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1 Project Management for In-House Lawyers Case Studies Wells Fargo & Co. Law Department Practicing Law Institute New York, New York January 23, 2014 Prepared by: Hal Clarke, Deputy General Counsel Wells Fargo & Co. Law Department Charlotte, NC Background Project Management is a Tool for Organizing Work to Achieve Planned Outcomes – In-House Lawyers Participate in and on Occasion Lead Workstreams in a Project Project Management Tools are Utilized at Various Levels of the Organization o Enterprise wide o Business Division o Line Of Business o Staff Support Unit Legal
Transcript of Project Management for In-House Lawyers Case Studies ...a123.g.akamai.net › ... › pmlawhouse14...
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Project Management for In-House Lawyers
Case Studies
Wells Fargo & Co. Law Department
Practicing Law Institute
New York, New York
January 23, 2014
Prepared by: Hal Clarke,
Deputy General Counsel
Wells Fargo & Co. Law Department
Charlotte, NC
Background
Project Management is a Tool for Organizing Work to
Achieve Planned Outcomes – In-House Lawyers
Participate in and on Occasion Lead Workstreams in a
Project
Project Management Tools are Utilized at Various
Levels of the Organization
o Enterprise wide
o Business Division
o Line Of Business
o Staff Support Unit
Legal
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Background, continued
Project Management Tools are Adapted to Fit the
Circumstances and Needs
o Complexity of Project
o Numbers of People Involved
o Utility in Breaking Work into Tasks for:
Assignment
Sequencing
Identifying interdependencies
Tracking Progress
Identifying and Dealing with Problems
or Unanticipated consequences
Identifying Measures of Success and
Tracking them
Identifying and Preserving Learnings
Library of Projects and
Learnings
Companies Rely on Project Management Professionals
o Complete Projects Successfully
o Manage Risk
When Companies Use Project Management
o Mandated Dollar Thresholds
Enterprise
Business Division
o Other Drivers
Complexity
Risk Management
Multiple Business Lines
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Background, continued
Enterprise Level Project Examples
o Acquisitions
o Merger Integrations
o New Regulation or Process with Cross Business
Division Impacts
Business Division Project Examples
o Creation of Shared Services or Center of
Excellence
o Large Scale Technology Replacement Efforts
Line Of Business Project Examples
o New Product
o New Regulation
Coordination of Legal Work
o In-House and Outside Counsel
o Across Teams In-House
Litigation
o Major matters
o Clear division of tasks and accountability
e-discovery and other litigation services
legal workstreams
o Case plan
o Budgets
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Case Studies
Project to Create Center of Excellence Creating
Workproduct to Support Multiple Business Lines in a
Business Division
Legal Review of Proposed Work Relocation and
Redesign Process
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Multiple Business Line Center of Excellence
Project Plan Development and Leadership
o Division Business Integration Team
Strategic Planning
Project Management
o Leader is an EVP and Member of Division
Operating Committee
o Team includes 40 professionals
Examples of Projects
o Cross Business Unit Strategic Initiatives
o Division Specific Merger Integration
Elements of Project Management
o Project Scope and Definition
o Project Structure
o Project Stakeholders and Participants
o Project Approach and Milestones
o Issue Management
o Risk Management
o Project Plan
o Change Management
o Discipline in managing changes to
Project Plan
o Plan for implementing change
required by new process or procedure
o Project Status Reporting
o Implementation Readiness
o Post Implementation Review
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Multiple Business Line Center of Excellence, continued
(Note: The image below is an example of a Project
Charter template; detailed and legible information is set
out on subsequent pages.)
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Multiple Business Line Center of Excellence, continued.
Overall Goals
Define and implement a process for the review, approval, and distribution of
[Business Process and Workproduct] that integrates all stakeholders into a
common, streamlined process with the following outcomes:
Supports [single process] to support [lines of business including
client facing representatives and clients]
Streamlines reviews by Legal, Risk and Compliance
Achieves timely distribution of process [Workproduct] to internal
and external audiences
Establishes agreed-upon service level agreement (SLAs)
Key Activities
Baseline existing process and stakeholders.
Define a process for review and approval of [Workproduct] by Risk /
Legal/ Compliance.
Define a review process by other constituents
Define process, roles and responsibilities for dissemination of
[Workproduct] across LOBs.
Define process, roles and responsibilities for dissemination of
[Workproduct] to clients and other external audiences,
Define a plan of action to apply the new process and implement the
plan.
Develop and implement SLAs.
S Scope
In scope: TBD – New process is distribution channel-agnostic (independent of
distribution channel used). Process covers all [Workproduct]
Out of Scope: [Identify work or issues that should not be covered by the plan]
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Multiple Business Line Center of Excellence, continued
Key Deliverables
Deliverables:
Baseline of existing [Workproduct] dissemination process in each
LOB
Redesigned process for the distribution of [Workproduct] ,
including the defined role of Risk/Legal/Compliance, Marketing
and Communications in the review and approval of [Workproduct]
Plans necessary to support the launch of the redesigned process –
including communications and rollout
Future state needs for[Workproduct]
SLAs
Implementation of new process
Milestones (need to validate):
Baseline of current state [Date]
Definition of future state vision [Date]
Definition of redesigned process [Date]
Recommendations socialized [Date]
Redesigned process implemented [Date]
Risks
Availability of key resources/stakeholders
Ability to smoothly transition from old to new process
(implementation risk)
Availability of tools (e.g., workflow) to support monitoring of
process performance
Interdependencies
[Other identified ] work stream
Key dates and regular meeting schedule
First meeting – [Date]
Recurring meetings – [Dates]
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Multiple Lines of Business Center of Excellence, continued
Team Structure and Composition
LOB Executive Leadership
o Leaders of LOBs included in project
o Program Manager: Division Program Manager
o Project Manager:[Name of Project Manager]
Steering Committee
o LOB Executive Leadership members
o Division Legal
o Division Compliance
o Divisional Marketing
o LOB business leaders
o LOB Marketing
o LOB Compliance
Work Teams
o Process
Business Point of Contact
LOB business rep
Core Team
LOB reps
Program Support
o Legal Entity
Business Point of Contact
LOB business rep
Core Team
LOB reps
Legal rep
Program Support
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Multiple Lines of Business Center of Excellence, continued
o Technology
Business Point of Contact
LOB business rep
Core Team
LOB reps
Technology rep
Program Support
o Tools and Service
Business Point of Contact
LOB rep
Core Team
LOB reps
Program Support
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Multiple Lines of Business Center of Excellence, continued
Examples of Questions
CURRENT STATE 1. What is the current process by LOB?
2. Who owns the current process and who is the customer?
3. How are Legal and Risk/Compliance involved in the
review/approval process? Are these roles appropriate?
4. How are Marketing and Product involved?
5. Do different types of the [Workproduct] have different
requirements?
6. What are the licensing requirements to [conduct the process and
create the Workproduct]?
7. What mechanisms exist to ensure timely functioning of the
[process]?
8. What are the processes to distribute the [Workproduct]?
FUTURE STATE 1. Who will own this process – single [Division] owner or LOB
owners?
2. What are the critical success factors?
3. Should there be a single Legal and Risk/Compliance review of
the [Workproduct] or reviews by LOB support units?
4. Who will own the future process and respective SLAs
Major Activities
• Baseline existing process and stakeholders
• Define process, roles and responsibilities for distribution of the
[Workproduct] across LOBs
• Develop SLAs. Implement SLAs
• Define process, roles and responsibilities for dissemination
distribution of [Workproduct]
• Define a plan of action to apply the new process and implement the
plan
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Multiple Lines of Business Center of Excellence, continued
Periodic Reports to Steering Committee (Illustrative)
Accomplishments
1. Define senior leadership.
2. Integrate activities across 4 LOBs and 109 team
members to create unified, consistent approach.
3. Simplify governance structures from 27 existing
committees, and integrating people from across
[Division] into one governance process.
4. Standardize [Workproduct] methodologies across
LOBs in key areas.
5. Understand the [Workproduct] produced across
[Division] today.
6. Innovate across [LOBs].
7. Broad acceptance and collaboration to move in the
new direction.
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Multiple Lines of Business Center of Excellence, continued
Periodic Reports to Steering Committee (Illustrative)
continued
Delivered [Date] Status
Establish top-level leader
roles and accountabilities.
Top-level leader roles and accountabilities
identified. Discussion with Legal and Risk in
progress. Announcements pending approval.
Create shared Policy
Committee.
Committee formed with [Name] and [Name]
as co-chairs. Committee operations are being
defined by co-chairs.
Create [Named] Committee.
Committee created with [Names] as co-chairs.
Charter and membership drafted and under
review.
Create sub- committees.
Recommendations on the committee
structures, roles, responsibilities, and
accountabilities are underway. Charter drafted
and under review.
Delivered [Date] Status
Align [process]
methodologies for each work
team.
[Identified Processes] are defining standard
methodologies [Named Process] is also being
integrated across committees rather than be a
standalone group.
Establish coordination
processes across all
committees.
Coordination process for committees will be
complete by [Date].
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Multiple Lines of Business Center of Excellence, continued
Workstreams and Timelines
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Multiple Lines of Business Center of Excellence, continued
Implementation Readiness Assessment
Project Overview
Technology Readiness
Operational Readiness
Team Member Readiness
Client Readiness
Post Implementation Support
Remaining Activities
Stakeholder Sign-off
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Multiple Lines of Business Center of Excellence, continued
Post Implementation Review
Project Results
Comparison of expected project results to actual project results
Expected Results
.
Actual Results
.
Performance Category Success & Items for
Improvement
Lessons Learned
&
Recommendations
Staffing/Training
Success:
Improvement:
Customer Experience
Success:
Improvement:
Team Member Experience Success:
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Legal Project Plan
Plan to support aggregation of similar work from multiple
business lines housed in different legal entities
Understand the proposal, business objectives and timelines
Identify the Legal Workstreams
o Basic Due Diligence – Identify current legal entity
providers of processes and users of those
processes which make up the Work
o Legal and Contractual Limitations – Identify the
statutory, regulatory and contractual limits that
would apply to the proposed aggregation and
relocation of the Work and develop plans to
address these limits
o Supervision and Licensing – Identify the
supervisory and licensing requirements with
respect to the Work; develop plans to meet
supervision and licensing requirements
o Tax issues – Identify any tax issues raised by the
Work aggregation and relocation. Develop plans
to address those issues
o Employment issues – Identify any employment
law issues raised by the Work aggregation and
relocation proposal. Develop plans to address
those issues
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Legal Project Plan, continued
o Agreements – Draft the appropriate third party and
intercompany agreements required to implement
the Work aggregation
o Determine experts needed to complete each
workstream
o Initial Orientation and Planning Meeting
o Periodic Check-In Meetings for check-ins as to
o Progress/Milestones
o Problems
o Interdependencies
o Project Management Support when needed
o Project Completion and Signoff
o Project Review and Debrief
