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University of California, Berkeley

OE (Operational Effectiveness &
ICIO TPO (Technology Program Office)


Introduction to the UC Berkeley
Project Management
Methodology




April 24, 2011

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Introduction to the UC Berkeley Project Management (PM)
Methodology
This guide introduces UC Berkeley staff to the campus project management
methodology.
The Operational Excellence Program Office (OE PO) and the ICIO Technology
Program Office (TPO) use this PM methodology to manage their projects and to
help supported project managers, from the beginning discussion and project
initiation of a proposed project through the final delivery and project closure of
that successful project. It describes the five phases of the campus PM
methodology, and the document templates and guides that promote success for
campus project teams. Templates and guides can be downloaded from the
website at
http://technology.berkeley.edu/cio/tpo/project/pmresources/.

Please send your suggestions for improving this guide and associated templates
to
pm@berkeley.edu.

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Introduction to Project Management
A project is a temporary and one-time undertaking that has the following four
characteristics:
An objective to be completed against certain specifications (requirements)
A defined start and end date
Consumes resources (e.g., money, people, and equipment)
Creates a unique product or service

Project management is the discipline of organizing and managing resources (e.g.,
people) in such a way that the project is completed within the defined scope, quality,
time, and cost constraints.
Another definition is the process of organizing and managing resources to complete the
project to specification, on time, within budget, and to the customers satisfaction.
Project management is a process that a person or organization uses to guide and frame
activities to:
Effectively and efficiently define project success
Develop an appropriate project plan
Monitor and control the execution of project activities
Manage project completion, through closure including the successful transfer of
project results into operation
Document the lessons learned from the project, in a way that future project
teams can benefit from the experience and write-up

Why Use the Campus Project Management Methodology
As opposed to using the just do it approach, projects are much more likely to succeed
if they follow a simple and clearly defined project management methodology. Using a
project management methodology also benefits project managers and project teams by
helping to:
Produce higher quality products and services
Improve communication among all project stakeholders including project team
members
Improve the chance of successfully completing projects on time and on budget
Increase customer satisfaction with delivered products and services



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Preparation for Starting a Project
A project starts with an idea about creating a new or revised service, process, event, or
other solution to meet a campus need. For the idea to be realized, a project sponsor
who has the appropriate campus authority to champion the development of a project to
create the service or product must be identified. The project sponsor has ultimate
authority over the project, provides project resources including funding, resolves
issues, and provides high-level direction for the project. The project sponsor is a
temporary position that ends when the project is complete. A project needs to have at
least one and no more than three project sponsors. Experience has shown that campus
projects with more than three project sponsors are much more likely to fail. For some
projects, there is an executive project sponsor who has ultimate authority over the
project, and a working project sponsor appointed by the executive project sponsor. The
working project sponsor approves scope changes.

The project sponsor needs to take the following actions before beginning the project:
Define the business objectives that the project seeks to address, including how
the products or services created by project will add value to the campus and
achieve strategic goals.

Identify the functional owner who will oversee the operation of the system or
service when the project is complete. The functional owner will help define the
business processes and rules that are to be incorporated into the systems
functionality.

Identify the key time, financial, technical, and legal constraints for the project.

Identify the significant assumptions about the project. Assumptions are factors
that, for project planning purposes, are considered to be true and do not require
proof.

Provide or secure the project funding.

Identify the project manager. The project manager is also a temporary position
responsible for the overall project management process and, ultimately, for the
success of the project. The project manager looks to the project sponsor to
provide the required help to acquire needed resources and to help navigate the
project politics, especially the blending of stakeholder requirements and support.



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Finally, the project sponsor needs to make sure that a steering committee is
established that is responsible for reviewing project progress and making decisions
about proposed changes to the projects scope. For a small project, the steering
committee may simply be the project sponsor. For larger projects that have campus wide
impact, the project should have a steering committee composed of key project
stakeholders including the project sponsor. When the steering committee is being
formed, the members need to know if the committee is empowered to make final
decisions about the project or are simply making recommendations to the project
sponsor who will make the final decisions. Steering committees are most effective when
they are kept to no more than eight members, with each member having resources
devoted to the project and strongly committed to the projects success

Overview of the Campus Project Management Methodology
When the project preparations are complete, the project manager uses the UC Berkeley
project management methodology to conduct the project. It is based upon the Project
Management Institutes project methodology and has been demonstrated to be effective
for projects conducted on the Berkeley campus. The methodology is divided into five
phases:
1. Initiation
2. Planning
3. Execution
4. Monitor & Control
5. Closure

Figure 1, below, represents the process from initial analysis and project definition by the
project sponsor and stakeholders who want something done, through kickoff of project
planning, execution, and, finally, project closure. Each box in the diagram represents a
phase of the project management process and contains a list of the project management
documents that could be created during that phase.




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Figure 1: Overview of the Project Management Methodology
The five phases of the project management methodology are not always conducted in a
strictly sequential manner. For example, sometimes tasks conducted during the
Execution Phase begin prior to the completion of the Planning Phase, and some
planning tasks begin prior to the formal completion of the Initiation Phase. For most
projects, it is the crossing of the vertical line in Figure 1 from the Initiation Phase to the
Planning Phase that represents the formal start of a project.


Description of the Fives Phases of a Project
Following, is a summary of the activities conducted during the five project phases of the
official campus project management methodology.

1. Initiation Phase
The project sponsor conducts or supervises the analysis process that is used to define
the project including its goals, objectives, scope, deliverables, measurements of
success, and constraints such as money or time. The analysis should determine the
foloowing:
Are aligned with the campus OE, IT, and other affected Strategic
Plans.
Meet the goals of the unit or department that will be the functional
owner.
Have adequate funding to support the projects development and the
ongoing operation of the services.
Comply with appropriate campus policies and state and federal laws.
Provide the campus with appropriate academic, financial, or social
benefit to justify the investment of resources.

The project sponsor assigns or hires a project manager. The project manager interviews
the project sponsor to learn about the project requirements including objectives, scope,
deliverables, measurements of success, and constraints. The project manager in
consultation with the project sponsor identifies all of the project stakeholders.
A project stakeholder is any person or group that is affected by the execution and
success or failure of a project. This includes team members, resource owners, end
users, and operational owners of the project.


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Based upon the information collected from the project sponsor interview and
consultation with the project stakeholders, the project manager creates a project charter
using the template available which is reviewed and approved by the project sponsor.
When the project sponsor approves the charter, the project is formally authorized and
the project manager is empowered to use the resources specified in the charter to
conduct the project.
The output from the Initiation Phase is the Project Charter that the project sponsor has
reviewed, approved, and signed which includes a preliminary Project Scope Statement.

2. Planning Phase
The planning process begins with the project manager facilitating a discussion among
the initially assigned project team members to identify and document what it will take to
complete the project including: tasks, milestones, deliverables, and resources. The
team identifies a project schedule, key project risks, financial resources required to
complete the task, how it will communicate as well as an effective Change Management
plan. The information captured in the project planning documents is also gathered from
interviews with project stakeholders and experts outside of the project team.
The output of this phase is an approved Project Overview Plan that includes:
A Project Work Plan (Schedule)
A Project Budget
A Project Risk Plan
A Project Communications Plan
A Project Change Management Plan
Project Metrics

3. Execution Phase
The project manager coordinates teams and resources to carry out the plan(s) to meet
the milestones and produce the deliverables. Key to the Execution phase are:
Acquiring a Project Team
Directing and Managing Project Execution
Performing Quality Assurance
Information Distribution



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4. Monitor & Control Phase
The project team monitors the execution of the project against the detailed project plan
to ensure that project objectives are met by performing such activities as measuring
progress against the plan and conducting status meetings. The Monitor and Control
activities also include managing team morale, and monitoring project communications to
determine if they are effective and efficient among all project stakeholders.
Proposed project changes are submitted as Project Change Control Request(s) that are
reviewed and approved or declined by the project steering committee. If approved, the
Project Charter and/or the detailed Project Plan will be modified to incorporate the
change(s).
Key to the Monitor and Control phase are:
Project Status Reports
Project Risk Monitoring and Control
Project Schedule Control
Project Cost Control
Project Scope Control

5. Closure Phase
During the project closure phase, the project manager keeps the project team focused
on project completion. The project team conducts reviews to ensure that the project
deliverables are completed and meet the specifications identified in the success criteria.
This information is recorded in the Project Acceptance Report. The project team also
identifies and documents the lessons learned so that future project teams can benefit
from the teams experience. This is documented in the Project Closeout Report. Lastly,
project documentation is archived.
Key to the Closure Phase are:
Project Deliverables are transitioned
Project Acceptance Report is completed
Project Closeout Report is completed
Project Documentation is archived




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The Flow of Project Phases
As stated earlier, the project closure phase is many times the most difficult phase of a
project to complete. Especially if the previous phases were missing elements described
above. Managers also want to reassign project team members before project closure is
completed. Following a good PM methodology helps ensure that the project is
completed according to its written requirements and specifications and is successfully
transitioned to operations.

Description of the Project Documents
The project management methodology templates and guides include the following
documents:
1. Initial Sponsor Interview (Initiation Phase) gives the project manager an
opportunity to learn what the project sponsor wants the project to accomplish and
what resources the project sponsor will provide. By the end of the interview, the
project manager should be able to answer the following questions:
What are the business goals and objectives of the project?
What resources can the project sponsor provide for the project?
What will the project team deliver to the project sponsor by the end of
the project?
Who does the project sponsor think are the key project stakeholders?
What does the project sponsor think are the high-level project risks?
How will the project sponsor measure the success of the project?

The project sponsors answers to the questions are used by the project manager
to write the project charter.

2. Project Charter (Initiation Phase) is a contract between the project sponsor
and the project team describing:
The business goals and objectives of the project.
The resources the project sponsor promises to provide for the project.
What the project team will deliver to the project sponsor by the end of
the project.
The project team members and key project stakeholders as well as
their roles and responsibilities.
The high-level project risks.
The projects success measurements.
The projects impact on other campus departments and systems.

The charter defines the boundaries of the project and is approved by the project
sponsor. After the project sponsor has approved the project charter, any
proposed changes to the project scope, overall budget, or project completion
date require that a Project Change Request be prepared and approved by the
project steering committee.


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3. Project Work Schedule (Planning Phase) describes the tasks that will take
place during the project and assigns responsibility and deadlines for those tasks.
It includes the duration and deadline for each task and the interrelationships
among the tasks. The Project Work Schedule is a map of all of the work that
must be conducted during the project. It should be updated throughout the
course of the project as tasks are completed and plans for project tasks evolve.
The status of the project tasks is reported in the Project Status Report.

4. Project Budget (Planning Phase) is used to identify and report all sources and
uses of funds related to the project. The Project Budget is a financial map of
expenditures for the project. It includes direct costs as well as the utilization of
internal resources. The Project Budget should be updated throughout the course
of the project with information about actual expenditures to complete tasks and
deliverables. It should also be revised to reflect approved changes to project
plans.

5. Project Risk Plan (Planning Phase) is used to identify and address all risks
related to the project. The Project Risk Plan is a map of all of the risks that may
prevent project success, and the actions and expenditures required to overcome
or reduce these risks. The Project Risk Plan should be updated throughout the
course of the project as new risks are identified.

6. Project Communications Plan (Planning Phase) describes how all of the
project stakeholders will communicate with one another during the course of the
project including the:
Project sponsors.
Project team members.
Project manager.
Members of the project's steering committee.
Future users of the system or service.

The Project Communications Plan describes the types of communication that will
be conducted during the project including the purpose, mode, and frequency of
each type of communication. The Project Communications plan also documents
who is responsible for authoring each communication and who will receive it. The
Project Communications Plan should be updated throughout the course of the
project as practices to improve communication among the project stakeholders
are established.


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7. Project Status Report (Monitor and Control Phase) is a tool for project
managers to inform the project sponsor, project team members, and other project
stakeholders about:
Project milestones that have been completed.
The status of project tasks.
Project risks that are emerging.

The Project Status Report keeps all of the project stakeholders informed so they
will not be surprised by any project developments. The Project Communications
Plan documents when project status reports should be issued.

8. Project Acceptance Report (Monitor and Control Phase) is used to document
that each project deliverable meets the acceptance criteria as specified in the
Project Charter. The customer for each deliverable identified in the Project
Charter must sign off when approving the acceptance of the deliverable.

9. Project Change Request (Monitor and Control Phase) is used to request and
obtain approval for project changes that impact the schedule, scope, or budget of
the project as stated and approved in the Project Charter. The Project Change
Request ensures that all proposed project changes are documented and go
through a formal review process by the project steering committee that is
responsible for approving or declining the requests.

10. Project Closeout Report (Closure Phase) documents if a project is complete
and successfully transitioned to operations. It also records how the project
performed against the specified Success Measurement Metrics listed in the
Project Charter. Finally, the document captures the lessons learned from the
project so others can benefit from the project teams experience. When the
Project Closeout Report is approved and signed by the project sponsor, the
project is finished.

Templates for each of these documents, and instructions for filling them, out can be
downloaded at http://technology.berkeley.edu/cio/tpo/project/pmresources/tools/.

Requesting Assistance from the OE
If you have any questions about the campus project management methodology or would
like to consult with the campus OE PO, please send email to pm@berkeley.edu.