Project Management
Framework
Version 5
Shamala Govindasamy
July 2015
1
Introduction and Foreword
Projects are critical to the realisation of the University’s Strategic Plan as they are a means by
which strategy is implemented. 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 College and adequately supported by
Professional Services 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 principles of project management laid out in the Project Management Framework provide a
core approach to project management that can be incorporated into any project managed by the
organisation. It has been designed with inbuilt flexibility to accommodate the wide range of
projects that we deliver at Swansea University. Therefore the levels of support, monitoring and
reporting will need to be tailored depending on the size, requirements, funder, partners and
complexity of the project.
This revised project management framework has been informed by recognised best practice
benchmarks. We are currently working closely with the Association for Project Management
(APM), the largest professional body of its kind in Europe, to align our practice with established
industry standards and to achieve the highly considered APM Corporate Accreditation status. To
this end, Swansea University considers the APM Body of Knowledge and the APM Competence
Framework as leading knowledge references for project management functions, technical
language and competences.
I am pleased to endorse the refreshed Project Management Framework and its associated
guidance
Professor Richard B Davies
Vice-Chancellor
2
Contents
Introduction and Foreword ............................................................................................................... 2
Contents........................................................................................................................................... 3
Framework Overview and Benefits .................................................................................................. 5
What is a Project? ............................................................................................................................ 5
What is Project Management? ......................................................................................................... 5
Knowledge Base .............................................................................................................................. 6
APM Body of Knowledge .............................................................................................................. 6
APM Competence Framework ...................................................................................................... 6
Accessibility .................................................................................................................................. 6
Relevance to Projects Types ........................................................................................................... 7
Project Life Cycle and Stages .......................................................................................................... 8
Stage 1 - Scoping and Approval ...................................................................................................... 9
Scoping Steps ............................................................................................................................ 10
Scoping Processes ..................................................................................................................... 11
Stage 2 - Project Planning ............................................................................................................. 11
The Project Plan ......................................................................................................................... 13
Risk Identification........................................................................................................................ 14
Stage 3 - Start Up the Project ........................................................................................................ 14
Stage 4 - Deliver the Project .......................................................................................................... 15
Stage 5 – Close the Project ........................................................................................................... 16
Stage 6 - Post Project Review ....................................................................................................... 18
Roles and Responsibilities ............................................................................................................. 18
Governance ................................................................................................................................... 19
University Programme Governance ............................................................................................ 19
Major Projects Board .................................................................................................................. 20
The Major Projects Team ........................................................................................................... 20
Project Managers Forum ............................................................................................................ 21
Project Governance .................................................................................................................... 21
1 - Managing Stakeholders...................................................................................................... 22
2 - Roles and Responsibilities ................................................................................................. 22
3 - Management Forums ......................................................................................................... 22
APPENDIX 1 – PM Records APM BoK Mapping ........................................................................... 24
3
APPENDIX 2 – Swansea University APM Competences ............................................................... 29
APPENDIX 3 – Abbreviations ........................................................................................................ 31
APPENDIX 4 – Risk Assessment Meetings ................................................................................... 32
4
Framework Overview and Benefits
This Project Management Framework (PMF) aims to provide a consistent approach to the delivery
of projects across the organisation. It sets out project types, a project lifecycle with associated
activity for each stage and a set of governance rules.
The implementation of this PMF will provide the organisation with:1.
2.
3.
4.
5.
Continuity as project teams and members have a shared understanding of what is required at
each stage.
Communications as defined stages and documents enable staff to understand what stage to
project is at and what needs to be done next.
Consistency of delivery because projects are guided to follow a universal approach, resulting
in standard documentation and a common shared language.
Improved governance because the framework defines the rules for the initiation and control
of projects.
Clarity over the delivery of the project roles, responsibilities and processes.
What is a Project?
According to the Association for Project Management (APM): A project is a unique, transient
endeavour, undertaken to achieve planned objectives, which could be defined in terms of outputs,
outcomes or benefits. A project is usually deemed to be a success if it achieves the objectives
according to their acceptance criteria, within an agreed timescale and budget1.
What is Project Management?
According to the APM: Project management is the application of processes, methods, knowledge,
skills and experience to achieve the project objectives2.
This PMF provides a basic structure for understanding project management as it is deployed at
Swansea University. The benefits of carrying out effective project management are as follow: Ability to balance competing demands
 Clear and understood project scope
 Identification of project risks with documented strategies
 Consistent method for monitoring and controlling project deliverables and milestones
 Improved communication among project team, executive sponsor, management team and
wider stakeholders
 Ability to measure project performance
 Early Identification of potential problems
 Understanding of impact to timeline and critical path when outputs are changed
 Improved reputation with funders
1
2
APM Body of Knowledge – Sixth Edition 2012 , Association for Project Management
‘What is Project Management’ https://www.apm.org.uk/WhatIsPM (accessed June 2015)
5
Knowledge Base
APM Body of Knowledge
Swansea University considers the APM Body of Knowledge 6th edition (APM BoK) its lead
knowledge reference in terms of the structure of project management functions and technical
language. The APM BoK provides the foundation for the successful delivery of projects,
programmes and portfolios across all sectors and industries and offers the key to successful
project management. It is a scope statement for the profession and a sourcebook for all aspiring,
new and experienced project professionals offering common definitions, references and a
comprehensive glossary of terms. To this end, Swansea University has ensured that it has utilised
the guidance to structure its project management activities and that all internal staff project
management training sessions align with and reference the APM BoK.
All project management documentation has been mapped to the APM BoK and is available in
APPENDIX 1 PM records APM BoK MAPPING.
APM Competence Framework
Swansea University considers the APM Competence Framework 2 nd edition its lead knowledge
reference in terms of project management competences. The publication has proven a valuable
tool for assessing individual’s knowledge and experience, helping to identify training, development
and qualification needs.
The organisation has defined a subset of 18 of the 27 available competences and built a selfassessment tool that adheres to the APM rating scale. See APPENDIX 2 to view the Swansea
University APM Competences. This will allow all project management staff to benchmark their
current knowledge and skills, providing a key baseline for training and development. It will also
allow the organisation to benchmark strengths and weaknesses across various functions and to
support career development pathways. Additionally, the competences have been used as a
baseline for Project Manager Job Descriptions across 3 grades.
Accessibility
Swansea University holds electronic license of both the APM Body of Knowledge and the APM
Competence Framework. These can be obtained by staff, but should not be shared outside of the
organisation, by emailing majorprojects@swansea.ac.uk.
6
Relevance to Projects Types
The PMF provides a description of the scope of activity to be performed by a Project Manager.
The degree of conformance will depend on the type of project and this is summarised in the
following table.
Type of Project
Relevance of PMF
Major Project (EU
funding /
Strategic importance /
value approx. >£1m)
Full compliance is required with any deviations to be agreed by the
Major Projects Board (MPB)
Other Project (large
number of stakeholders Compliance is not required although PMF is the recommended
/ medium project team / standard to be followed with the following changes –
>= £100K)
 Stage 1 – approval by Head of College only

Stage 2 – pre-Risk Assessment check must be completed with
outcome deciding if full risk assessment review is required

Stage 4 - no monitoring by the Major Projects Board

Stage 6 – no Post Project Review is required
Minor Project (small
number of stakeholders Not required to conform but PMF material should be used as ‘best
/ small project team / < practice’ guidance
£100K)
Estates Projects
(or capital elements of
academic projects)
Other Internally funded
projects
Not required to conform, however boundaries (scope, plans,
responsibilities, etc.) must be clearly defined and documented when
activity is a sub-project of an academic project
Not required to conform but PMF material should be used as ‘best
practice’ guidance
7
Project Life Cycle and Stages
A life cycle, as defined by APM, defines the inter-related phases of a project and provides a
structure for governing the progression of the work. To provide the appropriate decision gates at
the right level of the project, they are broken down into stages. This phased structure facilitates the
creation of governance and feedback mechanisms.
The PMF can therefore be shown in a life-cycle approach for the six stages as follows:
NOTE 1: See APPENDIX 3 for Abbreviations
NOTE 2: All relevant gate documents, templates and guidance will be available from Swansea
University project management webpages:- http://www.swansea.ac.uk/pspu/projectmanagement/
NOTE 3: For any queries, suggestions and amendments email majorprojects@swansea.ac.uk
8
Stage 1 - Scoping and Approval
Scoping and Approval is primarily concerned with defining and controlling what is or is not
included in the project. Stage 1 covers the processes required to ensure that the project includes
all the work required and only the work required to complete the project successfully.
The Research, Engagement & Innovation Services (REIS) team provides support to principal
investigators in this pre-award stage of project activity and the University REIS processes are
described in full at
http://www.swansea.ac.uk/business-and-industry/r-and-i/support-business/#d.en.143410
This website provides links to help and advice when applying for external funding. The institutional
Endorsement Form (IEF) must be used to obtain College and institutional approval for all external
funding applications prior to submission.
The University submission policy can be found at
www.swan.ac.uk/business-and-industry/r-and-i/funding-bids/funding-submission%20-policy%20procedures/
For assistance with proposals and contracts the REIS contacts are :
http://www.swansea.ac.uk/business-and-industry/r-and-i/funding-bids/grant-application/
Applicants are requested to provide REIS with a draft proposal early on so that feedback can be
given at least two weeks prior to the deadline/proposed submission date, for proposals with a
total cost of £5,000 or more, to allow time for incorporation into the final application. An
increasing number of bids are being received late by REIS or without an IEF, resulting in a missed
opportunity for help including:






A review of all financial aspects of research grants and contract submissions before
sending to funding bodies to ensure quality and consistency,
A technical/eligibility review, based on specialist knowledge of funding schemes (this is in
addition to any peer review)
Advice to academic and administrative staff on research grant applications including
sponsors' terms and conditions; advice on EU funding opportunities and on proposal
preparation;
Final electronic submission of proposals, including Je-S submission;
Contract review and negotiation;
Advice on using funding search tools such as Research Professional and UKRO.
9
Scoping Steps
Scope Initiation
Scope Planning
Scope
Definition
Scope
Verification
The steps to follow in scoping a project are:Scope Initiation
 Define the business need and the major products or services to be delivered by the project
 Identify the project manager and assign if a large amount of scoping activity is required
 Identify owning HoC/DoPS
 If project manager is not assigned until Stage 3, then project management skills should be
used in Stages 1 and 2 to facilitate the creation of the project plan.
 Ensure that project objectives are written using SMART 3 criteria
Scope planning
 Document the scope in a project definition and business case along with a high level project
plan
Scope definition
 For a large project, break down the scope into more manageable components using Work
Breakdown Structure (WBS) techniques
Scope Verification
 Strategic Development Programme Board (for major project) or HoC / DoPS must authorise
the project proceeding to Stage 2
 Secure agreement from key external stakeholders
3
SMART – Specific, Measurable, Attainable, Relevant and Time-Bound
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Scoping Processes
Processes to facilitate the Scoping and Approval Stage are as follows:-
Quality Planning
Organisation
Planning
Staff
Acquisition
Communications
Planning
Procurement
Planning
Solicitation
Planning
Risk
Identification
Risk
Evaluation
Risk
Mitigation
Further details of the above processes are available from the project management pages on
Swansea University website http://www.swansea.ac.uk/pspu/projectmanagement/
Stage 2 - Project Planning
Planning is of major importance to a project because the project involves doing something that has
not been done before. The amount of planning performed should be commensurate with the scope
and size of the project. Planning is an ongoing process that takes place throughout the lifecycle of
the project.
The steps to follow to plan a project are –
11
Activity estimating
 Identify the specific activities that must be performed to deliver the project
Assign resources
 Determine what resources (people, equipment and materials) and what quantities of each
should be used to perform project activities
Confirm resources
 Confirm the number of work periods that will be needed for the assigned resources to
complete individual activities
Activity sequencing
 Identify and document interactivity dependencies
Schedule development
 Analyse activity sequences, activity durations and resource requirements to create
the project schedule
Cost estimating
 Develop an approximation (estimate) of the costs of the resources required to complete
project activities
Cost budgeting
12

Allocate the overall cost estimate to individual work activities
Document and baseline
 Take the results of the other planning steps and put them into a consistent coherent
document
 Secure agreement or ‘buy-in’ from key stakeholders
 Baseline agreed of plan along with budget
Track plan and update
 Enter actual performance into schedule and use project network to forecast impacts
 Replan and make adjustments to either resources, activities or the network to ensure
that the project objectives are maintained
The above steps should be considered iterative until agreement is reached.
The Project Plan
The most important driver of project success is adequate planning and re-planning at all stages of
the project, particularly at the beginning.
The project plan is used to:




Provide an understanding of the activities involved in the project
Understand –
o how long a project will take
o what resources will be required
o how much it will cost
Communicate and explain the project to stakeholders and the project team
Allocate work to different people in the project
Provide a basis for managing the project to successful completion
The project plan is a formal approved document used to manage project execution. The project
schedule lists planned dates for performing activities and meeting milestones.
A project plan should include all of the following:






Description of business need
Description of major products or services to be delivered by the project
Description of project management approach or strategy
Scope statement which includes the project objectives and deliverables or work products
Work breakdown structure to the level at which control will be exercised
Cost estimates, scheduled start and finish dates and responsibility assignments for each
deliverable or work product
Performance measurement baselines for the technical scope, schedule and cost
13



Major milestones and target dates
Key or required staff and their expected cost and/or effort
Completed risk register with key risks defined and assessed and planned controls identified
and contingencies estimated

Risk Identification
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. 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
College/Director of Administration, Director of Finance and the Senior Management Team through
this process. 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
proceed and to start Stage 3.
See APPENDIX 4 – for the conditions and timing of risk assessment meetings.
More details on the University’s framework for risk management can be found at www.swansea.ac.uk/pspu/riskmanagement/
Stage 3 - Start Up the Project
Starting up the project is the process of negotiating and receiving formal funding approvals and
carrying out the necessary initiation tasks to allow the Deliver the Project Stage to begin. Stage 3
starts with the formal submission of the project bid to the funder. A period of negotiation and
handling of queries will normally follow until the funder formally approves the project start. Any
significant changes to project scope or schedule during this period will require Stages 1 and 2 to
be re-visited. The same facilitating processes as used in Stages 1 and 2 are used in the Start Up
the Project Stage –
Quality Planning
Organisation
Planning
Staff
Acquisition
Communications
Planning
Procurement
Planning
Solicitation
Planning
Risk
Identification
Risk
Evaluation
Risk
Mitigation
14
Further details of the above processes are available from the project management pages on
Swansea University website http://www.swansea.ac.uk/pspu/projectmanagement/
Stage 4 - Deliver the Project
Deliver the Project is the process of executing and controlling the project plan. When a significant
variance is observed, which jeopardises the project objectives, then adjustments are made to the
plan by repeating the appropriate planning processes.
During the Deliver the Project Stage the 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 relevant
forum.
Project plan execution

Deliver the project plan by performing all the activities in the project plan.
Performance reporting



Collecting and disseminating performance information including status reporting,
progress measurement and forecasting
Project tracking is required in order that the project manager can be assured that the
project is proceeding to plan. Information that is derived from the tracking process is
presented in the form of reports that should be circulated and discussed at appropriate
reviews. The following reports should be created by the project –
o Steering Group (or Project Board) Highlight Report
o External Status Report to Funder
Project rarely fun completely to the original plan. Progress reviews provide an efficient
mechanism above the level of task management to ensure progress on a regular basis.
The following reviews should take place at:o Project Steering Group (or Project Board) Meeting
o Project Sub-Group Meetings
o Project Team Meeting
o Quarterly Claim Review Meeting
Issue management

Issues should be recorded on an issue log with actions tracked on a regular basis. The
status of issues should also be included in highlight or monitoring reports, as
appropriate. Key issues requiring immediate attention should be escalated to the chair
of the relevant Steering Group or Project Board as they arise.
15
Change control

Change to scope, schedules or costs should be coordinated across the entire project
and included in highlight or monitoring reports.
The following facilitating processes are used in delivering the project:-
Quality
Assurance
Team
Development
Information
Distribution
Solicitation
Source
Selection
Contract
Administration
Scope
Verification
Scope
Changes
Risk
Monitoring
Schedule Control
Cost Control
Quality
Control
Further details of the above processes are available from the project management pages on
Swansea University website http://www.swansea.ac.uk/pspu/projectmanagement/
Stage 5 – Close the Project
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 project completion report.
The Project Manager should ensure that all project documentation is clearly archived for future
reference by auditors in line with the funder’s requirements, adhering to Swansea University
Closure Guidelines and fully recorded in the organisation’s Project Closure Report.
16
Steps to follow are:-
Administrative
Closure
Contract Closeout
Contract Closeout

Verify that all supplier activity has been completed successfully in accordance with
Procurement Management Guidelines. See:http://www.swansea.ac.uk/finance/procurement/informationforstaff/policyandprocedures/
Administrative Closure
 Closure of all project finances including recognition of any gains or losses related to the
College Business Plan and closure of financial codes
 Formal handover of the continuing management of the inventory of project assets
 Production of final financial documentation and final reports to funder
 Preparation of communications related to project achievements and holding of any
celebration events
 Creation of a project completion report which should include summaries of –
 Finances, planned and actual expenditure with explanations for all significant variances
 Schedules, planned and actual achievements with explanations for all significant
variances
 Outputs, planned and actual achievements with explanations for all significant variances
 Resources, planned and actual staffing with explanations for all significant variances
 Lessons learned
 Recommendations for future projects
 List of material archived and retrieval procedures
 Formal project closure review meeting held with REIS and PSPU for Major Projects
 Archiving of project files in line with funder’s requirements
 Final review held by project board or steering group and then disbanding or closure of
all project governance arrangements
 Release project resources
17
Stage 6 - Post Project Review
The final stage for a large major project should be the post project review. The review should
examine the project progress reports, the project completion report, 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 Major Projects Board. This stage is only required for major
projects.
Roles and Responsibilities
For major projects, it is critical that the HoC/DoPS who will ‘own’ the project is identified during
Scoping and Approval in Stage 1. This HoC/DoPS must be involved at the earliest opportunity in
this stage to ensure their input into the project definition and business case. For major projects,
the HoC/DoPS will be responsible for presenting the project definition and Business Case to the
Strategic Development Programme Board for approval. While all of the activities above are
relevant to all projects, the amount of activity should be performed in line with the scale of the
project.
During the ‘Scoping and Approval’ and ‘Project Planning’ stages, project momentum and scoping
can come from outside the College /Department who will own the project. This is perfectly
acceptable in Stages 1 and 2 as long as the owning College is included in the development of the
project and presentation to the SMT Owner. However, at the end of Stage 2 there should be clear
transfer of responsibility for the project to the owning College/Department, formalised by way of a
Memorandum of Understanding formalising the transfer of financial ownership, operational
responsibility and staff.
It is recommended that a high level plan for the whole project is developed during the ‘Scoping
and Approval’ Stage 1 to aid in the approval of the project. This 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.
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.
Deciding on project structure and governance arrangements is a key activity which should be
defined as early as possible in the stage life cycle.
The University has an overall governance structure for projects which is described below.
Guidance on governance arrangements at project level is also articulated.
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Governance
University Programme Governance
The University Senior Management Team provides oversight of all University projects in planning
via the Strategic Development Programme Board (SDPB) which is chaired by the Pro ViceChancellor. The purpose of the SDPB is to review prospective strategic opportunities and manage
these through to the award stage. Further details of the responsibilities of SDPB can be found on
the Swansea University project management webpages.
The University Senior Management Team provides oversight of all University projects in delivery
via the Major Projects Board which is chaired by the responsible Pro Vice-Chancellor. The
purpose of the Major Projects Board is to oversee the delivery of all University major project
commitments.
19
Major Projects Board
The Major Projects Board meets monthly and aims to oversee all University major projects both in
planning and delivery stages and to resolve and escalate high level issues. The board is chaired
by a Pro Vice-Chancellor (PvC) and includes representatives from the Colleges of Medicine,
Science and Engineering, the directors of Planning and Strategic Projects (PSPU) and Finance as
well as a senior member of REIS.
Duties of the Major Projects Board include:






Monitoring the performance of projects in delivery
Handling and resolve common project issues and risks
Monitoring sustainability performance of projects including income targets
Escalating any key issues or risks to SMT
Reviewing and approving project management standards
Initiating internal Project Reviews of any project.
The chair of the Major Projects Board to provide regular updates on major projects status to
SMT and to the Finance Committee.
The Major Projects Team
The Major Projects Team, part of the University’s PSPU work in partnership with Academic
Colleges and Professional Services across the organisation to provide a project assurance and
risk management resource. They ensure the successful implementation of externally funded
projects and activities critical to the delivery of the University’s Strategic Plan.
The team conducts oversight management of all major projects in delivery. They also are
responsible for fostering and growing the project management community and culture within the
University, for administering risk assessment processes and also ensuring that more active risk
management is conducted across the University.
The Major Projects Team is contactable through the majorprojects@swansea.ac.uk email and is
responsible for carrying out the following tasks:






Defining and managing the list of major projects
Reviewing and updating key policies and frameworks e.g. the Project Management
Framework and Risk Management Policy
Handling and resolving common project issues and risks
Escalating any key risks or issues to SMT
Monitoring performance of projects in delivery
Monitoring sustainability performance of projects including income targets
Supporting the Project Manager recruitment process – from tailoring job descriptions to
interview panels
20


Developing project management staff through mentoring, recording CPD delivering internal
training sessions and support with the organisation’s project management e-learning portal
The PM Channel https://www.thepmchannel.com/
Facilitation of the Project Managers Forum and Major Projects Board.
Project Managers Forum
The Project Managers Forum (PM Forum) is a quarterly event facilitated by the Major Projects
Team and aims to champion project management skills across the university. The forum is
specifically for Project Managers across the institution to share best practice, industry knowledge,
and increase awareness of common issues experienced by project staff.
Forums take place over an extended lunchtime period and include networking time, managed
discussions and a range of presentations by internal and external speakers designed to increase
Project Managers knowledge across a broad range of areas. Topics covered to date include:
social media, intellectual property and partnership agreements, central project Issues, strategic
marketing and project case studies.
The objectives of the PM Forum include:







To improve the delivery of major projects across the university through dissemination of
project management best practise and process
To promote knowledge sharing of project management best practise and encourage peer
group support mechanisms
To take ownership of the Project management Framework and promote its use across the
University
Collation of common issues and suggested solutions.
To ensure that all communications with funders are consistent and efficient
To improve the external visibility of all major projects to improve the University’s reputation
To give Project Managers visibility of the range of projects being delivered across the
organisation.
To keep Project Managers up to date with professional development opportunities e.g.
internal training sessions, access to the project management e-learning portal, local APM
events and routes to APM membership.
Project Governance
One of the key activities in Stage 1 is to establish the project organisation and governance
arrangements. There are three major activities to be performed in achieving this.
1. Identify, analyse and develop strategies for managing stakeholders
2. Clearly define and document roles and responsibilities of key stakeholders in relation to
project plans
3. Define and establish management forums for key stakeholders
21
1 - Managing Stakeholders
Three steps are required in managing stakeholders –
a) Find all stakeholders
b) Determine essential stakeholders
c) Evaluate essential stakeholders
More details on how to perform these steps can be found in the Stakeholder Management
documentation at Swansea University project management webpages. For smaller projects a
stakeholder log should be created to formally document all stakeholders.
2 - Roles and Responsibilities
Roles and responsibilities must be assigned to the appropriate stakeholder. Because the nature
and number of stakeholders can change from one stage to another, you should ensure that roles
and responsibilities are reviewed at the beginning of every stage. To ensure a comprehensive and
explicit definition of responsibilities, a Responsibility Assignment Matrix (RAM) or RACI
(Responsible, Accountable, Consulted Before, Informed After) should be created. This matrix will
map the degree of responsibility for each stakeholder against project activities or work packages.
3 - Management Forums
All major projects should have Steering Groups or Project Boards. These can be external groups
when the project is wider than the activities within the University. However internal steering groups
should also be established where a project involves delivery activity from multiple Colleges or
multiple Professional Services Departments. Steering Groups normally include management
representatives from the key stakeholders involved in the project oversight and delivery.
The Steering Group or Project Board acts individually and collectively as a vocal and visible
project champion throughout their representative organisations. Generally they approve project
deliverables, help resolve issues and policy decisions approve scope changes and provide
direction and guidance to the project.
Depending on how the project is organised, the Steering Group can be involved in providing
resources, assist in securing funding, act as liaisons to executive groups and sponsors and fill
other roles as defined by the project. Terms of Reference (ToR) for each board need to be drafted
and agreed by the board. University Project Steering Groups must include Head of College,
Principal Investigator and Project Manager as attendees.
For smaller projects the responsibilities of the internal Steering Group or Project Board can be
fulfilled by normal College management processes. While accountability for the delivery of
approvals from funders to initiate delivery and also accountability for successful delivery resides
with the Head of College, the Project Steering Group can be used to manage the resources and
support from Professional Services Departments and external suppliers.
For larger projects it would be customary to establish a number of sub-projects or work packages
which would then report into the Steering Group and who would take responsibility for delivery of a
particular element of the project. The chair of the sub-project or work package would then take
22
accountability delegated from the chair of the Steering Group to ensure the delivery commitments
are achieved.
23
APPENDIX 1 – PM Records APM BoK Mapping
PMF
Stage
Activity / Documentation
APM BoK reference
1
Scoping &
Approval
Business Plan/Proposal and supporting financial
documentation
3.2
Funder communications
3.2
IEF (Institutional Endorsement Form)/HoC
approvals
3.6
List of stakeholders and contact details
3.1
Strategic Development Programme Board
minutes/reports/approvals
3.2
Work breakdown structure or work package
definitions
3.1
High level project plan & budgets
3.1
Initial resource plans / governance
3.1
External funder proposal submission
documentation/system
3.2
GANNT charts, milestones or task
scheduling/timescales
3.3
Resource plan showing workload by skill over
time
3.3
Output profiles/commitments
3.2
Activity definitions
3.3
Communication / marketing strategy or plans
3.1
Pre-Risk Assessment checklist
3.5
Major project full risk assessment documentation
3.5
Baseline budget profile showing
expenditure/income by category
3.4
Procurement strategy/planning documents
3.7
Organisational chart, roles & responsibilities
3.1
Terms of Reference for meetings
3.1
2
Project
Planning
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PMF
Stage
Activity / Documentation
APM BoK reference
3
Start-Up the
Project
Opening of financial codes / authorisations
3.4
Job descriptions
3.7
Jobs advertisements
3.7
Interview/ selection scoring sheets
3.7
Offer letters / acceptances
3.7
L6666 or Lumesse approval to recruit
3.7
Secondment letters
3.7
Process for timesheet completion
3.6
Output recording templates and processes
3.6
Project document retention policy
3.1
CRM data management processes
3.1
Project team start/end dates and contact details
3.7
Starters/leavers procedures
3.7
Staff training plans and attendance records
3.7
Funder communications covering changes and
agreements
3.2
Grant offer letter / contract with funder
3.1
Collaborative agreements signed by each partner
3.1
MOUs with other Colleges / partners signed
3.1
All externally supplied outputs and supporting
documentation
3.6
Output evidence and funder submission
documentation
3.6
Output communications/clarifications with funder
3.2
Documentation of internal reviews
3.6
Asset register maintenance
3.1
Tracking versions of income and expenditure and
3.4
4
Deliver the
Project
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PMF
Stage
Activity / Documentation
APM BoK reference
forecasts
Financial submissions to funders / system
updates
3.4
Tracking/reconciliation of financial expenditure
3.4
Timesheets and authorisations
3.6
Changes to baseline budgets / re-profiles /
approvals
3.2
Claim schedule & internal review documentation
3.6
Project team expense claims and backup material
3.4
Feedback from external parties
3.6
Presentation material created by project team
3.1
Marketing material produced by project team
3.1
Event planning, preparation and delivery
management along with all supporting materials
3.1
Project website creation and maintenance
3.1
Project social media updates
3.1
Risk Register revisions
3.4
Issue log revisions
3.1
Risk workshop documentation
3.4
Project Board minutes / agendas / documentation
3.1
Attendance at Project Boards
3.1
Status reports / highlight reports
3.1
Reports to funders
3.1
Minutes of all external meetings
3.1
Communications regarding status or issue/risk
management
3.1
Audit schedule and sample
selection/communications
3.6
Audit reports
3.6
Evaluation reports
3.6
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PMF
5
Stage
Close the
Project
Activity / Documentation
APM BoK reference
Vacation, authorisation and absentee records
3.7
Any confidential personnel communications, e.g.
salary
3.7
Project team performance management
documentation
3.7
Project team PDRs
3.7
Procurement specifications
3.7
Evaluation/scoring criteria
3.7
Tender reports
3.7
Communications to suppliers
3.7
Purchase orders
3.7
Supplier invoices and payments
3.7
Licenses / warranty documentation
3.7
Delivery documentation
3.7
Contract change documentation
3.7
Purchasing card documentation
3.7
Income receipt documentation
3.4
Payments from funders / lead HEI
3.4
Project closure documentation
3.6
Closure of all supplier contracts
3.7
Closure of financial codes
3.4
Final statement of finances / reports to funders
3.4
Project archives
3.2
Transfer of assets
3.2
Receipt of final payments from funder / lead HEI
3.4
Sustainability planning
3.2
27
PMF
Stage
Activity / Documentation
APM BoK reference
6
Post Project
Review
Review report
3.6
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APPENDIX 2 – Swansea University APM Competences
(based on APM Competence Framework 2nd Edition 2015)
APM
Competence
No
Name
1
Ethics, compliance
and
professionalism
The ability to promote the wider public good in all
actions, and to act in a morally, legally and socially
appropriate manner in dealings with stakeholders and
members of project teams and the organisation.
2
Team management
The ability to select, develop and manage teams.
3
Conflict
management
The ability to identify, address and resolve differences
between individuals and/or interest groups.
5
Procurement
The ability to secure the provision of resources needed
for change initiative(s) from internal and/or external
providers.
6
Contract
management
The ability to agree contracts for the provision of goods
and/or services, to monitor compliance, and to manage
variances.
8
Solutions
Development
The ability to determine the best means of satisfying
requirements within the context of the change
initiative’s objectives and constraints.
9
Schedule
management
The ability to prepare and maintain schedules for
activities and events for change initiatives, taking
account of dependencies and resource requirements.
10
Resource
management
The ability to develop, implement and update resource
allocation plans (other than finance) for change
initiatives, taking account of availabilities and
scheduling.
11
Budgeting and cost
control
The ability to develop and agree budgets for change
initiatives, and to control forecast and actual costs
against the budgets.
12
Risk and issue
management
The ability to identify and monitor risks (threats and
opportunities), to plan and implement responses to
those risks, and respond to other issues that affect the
change initiative.
Definition
29
13
Quality
management
The ability to develop, maintain and apply quality
management processes for change initiative activities
and outputs.
14
Consolidated
planning
The ability to consolidate and document the
fundamental components of a change initiative: scope;
schedule; resource requirements; budgets; risks,
opportunities and issues; and quality requirements.
15
Transition
management
The ability to manage the integration of the outputs of
change initiatives into business-as-usual, addressing
the readiness of users, compatibility of work systems
and the realisation of benefits.
18
Governance
arrangements
The ability to establish and maintain governance
structures that define clear roles, responsibilities and
accountabilities for governance and delivery of change
initiatives, and that align with organisational practice
19
Stakeholder and
comms
management
The ability to manage stakeholders, taking account of
their levels of influence and particular interests.
Reviews
The ability to establish and manage reviews at
appropriate points, during and after change initiatives,
which will inform governance of the change initiatives,
by providing evaluations of progress, methodologies
and continuing relevance.
Change control
The ability to establish protocols to alter the scope of
change initiatives, implementing the protocols when
necessary, and updating configuration documentation
including contracts to develop, maintain and apply
quality management processes for change initiative
activities and outputs.
Business Case
The ability to prepare, gain approval of, refine and
update business cases that justify the initiation and/or
continuation of change initiatives in terms of benefits,
costs and risks.
21
22
24
30
APPENDIX 3 – Abbreviations
HoC – Head of College
DoPS – Director of Professional Service
REIS - Research, Engagement & Innovation Services
PI – Principal Investigator
PvC – Pro Vice-Chancellor
SDPB – Strategic Development Programme Board
MPB – Major Projects Board
SMT – Senior Management Team
RA – Risk Assessment
31
APPENDIX 4 – Risk Assessment Meetings
1. Pre-Risk Assessment Checklist to be completed by ALL projects over £100K in value to
SU
o Assessed by Risk Administrator with recommendation if a full Risk Assessment required
o If no Risk Assessment meeting recommended then
 Approvals by HoC and REIS formally recorded in Institute Endorsement Form
 Either HoC or REIS can override recommendation and call for full Risk
Assessment meeting
 Responsibility for managing the project risks is delegated fully to HoC
2. Full Risk Assessment when project has SU value less than £1M
o Risk Checklist questionnaire and risk register assessed by all relevant PS Departments
 REIS / Finance / PSPU
 ISS / Estates & Facilities / Academic Registry / Marketing
o Project finances reviewed by Finance and REIS, as appropriate, and project financial
summary issued by REIS. REIS pre-award will perform eligibility and technical reviews.
o Project to be assessed by Space Management Working Group prior to Risk Assessment
meeting if project space requirements cannot be satisfied within owning College
o Risk Assessment meeting attended by
 Mandatory (meeting cancelled if all not in attendance)
 PSPU Director (chair)
 Risk Administrator (minutes)
 REIS Director or Deputy Director and REIS assessors
 Finance representative
 HoC owning project
 PI and PM, if appointed
 Heads of other Colleges supplying significant resources
 Optional
 SMT Owner
 Representatives of impacted PS Departments
3. As (2) plus the following when project has SU value greater than £1M but less than £5M
o Risk Assessment meeting attended by
 Mandatory (meeting cancelled if all not in attendance)
 PSPU Director (chair)
 Risk Administrator (minutes)
 REIS Director or Deputy Director and REIS assessors
 Finance representative
 SMT Owner
 HoC owning project
 PI and PM, if appointed
 Heads of other Colleges supplying significant resources
 Optional
32
 Representatives of impacted PS Departments
4. As (3) plus the following when project has SU value greater than £5M but less than £10M
o Project Business Plan and Project Plan also scrutinised by PSPU
o Project finances also scrutinised by Finance Director and REIS Director or Deputy
Director
5. As (4) plus the following when project has SU value greater than £10M
o Risk Assessment to be reviewed and approved at next Finance Committee
o Risk Assessment meeting attended by
 Mandatory (meeting cancelled if all not in attendance)
 Finance Director (chair)
 Finance Committee representative
 PSPU Director
 Risk Administrator (minutes)
 REIS Director or Deputy Director and REIS assessors
 Finance representative
 SMT Owner
 HoC owning project
 PI and PM, if appointed
 Heads of other College supplying significant resources
 Optional
 Representatives of impacted PS Departments
33