prepared by michele berrie.doc

Project Management Framework

Project Management Framework Guide

The framework comprises this guide and a set of project management templates, as referenced within this guide.

Prepared by Michele BerrieProject Portfolio Office

Version 3.0

1 May 2005

CRICOS Institution Code 00213J

PROJECT MANAGEMENT FRAMEWORK

PROJECT MANAGEMENT FRAMEWORK GUIDE

Version Control

Version Number Date Reason/Comments1.0 14 March 2003 Additions and edits to document

1.1 1 April 2003 Additions and edits



1.4 12 May 2003 Additions and edits

1.5 19 May 2003 Additions and edits for SC, deletion of forms category information

2.0 26 May 2003 Final edits and changes – to go to SC

2.1 30 May 2003 SC edits and changes

2.2 24 February 2004 Revision of PMF Guide for 2004, including BCF and Internal Audit changes

3.0 1 May 2005 Post Implementation Review Report with change in process for PIR and Activity Completion Report, plus continuous improvement changes to templates and PMF Guide



TABLE OF CONTENTS

Part A – Project Management Framework Information........................................................1

1 Introduction..................................................................................................................... 1

2 Background..................................................................................................................... 1

3 Project Registry, ITAC and P&V....................................................................................2

Major and Minor Projects.............................................................................................2

Project Stages in the Registry.....................................................................................3

Funding for Projects.....................................................................................................3

4 How to Follow the PMF Guidelines...............................................................................4

The Business Case Framework and the PMF.............................................................4

5 Where to Find the Templates for the PMF Forms........................................................5

6 Project Managers at QUT...............................................................................................5

7 Steering Committee Composition.................................................................................5

8 Project Kill and Halt Points............................................................................................6

9 The Project Selection Process.......................................................................................6

10 Document Version Control...........................................................................................7

11 Additional Project Areas for Consideration................................................................7

12 Equity............................................................................................................................. 7

PART B – PROJECT PHASES AND FORMS....................................................................................8

13 PMF Project Phases......................................................................................................8

14 Project Phases and PMF Forms Diagram...................................................................9

15 Initiating Phase...........................................................................................................10

Kill Points in the Initiating Phase..............................................................................10

Project Notification.....................................................................................................10

Project Proposal.........................................................................................................10

Streamlining with a Project Proposal into the Executing Phase............................11

16 Planning Phase...........................................................................................................11

Kill Points in the Planning Phase..............................................................................11

Project Plan.................................................................................................................12

Work Breakdown Structure........................................................................................12

Risk Management Plan...............................................................................................12

Quality Plan................................................................................................................. 13

Communication Plan..................................................................................................13

Change Management Plan.........................................................................................14

17 Executing Phase.........................................................................................................14

18 Controlling Phase.......................................................................................................14

Project Monitoring......................................................................................................15

Status Report..............................................................................................................15

Project Change Requests..........................................................................................15



Integrated Change Control.........................................................................................16

Scope Change Control...............................................................................................16

Time Control................................................................................................................16

Cost Control................................................................................................................16

Quality Control............................................................................................................17

Risk.............................................................................................................................. 17

Communication...........................................................................................................17

19 Closing Phase.............................................................................................................17

Project Closure...........................................................................................................17

Post Implementation Review.....................................................................................18

20 Future of the PMF.......................................................................................................18

21 Appendix A – Project Registry...................................................................................19

Face Status Criteria....................................................................................................20

22 Appendix B – Key Players in a QUT Project.............................................................21

Sponsor responsibilities............................................................................................21

Client Leader...............................................................................................................21

Steering Committee responsibilities.........................................................................21

Deputy Vice-Chancellor (TILS) – or nominee...........................................................21

Expert/Specialist responsibilities..............................................................................22

Internal Audit responsibilities...................................................................................22

Project manager responsibilities...............................................................................22

Project Reference Group............................................................................................22

23 Appendix C – Prioritisation with Weighted Selection Criteria................................24

24 Appendix D – Communication Plan Checklists........................................................26

Marketing and Communication Checklist.................................................................26

Training Checklist.......................................................................................................26



Part A – Project Management Framework Information

1 INTRODUCTION

This document contains a Project Management Framework (PMF) for QUT. The PMF follows best practice program management guidelines with forms and completed examples. Therefore, the PMF can be used as a standard, but flexible, methodology for a wide range of projects across the University. The PMF is a mandatory standard for Asset Management Program Information Technology, AMP (IT), projects and other IT projects at QUT.

This PMF Guide contains customised details for AMP (IT) projects. These projects appear in the Project Registry and are governed by the Information Technology Advisory Committee (ITAC).

IT projects outside the AMP (IT) will abide by the PMF with the following differences:

Funding sources

Governance/approval body

Project Portfolio Office interaction not essential

The PMF is composed of 2 parts:

Part A with general information about projects at QUT.

Part B with details of five overlapping phases during the life of a project: initiating, planning, executing, controlling and closing. Activities and project forms within each phase are explained. The templates for the PMF forms and examples for each are provided separately.

The Project Portfolio Office provides a focus for:

Advice on this document and the PMF templates

Connection to other, experienced project managers for guidance and possible mentoring

Direction for training in the PMF and project management more generally

Applicability of the PMF

Feedback on the PMF

The contact at the Project Portfolio Office is:

Michele Berrie, x1183, [email protected]

2 BACKGROUND

Systems and services at QUT have become increasingly more interdependent and complex over time. A range of project management developments has occurred to address the need to run projects well in this environment. Progress was made in the Corporate Systems arena, stemming from the former Corporate Management Information Committee (CMIC). In 2000 a group from the Division of Information and Academic Services (now Division of Technology, Information and Learning Support) developed the Project Management Framework Version 1 to provide an organised project management methodology.

PMF_GUIDE_V3.0 PAGE 1 1MAY2005

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Further progress in this area occurred through the project methodology standards developed for the Strategic Management and Resourcing using Technological Advances (SMARTA) Project. These standards were a notable step forward in raising the need for a consistent approach and for influencing the format of corporate system project documentation. Finally, the Project Registry Framework was established as a QUT-wide framework to combine project management and governance methods in conjunction with the formation of the Information Technology Advisory Committee (ITAC).

Recommendations from the Internal Audit (IA) Report IT Governance – Project Management Review 2002 resulted in a new project to update the PMF. Inputs to the new PMF:

Recommendations from the IA report

Best practice guidelines from the Project Management Institute (PMI) and its Project Management Body of Knowledge (PMBOK), which is an ANSI standard

Established procedures in the Project Registry Framework

Collaborative feedback from QUT project managers and stakeholders

The result of the project, conducted through the Project Portfolio Office, is the current Project Management Framework with its PMF Guide, templates and associated documents. All are reviewed and updated annually, as required.

3 PROJECT REGISTRY, ITAC AND P&V

The Information Technology Advisory Committee (ITAC) includes the monitoring and reviewing of the implementation of the information technology project portfolio, funding allocation and performance reporting in its Terms of Reference. ITAC submits recommendations to the Physical and Virtual Steering Committee monitors and reviews implementation of the Asset Management Plan, including funding allocation and performance reporting.

The Project Registry is a central repository to provide information to ITAC and other interested parties on current and recently completed IT projects. Most projects in the registry are information technology (IT) projects funded from the Asset Management Plan for Information Technology, AMP (IT) and governed by ITAC, but other IT projects also appear. The Physical and Virtual Steering Committee monitors and reviews implementation of the Asset Management Plan, including funding allocation and performance reporting.

The Project Portfolio Office administers the Project Registry and produces a quarterly report with a brief description of the projects and their current statuses.

Major and Minor Projects

Projects in the Project Registry are categorised as major and minor:

A major project has a total cost greater than $250,000 or is deemed to be “major” by ITAC because of one or more other factors, for example, strategic significance and/or risk.

Minor projects are all other projects.

Project categorisation into major or minor is facilitated by the Project Portfolio Office, but is ultimately decided by ITAC.





Project Stages in the Registry

The Project Registry aligns with project phases in the Program Management Body of Knowledge, PMBOK Guide 2000 (pp 30-31), tailored for QUT projects. See the section on Project Phases and Forms later in this document for more information on the standard phases. The Project Registry stages:

Initiating

This stage begins with the lodging of a Notification Form, which is sent to the Project Portfolio Office. ITAC’s Priority Setting Subcommittee reviews the Notification. The phase continues through the preparation and approval of a Project Proposal. ITAC recommends approval to the Physical and Virtual Committee of projects greater than $500,000. The DVC (TILS) approves projects less than $500,000. Upon approval, project funds are reserved and partial funds may be allocated, as required, for example, to engage a project manager to prepare a Project Plan.

Planning

This stage includes the preparation and approval of a Project Plan. The project steering committee must approve the plan. Subsequent approval by the DVC (TILS) results in the full allocation of funds. When additional funding is required, a Project Plan for a major project will go to ITAC for consideration and approval, if appropriate.

Executing

This stage begins after the Project Plan approval is confirmed and covers the implementation of the Project Plan.

Halted

This status indicates that project has paused while significant changes are considered or taking place.

Terminated

This status results when a project is killed at any stage, for whatever reason.

Closing

This stage involves completing or ending the project, as indicated through a Project Activity Completion Report for all projects. Activity Completion may mean a successful completion of the project or an early termination during the planning or execution stages of the project.

Retired

After completion or termination, a project is retired after submission of a Project Activity Completion Report for all projects and, then, a Post Implementation Review, if required. A Post Implementation Review is required:

o Upon completion or termination of all major projects

o Upon completion or termination of any other project at the request of the DVC (TILS)

See Appendix A to view an entry from the Project Registry.

Funding for Projects

The PMF stipulates that the Project Proposal in the Initiating Phase lays out the elements of a project for consideration for approval by a governing authority. Approval means that funds are reserved and the project passes into the Planning Phase, during which a detailed Project Plan, often with sub-plans, is prepared. Only when the Project Plan is approved, are the reserved funds released to the project. AMP (IT) projects follow this process rigourously.





See the section on Streamlining with a Project Proposal into the Executing Phase for situations in which the Project Proposal may be used as a Project Plan for Amp (IT) projects.

Partial funds may be released to appoint a project manager to prepare the Project Plan. Such a request will be considered on a case by case basis by the DVC (TILS) on the strength of a justifying email message sent to the Project Portfolio Office.

4 HOW TO FOLLOW THE PMF GUIDELINES

The Project Management Framework provides the standards for project management at QUT. AMP (IT) and all IT projects must follow the PMF guidelines. A wide range of other projects at QUT may also use the PMF forms to deliver consistency to QUT project management. Projects in special disciplines like Buildings and those that follow ISO 9001 may be exempt from the PMF. Where the PMF is mandatory, exceptions require endorsement of the sponsor/steering committee.

The PMF supplies the project templates to be used. Flexible changes may be made where appropriate. MS Project is the recommended support tool for PMF projects. However, the basic PMF forms use Word tables. Calculations for costs and resources may benefit from the use of an Excel spreadsheet.

In general terms the length of project documents will be contingent on the scope and complexity of the project. Documents should be as concise as possible with enough information for monitoring, tracking and auditing purposes. Focused documents that are referred to and used should be the goal, no matter what the size of the project. A common complaint is that overly long documents may appear first-rate, but are never read or referred to.

The project manager should perform a risk analysis when determining the rigour with which the PMF should be applied to the project. The project manager should look at the range of project management activities and consider the effort expended compared with benefits gained. For example, a project that costs little but has strategic value may well benefit from a well-developed communication plan.

The Business Case Framework and the PMF

The QUT Business Case Framework (BCF) has been endorsed by the Vice-Chancellor’s Advisory Committee (VCAC) for use with significant University projects/proposals. Generally, these initiatives cost and/or generate income of $1,000,000 or more over the life of the project/proposal, including commitment of University resources involving staff, space and facilities.

The Project Sponsor/Governance Committee/Approving Authority is responsible for deciding whether a Business Case is required, based upon the risk exposure irrespective of the dollars involved, and for allocating responsibility to the initiating faculty/division for its preparation.

A request for a Business Case for a project within the PMF could be made after consideration of the PMF Project Proposal. The Business Case has common elements with the PMF Project Plan and to prevent duplication of effort, the PMF provides a modified BCF Project Plan to prepare in conjunction with the Business Case.

The BCF includes a QUT Project Costing Schedule that may be applied to PMF projects, as the schedule uses PMF costing categories. The schedule is valuable in calculating costs for all projects, including costs over multiple years. The schedule is available with the PMF templates on the web site.

The Business Case Framework Guidelines and template, having originated within the Division of Finance and Resource Planning, are available at:

http://www.frp.qut.edu.au/exec/procedures/index.jsp#bcf





5 WHERE TO FIND THE TEMPLATES FOR THE PMF FORMS

The PMF templates are available as part of the Project Portfolio Office web site, specifically at:

http://www.its.qut.edu.au/pp/framework/pmftemplates.jsp

For each template, a completed example is provided. Part B of this document provides guidance in use of Part A.

6 PROJECT MANAGERS AT QUTThe Project Management Body of Knowledge PMBOK Guide 2000 identifies key project management areas in which all project managers should possess a degree of proficiency, irrespective of the projects they are working on: integration, scope, time, cost, quality, human resource, communications, risk and procurement. Additionally, the PMBOK Guide specifies that project managers should have general management skills: leading, communicating, negotiating, problem solving and influencing the organisation. All these skills contribute to the success of projects in the complex QUT environment in which business activities, systems and other projects are interdependent and integrated.

The project manager should also be knowledgeable about the contents of this, the QUT Project Management Framework (PMF) Guide and its associated forms.

Good managers for projects at QUT may be realised by:

Hiring project managers with expertise already in place

Encouraging professional standard project management accreditation

Raising awareness of the opportunities for staff development in management, negotiation skills, conflict management, etc, at QUT

Providing opportunities for staff members to gain experience by working on projects

Supporting the placement of mentors with project management expertise

Gaining knowledge of and training in the PMF.

Note that the amount of effort expended on project management activities depends on the value and benefits that these activities bring to the project.

7 STEERING COMMITTEE COMPOSITION

A project should be guided by a steering committee and this steering committee should work at a strategic level. The group should be small in number for best practice. A minimum composition is:

Sponsor who is accountable for the project, chairs the steering committee meetings and has ongoing accountability for the outcomes of the project in the form of its end product/services.

Client Leader who provides QUT business leadership, ownership and guidance to the project. This role is critical to the project. Client Leaders can ensure that QUT’s leadership view is inserted into key areas of the projects, for example, timing, cost and quality considerations. They will normally be chosen on the basis of their having a keen interest in the outcome of the project (as a user). They do not have line responsibility for the project’s end product/services. (Client Leader is an expansion of the “client champion” role formerly called for in PMF steering committee composition.)





Expert/specialist, often the key person who will be designing and building the outcomes.

The DVC (TILS) or nominee for all AMP (IT) projects, designated by the DVC (TILS).

Internal Auditor, invited as an observer to attend steering committees of major projects. With AMP (IT) projects, Internal Audit is always queried as to whether they wish to provide a representative on the steering committee.

QUT steering committees are able to use this model as a baseline to form memberships. Other members may be added, as appropriate.

The project manager is usually not a member, but reports to the steering committee. In some instances, the project manager and specialist may be the same person.

See Appendix B for a list of roles and responsibilities of steering committees, sponsors and project managers.

8 PROJECT KILL AND HALT POINTS

The QUT Project Management Framework recognises that conditions may arise that dictate that a steering committee or other decision-making authority should end or halt a project before its completion. Ending a project may be viewed as a positive outcome for all, depending on the situation. For example, a global change in technology may mean that the underlying technology in the project has become obsolete and killing the project will have the positive outcome of funds and resources being released for another project.

An alternative approach may be to halt the project while resizing the project, addressing external factors, finding more funds or making other major changes. Restarting the project will mean resubmission of appropriate documents and sign off by approving authorities again.

Major kill and halt points are:

A project proposal that is examined by ITAC for major AMP (IT) projects or the DVC (TILS) for minor projects, for approval and reserved funding

A project plan that is reviewed by the steering committee for confirmation and final allocation of funds to proceed with implementation.

A steering committee meeting in the execution phase of the project, for example, at a major milestone point, during which reason to kill or halt the project is decided.

9 THE PROJECT SELECTION PROCESS

QUT must fund and progress those projects that provide the best value proposition for advancing its mission and goals according to the QUT Blueprint and the IT Vision and Strategy. The Priority Setting Subcommittee reviews all submitted projects and makes recommendations to ITAC. The Project Portfolio Office informs submitters of the outcomes.

The PMF includes a weighted selection criteria model that an approving authority, for example, the Priority Setting Subcommittee may use to prioritise projects. See Appendix C. The model may be used to score projects proposed with the tabulated results being a guide for the selection process.

Approving authorities in other areas may modify the listed criteria for their own circumstances.





10 DOCUMENT VERSION CONTROL

Project plans and other documents should use version control, that is, show the dates when the documents and plans change with the reason for the change. If required, a table for sign off should be included. If possible, indicate the changes. The changed file may be saved as a new version if tracking the changes is difficult (as in a project plan).

A two-tiered numbering system is the standard: for example, 1.0 and 2.3. A major change requires an increase before the point, while a minor change means an increase in the number after the point. Version 0.0 is the first draft of a document.

The filename of a plan should contain the version number and be contained in the footer as an indicator.

Version control allows effective tracking and information for audit purposes.

A Version Control table is included with most forms and can be inserted where necessary with other documents.

11 ADDITIONAL PROJECT AREAS FOR CONSIDERATION

The PMF is a set of guidelines for many areas of project management. Additional aspects outside the scope of the PMF that should be considered for specific projects are:

Systems Development Framework – A flexible framework with different options for software and systems development available with the PFM templates under Additional Documents. The document is available with the templates from the PMF web site.

QUT intellectual property matters – Identification of intellectual property should take place early in a project so that the decision can be made whether to protect that intellectual property to the benefit of QUT. See the Intellectual Property Policy, Appendix 22 of the Manual of Policies and Procedures. A QUT Copyright Officer is located in the Office of the DVC (TILS).

Procurement – Tendering, purchasing and contract management are wide topics best dealt with through the advice and procedures from the Department of Financial Services.

12 EQUITY

Project staff should always consider equity issues and include these factors at the initial stages of the project. The QUT Equity web site is at: http://www.equity.qut.edu.au/



http://www.equity.qut.edu.au/



Part B – Project Phases and Forms

13 PMF PROJECT PHASES

The Project Management Framework is divided into five standard phases, as defined in the Program Management Body of Knowledge, PMBOK Guide 2000 (pp 30-31), tailored for QUT projects. Each phase has associated activities, but, additionally, the phases overlap.

Initiating processes – preparing a project proposal, then, gaining approval and reserved funding for the project.

Planning processes – defining and refining objectives, preparing the project plans and associated sub-plans for running the project, then gaining final allocation of funding.

Executing processes – implementing the project plans; coordinating people and other resources to carry out the project plans. Typically, this is the longest phase of a project.

Controlling processes – ensuring that project objectives are met by monitoring and measuring progress regularly to identify variances from the plans; taking corrective action when necessary; tracking the variances and changes. Controlling has much overlap with other phases.

Closing Processes – bringing the project to an orderly end: formalising and communicating the acceptance or conclusion of a project, handing over to the ongoing accountable area and holding a post implementation review.

The project manager is not necessarily the one to facilitate each activity, for example, an area manager may prepare a project proposal with the project manager being appointed afterwards.

See next page for a diagram of a typical project as represented through the phases.





14 PROJECT PHASES AND PMF FORMS DIAGRAM

A standard, generic project; time for and level of activities will vary with specific projects



Time

LevelOf

Activity PlanningProcesses

ExecutingProcesses

InitiatingProcesses

Controlling Processes

ClosingProcesses

Project Forms

Notification FormProject ProposalProject Plan Work Breakdown Structure Risk Management Plan Quality Plan Communication Plan Change Management Plan (optional)Project Status ReportProject Change Request FormProject Activity Completion ReportPost Implementation Review Report

Project ApprovalResources Reserved

Project ConfirmationResources Allocated Governance Sign-off

Retired


15 INITIATING PHASE

Definition: declaring and authorising the project

This phase includes notification of the intention of developing a project proposal. As part of the same phase, the authority controlling project resources, typically funding, will approve or reject the proposal. With approval, the AMP (IT) projects will have funds reserved for resources.

The forms for the initiating phase:

Project Notification

Project Proposal

Kill Points in the Initiating Phase

A project will not proceed if:

Notification of the potential project has revealed major conflicts, redundancies, etc.

The approving authority does not approve or fund the project in its selection process.

The area that will provide resources for ongoing costs of the project products after project closure does not sign off on these costs.

Project Notification

Project Notification advises that proposing and developing a project is being considered. This information may be used to review the list of potential projects to determine overlap or redundancy with other projects or systems and to identify integration issues. The potential project may be discarded before much effort has been expended if conflicts or other impacting factors are evident.

If a project is intended for approval from ITAC or the DVC (TILS), a Project Notification form must be completed and sent to the Project Portfolio Office through email: [email protected]. The Priority Setting Subcommittee then reviews the potential project. Other projects may be posted to a local database or list of projects, as available. No facility for registering and tracking projects centrally outside the Project Registry currently exists at QUT.

Information supplied is succinct and broad in nature.

Project Proposal

The Project Proposal defines the conceived project and is the basis for approving and reserving funding for a project. Care must be taken in preparing the document to present the project’s case accurately, so that the University has relevant information to allow it to progress the most valuable projects.

It is vital to consult as many stakeholders as possible in the proposal process to ensure that all aspects of the project are considered and included in the proposal, then in the Project Plan.

The project proposal should clearly state key information, including objectives, scope, scope issues, project assumptions and the business value to QUT linked to success criteria and risks. Poor definition of the objectives and scope often lead to project failure; studies suggest a strong correlation between project success and clear scope definition.

The proposal should contain information on alternative options, if available.




The relevant business area usually prepares the project proposal.

AMP (IT) project proposals are considered by ITAC or the DVC (TILS) by submission through email to the Project Portfolio Office: [email protected]. ITAC’s Priority Setting Subcommittee will review the proposal.

Streamlining with a Project Proposal into the Executing Phase

The DVC (TILS) or other governing authority may approve a comprehensive and complete Project Proposal as a Project Plan for progression to the Executing phase for projects costing less than $85,000. The proposer may indicate the intention when submitting such a Project Proposal.

Where requirements for a specific project indicate, additional information or documents may be requested, as appropriate, for example, a separate Communication Plan for a project.

16 PLANNING PHASE

Definition: defining and refining objectives.

This phase requires completion of a Project Plan.

A Work Breakdown Structure and sub-plans are part of the Project Plan. The sub-plans may be incorporated into the main project plan or may be separate, depending on the value to the project:

Work Breakdown Structure diagram

Risk Management Plan (always separate)

Quality Plan

Communication Plan

Change Management Plan (as appropriate)

The project plan is a dynamic document that supplies an integrated suite of information to coordinate, run and control the project. The level of detail depends on the size of the project and impacts outside the local area. The project manager should always bear in mind that an overly long plan may contain so much detail that the documentation will never be read. An important consideration is to use the PMF forms to ensure that the University has a consistent approach.

The project manager will practise a wide range of skills, including technical, communications, human resource and political to prepare the plan. Best practice stipulates that the project manger should interact with key stakeholders to set up the plan, thereby ensuring that the plan is well thought out, understood and capable of being executed. A high degree of involvement of the project team is desirable.

Finally, all should note that projects are dynamic and will change as they run their course. The project manager should produce the best project plan possible, but the stakeholders should be aware that changes will take place and plans will be modified accordingly. Appropriate stakeholders should be kept informed of any changes to the plans.

Project Plans approved by the steering committee should be copied to the Project Portfolio Office through email: [email protected]

Kill Points in the Planning Phase

A project will not proceed if:




The project’s steering committee or other decision-making authority does not sign off on the completed project plan. If key changes from the project proposal arise in the project plan or external factors supersede the information in the plan, the steering committee may decide to kill the project. For example, new technology may outdate the strategies outlined in the proposal or costs may have spiralled since the proposal was prepared.

ITAC or the DVC (TILS) does not approve the project.

The area designated to provide resources for ongoing costs of the project products after project closure does not sign off on these costs.

Project Plan

The Project Plan is a document that describes and brings together the components of a project. In effect, the Project Plan is the guidebook for all to the project. All aspects of the project should be covered, although the level of detail depends on the size of the project. Detailed project specifications are outside the PMF.

The Systems Development Framework is complementary to the PMF for development projects and may be found with the PMF Templates under Additional Documents.

If the project requires the Business Case Framework (BCF) to be applied, the modified BCF Project Plan template should be used in conjunction with the BCF template to avoid duplication of effort.

Work Breakdown Structure

A Work Breakdown Structure diagram is necessary.

The Work Breakdown Structure (WBS) is a foundation document in project management and all projects should contain at least a high level WBS that shows the main project products or phases with the main tasks. Then, the WBS can provide the basis for planning and managing the key areas of the project. Risks and costs may be referenced against the WBS, as well as time frames and milestones. MS Project is recommended as a support tool to develop a high level work breakdown structure.

Project plans for larger projects should develop multi-level WBSs. The extent depends on the size of the project. Very large projects may have as many as five levels in the WBS, rarely more, because each level requires the corresponding amount of extra work. Adding a level to a WBS increases workload, as each activity in each level must be tracked and recorded.

A graphical representation of the work breakdown structure can be used in reports to management and steering committees as a visual means of showing the status of the project.

Risk Management Plan

The Manual of Policy and Procedures (MOPP) in Policy A/7.10 directs that project risks be managed throughout the life of a project. For a major project provision of a separate risk management plan (RMP) is mandatory, using the Risk Management Plan template. Other projects may use the RMP template or embed an RMP in the Project Plan. It should be noted that the risks identified in the template are generic and must be reviewed, augmented and updated to fit all risks specific to the project.




An important factor is that projects are dynamic and risks, as well as their ratings, will change as the project progresses. New risks, unidentified in the early stages, often emerge over time. Therefore, the project manager should review the RMP regularly and make changes and additions. The evolving RMP through the execution of a major project should be included as part of steering committee meeting papers. For other projects, an update of risks should be specified in the Status Report.

For all projects, risks for at least the top level of the WBS should be considered in the RMP.

Details of steps to manage risk at QUT are found in Risk Management Framework at:

http://www.frp.qut.edu.au/perf/strategic/risk.jsp

An overview:

1. Establish the context: determine the role of the operational area in contributing to QUT’s wider goals, objectives, values, policies and strategies when deciding which risks to address, that is, the value of the effort to manage a risk

2. Identify the risks: look at possible risks from all sources that will impact on all stakeholders

3. Analyse the risks: measure with two elements: likelihood of something happening and consequences if it does happen

4. Assess and prioritise the risks: decide on the importance of the risks

5. Control the risks: consider the following strategies: avoidance, reductions, transferral of risk to another area, ignoring the risk if low risk and little likelihood of happening

Quality Plan

A separate quality plan may be provided, using the Quality Plan template, as appropriate.

Both the quality of the management of the project and the “product” of the project must be addressed. Quality is the “totality of features and characteristics of a product or service that bear on its ability to satisfy stated or implied needs” (ISO8402). Three aspects of quality are taken into consideration: quality planning and standards, quality assurance and quality control. Each aspect is addressed in the quality plan specific categories.

As a minimum, the project plan should include the quality measures and acceptance criteria.

If problems occur with quality, changes in other areas of the project may need to take place, according to the integrated nature of projects.

Communication Plan

A separate communication plan may be provided, using the Communication Plan template, as appropriate.

Effective communication strategies are a critical part of projects. Stakeholders, team members and other interested parties must receive news of project developments, as appropriate. Marketing and raising awareness of the outcomes of the project are also part of the communication plan. Training is another area of communication to be included in the plan.



http://www.frp.qut.edu.au/perf/strategic/risk.jsp


Project managers for AMP (IT) projects are encouraged to contact the Information Technology Services Department Learning and Development Group regarding training and the Marketing and Communication Coordinator for newsletters, emails, brochures, etc, to plan an effective set of strategies. Both areas have a University-wide focus and provide a consulting service to assist in preparing communication and training strategies. Learning and Development also performs a cost recovered service for course development and delivery. See the Marketing and Communication Checklist and Training Checklist in Appendix D.

Change Management Plan

Change is embedded in all projects. Therefore, managing change is required in all projects. An important factor is to involve all stakeholders at the beginning of a project, in the initiating phase in the Project Proposal, so that requirements and impacts are clear.

A well-developed and comprehensive Communication Plan that includes training requirements meets the change management needs for most projects. If workflow changes are part of the outcomes, the QUT Change Management Policy web site should be studied. Interaction with HR is required if a formal QUT Change Management Plan is indicated. The policy web site is available at:

http://www.qut.edu.au/admin/mopp/B/B_11_01.html

17 EXECUTING PHASE

Definition: coordinating people and other resources to carry out the plan

Project plan execution involves implementing the plan by performing the activities in the plan. The project manager must integrate related areas of the project into a harmonious whole. External factors may exert an influence and need to be taken into account. The project manager will again use a wide range of skills, including technical, financial, communications, human resource and political. The aim is to focus on pulling all activities and aspects of the project together to achieve a successful end.

Changes and variances that occur to the plan during implementation feed into the controlling phase of the project, which overlaps all phases of the project.

The project manager will conduct regular project team meetings to discuss progress on activities, project issues and keep track of developments. The project may have a reference group to ensure an appropriately wide range of issues are considered.

The project manager will illustrate project progress using a variety of methods, for example, a Gantt chart in MS Project or a graphical representation of amount completed of the WBS. Regular reporting of the monitoring and measuring of metrics must take place for the steering committee.

The Project Plan should list milestones and kill points. The steering committee will be advised of progress against milestones as the project executes to make determinations of whether to continue execution of, halt or kill the project. Appropriate stakeholders should be kept informed of any changes to the Project Plan.

18 CONTROLLING PHASE

Definition: ensuring that project objectives are met by monitoring and measuring progress regularly to identify variances from the plan so that corrective action can be taken.



http://www.qut.edu.au/admin/mopp/B/B_11_01.html


Controls show that the project is producing the required results (that meet predefined quality criteria), is on schedule in meeting its targets using previously agreed resources and funding and remains viable against its business case. Controls balance benefits against costs and risks.

In conjunction with the execution phase, the project manager will be watching the progress of the project and ensuring that variances from the plan are identified and reported on.

The project manager, the project team and the reference group will handle operational issues and minor variances. The steering committee will take action on major issues and deviations, which are strategic. The project manager should prepare the presentation of information for the steering committee to make informed assessments and decisions.

This phase includes:

Project Status Form for regular monitoring and reporting

Project Change Request Form for requesting significant project changes

Project Monitoring

The Project Plan should have included a schedule for steering committee meetings and other key points to ensure regular tracking of project progress and release of status reports. Additionally, the plan should have identified milestones and project kill points, that is, go/no go decision points for the action of senior management, the steering committee or other authority.

Steering committee meetings may be scheduled around milestone and kill point dates. The project manager should prepare a Project Status report for the committee using the Project Status form provided. Additional material may include specific highlights and achievements, as well as a visual representation of stages of completion of the WBS and other issues such as cost status. The mechanism for requesting changes is the Project Change Request Form.

Status Report

Projects are dynamic. The Project Status Report indicates the areas of a project that may vary as the project proceeds: integration, scope, time, cost, quality and risk. Decisions may then have to be made to adjust the other areas to compensate. If the schedule slips, then resources may be increased to bring the project back on schedule to meet a critical deadline.

The Project Status Report is a tool for reporting on progress of the project suitable for inclusion as a standing agenda item at steering committee meetings. The report has a visual aspect that is valuable for a quick examination of the status of the main project areas.

All Project Status Reports should be copied to the Project Portfolio Office through email: [email protected]

Project Change Requests

The project manager should use the Project Change Request Form to request a significant change in the key project areas. The steering committee has authority must approve all changes. Requests for significant changes, for example, any requests for additional funding, must be sent to the Project Portfolio Office for consideration by ITAC or the DVC (TILS).

Project Change Request Forms approved by steering committees should be sent to the Project Portfolio Office through email: [email protected]




Integrated Change Control

The Project Manager must have a holistic view of key areas of the project with a view to recognising changes in those areas, how the changes impact on other key areas and mitigation strategies. The project manager must also be aware of how the project fits in with other QUT business activities, systems and projects and be prepared to take action or raise awareness if problems arise on this front. The steering committee must be alerted if change is significant, whether internal or external.

Scope Change Control

The Project Manager should have worked closely with stakeholders so that the project plan clearly defined the scope of the project, but a need for a scope change may arise. The project manager should consider the request for change in scope and make a formal submission to the steering committee with the Project Change Request Form which delineates the changes requested, impact on the project completion date, resource requirements, risk versus returns, etc, and a recommendation for approval.

Significant scope change and scope creep (numerous small changes) are a major cause of project failure. The project manager is responsible for managing the change, ensuring that the steering committee is aware of the change in scope, the impacts of the change so that they make informed decisions.

Time Control

Finishing a project on time is a customary measure of whether a project has been successful, but many factors may cause a project timeline to change. The project plan should have built in contingencies. Regular meetings with stakeholders and project team members are an important means of checking the schedule. The project manager should be highly aware of project progress with respect to time and inform the steering committee accordingly.

Steering committee members need a visual overview of project schedule progress, for example, a table of milestones for smaller projects and an MS Project Gantt chart with larger projects. If serious problems occur, the project manager must work with the steering committee to resolve the issues. An alternative is to kill the project.

Cost Control

Comparing the actual project cost against the original planned cost is a customary method of determining whether a project has been successful. As with other elements of a project, costs are subject to change. MS Project is the recommended support tool to track control costs for projects of sufficient complexity.

All project costs should be recorded against the project and reported to the steering committee. The project manager’s responsibility is to ensure accurate reporting and suggested remediation so that the steering committee has all the information needed to act correctly. The steering committee must approve and authorise significant changes to the budget or kill the project.




Quality Control

The project plan should have both quality assurance and quality control measures in place. Quality assurance evaluates the overall project performance to ensure that the end products meet the project standards. Quality control means monitoring and testing the project products using the chosen quality assurance tactics.

Small quality faults can be dealt with operationally, but the steering committee must be promptly informed if quality problems are major. Significant changes to other areas of a project may need to take place to remedy the quality. One choice may be to kill the project.

Risk

Risk management control is critical to the success of a project. Risks will definitely change as the project progresses. Risks unidentified at the time of the creation of the original project plan may appear, as well as new risks. As these risks change and other risks present themselves, the project manager should manage the situation and put forward a modified risk management plan to the steering committee, drawing attention through the Status Report.

Communication

As with other key project areas, the communications plan is likely to change. These changes may occur as a result of modifications in the other areas of the project plan. For example, regular stakeholder meetings to discuss project issues may determine that the project product uptake may be higher than originally foreseen because the product is seen to be worthwhile, so that communication updates must be at a broader level than in the project plan. A need for training may be identified in the meetings and must be written into the project plan.

19 CLOSING PHASE

Definition: formalising acceptance of the project, bringing it to an orderly end and reviewing

This phase provides the opportunity for the organisation to learn from the work done via a review and analysis of metrics.

The forms for the closing phase:

Project Activity Completion Report – required for all projects

Post Implementation Review Report – required for major projects and for other projects at if requested by the DVC (TILS.

Project Closure

The project manager should carry out a controlled close to the project, irrespective of whether the project was completed or ended early. Ongoing work should be assigned to other staff, as appropriate. Project documentation should be completed.

A Project Activity Completion Report should be completed for all projects and sent to the Sponsor and copied to the Project Portfolio Office through email: [email protected]

The Sponsor is responsible for resulting actions (if any) with consideration and response to recommendations, as well as promulgating lessons learned, as appropriate.



mailto:[email protected]


Post Implementation Review

All major projects require a PIR after completion. The DVC (TILS) may request a PIR for any other project, for example, if more information is needed than detailed in the Project Activity Completion Report.

The sponsor should make arrangements for the Post Implementation Review (PIR) when the project closes, as required.

Recommended composition of PIR team for a major project (>$250,000):

o Chair (Not usually the project manager)o 1 steering committee membero 1 independent member from the client areao 1 project team member

Composition of a typical PIR team for a minor project:

o Project manager as organiser and leadero 1 independent member

The review should take place within a time frame appropriate to the nature of the project, often within three months, but as long as six months for a large project.

The Post Implementation Review Report form provided in the PMF templates should be used.

The review should evaluate the way the project was run and assess whether the projected benefits have materialised (or will be). The review should identify the highlights and good practices adopted during the project and contain an evaluation/appraisal of events that occurred, lessons learned and pitfalls to be avoided in future. The project manager, steering committee members and designated stakeholders should have input to the review. Supporting documentation should be supplied, depending on the size of the project.

The report and other resulting documentation should be presented to the Sponsor. A copy should be sent to the Project Portfolio Office (email: [email protected]). The Project Portfolio Office will make the appropriate governing bodies aware of the reports, ITAC for major projects and DVC (TILS) for minor projects.

The Sponsor is responsible for resulting actions (if any) with consideration and response to recommendations, as well as promulgating lessons learned, as appropriate.

The report will be accessible to all through a link from the Project Registry so that the knowledge gained during the project can be reused and taken into consideration when planning and executing other projects.

20 FUTURE OF THE PMFThe ongoing development of the PMF is an iterative process, with annual reviews. The PMF will evolve to meet the increasing demands and complexities of project management at QUT, always following best practice and drawing upon the experiences of project managers at QUT.




21 APPENDIX A – PROJECT REGISTRY

A representative entry in the Project Registry:

Virtual Student Services – Enhancements

Ref. Title Benefits Description Participants Funding Status/Issues2004-45

Lab Monitoring

Original projection

Students will benefit from being able to make informed decisions on which computer labs to use with little or no waiting time.

Support staff will benefit from having access to fault information resulting in less down time.

QUT will benefit from the more efficient use of PCs in labs and the ability to forecast increasing usage of lab PCs.

Realised to date

Students at the CA and KG campuses can see lab availability information

Efficiency of labs on the Lab Monitor should start increasing

This project will provide information on display monitors to the student body showing which labs have available computers. This will result in better utilisation of central computing facilities.

Associated objectives:

Ability to create reports on utilisation of lab PCs

Ability to retrieve fault information from lab PCs

Provision of a web “one stop shop” for all faculty lab information

Sponsor

Neil Thelander, Director ITS

Project Manager

Greg Vickers, TALSS Student Support and Services

AMP 2004 - $53K

Phase: Executing

Scope: Minor

31/12/04

In January 05 the project manager will return to the project from a secondment in IT Security. Project has been on hold during Q4, as approved. Final completion will take place in Q1 2005.




Face Status Criteria

The status of a project is shown visually with an indicative face.

Colour Description Reporting Action

Green.

There are no significant issues. The project is progressing as planned.

None.

Yellow

There are one or more issues which threaten the success of the project however the project manager and/or steering group do not perceive it as having reached the “red” threshold. No governance action is sought.

The issue(s) will be briefly outlined in the Project Registry Index.

Red

There are one or more significant issues which threaten the success of the project to the extent of:

30% or greater cost overrun;30% of greater timeline overrun;likely failure to deliver a significant

component of anticipated project outcomes;

significant external factors emerge which prompt reassessment e.g. vendor takeover, merger or bankruptcy which raises questions as to their product’s viability.

The Project Manager and/or Steering Group will prepare a submission to ITAC (for major projects) or the DVC (TILS) (for minor projects) outlining the issue(s) and providing a recommendation and rationale for its management. The submission will be will be through the Project Portfolio Office in the form of a Project Change Request or other document.




22 APPENDIX B – KEY PLAYERS IN A QUT PROJECT

Projects have sponsors, steering committees, client champions and project managers. Internal Audit may become involved. Projects may have reference teams, as required.

Sponsor responsibilities

Be chief champion of the project

Have accountability for the project and ongoing accountability for the outcomes

Chair the project steering committee

Advocate the project internally and externally

Facilitate and support policy and funding recommendations

Provide overview and direction for the project

Resolve issues identified by the project manager when requested (and agreed)

Support the project manager in carrying out the project

Monitor the project budget

Monitor project risk

Ensure that deliberations of the project are adequately recorded and available to appropriate parties

Client Leader

The client leader should come from outside the project area to ensure objectivity.

Participate as a member of the steering committee

Provide business leadership and guidance to the project

Assist the Sponsor in championing the project

Steering Committee responsibilities

Direct attention to the project at a strategic level

Approve or kill the project plan

Make decisions on whether to approve requested changes in the project plan or kill or halt the project while the project is executing

Ensure that ITAC is advised of significant project issues through the Project Portfolio Office

Make strategic decisions where required

Provide guidance to the project manager

Review project progress and issues with the project manager regularly

Monitor the project budget

Monitor the project risk

Resolve policy issues

Escalate issues where required

Deputy Vice-Chancellor (TILS) – or nominee

The DVC (TILS) will indicate membership or designate a nominee.

Participate as a member of the steering committee

Ensure that communications and considerations of issues between the project and project governance structure take place




Contribute to identification and resolution of interdependent integration issues

Ensure that client needs are addressed to satisfaction in the project

Expert/Specialist responsibilities

For small projects, the expert/specialist may be the project manager and, therefore, a full member of the steering committee.

Provide technical expertise

Internal Audit responsibilities

Internal Audit should always be asked whether they wish to provide a representative.

Undertake an observer role on the project steering committees with rights of audience and debate

Provide advice on internal controls, including computer system security

Provide advice on the application of project management principles

Project manager responsibilities

Manage the project taking into account integration across all areas

Develop project plan

Direct project resources

Manage the project schedule

Manage the project budget

Manage the project risk

Deal with operational issues

Report to the steering committee, raising strategic issues

Prepare project status reports and change requests for steering committee

Ensure project meets requirements and objectives

Manage project team members

Negotiate and resolve issues as they arise across areas of the project and where they impact on other QUT activities, systems and projects

Look after the interests of the project team

Organise and chair project reference group meetings, as appropriate

Communicate project status to project sponsor, all team members, and other relevant stakeholders and involved parties

Maintain project documentation

Project Reference Group

A group of stakeholders brought together to discuss and deal with operational issues for the project. Members may be part of the main project team, but, also, clients/users from areas across the University that will be impacted by the outcomes of the projects. Reference group members should:

Bring operational issues from their areas to the reference group meetings

Look for collaborative solutions

Disseminate needed information and actions resulting from the reference group meetings to their areas

Act as a team for the sake of the project




23 APPENDIX C – PRIORITISATION WITH WEIGHTED SELECTION CRITERIA

(Acknowledgement to the Gartner EXP Premier Report, September 2002 – Getting Priorities Straight by Chuck Tucker and Andrew Rowsell-Jones, which provided the basis for this material.)

Approval authorities must establish a prioritisation process to determine which projects are to be funded. The underlying principle is to choose projects which provide the best value proposition for the University in progressing its mission and goals. In addition, the selection process should have a high degree of transparency. A weighted selection criteria model will be used. The model lists criteria for selection with a weight of importance determined for each criterion expressed as a percentage.

The following steps will be taken:

Identify the criteria and weights using the following table as a start-point; For each project, determine a score for each criterion and therefore establish a

weighted project score – see the table below titled “Sample Project Scorecard”; Rank the projects being guided by the weighted score and costs – see the

example table below titled “Sample Ranked Projects with Budget Cut-Off”.

Table 1 - Criteria and Weight

Criterion Weight % Description

Business Value 40 Components of business value:

The expected benefits of the project expressed by metrics such as student, staff or community satisfaction, product/service quality, or differentiated marketing advantage

The expected financial return from the project – rating how much the planned financial benefits exceed the project cost.

A measure of the negative impact associated with not doing the project

Strategic Theme Fit 15 How well the project supports the University’s current strategic planning themes or emphasis.

Technical Fit 10 How well the project fits with the University’s technical and information architectures.

Risk 15 The risk of the project – being more expensive than planned, not finishing on time, not achieving desired quality, or not achieving the planned benefits. (In this model a high risk needs to be expressed as low score and conversely a low risk needs to be expressed as a high score.)

Compliance 10 Addressing legislative and statutory obligations.




Related projects/initiatives 10 A measure of how much the project is interconnected to other projects or initiatives.

When the criteria and weighting are determined they should be made known to stakeholders.

Projects can be scored as shown in the following table:

Table 2 – Sample Project Scorecard

Criteria Score (0-10) Weight % Weighted Score

Business Value 7 40 280

Strategic Theme Fit 6 15 90

Technical Fit 9 10 90

Risk * 5.5 15 82.5

Compliance 0 10 0

Related projects/initiatives 0 10 0

Total (out of possible 1000) 542.5

Ranking can then be done taking into account weighted score, project cost, ongoing cost and any factors not adequately captured by the weighted score model. The rationale for ranking should be summarised where appropriate for transparency of process.

* For risk, a low score signifies high risk. Table 3 – Sample Ranked Projects with Budget Cut-Off

Project

Ra

nk

Wei

gh

ted

Sco

re

Cost

$K

Av

g O

ng

oin

g

Co

st

Comment

Project A 1 720 340 30

Project B 2 540 23 2 Boosted from weighted score position because of the legislative imperative and low cost.

Project C 3 700 210 100

Project D 4 580 150 9

Project E 5 520 56 4

Cutoff 779 Available budget is $780K

Project F 6 600 550 There is concern about the relatively high cost of the project and that the high project risk is not appropriately represented by the weighted scoring model outcome.

Project G 7 500 130 Will become much more urgent in 2005.




24 APPENDIX D – COMMUNICATION PLAN CHECKLISTS

The Learning and Development Unit and Marketing and Communication Unit, which have a QUT-wide focus, have provided these checklists to assist in drawing up a communication plan that includes training. Drawing on the consultation services of these units is recommended for all AMP (IT) projects and mandatory for those that run within the Information Technology Services Department.

Marketing and Communication Checklist

Communication and marketing aspects to take into consideration for a project. Use the items in the checklist as appropriate:

Y/N Points for Marketing and CommunicationConsultation with Marketing and Communication Coordinator at Project Proposal stage

Consultation with Marketing and Communication Coordinator at Project Plan stage

Assessment of risks (for example, messages about unforeseen problems with project implementation)

Realistic time frame for development and delivery of marketing and communication elements (for example, brochures)

Allocation of budget for marketing and communication (for example, costs of design and printing)

Designation of project manager or team member to be accountable for ensuring the quality of the information (for example, right time, format and audience)

Agreement of marketing and communication strategies/actions by Marketing and Communication Coordinator

Training Checklist

Training aspects to take into consideration for a project. Use the items in the checklist as appropriate:

Y/N Points for TrainingConsultation with Learning and Development team at Project Proposal stage

Consultation with Learning and Development team at Project Plan stage

Assessment of risks (for example, more training required than estimated)

Realistic time frame for development and delivery of training materials

Attention given to type of training and supporting materials

Decisions on who will develop training materials and who will do the training (for example, QUT staff or external)

Consideration of ongoing training needs and support

Allocation of budget for training (for example, development of course)

Designation of stakeholder to be accountable for ensuring the quality of the training from the clients’ or business point of view

Agreement of marketing and communication strategies/actions/budget by Learning and Development team

See the Learning and Development web site for a more extensive checklist:

http://www.itstraining.qut.edu.au/



prepared by michele berrie.doc

Business

project plan

project kill

project registry

project proposal

project managers

project stages

project notification

pmf project phases