience, in-depth knowledge of dairy technology and specialization in nutrition along with Protiviti's team of
experienced professionals will provide competitive insights on regional and global leading practices. This will ensure that
Company A has a successful transformation journey.
As you will observe while you go through our proposal, every aspect of our approach of this assignment is designed to be as
rigorous, informative and focused on implementation. We would appreciate if we are given the opportunity to discuss and
present our proposal to you and your project team and answer any questions you may have about our organization, our team and
our approach. We are committed to support Company A in achieving its key objectives.
Yours sincerely,
xxxxx
© 2016 Protiviti
3
EXECUTIVE SUMMARY;
MARKET TRENDS & CHALLENGES
IN FOOD & DRINK SECTOR; &
OUR UNDERSTANDING OF YOUR
NEEDS
© 2016 Protiviti
EXECUTIVE SUMMARY
1. 1 PURPOSE 1.3 KEY VALUE-ADDING DIFFERENTIATORS
Protiviti in partnership with Partner, has developed this proposal to support As Protiviti is committed to its clients’ success, we always believe in going
Company A in the transformation journey which includes the following key the extra mile for the clients. Protiviti ensure its success by helping clients in
objectives: achieving theirs.
(i) To develop Company A’s business strategy, vision, mission , objectives, Similarly, to ensure this initiative reaps success for Company A, Protiviti has
business model, target operating model, strategy execution roadmap and ensured to deliver best solutions by providing following valued-add:
corporate KPIs (i) Experienced and Dedicated Talent Pool: Protiviti provides dedicated
(ii) To design Company A’s new organization structure, job families, job mix of experts with an in-depth experience of large scale organization
descriptions, grades, compensation ranges, compensation structure, transformation projects of the similar nature
behavioral - technical competencies, manpower planning report including (ii) SME Partnership with Partner: Protiviti has partnering with Partner,
the organization impact report, IDPs and succession plans based on who have worldwide experience in the area of food and beverages
conducted assessments, HR P&P and implementation roadmap and sector. Partner offers rich dairy market understanding, in-depth
conducting post-implementation audit knowledge of dairy technology and specialization in nutrition
(iii) To develop gap assessment report based on understanding of “As-Is” (iii) Benchmarking and Leading Practices: Protiviti has made significant
processes and benchmarking the same with industry leading practices. investments in the development of various tools, technologies and
Also, design “to-be” documents based the identified gaps during current knowledge databases such as Knowledge Leader, iShare and Thought
state assessment Leadership to assist in benchmarking existing practices against global
(iv) To design an IT strategy post understanding of current IT systems and leading practices. The database provides various process scheme
SWOT analysis. To providing implementation support (PMO set-up) and diagrams, flowcharts, process descriptions etc. specific for various
QA audit assistance during ERP implementation industries including food and beverages.
1.2 INITIATIVE SUCCESS FACTORS 1.4 ROBUST AND COMPREHENSIVE APPROACH
Company A would regard following as the success factors for the initiative: (i) Robust and Comprehensive Approach: We have recommended a
comprehensive approach that is based on leading practices, our tried and
(v) Increase in net profit margin tested methodology and experience in similar projects to deliver a
(vi) Cultural transformation through matured people processes successful transformation for Company A.
(vii) Streamlined processes which are aligned to Business needs and (ii)Change management, PMO and Implementation Support: Additionally,
leading practices Protiviti offers three critical project enablers i.e. integrated change
management approach, PMO setup and implementation support and QA
(viii) Effective implementation audit assistance to ensure successful transformation. This will ensure that
transformation is well embedded within the Company A’s organization,
processes and people.
© 2016 Protiviti
5
MARKET TRENDS & CHALLENGES IN FOOD
& DRINK SECTOR…. (1/3)
Partner’s outlook on global dairy trends
• Global milk production reached 802 million tonnes in 2014, up +3.3% compared to 2013.
World dairy trade increased, representing approximately 9% of global milk production.
• Per capita consumption of dairy stands at 110.7kg and is set to rise.
• Innovation in the dairy market include fortification, filtered milk and focus on functionality.
Functionality is particularly witnessed in yoghurt with the growth of ethnic and Greek
yoghurts. In GCC, there is a particular shift towards natural products from processed
products with premium imports for fresh dairy.
• Responding to increase in demand for milk will be an unprecedented challenge
especially since the dairy industry is in a period of transformation and competitor
consolidation. Traditionally domestic industry, it is now facing challenges and
opportunities by increasing globalization. Global challenge: Russian EU ban on imports.
• Key takeaway: dairy companies need to take a world view of the milk supply and the
global consumer demand.
© 2016 Protiviti
6
Authority on regional developments of food and beverage categories including continuous and
updated tracking on global category intelligence. 2012 sample data and graphics below.
GCC Dairy market report snapshot

• GCC dairy market is predominantly comprised of 4 key product categories: fresh unflavored white milk,
laban, yoghurt and cheese. These four categories (out of the nine dairy categories covered by Partner)
accounted for 80.3% of the whole GCC market.
• The total dairy product consumption in the GCC countries was over 3.5 billion kgs in 2012, a growth of
7.3% over 2011.
• Main growth drivers in the region include population growth, high rate of urbanization, increasing per
capita income, increasing health awareness among consumers leading them away from carbohydrate
based foods and towards protein rich foods. Fortified dairy is becoming popular in the region with
innovation in added calcium, vitamins and folic acid in response to increasing health concerns.
© 2016 Protiviti
7
Country specific detailed and bespoke research on the dairy market.
UAE Packaged milk market snapshot

• Growth in volumes of packaged white milk is driven by population growth in the UAE
• Approximately 77% of packaged white milk production in 2014 is short life pasteurized milk as most
UHT packaged milk is imported from Saudi Arabia.
• Key development in the region is a price freeze implementation on almost 500 household consumables
such as milk, rice, oil and meats in 2015. As a result, manufacturers are reluctant to invest in capital
expenditure as investment may not be justified.
• Milk production is forecasted to grow at a rate of 1.9% annually over the next 5 years to 2020, in line
with forecasted population increase for the same period.
© 2016 Protiviti
8
OUR UNDERSTANDING OF YOUR NEEDS
Company A has undergone an exponential growth in last 30 years. The company has expanded in the domains of dairy products, juices, chicken and table
eggs; with a total of 140+ different products. In order to go beyond its past successes, Company A wishes to embark on a new transformation journey to
prepare itself for a future market challenges by:
1. Exploring fresh and innovative business growth strategies – vertical integration vs. and horizontal diversification
2. Driving organization, people and culture change initiatives
3. Aligning business process and IT systems to their new businesses
Protiviti would like to partner with Company A in this transformation journey .

We would like to propose a structured approach that supports Company A in
Company A’s EXPECTATIONS FROM THE INITIATIVE meeting stakeholders expectations through identifying strategic growth
initiatives and aligning processes and people practices to the business
needs
Increase in Net
Profit Margin
IT
Transformation
Success
Factors
Cultural
Transformation
Streamlined Processes
© 2016 Protiviti
9
OUR OVERALL APPROACH
Company A’s
TRANSFORMATION JOURNEY
Phase 1 Phase 2 Phase 3
KEY PHASES
1. Business Strategy 2. Organization and People 3A Business Process

Articulation and Execution 3B IT Strategy Design
Initiatives Re-engineering
2.1 Organization Structure Design

1.1 Understand Company A’s
2.2 Job Family Modeling & JDs 3.1. Business Priorities Understanding 1.4
current state
2.3 Job Evaluation & Grading
1.2. Articulate strategy and design
2.4 Compensation Ranges and Develop strategy
Business Model 3.2 Current State Assessment execution road map
SUB-PHASES
Structure Review
CRITICAL
1.3.Design Target Operating

2.5 Develop Behavioral &
Model
Technical Competencies
1.4. Develop strategy execution
2.6 Conduct Manpower Planning
road map
exercise 3.5 IT Strategy
1.5 Set Corporate KPI’s 3.3 GAP Analysis & Benchmarking
PRIMER 2.7 Talent Management 3.6 IT Policy & Procedure
PHASE: 3.4 To-be State Design
PROJECT 2.8 Develop HR Policies & 3.7 Technology Enablement
INITIATION
Procedures
• Business Direction Report

• Mission and Vision • Organization Structure
DELIVERABLES
• Current State Assessment

• Organizational Assessment • Job Families and JDs
• Gap Analysis Report Report
• Business Strategy • Job Evaluation and Grading
KEY
• “To-Be” Documents • Definition of 5 Years Portfolio

• Business Model • Compensation Ranges & Structure
• Risk Assessment
• Target Operating Model • Behavioral - Technical • SMART IT Strategy & Roadmap
• Strategy Execution Roadmap Competencies • IT Policies and Procedures
1 • Corporate KPIs 2 • Manpower planning

3 4 • Technology Enablement
• IDPs and Succession Plans Document.
• HR Policies and Procedures • PIR Report
MANAGEMENT /
MANAGEMENT
PROJECT
CHANGE
PMO
PMO CHANGE
CHANGE MANAGEMENT
MANAGEMENT IMPLEMENTATION
IMPLEMENTATION SUPPORT
SUPPORT &
& QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
• Set up PMO and design PMO charter • Conduct Change Readiness Survey • Design implementation roadmap & plan (including milestones, roles and responsibilities)
• Identify team , roles and responsibilities • Identify Change Agents for smooth transition • Provide on-going ERP implementation support from project management and QA audit assistance
• Track and report project progress • KT, Training and Stakeholder Management • Identify the success factors
© 2016 Protiviti
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to another third party. 10
DETAILED APPROACH AND
DELIVERABLES
© 2016 Protiviti
PROTIVITI’S PROPOSED APPROACH
Company A’s
KEY PHASES
1. Business Strategy 2. Organization and People 3A Business Process

Articulation and Execution 3B IT Strategy Design
Initiatives Re-engineering

2.2 Job Family Modeling & JDs 3.1. Business Priorities Understanding 1.4
current state
1.2. Articulate strategy and design
2.4 Compensation Ranges and Develop strategy
Business Model 3.2 Current State Assessment execution road map
SUB-PHASES
Structure Review
CRITICAL

Model
road map
exercise 3.5 IT Strategy
1.5 Set Corporate KPI’s 3.3 GAP Analysis & Benchmarking
PRIMER 2.7 Talent Management 3.6 IT Policy & Procedure
PHASE: 3.4 To-be State Design
PROJECT 2.8 Develop HR Policies & 3.7 Technology Enablement
INITIATION
Procedures

• Mission and Vision • Organization Structure
DELIVERABLES
• Current State Assessment

• Organizational Assessment • Job Families and JDs
• Gap Analysis Report Report
• Business Strategy • Job Evaluation and Grading
KEY
• “To-Be” Documents • Definition of 5 Years Portfolio

• Business Model • Compensation Ranges & Structure
• Risk Assessment
• Target Operating Model • Behavioral - Technical • SMART IT Strategy & Roadmap
• Strategy Execution Roadmap Competencies • IT Policies and Procedures
1 • Corporate KPIs 2 • Manpower planning

3 4 • Technology Enablement
• IDPs and Succession Plans Document.
• HR Policies and Procedures • PIR Report
MANAGEMENT /
MANAGEMENT
PROJECT
CHANGE
PMO
PMO CHANGE
CHANGE MANAGEMENT
SUPPORT &
& QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
PROTIVITI’S APPROACH TO BUSINESS
PROJECT TIMELINE
STRATEGY ARTICULATION AND
EXECUTION- PHASE 1
Company A’s
1. Business Strategy
Articulation and 2. Organization and 3A Business Process
3B IT Strategy Design
Execution People Initiatives Re-engineering
2.1 Organization Structure

Design 3.1. Business Priorities Understanding
current state
2.2 Job Family Modeling & JDs
1.2. Articulate strategy and
design Business Model
2.4 Compensation Ranges and 3.2 Current State Assessment
Structure Review
Model
road map
1.5 Set Corporate KPI’s
exercise
3.3 GAP Analysis & 3.5 IT Strategy
2.7 Talent Management
Benchmarking 3.6 IT Policy & Procedure
2.8 Develop HR Policies &
3.4 To-be State Design 3.7 Technology Enablement
Procedures
• Mission and Vision • Organization Structure • Business Direction Report

• Organizational Assessment • Job Families and JDs • Current State Assessment
• Gap Analysis Report
• Business Strategy • Job Evaluation and Grading Report
• “To-Be” Documents
• Business Model • Compensation Ranges & Structure • Definition of 5 Years Portfolio
• Target Operating Model • Behavioral - Technical • Risk Assessment

• SMART IT Strategy & Roadmap
• Strategy Execution Roadmap Competencies
• IT Policies and Procedures
• Corporate KPIs • Manpower planning
• Technology Enablement
1 2 • IDPs and Succession Plans
3 4 Document.
• HR Policies and Procedures
• PIR Report
PMO
PMO CHANGE
CHANGE MANAGEMENT
SUPPORT &
& QA
QA AUDIT
AUDIT
© 2016 Protiviti
PROTIVITI’S DETAILED APPROACH- - PHASE 1
Vision, Mission, Objectives and Value Creation
We shall undertake the following steps when redesigning Company A’’s Vision and Mission
Phase 1
statements :
Articulation and Execution • Identify the core competencies of Company A and understand its various operational initiatives
• Conduct interviews with the CEO and key staff members to understand their view regarding the
strategy and objectives of Company A
current state
1.2 Articulate strategy and design • Interviews with the stakeholders of the Company A to understand their view on the goals of
Business Model
1.3 Design Target Operating Model
Company A
1.4 Develop strategy execution Mission:
• Establish the common underlying goal in consultation with both the Company A and its partners
road map Why are we here? Vision:
Where do we want to be?
Values:
What are our enduring Strategy:
principles and beliefs? How do we get there?
Where we want
• Mission and Vision
to be and when
• Organizational Assessment
• Business Strategy
Goal
• Business Model
tive
• Target Operating Model
• Strategy Execution Roadmap
l u st ra
1
• Corporate KPIs Il
Actions driven by
strategy
Where are
PMO
PMO
we now?
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
Time
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
Organizational Assessment
Phase 1
We shall study Company A shareholders’ objectives
Articulation and Execution and expectations that drive Company A’s business.

Our focus shall be to review the relevant
current state
1.2 Articulate strategy and design organizational documents and to identify the
Business Model
strategy and objectives of Company A. For example:
1.4 Develop strategy execution
• Unique Value Proposition of Company A
road map
• Development of Strategic Framework
• Profitable Management of Assets
• State of the Art Operational strategies

• Organizational Assessment • Flexible and Scalable Go-To Market strategies
• Business Model • Identifying Key Partnerships and
• Strategy Execution Roadmap Relationships
• Corporate KPIs
1
• Effectiveness of the Organization Structure
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
Phase 1 Specifically, in order to assess the effectiveness of the existing structure, we would review the
1. Business Strategy following key elements :
Articulation and Execution

o Business operating environment o Applicable Laws/regulations
current state
1.2 Articulate strategy and design (external and internal) o Stakeholder expectations/
Business Model
o Business strategy and strategic future needs
1.4 Develop strategy execution objectives o Current regulatory requirements and
road map
1.5 Set Corporate KPI’s o Business operating model standards
o Workflow processes o Capabilities
o Key Policies and Procedures o Strategic alliances and customers
• Mission and Vision o Corporate Governance and Controls o Technology landscape

o Communication and Reporting Protocols o Best practices
• Business Model
• Corporate KPIs
1
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
Benchmarking
Phase 1 For the purpose of Benchmarking, we will

1. Business Strategy shortlist top Global food and drinks entities on
Articulation and Execution the basis of following parameters:
1.1 Understand Company A’s • Similarity of Mission and Vision with

current state
Company A
1.2 Articulate strategy and design
Business Model
• Strategies and objectives of Company A
1.3 Design Target Operating Model • Business Models including Unique Value
1.4 Develop strategy execution Proposition
road map
• Organizational Structures adopted by
these entities
• Operational plans utilized by such entities
We will study various comparable entities in

• Mission and Vision food and drinks sector such as:
ve
ti
t ra
• Business Model
s
Illu
• Corporate KPIs
1
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
Benchmarking
Phase 1 We will study best practices of the shortlisted food Key Traits
and drinks entities, that shall provide us with data

& insights to evaluate relative performance gaps,
prioritize improvement opportunities, and develop
Competitor Group Key Areas of Focus
Full
Full Service
Service  Deep
Deep experience
experience
realistic improvement targets.

Providers
Providers  Integrated
Integrated capabilities
capabilities
(Insourced
(Insourced by
by  Little/no
Little/no focus
focus on
on cost
cost
Airlines)
Airlines)
1.1 Understand Company A’s Full

Full Service
Service
 Focus
Focus on
on customer
customer
relationship
relationship
Providers
Providers  Credibility
Credibility ww regulators
regulators
(Independent
(Independent and
The practices studied will include pioneering,

and
current state Affiliates)
Affiliates)
 Balanced
Balanced focus
quality
quality and
focus on
on cost,
and flexibility
cost,
flexibility
leading and key mature practices and specifically

 Niche
Niche expertise
1.2 Articulate strategy and design Partial
Partial Service
Service
Providers
 Varied
expertise
Varied reputations
reputations
Providers  Very
Very cost
cost conscious
conscious
Business Model
comparable dairy entities strategies whereby we Relative Performance:
shall study their potential benefits, ease of High Medium Low

implementation and applicability by Company A. Competitor Example Customers Regional Presence Source of Differentiation
road map  Lufthansa

 ILFC
 Predominately Europe
 Growing in North America
 Large customer base in Europe
 Operating experience
Lufthansa
and Asia  Providing total support to several airlines
Technik
We shall conduct a competition analysis to AerLingus  Europe  Providing total support to several airlines
it ve

easyJet  Efficiency, leading to faster turnaround
compare Company A’s current strategy


FLS  Virgin Atlantic times
 British Airways
proposition, strategic framework, attractiveness,

a
 JAL  Predominantly Asia  Largest player in Asia
tr
 Southwest  Expanding into North  Low cost structure
ST Aero America
regulations,
 ANA
s
 Qantas
Illu
ease of processes and documentation as well as
 Southwest  North America  Strongest player in North America
 Northwest  Known for high quality
Goodrich  FedEx  Leverage partner companies
other key decision factors with International food

 United  Proximity to Boeing

 British Airways  Global  Large customer base for engine services
• Organizational Assessment and drinks companies. GE Engine

Services
 GECAS (looking to expand to airframe)
 Own large % of airframe components (with
Honeywell acquisition)
• Business Model
iv e
• Corporate KPIs
1
a t
s tr
PMO
PMO
Il lu
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
Benchmarking
Primary research
Phase 1
• In line with our partner (Partner), we shall focus
1. Business Strategy on primary research, building on existing
relationships and establishing contact with
industry players in all countries/markets being
1.1 Understand Company A’s investigated.
current state • We contact every significant company active in
1.2 Articulate strategy and design a given market to obtain as complete a picture
Business Model as possible on key market/industry trends and
1.3 Design Target Operating Model developments.
1.4 Develop strategy execution • Other on-the-ground research includes store
road map
and other outlet checks as well as tracking
marketing activity such as coverage of brands
across different media platforms.
Secondary research
• Secondary sources include government
agencies, trade associations, panel data,
• Organizational Assessment research organisations, trade publications and
• Business Strategy company websites.
• Business Model
Analysis and advice
• Corporate KPIs
• We review, cross-check and analyse multiple
1 information sources and structure our findings
into clear conclusions.
• Cross-checks are carried out at all levels,
PMO
PMO validating the information gained to come up
CHANGE
with Partner’s considered advice on next steps
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
forward.
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
Phase 1 Using the information from the benchmarking analysis, we will identify the gaps between the
1. Business Strategy current strategy as well as organizational plan of the Company A and the international best
Articulation and Execution practices.
Based on the gap analysis, we will draw the following conclusions:
• Determine Company A’s competitiveness on a global platform
current state
1.2 Articulate strategy and design • Understand Organizational Structure implemented by various food and drinks companies
Business Model
• Establish Company A’s position and weak points in comparison to its competitors
1.4 Develop strategy execution • Identify potential capability requirements and improvement opportunities
road map
• Assess the operational strategies followed by the global dairy industry
• Determine Company A’s unique selling proposition

u st ra tive
t rat i ve Ill
• Business Model
• Target Operating Model I l l u s
• Corporate KPIs
1
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
Business Strategy
Phase 1
Based on the Gap Analysis, we shall develop a Business Strategy. The Strategy shall be
1. Business Strategy standardized, collaborative, aligned and incorporate Company A’s principles.

As a first step, we shall organize strategy planning workshops geared to serve
current state towards effective strategy implementation and aimed at:
1.2 Articulate strategy and design • Ensuring strategic clarity for the Company A
Business Model
• Identifying and setting key operational targets
1.4 Develop strategy execution • Establishing proper leadership management to achieve objectives
road map • Assuring stakeholder satisfaction and a motivated workforce
During the workshop, we shall ask critical questions to form the context of your
strategy and effectively define your strategic goals. The following strategic decisions
will be included in the Business Plan:
• Mission and Vision • Recognition of steps to overcome challenges and utilize opportunities
• Identification of key interest areas for Company A based on mission/vision
• Business Model • Classification of the tasks according to the identified priorities
• Recognition of key strategies to be undertaken
1
• Corporate KPIs • Articulate clear, measurable outcomes to evaluate strategic effectiveness
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
PROTIVITI’S DETAILED APPROACH- PHASE 1
Business Strategy
Phase 1
Core Strategy
1. Business Strategy Mission Core Positioning for maps
Articulation and Execution values
Vision purpose competitive
advantage
1.1 Understand Company A’s Build Get to know Having

current state Insight mutual each other fun!
trust and Increased better
respect commitment
Business Model
1.4 Develop strategy execution Well articulated and clearly understood concept of the future Opportunities
road map
aspired state.
1.5 Set Corporate KPI’s Strategic Initiatives
Strategic objectives
Agreement, Clarity Department
common
Targets
understanding Assign
and shared responsibility
1
views
• Mission and Vision Strategy Timeline
• Organizational Assessment Planning
• Business Strategy Workshop Collaborative approach to set targets
• Business Model Objectives and assign responsibilities.
• Target Operating Model Leadership
• Strategy Execution Roadmap management Strategy translated
• Corporate KPIs 2 3 into operational Renewed energy,
1 targets excitement, rigor,
discipline and
Leadership drives and implement strategy
urgency
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
Business Strategy
Phase 1
Additionally, we shall also use various strategic tools such as SWOT Analysis and PESTEL
1. Business Strategy analysis to best assist in validating and developing the Company A Strategic Plan.
1.1 Understand Company A’s Specifically , through the extensive research performed as well as our strategic group analyses,
current state we shall draw out the important themes and categorize each item into the relevant section of the
1.2 Articulate strategy and design SWOT model and add any additional conclusions.
Business Model
1.3 Design Target Operating Model The following considerations shall assist us in assessing the overall result:
road map • How to leverage strengths to capitalize • What needs to be done to overcome
1.5 Set Corporate KPI’s on the opportunities? weaknesses?
• How can threats identified be overcome? • How to overcome identified threats?
Further, leveraging off the various issues stemming from Political, Economic, Social,
Technological, Environmental and Legal Factors, we shall prioritize the same through impact and
probability whereby ensuring our Strategic Plan and subsequent Priorities and Objectives would
• Business Model address as well as attempt to mitigate such issues.
• Corporate KPIs
1
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
Business Strategy
Phase 1
tiv e iv e
tr a a t
s str
current state
Business Model
Illu Illu
road map
Volume share 2014 1

Volume CAGR 2012-14 1
iv e
Value share 2014 1
Value CAGR 2012-14
a t 2
tr iv e
Volume forecast 2015-19 1
lu s
Volume forecast CAGR 2015-19 1
at
• Business Model
Il
Mass market appeal 2
tr
lu s
• Target Operating Model Competitor consolidation 1
Il
• Strategy Execution Roadmap Barriers to entry 2
• Corporate KPIs Potential category share 3
1 Total score 15
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
Business Strategy
Phase 1
tiv e ive
tra t
a
s str
current state
Il lu
Business Model
Illu
road map

tiv e
a
r iv e
s t t
Illu tr a
• Business Model
lu s
Il
• Corporate KPIs
1
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
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Business Model
Phase 1
Subsequently, we shall develop a Business Model to realize the new strategy plan and identify
opportunities.
This will involve defining the below elements of the Business Models to meet the objectives of the
strategy plan while taking into consideration the International leading practices.
current state
Scan Select
Business Model
1.3 Design Target Operating Model 1. Scan 2. Design new 3. Conduct Fit 4. Select
Step business business model analysis business model
road map
context possibilities
4 Understand 4 Conduct 4 Determine fit of 4 Business Model
Activities business Business Model business models Evaluation
context Workshop
 Assess 4 Assess  Match Industry
4 Business current sustainability Best Practices
capabilities business
model
 Create /
• Business Model
invent new
• Target Operating Model business
• Strategy Execution Roadmap models
• Corporate KPIs
1 4 Identify
Outcome 4 Select business model that meet the
opportunities
needs of the Company A
within current
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market
PMO
environment
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Target Operating Model
Phase 1
Articulation and Execution After the selection of the Business Model, we will define the following:
• “WHO” are the people that will be impacted by this business model?
1.1 Understand Company A’s • “WHAT” are their responsibilities and tasks?
current state • “HOW” are they completing their current activities & tasks?
Business Model
road map

• Business Model
• Corporate KPIs
1
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Phase 1
In this Phase, we will detail the selected business model to realize the new strategy plan
1. Business Strategy developed for the Company A.
This will involve defining the elements of the Target Operating Model to meet the objectives of
1.1 Understand Company A’s the Strategy and Business Plan as depicted below.
current state
Business Model Information
road map Process
Customers
Process Process Process Process Process
Partners
Grouping Grouping Grouping Grouping Grouping

• Business Model Organization & Talent
• Corporate KPIs Governance & Controls
1
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Phase 1 We have tabulated some of the key activities to be analyzed and defined. Additionally, specific
actions and conditions required to ensure the successful operation of the Target Operating
Articulation and Execution Model (i.e. critical success factors) shall be captured as well.
Information: Organization & Talent:

1.1 Understand Company A’s • Identifying sources of information • Key departments within the Company A
current state • Obtaining clear, relevant and updated • Roles and responsibilities of each
information department
Business Model
• Creating and maintaining information • Required Skill sets and Talent
database • Organizational Structure between the
• Disburse the information to the relevant various departments
road map
stakeholders
Processes: Governance and Controls:

• Maintaining coordination between • Enhancing the performance of the
various departments within the Company A
• Mission and Vision Company A • Recognize targeted objectives for
• Identifying trends and target investment Company A
• Business Model
opportunities • Identify the critical success factors for
• Target Operating Model • Attracting investments to the Company Company A
• Strategy Execution Roadmap A • Formulate the high level strategy
1
• Corporate KPIs
• Executing the Organizational Plan statements and priorities
Additionally, the above steps shall be conducted through discussions with the CEO,
selected staff members and other stakeholders responsible for the overall operations of
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Strategy Execution Road Map & Corporate KPIs
Phase 1 Strategic Execution Road map shall be The following control and feedback
1. Business Strategy developed with the following objectives: mechanisms will be included :
• Reduce hand-offs and redundancy in the
operations
1.1 Understand Company A’s • Decrease Cycle Time of the execution of the
current state
strategies
Business Model
• Clarify process role accountability among the
1.3 Design Target Operating Model departments / functions
1.4 Develop strategy execution • Set the stage for continuous improvement of
road map the processes
The Strategic Execution Roadmap Plan will

include the following key points:
• Phases of execution: The different steps
involved in the implementation plan will be
clearly listed out for ease of operation
• Business Strategy • Execution Timelines: Timelines will be defined
• Business Model
in order to monitor the progress and timely
• Strategy Execution Roadmap execution of the roadmap
1
• Corporate KPIs • Projected Outcomes: Outcomes for each step
of the strategy execution roadmap will be
established in order to ensure that the
strategies become an integrated part of the
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Phase 1 We will a develop a detailed Strategic Execution Road Map to achieve the strategy over the short
1. Business Strategy and long term:
• Provide details and clearly define the activities, initiatives, tasks, phases of execution, expected
results, outcomes and goals that are aligned to the targeted strategic initiatives
• Establish a monitoring process to ensure the effective execution of the strategy execution
current state
roadmap
Business Model • Ensure clear definition of roles in each stage; assign responsibilities and accountabilities to
1.3 Design Target Operating Model different stakeholders
road map
• Identify projects and initiatives to be prioritized to achieve the objectives
1.5 Set Corporate KPI’s • Develop specific measurable benchmarks and tasks to be accomplished to achieve outcomes
as well as a methodology for evaluation
• Ensure a clear understanding of the above , the risks involved and preventative controls
through meetings with the project team members

The process defined above is shown in the illustration below:
• Business Model
1 Define goals & 2 Develop a detailed 3 Develop a ‘Quick 4 Ensure clear 5
phases of timeline for Wins’ list for definition of
• Corporate KPIs
execution execution short term roles . Ensure clear
1
implementation understanding
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Phase 1 • In line with the Strategy Execution Road Map, develop specific key performance indicators for
1. Business Strategy each initiative to measure efficiency and effectiveness of these activities and, monitor the
Articulation and Execution progress and success in the development of the Company A.
• These shall be built based on the overall key operational metrics and KPIs at the Corporate
1.1 Understand Company A’s Level.
current state
Business Model
iv e
road map
a t
str
Il lu
it ve
• Business Model
tr a
1
• Corporate KPIs
lu s
Il
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PROTIVITI’S APPROACH TO DESIGN
PROJECT TIMELINE
ORGANIZATION & PEOPLE
INITIATIVES- PHASE 2
Company A’s

current state
Structure Review
Model
road map
exercise
Procedures


3 4 Document.
• PIR Report
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Organization Structure Design
Phase 2 Review Company A’s existing structure and develop new functional structure
2. Organization and People • Basis the understanding of long term and short term strategy and targeting model designed in Phase 1,
Initiatives
review the current Company A organizational structure
• Identify structural imperatives and drivers, and prioritize requirements, such as the following basis the
industry best practices and benchmarks for food and beverage industry
2.3 Job Evaluation & Grading o Short and long term strategy
2.4 Compensation Ranges and o Target Operating Model designed in Phase 1
Structure Review
o Extent of Centralization and decentralization
Technical Competencies o Reporting lines
exercise
o Span of control
2.7 Talent Management o High Level Process Value Chain
Procedures
• Recommend and document structural principles for new organization design
• Develop various options of high level management and functional structures. Present developed options to
• Organization Structure
Company A to obtain feedback and to select the most suitable options.
• Job Families and JDs
• Job Evaluation and Grading • Develop a well-defined functional description for each organizational unit of the new proposed organization
• Compensation Ranges & Structure structure to avoid overlapping of processes
• Behavioral - Technical
Competencies
2 • Manpower Panning Report

• IDPs and Succession Plans
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Phase 2 Develop Company A’s detailed positional structure

2. Organization and People • Review Company A’s existing positional structure, and positions titles across all the departments/units.
Initiatives
• Develop detailed positional structure to include departments/units for the approved and finalized functional
structure.
2.2 Job Family Modeling & JDs • Discuss positional structure and positions list including proposed titles for all departments/units across
2.3 Job Evaluation & Grading Company A with project committee.
2.4 Compensation Ranges and
• Obtain necessary feedback/inputs and incorporate necessary changes.
Structure Review
2.5 Develop Behavioral & • Finalize Company A’s detailed positional structures and titles. Obtain necessary approvals and sign-off.
exercise Develop Delegation of Authority (DoA) matrix
• Obtain and review the current delegation of authority matrices for Company A (if any) and identify related
Procedures gaps
• Conduct meetings with function heads to discuss main processes and procedures and follow up meetings
• Job Families and JDs with process owners where needed.
• Job Evaluation and Grading
• Compensation Ranges & Structure
• Collect critical processes and decision making authority required for each process area.
• Behavioral - Technical • Consider the business environment at Company A to recommend the best fit between the various authority
Competencies
models
• IDPs and Succession Plans • Formulate and develop the delegation of authority for all the Company A departments based on the agreed
model
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• Submit the final delegation of authority matrices for final approval
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Phase 2 Design HR Governance to maintain the organization structure

2. Organization and People • Develop policies and procedure to track and document the organization structure updates/ changes in
Initiatives
future and maintain, modify or delete position titles in the future
• Transfer knowledge and build HR capability to maintain and update organization structure in the future.
2.3 Job Evaluation & Grading Key Deliverables
Structure Review • Organization Structure (Functional & Positional)
2.5 Develop Behavioral & • Authority Matrix
• Department functional statements / mandates
exercise • Policies and Procedure for maintaining organization structure
Procedures Key Timelines: 5 weeks
Competencies

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Job Description Documentation
Phase 2 Develop Job Descriptions across the organization

2. Organization and People
• Review the existing Company A’s job descriptions format and propose any changes required in the JD
Initiatives
template based on leading practices and PCMM Level 3 standards.
2.1 Organization Structure Design • Conduct job analysis exercise to understand the key roles and responsibilities, key accountabilities,
required knowledge, skills and experience.
• Review / align the existing job descriptions to ensure they are up-to-date and aligned to the new
Structure Review organizational structure.
• Create job descriptions only for the missing/ new positions as per the new structure (~50 new unique Job
2.6 Conduct Manpower Planning Descriptions to be documented)
exercise
• Consult leading practices, internal Protiviti databases and technical Protiviti SME to ensure that key
2.8 Develop HR Policies & responsibilities are comprehensively captured.
Procedures • Define policy and procedure for updating or modifying JDs in the future and train HR team on the process.
• Organization Structure • Transfer knowledge and build HR capability to write job description and create template for any update or
modifications in the future
Competencies

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PROTIVITI’S DETAILED APPROACH
Job Family Modeling
Phase 2 Develop unified Job Family model

• Conduct a half day workshop with the project team to discuss job clusters for unified & common jobs
Initiatives
clustered basis the following:
2.2 Job Family Modeling & JDs o Primary list of duties and responsibilities o Rules / procedures / practice application
2.3 Job Evaluation & Grading o Supervision received and exercised o Role impact
o Authorities & level of decision making o Education, experience and skills requirements,
Structure Review
2.5 Develop Behavioral & o Problem solving
including technical and behavioral competencies
Technical Competencies o Principal contacts & communications o Performance expectations
exercise
2.7 Talent Management • Design various job-levels in the identified job families. The job-levels will be designed basis key
accountabilities, KPI’s, experience, qualification, which facilitates in differentiating one level from another.
Procedures
• Discuss with the (~12-16) functional leaders and seek review/ sign off on the respective job family cluster,
purpose and level of contribution
• Job Evaluation and Grading • Draft role profiles for each level in a job family and map all unique roles with the identified job families.
• Share the deliverables with Company A’s management team and seek sign-off on the same.
Competencies

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Job Family Modeling
Phase 2 Integration with related HR processes i.e. Career Development Program

• In order to integrate with Company A’s learning and development, Protiviti to map each of the Job Family
Initiatives
levels to the behavioral and technical competencies. This will enable Company A’s management during
2.1 Organization Structure Design career planning, employee development and identifying training needs
2.2 Job Family Modeling & JDs • In order to integrate with Company A’s career paths or career development program, Protiviti to map the
2.4 Compensation Ranges and competencies for each level of each job family and describe typical career paths
Structure Review
Note: Mapping of competencies and design of career paths will be carried out post completion of stage 2.4 i.e.
2.6 Conduct Manpower Planning Develop Behavioral and Technical Competency framework
exercise
Key Deliverables
Procedures • Job Families including job levels and descriptors
• Role profiles for each job-level in the job family
• Job Families and JDs • Job Descriptions (~50 unique Job Description to be documented)
• Compensation Ranges & Structure • Career paths
Competencies
2 • Manpower Panning Report Key Timelines: 4 weeks

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Job Evaluation & Grading
Phase 2 Conduct Job Evaluation and Grading

• Discuss with the project team Protiviti’s Job Evaluation parameters and how the Job Evaluation
Initiatives
methodology will work
2.1 Organization Structure Design • Conduct job evaluation of (~100) positions across the final organization structure using Protiviti’s Leveling
Methodology to measure the relative worth
• Identify the bands and grades basis the job evaluation scores and create a job evaluation report covering
Structure Review (~100) positions
• Share the grading structure with the stakeholders for the review and seek final management approval and
2.6 Conduct Manpower Planning sign-off on the same
exercise
• Transfer knowledge and build HR capability to fit the new role in the existing grading structure
Procedures Key Deliverables
• Grading structure based on Protiviti's Job Leveling Methodology
• Job Families and JDs • Job Evaluation Report
Competencies
Key Timelines: 3 weeks
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Compensation Ranges and Structure
Phase 2 Conduct Compensation and Benefits Benchmarking

• Identify and agree on list of (~100) positions to be considered for compensation range and structure review
Initiatives
across Company A’s management and its business units.
2.1 Organization Structure Design • Understand roles of the various positions for which the market compensation data is required
2.2 Job Family Modeling & JDs • Conduct job matching for unique positions within Company A against comparator organizations, especially
2.4 Compensation Ranges and within the Dairy and Poultry Industry. Job matching will be done using Protiviti's Job Matching methodology
Structure Review in terms of:
• Positions’ Scope of Work;
2.6 Conduct Manpower Planning • Education Qualification and Relevant Experience;
exercise
• Reporting Relationships; and
2.8 Develop HR Policies & • Span of Control
Procedures • Obtain data on compensation levels for similar positions in comparator organizations.
• Organization Structure • Complete data entry in collection format to Protiviti’s compensation benchmarking system. If any, identify
and resolve any discrepancies to the data and complete market benchmarking.
• Compensation Ranges & Structure • Prepare draft compensation benchmarking report highlighting salary ranges, allowances and benefits and
describing Company A’s current market position across its industries.
Competencies
2 • Manpower Panning Report • Present and discuss draft report with the management to determine the future Total Rewards Strategy or
Organization wide Pay Philosophy.
*Note: Identical job matching between competitors for market salary comparison is not guaranteed due to the wide array of different job
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Phase 2 Design Compensation Range and Structure, along with the benefits
• Discuss and challenge , if required, the desired positioning of Company A from the market benchmarking
Initiatives
data. i.e. support Company A in positioning itself within the desired pay ranges of the market
2.1 Organization Structure Design • Facilitate understanding of key observations from the desired pay philosophy and agree on the desired pay
philosophy
• Create reports for Fixed Compensation including Cash and Allowance ranges for selected positions. Fixed
Structure Review Compensation report to include, but not limited to:
• Base pay;
2.6 Conduct Manpower Planning • Housing allowance;
exercise
• Transportation allowance etc.
2.8 Develop HR Policies & • Create reports for Benefits as per market best practices; Benefits report to include, but not limited to:
Procedures • Children's Education;
• Organization Structure • Yearly tickets;

• Club Memberships etc.
• Compensation Ranges & Structure • Align the new compensation structure to grading structure developed as part of the Job evaluation stages
• Transfer knowledge and build HR capability related to compensation ranges and structure
Competencies

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Phase 2 Key Deliverables

• Detailed Compensation and Benefits Benchmarking Report covering (~)positions. Reporting Company A
Initiatives
data Vs. market data in 3 point range (Min-Median-Max percentile)
2.1 Organization Structure Design • Compensation and Benefits Structure for 100 positions cover in the scope of work in 3 point ranges (Min-
Mid-Max).
2.4 Compensation Ranges and • Revised Compensation & Benefits Structure and Ranges
Structure Review
Technical Competencies Key Timelines: 3 weeks
exercise
Procedures
Competencies

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Behavioral & Technical Competencies
Phase 2 Develop Behavioral Competency Framework:

• Basis the finalized the job family, conduct (~2 ) expert panel discussions across Company A to understand
Initiatives
:
2.1 Organization Structure Design o What differentiates outstanding performers at Company A?
2.2 Job Family Modeling & JDs o Which researched, generic competencies are key to Company A success going forward?
o What are the cultural values that drive Company A to achieve its vision and mission ?
Structure Review • Analyze the gathered data to identify competency themes, titles, definitions and proficiency levels
• To ensure competency framework is mutually exclusive and collective exhaustive, benchmark outputs
2.6 Conduct Manpower Planning against Protiviti’s global competency database and leading industry practices
exercise
• Map the job levels to the required proficiency levels of the behavioral competency framework
Procedures Develop Technical competency framework: basis the finalized job family in Phase 2.2 and
basis the finalized “To-be State” in Phase 3.4
• Job Families and JDs • Conduct (~2) sessions with technical process champions (~12-16) from finalized job family to identify
• Compensation Ranges & Structure technical competencies (technical knowledge and skills) that is required to perform the job effectively.
Analyze the gathered data to identify competency themes, titles, definitions and proficiency levels
Competencies
2 • Manpower Panning Report • Review the draft competency framework in the light of Protiviti’s global competency database and leading
industry practices .
• Map the identified competencies and proficiency levels to the already designed job families
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• Present the draft Technical & Behavioral Competency Framework along with positions- competency matrix,
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Phase 2 Integration with related HR processes i.e. Learning and Development Framework
2. Organization and People • To integrate competency framework with learning and development framework, we will map each of the Job
Initiatives
Family levels to the behavioral and technical competencies. This will enable Company A’s management

during employee development and identifying training needs
2.2 Job Family Modeling & JDs • To integrate with Company A’s career paths or career development program, we will map the
competencies for each level of each job family, describe typical career paths, and provide career
Structure Review development training for management
exercise Key Deliverables
• Behavioral Competency Framework
Procedures • Technical Competency Framework
• Position - competency matrix
• Job Families and JDs • Integrated L&D Process
Competencies
Key Timelines: 2 weeks for Behavioral Competency Framework ; 3 weeks for TCF and
2 • Manpower Panning Report Integrated L &D Process (TCF would be delivered post completion of Phase 3.4 “To-be
• HR Policies and Procedures State”)
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Manpower Planning
Phase 2 Conduct Manpower Planning Exercise basis the finalized “To-be State” in Phase 3.4
• Understand the current manpower distribution in the approved structure.
Initiatives
• Study the current manpower distribution and analyze the current manpower cost and distribution.
2.1 Organization Structure Design • Benchmark manpower count & leading practices in similar sector. Identify surplus / deficit manpower count
2.2 Job Family Modeling & JDs • Identify gap and scope for improvement and suggest an optimize plan for implementation, keeping “To-Be
2.4 Compensation Ranges and State” in mind
Structure Review • Present manpower report to top management and illustrate the financial impact of the suggestions by
categorizing them as maximum, median and minimum mode of impact. Also recommend possible
2.6 Conduct Manpower Planning methods that help Company A to keep manpower cost to optimum levels.
exercise
• Develop manpower planning process and procedure.
2.8 Develop HR Policies & • Transfer knowledge and build HR capability to maintain manpower planning process in the future.
Procedures
Key Deliverables
• Job Families and JDs • Manpower optimization report
• Compensation Ranges & Structure • Manpower planning process and procedure
Competencies
2 • Manpower Panning Report Key Timelines: 4 weeks (This phase would be delivered post completion of Phase 3.4 “To-
• HR Policies and Procedures be State”)
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Talent Management
Phase 2 Design and conduct assessments for the nominated individuals basis behavioral and
2. Organization and People technical competencies created in Phase 2.5
Initiatives
• Develop an assessment tool matrix i.e., a mix of business simulations ,and Hogan Assessment

(psychometric tool) to assess behavioral and technical competencies for identified leadership and
2.2 Job Family Modeling & JDs managerial roles
• Create customized business simulations for Company A, mapped to the competency framework.
Structure Review • Create templates for individual and group reports with individual development plans (IDPs)
• Seek review and sign-off from the project committee on the same.
2.6 Conduct Manpower Planning • Plan & organize assessment centers in collaboration with Company A’s team for selected (~50-60)
exercise individuals .
• Post assessment, assessors to provide individual feedback and help individuals in creating personalized
Procedures development plans. Protiviti will share detailed individual reports along with development plan and
recommended career progression for the individuals
• Job Families and JDs • Protiviti to share a detailed group analysis report, providing insights into Company A’s talent mix and
identifying the strengths and areas of development of the group.
Competencies
Key Deliverables
• IDPs and Succession Plans • Hogan Assessment Reports (~50-60 Individuals)
• (~50-60) Individual Reports along with Individual Development Plans and Group Analysis Report
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HR Policies and Procedures
Phase 2 Develop HR Policies

• Identify legal structure, regulatory/ administrative requirements, controls environment, operational
Initiatives
capabilities and limitations in relation to development of policies.
2.1 Organization Structure Design • Hold discussions with key process owners who represent the Human Resources department to
understand departmental operations and process and to identify risks that the policy should mitigate
2.4 Compensation Ranges and • Prepare draft policies for the Human Resource department based on the above parameters and leading
Structure Review practices while outlining different management approvals.
• Review alignment with Authority Matrix to remove any overlaps and align all control perspective
2.6 Conduct Manpower Planning • Review policies manuals with stakeholders and obtain feedback. to finalize draft
exercise
Develop Procedures
2.8 Develop HR Policies & • Use Protiviti’s database and identify leading practices for implementing efficient functional services.
Procedures
• Draft procedures reflecting authority requirements with necessary templates for all approved policies
• Organization Structure developed in the previous phase indicating key activities and functional responsibilities for each policy.
• Discuss drafted procedures with key process owners to obtain feedback and approval and s
Key Deliverables
Competencies
2 • Manpower Panning Report • HR Policies and Procedure Manual

• HR Policies and Procedures Key Timelines: 5 weeks
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* Additionally, we would design implementation roadmap for successful implementation of designed
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METHODOLOGIES &
ILLUSTRATIONS- PHASE 2
© 2016 Protiviti
METHODOLOGIES & ILLUSTRATIONS-
PHASE 2
Benchmarking Methodology
Phase 2
Initiatives
 Begin internal data

2.1 Organization Structure Design collection
 Identify “peer group”
 Validate data
2.3 Job Evaluation & Grading  Secure management support
collected
2.4 Compensation Ranges and  Clearly define scope
 Match correct job
Structure Review
levels and
2.5 Develop Behavioral & Plan Collect responsibilities
exercise
Procedures  Analyze trends and
Adapt Analyze establish key findings
• Organization Structure  Identify Critical Trend
• Job Families and JDs  Formulate data ranges in line Factors
• Job Evaluation and Grading with leading practice
 Identify leading
• Compensation Ranges & Structure  Track progress of implemented practices
• Behavioral - Technical changes
Competencies

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PHASE 2
Phase 2
Initiatives

Structure Review
exercise
Procedures
Competencies

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PHASE 2
Phase 2 Organization Restructuring is a combination of factors, each of these factors are unique and considered
2. Organization and People while designing an organization framework:

Initiatives
2.1 Organization Structure Design Corporate

Corporate Governance
Governance
Communication Patterns
Communication Patterns
Span
Span of Control
Control &
Structure Review
Information Flow
Information Flow
exercise Critical
Strategy & Organizational
Business Growth &
Identify
Identify Synergy and
Synergy and
2.8 Develop HR Policies & Design Opportunities
Opportunities
Direction Factors
Procedures
Business Culture &
• Job Evaluation and Grading Business Culture & Product
Authority & Product
• Compensation Ranges & Structure Authority & Responsibility
Responsibility Services
Services
Competencies

• IDPs and Succession Plans Career
Career Progression
Progression
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PHASE 2
Phase 2
Design Principles for Client’s Structure
Initiatives
Structure Design Principles Explanation
2.2 Job Family Modeling & JDs 1. Effective Span of control Does the structure give optimum management breadth for roles
2.4 Compensation Ranges and 2. Drive Customer-centricity & market
Enhance focus and Closer Interface with customers/markets
focus
Structure Review
3. Drive Product Quality and Operational AT TIVE
STRon product consistency and operational standards
Enhance focus
S
I LLU
Technical Competencies Excellence

4. Enhance Efficiency in processes Focus on standardization/improvements of processes and cost reduction
exercise
2.8 Develop HR Policies & 5. Build Scalability Enable growth of current business and future business opportunities
Procedures
6. Enhance speed of decision making Allow quick decision making at all levels reducing response time
• Job Families and JDs 7. Effective Coordination across different
Coordination to increase better inter/intra-department functioning
• Job Evaluation and Grading departments and levels
• Behavioral - Technical 8. Distinct Role Progression Distinct laddering of roles for career/succession planning
Competencies
2 • Manpower Panning Report 9. Optimize Employee Cost

Align management levels and personnel required to the needs of the
• IDPs and Succession Plans organization
10.Enhance Role Clarity Clarity of functional roles and accountabilities across different job families
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PHASE 2
Job Family Modeling
Phase 2
Initiatives
Job families are a set of jobs / roles which share sufficient commonality in terms of skills / knowledge
requirements and / or type of work content to be treated as a group. A job family considers how many
levels of that type of work there are, and describes them in a way which clearly differentiates the levels
GUIDELINES
Structure Review
• Clusters of individual jobs that reflect similar types of work and work requirements, moving away from the
Technical Competencies organizational structure
2.6 Conduct Manpower Planning • Focus on key accountabilities, not on detailed or specialized tasks
exercise • Cover sufficient number of functions/job holders per job family, with unique or highly specialized jobs
2.7 Talent Management treated separately
• Consider ambitions and needs in the new organization; not only the historical situation
• Contain in general a maximum of six levels (in cases of more levels split job families will be developed)
Procedures
• Increase clarity around jobs in the organisation
BENEFITS
• Behavioral - Technical • As an alternative (or supplement) to job descriptions
Competencies • As a way of easily slotting jobs into a pre-evaluated structure, eliminating the need to evaluate every job
2 • Manpower Panning Report (especially entry / mid tier ones)
• IDPs and Succession Plans • As a way of linking competencies to jobs for talent management and employee development applications
• HR Policies and Procedures • As career paths and the foundation of career development programs
• As a platform for performance management
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PHASE 2
Job Family Modeling
Phase 2
2. Organization and People Classification of Job Families
Initiatives

Structure Review
exercise
Procedures
Job Families in IT function
IVE
ST RAT
• Behavioral - Technical ILLU
Competencies

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PHASE 2
Job Family Modeling
Phase 2
Initiatives

Structure Review
exercise
Procedures
E
ATIV
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Competencies

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PHASE 2
Job Evaluation & Grading
Phase 2
Initiatives 1 2
Apply a logically tested decision
Set the CEO/MD or Business Unit tree with predetermined YES/NO
2.1 Organization Structure Design Head grade score. This is questions that determines the
2.2 Job Family Modeling & JDs determined to use the grade nature
2.3 Job Evaluation & Grading spread lock from the 25 grade job a) The level of seniority of the
2.4 Compensation Ranges and hierarchy. i.e. determine the top job in the band
level grade.
Structure Review b) The nature of the job i.e.
All subsequent grades will fall
2.5 Develop Behavioral & Grade either technical or
under this grade.
Technical Competencies Score managerial

exercise
2.7 Talent Management Scope: Grading the Job Scope:
1. Turnover/ 1. Decisions by
Revenue/Asset/cost 3 answering 2 to 5
questions
Procedures
2. # of employees
2. Dual career ladder
3. Diversity/Complexity reflection
• Organization Structure 4. Geographical spread of
business Factors:
Determine the relative value of 1. Level of Technical Expertise
the job by evaluating jobs against 2. Business Management Skills
7 critical factors that decide the 3. Leadership Skills
grade of the job. 4. Problem Solving
Competencies Depending on the band allocated 5. Nature of impact
2 • Manpower Panning Report the questions around the 7 6. Area of impact
• IDPs and Succession Plans factors will differ in complexity 7. Communication skills
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PHASE 2
Phase 2
Initiatives

Structure Review
exercise
Procedures
• Fitment of positions in the salary grade ranges shall take into account internal parity with the positions in
Competencies
2 • Manpower Panning Report the same grade and depend on the knowledge and skill sets of the individual.
• An adequate grade reference point (midpoint of a given salary grade) will be developed for all salary
grades. Furthermore a Grade reference point differential between grades will help in providing pay
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PHASE 2
Phase 2
Initiatives
What is a Competency?
"Competencies are a combination of knowledge, skills and attitude which provide a clear
description in everyday language of what a person needs to do to carry out his or her job
Structure Review effectively"
2.6 Conduct Manpower Planning Leadership
exercise
What you How you do it What you
Procedures
do Competencies achieve
• Job Families and JDs Baseline
• Job Evaluation and Grading Responsibilities from Key Result Areas
• Compensation Ranges & Structure Organization Structure and Key
• Behavioral - Technical and Job Descriptions Technical Behavioral Performance
Competencies
Indicators
• IDPs and Succession Plans Competencies describe what behaviors enable the achievement of individual and
organizational goals
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PHASE 2
Phase 2
Initiatives Conceptual Layering of Competency Design Architecture
BEHAVORIAL COMPETENCIES
2.3 Job Evaluation & Grading Layer 1 Company A
Structure Review Core Behaviors that Company A wants to uniformly drive across the entire employee population, by organization level in order
2.5 Develop Behavioral & of increasing proficiency, to ensure consistent and converging orientation towards achievement of the Business Strategy
and Objectives
2.6 Conduct Manpower Planning TECHNICAL COMPETENCIES
exercise
Layer 2 Business Division/ Departments by Job Category
Procedures
Technical Knowledge and Skills that a business division will require for its employees by Job Category to drive work related
success factors, specific to the development goals, as per the divisional goals and objectives
• Job Families and JDs OTHER COMPETENCIES
• Behavioral - Technical Layer 3 Individual Need
Competencies
2 • Manpower Panning Report Other aspects that might need to be driven to fulfill individual development needs on a case-to-case basis respectively.
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PHASE 2
Phase 2
2. Organization and People COMPETENCY TITLE: PROJECT MANAGEMENT
Initiatives
Ability to establish a clear project scope, define the extent of the project; - set up and understand approval procedures. Ability to
identify and make optimal use of resources. Understand and know how to use standard project management principles, methodologies
2.1 Organization Structure Design and related tools & techniques to schedule, plan, track and correct project performance; establish clear accountabilities; allocate
resources; identify potential issues/risks and plan contingency measures.
2.3 Job Evaluation & Grading Fundamental
THEMES Awareness Skilled Mastery
2.4 Compensation Ranges and Application
Structure Review
Develops project plans Leads project planning
2.5 Develop Behavioral & Understands the project
Develops project plans and identifies, activities.
Technical Competencies scope and the extent of
Project and identifies and mobilizes, and Guides others to develops
the project.
2.6 Conduct Manpower Planning Scoping allocates resources allocates resources project plans and identifies,
Follow clear and
needed. needed. mobilizes, and allocates
exercise established procedures.
resources needed.
Plans contingency Carries out project risk
Resource Develops project plans
Procedures Plans contingency measures. Manages assessments and plans
identification with guidance and
measures with entire projects with contingency measures.
and identifies resources
guidance. minimal or no Manages entire projects
• Organization Structure mobilization needed with guidance.
guidance. independently
• Job Evaluation and Grading Demonstrate basic IV E
• Compensation Ranges & Structure understanding of project
S RAT Resolves
Resolves all majorTand
all major and
Project Manages entire
L U minor issues. Assumes
• Behavioral - Technical Management
management
methodologies, and
project work streams IL
minor issues
minimal or no
with
accountability for on time
Competencies methodologies with guidance. and on budget delivery of
related tools & guidance.
projects.
2 • Manpower Panning Report techniques.
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PHASE 2
Manpower Planning
Phase 2
Protiviti’s Manpower Planning Framework
Initiatives
Considerations
Forecast Demand Forecast Supply
Forecast Demand Budget Forecast Supply
2.1 Organization Structure Design Organizational Goals
Business Strategy Internal External
2.2 Job Family Modeling & JDs Global Considerations
2.3 Job Evaluation & Grading Labor Market - Emiratization Current
Organization Capabilities Legal Pipeline
2.4 Compensation Ranges and Talent Pool
Competition
Structure Review Economic Factors Labor Pool
Competencies Turnover
2.5 Develop Behavioral & Analysis
Technical Competencies Gap Competency Macro
Position Count, Job Roles Gap
Analysis Assessments Projections
Analysis
exercise Performance Labor Market
Emiratization Evaluation Trends
2.7 Talent Management Scenario Planning
Procedures Forecast: Skills and Headcount Value Proposition Forecast: Skills and Headcount
• Job Families and JDs Solution Mix—Talent Sourcing
• Compensation Ranges & Structure Hiring Contracting Promotion Severance Training Transfer
Competencies
MANPOWER DEVELOPMENT
• IDPs and Succession Plans Solution Mix—Talent Retention
• HR Policies and Procedures Performance
Training Structure Rewards Engagement Etc.
Management
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PHASE 2
Talent Management
Phase 2
2. Organization and People Development/ Assessment Center Key Considerations
Initiatives
System design
Scope of the system
2.1 Organization Structure Design • For what will the feedback be used? What • What are the levels at which this
2.2 Job Family Modeling & JDs are the weightages to be attached? What is
system will be implemented?
2.3 Job Evaluation & Grading the format for feedback – forced ranking or
2.4 Compensation Ranges and qualitative assessment? • Most organizations implementing 360
degree feedback use it only for top
Structure Review • Should it be part of the performance cycle or
management and key roles, since
2.5 Develop Behavioral & be a separate development intervention?
administration of data is easier for
• How many sources and raters to be used? fewer roles.
How will raters be selected?
exercise
• How will confidentiality be ensured?
Procedures Collation of feedback Administration and Communication of
Feedback
• Organization Structure • How will feedback be sourced –
electronically or hard copy? • Who will administer the system?
• Job Evaluation and Grading • How will data be entered – scanning, • Who will communicate the
automatic updating or manually? consolidated feedback in an unbiased
• Behavioral - Technical • In what format will data be consolidated to manner?
Competencies
highlight strengths and opportunities for • How will negative feedback be
2 • Manpower Panning Report development to an employee? communicated?
• How will this data be used?
• What are the linkages going to be?
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PHASE 2
Talent Management
Phase 2
2. Organization and People Employee Assessment Tool Mapping for Assessor Training Guidebook
Initiatives
Provides a framework to map multiple competencies to multiple tools, aims to optimize the competency to
tool ratio and ensures an appropriate mix of tools
Structure Review
exercise
Procedures
E
ATIV
ST R
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PHASE 2
Talent Management
Phase 2
2. Organization and People Hogan Assessments
Initiatives

Structure Review
exercise
Procedures
E
ATIV
ST R
Competencies

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PHASE 2
Talent Management
Phase 2
2. Organization and People Individual Development Plan
Initiatives

Structure Review
exercise
Procedures
E
ATIV
ST R
Competencies

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PHASE 2
HR Policies and Procedures
Phase 2
Sample HR Manual Contents
Initiatives Organization and Manpower Policy Code of Conduct & Work Life Policy
• Organization Structure Change • Grievance Redressal

• Manpower Planning • Employee Code of Conduct
2.1 Organization Structure Design • Compensation and Benefits • Disciplinary Action
2.2 Job Family Modeling & JDs Policy • Attendance and Working Hours
• Promotion Policy Training Policy
2.3 Job Evaluation & Grading • Performance Appraisal • Training Nomination
2.4 Compensation Ranges and • Merit Increase • Training Needs Analysis
• Variable/ Annual Bonus • Training Participation
Structure Review • Employee Transfer • Training Assessment and
2.5 Develop Behavioral & • Benefits and Personnel Feedback
Administration • E-Learning
Technical Competencies • Social Security and Special
2.6 Conduct Manpower Planning Funds Recruitment and Referral Plan
• Industrial Relations • Recruitment Policy
exercise • Employee Share Participation • Probation & Confirmation
2.7 Talent Management • Employee Advance and Loans
Career Management Policy
Leave Policy • Succession Planning
Procedures • Annual Leave • Career Path
• Maternity Leave • Leadership Development
• Compassionate Leave • Job Rotation
• Organization Structure • Other Leaves • International Assignment
• Job Families and JDs • Attachment Programs
E
ATIV
Learning & Development Policy
• Compensation Ranges & Structure • Scholarship and Study
ST R
• Monitoring Projects
ILLU
Competencies

• HR Policies and Procedures Key templates will be developed and would form a part of the procedure manuals
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PROTIVITI’S APPROACH TO BUSINESS
PROJECT TIMELINE
PROCESS RE-ENGINEERING- PHASE 3A
Company A’s

current state
Structure Review
Model
road map
exercise
Procedures


3 4 Document.
• PIR Report
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PROTIVITI’S DETAILED APPROACH- PHASE 3A
Our Detailed Approach
Phase 3
 Understand Organizational, Strategy,
3A. Business Process goals & objectives;
Reengineering
 Understanding and articulation of business
and operating model:
3.1 Business Priorities
Understanding  Current Operations
3.2 Current State Assessment
 SLAs and customers (internal and
3.3 Gap Analysis and
external)
Benchmarking
3.4 To Be State Design  Value chain (high level)
 Key partners
 High level view of IT systems
 Organizational roles and
responsibilities
 Management and governance
Understand Current Business Model
structures
 Conduct interviews with process owners
and develop an understanding of the
current processes; and
3  Process walk through – review of process

input, process and output, forms and
reports.
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PROTIVITI’S DETAILED APPROACH- PHASE
3A
Phase 3  Identify key risks to the process;

3A. Business Process  Highlight Automated, Semi Automated
Reengineering
and Manual process steps and their
impacts on the risks. Also understand
3.1 Business Priorities the alignment of processes with other
Understanding Departments and Support Functions;
3.2 Current State Assessment Interview Process Owners for As-Is process
Document  Identify controls and classify controls
3.3 Gap Analysis and Gap Analysis
P&P manuals & Benchmarking
understanding
incl. Design
assigning with leading
responsibilities,
Benchmarking Document As-is
To-Be Process
practices
Process Maps
Maps & identify key in order to evaluate effectiveness of
risks andetc.controls controls. Discuss and validate the key
3.4 To Be State Design
risks and controls with the process
owners;
 Interviews and meetings with heads of
departments and respective process
owners to identify issues;
 Perform Independent analysis of
• Gap Analysis Report As-is Process Maps with Key risks and controls information data and other
• “To-Be” Documents mapped on the process work flow documentation to identify key gaps
and pain points; and
 Document As-is Process Maps and
agree the As-is Process Maps, Risks
3 and Controls with the Process owner
and Project Sponsor.
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3A
Phase 3  Benchmark the As-Is process to the leading

practices in the industry, globally and locally;
3A. Business Process
Reengineering  Identify structural and activity level design
issues, overlaps, inefficiencies and
redundancies;
Understanding  Ensure that the Polices and Procedures comply
3.2 Current State Assessment Interview Process Owners for As-Is process with the applicable Laws;
Document
understanding
incl. Design
responsibilities,  Develop recommendations in order to meet the
To-Be Process
practices
Process Maps
Maps & identify key
risks andetc.controls risk and control gaps, regulatory gaps and
3.4 To Be State Design
process efficiency issues. Propose changes for
identified improvement opportunities;
 Discuss and validate these changes with the
process owners and project Sponsor;
 Develop the ‘To Be’ process maps;
 Design the internal control framework and
• Gap Analysis Report prepare the ‘To-be’ process maps as per
• “To-Be” Documents To be Process Maps controls identified for risk mitigation;
 Recommend updates to Polices and
Procedures;
 Discuss and validate these updates with the
3
process owners and Project Sponsor; and
 Finalize the agreed To be process work flows
with the process owners and Project Sponsor.
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3A
Phase 3  Document responsibilities for each ‘To-

3A. Business Process Be’ process including TATs, standard
Reengineering
forms etc.
 Document process inputs and outputs,
Understanding
system interfaces, etc.
3.2 Current State Assessment Interview Process Owners for As-Is process  Document the Policy and Procedures
Document
understanding
incl. Design
responsibilities, Manuals; and
To-Be Process
practices
Process Maps
Maps & identify key
risks andetc.controls
3.4 To Be State Design  Identification of “Process Champions” for
coordination between process owners for
successful implementation and Change
Management.
As a value adding service, post the

• Gap Analysis Report finalization of the Project, Protiviti will return
• “To-Be” Documents Roles and Responsibility and KPIs Matrix and assess the progress of the
Implementation of the revised Policies and
Procedures and report the same to the
Project Sponsor.
3
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PROTIVITI’S APPROACH TO IT
PROJECT TIMELINE
STRATEGY – PHASE 3B
Company A’s

current state
Structure Review
Model
road map
exercise
Procedures


3 4 Document.
• PIR Report
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PROTIVITI’S DETAILED APPROACH- PHASE 3B
Business Priorities Understanding
Gather Business Requirements and Understanding Business Priorities:
Phase 3B
3B IT Strategy & needs

This phase focuses on identifying and understanding requirements from business and prioritizing IT goals and
initiatives in line with these requirements. This is a critical input for the development of IT Strategy and
enhancing IT customer satisfaction and business effectiveness. The activities performed as part of this phase
are as follows:
3.1 Business Priorities Understanding
Meet with key stakeholders and Business Division Managers to identify overall business objectives & plans.
3.5 IT Strategy
3.6 IT Policy & Procedure
• Review the business overall mission, vision and objectives;
3.7 Technology Enablement • Perform documentation review including the existing business and IT strategies;
• Review the current organization structure.
• Meet with business divisions and IT Management team to assess the business reliance on IT through:
• Gather IT requirements of business functions by meeting Business Division representatives. The
representatives should be selected carefully, so as to represent the view of the business in the most
appropriate manner;
• Assess demands for IT Services to achieve business’s needs and outcomes; and
• Review external dependencies of IT.
• Business Direction Report It is to be noted that this activity can also be performed intrinsic to IT, provided the confirmed business strategy
• Current State Assessment Report and priorities are clear and available to Protiviti.
• Definition of 5 Years Portfolio
• Risk Assessment Key Deliverables
• IT Policies and Procedures • Business Direction Report
• Technology Enablement Document.
4 • Minutes of Meeting with the Business Stakeholders
• Meeting Plan Document
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Current State Assessment
Phase 3B Conduct IT Diagnostic Review

This is the most important phases which provides us with a detailed understanding of the setup at QS, thereby
providing a foundation for effective implementation roadmap. Apart from the Gap assessment and
understanding, Protiviti also proposes to perform a Maturity Assessment so as to quantify the current state so
that improvement can be planned. The methodology for the gap and maturity assessment is detailed below.
3.1
3.1 Business
Business Priorities
Priorities Understanding
Understanding The Gap assessment methodology involves a combination of Interviews with QS staff including Managers,
3.2
3.2 Current
Current State
State Assessment
Assessment Senior Managers and Operations staff; discussions, data collection, review of the available information, the
3.5
3.5 IT
IT Strategy
Strategy existing documentation and assessment. The following are the key activities / considerations that will be
3.6
3.6 IT
IT Policy
Policy &
& Procedure
Procedure performed as part of this phase:
3.7
3.7 Technology
Technology Enablement
Enablement
The Scope of assessment:
IT
Organisatio
• IT Organisation Structure & Governance Assessment; n Structure
• IT Process Assessment; &
• IT Infrastructure Assessment; and Governanc
• IT Application Assessment. e

• Current State Assessment Report
• Definition of 5 Years Portfolio IT
Application
Compa IT Process
• Risk Assessment
s ny A IT
4
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Phase 3B Conduct IT Process Assessment:
3B IT Strategy & needs As part of this assessment, Protiviti shall understand and assess the current state of governance practices
within Company A IT. This phase is considered as one of the most critical phases since the understanding
gained during this phase will lay the foundation for the activities that will be performed during the later phases
3.1 Business Priorities Understanding along with the most appropriate IT Implementation roadmap. The assessment conducted also has the most
3.2 Current State Assessment critical bearing on the success of the project.
3.5 IT Strategy
Since quantification of improvement is a better manner of portraying the benefits / ROI of a project,
3.7 Technology Enablement
Protiviti will conduct a Maturity Assessment along with a full-fledged base-lining exercise so that the
performance can be matched and improved against peers of Company A IT. The details of the activities of this
phase are provided in subsequent slides as part of the approach for this phase.
Protiviti has defined a customized approach for this assessment, which ensures that the transition from the As-
Is state to the To-Be state (also known as As-Required) is as seamless as possible. This approach involves not
only assessing the current state of processes and assigning of maturity levels, but matches these against the
requirements of Company A’s overall corporate strategy and vision. This not only enables better Business – IT
alignment, but also ensures the sustenance of the plans that will be put in place (as part of later phases).
• Risk Assessment
4
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Conduct IT Organisation Structure & Governance Assessment:
Phase 3B
Protiviti will employ a methodical approach to determine the requirements for the various roles as part of the
initiative. A diagrammatic representation of the approach adopted is as shown below:
The approach for this includes the following: Company A IT Company A IT
3.1 Business Priorities Understanding • Conducting Interviews with the Staff of IT Management Staff
3.2 Current State Assessment • Interviews with the Section Heads and the CIO
3.5 IT Strategy
• Review of current experience of the IT staff Company A Busin
ess
Expectations
• Reviewing the skills and qualifications of the staff
• The below are the factors / views that will be nges
Day-today Challe
nges
Operations Challe
considered during the Interviews with the Staff
and the Management: nt Training Needs
Cost & Investme
Justification
IT Staff: yA
Existing Skill-sets
&
Strategy of Compan Qualifications
• Analysis of the roles of the organization with the current needs & IT
• Analysis of the day-to-day activities being performed by the IT staff
• Review of the current certifications and qualifications
• Interviews with individual staff to determine:
 their current training needs; Alignment
• Business Direction Report  challenges that the staff face when it comes to carrying out their day-to-day operational activities;
 any other areas of interest / skills that the staff may want to move into;
 any other challenges that the staff may be facing; and
• Risk Assessment
 their visibility / career orientation and their career path as they foresee.
• Technology Enablement Document. IT Management
4 • the vision envisaged for the Functions(s) and IT Department in the next 2 years;
• Pain areas and challenges faced;
• Business expectations to be managed; and
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Phase 3B Conduct IT Infrastructure Assessment

As part of the IT Strategy, an important activity is to understand and assess the current technology existing within
Company A IT and arrive at the areas of improvement required.
The primary objective of this exercise is to assess the current state of the existing Infrastructure Technologies and
compare the same against best practices and identify the areas of improvement that Company A IT Department
3.2 Current State Assessment will need to focus on to enhance the Infrastructure especially in the areas of technology performance, scalability,
3.5 IT Strategy functionalities and controls.
3.7 Technology Enablement The following are the different activities that will be undertaken as part of this exercise:
• Interview with respective teams within IT that provide the below services -
• Networks Management
• Data Centre Operations
• Servers Management
• Database Management
• IT Security
• Business Direction Report • Help Desk
• Telecommunication Services
• Risk Assessment • Understanding the pain areas in each area
• SMART IT Strategy & Roadmap • Perform a SWOT analysis to highlight the opportunities for improvement
• IT Policies and Procedures • Development of an Infrastructure Assessment Report.
4
As result of this evaluation, We will attempt to provide an overview of the current state of Technology usage within
IT Department; weaknesses within network architecture design and components; and an implementation priority
roadmap to address the deficiencies. We will also attempt to provide IT Department with Phase Out Road Map for
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Phase 3B Conduct IT Application Assessment

As part of the Applications assessment, the Protiviti team will meet the following key Company A IT
3B IT Strategy & needs Department personnel and key users of Application to understand the current state of the Applications.
Based on the discussions, follow-up documentation review and clarifications, we will arrive at the current
landscape of IT Applications.
Protiviti will utilize the information gathered during this phase to identify the automation and enhancement
requirements which is core requirement of Company A during the Technology Enablement of ERP solution
3.5 IT Strategy
implementation.
3.7 Technology Enablement The following are the different activities that will be undertaken as part of this exercise:
• Interview with respective teams within IT that provide the below services -
• Enterprise Applications
• Softwares
• Any Application used by the End Users for their day to day operations
• Understanding the pain areas in each applications

• Perform a SWOT analysis to highlight the opportunities for improvement
• Development of an Application Assessment Report
• Risk Assessment
As result of this evaluation, We will attempt to provide an overview of the current state of Application usage;
• SMART IT Strategy & Roadmap weaknesses within application architecture design and components; and an implementation priority roadmap
• IT Policies and Procedures to address the deficiencies.
4 Key Deliverables
• Current State Assessment Report of IT Organisation Structure & Governance
• Current State Assessment Report of IT Processes
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MANAGEMENT • Current State Assessment Report of IT Infrastructure
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Definition of 5 Year Portfolio
Phase 3B Develop 5 Year Portfolio for IT

The defining the Project Portfolio for next 5 years and prioritise the projects. Below are the activities as part of
this stage. It is to be noted that the prioritization aspect will be conducted in conjunction with SMART IT
Strategy & Roadmap.
3.2 Current State Assessment Meet with IT Management team to:
3.5 IT Strategy
3.6 IT Policy & Procedure • Review IT vision, mission and goals to be in line with that of business missions and goals (through business
3.7 Technology Enablement strategy, demands and other requirements).
• Develop overall IT Strategic Point of View (envisioning) and seek executive management approval.
• Publish the IT – Vision, Mission and Goals with internal and external stakeholders.
• Protiviti will Identify and document SMART initiatives needed to deliver the required IT priorities and in line
with the strategy requirements;
• Prioritize initiatives based on the business value and strategy;
• Map the IT priorities to Company A Business Objectives;
• Define the priority owners.
• Define the Project Portfolio for the next 5 Years; and
• Define the critical success factors (CSF) in terms of capabilities and resources.
• Definition of 5 Years Portfolio Key Deliverables
• Risk Assessment
• SMART IT Strategy & Roadmap • Definition of 5 Year Portfolio
4 Key Timelines: 2 weeks
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Risk Assessment
Phase 3B Conduct Risk Assessment

The risk assessment of short term and long term projects. Below are the activities as part of this stage.
3.1 Business Priorities Understanding • Conduct the risk assessment on projects.

3.5 IT Strategy • Review the IT objectives for the projects.
3.7 Technology Enablement • Based on the review of Long term and short terms projects analyze the IT Investments which will be
ascertained (ROI).
• Based on the risk, Protiviti will provide the remedial action plan based on the review with the IT
Management Team
Key Deliverables
• Risk Assessment
• Risk Assessment
4
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SMART IT STRATEGY & ROADMAP
Phase 3B Develop SMART IT Strategy and Implementation Roadmap

Based on the assessment activities performed as part of the previous sub-phases, Protiviti will generate the
most appropriate Implementation Roadmap for Company A to effectively implement the plans drawn up as
part of previous phases.
3.2 Current State Assessment The roadmap shall address the following: The primary inputs for the Roadmap include:
3.5 IT Strategy
– Areas to be addressed on the immediate – Areas that have been identified as Gap / High Impacting
horizon – Quick-wins areas based understanding of Company A setup
– Prioritization of Projects – which areas – Results of the assessment and the void that needs to
need to be addressed be filled to match the capabilities of Company A’s peers.
– Timing of Project– when to address
what area
– Skills and training requirements
To be able to arrive at the most appropriate Implementation roadmap for Company A, the following
considerations play a significant role:
• Definition of 5 Years Portfolio – Selection & Prioritizing – which of the areas / projects / initiatives have to be addressed and how?
• Risk Assessment
– Timing of addressing the areas – Short Term / Medium Term / Long Term?
4
• Technology Enablement Document. Key Deliverables
• SMART IT Strategy and Implementation Roadmap
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IT Policy and Procedure
Our Project team will develop / refine the required policy and procedure documents for each of the processes
Phase 3B
identified for improvement as part of the IT Diagnostic Review. The policies and procedures (P&P) will be
developed based on the best practices and standards. It is extremely critical to establish linkages between the
policies formulated and the procedures that will be documented as part of this phase. The following figure
depicts the relation and the linkage between Policies, Processes and Procedures with the details of aspects
covered for each of the processes identified as part of the roadmap.
3.2 Current State Assessment The typical contents for each processes would include:
3.5 IT Strategy – Objective;
– Scope of the process;
– Policies and working principles for the policy;
– Roles & Responsibilities;
– Procedures and work instructions (where required);
– Flow charts and process interfaces;
– KPIs and Reporting matrix including frequency,
audience, type, source, etc.; and
– Job-aids and templates that will be used by the teams
to operate the process.
• Risk Assessment
Key Deliverables
4
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MANAGEMENT Key Timelines: 8 weeks
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Phase 3B Automation of business processes is one of the crucial aspects that determine the success of any organization
due to the following factors:
• Without appropriate automation, compliance towards processes remains limited
• Since most activities are dependent on people, control over activities cant be monitored
• Due to human intervention, the accuracy of processes and quality of outputs are not optimal
3.1
3.1 Business
Business Priorities
Priorities Understanding
Understanding
• Management teams will not have the accurate picture which in turn hampers informed decision making
3.2
3.2 Current
Current State
State Assessment
Assessment
• Executive teams find it difficult to see ROI on investments
3.5
3.5 IT
IT Strategy
Strategy • The activities tend to become rudimentary and quality of business process declines over time
3.6
3.6 IT
IT Policy
Policy &
& Procedure
Procedure
3.7
3.7 Technology
Enablement In order to enable and analyze the automation of business processes through technology, Protiviti will develop
a Technological Architecture as elaborated below:
The following are the some of the key areas that need to be addressed as part of the Technological
Architecture requirements:
 Enterprise Architecture (EA)
 Business Functions and Objectives (BFO)
 Criticality of Business Processes (BP) EA
 IT Support Capability (IM)
• Business Direction Report  Configuration Management (CM)
CM BFO
• Definition of 5 Years Portfolio The sequence of activities to be performed in order
Business
Business
• Risk Assessment
to automate business processes are outlined in Process
Process
Automation
• SMART IT Strategy & Roadmap Automation
subsequent slides:
4
IM BP
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Phase 3B Protiviti will perform the following set of activities in order to facilitate the automation of different processes
through technology:
• Identify key gaps and opportunities for improvement for business process automation derived from IT
application assessment during IT Diagnostic Review
• Understand criticality of all business processes and IT support capability
• Analyze automation requirements of processes
• Recommend measures / systems for automation Ex: ERP software. BI tool, Project Management tool
3.5 IT Strategy
Key Deliverables
• Technology Enablement Document

• Risk Assessment
4
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METHODOLOGIES &
ILLUSTRATIONS FOR IT
STRATEGY – PHASE 3B
© 2016 Protiviti
METHODOLOGIES & ILLUSTRATIONS –
PHASE 3B
Business Priorities Methodology
Phase 3B
Protiviti’s approach to understanding the business view on IT is as elaborated below:

3.5 IT Strategy

• Risk Assessment
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PHASE 3B
IT Diagnostic Review Methodology
Phase 3B
Protiviti with a detailed understanding of the IT setup at Company A, thereby providing an effective foundation
for an effective IT strategy development. Our methodology for the IT Diagnostic Review incorporates the
following activities:

3.5 IT Strategy

• Risk Assessment
4
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PHASE 3B
Phase 3B WHAT IS AN IT DIAGNOSTIC REVIEW?


3.5 IT Strategy

• Risk Assessment
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PHASE 3B
Phase 3B
WHY IT DIAGNOSTIC REVIEW
Conducting an IT Diagnostic review assists in identifying pain points and gaps which when resolved, delivers
value to various stakeholders by addressing key business drivers, their performance and impact to the
organization. The indicative value derived from this exercise is represented below:
3.5 IT Strategy

• Risk Assessment
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PHASE 3B
Phase 3B
WHY IT DIAGNOSTIC REVIEW
Beneficiaries Value Derived from Diagnostic Review
 Provides an insight on the overall IT health of the company and its impact on
3.2 Current State Assessment Shareholders shareholder value
3.5 IT Strategy
 Provides assurance on the maturity level of internal controls
3.7 Technology Enablement  Provides a holistic & distinctive view of IT governance environment in the
Board of Directors organization
(BoD) and Audit  Provides an objective evaluation of IT performance
Team(s)  Enables the BoD to perform an objective assessment of the IT strategy
 Provides insight on improvement areas and root causes

Executive  Suggests alternate solutions for enhancing value derived from IT
Management
 Create awareness of industry’s leading practices and benchmarks
• Risk Assessment
 Provides a health check of IT processes and recommends quick fix solutions
• SMART IT Strategy & Roadmap  Identifies areas requiring immediate attention and helps in improving overall
• IT Policies and Procedures Business Process process efficiencies and effectiveness
4
Owners  Facilitate achievement of process owner’s goals and key performance
indicators
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PHASE 3B
Phase 3B ASSESSING THE CURRENT STATE (1/2)

The review will adopt a component based approach and will cover understanding and gap analysis vis-à-vis
each of the components stated above. The review will focus on the following levels:
3.5 IT Strategy

• Risk Assessment
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PHASE 3B
Phase 3B ASSESSING THE CURRENT STATE (2/2)

3B IT Strategy & needs The elements reviewed along the earlier outlined areas are as follows:

3.5 IT Strategy

• Risk Assessment
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PHASE 3B
Phase 3B IT Infrastructure Assessment Methodology

Our assessment of Company A IT Infrastructure involves the following key aspects. We follow a
3B IT Strategy & needs ‘Discover, Analyze, Report, Recommend’ methodology in order to provide Company A with the right
insights:

3.5 IT Strategy

• Risk Assessment
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INFRASTRUCTURE ASSESSMENT - SAMPLES
– PHASE 3B
Phase 3B

3.5 IT Strategy

• Risk Assessment
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– PHASE 3B
Phase 3B

3.5 IT Strategy

• Risk Assessment
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– PHASE 3B
Phase 3B

3.5 IT Strategy

• Risk Assessment
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97
APPLICATION ASSESSMENT - SAMPLES –
PHASE 3B
Phase 3B Our assessment of Company A IT Applications involves the following key aspects:

3.5 IT Strategy

• Risk Assessment
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APPLICATION ASSESSMENT - SAMPLES –
PHASE 3B
Phase 3B

3.5 IT Strategy

• Risk Assessment
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IT APPLICATIONS ASSESSMENT - SAMPLES –
PHASE 3B
Phase 3B

3.5 IT Strategy

• Risk Assessment
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IT APPLICATIONS ASSESSMENT - SAMPLES –
PHASE 3B
Phase 3B

3.5 IT Strategy

• Risk Assessment
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IT PROCESS ASSESSMENT - METHODOLOGY
– PHASE 3B
Phase 3B Process Maturity Framework:
3B IT Strategy & needs The Process Maturity Framework used in assessing Company A’s IT Processes’ maturity is based on the
model prescribed by COBIT 5 - one of the best practices for IT Governance. This framework provides a scale
to benchmark an IT organization’s practices against industry standards and guidelines. The model that has
been used to assess the IT processes at Company A IT is shown as below.
3.5 IT Strategy

Legend for Symbols used: Legend for Ranking:
• 0 – Management Processes are not applied at all
• Definition of 5 Years Portfolio Company A’s Current • 1 – Processes are ad hoc and disorganized
• Risk Assessment Maturity • 2 – Processes follow a regular pattern
• SMART IT Strategy & Roadmap • 3 – Processes are documented and communicated
• IT Policies and Procedures Company A’s Target • 4 – Processes are monitored and measured
4
Maturity • 5 – Good practices are followed and automated.
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IT PROCESS ASSESSMENT - METHODOLOGY
– PHASE 3B
MATURITY DEFINITIONS:
Phase 3B
• Non-Existent / Absent (0) when Complete lack of any recognizable processes. Company A has not even
recognized that there is an issue to be addressed.
• Initial / Ad-Hoc (1) when Company A IT has recognized that the issues exist and need to be addressed.
3.1 Business Priorities Understanding There are, however, no standardized processes / controls; instead, there are ad hoc approaches that tend
3.2 Current State Assessment to be applied on an individual or case-by-case basis. The overall approach to management of the process /
3.5 IT Strategy control is disorganized.
• Repeatable but Intuitive (2) when Processes / Controls have developed to the stage where similar
procedures are followed by different people undertaking the same task. There is no formal training or
communication of standard procedures, and responsibility is left to the individual. There is a high degree of
reliance on the knowledge of individuals and, therefore, errors are likely.
• Defined (3) when Procedures have been standardized and documented, and communicated through
training. It is mandated that these processes should be followed; however, it is unlikely that deviations will
be detected. The procedures themselves are not sophisticated but are the formalization of existing
practices.
• Business Direction Report • Managed & Measured (4) when Management monitors and measures compliance with procedures and
• Current State Assessment Report takes action where processes appear not to be working effectively. Processes are under constant
• Definition of 5 Years Portfolio improvement and provide good practice. Automation and tools are used in a limited or fragmented way.
• Risk Assessment
• SMART IT Strategy & Roadmap • Optimized (5) when Processes have been refined to a level of good practice, based on the results of
continuous improvement and maturity modeling with other enterprises. IT is used in an integrated way to
4 automate the workflow, providing tools to improve quality and effectiveness, making the enterprise quick to
adapt.
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IT PROCESS ASSESSMENT - SAMPLES –
PHASE 3B
Phase 3B ITIL v3 Process Requirements / Observations /

Current Practices in XYZ
Lifecycle Area Specifications Gaps
Service levels shall be

There is a Service Review that is conducted
monitored and reported
3.1 Business Priorities Understanding with the customer every 2 weeks. This
against targets, showing
3.2 Current State Assessment review focuses on the targets achieved,A formal Service
both current and trend
operational matters and any feedback fromImprovement
3.5 IT Strategy information.
LE
the customer on the way the services areprocess needs to
3.6 IT Policy & Procedure Service The reasons for non-
being delivered. be established to
Service level conformance shall be
MP
Design manageme reported and reviewed.
maintain focus on
SA
From an service improvement perspective,improvement
nt Actions for improvement
there is no defined process for SIP.initiatives and
identified during
However, all improvement initiatives aretrack progress on
this process shall be
discussed at the Senior Managers' meetingthe same.
recorded and provide input
with action points derived from the
into a plan for improving the
improvement opportunities.
service.

• Risk Assessment
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2.92 3.92
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IT PROCESS ASSESSMENT - SAMPLES
Phase 3B

3.5 IT Strategy
PLE
AM
S
• Risk Assessment
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PHASE 3B
Phase 3B

3.5 IT Strategy

• Risk Assessment
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PHASE 3B
Phase 3B

3.5 IT Strategy

• Risk Assessment
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PHASE 3B
Phase 3B

3.5 IT Strategy

• Risk Assessment
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IT ORGANISATION STRUCTURE & GOVERNANCE
ASSESSMENT - METHODOLOGY – PHASE 3B
Phase 3B

3.5 IT Strategy

• Risk Assessment
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IT ORGANISATION STRUCTURE &
GOVERNANCE ASSESSMENT - SAMPLES –
PHASE 3B
Phase 3B

3.5 IT Strategy

• Risk Assessment
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© 2016 Protiviti
IT ORGANISATION STRUCTURE - SAMPLE –
PHASE 3B
Protiviti will provide a new organization structure based on the benchmarking results and best practices ,
Phase 3B this will improve the functioning of IT and improve governance. The new organization structure may
recommend new roles and will provide the detailed responsibilities of the roles recommended.

3.5 IT Strategy

• Risk Assessment
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© 2016 Protiviti
SKILLS RECOMMENDATION - SAMPLE –
PHASE 3B
Protiviti will assess the skills of the IT staff and perform a detailed training need assessment in order to
Phase 3B
ensure the staff is competent to perform the planned projects in the strategy as well as perform their daily
operational activities in an improved manner.

3.5 IT Strategy

• Risk Assessment
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SWOT ANALYSIS - SAMPLES – PHASE 3B
Phase 3B We will perform a SWOT analysis on all the areas within which the assessment is performed (Applications,
Infrastructure, Processes and Controls, Organizational Competency)

3.5 IT Strategy

• Risk Assessment
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DERIVING IT PROJECT PORTFOLIO -
METHODOLOGY – PHASE 3B
Definition of 5 Years Portfolio Methodology
Phase 3B We will identify the key pain areas and high risk areas within Company A IT Department:
Protiviti shall derive the IT Project

Portfolio from the list of actionable
items identified, this will involve
3.5 IT Strategy
• Recommendation of Protiviti on
the best solution to meet the
objectives
• Detailed discussion with IT
Management to confirm with them
• Feasibility of the
solution
• No negative Impact on
existing
systems/services etc.
• Risk Assessment
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SAMPLE – RISK ASSESSMENT / PAIN AREAS –
PHASE 3B
Risk Assessment
Phase 3B We will identify the key pain areas and high risk areas within Company A IT Department:

3.5 IT Strategy

• Risk Assessment
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SMART IT STRATEGY & ROADMAP – PHASE 3B
Phase 3B
IT-ENABLED BUSINESS VALUE

3.5 IT Strategy

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IMPLEMENTATION PLAN - METHODOLOGY –
PHASE 3B
For the selection and prioritization of Process areas, Protiviti uses an effective methodology called
Phase 3B
as EIU matrix. This is a proven methodology considering the parameters of Effectiveness, Impact
3B IT Strategy & needs and the Urgency of the process areas. A score is assigned to each of these parameters to arrive at
the prioritization of the areas.
3.1 Business Priorities Understanding  Effectiveness: This parameter considers

3.2 Current State Assessment the significance of the Area / Project /
3.5 IT Strategy Process / Control keeping in view factors
3.6 IT Policy & Procedure that have an impact on the IT Operational
3.7 Technology Enablement efficiency
 Impact: This parameter considers the

impact of the Area / Project / Process /
Control keeping in view the factors that
have an impact on the business such as
those related to customer service, cost
reduction or revenue increase or damage
to reputation.
 Urgency: This parameter considers the
Area / Project / Process / Control keeping in
• Risk Assessment
view the urgency of the felt need by the
• IT Policies and Procedures business (to redress the pain or meet
• Technology Enablement Document. expectation) in the immediate time horizon.
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ASSISSTANCE
© 2016 Protiviti
IMPLEMENTATION PLAN - METHODOLOGY –
PHASE 3B
Phase 3B
3B IT Strategy & needs The proposed approach for determining the timing will be
based on:
 Areas that are to be addressed on a high priority / that
pose high risk / impact to business
3.5 IT Strategy
 Ease / Feasibility of implementation
3.6 IT Policy & Procedure  Maturity Levels – An area that can be considered as
3.7 Technology Enablement a "Quick-win" i.e. areas that have attained significant
maturity levels and whose maturity can be increased /
incremented relatively easily
Based on these parameters, the figure and matrix show
the criteria for an initiative/ area to be considered as an
Improvement program for Short / Medium / Long term
Strategy.

• Current State Assessment Report Risk / Ease of Current Maturity of Term Remarks
• Definition of 5 Years Portfolio Impact Implementation Area
• Risk Assessment
L L H LT
• IT Policies and Procedures L H H ST Quick Win
4
H L L MT
H H L ST
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
IMPLEMENTATION ROADMAP - SAMPLE –
PHASE 3B
Phase 3B

3.5 IT Strategy

• Risk Assessment
4
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
Phase 3B INTEGRATING THE IT ORGANIZATION


3.5 IT Strategy

• Risk Assessment
4
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
Phase 3B BRINGING ‘SMART’ TO FMCG


3.5 IT Strategy

• Risk Assessment
4
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
IT POLICY & PROCEDURE - METHODOLOGY –
PHASE 3B
IT Policies and Procedures
The initial step in the development of IT policies and
Phase 3B
procedures is to finalize the different processes for which
policies / procedures need to be developed based on the
current maturity of the organization in different domains as
well as major gaps.
3.1 Business Priorities Understanding Once the scope of development is finalized, the TO-BE
3.2 Current State Assessment processes are drawn up in the form of flowcharts and
3.5 IT Strategy
associated policy and procedure documents are
developed for each of these processes. These TO-BE
documents are based on the following aspects:
• Current practices and activities within Company A
• Existing defined policies and procedures
• Best practices from the following:
o ITSM: ITIL, ISO 20000
o IT Governance: COBIT 5
o Information Security: ISO 27001, NESA
• Business Direction Report o Other best practices such as Val IT, SOX,
• Current State Assessment Report PAS 77 etc.
• Risk Assessment Based on the following, the final TO-BE processes will be
• SMART IT Strategy & Roadmap drafted and agreed upon with Company A IT Department.
4
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
122
BEST PRACTICES FROM STANDARDS /
FRAMEWORKS – PHASE 3B
Phase 3B We will use the best of breeds in terms of standards / frameworks for the definition of
procedures. This approach is adopted due to the nature of best practice elements that
each of the framework / standard provides. Moreover, since the end objective of any
organization is to achieve overall governance, this is the model adopted. The relationship
3.1 Business Priorities Understanding of various frameworks to achieve this governance is shown below:
3.5 IT Strategy

• Risk Assessment
4 The figure above shows how the various frameworks addresses different levels of
process requirements i.e. Strategic, Process Control, Process Execution and Work
Instructions.
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
123
ITSM AND IT GOVERNANCE – PHASE 3B
Protiviti proposes to use the below model to define the procedures for addressing
Phase 3B
COBIT 5 requirements.

3.5 IT Strategy
Protiviti proposes to use the below model to define the procedures for effective IT
Service Management.

• Risk Assessment
4
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
124
SOFTWARE DEVELOPMENT LIFECYCLE –
PHASE 3B
Phase 3B

Protiviti shall leverage the understanding obtained
regarding the current SDLC process within
Company A and accordingly develop an effective
3.1 Business Priorities Understanding SDLC. This will also be effective in enabling
3.2 Current State Assessment technology by implementing systems efficiently
PLE
3.5 IT Strategy
and hence automating business processes.
M
3.7 Technology Enablement SA
This involves the development of the following
documents :
• SDLC Policy
• SDLC Procedure Feasibility Study Report
• Supporting templates (Business Case,
Feasibility Study Report, Design Document,
Release Plan, Requirement Specifications,
Solution Scope, Software Development Plan,
• Current State Assessment Report Test Case, Test Results, UAT Sign-off form,
• Definition of 5 Years Portfolio Training Plan)
• Risk Assessment
PLE
M
SA
4
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE SDLC Procedure
© 2016 Protiviti
125
IT P&P IMPLEMENTATION PLAN – PHASE 3B
Phase 3B • Refinement of Segregation of Duties (SoD) and Role

Mapping;
• Changes to Organization Structure – where required
inline with the newly developed procedures (with a view of
IT Policies developed earlier);
3.2 Current State Assessment • Sign-off on Process Roles identified for the different
3.5 IT Strategy policies;
• Mapping of procedural activities towards developed
policies;
• Developing implementation plan for IT policies and
procedures;
• Training material – highlighting the key activities that
Company A IT staff need to perform as part of the newly
defined procedures;
• Training and Awareness sessions as elaborated below:
• Current State Assessment Report • Technical Staff and Project Managers: All
• Definition of 5 Years Portfolio COBIT domains, relevant domains of Val IT
• Risk Assessment
• SMART IT Strategy & Roadmap • IT Staff: ITIL V3 and ISO 20000 processes, ISO
• IT Policies and Procedures 27001 controls
4 • Review Checklist & Procedure for Company A sign- Areas addressed in
off. Implementation Plan
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
126
IT POLICIES AND PROCEDURE - SAMPLE –
PHASE 3B
Phase 3B

3.5 IT Strategy
PLE
AM
S
• Risk Assessment
4
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
127
IT POLICIES - SAMPLE – PHASE 3B
Phase 3B
PL E
M
SA
3.5 IT Strategy

• Risk Assessment
4
ITSM POLICY INFORMATION SECURITY POLICY
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
128
IT PROCEDURES - SAMPLE – PHASE 3B
Phase 3B

3.5 IT Strategy
PLE
M
SA
• Risk Assessment
4
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
129
TECHNOLOGY ENABLEMENT -
METHODOLOGY – PHASE 3B
Phase 3B Protiviti will perform the following set of activities in order to facilitate the automation of
different processes through technology:

3.5 IT Strategy

• Risk Assessment
4
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
TECHNOLOGY ENABLEMENT - SAMPLE –
PHASE 3B
Phase 3B

3.5 IT Strategy

• Risk Assessment
4
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
PROTIVITI’S APPROACH TO ALIGN DESIGN
TOPROJECT
IMPLEMENTATION-
TIMELINE
- PMO; CHANGE MANAGEMENT &
Company A’s

current state
Structure Review
Model
road map
exercise
Procedures


3 4 Document.
• PIR Report
PMO
PMO CHANGE
CHANGE MANAGEMENT
SUPPORT &
& QA
QA AUDIT
AUDIT
© 2016 Protiviti
PMO
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
PMO
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
PMO
Set-up the PMO for effective implementation

• Develop PMO charter
• Design project management governance processes
• Define status reporting process and templates
• Define project portfolio process
• Establish metrics for ongoing measurement of PMO activities
• Develop communication plan and protocol
Establish the PMO basis the requirements

• Organize steering committee and define / revise responsibilities
• Identify project tracking mechanism and tools
• Organize reporting processes and procedures
• Develop communication for PMO implementation
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
PMO
Allocate Resources
• Assign clear roles and responsibilities
• Assess project portfolio and associated priorities
• Define resources needed for ongoing support of the PMO
• Align resources with defined roles
• Develop plan for ongoing PMO support
• Review resource roles and responsibilities for project management processes
Perform PMO functions

• Initiate project
• Develop detailed project plan and resource plan
• Integrate project risk management framework
• Compile issues log and set up escalation process
• Perform project tracking and status reporting
• Perform project progress meetings
• Participate in steering committee meetings
Key Deliverables:
• PMO responsibilities
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
CHANGE MANAGEMENT
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
CHANGE MANAGEMENT
Understand the current cultural context

• Conduct change readiness survey to:
o Assess the readiness within organization
o Understand Company A’s culture and risks related to the transformation journey
• Identify change agents across Company A
• Conduct focused discussions with change agents for understanding the concerns related to change
Design Change Management Strategy

• Basis the analysis of the information gathered above, design Change Management Strategy covering:
o Approach & Guidelines
o Types of initiatives
o Planned Communication
o Capability Building Sessions
o Change Agents Training Sessions
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
CHANGE MANAGEMENT
Design Change Management Plan

• Based on designed change management strategy, create a detailed Change Management Plan, capturing
o Knowledge Management/ Transfer Plan
o Change Agents Training Plan
o Communication Plan
(covering activities, time-frame, audience, outcomes)
Implement Change Management Plan

• Implement activities as per the designed Change Management Plan
• Gather feedback and modify the plan and approach if required to ensure the SUCCESSFUL
TRANFORMATION
Key Deliverables:
• Change Readiness Survey
• Change Management Plan including
o Knowledge Management/ Transfer Plan
o Communication Plan
• Implementation of Change Management Initiatives as per the plan
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
SUPPORT &
&
QA
QA AUDIT
AUDIT ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
IMPLEMENTATION SUPPORT AND QA
AUDIT ASSISTANCE
Design Implementation Roadmap for Phase 1, 2, 3 to weave together the necessary themes for
Company A’s successful transformation across strategy, organization, people, process and IT
• Design Implementation Roadmap for

o Phase 1: Achieve the strategy over the short and long term:
o Phase 2: Achieve successful implementation of Organization and people initiative
o Phase 3: Achieve successful ERP implementation
• Provide details and clearly define the activities, initiatives, tasks, phases of implementation, expected
results, outcomes and goals that are aligned to the targeted initiatives in each phase
• Establish a monitoring process to ensure the effective execution of the implementation plan
• Ensure clear definition of roles in each stage; assign responsibilities and accountabilities to different
stakeholders
• Identify projects and initiatives to be prioritized to achieve the objectives
• Develop specific measurable benchmarks and tasks to be accomplished to achieve outcomes as well as a
methodology for evaluation
• Ensure a clear understanding of the above , the risks involved and preventative controls through meetings
with the project team members
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
IMPLEMENTATION &
& QA
QA AUDIT
AUDIT
ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
AUDIT ASSISTANCE
.
Provide Implementation support:
• During ERP implementation, Protiviti would provide implementation support by:
o Conducting knowledge transfer sessions with selected ERP vendor and Company A team to
ensure the clear understanding of business processes
o Providing the required project management support during the ERP project
Provide QA Audit Assistance for Phase 2 and Phase 3b:

• In collaboration with Company A team, perform QA Audit to identify the gap in the implementation across
strategy, organization, people, process and IT as agreed upon during implementation roadmap design
• Design an audit report highlighting the gaps as per the shared implementation plan and best practices
Key Deliverables:
• Implementation road map (Phase 1, 2, 3)
• Implementation Support
• QA Audit Report (for phase 2 and Phase 3)
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
IMPLEMENTATION &
& QA
QA AUDIT
AUDIT
ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
AUDIT ASSISTANCE
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
IMPLEMENTATION &
& QA
QA AUDIT
AUDIT
ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
AUDIT ASSISTANCE
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
IMPLEMENTATION &
& QA
QA AUDIT
AUDIT
ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
AUDIT ASSISTANCE
Initial and ongoing project risk assessments that consider key control areas across the
strategic initiative form the foundations for conclusions and recommendations.
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
IMPLEMENTATION &
& QA
QA AUDIT
AUDIT
ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
AUDIT ASSISTANCE
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
IMPLEMENTATION &
& QA
QA AUDIT
AUDIT
ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
AUDIT ASSISTANCE
A post implementation review assesses whether the business has achieved strategic goals with regards to
the implementation and evaluates whether the benefits of the project have been realized.
A high level post implementation approach would include the following:

 Operational effectiveness of the implementation
 Effectiveness of project management and control procedures
 Determining whether the implementation has realized the planned potential benefits
 Evaluating whether the implementation has delivered the defined requirements
 Reviewing issues / problems that have occurred during and post the implementation
 Assessment of the systems infrastructure supporting the implementation
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
IMPLEMENTATION &
& QA
QA AUDIT
AUDIT
ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
AUDIT ASSISTANCE
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
IMPLEMENTATION &
& QA
QA AUDIT
AUDIT
ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
AUDIT ASSISTANCE
Objective of a Data migration review:
The data migration review will aim at assessing the following

:
• Effectiveness of the data migration strategy that was
followed;
• Integrity of the historical data that was migrated; and
• Confirming the type of data required to be maintained
before decommissioning the legacy system and reviewing
the decommissioning strategy.
Data Migration activities involve identifying the data to be

migrated, determining the timing of data to be migrated,
template definition, method of migration, migration related
set ups and post migration controls for master and
transaction data. Protiviti team will review the following to
ensure integrity, availability and confidentiality of migrated
Sample Data Migration process
data:
 Review the Data Migration Strategy, if any, for various data types such as master and transaction data
 Review the migration related configurations are properly done and migration sources are defined to
identify migration data
PMO
PMO  Confirming the type of data required to be maintained before decommissioning the legacy
 Review the migration data templates
CHANGE
CHANGE MANAGEMENT
MANAGEMENT  Review post migration controls and report
IMPLEMENTATION
IMPLEMENTATION &
& QA
QA AUDIT
AUDIT
ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
AUDIT ASSISTANCE
Typical Data migration related activities involved are highlighted below:

 Check for presence of Conversion Approach for migration covering the following details: Source
systems, timeline, validation activities for each master data area, conversion process steps,
constraints, assumptions, resources, tasks & deliverables, connectivity, tools, environment,
acceptance criteria, issue tracking procedures, quality management, version control procedures
 For a sample of key master and transactional data, check if Validation procedures are adequately
documented for the pre-conversion master data to the loaded data in the system (via transaction
codes for master record display, reports, invoices, etc.) to ensure that all master data is validated in a
consistent manner
 For a sample conversion / transformation routine, check the validation rules and handling of the
date/timestamp routines
 Verify if the data cleansing criteria are adequate as per the defined requirements.
 Samples of data from different modules will be verified to check if data source cleansing has been
done and recorded through approved evidences.
 Sample of data based on criticality to be verified to check if loads include reports with appropriate
headers, batch totals, record count, checksums evidences etc.
 Check for existence of sign-off pack. Check for presence of sign-off from all business owners ahead of
Go-Live according to the acceptance criteria.
PMO
PMO
CHANGE
CHANGE MANAGEMENT
MANAGEMENT
IMPLEMENTATION
IMPLEMENTATION &
& QA
QA AUDIT
AUDIT
ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
AUDIT ASSISTANCE
Objective of a Data migration review:
The data migration review will aim at assessing the following

:
• Effectiveness of the data migration strategy that was
followed;
• Integrity of the historical data that was migrated; and
• Confirming the type of data required to be maintained
before decommissioning the legacy system and reviewing
the decommissioning strategy.
Data Migration activities involve identifying the data to be

migrated, determining the timing of data to be migrated,
template definition, method of migration, migration related
set ups and post migration controls for master and
transaction data. Protiviti team will review the following to
ensure integrity, availability and confidentiality of migrated
Sample Data Migration process
data:
 Review the Data Migration Strategy, if any, for various data types such as master and transaction data
 Review the migration related configurations are properly done and migration sources are defined to
identify migration data
PMO
PMO  Confirming the type of data required to be maintained before decommissioning the legacy
 Review the migration data templates
CHANGE
CHANGE MANAGEMENT
MANAGEMENT  Review post migration controls and report
IMPLEMENTATION
IMPLEMENTATION &
& QA
QA AUDIT
AUDIT
ASSISSTANCE
ASSISSTANCE
© 2016 Protiviti
METHODOLOGIES &
ILLUSTRATIONS
© 2016 Protiviti
PROJECT MANAGEMENT
(OVERVIEW)
Protiviti’s Project Management framework is comprehensive, end-to-end, flexible, proven, repeatable, and reliable. Protiviti’s methodology is
designed to help the Project Manager by providing a roadmap to identify, measure, mitigate and manage issues related to management,
execution, and control of the project. This framework has been successfully applied to large scale programmes (encompassing multiple projects)
and small scale projects alike.
Our Project Management framework ensures that the project is managed

optimally throughout the different stages of the project (i.e. Initiation, Planning,
Execution, Controlling and Closing). The framework will act as a valuable tool to
the Project Manager in all the following stages:
1. Initiating – Involves obtaining agreement over the high level parameters of a

project, usually reflected in a project charter. Typical controls in this place
include reviews and approvals.
2. Planning –Involves developing a game plan to achieve the results of a project.
In addition to reviews and approvals, other controls include having a baseline
schedule and budget as well as a defined scope with success criteria.
3. Executing – Involves implementing a project according to a plan. The project
focuses its activities and resources on achieving the goals and objectives
based on the constraints and assumptions. Controls center on efficient and
effective performance.
4. Controlling – Occurs concurrently with the execution phase. It involves
collecting data and evaluating information about performance. It enables
tracking and forecasting performance in pursuit of goals and objectives.
5. Closing – Involves mopping up of activities to determine the extent of
satisfying success criteria and achieving goals, and objectives. Typical controls
applicable to this phase are obtaining the necessary reviews and approvals
prior to the project completion.
© 2016 Protiviti
PROJECT MANAGEMENT
(COST, TIME & QUALITY MANAGEMENT)
A vital attribute of this framework is, it integrates every element of the project within the three key boundaries associated with every project: i) Cost;
ii) Time (schedule); and iii) Quality.
The following are the preventive, detective and corrective controls that Protiviti’s Project Management methodology provides emphasis when
considering Cost, Schedule and Quality:
Cost Schedule Quality
• Institute risk management; • Place the work Breakdown • Define success criteria
• Deploy a work authorization structure under configuration • Institute configuration
Preventive system; and control. management disciplines
• Institute integrated change control • Define roles and responsibilities for
disciplines. activities.
• Involve stakeholders in plan
development
• Identify defect metrics
• Apply earned value techniques • Apply earned value techniques
regarding schedule, e.g., schedule • Apply quality control techniques ,
regarding costs, e.g., cost
performance. e.g., pareto diagrams.
performance index and variance
Track and monitor baseline vs. • Perform inspections of
Detective analysis; and •
current schedule performance deliverables. e.g.
., testing
• Use graphics, such as cumulative
curves showing difference between
planned and actual.
• Re-plan baseline • Conduct quality audits and
• Reduce scope (based on key
• Align current schedule to baseline assessments with follow through
stakeholders review and
schedule on recommendations for
Corrective approvals);
• Implement compressed schedule improvement.
• Apply contingency and
techniques, e.g., fast tracking and • Perform the Plan -Do-Check-Act
management reserves; and
crashing. (PDCA) cycle
• Realign resources.
© 2016 Protiviti
PROJECT MANAGEMENT
(TOOLS & TEMPLATES)
Project charter and project plan
The Project Charter is a document that
provides authority to establish the project,
broadly defining its purpose, goals, and
objectives. The Project Charter serves as a
contract between the Project Team and
Project Sponsor.
IV E IVE
ST RAT S T RAT
ILLU The Project Plan is a formal, approved I LLU
document used to guide both project
execution and project control. The Project
Plan is used to document planning
assumptions and decisions, facilitate
communication among stakeholders, and
document approved scope, cost, and
schedule baselines.
Input Key Activities Output
• Project Statement of Work; Project Charter which includes:

• Business case providing a description • Conduct project initiation meeting; • Project purpose and objectives;
of the project including key goals and • Develop project plan, including a • Project organization structure and
objectives, what the project will schedule for updates to xxxx; governance structure;
deliver, and any other high level • Finalize project plan and resource • Assigned Project Manager and
expectations of the project; allocation; authority levels;
• Contract; • Develop project governance structure. • Project plan;
• Enterprise environmental factors. • Summary budget.
© 2016 Protiviti
CHANGE MANAGEMENT
(TOOLS & TEMPLATES)
Stakeholder Analysis Communications Plan Change Management Audit
Business Change Impact Heat map by Function The Tropics Test* The Change Spectrum
Timescale
Resources
Objectives
E
Perception T RATIV
S
ILLU
Interest
Control
Source
Source:* Rob Paton, James McCalman
© 2016 Protiviti
KNOWLEDGE MANAGEMNT
(PROTIVITI KNOWLEDGE RESOURCES)
KLplusTM Extranet Tool Solutions iTraining The Governance Portal
iShare Extranet The Intelligence Miner Continuity Planning

Continuum
Risk of
Failure
15 © 2016 Protiviti
156
6 CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to another third party.
PROJECT TIMELINE
© 2016 Protiviti
INDICATIVE PROJECT TIMELINE
Months
Project Activities
Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug
Phase 0:
Project Initiation
Phase 1:
Business Strategy 13 Weeks
Articulation and
Execution
Phase 2:
Organization and 14 Weeks 7 Weeks
People Initiatives
Phase 3a:
Business Process 21 Weeks
Re-engineering
Phase 3b
IT Strategy
Design 49 Weeks
*QA audit assistance would take a month’s time and timelines would be mutually decided as per the implementation roadmap
PMO and CM Implementation across the project
1. Business Strategy PMO, CM and
2. Organization and 3A Business Process
Project Initiation Articulation and 3B IT Strategy Design Implementation
People Initiatives Re-engineering
Execution Support
© 2016 Protiviti
158
PROJECT ASSUMPTIONS/ EXCLUSIONS/
CONSTRAINTS
• Company A will designate a staff member to function as the Single point of Contact (SPOC) / Project Manager to work
with Protiviti’s Project Manager. Company A PM will also coordinate with Protiviti Project Manager to discuss and/or
resolve any other issues pertaining to the project.
• It is assumed that the Project Manager appointed by Company A will assume responsibility for organizing meetings and
interviews with the senior management team of the organization.
• It is assumed that the stakeholders of Company A shall be willing to provide time for critical meeting (e.g. Key business
priority confirmation meetings that forms the most important input to the IT Strategy review and update.)
• All information requirements of Company A shall be requested during the Project Initiation phase. Any delay in providing
such information will hamper / cause delays.
• A Senior Management person is expected to play the role of Project / Program Manager for an initiative of this
importance and scale
• In order to maintain project schedules, Company A PM must ensure that timely responses are obtained (within three
business days) from project participants. This includes, but is not limited to, answering questions, reviewing draft
documents and providing feedback.
• Project Steering Committee meetings are recommended to be conducted at least once in 4 weeks to ensure good
health and timeliness of the project.
• IT Resource Time requirements are expected to be the below. All meetings / schedules will be communicated well in
advance (at least a week before the meeting).
• Project Manager = 60% - 70% of the duration of the project.
• Senior IT Management personnel of Company A = 2 - 3 Days in a week for meetings
• IT Management personnel of Company A = 1 Day each during Project Initiation Phase; 2 days during the IT
Diagnostic Review
• Senior Business Personnel = 2 Hours each for interviews during Business Directions phase.
• Lower section business Personnel = 1 hour each for answering the Survey Questionnaire.
• IT Department personnel from Company A (Infrastructure / Datacenter / Application teams / IT Planning etc.) = 3
- 4 days during the IT Diagnostic Review phase
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CONSTRAINTS
• Company A to supply all required workspaces, including telephones and LAN connections, for Protiviti Consultants
assigned to the project.
• It is assumed that Company A will provide all the documentation, data and access to information to the Protiviti team to
facilitate review and assessment of existing processes / documentation.
• The schedule is made keeping in mind the timely availability of internal teams for various discussions and validation
• Public and National Holidays have not been accounted for in this schedule
• Week indicates working week from Sunday to Thursday
• Protiviti shall not be responsible for any delays on part of Company A in arranging meetings with
management/employees or providing required information.
• Any delay/changes in the project plan will be notified to Company A’’s HR Team and Management
• Review comments and sign off to be shared with Protiviti within 3 working days of deliverable submission
• New Job Descriptions to be created and finalized (upto 50 roles)
• Any addition to the scope of work will lead to extended project plan which will be shared when need arises
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CONSTRAINTS
EXCLUSIONS:
• The Scope of work for Technology Enablement assumes no system implementation will be performed by Protiviti.
• Protiviti would provide ERP implementation and PMO support for almost 7 months, and this duration has been assumed
for Project Management / support. The model proposed for this phase is on a Time & Material basis through
deployment of One ERP Functional Consultant for a period of seven months. The commercial of this step would be
80,000 AED/ month for 7 months support of one ERP functional consultant. The implementation timelines would be
dependent on the shortlisted vendor delivering capability.
• Activities carried out by Company A’s vendors / service providers are excluded from this assignment;
• Scope of work will exclude all non-IT related process issues unless explicitly agreed;
• Implementation of any system / customization / integration is considered out of scope of this proposal.
• Product / tool specific operating / administrative procedures are excluded from this assignment;
• Negotiation and implementation of SLAs, OLAs, UCs and between IT Department of Company A and Business Units is
excluded from the scope of work for Protiviti.
• The Scope of Work and Deliverables mentioned in this technical approach paper is ONLY for the Company A IT
Department. Extension of work / deliverables carried out as part of this assignment to any other Company A business
units and/or shared-services service providers is excluded from the scope of this assignment.
Note: In the event of clarity required on any of the Assumptions / Notes Sections / Exclusions detailed in this proposal,
Company A is requested to contact Protiviti and discuss the same.
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RELEVANT EXPERIENCE
In partnership
with
© 2016 Protiviti
SELECT TEAM CASE STUDIES
STRATEGY
Developed a post merger approach for an organizational transformation program that included leadership and culture,
human capabilities and management systems including performance management of two gas companies.
Redesign of the Group wherein Vision, Mission and Critical Success Factors were developed, business model was
mapped out, human performance infrastructure was designed and a performance model was developed.
Developed a business strategy by testing 15 business concepts and developing the business model for competitive
advantage for each concept, the overall strategic direction, organization capability requirements and plans for strategic
initiatives
Operational transformation (structure and model) to overcome limitations in government oversight and funding
whereby a global municipality benchmarking was conducted and new business model options were proposed
Conducted an assessment of joint venture gas exploration companies business models and collaborative issues as part
owner, part facilitator while ensuring competitive autonomy.
Conducted an analysis of the operating company to develop the governance approach to support a collaborative profit
centered mindset among functions and with the parent company.
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STRATEGY
Client Situation
A financial institution based in GCC, together with a COMPANY, looking for a feasible option to enter the dairy market.
The following options were considered:
Case Study - 1. Importing dairy products from the COMPANY
Strategy
2. Repacking of dairy products
3. Manufacturing a dairy range using milk powders
4. Establishing a dairy farm and factory and manufacture a dairy range using fresh milk from the farm
Team Involvement
To carryout the feasibility study of the four options. The involvement covered the following:
5. Feasibility study of the GCC dairy market covering 9 chosen product categories
6. Assessment of the capabilities of the COMPANY to cater to the market needs and identifying gaps
7. Evaluation of the dairy supply chain covering raw materials supply, consumer pricing, margins and regulations
8. Feasibility studies of the four options and creation of financial models. The studies also involved the development of concept
designs of the farm and factory, capex and opex research, and calculations of cost of goods sold, gross margin and EBITDA
9. The financial models provided multiple scenarios to consider within each of the four options.
Benefits to the Client
The deliverables provided the following benefits to the client:
10.A detailed understanding of the GCC dairy market and the high gross margin dairy categories, competition, sales channels
and regulatory environment.
11. A detailed understanding of the costs and margins along the supply chain – namely import duty, manufacturing costs,
warehousing and distribution costs, modern trade back margin and front margin, traditional trade front margin etc.
12.A visualisation of the farm and factory room segregation and equipment layout and an assessment of land are requirement
to meet the production forecast for 10 years.
13.An estimation of the capital expenditure required to set up a dairy farm and factory along with an estimation of the operating
costs.
14.An assessment of breakeven point and equity IRR, enabling the investment decision making.
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STRATEGY
Client Situation
Worked for a large dairy business in South East Asia. The business had been present in market for a number of years but
Case Study - needed a full feasibility and strategy process in order to determine how best to achieve growth over the subsequent 5 years
Strategy in both existing and new categories.
The team completed the study through four stages of work:

1. Market assessment to complete a thorough review of the dairy segment including workup of total market size,
forecasts, segmentation and pricing.
2. Market strategy review with senior management to validate and evaluate going forward strategy.
3. Based on the strategy, concept design on the process and plant facilities with detailed capital expenditure requirements
to complete concept. Financially modelling completed the project to assess profitability of concept
Team Involvement
4. The involvement was at every stage of the process. Initial work involved a full market assessment and quantification to
determine the potential in the market and the current performance of the client company.
5. From there, the team developed a full 5 year strategic plan with clearly expressed Vision and Goal and identification of
the main strategic pillars to growth.
6. Following the strategic phases, the team completed a full operation review including concept design around the new
production facility required to deliver the strategic plan.
7. The process concluded with a detailed 5 year strategic roadmap and quantified financial model.
8. The client was given a clear strategic direction and able to make a ‘go/no go’ decision over investment in a new factory
and production facilities, underpinned with clear and specific volume and financial goals.
9. A thorough understanding of the dairy landscape including potential opportunities and barriers and threats that may be
detrimental to the business.
10. World-class expertise and knowledge on the global dairy sector in order to effectively evaluate and benchmark country
and company performance to global dairy leaders.
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STRATEGY
Client Situation
A large dairy business in South East Asia had been present in market for a number of years but needed a full feasibility and
Case Study - strategy process in order to determine how best to achieve growth over the subsequent 5 years in both existing and new
Strategy categories.
Team Involvement
1. Initial work involved a full market assessment and quantification to determine the potential in the market and the current
performance of the client company.
2. Developed a full 5 year strategic plan with clearly expressed Vision and Goal and identification of the main strategic
pillars to growth.
3. Completed a full operation review including concept design around the new production facility required to deliver the
strategic plan.
4. The process concluded with a detailed 5 year strategic roadmap and quantified financial model.
The client was given a clear strategic direction and able to make a ‘go/no go’ decision over investment in a new factory and
production facilities, underpinned with clear and specific volume and financial goals.
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STRATEGY
Client Situation
• Due to existing volatile market conditions and overall outlook, the Client’s Management perceived its market risk to be
Case Study - close to breaching its risk tolerance levels.
Strategy • In order to mitigate the increasing market risk levels, the Client decided to augment its product offering thereby growing
its position into a market leader within its industry.
• Considering the levels of complexities associated as well as the lack of experience in such areas, the Client approach
Protiviti to assist them in successfully achieving the desired results.
Team Involvement
• In order to best understand the Client’s challenges, Protiviti conducted various meetings with key stakeholders to ensure
the Project Objectives were clearly defined and expectations were agreed upfront.
• Accordingly, the Project Team developed and delivered a tailored-approach that involved the following activities:
− Performing in-depth research on both global as well as regional macro-economic and industry levels
− Identifying demand drivers for alternative industries taking into consideration key factors such as market size and
customer preferences
− Preparing a product plan that includes various proposed offerings as well as pricing strategies and associated costing
assumptions.
− Developing various operating plan options that allows the Client to assess the most viable business plans for the mid-
to-long term while factoring organizational structure, staffing requirements, and compensation
• Our work permitted the client to mitigate the growing market risk by developing a new suite of service offerings that are
high-value-for-money and generate high margins.
• Further, we assisted the client in identifying and establishing a robust, comprehensive and competitive business model
with clear key strategic objectives and targets whereby the Client was effectively able to measure and monitor
performance and identify pain points.
• The overall outcome of the project demonstrated potential growth of up to 3x its existing revenue over the next five years
and solidifying the Client’s position as a market leader.
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STRATEGY
Client Situation
• With the introduction of new regulations by the COMPANY, the Client perceived a new opportunity in the market.
Case Study -
Strategy • The Client was interested in penetrating a new line of business, as they recognized its untapped potential and growth
opportunity for them.
• Considering the high stakes, Protiviti was appointed to assess the project concept and financial feasibility and develop a
high-level strategy to achieve the Client’s project objectives.
Team Involvement
• Protiviti commenced the project by developing an understanding of the new regulation which included the change of
many business processes such as product categories, display standards, storage standards, proposed locations, floor
space, layout standards, facility design, systems and building standards, pricing, and computerized stands. The
understanding included:
• Collecting data to understand the demand drivers for the proposed project.
• Surveying a representative sample of existing entities within similar business environments to understand best current
business practices in order to identify opportunities for take over and design the project business model .
• Developing the business model and operating plan which comprised of branding strategy, market positioning /
penetration , product portfolio, service differentiation, company structure, organization structure and growth strategy,
and operating plan.
• Projecting a 10 year feasibility report to assess total project cost and investor returns.
• Developing a high-level strategy to achieve the client`s objectives.
• Our work provided the Client with competitive market entry strategy, branding strategy, and service differentiators .
• Moreover, the Client was able to utilize Protiviti’s work to determine the most efficient market entry methods and the best
practices in order to solidify its market presence.
• The Client was provided with a detailed financial plan to obtain project funding, providing them with a clear path.
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STRATEGY
Client Situation
• The client was interested in developing a comprehensive business plan to set up a 3,000 sq. meters reception and
Case Study - convention center in Country.
Strategy
• The Client needed expertise in market research, as well as strategic planning to develop a sustainable working model.
Team Involvement
• Protiviti conducted a 3 day Vision Workshop with the leadership and senior management of the client (27 participants) to
understand envisioned concept for the reception and convention center.
• We conducted detailed primary research (sample size – 500 society + 30 competitors PAPI) on the Country markets to
assess market size for weddings and corporate events, customer needs and preferences to identify target customers
and competitive positioning.
• We then developed the product plan detailing the various proposed offerings and pricing strategy based on market
findings and several costing assumptions.
• Organization structure, staffing requirements and compensation was analyzed for each of the four operating plan
options.
• We then developed a comprehensive business plan with SMART objectives and corporate Key Performance Indicators
based on balanced scorecard approach to enable effective corporate performance measurement and monitoring.
• Due to our results, the Client was able to identify how to achieve a competitive position in the market
• Moreover, our tailored results aided the client in developing customized marketing and pricing strategies.
• In addition, the Client was provided with a detailed plan for grand opening.
• Protiviti provided the Client with various operating plan options for the next five years through development of dynamic
financial models, marketing strategies, and a media plan.
• Clear objectives and goals, and easy performance monitoring tools provided by Protiviti’s work, enabled the Client to
effectively implement our recommendations.
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STRATEGY
Client Situation
• The client was affected by the global financial meltdown with an investment of xxx locked up in various asset classes.
Case Study -
Strategy • The Client was contemplating foraying into the wealth management services and wanted to ascertain project viability.
• The Client’s objective was to initially add a vision to the organization and define a strategy that helps the company
weather the current crisis and grow as the economy improves.
Team Involvement
 Comprehensive market research was conducted on the prevailing asset classes in the country and the opportunities
for wealth management in country.
 We outlined strategy direction and developed an implementation roadmap for five years, highlighting resources
required and financial impact of the new strategic plan.
 Moreover, we also developed a comprehensive business plan for the wealth management venture with financial
projections which was later reshaped into a Private Placement Memorandum for fund raising.
 In addition, we identified suitable platform to structure new vehicle for wealth management services overseas,
sourcing of strategic partners for planned wealth management joint venture.
 Protiviti also assisted the client through the implementation process - training and recruiting staff as needed per the
new strategic plan, defining and documenting process flows within various departments, identified suitable platform to
structure new vehicle for wealth management services overseas, and sourcing strategic partners for planned wealth
management joint venture.
 Our work provided the Client with a robust strategic plan to follow through on.
 The Client was able to carefully compare it alternatives and most effectively pursue the one that appealed to them
using our work.
 We provided the Client with support and guidance throughout the implementation process.
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STRATEGY
Client Situation
• The client had identified an opportunity to establish a new assets management and private equity firm for High Net
Case Study - Worth Individuals and select institutions.
Strategy
• To bring in the investors the client wanted to develop an Investors’ Presentation detailing their business model and
strategy.
• At the same time, the client needed a Regulatory Business Plan in accordance with the DIFC requirement to be
submitted to DFSA to obtain an operating license from the institution.
Team Involvement
 Protiviti conducted comprehensive secondary research by collecting data from its existing sources and published
report on the state of private equity and assets management industry as a whole and specifically for alternative
investments.
 Protiviti developed the business strategy and Business Model for the client in line with the outcomes of the market
analysis.
 A Regulatory Business Plan was developed which included details of business activities, organization and corporate
structure, management structure, governance framework and financial projections..
 Through market assessment the Client was able to present value in the proposed business to potential investors and
devise a strategy to mitigate risk and profit from available opportunities in the target service area and region.
 The Regulatory Business Plan helped the client in obtaining the required approvals/license to operate in the DIFC
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STRATEGY
Client Situation
• With green practices becoming an ever more relevant part of operations as a strong Corporate Social Responsibility (CSR) element,
our Client sought to introduce a new environmental-friendly waste management system into the country market
Team Involvement
Case Study -  Protiviti conducted a feasibility study in order to ensure the alignment of such a practice with the business model and the strategic
Strategy goals of the Client for the purpose of assessing the viability of this business proposition and preparing a financial feasibility
report .
 Our work permitted the client to best align the new up-taking with their current practices and with their overall business strategy.
 The Client was provided with a clear plan as to the financial implications of this venture.
Client Situation
 The Client had a plot of land that was licensed for mixed use, and wanted to utilize it in a way in which they would be able to
maximize their return on investment (ROI) while providing the best value to their society as well.
Team Involvement
 Protiviti was engaged to confirm viability of preliminary project concept, where land is licensed for mixed use
 In addition, to determine optimal development combination of residential, commercial and hospitality space based on the demand
Case Study - for such property
Strategy
 Moreover, to assess financial feasibility of the project and develop Private Placement Memorandum for the project. .
 Protiviti’s addition to the project resulted in optimal use of the investment from a legal as well as a financial perspective.
 Our work aided the client in order to pursue the most cost-effective financing options for the project.
Client Situation
 As a leader of its industry, the Client desired to gain a deeper understanding of its market and its economic factors.
 Moreover, the Client also wished to solidify its market position, and expand its portfolio within the same industry.
Team Involvement
Case Study -  In order to best serve the Client specific needs, Protiviti conducted a thorough process understanding of the Client industry and
Strategy products.
 Within the process, performing extensive research about both the local as well as the global markets of the Client industry allowed
Protiviti a very deep understanding of the key economic factors driving the Client’s market.
 Our work provided the Client with an understanding of its consumer base and its product range demand drivers.
 Moreover, Protiviti’s work enabled the client to efficiently expand its product range to maximize market penetration and revenue.
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Client Strategy Review and Detailed Business Client Business Strategy, Restructured Real
Strategy Estate Portfolio, Business Model, Private
Placement Memorandum
Client Market Entry Strategy for newly setup
HD OB business in Middle East &
Europe Client Business Strategy, Product development
Efficiency review and strategic plan, Marketing strategy and Media Plan,
recommendations Financial and Business Plan
Client Performance Management System

Design & Balance Scorecard Client GCC joint projects – market intelligence
Implementation and strategic recommendations to the
GCC secretariat
Client Business Strategy

Client Retail Business Strategy
Feasibility Study
Client Development of Long Term and Short
Term Strategic Objectives
Critical Success Matrix
Client Business Strategy, Financial Model and
Client Investment Strategy and Portfolio Private Placement Memorandum
Restructuring
Client Business Strategy and Feasibility Study

Client Business Strategy, Plan and Business
Model for a new logistics city in Malaysia
Client Business Strategy and Feasibility Studies Client Corporate Strategy Review and
for Insurance Company and Exchange Implementation Plan
Houses in country Strategy review for Financial Projections
insurance company. Rating Assessment Readiness
© 2016 Protiviti
SELECT CASE STUDIES
ORGANIZATION & PEOPLE INITIATIVES
• Review Organization Structure; Design HR Strategy, HR Roadmap, Milestones, Goals, Objectives for 3 years and HR Organization Structure;
• Build HR Policies, Process & Procedure; Conduct Manpower Planning and Optimization exercise for all the functions within client
• Conduct Job Evaluation for each position to design grading structure; Design Organization-wide pay philosophy, deliver Compensation & Benefit
(C&B) benchmarking report and C&B Structuring report;
• Design Incentive scheme option report, framework to define, comprehensive policies, guidelines, tools and templates for each scheme, employee
HR communication tools and training workshops
Transformation • Design Competency Framework, Career Development Framework, Career Paths/ Ladders/Maps across the identified job families; Develop Training
and Development framework , Succession Planning Framework and Performance Management System; Design and develop an implementation plan i
• Developed functional structure and positional structure with charts, identifying four levels of Management in client’s organization structure
• Developed Job Descriptions for the approved Organization Structure (150 key positions)
• Cascaded departmental KPIs to individual positions and clarified all doubts. Developed Performance Appraisal policy, process, timeline and cycle and
Organization required forms, templates and manuals. Defined rating scale and established linkages to promotions, increments, incentives & employee development
Development • Developed HR department policies in line with Kuwaiti Labor Law, market/leading practices, current business environment
• Developed compensation and benefit structure in line with market practices and Protiviti’s internal database
• Design organization structure (functional and positional) for the holding and the subsidiary companies of client
• Develop job descriptions for all unique positions and conduct job evaluation. Create job bands and grades
• Develop HR Policies, process maps, employee handbook and delegation of authority (DoA)
• Develop incentive schemes (Short term and long term)
HR • Develop performance appraisal process and its linkage with reward system
Transformation
• Develop competency framework, dictionary, matrix, and profiles for all unique positions in client
• Competency framework included behavioral and technical competencies with definitions and proficiency levels
• Identified senior Management employees for assessment center based on selection criterion designed by Protiviti
• Designed assessment center tools for testing technical and behavioral competencies
• Smoothly conducted assessment centers for 5 days covering 200 employees

Employee
Assessments • Prepared feedback report and sent to employees and conducted face to face coaching sessions
• Developed IDPs for senior Management employees not exceeding 200
• Conducted facilitated sessions to train HR on maintenance of competencies, preparing IDPs and training junior level staff
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SELECT CASE STUDIES
• Develop Positional Organization Structure & Job Descriptions to match structural requirements and functional roles and responsibilities
• Develop Grading Structure for client and identified companies
• Identify levels and associated jobs to carry out salary and benefits market benchmarking
• Develop HR Policies and Procedures based on structural imperatives
• Identify client’s desired pay philosophy against the market’s cash and allowance ranges and benefits.
Human Capital
Advisory • Create detailed a compensation and benefits structuring report to include desired pay ranges and associated benefits for positions included in the
benchmarking study as per client’s identified pay philosophy
• Assess and analyze the HR systems and processes across client

• Identify the risks or gaps or concern areas across the HR systems and processes
• Highlight the same to the senior leadership to ensure HR systems and processes are aligned with the business needs
HR Processes
Diagnostic
Review • Conduct current state assessment and business plan understanding for client
• Review operating model of the hospital; Identify entity relationships in the operating model; Define roles and responsibilities of the entities.
• Conduct Job Analysis and create job descriptions; Benchmark operating model with leading practices and based on business requirements
• Evaluate pain points of the current structure; Identify functional redundancy and functional role overlaps; Define the functional structure with options
• Identify the positional structure based on leading practices & finalized functional structure; Discuss “to-be” structure with project steering committee
• Conduct work load analysis exercise for the finance department; Benchmark manpower requirements for the finance department based on the mega
Organization processes requirements; Identify employees who can be relocated to other departments from the finance department
Development
• Streamline the client matrices to improve efficiencies, enhance controls for the various activities across company functions and redevelop client
matrices consistent with current and anticipated future business model:
• Review the existing client matrices and manual of various functions at company;
• Interview stakeholders to understand the current practices, activities and sub-activities within the respective functions;
• Identify gaps/overlapping and redundant activities and streamline client matrices;
• Propose revisions and enhancements to the client matrices;
Delegation of • Develop detailed client matrices for various activities clearly highlighting the preparer, reviewer / endorser and approver for each activity;
Authority • Present revised client Matrices to Management for approval and make amendment, if necessary.
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SELECT CASE STUDIES
• Develop competency framework, dictionary, matrix, and profiles for unique positions in client not exceeding 450 positions
• Competency framework includes behavioral and technical competencies with definitions and proficiency levels
• Develop career development process, Policies and Procedures. Identify career progression criteria’s and develop career paths/ ladders for all job families in
client; and define career development process, policy and procedures;
• Develop guidelines for coaching and mentoring employees; establish career development linkages with performance Management;
Career • Knowledge transfer: conduct ‘Coach the Coach’ sessions to clientl’s career development team and develop 2,600 Individual Development Plans (IDPs) for
Development all employees
• Collaborating with PARTNER to provide consulting services to Client.

• Undertook Current State Assessment, business strategy, corporate governance, operating model, organization structure, JDs, grading, compensation &
benefits, performance management, employee assessments, employee development plans, delegation of authority.
HR • Employee Assessments included: developing behavioral competencies required and proficiency levels, conducting an assessment center for supervisor level
Transformation and above, providing feedback and individual development reports.
Project
• Competency Model Design and Validation for client

• Assessment framework and detailed assessment process
• Career Development Framework and Process
• Training Needs Identification
Talent
• Integrating the Talent Management framework with the current HR system
Management
• Develop competency framework, dictionary, matrix, and profiles for all unique and develop job descriptions for all positions in the Finance Department.
• Competency framework included behavioral and technical competencies with definitions and proficiency levels
• Designed assessment center tools for testing technical and behavioral competencies
• Smoothly conducted assessment centers for 5 days covering 200 employees
• Prepared feedback report and sent to employees and conducted face to face coaching sessions
Skills
Assessment • Developed IDPs for senior Management and conducted facilitated sessions to train HR on maintenance of competencies, preparing IDPs and training
Skills junior level staff.
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SELECT CASE STUDIES
• Worked with Client’s HR team to develop HR policies, processes and procedures

• Benchmarked HR policies with leading practices in country and country labor law. Developed current gaps and recommendations. Identified and
finalized the contents of the HR policies
• Defined processes and procedures based on the finalized policies
• Defined process to maintain, update and review HR policies periodically
HR Policies and • Based on the finalized policies developed employee handbook
Procedure • Conducted knowledge transfer workshops with the HR team
• Review Current Organization Structure at client

• Conduct Job Evaluation and Grading and develop Job Descriptions
• Develop HR Policies, Procedures and Process Flows and an Authority Matrix
• Develop a Compensation and Benefits Structure by conducting a benchmark study across the region
HR
• Develop an annual performance bonus scheme linked to a newly developed performance management system.
Transformation
• Conduct a manpower benchmarking exercise for all departments and sections covering each strategic business unit. Created job descriptions for
identified roles
• Identify comparators for core & non core positions with similar hospitals/ sport academies/ schools/ organizations in the region and internationally
• Provide best practice in terms of manpower ratio (standard/ recommend ratio world wide).
HR • Give recommendations and summary of the manpower benchmarking results for each strategic business unit (SBU) and for client as a whole
Transformation • Benchmarking report for each strategic business unit & an overall report
• Understand the current job roles, create specific job descriptions at client and evaluate job
• Present the different design options for an effective ESOP
• Define clear policies and guidelines for the implementation of ESOP and propose an effective roadmap to implement the above ESOP
• Design a framework to define, analyse and test the payouts of the plan at varying organization performance levels
• Design effective tools for employee communication
Job Evaluation & • Educate / Train the custodians of the defined ESOP and recommend solutions for the long term administration of the same
Stock Options
• Review and validate the legal considerations of implementing the proposed plan
• Provide support for effective Implementation of the plan and monitor the administration of the same against critical design elements.
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BUSINESS PROCESS RE-ENGINEERING
client
• Finance & Accounting Policy and Procedures
client
• Support and Operational Policies and Procedures
client
• Policies and Procedures for all centralized functions –
Administration, Procurement, Finance, Internal Audit, Marketing and IT
• HR Policy & Procedures

client
• Finance & Accounting Policy & Procedures
• Procurement Policy & Procedures including Contracts and Vendor Management
• Review and update of Policies and Procedures for Commercial Division
client • Review of Policies and Procedures for Procurement and Vendor Management
client
• Policies and Procedures for Liquidity and Cash Management
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BUSINESS PROCESS RE-ENGINEERING
client
• Procurement Policies and Procedures
client
 Code of Corporate Governance, Fraud and Whistleblower Policies, Code of Ethics and Business Conduct
 Risk Management Policy
client
• Policies and Procedures for Procurement including Vendor Management, Contracts and Administration, including
Warehouse
client
• Policies and Procedures for Sales, Procurement, Event Management, Contract and Vendor Management
client
 Sales Policies and Procedures
 Anti Money Laundering Policies and Procedures
client
 Policies and Procedures for the Retail Loan Departments (Home Loans, Auto Loans and Personal Loans)
 Policies and Procedures for Collections Department
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SELECT CASE STUDIES
IT STRATEGY INITIATIVES
• Conducted IT Diagnostic Review of People, Process, Technology (Infrastructure and Application).

• Developed Job description for 20 IT Job roles in client.
• Developed IT Governance Policies based on COBIT 5 Principles.
• Developed IT Strategy Master plan for 5 years in alignment with Business Strategy.
IT Strategy
Master Plan • Developed KPIs for the Performance Management of IT Department.
Development
• Conducted Current State Assessment of People, Process, Technology (Infrastructure and Application).
• Developed Application Architecture for SAP Application and provided the roadmap.
• Developed IT Strategy Master plan for 5 years in alignment with Business Strategy.
• Developed KPIs for the Performance Management of IT Department.
IT Strategy Plan
Development
• Develop the Organisation Restructuring and provided the Job Description for IT Personnel's.
• Developed SMART City Strategy based on the benchmarking comparing with other regions.
• Developed IT Strategy for 5 years in alignment with Business Strategy.
• Developed the Enterprise Architecture for client.
IT Strategy & • Developed the Implementation Roadmap and action plan for each areas in IT including Data Center unification.
Roadmap
• Developed KPIs for the Performance Management of IT Department.
• Developed the Enterprise Architecture and provided the roadmap.
• Developed IT Strategy and roadmap for 5 years in alignment with Business Strategy.
IT Enterprise
Architecture and IT • Developed KPIs for the Performance Management of IT Department.
Strategy
Development
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SELECT CASE STUDIES
IT STRATEGY AND IT POLICIES AND PROCEDURE DEVELOPMENT
INITIATIVES
• Developed Job description for IT Job roles in client.
• Developed IT Policies and Procedures based on ITIL V3 Framework and Security Policies based on ISMS Standard.
IT Strategy & IT
Policies and • Developed IT Strategy and Roadmap for 5 years in alignment with Business Strategy.
Procedure • Developed KPIs for the Performance Management of IT Department.
Development
• Conducted Current State Assessment of Process and provided Maturity ratings.

• Developed IT Policies and Procedures based on ITIL V3 Framework and ISO 20000 Standard.
• Developed Implementation Road for the IT Processes.
ISO 20000
Development & • Implemented ManageEngine Service Desk Plus based on the IT Processes developed.
Implementation • Conducted Awareness to the IT Team and End Users.
• Developed KPIs for the Performance Management for the IT Processes.
• Conducted Current State Assessment of Process and provided Maturity ratings based on COBIT 4.1 principles.
• Developed IT Policies and Procedures based on COBIT 4.
• Developed Technology Enablement for the IT Processes.
• Conducted Awareness to the IT Team and End Users.
IT Policies and • Developed KPIs for the Performance Management for the IT Processes.
Procedure
• Conducted Current State Assessment of Process and provided Maturity ratings based on ISO 20000 Standard.
• Developed IT Policies and Procedures based on ISO 20000 Standard.
• Implemented BMC Remedy Tool aligning the standard requirements.
• Developed Implementation roadmap for the IT Processes.
ISO 20000 • Conducted Awareness to the IT Team.
Development &
Implementation • Developed KPIs for the Performance Management for the IT Processes.
© 2016 Protiviti
181
PROJECT TEAM
STRUCTURE AND CVS
PROJECT TEAM & STRUCTURE
CLIENT RELATIONSHIOP
Company A’S MANAGING DIRECTOR
LEADERSHIP Protiviti
& PROJECT xxx
TEAM
SUBJECT MATTER QUALITY ASSURANCE &

Overall EXPERT & PROJECT MANAGING DIRECTOR
responsibility for DIRECTOR
managing the Protiviti
Protiviti
engagement
PROJECT LEADS
Protiviti Responsibility for
smooth execution
of the engagement
POOL OF CONSULTANTS
Protiviti
Note: Actual deployment of project members depends on the time of award of the project with Company A
© 2016 Protiviti
183
ABOUT PROTIVITI
© 2016 Protiviti
WHO WE ARE
Protiviti (www.protiviti.com) is a global consulting
firm that helps companies solve problems in
finance, technology, operations, governance, risk Our revenue*:
and internal audit. Through our network of more
than 70 offices in over 20 countries, we have served
$743 million
more than 60 percent of FORTUNE 1000® and 35
in 2015
percent of FORTUNE Global 500® companies. We
also work with smaller, growing companies,
including those looking to go public, as well as with
government agencies.
Over 20 countries
Protiviti is a wholly owned subsidiary of Robert Half
(NYSE: RHI). Founded in 1948, Robert Half is in the Americas, Europe,
a member of the S&P 500 index. the Middle East and
Asia-Pacific
70+
offices
3,500
professionals
*Inclusive of Protiviti’s Member Firm network, revenue for the year ending 2015 was $797M
© 2016 Protiviti
185
GLOBAL PRESENCE
THE AMERICAS EUROPE/MIDDLE EAST/AFRICA ASIA-PACIFIC
1 UNITED STATES 9 FRANCE 21 AUSTRALIA

Alexandria, VA Paris Brisbane
Atlanta, GA Canberra
Baltimore, MD 10 GERMANY Melbourne
Boston, MA Frankfurt Sydney
Charlotte, NC Munich
Chicago, IL 22 CHINA
11 ITALY Beijing
Cincinnati, OH
Milan Hong Kong
Cleveland, OH
Rome Shanghai
Dallas, TX
Turin Shenzhen
Denver, CO
Ft. Lauderdale, FL
Houston, TX 13
12
Kansas City, KS
Los Angeles, CA 4 10
Milwaukee, WI 9
Minneapolis, MN 11
New York, NY
12 THE NETHERLANDS 24
Orlando, FL 1 Amsterdam 23 INDIA
Philadelphia, PA 22
15 14 Bangaluru
Phoenix, AZ 13 UNITED Hyderabad
KINGDOM 17
Pittsburgh, PA 18 Kolkata
London 19
Portland, OR 6 16 23 Mumbai
Richmond, VA New Delhi
14 BAHRAIN*
Sacramento, CA
Manama
Salt Lake City, UT
San Francisco, CA 15 KUWAIT* 24 JAPAN
San Jose, CA 8 Kuwait Osaka
25 Tokyo
Seattle, WA
Stamford, CT
25 SINGAPORE
St. Louis, MO
Singapore
Tampa, FL
Washington, D.C. 7 3
Winchester, VA
Woodbridge, NJ 16 OMAN*
Muscat
2 ARGENTINA*
Buenos Aires 17 QATAR* 21
20
Doha
3 BRAZIL*
Rio de Janeiro 2 18 UNITED ARAB EMIRATE*
5
São Paulo Abu Dhabi
Dubai
** Protiviti
4 Member
CANADAFirm
Kitchener-Waterloo 19 SAUDI ARABIA
Toronto Riyadh
20 SOUTH AFRICA
Johannesburg
© 2016 Protiviti
186
PROMISE TO OUR CLIENTS
We want you to succeed.

Our organization commits to delivering the following promises in every
interaction and on every engagement we have with you.
PROVIDE
LISTEN to You the Right Talent
DELIVER COLLABORATE and

Value with Excellence BUILD Relationships
Openly SHARE Leading Practices
© 2016 Protiviti
187
PROTIVITI RANKS HIGH IN CLIENT
SATISFACTION
OUR CLIENT VALUE MANAGEMENT PROCESS
Protiviti has a systematic, global process

for measuring, monitoring and improving
our clients’ satisfaction. We invest time in 8.7 100%
understanding and improving our level of Overall Score of our clients said
service and ensuring we are delivering out of 10 they would “Retain
upon our promise of “Powerful Insights, Protiviti for Future
Proven Delivery.” Projects”
WHAT WE’VE HEARD FROM OUR CLIENTS:

Protiviti was able to supply valuable resources to assist our team when we needed them most
so the impact on our operations was significant.
-----------------------------------------------------------------------------------------------------------
-
We cannot say enough good things about your work and the impact on our business. In terms
of measurable results, shrink was an industry best practice level when we started and it has
declined to an even lower level since you began.
-----------------------------------------------------------------------------------------------------------
-
We appreciate: Quality of people and work. Service mind set. Flexibility in your approach and
work schedule. Work with a sense of urgency. Also Protiviti’s depth of knowledge with control
environment; appropriate perspective on control, how you see the big picture.
© 2016 Protiviti
188
INDUSTRY KNOWLEDGE AND EXPERTISE
Protiviti’s knowledgeable professionals have TECHNOLOGY, MEDIA AND COMMUNICATIONS

decades of experience working with clients
in a broad array of industry sectors. Our team
is able to address even the most challenging
business issues. We have deep MANUFACTURING AND DISTRIBUTION
competency in the following industry
categories:
GOVERNMENT SERVICES FINANCIAL SERVICES
CONSUMER PRODUCTS
ENERGY AND UTILITIES AND SERVICES
HEALTHCARE AND LIFE SCIENCES
© 2016 Protiviti
189
PROTIVITI’S SOLUTION OFFERINGS AND
INDUSTRY KNOWLEDGE AND EXPERTISE
Proven value-added solutions Deep competency in the following industries
BUSINESS PERFORMANCE
GOVERNMENT SERVICES
IMPROVEMENT
ENERGY AND UTILITIES
RISK AND COMPLIANCE
CONSUMER PRODUCTS
AND SERVICES
INTERNAL AUDIT AND

FINANCIAL ADVISORY FINANCIAL SERVICES
MANUFACTURING AND DISTRIBUTION

INFORMATION
TECHNOLOGY CONSULTING
TECHNOLOGY, MEDIA AND COMMUNICATIONS
DATA AND ANALYTICS HEALTHCARE AND LIFE SCIENCES
© 2016 Protiviti
190
THE PROTIVITI ADVANTAGE
BOUTIQUE
PROTIVITI BIG FOUR FIRMS
Recognized in the marketplace  

Global presence  
Methodologies and tools  
Experienced professionals  
Depth of risk consulting services  
Financial and management stability  
Lack of SEC restrictions  
Responsive client service  
Focus on core technology risk, business risk,
and internal audit offerings  
Independent from attestation and tax services  
Better teaming with external auditors  
© 2016 Protiviti
191
RISK INTUITION
We help leaders make better decisions by

managing the risks they face today, as well FORESIGHT
as illuminating the risks and unforeseen • What risks are
consequences inherent in their strategies for embedded in our FUTURE
plans for growth
growth and opportunity in the future. or acquisitions?
• What risks inhibit our
ability to innovate and
perform?
PAST INSIGHT
How do we better
manage risks we have
faced in the past? OVERSIGHT
• How well are we
controlling known risks?
• Are we identify and
managing new
risks effectively? PRESENT
• Are we in
compliance?
© 2016 Protiviti
192
KNOWLEDGE TRANSFER FOR SUSTAINABLE VALUE
Our customized communication and training methodology will

support knowledge transfer of new initiatives deep and wide • Adoption of new
across your organization. processes
• Internal skill and
knowledge building
• Customized trainings • Behavioral shift and
ownership of change
• Change enablement
methodology
• On time, regular
communication
Protiviti
engagement
team works
collaboratively
… …to ensure
sustainable
knowledge
transfer to you
© 2016 Protiviti
193
RECOGNIZED FOR OUR GREAT PEOPLE
Ranked in Named a Named a “Best Place to Work”

Consulting Magazines 2015 “57TH Best Company in Tampa Bay, Philadelphia,
“Best Firms to Work For”. to Work For” Orlando, Denver, Houston,
by Fortune Los Angeles, Chicago,
(2016) Pittsburgh and New Jersey.
© 2016 Protiviti
194
RECOGNIZED FOR OUR GREAT WORK
Risky Bets Contenders Strong Performers Leaders
Strong
MetricStream
RSA Archer BWise
Mega
OpenPages
SAP
Thompson Reuters
ARC Logics
SAS Methodware
Current Enabion Compliance 360

offering
Protiviti
Weak
Weak Strategy Strong
Protiviti was named a Strong Protiviti has been positioned as Protiviti received a "Positive"
Performer in “The Forrester a "Challenger" by Gartner, Inc. rating by Gartner, Inc.
Wave: Governance, Risk, in the November 2012 in the September 2012
and Compliance Platforms” Magic Quadrant for Global Market Scope for Global
in Q1 2014 and Q4 2011.
Financial Management Enterprise Risk Management
Consulting Services. Consulting Services.
© 2016 Protiviti
195
RECOGNIZED AS A GREAT ORGANIZATION
100 BEST
Named in FORTUNE® Robert Half again appeared Recognized as one of

magazine's “Most Admired in the Newsweek list the “100 Best” companies
Companies” list. of the greenest big in the United States by
(1998-2013) companies in the U.S. DeMarche Associates, Inc.,
(2012) for achieving superior
performance within the
top 3 percent of all major
U.S. corporations.
(2009)
© 2016 Protiviti
196
OUR PARENT COMPANY
Protiviti is a wholly owned subsidiary of Robert Half, In 2014, Robert Half again
a $3.78 billion public firm listed on the New York was named in FORTUNE®
Stock Exchange (NYSE symbol: RHI). magazine's "World's Most
Admired Companies" list,
ranking #1
in the staffing industry
(March 19, 2014)
© 2016 Protiviti
197
OUR SOLUTIONS METHODOLOGY
The ‘Protiviti Key’ represents our overarching Solutions

Methodology that we apply to every engagement we execute in
order to ‘unlock value’ for our clients.
VISUALIZE, DELIVER and VALIDATE VALUE
THROUGH VALUE
BUILD LOYALTY
DELIVERED
UNDERSTAND SCOPE ANALYZE
RECOMMEND
IMPLEMENT SUSTAIN
and DESIGN
BUSINESS
CONTEXT
MANAGE PROJECT PLAN
DELIVER EXCEPTIONAL MEMORIES
© 2016 Protiviti
198
RECOGNIZED AS A THOUGHT LEADER
Protiviti has contributed to multiple publications, including:
CRO Series: 2015 Finance

Effective Priorities Survey 2015 IT Priorities
Positioning of – Survey –
the Risk The Rising Tide Cyberthreats
Management of Finance Lurk Amid Major
Organization Challenges Transformation
Board
Perspectives: U.S. Guide to
2015 Internal Risk Oversight Anti-Money
Audit Capabilities Shaping the Laundering
and Needs 2015 Oversight Requirements,
Survey Agenda 6th Edition
© 2016 Protiviti
199
KNOWLEDGELEADER®
KnowledgeLeader® is a subscription website that is a one-stop-shop for internal audit and risk
management templates and information. The resources are updated weekly and include hundreds of
tools, samples and templates.
Resources available on KnowledgeLeader

include:
• Audit programs
• Audit reports
• Risk and control matrices (RCMs)
• Checklists and questionnaires
• Policies and procedures
• Benchmarking tools
• and more
30-day free trials are available. Subscription discounts are given to Protiviti clients.
WHAT CUSTOMERS HAVE TO SAY ABOUT KNOWLEDGELEADER®:
As an individual interested in the broad areas of risk and control, I find KnowledgeLeader to be the one site
that I always look at - without fail - when a new issue comes out. The articles and research are both
insightful and helpful. There are many imitators, but in my view, this is one of the very best sites addressing
these important issues, as well as internal audit, on a regular basis.
– Larry Rittenberg, COSO Chairman and Ernst & Young Professor of Accounting – University of Wisconsin-Madison
© 2016 Protiviti
200
KLPLUS®
Klplus® is the combined offering of KnowledgeLeader's standard subscription service plus
online CPE Courses.
Topics covered with KLplus include:

• Internal Audit
• Sarbanes-Oxley Act
• Cost Accounting
• Enterprise Risk Management
• Business Continuity
• Security
• Internal Controls
© 2016 Protiviti
201
OUR IN-HOUSE KNOWLEDGE CENTER
The Protiviti Knowledge and Innovation Center (PKIC),

based in India, was launched in August 2009
to support Protiviti in providing world-class
service to our clients.
The PKIC supports client/
engagement teams with
A healthy mix of a variety of knowledge tools
graduates, post- and resources including:
graduates and MBAs • Gartner • Avention
from leading • Lexis-Nexis • IBIS World
colleges and
KNOWLEDG
• Benchmarking databases such
institutes. E
as American Productivity &
and Quality Centre (APQC) & GAIN
INNOVATION • Adobe Captivate, InDesign
and Illustrator
CENTER
The PKIC offers services such as industry specific risk profiles, trends analysis, benchmarking and best practice
identification as well as topic specific research. The PKIC also actively supports internal training initiatives by
working with practice leads to develop customized training modules on hot topics and developments.
© 2016 Protiviti
202
ABOUT PARTNER
© 2016 Protiviti
INTRODUCTION TO PARTNER
SUMMARY OF SERVICES
© 2016 Protiviti
204
SPECIALIST EXPERTISE
© 2016 Protiviti
205
WHERE CAN WE HELP YOU ?
© 2016 Protiviti
206
KEY AREAS OF ACTIVITY
© 2016 Protiviti
207
Confidentiality Statement and Restriction for Use: "This proposal contains confidential material proprietary to Protiviti Inc. ("Protiviti"), a wholly owned subsidiary of Robert Half ("RHI"). RHI is a
publicly-traded company and as such, the materials, information, ideas, and concepts contained herein are non-public, should be used solely and exclusively to evaluate the capabilities of Protiviti to
provide assistance to the Client, and should not be used in any inappropriate manner or in violation of applicable securities laws. The contents of this proposal are intended for the use of the Client
and may not be distributed to third parties. This proposal does not constitute an agreement between Protiviti and the Client. Any services Protiviti may provide to the Client will be governed by the
terms of a separate written agreement signed by both Protiviti and Client. This proposal is based solely on information provided to us by the Client, which we have not verified. Accordingly, we are not
responsible for any inaccuracies in that information. Furthermore, changes in the Client's definition of requirements will necessarily affect the proposal set forth herein."

M - CPS - HCC - 0516 - Functional Proposal - Strategy and Organization Restructure

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M - CPS - HCC - 0516 - Functional Proposal - Strategy and Organization Restructure

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FUNCTIONAL

PROPOSAL FOR STRATEGY AND

• EXECUTIVE SUMMARY & OUR UNDERSTANDING 4

• DETAILED APPROACH & DELIVERABLES 19

• PROJECT TIMELINE 165

• RELEVANT EXPERIENCE 170

• PROJECT TEAM STRUCTURE AND CVS 192

• ABOUT PROTIVITI 221

• ABOUT PARTNER 240

1.2 INITIATIVE SUCCESS FACTORS 1.4 ROBUST AND COMPREHENSIVE APPROACH

GCC Dairy market report snapshot

UAE Packaged milk market snapshot

Protiviti would like to partner with Company A in this transformation journey .

1. Business Strategy 2. Organization and People 3A Business Process

2.1 Organization Structure Design

1.3.Design Target Operating

• Business Direction Report

• Current State Assessment

• “To-Be” Documents • Definition of 5 Years Portfolio

1 • Corporate KPIs 2 • Manpower planning

1. Business Strategy 2. Organization and People 3A Business Process

2.1 Organization Structure Design

1.3.Design Target Operating

• Business Direction Report

• Current State Assessment

• “To-Be” Documents • Definition of 5 Years Portfolio

1 • Corporate KPIs 2 • Manpower planning

2.1 Organization Structure

• Mission and Vision • Organization Structure • Business Direction Report

• Target Operating Model • Behavioral - Technical • Risk Assessment

1.1 Understand Company A’s

• Profitable Management of Assets

• State of the Art Operational strategies

1.1 Understand Company A’s

o Workflow processes o Capabilities

o Key Policies and Procedures o Strategic alliances and customers

• Mission and Vision o Corporate Governance and Controls o Technology landscape

Phase 1 For the purpose of Benchmarking, we will

1.1 Understand Company A’s • Similarity of Mission and Vision with

We will study various comparable entities in

and drinks entities, that shall provide us with data

realistic improvement targets.

1.1 Understand Company A’s Full

The practices studied will include pioneering,

leading and key mature practices and specifically

1.4 Develop strategy execution

road map  Lufthansa

compare Company A’s current strategy

proposition, strategic framework, attractiveness,

other key decision factors with International food

• Mission and Vision

• Organizational Assessment and drinks companies. GE Engine

• Mission and Vision

1.1 Understand Company A’s

1.1 Understand Company A’s Build Get to know Having

Volume share 2014 1

• Mission and Vision

• Mission and Vision

Grouping Grouping Grouping Grouping Grouping

• Mission and Vision

Information: Organization & Talent:

Processes: Governance and Controls:

The Strategic Execution Roadmap Plan will