Government Functional Standard - GovS 002: Project delivery portfolio, programme and project management - GOV.UK
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Government Functional Standard GovS 002: Project delivery portfolio, programme and project management Version: 2.0 Date issued: 15 July 2021 Approved
Government Functional Standard This functional standard is part of a suite of management standards that promotes consistent and coherent ways of working across government, and provides a stable basis for assurance, risk management and capability improvement. The suite of standards, and associated guidance, can be found at GOV.UK government functional standards. Functional standards cross-refer to each other where needed, so can be confidently used together. They contain both mandatory and advisory elements, described in consistent language (see the table below). Term Intention shall denotes a requirement: a mandatory element. should denotes a recommendation: an advisory element. may denotes approval. might denotes a possibility. can denotes both capability and possibility. is/are denotes a description. The meaning of words is as defined in the Shorter Oxford English Dictionary, except where defined in the Glossary in Annex B. It is assumed that legal and regulatory requirements are always met. Version 2 of GovS 002 replaces version 1.2 and has the same purpose, scope and intent. The main changes relate to general enhancements derived from feedback, use and changes to other functional standards. Former clause 7 on supporting practices has been split into two separate sets of clauses covering planning and control, and solution delivery. © Crown copyright 2021 Produced by Infrastructure and Projects Authority You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit http://www.nationalarchives.gov.uk/doc/open-government-licence/ or email: psi@nationalarchives.gsi.gov.uk Where we have identified any third-party copyright material you will need to obtain permission from the copyright holders concerned. 2
Version: 2.0 – 15 July 2021 GovS 002: Project delivery
Contents
1. About this government functional standard 6
1.1 Purpose of this government standard 6
1.2 Scope of this standard 6
1.3 Government standards references 6
2. Principles 7
3. Context 8
3.1 Introduction 8
3.2 Portfolios, programmes, projects and other related work 8
3.3 Working with different delivery approaches 10
4. Governance 10
4.1 Governance and management framework 10
4.2 Assurance 11
4.3 Decision Making 12
4.4 Roles and accountabilities 13
5. Portfolio management 16
5.1 The purpose of portfolio management 16
5.2 Portfolio governance and management framework 16
5.3 Portfolio management practices 18
6. Programme and project management 20
6.1 The purpose of programme and project management 20
6.2 Programme and project governance and management framework 20
6.3 Life cycles 20
6.4 Programme and project management practices 23
7. Planning and control practices 27
7.1 Overview 27
7.2 Planning 27
7.3 Benefits management 28
7.4 Resource, capacity and capability management 29
7.5 Reporting 29
7.6 Risk and issue management 30
7.7 Change control 30
3Government Functional Standard
7.8 Traceability management 31
7.9 Information and data management 32
7.10 Finance 32
7.11 Procurement and contract management 33
7.12 Stakeholder engagement 33
7.13 Communications 33
8. Solution delivery practices 34
8.1 Overview 34
8.2 Quality management 34
8.3 User needs and requirements 34
8.4 Solution design 35
8.5 Solution development and integration 35
8.6 Verification against design and validation against need 35
8.7 Management of organisational and societal change 36
8.8 Learning from experience 36
8.9 Project delivery team induction and training 36
8.10 Health and safety 37
8.11 Environment and sustainability 37
A. References 38
B. Glossary 40
C. Example roles and accountabilities 45
D. The reference project life cycle 48
E. Examples of life cycles reflecting different needs 49
The extended life cycle 49
A project life cycle example, based on agile delivery 50
4Version: 2.0 – 15 July 2021 GovS 002: Project delivery
1 About this standard
Principles
2
3 Context: portfolios, programmes and projects
4 Governance (approvals, assurance and roles)
Organisation management
Governed
through a
5 Portfolio management business
plan
Programme management Governed
through a
business
case
6 Project management Other related work
Governed
through a
Work package management work plan
7 Planning and control practices
8 Solution delivery practices
Request direction, advice and decisions Provide direction, advice and decisions
Key to arrows: Report progress, escalate issues and risks Keep appraised of context and risk
n Numbers refer to the section in the standard which covers each topic
Figure 1 Structure and scope of this standard
5Government Functional Standard
1. About this 1.2 Scope of this standard
government This standard applies to portfolios,
programmes and projects undertaken within
functional standard or across government departments and
their arm’s length bodies:
1.1 Purpose of this government • ranging from those listed in the
Government Major Project Portfolio
standard (GMPP) through to those at local
The purpose of this government functional business level
standard is to set expectations for the • whether for digital, infrastructure,
direction and management of portfolios, transformation, service delivery, military
programmes and projects ensuring value for capability, property, regulatory
money and the successful and timely compliance or other purposes
delivery of government policy and business
objectives. • regardless of delivery methodology
or technique used
This standard provides direction and
guidance for: Other public sector organisations, devolved
or local, might find this standard useful.
• permanent secretaries, directors
general, chief executive officers of arm’s Note: an organisation, in the context of
length bodies and sponsoring bodies, government functional standards, is the
ensuring an environment exists which generic term used to describe a government
promotes delivery success and department, arm’s length body, or any other
integrates with their other activities entity that is identified as being within scope
of a functional standard.
• senior responsible owners, ensuring the
breadth of practices required for The structure of the standard is shown in
successful delivery are used Figure 1.
• owners of departmental methodologies, 1.3 Government standards
developing processes and techniques
which are consistent in scope across references
government The following standards are directly
• assurance and audit bodies, for testing necessary for the use of this standard:
best practice • GovS 003, Human resources
• portfolio, programme and project • GovS 005, Digital, data and technology
offices, managers, suppliers and their
• GovS 006, Finance
teams introducing the practices
• GovS 007, Security
• GovS 008, Commercial
• GovS 009, Internal audit
• GovS 010, Analysis
• GovS 011, Communication
6Version: 2.0 – 15 July 2021 GovS 002: Project delivery
A functional standard supports achievement
of the outcomes sought by an organisation.
2. Principles
It sets expectations for what needs to be Those engaged in project delivery shall
done and why relating to the functional work ensure:
within its scope, in order to achieve those
organisational outcomes. 1. delivery objectives are aligned to
government policy and organisational
Note: for expectations relating to objectives
management of a function across
2. continuing business justification to
government, and management of functional
confirm benefits can be realised and
standards, see GovS 001, Government
risks managed within the organisation’s
functions.
risk appetite, and that unjustified work is
terminated
3. governance and management
frameworks, and controls are
proportionate and appropriate to the
work and the level of prevailing risk
4. accountabilities and responsibilities are
defined, mutually consistent and
traceable across all levels of
management
5. experience and lessons are captured,
shared and used to promote future
performance improvement
6. work is appropriately defined, planned,
monitored and controlled, quality is
actively managed to maximise the
likelihood of success and defined
working methodologies are tailored for
use accordingly
7. outcomes and enabling outputs meet
the need and are validated by
stakeholders
8. work is undertaken in multidisciplinary
teams and is assigned to people who
have the required capability and capacity
9. the transition of capabilities to
operations is planned and programme
or project closure managed, with
ongoing operational responsibilities
agreed and accepted
10. public service codes of conduct and
ethics and those of associated
professions are upheld
7Government Functional Standard
3. Context 3.2 Portfolios, programmes,
projects and other related
3.1 Introduction work
This section provides essential background A portfolio comprises part or all of an
information for the use of this functional organisation’s investment required to
standard. achieve its objectives. Governed through
its portfolio (or business) plan, a portfolio
Portfolio, programme and project
comprises work components, such as
management is an integrated way of
other portfolios, programmes, projects and
meeting the government’s ambitions,
other related work.
driving better decisions and increasing the
likelihood of successful outcomes. A programme is a unique, temporary,
Collectively, portfolio, programme and flexible organisation created to co-ordinate,
project management are referred to in direct and oversee the implementation of a
government as project delivery. set of projects and other related work to
deliver outcomes and benefits related to a
set of strategic objectives. Programmes can
be undertaken in one or more tranches
(phases), each of which is structured around
distinct step changes in the solution
delivered and the resultant benefit realised.
Host organisation
Portfolio
Project Other related
Portfolio Programme
work
Project Other related
Programme Work package
work
stages
Work package Work package
Work package Work package
Figure 2 Example of a hierarchy of work components
8Version: 2.0 – 15 July 2021 GovS 002: Project delivery
A project is a unique, temporary Note: for example, stages can represent
management environment, undertaken in agile releases and work packages can
stages, created for the purpose of delivering represent sprints.
one or more business products or A work package is a set of information
outcomes. A project might be standalone relevant to the creation of one or more
within a portfolio or part of a programme. deliverables or outputs. It comprises a
Other related work, not managed as a description of the outputs required, work
programme or a project, might include: plan and details of any constraints.
• support services (see 4.4.9), solution Figure 2 shows the hierarchical relationship
architecture, finance and human between work components, with each
resources higher-level component comprising the sum
• ongoing improvement initiatives not run of all connected lower-level components.
as projects, but using a defined Work components may cross organisational
approach, such as agile delivered and departmental boundaries.
platform-based upgrades (see Annex E),
six sigma and LEAN Note: the use of the terms ‘project’ and
‘programme’ is not always indicative of the
• service delivery, business as usual formal definitions in this standard; however,
operations the distinction is important when designing a
Portfolio
Other related
Programme work
Other related
Project work
Agile approaches can be
used at different levels in
Work Work
the hierarchy depending
package package
on the context
Figure 3 Example showing where agile approaches can be used
9Government Functional Standard
programme or project governance and
management framework.
4. Governance
3.3 Working with different 4.1 Governance and
delivery approaches management framework
This project delivery standard defines a 4.1.1 Overview
number of practices needed for successful
outcomes. It defines the why and the what Governance comprises prioritising,
for each but does not define how work is authorising, directing, empowering and
to be undertaken. For example, ‘agile’ overseeing management, and assuring and
approaches are needed in many cases but reviewing performance.
could be used at any point in the project
4.1.2 Governance of project delivery
delivery hierarchy (see Figure 1 Structure
across government
and scope of this standardFigure 3).
A governance and management framework
Nor, in the case of a project, does the shall be defined and established at
standard define what the project life cycle government level to monitor project delivery
stages should be, only that they can be across government, which should include:
mapped to the reference life cycle.
The project might only include the delivery • mandatory policies, process, data and
of outputs when the project is part of a other requirements together with
programme, or could include an extended associated guidance
period of operation in other situations. • requirements for assurance, tracking
The delivery approaches and stages need and reporting on the government’s
to be defined to suit the outputs and major projects
outcomes delivered and the delivery
• the requirements and provision of expert
approaches taken. In a project where the
support and assurance
work is predominantly agile, the project
stages of discovery, alpha, beta, live and Note: the IPA Mandate [9] sets out a
retirement meet that requirement statement of the Infrastructure and Projects
(see GovS 005, Digital, data Authority’s role and the responsibilities of
and technology). Annex E includes some departments in regard to project delivery.
examples.
4.1.3 Governance of project delivery in
an organisation
The governance and management of project
delivery within an organisation should be an
integrated part of that organisation’s overall
governance.
An organisation’s governance and
management framework shall be:
• defined and established at
organisational level which complies with
government and departmental policies
and directives and with this standard
10Version: 2.0 – 15 July 2021 GovS 002: Project delivery
• referenced from the respective agreement of the Infrastructure and Projects
Accounting Officer System Statement Authority and HM Treasury spending team.
The governance and management Government major projects shall be
framework should include the authority reported through the Government Major
limits, decision making roles and criteria, Projects Portfolio (see 7.5).
degree of autonomy, assurance needs,
Note: see also Treasury approval process [12]
reporting structure, accountabilities and
and Treasury assurance frameworks [13].
responsibilities together with the
appropriate governance and management
frameworks, as defined in clause 5.2 for
4.2 Assurance
portfolios and clause 6.2 for programmes 4.2.1 Overview
and projects. The governance and
management framework should be The purpose of assurance is to provide,
designed to be tailored to reflect the level of through a systematic set of actions,
prevailing risk, the competence of those confidence to senior leaders and
individuals involved, and the work required. stakeholders that work is controlled and
supports safe and successful delivery of
4.1.4 Governance of major projects policy, strategy and objectives.
Programmes or projects meeting one or 4.2.2 Organisational assurance of
more of the following characteristics shall project delivery
be referred to the HM Treasury spending
team and the Infrastructure and Projects Organisations should have a defined and
Authority for inclusion in the Government established approach to project delivery
Major Project Portfolio (GMPP): assurance, which should be applied
proportionately to the risk and value of the
• above the delegated authority limit for activity, and which is integrated with the
the organisation organisation’s overall assurance framework.
• could create pressures leading to a Typically, assurance should be on at least
breach in departmental expenditure three separate and defined levels including:
limits, administration cost limits, or • by, or on behalf of operational
estimates provision management that own and manage risk
• would entail contractual commitments to ensure appropriate standards are
to significant levels of spending in future being used
years for which plans have not been set • by, or on behalf of senior management,
• could set a potentially expensive independent of operational management
precedent to ensure first level of assurance is
properly designed, in place, and
• is novel or contentious, or could cause
operating as intended
significant repercussions, posing risks to
the public sector • by independent audit, or other impartial
body, to provide senior management
• requires primary legislation or where
with an objective opinion on the
HM Treasury consent is a statutory
effectiveness of governance, risk
requirement
management, and internal controls,
Programmes and projects not meeting the including the effectiveness of the first
above criteria may be added to the and second levels
Government Major Project Portfolio with the
11Government Functional Standard
Internal audits shall be undertaken in 4.2.4 Assurance of government major
accordance with GovS 009, Internal audit. projects
The requirements of the Orange Book shall For government major projects, the
be met [6]. approach to assurance shall be defined in
an integrated assurance and approval plan
4.2.3 Programme and project assurance (IAAP) [10] which shall be validated by
Programmes and projects should have a HM Treasury and the Infrastructure and
defined and integrated plan for undertaking Projects Authority. HM Treasury does not
assurance and approvals which should be normally approve a programme or project
developed with the initiation documentation, without a validated integrated assurance
regularly reviewed, updated and maintained and approval plan.
until closure. For government major projects, assurance
Assurance reviews shall be scheduled prior reviews of the entire programme or project
to significant decisions (such as contractual shall be undertaken by the Infrastructure
commitments and gates) to provide and Projects Authority, or as delegated by
decision makers with an assessment of the them.
status and outlook for the work. The time
lapse between assurance reviews of the 4.3 Decision Making
entire programme or project should not be Decisions relating to project delivery should
scheduled to exceed one year. Assurance be made, and approvals and authorisation
reviews may also be undertaken in response given, in a timely manner, in accordance
to an issue or to verify delivery. with the organisation’s governance and
The work of internal and external assurance management framework. Government
providers should be planned to minimise policy should be complied with. Decisions
disruption to work, (for example, by should be made by assessing options
combining project and programme reviews against defined criteria and in consultation
as shown in Figure 1 Structure and scope of with stakeholders and subject matter
this standard) avoiding overlaps with other experts. Options shall be assessed in
assurance activities and duplication of accordance with GovS 010, Analysis.
effort, whilst remaining rigorous and Decisions should relate to, but not be
meeting the needs of stakeholders. Where limited to:
assurance includes formal review activity,
the customer for the review should be • approving vision and strategy
clearly identified. • approving business cases
Recommendations resulting from the • approving plans and baselines
reviews should be documented, agreed and
• setting risk appetite and tolerance
acted on.
• initiating a programme or project
Note: the Infrastructure and Projects
Authority’s Assurance tool kit provides • authorising the start of a new project
guidance for undertaking assurance stage, for example, at a gate or decision
reviews [3]. point (see 6.3) or for a new tranche of
a programme
• selecting suppliers
• deciding options for further study
12Version: 2.0 – 15 July 2021 GovS 002: Project delivery
• selecting a solution Cabinet Office expenditure controls require
• pausing, terminating or closing work central government bodies to obtain
expenditure approval from Cabinet Office
Decisions should be: ministers, based on professional advice
• holistic, taking account of the external from relevant functions, before certain
context, whole life of outputs (such as in expenditure is made or committed.
life service, disposal) and negative Organisations should take advice from
impacts relevant functional experts in advance of
planned expenditure, and comply with
• communicated to the relevant
expenditure controls guidance.
stakeholders
Note: expenditure control guidance can be
Decisions may be:
found in Managing Public Money [1] and in
• conditional, with responsibility for the annual consolidate budgeting guidance;
fulfilling such conditions defined see GovS 006, Finance.
• phased to take into account risk (see 6.3)
4.4 Roles and accountabilities
A programme, project or other related work
shall be governed through a business case 4.4.1 Overview
or equivalent document, in accordance with
Roles and accountabilities shall be defined
HM Treasury requirements. If a project or
in the relevant governance and management
other related work is part of a programme,
framework and assigned to people with
its business case may be included within
appropriate seniority, skills and experience.
the programme’s business case. A business
This should include, but is not limited to, the
case should include a cost-benefit analysis
activities, outputs or outcomes they are
and demonstrate strategic, economic,
responsible for, and the person they are
commercial, financial and management
accountable to.
justification. The business case shall be
prepared and the investment appraised in Each role holder should act as a role model
accordance with GovS 006, Finance. for the behaviours expected when working
on project delivery.
The business case should be developed
over a number of phases and should be Note: examples of roles and accountabilities
updated to reflect changes and reviewed are provided in Annex C.
prior to every gate or decision point to Note: the Project Delivery Capability
justify continuing the work. Framework [11] includes the professional
The Accounting Officer shall approve standards for a range of project management
government major projects prior to roles operating at different levels covering
submission to HM Treasury for authorisation both leadership and technical skills.
[12]. Accounting Officer approval shall be Note: further guidance on roles can be found
supported by an Accounting Officer in AXELOS’ guides [Annex A 21-28].
Assessment for the outline business case
and, when advised by the senior 4.4.2 Senior officer responsible for
responsible owner, for any subsequent, project delivery across
materially changed business cases [14]. government
Note: guidance on investment appraisal, The senior officer responsible for project
business cases and evaluation is provided in delivery across government is accountable
the HMT’s Green Book [5]. to the chief operating officer of the civil
13Government Functional Standard
service for supporting successful project 4.4.4 Portfolio director
delivery across government, especially for The portfolio director is accountable to a
government major projects, including but defined higher-level authority for the
not limited to: direction and governance of the portfolio,
• setting standards and leading for optimising the required benefits at an
development of government-wide acceptable level of risk. The portfolio
policies, processes, tools and guidance director provides leadership and direction
and owns the portfolio’s vision and strategy.
• government project delivery assurance
• providing expert support and advice Note: the higher-level authority depends on
the context and might be the Accounting
• monitoring government project delivery Officer, a departmental, arm’s length body
performance and if necessary, or executive board or a portfolio board.
intervening
Note: see Annex C for more detail on this role.
• assessing project delivery aspects in
Spending Reviews 4.4.5 Portfolio manager
• system-wide improvement of project The portfolio manager is accountable to the
delivery portfolio director (see 4.4.4) for planning and
managing the portfolio as a whole and
• building government project delivery ensuring its work content is sufficient to
capability meet the portfolio’s objectives, including
Note: this role is normally undertaken by the monitoring spend against budget and
chief executive of the Infrastructure and benefits realisation. The portfolio manager
Projects Authority as defined in the IPA leads and coordinates the effective and
Mandate [9]. efficient operation of portfolio management
and ensures the flow of information to
4.3.3 Accounting Officer decision makers.
The permanent head of a government Note: see Annex C for more detail on this role.
department is usually its Principal
Accounting Officer. An organisation’s 4.4.6 Sponsoring body
Accounting Officer is accountable (via a The sponsoring body acts as the higher-
Principal Accounting Officer where level authority for a programme or project
appropriate) to Parliament and the public and is accountable to a defined higher-level
for the stewardship of public resources, authority, normally the accounting officer
ensuring they are used effectively and to (see 4.4.3). The sponsoring body acts as
high standards of probity. The Principal the driving force for a programme or project
Accounting Officer generally appoints the providing:
most senior executive in the arm’s length
bodies within the department’s ambit as an • top-level endorsement for the
Accounting Officer. programme’s or project’s rationale
and objectives
Note: the Accounting Officer is generally the
Permanent Secretary or, in an arm’s length • direction to the senior responsible
body, the chief executive officer. See owner, addressing escalated risks
Managing Public Money [1], Cabinet Office and issues
Controls [2], Assurance framework [13], • making or referring decisions that are
Accounting Officer System Statements and above the senior responsible owner’s
Accounting Officer assessments [14]. delegated authority
14Version: 2.0 – 15 July 2021 GovS 002: Project delivery
Note: the make-up of the sponsoring body 4.4.9 Portfolio, programme and project
(person or group) depends on the programme support office manager
or project’s context. For example, for a project The portfolio, programme and project
within a portfolio, the sponsoring body can be manager and their respective teams should
the portfolio manager or director; for a project be supported in the effective and efficient
within a programme, the sponsoring body can undertaking of their roles. Services provided
be the programme manager. might include value added delivery support,
such as:
4.4.7 Senior responsible owner (SRO)
The senior responsible owner is • defining processes and methodologies
accountable to the sponsoring body (see • undertaking analysis
4.4.6) for a programme or project meeting
• operating aspects of governance
its objectives, delivering the required
outcomes and realising the required • providing consultancy and advice
benefits. The senior responsible owner • undertaking delegated responsibilities
owns the business case and is accountable
for governance (see section 4). • undertaking administrative functions
The senior responsible owner of a Support might be provided by single or
government major project is ultimately multiple physical or virtual structures or
accountable to Parliament. offices (permanent and/or temporary), which
can be centralised or distributed.
Note: the Infrastructure and Projects
Authority’s SRO briefing notes provides Note: the title of these roles may be chosen to
relevant documentation for senior responsible reflect the scope and seniority, such as PMO
owners [4]. Director, PMO Manager, Head of PMO or
P3O® Director.
Note: see Annex C for more detail on this role.
Note: see Annex C for an example of a
4.4.8 Programme/project manager programme or project office manager role.
The programme/project manager is 4.4.10 Other management and team roles
accountable to the senior responsible owner
for establishing the governance and Other management and team roles should be
management framework and for the day-to- defined to suit the needs of the work
day management of a programme/project, required, for example those undertaking
to deliver the outputs and desired specialist roles, or managing the
outcomes, and realise the required benefits. development of specialist outputs.
Examples include roles relating to benefits
Note: the job title of a programme/project management, agile delivery, service and
manager can reflect the seniority of the operations management, business change,
person, such as “project director” or communications and various engineering
“programme director” or the type of work disciplines.
being undertaken, such as in agile delivery.
Note: see Annex C for an example of a work
Note: see Annex C for more detail on this role. package or team manager.
15Government Functional Standard
5. Portfolio governance and management framework
should include, but not be limited to:
management • roles and accountabilities, processes,
methods, techniques, guidance,
5.1 The purpose of portfolio templates and tools for governance
(see 4) the management practices
management (see 5.3) and supporting practices
Portfolio management is a coordinated (see 7 and 8)
collection of practices and decisions that • the planning horizons to be used and
together enable an effective balance of how often the plan should be reviewed
organisational change and business as and updated
usual, whilst remaining within a specified
funding envelope and constraints. • the types of work component to be
included in the portfolio, together with
Portfolio management shall be an integral criteria to identify them
part of an organisation’s business planning
and control activities. • criteria and techniques for categorizing,
prioritising and selecting the portfolio’s
The portfolio director (see 4.4.4) and work components
manager (see 4.4.9) should:
• processes for the initiation and
• ensure investment is aligned to the management of work components
government’s policy and departmental
vision and strategy • how resources and funds are allocated
• maximise benefits realised by the • a reporting framework
portfolio as a whole The portfolio’s governance and
• balance the portfolio to cover short-term management framework should align to and
and long-term objectives work with:
• ensure risks across the portfolio are • the organisation’s governance and
within the organisation’s risk appetite management framework and decision-
making authorities
• optimise the organisation’s capability
and capacity to ensure the portfolio can • other organisational processes and
be delivered practices, such as those for strategy
and policy development, business
• ensure those impacted by the portfolio’s planning, finance, performance
outcomes can take on the changes reporting, capability and capacity
• optimise the use of funds and resources, management, enterprise risk
bearing in mind the associated risks management, and communications
A record of the portfolio’s work components
5.2 Portfolio governance and should be kept up to date, including, for
management framework each work component: component type;
person responsible; status (for example:
A portfolio governance and management proposed, in progress, paused, terminated,
framework (see 4.1), defining how a portfolio completed); the position in the portfolio
is to be directed and managed, shall be hierarchy; significant interdependencies
established, maintained, and communicated between components under different senior
to appropriate stakeholders. The portfolio’s responsible owners (see 4.4.7); an indicator
16Version: 2.0 – 15 July 2021 GovS 002: Project delivery
denoting whether the component is required planning activities. An organisation’s overall
to be reported as part of the Government portfolio may be managed as a set of sub-
Major Projects Portfolio. Additional data portfolios.
may be included for management, analysis The organisation’s group undertaking
and reporting purposes. portfolio management may provide other
Portfolio management responsibilities may services, such as those provided by a
be assigned as each organisation sees fit programme management office (see 4.4.9),
and should be integrated with those including methods, advice, resourcing, or
responsible for the organisation’s business tools support.
Portfolio Work
vision, strategy component
Decision points See Figures 5 and 6.
and plan authorisation
(Clause 4.3)
Outcomes
Portfolio
Policy and
and
objectives
benefits
Assurance reviews
(Clause 4.2)
Correction needed
5.3.2
Policy and 5.3.4
Setting the vision and 5.3.7
objectives strategy for the portfolio Validating Outcomes
Portfolio
portfolio and
performance
objectives and benefits
reporting
strategy
5.3.3
Portfolio definition and
planning
Approved vision, strategy,
definition and plan
Management
5.3.5 5.3.6
practices Authorising the Monitoring &
(Clause 5.3) start of work analysing
components portfolio
delivery
Programme and project management Programmes, projects and other
(Section 6) related work
Support
practices 7. Planning, control and 8. Solution delivery practices
(Sections 7 and 8)
Figure 4 Portfolio management as an ongoing and iterative activity, showing decisions and
assurance reviews from section 4 and their relationship to the practices in sections 5, 6, 7
and 8
17Government Functional Standard
Note: the portfolio’s governance and The portfolio’s strategy should set the
management framework can be tailored from context for the definition and planning of
Management of Portfolios [24]. Further the portfolio, and inform the criteria for
guidance can also be found in ISO 21504 [33]. investment decisions and the approval of
work components.
5.3 Portfolio management
5.3.3 Portfolio definition and planning
practices
The portfolio, as a whole, should be defined
5.3.1 Overview and planned in accordance with the
Portfolios form part of the organisation’s portfolio’s governance and management
governance and the delivery of its business framework (see 5.2), to meet the purposes
plan. Portfolio management is cyclic in listed in clause 5.1. The planning horizon
nature, enabling the organisation to should be for a defined period aligned with
continuously adapt to the organisation’s the organisation’s business plan. When
changing context and environment of the planning the portfolio:
organisation in pursuit of its objectives • the government’s policy and
(see Figure 4). organisational objectives, context and
priorities should be understood,
5.3.2 Setting the vision and strategy for together with the current status of the
the portfolio portfolio and its work components
A vision should be defined and • measures for the successful delivery of
communicated, stating the overarching outcomes and realisation of benefits
aspirations of what is to be achieved in the should be defined
long-term.
• potential new work components should
A strategy, describing the objectives and be categorised and evaluated, based on
desired delivery outputs and outcomes, their degree of strategic fit, expected
shall be defined and communicated to benefits, efficient use of funds and risk;
inform future decisions and choices about the views of stakeholders should be
how the portfolio’s objectives are to be understood and considered
delivered. The portfolio strategy should
include: • work components should be prioritised
and selected, based on the results of
• the organisational objectives and the evaluation, taking into account the
priorities from the business plan which performance of existing work
relate to the portfolio components
• the portfolio’s long-term objectives • each work component should be
• summary information on the benefits traceable to government policy or
and costs organisational objectives (see 7.8)
• outcomes and capabilities to be • the plan should be collated with
delivered and how these link to the interdependencies identified between
portfolio’s objectives and priorities from components within and outside the
the business plan portfolio
• key success factors and resource and • once approved, the portfolio plan should
risk information be baselined, and any changes
approved by the appropriate authority
18Version: 2.0 – 15 July 2021 GovS 002: Project delivery
5.3.4 Validating the portfolio’s objectives • availability of finance (see 7.10)
and strategy • current capacity and capability
The portfolio’s objectives and strategy constraints in the organisation and
should be periodically reviewed to ensure: supply chain (see 7.4)
• they are still current and affordable • current level of portfolio risk, including
• the right programmes, projects and those related to interdependencies
other related work components are (see 7.6)
being undertaken • the views and reactions of impacted
If required, corrective action should be parties and other stakeholders (see 7.12)
taken to amend the portfolio’s vision, Stakeholders should be monitored and
objectives and strategy, or adjust the engaged, with new stakeholders identified
portfolio’s scope and content. and existing stakeholders re-evaluated.
New risks and issues should be identified,
5.3.5 Authorising the start of work and existing ones managed. Action should
components be taken to ensure the portfolio meets its
New work components should be identified, objectives and reflects any constraints.
defined and authorised (in compliance with Existing work components might be
an approved authorisation process, see 4.3 identified for amendment, rescheduling or
on decision making) to start when indicated termination. Corrective and preventative
in the plan or as required by organisational actions might trigger the need for new work
priorities. Before being initiated, the portfolio components, scope changes or termination
manager (see 4.4.5) should confirm the aims of work.
given in 5.1 are met, an impact assessment
of financial, resource or technical capability 5.3.7 Portfolio performance reporting
is available and that the programme or Portfolio performance shall be reported
project does not conflict with or duplicate against the portfolio plan, including, but
other related work. See clauses 6.4.2 and not limited to, finances, benefits, costs,
6.4.5 on identifying and initiating a outcomes, milestones and risks. Additional
programme or project. analysis and commentary should explain
When approving the start of a work variances. Reporting should reflect both
component, the problem or opportunity achievement to date and a forecast for
should be known, even though the solution future performance. See also 7.5.
and implementation approach might not
be known.
5.3.6 Monitoring and analysing portfolio
delivery
The portfolio, as a whole, should be
monitored and analysed with respect to:
• outcomes achieved, and benefits
realised
• adherence to constraints, including
those for cost, benefit and schedule
• delivery of primary outputs
19Government Functional Standard
6. Programme and templates and tools to be used to
undertake the practices in this standard
project The governance and management
management framework of jointly sponsored work should
be defined to reflect the legitimate interests
of the participating organisations.
6.1 The purpose of programme The programme’s or project’s governance
and project management and management framework should align
to and work with:
Programme and project management are
structured frameworks for defining and • the organisation’s project delivery
undertaking change. They provide a governance and management
framework for implementing policy and framework (see 4.1.3)
business strategies to enable the • the portfolio’s governance and
government and organisations to achieve management framework (see 5.2)
outcomes and benefits of strategic
importance. Programme and project • other organisational processes and
management includes the planning, practices, such as those for finance,
delegating, monitoring and control of all human resource management,
aspects of a programme or project and the performance reporting, capability
motivation of those involved to achieve the and capacity management, risk
defined objectives within the defined management, and communications
constraints, such as cost, benefit, schedule, Note: the governance and management
quality, scope, and risk. framework can be tailored drawing on the
government project delivery framework,
6.2 Programme and project departmental methodologies or, for major
governance and projects, can be specially developed;
guidance can also be found in the AXELOS
management framework guides [Annex A, 21 to 28].
A programme and project governance and
management framework (see 4.1), defining 6.3 Life cycles
how a programme or project is to be
The life cycle provides a phased approach
directed and managed, shall be defined and
for governing work and underpins the
established. The governance and
delivery plan, from start to finish. The life
management framework may change to
cycle shall be defined and should include
reflect the phase of the work being
approval gates/decision points and
undertaken. The governance and
assurance reviews.
management framework should include:
For government major projects the life cycle
• authority and decision-making roles and
and its attributes shall be defined in
rules, including, but not limited to,
accordance with this standard and the
governance tiers, initiation of new work,
requirements in the government project
prioritisation, assignment of resources
delivery framework.
and funds, and issue resolution
A project shall comprise stages, each of
• roles and accountabilities, processes,
which shall be preceded by a gate (decision
methods, techniques, guidance,
point) to authorise the start of the next
stage and commit resources and funding.
20Version: 2.0 – 15 July 2021 GovS 002: Project delivery
HM Treasury Project Strategic Outline Full Full Full
brief outline business business updated updated
business cases case case case
Gates / decision
points (Section 4.3)
Policy
Feasibility Appraisal Definition Delivery Operation Operations
(concept)
Assurance
reviews
(Section 4.2) Business Delivery Investment Readiness Operations review and
strategy decision for service
Assess
Project completed
feasibility
Appraise
and select
Project stages
Project started
Define
(Section 6.3)
Deliver
Operate,
embed and
close
6.4.3
6.4.2 Overseeing a project 6.4.9
Management Identifying Reviewing
practices 6.4.4
Directing a project
(Clause 6.4)
6.4.5 6.4.6 6.4.8
Initiating Managing a project Closing
6.4.7
Managing a work package
Support
practices Planning, control and solution delivery practices
(Sections 7 and 8)
Figure 5 The reference project life cycle with gates, stages and assurance reviews from
section 4 and their relationship to the practices in sections 6, 7 and 8
21Government Functional Standard
HM Treasury
Business cases
Programme Strategic Outline Programme Programme Programme
brief Outline business Business Business Business
case case case case case
Decision points
(Section 4.3)
Policy Programme Operations
Assurance
reviews Business Delivery Operations review
(Clause 4.2) justification strategy and benefits
realisation
Tranche A
Project completed
Assess
feasibility As defined in the integrated
Appraise assurance and approval plan
and select
Tranche B
Project
Project
“Other work”
Project stages
(Clause 6.3) Tranche C
Project
Project started
“Other work”
Project
Tranche D
“Other work”
6.4.3
6.4.2 Overseeing a project 6.4.9
Identifying Reviewing
Management
practices 6.4.4
(Clause 6.4) Directing a programme
6.4.5 6.4.6 6.4.8
Initiating Managing a programme Closing
Support
practices Planning, control and solution delivery practices
(Sections 7 and 8)
Figure 6 Example programme life cycle, showing tranches, decisions and assurance reviews
from section 4 and their relationship to the practices in sections 6, 7 and 8
22Version: 2.0 – 15 July 2021 GovS 002: Project delivery
The project life cycle should be defined to Model project life cycles may be developed
suit the circumstances by tailoring and for undertaking particular types of project or
mapping to the reference life cycle shown in programme.
Figure 5 and Annex D. The number of gates
Note: Annex D includes a detailed example
and stages, types of assurance review and
project life cycle. Annex E includes agile
form of the business case should be chosen
delivery and extended life cycle example.
to ensure governance is appropriate and
proportionate to the circumstances, with Note: phases for a project are called stages
simpler projects having fewer stages (PRINCE2® [22]). Stages can reflect the
(minimum of two) and more risky projects approach taken, for example, developed
having more stages. See Figure 5 and using an agile approach, such as discovery,
Annex D. alpha, beta (private); beta (public) or in
‘waterfall’, such as analysis, design,
A programme may be phased in one or development, testing, implementation.
more tranches and might cover the whole Further detail and examples of a project life
life of a product, service or system (see cycle are included in Annexes D and E.
Figure 6).
Note: see Figure 5 for detail for each project
The following shall be defined for each gate in a programme.
or decision point:
• criteria for providing authorisation 6.4 Programme and project
• the decision makers management practices
• who should be consulted
6.4.1 Overview
• the type of assurance review required
prior to the decision (see 4.2) The programme and project management
practices should be defined in the
Criteria should include, but not be limited to governance and management framework
the following: (see 6.2). Figure 7 shows the relationship
• work aligns with policy and strategy and between the roles defined in clause 4.4 and
is still needed the practices in clause 6.4.
• the business case is acceptable 6.4.2 Identifying – policy
• risks have been identified and are Identifying a programme or project ensures
acceptable or can be mitigated that the policy or other objective for
• the solution is (or is likely to be) undertaking the work is defined and likely
acceptable to be realistic before the first phase of work
is authorised to start, and funds and
• there are funds and resources to resources committed.
complete the work and support any
outcomes The senior responsible owner (see 4.4.7)
shall be appointed. Potential team members
• there is a plan for the next stage and and subject matter experts should be
outline plan for the remainder of the identified and be involved with policy
work formulation to ensure the opportunity or
A decision might result in approval to need is explored and understood and that
proceed, a request for work to be revised, deliverability is taken into account.
or deferral or termination of the project.
23Management
practices
(Clause 6.4) Government Functional Standard
Sponsoring body 6.4.3
(see 4.4.6) 6.4.2 Overseeing a project 6.4.9
Identifying Reviewing
Senior responsible 6.4.4
owner (see 4.4.7) Directing a project
Programme/project 6.4.5 6.4.6 6.4.8
manager (see 4.4.8) Initiating Managing a project Closing
Team manager 6.4.7
(see Annex C) Managing a work package
Figure 7 Relationship between the roles and the programme and project management
practices
Before a programme or project is submitted • independent assurance reviews and
for approval, the senior responsible owner audits
should ensure: • ad hoc escalations and interventions
• the vision, justification and desired The sponsoring body (see 4.4.6) should
outcomes for the programme or project, keep the senior responsible owner
together with any strategic assumptions, (see 4.4.7) updated on the wider context,
are documented in a programme or providing guidance and direction, as
project brief needed or when requested. The sponsoring
• policy and decision makers have sought body shall enable the senior responsible
advice from experienced professionals owner to have sufficient time to carry out
on deliverability and risks their responsibilities effectively.
• the appropriate assurance review has 6.4.4 Directing
been conducted (see 4.2)
Directing a programme or project ensures
If policy and objectives change as the work continuing strategic fit and relevance in the
progresses through the life cycle, the senior prevailing business context.
responsible owner shall review the impact
and consider whether the work is still The senior responsible owner (see 4.4.7)
justified; resultant changes to the shall ensure the solution fulfils government
programme or project should be controlled policy and/or meets the needs of the
(see 7.7). organisation and represents value for
money [20].
6.4.3 Overseeing The senior responsible owner shall provide
Overseeing a programme or project ensures direction and make decisions regarding the
the sponsoring body is satisfied that the future of the programme or project, taking
team is able to achieve the objectives, meet into account changes to the overall political,
the organisation’s needs and stakeholders’ social, environmental, or technological
expectations, and that risks are at an context and prevailing risk. This should
acceptable level. Oversight can be through: include ensuring the programme or project
• involvement in key decisions remains justifiable and assurance reviews
and approvals (such as at gates and at
• periodic reporting closure) are undertaken at the right time and
24Version: 2.0 – 15 July 2021 GovS 002: Project delivery
corrective and preventative actions taken, Criteria for determining the successful
if needed. delivery of outcomes and realisation of
The senior responsible owner shall refer benefits should be defined.
decisions above their delegated authority Note: the choice of solution might require
to the sponsoring body (see 4.4.6) or other a discovery stage (agile) or number of
appropriate decision makers, in accordance investigative stages to be undertaken and
with the governance framework (see 4.3). the use of specialist techniques such as
opportunity framing. See 6.3 life cycle.
6.4.5 Initiating
Initiating ensures a programme or project is 6.4.6 Managing
set up, defined and planned, and that the The programme or project manager
team is mobilised and understands the (see 4.4.8) should ensure the appropriate
opportunity or need to be addressed. team (including suppliers) and facilities
The senior responsible owner (see 4.4.7) are in place.
shall confirm: New tranches, stages or work should be
• a real policy, opportunity or business planned and reviewed prior to authorisation
need is being addressed (see 6.3).
• communicate the vision, objectives and Work packages should be initiated and
desired outcomes to key stakeholders, monitored against the plan or product
together with strategic assumptions backlog, risks mitigated, issues addressed,
and changes controlled. Lessons should be
• set criteria for measuring success continually captured and managed (see 8.8).
The programme or project manager (see Outputs should be developed ready for use
4.4.8) should mobilise the team and facilities (see 8.3 to 8.6) and stakeholders’ views
required to undertake the work and define should continue to be addressed ensuring
the governance and management business changes and new ways of working
framework to be used (see 6.2). are being embedded, such that the desired
The team should understand the outcomes can be achieved (see 8.7).
requirements, assumptions, constraints and Commercial and financial aspects should
risk potential, and should investigate be addressed (see 7.10 and 7.11).
different solutions, delivery approaches and
implementation options for meeting the The continuing justification for the
opportunity or need (see 8.4 and 8.7). programme or project shall be monitored
Options shall be assessed in accordance and business case updated, if appropriate
with GovS 010, Analysis. (see 4.3) in a controlled way (see 7.7).
A delivery strategy and plan for the work 6.4.7 Managing a work package
shall be developed, including approaches to Managing a work package ensures the
be used for specialist work, taking into deliverables within the scope of a project or
account lessons learned from previous, other related work (see 3) are defined and
relevant work (see 7.2 and 8.8). The initial delivered, in order that the outcomes can
justification for the programme or project be achieved, and benefits realised:
shall be documented in a strategic outline
case (or equivalent). • work should be defined, planned and
controlled in work packages or sprints
(see 7)
25Government Functional Standard
• goods and services should be procured The programme or project manager, with
and their delivery managed (see 7.11) the team and key stakeholders, shall
• stakeholders’ views should be sought, undertake a closure review, which should
validated and addressed (see 7.12) include an assessment of performance
against the plan and the extent to which
• outputs should be developed using objectives are being met.
methodologies and techniques which
are proportionate and appropriate, and New lessons should be captured and
the quality verified and outcomes should analysed together with those identified
be validated against the requirements during the work, significant learnings
(see 8.6) should be captured and shared (see 8.8).
• lessons should be continually captured Plans for post-closure reviews should be
and managed (see 8.8) agreed by the senior responsible owner
(see 4.4.7).
Note: Annex C includes a role description for
Stakeholders shall be informed about
a person who manages a work package.
closure.
6.4.8 Closing
6.4.9 Reviewing outcomes
A programme or project shall be closed in a
controlled way. Closure can happen when Reviewing outcomes determines the degree
the scope is completed or when work is of the programme’s or project’s success.
terminated prematurely: The sponsoring body should ensure a
review is undertaken to assess the extent to
• delivery of outputs and achievement of which benefits realisation and operational
outcomes to date should be confirmed performance are meeting, and are likely to
• unfulfilled requirements should be continue to meet, the objectives and
documented together with how they are expectations stated in the business case.
to be addressed Lessons should be captured and
communicated.
• responsibilities for ongoing risks, issues,
actions and benefit tracking should be
handed over to, and accepted by, the
appropriate business authority
• documentation and information should
be securely archived (see 7.9)
• the team should be reassigned and any
temporary facilities demobilised
• contracts, financial and reporting
systems reconciled and closed
Termination might occur because the work
is no longer needed or viable, or because
the risks associated with it have become
unacceptably high.
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