A Unified Framework for Governing and Managing Initiatives of any Size and Type

 Note: In this framework, the term initiative refers to programs and projects. The term work execution unit refers collectively to programs, projects, phases, releases, and work packages, all of which are considered temporary organizations.

The Universal Management Activities

The fundamental model of management follows the logic of five groups of management activities: initializing, planning, executing, controlling, and closing. These management functions are universal and are performed by managers in their daily work. They are recurring activities that apply consistently across all levels of an initiative’s structure.

These activities are applicable to:

• The overall program.
• Each constituent project within a program.
• Individual phases, stages, releases, or iterations within a project.
• Specific work packages within a phase.

The ultimate output of these activities is the creation of deliverables for users and the effective transition of knowledge to the involved organizations.

Inception: The Pre-Work Stage

Before a program or project is formally initialized, a pre-work stage of inception occurs to determine if the initiative should be pursued at all. This stage is governed by corporate management, often through a portfolio management process. This evaluation and justification process is primarily applicable at the program and project levels.

Rationale for Initialization

The decision to organize work as a formal program or project is a strategic choice made when a required solution is time-constrained and benefits from a specialized set of management tools.

Typical reasons for considering a new program or project include:

• A business opportunity to be explored.
• A problem that needs to be solved.
• The need to comply with new regulations.

Inception Methods

During this pre-work stage, specific methods are used to evaluate the potential initiative and justify the investment.

• business case: A justification for a proposed program or project based on its expected commercial benefit.
• feasibility study: An assessment of the practicality of a proposed program, project, or system.

If the outcome of this inception process is positive, corporate management approves the program or project for initialization. At this point, the initiative is authorized to begin but is not yet planned in detail.

Initializing Activities

Once an initiative receives approval, initialization activities formally establish it as a new, temporary organization or work execution unit. This process varies in formality and level of detail depending on the size, complexity, risk profile, and organizational context of the item being initialized.

Program and Project Initialization

At the program and project level, initialization is a formal process. It is the responsibility of the initiator or sponsor, though it is good practice to involve the future program or project manager. The central purpose is to establish a clear and shared understanding of why the program or project is undertaken and what it is intended to achieve.

Key outputs of program or project initialization include:

• The formal nomination of the sponsor and the manager, with a defined level of authority.
• The identification of key stakeholders.
• The official creation of the temporary organization.
• An agreement on the business requirements, which are the new capabilities the organization will gain.
• The selection of an appropriate strategy to achieve the intended goal.

This information is documented in the initializing reference (project Charter or project Brief in other bodies of practice), which must be approved by corporate management. This document authorizes the work and establishes a shared understanding of its intent, goal, boundaries, and success conditions. It typically contains:

• Purpose and goal.
• Organizational structure.
• Business requirements.
• Success criteria.
• High-level risks.
• Initial assumptions and constraints.

Phase, Release, and Work Package Initialization

Initialization at the phase, release, and work package level follows the same fundamental logic, with the level of detail adjusted to the specific work execution unit. Each phase, release, or work package is initialized through an initializing reference that defines its purpose, goal, expected outcomes, boundaries, and success criteria, aligned with the parent project or program.

Authorization to initialize a phase or release is granted through the applicable governance decision, typically at a phase gate. Authorization to initialize work packages within an approved phase is typically granted by the project manager, acting within the authority and constraints established by the governing decision.

Planning Activities

All work requires planning before implementation. The breadth and level of detail of planning differ significantly across the hierarchy, from the planning of a program to the planning required for a work package.

Program and Project Planning

At the highest levels, the management team develops a planning reference for the program or project. This planning reference is based on management requirements gathered from key stakeholders.

Primary planning activities include:

• Defining the agreed deliverables, quality attributes, budget, and schedule for the initiative.
• Defining SMART objectives that align with the goal stated in the initializing reference.
• Determining the development approach for the project and identifying its phases or iterations.
• Performing a risk analysis, including identification, analysis, and response planning.

The resulting planning reference requires formal approval from the governing body, such as the sponsor or customer. Once approved, it is communicated to all stakeholders.

Phase, Release, and Work Package Planning

Planning for lower-level work applies the same planning logic, with the level of detail adapted to the specific work execution unit. It defines how the purpose, goal, deliverables, and success criteria established in the initializing reference will be achieved within the approved boundaries. planning at this level details the specific tasks, schedules, and resources required, operating within the constraints established by the higher-level planning reference.

Risk analysis is focused on the defined content and boundaries of the phase, release, or work package. Approval of a planning reference for a phase or release is granted through the applicable governance decision, typically at a phase gate. Approval of planning references for work packages within an approved phase is typically granted by the project manager, acting within the authority and constraints established by the governing decision.

Executing Activities

This stage focuses on creating the deliverables defined in the plan. At any level, execution involves directing and coordinating resources to meet objectives. Execution at a higher level (a project) includes managing the execution of its component parts (phases and work packages).

Core management activities during execution include:

• Acquiring necessary human and physical resources.
• Authorizing, delegating, reviewing, and accepting lower-level work packages.
• Leading, managing, and developing teams, often using coaching techniques.
• Managing communications and actively engaging stakeholders.
• Ensuring quality by auditing standards and building quality into all work.
• Implementing approved changes, corrective measures, and planned risk responses.
• Leveraging existing knowledge and enabling the generation of new knowledge.

Controlling Activities

The purpose of control is to maintain visibility into performance and enable proactive management. Control activities provide an understanding of the current state and forecasts for future performance, allowing for timely corrective and preventive actions. These processes apply across all levels of work.

Performance Monitoring and Forecasting

Control processes extend across all areas defined in the management plan, including:

• The baseline (deliverables, quality, schedule, cost).
• Risks and the effectiveness of responses.
• The effectiveness of communications and stakeholder engagement.
• The status of resources and procurements.

Managing Changes and Boundaries

A significant part of control is managing issues and changes that arise during execution. This involves using problem-solving techniques to evaluate options and initiate changes that feed back into planning and execution.

controlling boundaries between phases, stages, or releases, often called phase gates, is an essential control function. This involves:

• Evaluating the performance and outputs of a completed work segment.
• Providing the governing body (e.g., project board) with the necessary information to decide whether to proceed.
• Ensuring that closing activities for the completed segment have been performed correctly.

Closing Activities

closing activities ensure a formal and orderly completion of work. These activities are performed at the end of each phase, stage, or iteration, and at the conclusion of the entire project. This principle extends to all levels of the work hierarchy.

Phase, Release, and Work Package Closure

At the end of any distinct work execution unit, closing activities include:

• Ensuring the evaluation, acceptance, and transition of all accomplished deliverables for that unit.
• Evaluating the performance of team members and suppliers involved in that unit.
• Conducting administrative closure, such as updating logs and collating lessons learned specific to that unit.

Program and Project Closure

At the very end of a program or project, the closure activities for the final phase are combined with overall final closure tasks. These higher-level activities include:

• Determining the initiative’s overall success against the criteria defined in the initializing reference.
• Preparing a final closeout report for corporate management and stakeholders.

Adapting Delivery Approaches Across Levels

The five core management activities are applicable regardless of the delivery approach chosen. The selection of an approach depends on the predictability of the work content and the stability of its requirements for a given piece of work.

Delivery Approach Types

Approach Type	Description	Best Suited For
Predictive	The work content can be reasonably determined at the beginning.	Work with stable and well-understood requirements.
Incremental	Delivers functionalities in a series of distinct increments.	Work where value can be delivered in parts.
Iterative	Gradually improves already built functionalities through successive refinements.	Work where the final solution is refined over time.
Agile	A combination of incremental and iterative methods.	Work where the work content and solution definition are unknown or unpredictable, and requirements are formulated gradually.

 

Hybrid Scenarios in a Hierarchy

Different approaches can be used at different levels within the same initiative. A program or project may need a fixed budget and timeframe, making its overall management approach predictive. However, a component within that project dealing with significant uncertainty might be best managed using an Agile approach.

In such a hybrid scenario, a supplier developing an Agile component may view their work as “the project.” From the final customer’s perspective, however, that supplier’s Agile work is a single work package within a larger, more complex project whose overall management is not predominantly Agile. This demonstrates how different delivery methods can coexist effectively within the hierarchical structure of an initiative.

Key Takeaway: Regardless of the management philosophy or the chosen delivery approach, all work requires the management activities of initializing, planning, executing, controlling, and closing, applied to the entire program or project, to each phase, release, or iteration, and to every work package.