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Phase Step Tools/ Techniques Roles Involved Deliverables Gates Comment

Performing this phase is Executive Management documented e.g. annual

Organization not part of a project, it is
Strategy  vision
an Organizational activity
 mission
 objectives
 strategy
 how to implement the strategy
Performing this phase is Enterprise Architecture Enterprise Architecture Group  Documented and agreed process e.g. annual
Process not part of a project, it is
Architecture Executive management guidelines
an Organizational activity
 Document and agreed Benefits
Management Framework
 Organization corporate Process
View, including

ARIS Modelling Hierarchy

Process Matrices
Communications Communication Planning Project Manager Initial Communications Strategy Stop immediately unless:
Launch Pad
Change Management  assign change  the project is funded
manager sufficiently
Initial key stakeholder Understand key business drivers and Project Manager or senior Information that will be important in Resolve or determine impact of:
interviews “what is keeping them awake at night” project member prioritization and project direction
 an ill-defined or not clear
High-Level Process Walk Observation/ Interviews Process Analyst Documented high level process project scope Can be omitted, if the High Level
Through asking questions until you gain an overview process is well known to the
 project scope is not finally Process Analyst
understanding of how the processes agreed
work in practice
Stakeholder Identification Stakeholder Identification Project Manager List of Stakeholders
& Engagement Meetings Process Analyst

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Phase Step Tools/ Techniques Roles Involved Deliverables Gates Comment
Executive (Management) End-to-End Process Thinking Project Manager Agreed Process Goals
Workshop Project Width Process Analyst Process selection matrix with initial
Process Selection Matrix metrics
Process Metrics Prioritised Processes
Red Wine Test
Develop Implementation Implementation Planning Project Manager Initial Implementation Plan
Plan Project Sponsor
Develop & Sign-off Cost/Benefit Analysis Project Manager Initial Business Case
Business Case Project Sponsor
Define & Establish Project Project Management Project Manager Established Project Team
Team Structure
Agree & plan handover to Involve appropriate business staff in Project Manager Business staff involved in entire
business the entire project Project Sponsor project who will be responsible for
the processes after project
Business Owner completion
Complete Initial Project Project Planning Project Manager Initial Project Plan
General Project Project Management Project Manager Project Charter document
Management Project Scope document
Initial risk analysis
Communications Change Management Project Manager Informed people Stop immediately unless:
Change Manager  Processes are reviewed on
Understand Workshops Process Modeling Process Analyst Process models of current process (in a genuine end-to-end basis Only as much as needed
Facilitation skills Business Subject Matter process modelling tool)  have the correct business
Workshop Preparation Experts people in the workshops
Workshop Facilitation  sufficient metrics are
Metrics Analysis Data Analysis Process Analyst Metrics for baseline & prioritization

Root Cause Analysis Fishbone Process Analyst Understanding of the processes & else baseline is difficult or
5 Whys? Root Causes impossible to determine

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Phase Step Tools/ Techniques Roles Involved Deliverables Gates Comment
People Capabilities People Capability Matrix Process Analyst Current people capability matrix 
Identify Available Knowledge & Information Needs Process Analyst Knowledge & Information Needs Map future improvement benefits Identification of available
Information Map comparison impacted documentation for training &
knowledge perpetuation
Identify Innovate Priorities Prioritisation Process Analyst Priorities for Innovate Phase
Project Manager
Identify Quick Win Prioritisation Process Analyst List of Quick Wins
Opportunities Project Manager
Understand Phase Report Report Writing Responsibility: Project Report for Only if necessary
Manager Understand phase Brief report to document findings
Executing: eg. Process
Communications Change Management Change Manager Informed people Stop immediately unless:
Communications Plan All members of the project  the organization has a vision
team for the Innovate phase and
Management Kick-Off Facilitation Project Manager Opportunities & constraints defined by is able to establish process
workshop Project Sponsor management goals, nor determine the
scenarios for the phase
External Stakeholder Interviewing Process Analyst Documented stakeholder If business thinks this is useful
Focus Group Facilitation Project Manager requirements
Innovate Workshops Facilitation Process Analyst Redesigned Process Models
Creative Thinking Facilitator (this could range
Process Design Principles from the Project Manager,
Team Leader or Process
Future Process Metrics Data Analysis Process Analyst Estimated future metrics
Projections Excel Spreadsheet
Simulation Process modelling & simulation tool Process Analyst Simulated process models via Only complete if necessary &
selected scenarios has a specific purpose
Create Initial People Initial People Change Management Human Resources Strategy document Could significantly influence
Change Management Strategy report Project Manager people capability matrix

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Phase Step Tools/ Techniques Roles Involved Deliverables Gates Comment
Update People Capability People Capability Matrix Process Analyst Documented gap in capabilities &
Matrix skills
Capacity Planning Capacity planning tools Process Analyst Capacity Planning document Will assist in providing input into
performance measures & skills
Workshop Proposed Baseline Comparison Process Analyst Sign-Off from Audit, Risk &
solutions Project Manager Compliance, IT
Demonstrate & validate Knowledge of IT systems; risk Project Manager Demonstrate feasibility of solution
feasibility of proposed management; compliance IT staff
solution processes requirements
Process gap analysis Gap Analysis Process Analyst Documented gap
Update Business Case Cost/ Benefit Analysis Project Manager Refined Business Case
with Benefits & Obtain
Report & presentations Report template Project Manager Report
Project Sponsor
Business Requirements Business Analysis Business Analyst Business Requirements
Documentation writing skills Process Analyst
Communications Change Management Change Manager Informed people Stop immediately unless:
Communication Plan All members of the project
 staff performance targets
are realistic (business unit
Design people strategy Knowledge of working environment Project Manager Strategy document not understaffed) This relates to organization
e.g. employee union issues structure change options &
 people being consulted or approach
engaged in the performance
Activity definition Activity, job & structure analysis Project Manager Suggested role definitions measurement establishment
RASCI for Role Design Process Analyst
Resolve or determine impact of:
Role design RASCI for Role Design Project Manager New role definitions  HR not engaged early
Process Analyst enough or at all
Human Resources

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Phase Step Tools/ Techniques Roles Involved Deliverables Gates Comment
Performance Management Performance Management Process Analyst Integrated & aligned performance  judging the performance of
& Measurement Management management people within the
organization before the
process and structural
People Capability Gap People Capability Matrix Process Analyst Capability gaps & action plan issues have been addressed
Analysis HR
Design organizational New roles descriptions Project Manager New organization structure
structure Organization structure matrices Process Analyst
Human Resources
Update People Change Previous strategy document Project Manager Updated strategy document
Management Strategy
Update HR Policies RASCI for Role Design Process Analyst with HR Updated organization structure, role If appropriate
Consultant descriptions & HR policies
Develop Training Training needs analysis Training Consultant Training plan & Training material
Training development Process Analyst
Communication Change Management Change Manager Informed people Stop immediately unless:
Communication Management all project staff
Update functional & Previous specifications Process Analyst Revised functional & technical
technical specifications IT staff specifications

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Phase Step Tools/ Techniques Roles Involved Deliverables Gates Comment
Software Development e.g. SDLC, RAD Business Analysts,  Business fully understand According to organizations
 high-level overview of the
Developers, Test Analysts, … what will be delivered. This approach
does not mean that the
 detailed business requirements business has ONLY signed
 finalize software selection off on specifications
documentation Resolve or determine impact of:
 software specification/design  UAT has not been
 software developed by business &
development/configuration fully communicated to
 software test scripts and results
 hardware specification
 hardware availability
 hardware test scripts and results
 integration test scripts and
Testing System testing strategy, plan and Process analyst Bug free developed software
scripts IT staff
Communication Change Management Change Manager informed Stop immediately unless:
Implement & motivated people within the
Communication Management all project team members  Business Testing and/or
organization Training as a show-
Update Implementation Implementation Planning Scenarios Project Manager finalized implementation plan stoppers has been resolved
 the business has sufficient
Testing Testing Test Analyst test cases & results expertise or resources to
Process Analyst tested & updated systems complete User Acceptance
to focus on facilitating the Testing
business users to carry out Resolve or determine impact of:
the testing itself
 the core project team is
Business Users unable to deal with all the
Train Staff Training Training Consultant trained staff, enabled to work on the enquiries and problems at
new process the start of the
Mentor Staff Mentoring & Coaching Change Manager
implementation and during
Project Team the early stages
Super Users

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Phase Step Tools/ Techniques Roles Involved Deliverables Gates Comment
Rollout changes; monitor Project Manager rolled out solution (updated after
& adjust testing) which contributes towards
addressing the project objectives
Communications change management Change Manager Stop immediately unless:
Realize Value
Project Manager  development strategy does
Benefits Management Benefit Management Framework Process Governance Benefits Management Framework not deliver benefits
Framework Committee  implementation strategy
(Proc. Arch) does not deliver benefits
Identify Potential Benefits Benefit Summary Plan Project Manager Benefit Realization Register  stakeholder analysis
& Plan Change Manager Benefit summary plan  understanding magnitude
(Launch Pad) of change
Establish Baseline & Data Analysis Project Manager Baseline Measures  organization’s capacity to
Comparative Change Manager change
 organization’s acceptance
(Understand) of BPM
Refine & Optimise Benefits Benefit Milestone Matrix Project Manager
 Technical Review
Mix Change Manager
Define Benefit Details Benefit Delivery Matrix Project Manager Benefits Delivery Matrix
(People, Develop & Change Manager
Benefits Delivery & Benefit Delivery Matrix Project Manager Benefits Delivery Matrix
Tracking Change Manager
(Realize Benefit)
Value Monitoring & Benefit Realisation Benefit Owner Delivery of Results
Maximisation Project Sponsor
(Sustainable Performance)
Communications Communication management Change Manager
Performance Benefit Owner
Evaluate Project Results Baseline Comparison Project Manager
Benefit Owner

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Phase Step Tools/ Techniques Roles Involved Deliverables Gates Comment
Develop Fine-Tune Process Governance Project Manager
Sustainability Benefit Owner
Embed performance Information from previous phase & Project Sponsor Agree, documented & implemented
measures in steps Project Manager performance measures e.g. KPIs
management Management KPIs Executive management
Business managers
Introduce feedback loops Feedback loops Project Sponsor Systems to support the loops
Feedforward loops Project Manager
Business managers
Embed Sustainability Publication of processes Project Manager
Benefit Owner
Monitor Sustainability Process performance measurement Benefit Owner
Continuous Improvement Process Governance: Benefit Owner Documented & agreed roles &
 Process Stewards (Process Analyst) responsibilities for processes & their
(Owners) management

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