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PROJECT MANAGEMENT FRAMEWORK (PMF) Guidance Notes Version Final – 3.04.09.2008 Feb 2008 Version: Final 3.04.09.2008 -1- Introduction and Foreword Swansea University has been successful in attracting a large number of high-value projects in recent years. Many of these projects are innovative and transformational in support of long term strategy. These large projects are a welcome sign of our success and our investment for the future. It is vital that these pioneering projects are well managed by proficient Project Managers and by their School/Department and adequately supported by University administrative support staff. Due to the size and strategic importance of these projects it is essential that we meet agreed timescales, budgets and levels of performance. Failure to do so can result in serious financial loss and damage to our reputation. Consequently one of the most important and supported management processes in the University must be proficient 'project management'. The University has a number of internal departmental project management processes and these have evolved over time to meet the needs of individual schools or budget holders. Many of these processes have served the University well, however the larger size and complexity of current projects has put a strain on these existing project management systems. It is intended that this new project management framework will provide a broad structure using best practice benchmarks. These principles of project management will provide a core approach to project management that can be incorporated with any departmental project management system. The required levels of support, monitoring and reporting will be able to be varied depending on the size and requirements of the project. It is essential to realise that the project management process commences at the initial conception of the project, rather than after the agreement of the funding for the project when the operational delivery phase begins. As such the Project Management Framework will provide project management support during the project definition and planning stages to all projects A review of best practice in the public sector revealed a need for an integrated set of processes throughout the project 'life-cycle'. The life-cycle can be described as a series of distinct stages, with work progressing from conceptual stages through to implementation stages and into operational and post evaluation stage A key part of an effective project management process is the independent review of project progress at the end of each stage, which checks the delivery of the benefits and objectives of each stage before agreeing and moving onto the next stage, thereby ensuring that the university gains the full strategic benefit of the project . I am pleased to endorse the enclosed guidance notes and the associated selection criteria for projects that will be managed under the new process. Professor Richard B Davies Vice-Chancellor Version: Final 3.04.09.2008 -2- Contents 1 Page Why Do We Have a Project Management Framework? ................................. 4 2 What is the Project Management Framework? ............................................... 5 3 Management Reporting in the Project Management Framework ................ 7 4 When to use User/Steering/Advisory Groups? ............................................. 10 5 Which Projects must use the Project Management Framework? ................ 10 6 How do you apply the Framework? ................................................................ 11 7 What support is available? ............................................................................. 12 8 Feedback ........................................................................................................... 13 Appendices A Project Stage Checklist ......................................................................................... 15 B Sample Project Plan ............................................................................................. 18 C Guidance on Project Planning ............................................................................ 20 D Guidance on Risk Assessment and Risk Management ..................................... 23 E What is the role of a User/Sterring/Advisory Group? ...................................... 27 F What happens at the Major Project Monitoring Meetings? ............................ 28 G ROLE DEFINITION – The Vice Chancellors Strategy Group........................ 30 H ROLE DEFINITION – The University Senior Management Team .................. (SMT) Project Director ............................................................................................. 31 I ROLE DEFINITION – The External Project Auditor .................................... 33 J ROLE DEFINITION – Project Reviewer & Advisor ....................................... 34 K ROLE DEFINITION – The Head of School / Director of ................................... Admin Department (HOS/D) .................................................................................... 36 L ROLE DEFINITION – The Project Manager ................................................... 38 M Sample Job Description and Person Specification for a ..................................... Project Manager Post. ............................................................................................... 40 N Template for Project Business Case ................................................................... 40 O Template for Project Plan Narrative ................................................................. 49 P Project Filing Structure ....................................................................................... 50 Q End Project Report Template............................................................................. 51 Version: Final 3.04.09.2008 -3- The Project Management Framework for Swansea University 1 1.1 Why Do We Have a Project Management Framework? Swansea University continually involved in the management of a large number of complex, high value, innovative and transformational projects. The total value of the project work undertaken by the University has grown over recent years to become comparable to its other major funding sources. Excellent management of these projects is essential to ensure the University’s continued success. The size and importance of our projects now mean that if for any reason we fail to meet timescale, budget or performance we could incur damaging financial loss and/or damage to our reputation. Consequently one of the most important and supported management processes in the University must be 'project management'. Many project management processes are already in regular use within schools and departments at Swansea and this new overarching project management framework is intended to help bring these in line with a single University best practice process. The management of a project spans from the initial creation of the idea, through the planning and execution stages and onto the follow up review stage; what is now commonly referred to as the Project Lifecycle. The Project Management Framework provides consistent good practice and guidance on how to manage all sizes of project, across the University. The project management framework provides guidance to all those involved in managing projects to facilitate delivery of successful outcomes. 1.2 The Framework is designed to: provide support and guidance to ensure the best quality of project management; be simple to understand and to operate; be flexible and adaptable to the type and scale of each major project; ensure clear ownership within the University of individual projects; ensure adequate control and provide an appropriate level of reporting to stakeholders; demonstrate transparent decision making at each stage in the project lifecycle; clearly define and support the business case of the project throughout the project lifecycle. clearly identify and communicate the risks in the project; provide an appropriate level of consistency of approach across projects; demonstrate the effective management of risks involved in the project; incorporate existing University processes wherever appropriate; be acceptable to all involved with benefits clearly evident. To identify best practice that could be applied to smaller projects. Version: Final 3.04.09.2008 -4- 2 What is the Project Management Framework? 2.1 The project management framework (PMF) is an approach that can be applied to all sizes of project. The full framework should be applied to all major projects within the University. A definition of a major project can be found in section 5. The general principles of the PMF can be applied to smaller projects. The framework is based on best practice principles of project management, which have been simplified into a University approach. 2.2 Sometimes people consider project management to be concerned simply with the operational delivery stage of a project. However, it is important to recognise every stage requires planning and management from the initial conception and development of the idea through to the assessing longerterm success and impact of the project after it is completed. The Framework therefore adopts a lifecycle approach and separates large projects into the six stages: KEY VCSG – Vice Chancellors Strategy Group PM – Project Manager DRI – Department of Research and Innovation. FD – Finance Director HOS – Head of School 2.3 The most important driver of project success is adequate planning and re-planning at all stages of the project, particularly at the beginning. To fail to plan is to plan to fail! However, in order to plan, it is essential to establish at an early stage the precise objectives of the project. Version: Final 3.04.09.2008 -5- 2.4 When planning the project during Stage 2, you should consider the resources required for each phase of the project all the way through to Stage 5/6. The importance of thorough planning in the initial Stages 2 and 3 of a project cannot be over-emphasised even though this can be a time consuming process. 2.5 Some projects will not end with the completion of the operational delivery phase but will continue past the end of the project probably with associated costs. These continuing costs should be considered and planned into the project during the planning stage. 2.6 Integral to good planning is the identification and management of risks to achieving your plan, and delivering your objectives. The identification of the uncertainties which could affect your objectives, and subsequent identification of control and monitoring measures is risk management. Risk management is not about avoiding the taking of risks, but is about finding ways of managing those uncertainties to a tolerable level to realise the benefits/objectives of the project. Risk identification and management is the responsibility of the whole project team led by the Project Manager, and cannot be left to one individual. The main risks that could endanger project success should be identified and entered into a project risk register. The risk register is an action plan listing the most significant risks to the project achieving its objectives and identifies the agreed actions / control measures to manage the risks effectively. The Framework requires that a risk assessment meeting is carried out at the start of the project and a Risk Register is created and reviewed at regular points within the project. The specific level of risk for the project, both financially and operationally will be approved by the Head of School/Department, Director of Finance and the Senior Management Team through this process. 2.7 Good project management and planning during the early stages of a project (stages 1 & 2) are invaluable but can be difficult when experienced Project Managers are not available within the school/department. The Project Management Framework will therefore commit the Department of Research and Innovation to support projects in developing Project Plans and budgets, and to move through the stages of formal strategic approval from the VCSG in Stage 1 and the Risk Assessment Meeting in Stage 2. Continued project management support can be provided in Stages 3 and onwards through the formalising of this relationship in a secondment agreeing line management arrangements to the HOS/HOD to ensure no conflict of interest in either the Project Manager’s objectives or time. A HOS where suitably permitted may wish to access project management capability from other internal sources such as another School or Administrative Department. This is permissible provided that the Project Manager is formally seconded to the project and complies with the specimen job description (in appendix M) and that approval is given by the SMT Project Director. 2.8 For strategic projects that are developed at a University level, it is critical that the HOS/HOD who will ‘own’ the project is identified during Scoping and Approval in Stage 1. This HOS/HOD must be involved at the earliest opportunity in this stage to ensure their input into the project definition and business case. The HOS/HOD will be responsible for presenting the project definition and Business Case to the VCSG for approval. During the ‘Scoping and Approval’ and ‘Project Planning’ stages, project momentum and scoping can come from outside the School /Department who will own the project. This is perfectly acceptable in Version: Final 3.04.09.2008 -6- stage 1 and 2 as long as the owning School is included in the development of the project and presentation to the VCSG. However, at the end of stage 2 there should be clear transfer of responsibility for the project to the owning School/Department, formalised by way of a Memorandum of Understanding formalising the transfer of financial ownership, operational responsibility and staff. 2.9 During the ‘Operational Delivery’ role of the Project Manager is to manage delivery of the project. They should co-ordinate, monitor and make decisions with regard to project resources (people, money, time, Schedules, etc) and regularly report progress upwards to the project owner (their HOS/HOD line manager). When it is required the PM should escalate project issues1 with a recovery plan. The Project Manager should try to identify a plan to deal with the issue to get the project back on track and present this to the project owner for agreement and or direction. 2.10 When closing the project the Project Manager will be expected to provide clear evidence that the project has achieved its objectives and deliverables/outputs for the project funder and the University. The Project Manager will be responsible for disbanding the project team and documenting the project’s achievements in a final project report. The Project Manager should ensure that all project documentation is clearly archived for future reference by auditors. The final stage for a large major project should be the post project review. This is best carried out by an independent person outside the project. The review should examine the project progress reports, the final project report from the Project Manager, the funding claims, budget spend, and delivery of the project objectives. The management of the project should be reviewed to see if lessons can be learned for use on other or future projects. This review should also try to identify the potential for follow up projects, although these projects can commonly be identified during the latter stages of operational delivery in successful projects. The Post Project Reviewer for the project will be chosen by the SMT Project Director. 2.11 Underpinning this framework, are the monitoring and control functions which are carried out through regular Major Project Monitoring Meetings held at pre-determined key stages; these meetings will result in the creation of a Major Project Monitoring Report (MPMR) to senior management, reviewed and agreed by the Head of School and DRI. The frequency of these review meetings will be likely to mirror the project funders claim meetings and will be agreed with the Director of Finance on behalf of the VC and SMT. The Project Reviewer & Advisor is likely to be DRI where project meetings sensibly can be performed alongside funder claims meetings. Further details on the Major Project Monitoring Meetings can be found in appendix F. 3 3.1 Management Reporting in the Project Management Framework The relationships between the various levels of University management and their responsibilities under the University Project Management Framework are illustrated in figure 1 below. The main responsibilities of the various groups are shown in the shaded sections, but full responsibilities and explanations of role can be found in Appendix G to L. 1 Project issues are where the project is deviating from progress detailed in the Project Plan (Time, Cost, Quality) Version: Final 3.04.09.2008 -7- Figure 1 - Framework for Project Monitoring and Issue Escalation Version: Final 3.04.09.2008 -8- 3.2 The Project Management Framework (PMF) is clear in its requirement that all projects should fall under the responsibility and authority (both operationally and financially) of a single owning Head of School (HOS) or Administrative Department (HOD). Owning the project will mean that the project delivery and budget will be managed through the School/Departmental budget and business plan and any project deficit will be accommodated through existing budgets in the business plan. Where projects involve more than one school or a partnership with another institution, clear ownership and responsibility must be ensured from the start of the project (in Stage 1 or 2) through clear line of authority to a single owning HOS/HOD. This ownership must be agreed and approved by SMT. Steering/User/Advisory groups can be utilised only as advisory groups to the owning HOS/HOD with authority to ensure effective and timely decision making by the head of the project. Ownership of major projects by steering groups is not allowed as this tends to delay and dilute the decision making process and ownership of actions. 3.3 The Project Manager will report directly to the HOS/HOD (possibly through the Principle Investigator), and will formally be part of the School or Departmental staff for the duration of the project. 3.4 It is the HOS/HOD’s responsibility to ensure provision of a capable Project Manager (as defined in Appendix M). Where an appropriately skilled or experienced person does not exist within the school, then the HOS/HOD should seek out project management talent externally or elsewhere within the University. If a Project Manager or even key project staff are selected from another school/department within the University, this should be formalised by a formal secondment agreeing line management arrangements to the HOS/HOD to ensure that there is no conflict of interest in either the Project Managers objectives or time. The Project Manager cannot have more than one upward reporting line. For research projects the Principal Investigator may take on the role of the Project Manager if proposed by the Head of School and authorised by the SMT Project Director, although the PMF recommends a full time Project Manager to oversee the operational running of a major project and costs for this post should be built into the initial project budget. 3.5 The HOS/HOD will be directly responsible to the Vice Chancellor or PVC nominated to oversee the project as SMT Project Director. 3.6 The Project Manager will have a close relationship with the Project Reviewer & Advisor (PRA) who will regularly meet with the Project Manager to review progress on the project (Major Project Monitoring Meetings). They will advise on appropriate actions to resolve any issues or variances from the Project Plan. The PRA is likely to be a member of DRI where project meetings sensibly can be performed alongside funder claims meetings. Where minor issues are identified solutions will be pursued with the project manger & Principal Investigator followed by the HOS/HOD. Where serious issues or significant variances from the plan are highlighted, the Project Reviewer & Advisor should escalate project monitoring to the External Project Auditor for independent advice. Version: Final 3.04.09.2008 -9- 3.7 All project monitoring reports or external project reviews will be communicated upwards through the Director of Finance and onwards to the SMT Project Director and University Council Finance Committee. 3.8 The Vice Chancellor’s Strategy Group will approve the strategic alignment of the project and consequently act as an advisory group when invited by the SMT Project Director during the life time of the project. The VCSG will receive ideas for major projects in Stage 1 along with a high level project definition, outline business case, outline budget and outline Project Plan for approval in alignment with University strategy and aims. 4 4.1 When to use User/Steering/Advisory Groups? For the larger scale/more complex projects, it may be appropriate to establish a User Group / Advisory Group. This is strictly an advisory group and is set up at the discretion of the Head of School. Operational Management must remain with a single HOS/HOD but advise can be obtained from one of these groups. Further information on the role of the User / Advisory Group see appendix E. 5 5.1 Which Projects must use of the Project Management Framework? The Framework is only required to be applied in full to major projects. However, the Framework’s basic underlying principles of identifying a business case, good planning, setting and monitoring progress against targets, review and evaluation of longterm effectiveness of outputs is best practice for any size of project. A major project is any University project with a total whole life expenditure for this University of more than £0.5mn, generally excluding Research Council projects. European funded projects less that £0.5mn can be considered major, if decided by DRI and agreed by SMT. SMT can invoke the Project Management Framework and Risk Assessment Process for any project or initiative regardless of expenditure if they consider that the project may expose the University to higher than normal levels of risk. A major project can include collaboration projects, either; where the total cost of the project is in excess of £0.5mn and Swansea is the Lead Partner, (regardless whether our contribution is less than the £0.5mn threshold); or the project is lead by another partner and Swansea’s contribution to the project is greater than £0.5mn. Version: Final 3.04.09.2008 - 10 - Research Council projects can be excluded from the Risk Assessment process and the Project Management Framework as the University considers these projects to be inherently low risk. There may be exceptions to this dependent on the size of the grant. If, at any stage, you are unsure whether your project requires the application of the full Project Management Framework, please contact the Dept of Research & Innovation. 5.2 When running a project you are required to follow all existing University procedures e.g. personnel, recruitment, procurement, etc. These University regulations are not set out in the Project Management Framework and guidance should be sought from appropriate sources within the University as and when necessary. 5.3 What happens in the case of major research awards? As the University continues to increase its research profile, more research awards will qualify as Major Projects as defined under Section 2 above. In the case of the development of major research applications, it is equally important that due consideration is given to all the relevant issues identified in Stages 1 and 2 of the Framework. In order to ensure that proper consideration is given to these matters, the Principal Investigator and Head of School are required to complete the risk assessment questionnaire and to contact the DRI to arrange a University Risk Assessment Meeting. This risk assessment should be held before the final application is submitted to the funder, to ensure any risks identified can be planned for and costed before successful contracts are offered. This arrangement will also apply to grant applications that are to be submitted electronically. The University will not sign a contract with a project funder until the risk assessment process has been satisfactorily completed. 6 6.1 How do you apply the Framework? The framework sets out a structure for a well managed project and gives guidance in its appendices to help during the important start up, operational delivery, monitoring and closing stages to the project. By reading the main body of this guidance note, you should understand the general structure of a project and the main things that should be done to manage the project well. The appendices contain further guidance and templates for documents which will help potential Project Managers to plan and manage the project. 6.2 The framework identifies a set of checklists for each of the six stages to ensure that all the key issues have been addressed. These are listed in Appendix 2 and these questions probably form the most useful part of the Framework. In planning and running a Version: Final 3.04.09.2008 - 11 - project, it is essential that all the issues identified in the checklists and associated documentation are considered and where appropriate addressed. The following supplementary information is available in the appendices to this guidance note. Project Stage Checklist Sample Project Plan Diagram Guidance of Project Planning Guidance on Risk Assessment What is the role of a User/Steering/Advisory Group? What happens at the Major Project Monitoring Meetings? Role Definition – The Vice Chancellors Strategy Group Role Definition – The University Senior Management Team (SMT) Project Director Role Definition – The External Project Auditor Role Definition - Project Reviewer and Advisor Role Definition – The Head of School / Director of Admin Dept (HOS/D) Role Definition – The Project Manager Sample Job Description & Person Specification for a Project Manager Template for a project Business Case Template for Narrative to accompany a project plan Project Filing Structure End Project Report Template 7 7.1 What support is available? Project management will be a new experience for many staff and it will be essential to provide appropriate initial and on-going training to those involved. Training will be offered in three main areas: understanding the Project Management Framework as operated in Swansea; general project management principles (including people management skills); specific project management tools and techniques. Training will be provided by the Department of Research and Innovation or through the Staff Development Unit. 7.2 Advice on project management issues throughout the University will be provided by the Department of Research and Innovation (DRI) and Finance upon request. Particular assistance will be provided to project originators by the DRI during stages 1-3 when trying to develop the project idea, business case, Funder proposal, budget and Project Plan. 7.3 In addition, the Department of Research and Innovation will administer the framework and will: Version: Final 3.04.09.2008 - 12 - maintain a list of all major projects satisfying the criteria noted under Section 2 above; ensure that for any new major project, the supporting project management process is consistent with the University’s Framework and also appropriate for the complexity of the individual project; propose to the Senior Management Team any projects which do not meet the selection criteria noted above but which might benefit from the adoption of a formal project management approach or risk assessment; forward any adverse reports from the Project Reviewer or Advisor or External Project Auditor to the SMT Project Owner for appropriate action from SMT; Arrange the services of the External Project Auditor where required to solve or investigate major project issues, or to fulfil annual independent reviews if requested by SMT. review the lessons learnt from the operation of the framework, and in particular the evaluation phase of each project, and to continually develop the Framework accordingly, referring any proposals for change to the Finance Committee as the regulatory body for the Framework. 8 8.1 Feedback The Project Management Framework is designed to encourage users to plan and implement projects in a disciplined way so that all the relevant issues are addressed thereby maximising the chances of successful outcomes. Feedback on the usefulness of the Framework and the supporting Guidance Notes is always welcome and should be sent to the Department of Research and Innovation. Department of Research & Innovation February 2008 Version: Final 3.04.09.2008 - 13 - Appendices to the Project Management Framework A Project Stage Checklist ......................................................................................... 15 B Sample Project Plan Diagram ............................................................................. 18 C Guidance on Project Planning ............................................................................ 20 D Guidance on Risk Assessment and Risk Management ..................................... 23 E What is the role of a User/Steering/Advisory Group? ...................................... 27 F What happens at the Major Project Monitoring Meetings? ............................ 28 G ROLE DEFINITION – The Vice Chancellors Strategy Group........................ 30 H ROLE DEFINITION – The University Senior Management Team .................. (SMT) Project Director ............................................................................................. 31 I ROLE DEFINITION – The External Project Auditor .................................... 33 J ROLE DEFINITION – Project Reviewer & Advisor ....................................... 34 K ROLE DEFINITION – The Head of School / Director of ................................... Admin Department (HOS/D) .................................................................................... 36 L ROLE DEFINITION – The Project Manager ................................................... 38 M Sample Job Description and Person Specification for a ..................................... Project Manager Post. ............................................................................................... 40 N Template for Project Business Case ................................................................... 40 O Template for Project Plan Narrative ................................................................. 49 P Project Filing Structure ....................................................................................... 50 Q End Project Report Template............................................................................. 51 Version: Final 3.04.09.2008 - 14 - Appendix A Project Stage Checklist A1 Introduction A1.1 The following is a checklist of generic factors to be taken into account at the five key stages during the life-cycle of a project. The checklist is not exhaustive and, in parts, it may be necessary for the Project Manager to devise more specific questions in consultation with the Project Reviewer & Advisor. It should also be remembered that different people may well be involved in answering questions at different stages of the project e.g. the Project Manager may only be involved in answering questions relating to Stages 3 and 4 whilst the project initiator may only be involved in Stages 1 and 2. A1.2 In some cases, particularly for projects where there are no identifiable associated costs e.g. the development of a strategy, some of the questions below will not be relevant. A2 Stage 1: Scoping & Approval (identification of a need) Has the need been researched and justified? Is the project consistent with the University’s strategy? Is the project consistent with the School’s/Division’s strategy? Have the various options to approach the project been considered and evaluated? Has the cost & benefit to the University been identified taking into account any longer-term recurrent costs e.g. staffing, as well as shorter-term capital costs e.g. accommodation, equipment? What is the impact of the investment on the University’s budget? Have the major opportunities and risks associated with the project been taken into account? Are the appropriate internal resources (including time, personnel and/or skills) available to progress Stage 2 and subsequent stages of the project? Has ‘in-principle’ approval of the project been sought from the appropriate individual(s)/bodies? These issues should be pulled together into a project outline document which should be submitted to the Vice Chancellors Strategy Group for approval. A3 Stage 2: Project Planning What skills does the supporting project team possess and are these adequate for the successful completion of the project? What additional training may be required? Has a detailed project management plan been prepared with SMART (specific, measurable, agreed, realistic and time-limited) targets? YOU NEED TO DEFINE THE MONITORING PART OF THE PROJECT PLAN AS THIS IS WHAT THE PROJECT REVIEWER ADVISOR WILL USE TO REVIEW PROGRESS AGAINST The further checklist for the Project Planning Stage are all included in the ‘Risk Assessment Questionnaire/Checklist’ and associated guidance notes which can be found on the Dept of Research and Innovation website or at the link below. http://www.swansea.ac.uk/research_innovation/ResearchInnovationOffice/RiskAssessment/RiskA ssessmentDocumentation/ Version: Final 3.04.09.2008 - 15 - This stage will culminate in the risk assessment meeting and the sending of the project bid and Project Plan documents to the University Senior Management Team for approval to commence. A4 Stage 3: Start up the Project A5 Do all individuals directly and indirectly associated with the project (including the independent reviewer) clearly understand the objectives of the project and the impact it will have upon them? Are their responsibilities clearly defined? Has the plan been discussed with the independent reviewer? How do you propose to communicate with members of your project team and other stakeholders in the project? Does the proposed project management process follow the University’s Framework? Has the Major Project Monitoring reporting been agreed and planned with the Department of Research and Innovation. Where there are significant time gaps between key milestones, has provision been made for appropriate interim reviews? To which University authority will the independent reviewer report? Stage 4: Deliver the Project The questions for Stage 4 will be posed in the Major Project Monitoring Meeting Questionnaire. But as a general Is the project still on track to the Project Plan? Are all the objectives and deliverables on track for this stage in the project? Have all the scheduled Major Project Monitoring Meetings been completed? Have all project issues been communicated to the HOS/HOD and /or resolved? Are all people involved in the project delivering what’s required? Is the live intranet risk register up to date? A6 Stage 5: Close Project A7 How do you propose to evaluate the outputs of the project on immediate completion in relation to the original objectives and success criteria? Are further evaluation review(s) planned e.g. 6/12/24 months after completion? To which body will these project evaluation reviews be submitted? What lessons have you learnt which could be used to improve the management of similar projects in the future and the University’s project management framework in general? Are there any questions that can usefully be added to the checklist at any of the stages? Stage 6: Post Project Review Did the project deliver the initial expected benefits to the university? How will unforeseen running costs be accommodated? Version: Final 3.04.09.2008 - 16 - How will the project be monitored in the longer-term to ensure that users are deriving maximum benefit? Will there be a successor project and if so, what is the time-scale for its planning/subsequent project management? Version: Final 3.04.09.2008 - 17 - Appendix B Sample Project Plan Diagram for Developing a Web Site Version: Final 3.04.09.2008 - 18 - Version: Final 3.04.09.2008 - 19 - Appendix C Guidance on Project Planning C1 The key factors to be taken into account in planning any project are the objectives of the project, and required resources and time. All three are linked as shown in the following diagram and if one of the parameters is altered, then either or both of the other two will have to change e.g. if the scope of the project is increased, then more time and/or resources will be needed. Time Scope/ objectives C2 Cost The Project Plan is driven by the objectives and deliverables of the project and as such the project cannot be properly planned until the objectives and deliverables of the project are agreed. Once the project is designated ‘Authorised’ at the end of Stage 2, all of the above three factors should be clearly defined and agreed in the project documentation. C3 The Project Plan is the management document which describes how, when and by whom a specific set of targets for products, timescales, costs and quality are to be achieved. A plan is the most important project management tool and it is essential this is kept in line with the business case and aims for the project at all times. It should always be agreed by all levels of management involved in the project. The format of the Project Plan can vary but a visual representation of the tasks, stages and timescales is usually best identified in the format of a Gantt chart or similar. The visual element of the plan should always be backed by a narrative section which details : The plan description - what the plan covers, the approach to be taken, how the plan will be monitored and controlled, any external dependencies, any assumptions made, any pre-requisites to the project commencing or operating. tolerances on time and cost, within which the Project Manager can move before these variations should be escalated as a project issue. Simple Gantt charts can be prepared using a spreadsheet or by using Microsoft Project or other standard software tools can help in constructing detailed Project Plans. It is recognised, however, Version: Final 3.04.09.2008 20 that many projects will not be overly complex and will not require the application of sophisticated software packages. An example of a relatively simple Project Plan to set up a new web site can be viewed in Appendix B It is recommended that a high level plan for the whole project is developed during the ‘Scoping and Approval’ Stage (1) to aid in approval of the project, which can then be developed into a detailed Project Plan during the ‘Project Planning’ stage(2). This plan will be the main project management control document and will be continually reviewed and updated throughout the remainder of the project. C4 The Project Plan is driven by the objectives and deliverables of the project and as such the project cannot be properly planned until the objectives and deliverables of the project are agreed. The objective of the Project Plan should be to: A Understand at a high level what is involved in the project by: Identifying and defining the major deliverables / products of the project. Identifying the main activities to be performed to deliver the deliverables / products and any interdependencies between them. Identifying the key milestones in the project on the route to delivering the final deliverables / products. Identifying the major risks to achieving these activities/deliverables and to plan adequate control and/or counter measures and enter these into the University Risk Register template. Estimating the effort required to plan resource levels required. This should include people and specific skills required where applicable. Specifically consider any dependencies on external products or services. Identifying what time scales are achievable for all activities given the constraints on resource. Deciding the timescales for delivery of each task and timescales of the overall project stages. Identifying overall resource requirements in terms of time required from project staff. Occasionally very high levels of staff resource will be necessary to meet project timescales, but ideally the project should be planned so that there are relatively smooth changes in the amount of resources required. Consideration should be given to the need for specific skills required and specifically any dependencies on external products or services. Identifying the adoption of any University or national standards involved in the project. Profile the project output/deliverable targets over the delivery stages of the project to enable monitoring to check progress. Version: Final 3.04.09.2008 21 B Deciding the number and type of stages involved in the ‘Operational Delivery’ Stage of the project to decided when to review and control progress. C Identify the key milestones which will enable the progress of the project to be monitored. They are concerned with what progress has been achieved rather than how. As such, milestones allow those monitoring the project to check progress without becoming involved in operational issues which are the responsibility of the Project Manager and project team. The best milestones involve simple “Yes/No” answers to the question “Have we reached this particular milestone yet?” Decide the tools and techniques to be used in delivering the project, how to present the plan and progress against the plan. When the project is given authorised at the end of Stage 2, all of the above three factors should be clearly defined and agreed in the Project Plan. Version: Final 3.04.09.2008 22 Appendix D Guidance on Risk Assessment and Risk Management D1 Introduction The University has established a Risk Management System at the corporate/governance level but it is equally important to apply risk management at the individual project level. Risks will obviously vary between projects but they will also vary within a project as it progresses from one stage to the next. As part of preparing a major project application, the School & project team is required to identify the significant risks to the project achieving its objectives and deliverables. These significant risks in the Project Plan will be clearly shown in the project Intranet Risk Register and assessed in the risk assessment meeting in stage 2. Risk identification and management is part of good planning and management. We need to identify the main risks to our actions to achieve our objectives and try to manage these risks to within acceptable levels. D2 What is Risk Management Risk can be defined as an uncertain event or set of events, which should it occur, will have an effect on our ability to achieve our objectives. This could be either a positive or negative affect. So, Risk Management is the activities required to identify and control our exposure to uncertainty which may impact on us achieving our objectives. The aim is to restrict threats to within an expectable level (our risk appetite), and promote opportunities which will benefit our objectives. It is clear that risk management is part of good management and good planning, and is not new, separate or different from activities which may already be going on in the School/Department. D3 Risk management is not about avoiding taking risks but is about finding ways of managing the risks in the project to still realise the benefits/objectives of the project. Risk identification and management is the responsibility of the whole project team lead by the Project Manager, and cannot be left to one individual. Risk Management and Risk Assessment Meetings are not risk aversion. Risk Management does not try to stop us taking any risks but ensures we consider and manage the uncertainties involved in our decisions and plans to within acceptable levels (referred to call the University Risk Appetite). The risk assessment meeting can in fact help the project team understand the risks and wider considerations of their project D4 The main risks that could cause a problem to the project should be identified and entered in to the Risk Register Template. The Risk Register is a key management document; it is an action plan listing the actions to manage the most significant risks to the project achieving its objectives. The Risk Register identifies the agreed actions/control measures to manage the risks effectively and should be reviewed regularly by the project Management Team to ensure the controlled management of the projects significant risks. Version: Final 3.04.09.2008 23 Effective Risk Management will ensure confidence, support and co-ordination throughout the School, project and University. There will always be an element of risk in everything we do, and we should not expect to eliminate risk entirely. A certain amount of “managed risk” is healthy and, if used effectively, risk management will enable us to pursue innovative opportunities, because the exposure to risk is understood and managed within the University Risk Appetite. D5 Just as the involvement of key staff in the project is crucial when setting and ensuring ownership of key performance targets in the Project Plan, it is just as important that key staff are involved in risk identification, evaluation and management. It is important to ensure support and commitment to risk management and cultivate a risk aware culture throughout the project team. Individual team members can be given responsibility for actioning the plan as identified in the Risk Register for individual risks. These people are the risk owners and they must have the appropriate level of authority to enable them to carry out these actions. This does not transfer the accountability for the risk away from the Project Manager. Risk owners should keep the Project Manager updated as to effectiveness of the planned controls and any changes to the level of risk so these can be updated on the electronic risk register. D6 Key Risk Register The Key Risk Register must be a live document held on the staff Intranet system and must be kept up to date and reviewed at least at the end of each stage or at an interim review meeting. This document is ultimately owned by the head of School/Director of Division within which the project is being performed. The register is managed by the Project Manager and updated to the HOS/HOD through the Major Project Reporting process. The ‘key risk register’ is an electronic template / action plan outlining how to manage the significant risks of the project achieving its objectives, outputs and deliverables. The template and the control actions should then be reviewed and updated on a regular basis by the Project Manager. This key risk register must be maintained on the staff intranet system as a live document and updated regularly by the Project Manager, under the supervision of an appropriate school/department group who will decide if any project risks should also appear on the School level risk register.. The format of the risk register template can be seen at the following web page. http://www.swansea.ac.uk/university/StaffInformation/RiskManagement/UniversityRiskRegister/ D7 What risks should be included in the Key Risk Register? Identification of risks requires lateral thinking and common sense and is best usually done via a consensus view from the project team and stakeholders. A useful starting point is the criteria against which the success of the project can be measured and/or the objectives and deliverables for the funder or the University. Try to identify the significant risks to achieving each of the projects objectives, and list these under each objective in the Risk Register. In simple terms the Key Risk Register should include all those significant risks that you think Senior Management should be aware of. This means the risks you would not like occur or become an issue within your project, without senior management knowing that you have already identified it and have been trying to manage it. The register should highlight any risks you think senior management would expect to see in the register due to the type of project you are undertaking. E.g. Version: Final 3.04.09.2008 24 if there are Health & Safety risks, you would include these even if they are very tightly managed, to show that originally significant risks have been managed. All risks that are assessed as being outside the University Risk Appetite must be included in the schools Key Risk Register. The identification, assessment and management of risks should cover all aspects of project operations to achieve the project objectives or outputs for the University and or / the Project funder. Risk Management does not solely focus on the financial/budget risks, although all risks are likely to have financial impact to some extent. D8 Further Information on Risk Management The basic principles of risk identification and management are outlined and more details on the Universities framework for risk management at the corporate governance level can be found on the University Web site at the following address: http://www.swansea.ac.uk/university/StaffInformation/RiskManagement/ Guidance on how to manage risk can be found on the University website under the staff information sections or by following the links below. http://www.swansea.ac.uk/university/StaffInformation/RiskManagement/UniversityRiskRegister/ http://www.swansea.ac.uk/university/StaffInformation/RiskManagement/RiskManagementGuidan ce/ This guidance includes a template for the standard University Risk Register, instructions on how to use it, and general guidance in identifying and evaluating risks and use of appropriate control measures. D9 Risk Assessment The Framework therefore requires that a risk assessment is carried out at the start of the project and a Risk Register is created and reviewed at regular points within the project. The risk assessment meeting will ask the project team to complete a risk assessment questionnaire/checklist which describes the project and certain areas of risk. This is submitted to the panel along with the risk register for review. Where the time elapsed between the end of stage 2 and the end of stage 3 is more than 3 months, the risk assessment meeting decision should be reviewed in light of any changed circumstances before proceeding. The level of risk in a project will be determined in the risk assessment meeting and the project team will be expected to demonstrate they can operate within the levels identified in the University Risk Appetite. The specific level of risk for the project, both financially and operationally will be approved by the Head of School/Department, Director of Finance and the Senior Management Team via this process. Version: Final 3.04.09.2008 25 Further information and Guidance on the University Risk Assessment Process can be found on the University Website at the following address: http://www.swansea.ac.uk/research_innovation/ResearchInnovationOffice/RiskAssessment/ D10 Risk Assessment Meeting The level of risk included in the project and the ways these risks can be controlled or managed by the Project Manager will be evaluated in the Risk Assessment meeting. This takes place at the start of the project in the end of stage 2 (Project Planning). The Risk Assessment of the project will consider the risks and proposed control measures and will evaluate the project against the University Risk Appetite. If the Risk Assessment panel and the University Senior Management Team are satisfied that the project and its risks can be managed, then the project will be approved to commence and start stage 3. The University Risk Appetite is defined in the University Risk Response Matrix. This matrix identifies if the level of risk exposure is acceptable and provides guidance as to how often the risk must be reviewed in line with the University Risk Management Procedures. Risks that are not within the University risk appetite must have mitigating actions / control measures & contingency plans identified and implemented to reduce the risk to a tolerable level. The University Risk Response Matrix can be viewed at the following link. http://www..swansea.ac.uk/university/StaffInformation/RiskManagement/RiskManagementGuida nce/HowtoAssessRisks/RiskResponseMatrix/ Version: Final 3.04.09.2008 26 Appendix E What is the role of a User/Steering/Advisory Group? E.1 For the larger scale/more complex projects, it may be appropriate to establish a User/ Steering/Advisory Group to advise the Head of School. This group is set up at the discretion of the Head of School and agreement of SMT. The Project Management Framework can accommodate such a group and it can provide a valuable channel for the involvement of and input from the clients/stakeholders of the project. This group is not a formal decision making Group and does not have any authority to direct the project by overruling the HOS/HOD. The Clear line of Authority for the project must still remain to the owning HOS/HOD The establishment of a User/Steering/Advisory Group is not a requirement of the Project Management Framework. It should only be set up where there are clear benefits to be gained and it is essential that its role in relation to the other key players is clearly defined and understood by all parties from the outset. E.2 The role of the User/Steering/Advisory Group is purely advisory and it plays no direct role in the operation of the framework or management of the project. It may: provide stakeholder consultation in needs analysis and/or identification of the project’s objectives (Stage 1 and/or 2); offer guidance on the preparation of the original Project Plan (Stage 3); provide support through the delivery stages and follow up stages of the project to test delivery and changes in the projects ability to achieve its objectives. Responsibility for implementing any changes to the Project Plan rests with the Project Manager but must be approved by the Independent Reviewer and SMT Project Owner. E.3 The User/Steering/Advisory Group should not be involved either in the management or monitoring of the project. These responsibilities rest with the Project Manager/Head of School/Divisional Director, the Project Reviewer & Advisor and SMT Project Owner respectively. E.4 The Independent Reviewer must not be part of, nor replaced by a User/Steering/Advisory Group. Version: Final 3.04.09.2008 27 Appendix F F1 F1.1 Major Project Review meetings are held at key stages in the project as specified in the Project Plan and agreed by the Project Reviewer & Advisor (PRA) in stage 3. Their purposes are: F1.2 What happens at the Major Project Monitoring Meetings? to review progress against the Project Plan; to review progress to date against targets for outputs and deliverables to the project funder/sponsor; to determine in the light of progress made what assistance can be given to the project to resolve any issues to check that issues raised at the previous meeting have been resolved; To review the risks to the project in achieving its objectives and update the project electronic intranet risk register. to ascertain whether the targets, timescale and resources are appropriate up until the next review; to report accordingly to the University SMT and Finance Committee The review meetings follow a standard format which operates via a standard Major Project Monitoring Report/Questionnaire. This report is filled in by the Project Manager before/during the meeting and the reviewer’s comments are included in the report after the meeting. Both the PM and PRA will sign the report to agree their comments before sending the reports to the Head of School for a counter signature. Following the HOS/D Signature DRI will submit the Major Project Monitoring Report to the Finance Director who will circulate this to SMT and upwards to Finance Committee. F1.3 Where progress has not been made in line with the agreed Project Plan, the PRA will discuss this initially with the Project Manager and Head of School/Department so that remedial action can be identified to solve the issues. Details of remedial actions will be included in the Project Monitoring Report. If concerns still remain on whether these issues can be resolved within the School, these should be formally recorded on the Major Project Monitoring Form and escalated to the Senior Management Team. F1.5 The PRA can make recommendations in the report about project issues where appropriate; however, these would have to be formally approved by the Senior Management Team. SMT will receive all major project monitoring reports. For projects with failures to meet timescale, budget or performance, SMT will look at the information provided by the School and PRA and make decisions on any remedial action to be taken. F1.6 SMT will review the Major Project Monitoring Reports to decide whether the evidence provided by DRI, the Project Manager and HOS would support the project moving forward onto the next stage of the Project Plan. Version: Final 3.04.09.2008 28 The Senior Management Team may decide to let the project proceed providing certain conditions are met. Where the slippage to plan is very material a major revision of the Project Plan may be required. SMT will communicate with and report to the Management Board and the Finance Committee with regard to the progress of major projects as appropriate. A blank copy of the Major Project Monitoring Report can be viewed on the DRI website. Link to Major Project Report on DRI Website F2 F2.1 When will Monitoring Meetings take Place? Major Project Monitoring Meetings will take place throughout the project although normally they will be held regularly during the operational delivery stages 4 and 5. Where there are significant intervals between delivery stages in the Project Plan. Additional interim review meetings should be arranged so that the progress of the project is formally monitored by the independent reviewer at least once every four months. Review meetings should be planned into the Project Plan at stage 3 and agreed with the Project Reviewer & Advisor. F2.2 The following will be attendees at Major Project Review Meetings: the Project Reviewer & Advisor; the Project Manager; the Head of School / Director of Division (if required) (Optional) Principal Investigator / Head of Department / Budget Holder. If appropriate, the Project Reviewer & Advisor may also invite representatives of those sections (internal or external), who are responsible for providing services /goods to help achieve the specific targets for that particular stage or who are stakeholders in the project. E.g. Estates & Finance, etc. On occasions, it may also be necessary for the Project Reviewer & Advisor to invite additional people to the meeting with relevant experience of/expertise in the specific issues being addressed or who are significantly affected by the project. These individuals may be internal or external to the University. Version: Final 3.04.09.2008 29 Appendix G ROLE DEFINITION – The Vice Chancellor’s Strategy Group G1 This group evaluates, steers and assists potential major projects to the point of approval to proceed to the Project Planning stage. The VCSG should review the project to check alignment against university strategy and suggest modifications if necessary. The VCSG may also suggest the inclusion of other university groups within the project if by doing so, the benefits to the university may be enhanced. G2 The Group makes recommendations to the Management Board regarding these projects via the SMT. G3 The VCSG will contribute to defining the future strategy of the University through the annual process of drafting the Strategic Plan. G4 This will be the group which will authorise major projects as being of strategic importance to the University in Stage 1, allowing the project to be planned and submitted in Stage 2 for formal approval at risk assessment by SMT. G5 The VCSG will assist in scoping the project in Stage 2 to be presented to SMT for authorisation. Version: Final 3.04.09.2008 30 Appendix H ROLE DEFINITION – The University Senior Management Team (SMT) Project Director H1 The SMT can be seen as the University’s ‘internal authority’ for major projects. H2 The role of SMT will be performed as a group but will be lead by an individual member of SMT for each project, this person is the SMT Project Director. This role is for management oversight of project delivery which provides direction and is the point of escalation for project issues that require action or decision. It is not a role as project champion. H3 The SMT Project Director should be a senior person selected on the basis of relevant experience of the types of issues that are likely to arise. Where the skills and experience make it appropriate this role could be passed outside the SMT but the Project Director would need to work through the joint authority of SMT. Where this role is passed outside of SMT, the level of seniority required would be determined by the scale and impact of the project and the nature of the risks associated with it. Where projects are deemed to fall within the direct responsibility of Council, then lay members of Council could be appointed to the role, for example, implementing the National Framework Agreement. Otherwise, the SMT Project Director will generally be appointed from among members of the University Management Board (that includes the Pro-Vice Chancellors and Directors of the main administrative departments) or current/former Heads of Academic Schools and other senior academics. It is essential that the SMT Project Director is not directly involved in the project or is not a key customer of the project. H4 SMT Director functions will include: To play a formal role in the risk assessment and approval of major projects To approve major projects on behalf of the Management Board and the Finance Committee as appropriate To play a formal role in overseeing the ongoing periodic review of existing projects To appoint a Project Review Advisor for each major project that will conduct a searching and independent review of progress at each stage of the project ‘operational delivery stages’ to determine whether objectives have been achieved and whether the project is on track. Version: Final 3.04.09.2008 31 To receive major project monitoring reports regarding material failures to meet timescale, budget or performance on major projects from the independent reviewer and Head of School to make decisions on the remedial action to be taken. To review the Major Project Monitoring Reports, to decide whether the evidence provided by DRI, the Project Manager and HOS would support the project moving forward to the next stage of the Project Plan. The Senior Management Team may decide to let the project proceed providing certain conditions are met. Where the slippage to plan is large a major revision of the Project Plan may be required. To communicate with and report to the Management Board and the Finance Committee with regard to the progress of major projects as appropriate. Hold a meeting with the Project Manager and the Head of School/Director of Department (where required). Version: Final 3.04.09.2008 32 Appendix I ROLE DEFINITION – The External Project Auditor I1 The External Project Auditor (EPA) for a project will be allocated (when required) by the SMT to review the project and report back to the SMT Project Owner on project progress and major issues. The EPA exists to ensure that changes to the key risks to the project or material slippage against timescale, budget or performance are escalated to the SMT Project Owner on a timely basis. I2 The EPA review should be an in-depth audit of the project which reviews all aspects of the projects performance and operations. This review may be invoked by SMT as a response to issues raised in the regular review (major project monitoring meetings) which require further investigation and recommendation, or in response to other factors. I3 The EPA will be the Joint Internal Audit Unit in most cases but will be chosen by the SMT group for each project. Other external bodies may be used where their expertise is more appropriate. Version: Final 3.04.09.2008 33 Appendix J ROLE DEFINITION – Project Reviewer & Advisor J1 The Project Reviewer & Advisor (PRA) is the first level of impartial review and assistance to the project and the Project Manager. The PRA is intended to be a truthful, straight talking friend to the project team, who will attempt to advise and support the project where they are experiencing issues/changes to the key risks to the project or material slippage against timescale, budget or performance. J2 The PRA will be responsible for arranging and carrying out the Major Project Monitoring Meetings/Reports These are regular top level reviews with the Project Manager and Head of School (when appropriate) every 3-6 months, either at funder claim periods or key milestones in the project. This review will compare the project performance to the Project Plan and profiled outputs/deliverables of the project. For most projects this role will be performed by the Department of Research and Innovation (DRI) (who are best suited to combine these review’s with the submissions of the project funder claim reviews). The ultimate choice of PRA will rest with the SMT. J3 The main duties of the Project Reviewer & Advisor are: Conduct as a minimum a bi-annular broad review of the project to assess progress against plan and to provide feedback to SMT on project status. Receive information from the Department of Research and Innovation (DRI) that has arisen from the claim submission process, on progress against the profiled output targets and budget prior to the meeting along with any concerns that DRI may have regarding the project Receive a summary progress report from the Project Manager prior to the meeting Following the meeting submit the Major Project Monitoring Report to the Finance Director. Where progress has not been made in line with the agreed plan to discuss this initially with the Project Manager and Head of School/Department so that remedial action can be identified. If concerns still remain these should be formally recorded on the Major Project Monitoring Report and escalated to the Senior Management Team Make recommendations in the report where appropriate, however, these would have to be formally approved by the Senior Management Team Version: Final 3.04.09.2008 34 J4 It is essential that the Project Reviewer & Advisor (PRA) is not part of the direct management of the project and does not become a ‘champion’ for the project. They will need to remain independent of the project and not be unduly influenced by those driving the project forward. J5 The prime purpose of the PRA is to act as a gate-keeper (on behalf of SMT) and ensure that adequate checks are made on the progress of the project at key stages before it is allowed to move on to the next phase. Where reservations are identified, these should be raised in the first instance with the Project Manager/ Head of School to identify the necessary remedial action. If reservations subsequently remain, these will be formally recorded on the Major Project Monitoring Report by the PRA and drawn to the attention of the SMT Project Owner. This may result in the project being allowed to proceed to the next phase by SMT with conditions attached. If the lack of progress is of major consequence, the overall scope, timescale and/or resourcing of the project may have to be revised. The PRA can only recommend such changes they will have to be formally approved by the FD / SMT Project Director. J6 The PRA should follow the appropriate questions in the Major Project Monitoring Report to ensure that the Project Manager has addressed all the relevant issues. Version: Final 3.04.09.2008 35 Appendix K ROLE DEFINITION – The Head of School / Director of Admin Department (HOS/D) K1 Within the University’s management structure every project will be ‘owned’ by the School or Department which is delivering it. Thereby, the Head of School/Director of Department will have ownership of the project. K2 Ownership of the project is defined as “responsibility for the delivery and costs for the project into the School / Department annual plan and budget”. This issues the School / Department with the responsibility to manage and deliver the project on time and on budget. The School / Department is responsible for any variations outside of the original plan, or overspend on the agreed budget. K3 The HOS/D will be required to get authorisation to commence a major project by presenting the strategic case for the project to the Vice Chancellors Strategy Group. This will require a face to face presentation supported by a Project Business Case, Outline Budget and Outline Project Plan. Templates for these documents can be found in appendices N & O. Once the project has strategic approval the HOS/D will be accountable to SMT through the SMT Project Director. SMT will approve the final project proposal, budget and Project Plan through the Risk Assessment Process. K4 Ownership is formally established by the Head of School/Department agreeing that the terms and conditions established by the sponsor are acceptable and by signing the project contract and returning it to the Department of Research and Innovation (DRI) or Finance Director for cosignatory. Upon receipt of the signed contract the DRI can establish the necessary financial codes to enable staff to be appointed and non-pay expenditure to be incurred. K5 The Head of the School/Director of the Department that ‘owns’ the project is responsible for: o Presenting the initial project idea and business case to the Vice Chancellors Strategy Group. o Ensuring that the project is delivered in accordance with the Project Plan and Business Case as agreed with the sponsor and SMT. It should be noted that the financial consequences of any deviations to established targets will have to be met from within the budget established within School/Department Business Plan. o Ensuring adequate financial monitoring and control over project expenditure. o To escalate issues to the SMT Project Director as and when required. o The line management of the Project Manager (possibly through an intermediary such as Head of Department or Principal Investigator. o To attend the Major Project Monitoring Meetings when invited by the Project Reviewer/Advisor. Version: Final 3.04.09.2008 36 o To review and action the Major Project Monitoring Reports, and to comment and countersign the reports. o To ensure the risks of the project are identified, managed and monitored and where necessary reflected from the Project Risk Register in the School Risk Register. Version: Final 3.04.09.2008 37 Appendix L ROLE DEFINITION – The Project Manager L1 The Project Manager is responsible for ensuring the project is delivered to plan and on schedule. This involves managing all the people and resources of the project including the budget, and ensuring the relevant administration, evidencing and reporting is completed for the project internally and externally to the Project Funder. L2 Every project should have an experienced Project Manager identified and recruited for at least stages 3 to 5. This person must be trained in project management, at a minimum through an internal training course. It is also desirable that the Project Manager will have some knowledge of the project subject. If the project is an EU financed project the Project Manager should have experience of the restrictions imposed by this type of funding. L3 The Project Manager will be recruited for the project via a recruitment panel which must include representatives from the following groups; Head of School SMT Project Director Project Initiator / Principal Investigator DRI / Finance HR L4 The Project Manager should be identified as early as possible in the planning of the project. The Project Manager will ideally be identified during Stage 2 (Project Planning) of the process and will be appointed by the recruitment panel as appropriate in Stage 3. For large major projects this person could be recruited during stage 2 to ensure understanding and continuity for the project. He/she will not necessarily be the same person who conceived the idea or who undertook the option appraisal in Stage 1 & 2. L5 The Project Manager will drive the project forward from the implementation stages 1-3, through ‘Project Delivery’ to its completion in ‘Project Closure’. L6 The Project Manager’s prime responsibility is to ensure that the project produces the benefits and performance targets as agreed in the business case and agreed in the contract with the funder or SMT. These results must be to the required standard of quality and within the specific constraints and tolerances of time and cost as defined in the Project Plan. L7 The Project Manager will be responsible for: Preparing the detailed Project Management Plan. This should include the elements defined in section 7.5.2 below. Identifying and regularly reviewing risks and planning their management/mitigation or contingency plans in conjunction with the HOS and Project Team; ensuring the project’s overall objectives, targets at various key stages and individuals’ roles and responsibilities are clearly understood by all concerned; Version: Final 3.04.09.2008 38 L8 monitoring performance against the plan; Monitoring and controlling the projects expenditure within the tolerances laid down by the budget holder Highlighting and reporting areas of slippage against the plan and identifying/initiating corrective action; Attending meetings with the independent reviewer appointed by the SMT at key stages and preparing Major Project Monitoring Reports prior to each meeting; Ensuring appropriate communication between the members of the Project Team and other project stakeholders including, where appropriate, the end users; Liaise throughout the project with the SMT Project Director, the independent reviewer or the Department of Research and Innovation (DRI). Ensuring that the project complies with the terms and conditions agreed with the Project Funder. Ensuring that the project complies with all appropriate University, national or Project Funder procedures and regulations, e.g. personnel, financial, procurement, ethical, etc. One of the most important documents that the Project Manager will have to prepare is the detailed project management plan which specifies the key tasks, targets, resources and timescales. Production of this plan must be regarded as a top priority in stage 2 as any delay can have serious impacts on the successful implementation of the project. Further guidance on Project Planning can be found in appendix C L9 The Project Manager will generally be supported by a Project Team and will be responsible for managing this team to deliver their outputs. Depending on the nature of the project, the project team will be appointed either by the Project Manager, or the Head of School with input from the SMT and or Dept of Research and Innovation. The size and composition of the team will vary according to the nature and complexity of the project but will generally consist of those directly involved in implementing various parts of the project. Version: Final 3.04.09.2008 39 Appendix M Sample Job Description and Person Specification for Recruiting for a Project Manager Post. This is a template for recruiting an experienced and competent project manager. Some aspects may not apply to your project and further information might need to be added. All of the things mentioned here are good practice qualities required in a project manager and large elements of this should not be disguarded: SWANSEA UNIVERSITY PRIFYSGOL ABERTAWE ?????? School/Department Project Manager for the ???? Project Salary scale: ???? - £????? – ???? per annum Applications are invited for the new position of ???????? ?????????????????? ?????????????????? ?????????????????? It is anticipated that interviews will be held in February 2008. Informal enquiries may be made to ??????????????? [email protected] An application form and further details may be obtained, quoting the appropriate reference, from the Personnel Department, Swansea University, Singleton Park, Swansea, SA2 8PP, tel. (01792) 295136 (24 hours) or at http://www.swan.ac.uk/personnel/Vacancies/. Closing date: Friday …….. 2008, We are an equal opportunity employer aiming for diversity in our workforce. (Month) 200… To be advertised in: UWS Vacancy Bulletin UWS Web Site Jobs.ac.uk THES Version: Final 3.04.09.2008 40 SWANSEA UNIVERSITY PRIFYSGOL ABERTAWE Job Description Post Title Grade School/Department Reports to Responsible for Post Reference* Position* Project Manager Head of School / Department ????? Project *To be completed by the Personnel Department Job Description The project manager will oversee all aspects of running the project including, planning, gathering output/Deliverables evidencing documentation, project administration, monitoring progress, and controlling project resources to deliver the project on time, within budget and to achieve the objectives and deliverables of the project. The Project Manager will be responsible for writing project documentation and reports internally and externally to the project funder, as well as preparing for major project monitoring meetings. The project manager is responsible for co-ordination and completion of the project and to this end will perform a variety of tasks, sometimes within tight project deadlines, and so will need to be able to adapt to changing demands and conditions. The Project manager will report to the Head of School/Department who owns the project. The project manager has authority to run the project on a day to day basis (on behalf of the Head of School/Department). The project manager will have sufficient latitude to exercise a wide degree of creativity in performing this role whilst still ensuring he/she is operating within the wishes and tolerances of the Head of School or Department. _______________________________________________________________________________________ Main Duties and Responsibilities Planning and Problem Solving Tasks 1. The project manger will have ownership of the project budget and will be responsible for maintaining the project finances. 2. The Project Manager must continuously monitor progress in terms of the variance of the project to the plan and budget and report back to the Head of School/Department on an agreed regular timescale. 3. The Project Manager must anticipate and stop deviations from the plan or schedule quickly and keep all participants and stakeholders informed. 4. The Project Manager should continually identify, analyse and manage potential and actual risks. These will be updated in the project intranet risk register and quickly reported with a contingency plan identifying additional resources to the Head of School/Department. 5. Understand the impact of the project activity on the School Business Plan?? Communication Tasks 6. The Project Manager should be capable of defining acceptance criteria for project deliverables and will works towards achieving stakeholder acceptance of deliverables. Version: Final 3.04.09.2008 41 7. The Project Manager must be courteous and effective in written and oral communication, in one-toone situations, small groups, and before large audiences. 8. The project manager should be able to regularly and clearly update the Project Owner (HOS/D) and University Senior Management as to the progress of the project, and any potential or encountered problems. The problems should be accompanied by a proposed plan to get the project back on track by resolving or resolving the problem. 9. Liaison with DRI and sponsors as required? Team management tasks 10. The Project Manager will take on team management responsibilities in relation to the resource available to the project. 11. The Project Manager may work directly with the team members or with their team leaders to estimate effort, plan activities and negotiate delivery among individual team members on their appointed tasks. 12. Third party contractors, will be managed and co-ordinated by the Project Manager. 13. A Project Manager will need to be experienced in providing a team with direction and vision, including motivating people to perform, listening to people, providing feedback, recognising strengths and providing challenges. 14. The Project Manager is likely to be responsible for bringing the project to a close, which may include creating an end of project report or evaluation document, holding ‘project review’ meetings and activities, and capturing and using relevant lessons learned. 15. Dissemination of identified good practice related to project management/processes to internal and external parties Technical and quality tasks 16. The Project Manager must have an understanding of relevant methodologies, processes and standards and ensures that all project team members understand and follow these also. 17. The Project Manager is responsible for the project’s commitment to producing quality results – also referred to as fitness for purpose or meeting specification level, to ensure the project delivers up to the planned standard. 18. Prepare reports and relevant evidencing documentation for the Major Project Monitoring process. Organising tasks 19. The Project Manager will need to create a structure for project documentation and remain conscientious in using it and ensuring that the rest of the team understands and uses it. _______________________________________________________________________________ This is a fixed term position (from February 2008 to end January 2010 in the first instance) and the commencing salary will be on the RG 8 scale for **************** Staff, depending on experience, skills and qualifications, together with USS/College Pension* benefits, if required: Grade: Hours: £***** to £***** per annum (pro-rata). (If appropriate) The appointment is subject to the General Terms of Appointment for …….. set out in paper L…*….., attached. (*Reference number can be found on the web) Informal enquiries are welcome and should be directed to ……………, at ………@swansea.ac.uk. Version: Final 3.04.09.2008 42 The successful applicant will be subject to a criminal conviction standard disclosure to be carried out through the Criminal Records Bureau. Possession of a criminal record will not necessarily be a bar to obtaining a position. The University’s policy and the Criminal Records Bureau’s code of practice on disclosure is available on request from the Personnel Department. Completed application forms should be returned to the Personnel Department, Swansea University, Singleton Park, Swansea, SA2 8PP, by Friday ………………. 200... The Job Description sets out the duties of this post as at October 2007. It may be necessary for these duties to be varied from time to time. Such variations may not, in themselves, warrant re-grading at the relevant time. You are encouraged to investigate these sites on the Internet for more general information about the School/Department of ………………..: www.swan.ac.uk/………., about living in Swansea and its surrounds: www.swansea.gov.uk and travelling to work at the University: http://www.swan.ac.uk/alumniandvisitors/MapsLocation/. Version: Final 3.04.09.2008 43 SWANSEA UNIVERSITY PRIFYSGOL ABERTAWE Person Specification Specified below are the criteria that are necessary to undertake the post. The person specification forms part of the application pack sent to candidates and will be referred to at all stages of the recruitment and selection process. The numbers of rows of criteria in the table should be increased/decreased to fit the criteria that are specific for each post Only candidates who meet the essential criteria of the person specification will be short-listed. Project Manager A proven track record of successful project implementation. For projects which are EU funded, to have experience of similar funded projects and the restrictions imposed by such funding. Experience of managing personalities within a project team, to lead and develop effective working to motivate and empower others in order to reach project goals. Experience of managing project finances and budgets, to ensure the project is delivered within budget and within the financial regulation of the University and the project funder. A thorough knowledge of Microsoft office systems including MS project, Word, Excel and outlook. The ability to create and execute project work plans, demonstrating the ability to estimate, organise and schedule events, activities and resources, and to set up and monitor timescales and plans with built in contingencies. Demonstrate the awareness of and commitment to risk management in the project environment to minimise risk exposure of the University. To be able to identify and analyse issues to decide necessary responses to ensure the project remains on target to meet it deliverables and objectives. Good oral, presentation and written communication skills which can be varied to suit the audience to engage and get complicated project matter across. Good time management skills and the flexibility to work under pressure to achieve sometimes tight project deadlines, and adapt to changing demands and conditions. Desirable Criteria A recognised Professional Project Management Qualification e.g. Prince2 Experience of running large projects in the Higher Education environment and dealing with Stakeholders in the HEI environment. Version: Final 3.04.09.2008 44 Occupational Assessment Education/Qualifications Essential Criteria Application Form Knowledge/Experience Weighting Competencies/Abilities e.g. IT, numerical, communication (including any Welsh Language needs for the post or School/Department), accuracy etc. Interview Method of Assessment Description of criteria and evidence expected: Presentation Post Title Grade School/Department Post Reference* Position* Understanding of the technical or academic aspects of the project work. Demonstrated commitment to own personal and professional and career development and that of others. Ability to speak and write confidently in Welsh Signature of Head of Department: ..................................................................... Version: Final 3.04.09.2008 45 Date: ......................................................... UNIVERSITY OF WALES SWANSEA 2 CRIMINAL RECORDS DISCLOSURE 3 4 RISK ASSESSMENT This form is designed to ensure that the appropriate criminal records disclosure is obtained where members of staff are likely to be in contact with children or vulnerable adults. 1 Will this post involve regular contact with those aged under 18 or with vulnerable adults? YES (If you answer yes to this question a disclosure of criminal conviction will be sought from the CRB. If No, please go to question 4.) 2 If YES to question 1, please give details of the groups and nature of the contact involved: Occasional contact with school children, normally supervised by their school teacher. 3 If this work involves caring for, supervising, training or being in sole charge of these groups, please give further details below. (An enhanced disclosure will be sought if the work involves these factors): n/a 4 Are there any other circumstances why a criminal conviction check should be carried out? (e.g. care of animals) If so please give details below: no Version: Final 3.04.09.2008 46 Appendix N Topic 1 Project Short Name Template for Project Business Case Areas to consider 2 Project Full Title 3 Project Objectives 4 Reasons for Undertaking the Project • Describe the need that will be met by the project and why it is needed now? 5 Options Appraisal • Describe the different options considered for the project including recommendation of the chosen option. You should identify the different options to deliver the project to give confidence that the best option has been chosen. 6 Contribution to University Strategic objectives • Describe how this project will contribute to Universities key Strategic objectives –• Outline high-level strategic and operational benefits such as better use of workspace, more reliable service to citizens. Show how these benefits are linked to key objectives – e.g. better use of workspace is one of the contributory factors that support more efficient workforce, which contributes to key objective of better services to citizens. 7 Stakeholders • Outline the main stakeholder groups and their contribution to the project; note any potential conflicts between different stakeholder groups and their demands. 8 Existing arrangements 9 Opportunities for Innovation and Collaboration 10 Expected Benefits • Outline if this project or any aspects of this project are already being delivered or supported within the University, and how the project fits in with these current arrangements. • Outline any opportunities to develop new ideas within this project which could possibly be commercialised or any opportunities to engage with companies outside of the University. Identify the benefits of the project to the School / Department and the University. These must be expressed in measurable terms against today’s situation. These must not be vague, but must be specific and measurable to ensure they can be assessed later in the project. 11 Constraints • Summarise the main constraints or limitations to the project. This could be in the scope of what you are intending to do, or external limitations on your project. 12 Dependencies • Outline the internal and external factors upon which the successful delivery of this project are dependent, such as other projects and programmes already underway. 13 Critical success Factors Version: Final 3.04.09.2008 • Define the critical success factors for the project – what will constitute success? e.g., citizens will want to use the new service in preference to the previous way of delivering it. Determine how success will be measured e.g., percentage take up of a new service over x years, with milestones for each annual improvement in take up. 47 14 Projected Cost • Identify the top level costs of the project as identified from the Project Plan and Project Budget. Ensure figures are good estimates, highlight large items of expenditure. 15 Project Timescale • Identify the top level timescales of the project summarising from the Project Plan. Be specific and name dates where possible. Highlight key milestones and any potential difficult points in the project. 16 Project risks • Outline the main project risks to achieving each of the projects clear objectives. Customer Quality Expectations / Acceptance Criteria These are measurable characteristics of the final products which need to be achieved for the customer of the project to accept the completion of the project. Consider such things as Target Dates, Product Functions, performance levels, accuracy, availability, reliability, etc. 17 Achievability Identify what evidence there is to support that the project is achievable? Try to identify specific things that support this project such as similar projects that have been run in the past or lessons learned from other project that can be applied to this one to help it. 18 Recommendation • Identify here what you would recommend is the best option for this project and what specifically you would like agreement to from the Vice Chancellors Strategy Group. Version: Final 3.04.09.2008 48 Appendix O Template for Project Plan Narrative The Section headings of a Project Plan narrative are as follows: Plan Description, giving a brief description of what the plan covers and objectives/deliverables to be delivered. Approach to be taken Project Prerequisites – Any aspects that must be in place at the start of the project. External Dependencies Planning assumptions made Project Plan narrative explanation covering – o Project Gant Chart with identified management stages & Key Milestones. o Project resource requirements. o Project Tolerances for time and cost overrun, within which the Project Manager can use before issues should be escalated. o Risk register and Contingency Plan. o How the plan will be monitored & controlled. Version: Final 3.04.09.2008 49 Appendix P Project Filing Structure This is a basic filing structure for the project management documents. Other project documents should also be controlled and filed in a clear documented and understood Structure. It is important with any project documents to ensure a clear document version control system understood by all project team members, and that protected versions are held by the project manager. Business Case - Completed Business Case for Project. VCSG Approval Minute Project Bid/Application - Application made to project funder Project Budget & Spend Profile Risk Assessment Questionnaire & Risk Register Project Contract with Funder Offer Letter Organisation (Management) - Project Plans - Monitoring - Risks Project Closure - Audit - Version: Final 3.04.09.2008 Organisation Chart Project Team Job Descriptions Contracts/ Letters of Agreement with Partners. Log of all Project Issues to track and resolve them, and allow traceability. Project Plan (showing Stages, timescales, milestones, resources, etc) Project Plan Narrative Project Internal documents Major Project Monitoring Reports Output / Deliverable Evidence - As dictated by Funder Online Risk Register End Project Report Output Delivery Confirmation Report Project Archive Summary External Project Auditor Review Report (where used) End Project Audit Report (external) 50 Appendix Q End Project Report Template Purpose of Document The report is the Project Manager’s report to the Project Board (which may pass it on to corporate or programme management) on how well the project has performed against its Project Initiation Document, including the original planned cost, schedule and tolerances, the revised Business Case and final version of the Project Plan. Section Headings:- 1 Achievement of the Project’s Objectives Review of expected benefits achieved to date. Review of Unexpected Project Benefits Review of Unexpected Project Problems Review of User / Stakeholder reactions. 2 Performance against Planned Target Time & Cost 3 Approved Project Changes from initial Project Plan Effects on Original Project Plan Effects on Business Case Statistics Impacts of approved changes 4 Quality of outputs produced 5 Follow-on Action Recommendations To pass details of unfinished work or potential future project modifications to the group charged with future support of the project, 6 Lessons Learned What processes or management decisions went well? Badly? or were lacking? What Abnormal events happened causing deviations from the Project Plan? What Technical methods or tools used within the project were successful/unsuccessful? What was learned from particular project issues encountered. Project Management Framework – recommendations for improvement? 7 Post Project Review – Plan & Date Version: Final 3.04.09.2008 51
