[OR] [PM] [P1] [T] [A] Plan Phase Master Implementation Checklist

A Practitioner’s Guide to the “Plan” Phase

Practical Tools for the Plan Phase

A Practitioner’s Guide to the “Plan” Phase into practical application.

The appendices provide practical tools, templates, assessment structures, and implementation aids to support the Plan Phase of the Operational Resilience Planning Methodology.

They are designed to help practitioners translate the concepts described in Chapters 1 to 8 into structured organisational activities.

The appendices may be adapted to reflect:

• organisational size

• industry;
  

• regulatory requirements;
  

• risk profile;
  

• existing governance;
  

• existing resilience capabilities; and
  

• internal terminology.
  

The templates should therefore be treated as practical starting points rather than rigid requirements.

The key objective is consistency, traceability, and evidence-based implementation.

Appendix A: Plan Phase Master Implementation Checklist

This checklist provides an overall view of the five stages of the Plan Phase.

Stage 1 —  Assess Capability and Maturity 

• Assessment scope defined
• Assessment objectives agreed
• Resilience capability domains identified
• Maturity model established
• Assessment criteria documented
• Evidence requirements defined
• Stakeholders identified
• Documents reviewed
• Interviews conducted
• Workshops completed
• Maturity ratings assigned
• Evidence validated
• Capability strengths documented
• Capability weaknesses documented
• Integration maturity assessed
• Capability heat map developed
• Assessment report completed
• Management review completed

Stage 2 — Analyse Gap

• Current-state baseline confirmed
• Target state defined
• Regulatory expectations considered
• Organisational strategy considered
• Risk profile considered
• Current and target states compared
• Gaps identified
• Gap severity assessed
• Gap urgency assessed
• Strategic importance assessed
• Root causes analysed
• Interdependent gaps identified
• Related findings consolidated
• Remediation actions proposed
• Accountable owners assigned
• Gap register completed
• Management review completed

Stage 3 — Develop Strategy and Roadmap

• Operational resilience vision defined
• Strategic objectives established
• Guiding principles approved
• Target operating model considered
• Strategic workstreams defined
• Priority initiatives identified
• Existing capabilities leveraged
• Roadmap developed
• Initiative sequencing confirmed
• Dependencies documented
• Ownership assigned
• Resource requirements assessed
• Budget requirements considered
• KPIs defined
• Programme risks identified
• Management reporting established
• Strategy approved
• Roadmap approved

Stage 4 — Confirm Risk Appetite

• Enterprise risk appetite reviewed
• Relevant resilience risk categories identified
• Operational resilience risk appetite statements defined
• KRIs established
• KPIs established
• Leading indicators identified
• Lagging indicators identified
• Thresholds defined
• Escalation criteria established
• Breach management process defined
• Risk acceptance process established
• Indicator ownership assigned
• Management reporting developed
• Risk appetite distinguished from impact tolerance
• Management approval obtained

Stage 5 — Develop and Embed Governance

• Governance model defined
• Board oversight responsibilities established
• Executive responsibilities established
• Executive Sponsor appointed
• OR Steering Committee established
• Terms of Reference approved
• OR Lead responsibilities defined
• Business Service Owner model defined
• Functional ownership clarified
• Risk ownership clarified
• Control ownership clarified
• RACI developed
• Decision rights defined
• Escalation framework established
• Management reporting framework established
• Remediation governance defined
• Assurance responsibilities defined
• OR Policy approved
• Management endorsement obtained

"Plan" Phase of the OR Planning Methodology