Project Management Methodology Policy

Windsor, Ontario

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Project Management Methodology policy Page 1 of 16 THE CORPORATION OF THE CITY OF WINDSOR POLICY Service Area: Office of the Chief Administrative Officer Policy No.: CR252/2014 Department: Approval Date: October 6, 2014 Division: Corporate Initiatives Approved By: CR252/2014 Effective Date: October 6, 2014 Subject: Project Management Methodology Procedure Ref.: N/A Review Date: October 6, 2017 Pages: Replaces: M249/2011 Prepared By: Mel Douglas Date: September 19, 2011 1 POLICY 1.1 The Project Management Methodology Policy governs the execution of projects as defined within this Policy. Projects governed by this Policy will be managed and overseen using a methodology appropriate to their scope, timeline, visibility, budget and risk 2 PURPOSE 2.1 The objective of this policy is to enable the Corporation to deliver successful projects on time, on budget and in compliance with policies and directives of City Council and applicable legislation. Experience has shown that the most important factors in delivering successful projects on time and on budget is to ensure projects are well defined up front and minimize scope changes once a project is underway. Therefore this Policy specifically: ⮚ Defines those activities deemed to be Projects; and ⮚ Establishes an adequate and effective project management methodology that provides standard methods and guidelines to ensure that Projects are conducted in a disciplined, well-managed and consistent manner. 3 SCOPE 3.1 This Policy applies to ALL City of Windsor projects as defined herein that fall under the mandate of the CAO. 3.2 Where a Project involves external stakeholders and/or funders with a separate project management methodology or project requirements, a review will be done by the Project Manager to determine whose methodology or requirements apply. If this project is managed by the City of Windsor, the Project Manager will be required to maintain records created by the external methodology (if applicable) as if this Policy applied. Project Management Methodology policy Page 2 of 16 4 RESPONSIBILITY 4.1 The Chief Administrative Officer is responsible for the implementation of the policy. The Manager of Corporate Initiatives is responsible for any revisions to the policy and providing training, as required. 4.2 The responsibilities related to use of this policy are: 4.2..1 The Mayor and City Council are responsible for: ⮚ Approving and supporting the Project Management Methodology Policy; ⮚ Ensuring that the Project Management Methodology Policy is supported through approval of the appropriate allocation of resources; 4.2..2 The Chief Administrative Officer is responsible for: ⮚ Enforcing and supporting the Project Management Methodology Policy; 4.2..3 The Corporate Leadership Team is responsible for: ⮚ Enforcing the Project Management Methodology Policy; ⮚ Ensuring that the Project Management Methodology Policy is supported through recommendation of appropriate allocation of resources; 4.2..4 The Executive Directors and their Subordinates are responsible for: ⮚ Ensuring that proper Project Management Methodology is used in the managing of projects within their respective departments; ⮚ Identifying when training is needed for employees 4.2..5 The Corporate Initiatives division is responsible for: ⮚ Monitoring compliance with this policy for projects categorized as 'Major' ⮚ Maintaining an inventory of Projects as defined herein; ⮚ Providing training as requested; ⮚ Reviewing this policy at least once every three years; ⮚ Updating this policy as required; 4.3 All Project Management documents are the responsibility of the Project Manager and shall be organized in a responsible fashion and retained for audit purposes. 5 GOVERNING RULES AND REGULATIONS 5.1 The following process is part of the Project Management Methodology policy: Project Management Methodology policy Page 3 of 16 5.1..1 Corporate activities and initiatives must be reviewed using the Project Determination Protocol set out in Schedule A to determine whether they are correctly defined as Operations or Projects. 5.1..2 Activities or initiatives that are determined to be Projects using Schedule A, must be further assessed for size using the Project Assessment Protocol set out in Schedule B. 5.1..3 Projects designated Major using Schedule B must comply with all Project Methodology requirements of Schedule C. 5.1..4 Small and Medium Projects are encouraged to comply with those elements of the Project Methodology in Schedule C appropriate to the budget, scope, visibility and risk of the Project. 5.1..5 In the case where the City assumes the management of a project initiated by a third party, at any point of the life-cycle of the project, and it is designated a Major Project under this policy, the required documents must be completed as soon as reasonably possible. 5.2 Additional rules for the policy are: 5.2..1 Any current practices should remain in place provided that they meet the outlined components in this policy. 5.2..2 Amendments to any Schedules, Procedures, Protocols or Processes created under this Policy may be made by the CAO without further approval by City Council. 5.2..3 Where there are multiple phases to a project or sub-projects within a project, each phase can also be deemed a project and tracked as such. 5.2..4 Any exceptions to this Policy must be approved in advance by City Council. 5.3 The following definitions apply to this policy: 5.3..1 Operations are defined as an "organizational function performing the ongoing execution of activities that provide a repetitive service and/or produce the same product." Examples of Operations may include: ⮚ Annual road, sewer and bridge rehabilitation ⮚ Annual parks and facilities rehabilitation ⮚ Repetitive yearly works 5.3..2 Project is defined as "a temporary endeavour undertaken to create a unique result, service or product." Examples of projects may include: ⮚ Developing a new product or service ⮚ Effecting change in the structure, or staffing of an organization ⮚ Developing or acquiring a new or modified information system ⮚ Constructing a building ⮚ Implementing a new business process or procedure. ⮚ Master, Community or Official Plan development Project Management Methodology policy Page 4 of 16 5.3..3 Major Project is defined as a Project that typically meets at minimum two or more criteria in the MAJOR column on the Project Assessment Worksheet provided in Schedule A. If only one criterion falls within the Major column, the classification remains at the discretion of the Project Sponsor. 5.3..4 Medium Project is defined as a Project that typically meets at minimum two or more criteria in the MEDIUM column on the Project Assessment Worksheet provided in Schedule A. 5.3..5 Small Project is defined as a Project that has most of the criteria in the Small column on the Project Assessment Worksheet provided in Schedule A. 5.3..6 Scope is defined as the statement of work to be undertaken by the Project including all objectives and deliverables the Project is expected to achieve; and it includes a statement of what will not be achieved (i.e. out of scope), so to manage stakeholder expectations. 5.3..7 Budget is defined as the total gross amount of financial resources required to complete the project, which may include procurement and or development costs, interest charges during the life of the project needed to finance the unfunded expenditures, appropriate salaries and benefits (as defined in the Capital Tangible Assets Policy) necessary to deliver the project in scope. Project budgets are to be presented in the format set out in the Finance Checklist for Council Reports and Delegation of Authority Reports document. 5.3..8 Project Charter (aka Scope Document) is an initiating document that defines the project's scope and all the parameters of the project that the Project Manager will manage the project through. The document should adequately represent the stakeholder's expectations of what the project will produce. 5.3..9 Project Management Plan is a more detailed plan of the project as defined in the Project Charter, created by the Project Manager and their team, to successfully achieve the project's objectives and success factors. Components of the plan can include project management of: scope, time, cost, human resourcing, quality assurance & control, communications, risk, and procurement. 5.3..10 Project Change Order is the document that clearly identifies approved changes in the Scope, Budget or Timeline of a Project. 5.3..11 Timeline is defined as the estimated amount of time required from the approval of the Project by Council or other approving authority until the final deliverables and objectives have been deemed complete. 5.3..12 Project Sponsor is the City of Windsor manager assigned as the lead executive for the Project. They should be the Project's champion for success. Typically they Chair the Project Executive Committee. Project Management Methodology policy Page 5 of 16 5.3..13 Project Manager is the City of Windsor employee, or employee of an ABC who has adopted this policy and is overseeing a city council approved budget, with the appropriate skills and experience for the project, assigned as the lead manager for the Project and charged with delivering the Project in Scope, on Budget and within the Timeline. 5.3..14 Project Team is the group of key individuals with specific skill sets who: participate in the success of the project, report to the Project Manager, and are assigned work on the Project whether full-time or otherwise. 5.3..15 Project Executive Committee is a senior body to the project made up of key stakeholders (consisting of representative(s) of City of Windsor management and/or external groups) who have a direct benefit or are directly affected by the outcome of the project who provide advice, direction and decision making on the Project. 5.3..16 Steering Committee is an advisory committee made up of high level stakeholders and/or experts (example: City Standing Committee) who provide guidance on key issues, direction and decision making on the Project. 5.3..17 Project Management Methodology is the set of practices, tools and techniques used by Project Managers on any size project that ensure that the Scope, Budget, Change Orders and Timelines are clearly approved, understood and managed throughout the lifecycle of the Project. 5.3..18 Risk Level is the indicator of the degree of risk a Project faces in achieving its objectives. 5.3..19 Visibility is the degree to which a Project is exposed to impacts from external stakeholders or the general public. 5.4 All Projects must follow all applicable City of Windsor policies including, but not limited to: ⮚ Purchasing By-Law ⮚ General Council Report Requirements ⮚ Delegation of Authority Report Requirements ⮚ Annual Capital Budget Process ⮚ Municipal Act ⮚ Records Retention Bylaw ⮚ All applicable Legislation 6 RECORDS, FORMS AND ATTACHMENTS 6.1 All Project Management documents are the responsibility of the Project Manager and shall be organized in a responsible fashion and retained for audit purposes. All records will be kept in accordance with City of Windsor Records Retention Bylaw. The copies of the following records & notifications should be sent to the Corporate Initiatives division under the following conditions: Project Management Methodology policy Page 6 of 16 6.1..1 All projects (SMALL, MEDIUM and MAJOR) designated in Schedule A must be reported to the Corporate Initiatives division by: ⮚ Providing a copy of the results from the Schedule B to the Corporate Initiatives division. ⮚ Providing written notification of project completion to the Corporate Initiatives division once the project has been completed and closed. 6.1..2 Projects designated as MAJOR must provide the following additional information to the Corporate Initiatives division as approved by the Project's governing body: ⮚ Project Charter ⮚ Periodic project status reports ⮚ Project Close Summary ⮚ Request for Change, as applicable ⮚ Any additional project information indicated in the MAJOR Project Management Methodology as requested by Corporate Initiatives division. 6.2 The relevant forms can be obtained from Dashboard at Office of the CAO-Project Management page: ⮚ Schedule A ⮚ Schedule B ⮚ Periodic project status report ⮚ Request for Change ⮚ Project Close Summary 6.3 Included attachments to the policy are: ⮚ Schedule A ⮚ Schedule B ⮚ Schedule C Project Management Methodology policy Page 7 of 16 SCHEDULE A Project Determination Protocol The following short checklist must be used to determine whether a particular initiative is a Project for purposes of the Project Management Methodology Policy. To determine, rate each characteristic in the ‗Rating' column below representing the result that is most appropriate. At a minimum, if 2 out of the 3 characteristics are rated as a ‗Project, the initiative is considered a Project under this Policy. Is this a Project? Operational vs. Project Narrative descriptive of Initiative: To determine if an initiative is "Operational" or a "Project", please rate each characteristic below (in white drop down boxes): Characteristics of Initiative Operational Rating Project Length On going Temporary Results Repetitive Unique Value Maintenance Growth Initiative is considered: At a minimum, if 2 out of the 3 characteristics are rated to those of a 'Project, the initiative is considered a Project under this Policy. The Executive Director of the Department undertaking the initiative must agree as to the designation of Project or Operational. Characteristics Definitions Length - The length of time for a project is classified as "temporary" if a definitive start and stop date can be defined. If the initiative is one that is continuously "on-going" then it can be classified more as operational. Example 1: An annual business plan that revises management's strategy is a repetitive function and considered operational; however a strategy on a particular topic that has a definitive completion date would be considered a project. Example 2: Annual park beautification would be considered operational; however constructing a new park or playground equipment / sporting facilities would be considered a project. Project Management Methodology policy Page 8 of 16 Results - The results or outputs of a project is classified as "unique" if the results (or similar to) have never been duplicated before. If the initiative is one that produces "repetitive" results then it can be classified more as operational management. Example 1: An annual business plan that revises management's strategy is a repetitive function and considered operational; however a case study on a particular topic that has not been produced before is unique and would be considered a project. Example 2: Repetitive road or bridge repair that takes place each day of the season (regardless of the location) would be considered operational; however constructing a new structure or infrastructure with new technology never or rarely used at the city would be considered a project. Value - A project is classified as providing "growth" if the project results are adding to the City's assets (either tangible or intangible). If the initiative is one that "maintains" the City's assets (either tangible or intangible) then it can be classified more as operational management. Example 1: Revisions to a current staff development strategy & its implementation is a maintenance function and considered operational; however a new strategy & its implementation for developing staff reflects growth and would be considered a project. Example 2: Maintenance on City assets would be considered operational; however constructing a new structure or infrastructure would be considered a project. Next Step: If this initiative is deemed: Operational - this policy does not apply as individual departments already have processes in place. Project - your task requires some level of project management. The next step is to assess the appropriate level of project management required under this policy. Project Management Methodology policy Page 9 of 16 SCHEDULE B Project Assessment Worksheet Description: 1. The project description information is contained within the white text boxes located at the top of the Project Assessment Worksheet. This is a brief summary of the proposed work which reflects the project's information known at the time of the assessment. Any subsequent changes to project description information should be communicated to Corporate Initiatives' office so to update the Corporation's project list. Classification: 1. The project classification is based on the ‗most appropriate' response for each characteristic noted in the left column on the Project Assessment Worksheet. 2. To determine, rate each characteristic by indicating ‗Major', ‗Medium' or ‗Small' in the ‗Rating' column representing the result that is most appropriate. For clarify, the characteristics are defines as follows; Scope is defined as the statement of work to be undertaken by the Project including all objectives and deliverables the Project is expected to achieve. Timeline is defined as the estimated amount of time required from the approval of the Project by Council or other approving authority until the final deliverables and objectives have been deemed complete. Budget is defined as the total gross amount of financial resources required to complete the project, which may include procurement and or development costs, interest charges during the life of the project needed to finance the unfunded expenditures, appropriate salaries and benefits (as defined in the Capital Tangible Assets Policy) necessary to deliver the project in scope. Risk Level is the indicator of the degree of risk a Project faces in achieving its objectives. Visibility is the degree to which a Project is exposed to impacts from external stakeholders or the general public. 3. The result of the rating is based on a minimum of two or more criteria that falls under the higher classification. For example; Major Project is defined as a Project that typically meets at minimum two or more criteria in the MAJOR column. If only one criterion falls within the Project Management Methodology policy Page 10 of 16 Major column, the classification remains at the discretion of the Project Sponsor. Medium Project is defined as a Project that typically meets at minimum two or more criteria in the MEDIUM column. Small Project is defined as a Project that has most of the criteria in the Small column. 4. The Project Sponsor and Executive Director of the Department undertaking the initiative must agree as to the classification of a Project. Project Management Methodology policy Page 11 of 16 Project Assessment Worksheet Schedule B: Project Assessment Worksheet Project Name: Project Description: Lead Department: Project Sponsor: Project Manager: Date of Assessment: Targeted Start Date: Targeted End Date: Total Budgeted Estimate: $ - If the initiative is considered to be a project, then please rate the level of project for each characteristic in the white drop down text boxes below to determine the overall size of the project. Characteristics of a Project Rating Small Medium Major Scope - Straight forward project that has minimal dependencies within the project or with other projects. - Project's objective has been achieve before. - Limited number of internal key stakeholders - Somewhat complex project that has significant dependencies within the project or with other projects. - Project's objective has been achieved before but can face difficult challenges to achieve. - Limited number of internal & external key stakeholders - Very complex project that includes many task dependencies within the project or with other projects. - Project's objective has never been achieved in the City before, or is rarely accomplished. - Many internal/external key stakeholders Timeline - No or minor impacts for missing deadlines. - Funding and/or legislation requirements and/or political commitments are dependent upon a deadline that have a moderate impact for missing deadlines. - Funding and/or legislation requirements and/or political commitments are dependent upon a deadlines that have a significant impact for missing deadlines. Budget - Up to $5 million - $5 million - $10 million - $10 million + Visibility - The project has a limited profile in the City and is not likely to be impacted by outside sources (i.e. Public, Media, Agencies, other Govt. Bodies, etc.) - The project has a medium profile in the City and can be somewhat impacted by inside & outside sources (I.e. City Administration, ABC's, Council, Media, other Govt. Bodies, etc.) - The project has a high profile in and outside the City and can be significantly impacted by outside sources (I.e. Council, Media, other Govt. Bodies, etc.) Risk Level - An initial risk assessment for the project indicates a low to medium risk level. - The likely impact of the project's risks is minimal. - An initial risk assessment for the project indicates a high risk level. - The likely impact of the project's risks is moderate to high if not managed. - An initial risk assessment for the project indicates a high / critical risk level - The likely impact of the project's risks is very significant if not carefully managed. Recommended Project Type: Approved By: Project Sponsor: Date: Project Management Methodology policy Page 12 of 16 SCHEDULE C Project Management Methodology Projects assessed as MAJOR under this assessment must follow this methodology. The tools outlined under this Policy are based on the Project Management Institutes (PMI) best practices and guidelines. They follow the principle project management & auditing concept: an initiation document (i.e. project brief, project charter, or scope document) indicates what the project intended to accomplish and how, a closing document indicates what the project actually accomplished and how, and a process and/or documentation explaining the deviation between the two. 1. Governance Structure Project Governance is the planning, implementation, and ongoing management of roles, responsibility and decision-making processes involved in project planning and delivery. The following project organization structure is a sample of the hierarchy of a MAJOR project. In some instances, it may be warranted to have the Steering Committee and the Project Executive Committee operate as one. The governance structure should fit the project and as such there is flexibility of governance provided the roles and responsibilities are distinct and clear. The change would be outlined in the project Charter to be approved by City Council. As per Council Resolution #271/2011, all Major Projects as defined in this policy must include the City Solicitor or designated lawyer as a member of the Project Executive Committee, or combined Executive & Steering Committees depending on the project governance structure. Project Management Methodology policy Page 13 of 16 2. Documents* The following documents are to be completed for MAJOR projects with the expectation that the project will be audited, and should maintain consistency throughout the life of the project: a. Project Charter, that contains at least the following components: o scope & deliverables o roles & responsibilities o high level project timeline o resource management plan for staffing & funding o risk o procurement o communication management plan b. Project risk assessment. c. Responsibility matrix. d. Periodic project status reports. e. Project meeting minutes identifying key project related decisions. f. Project issues list. g. Project Close Summary including; o deliverables completed/not completed o success factors achieved o variance summary o lessons learned h. Change control process and documentation explaining scope, budget and timeline changes. i. Project Management Plan (optional)**, that builds upon the Project Charter with greater detail as required which addresses project management for: o scope o time o cost o human resourcing o quality assurance & control o communications o risk o procurement *Typical documents used in project management can be found on the Corporate Initiatives' website. These documents are only samples and are not comprehensive of all forms required under this policy. These are samples used in past projects and must be tailored to meet individual project needs **The Project Management Plan is considered optional to the Project Manager's discretion which is dependent upon whether the level of detail provided in the Project Charter is adequate enough to successfully obtain the project's objectives and achieve the project success criteria. Select areas within the Project Management Plan may require more detail than others depending on what's needed to successfully complete the project. Project Management Methodology policy Page 14 of 16 3. Roles and Responsibilities: Project related responsibilities must be clearly defined for each role. Defining the responsibilities of each role and communicating this will help maximize the use of resources, increase efficiency, and ensure the quality of the completed project. For each role in the organization structure above, the typical project responsibilities have been listed below: Project Sponsor - The role of the Project Sponsor is to be the champion of the project, who is accountable for the benefits and short comings of the project. As such, they play a role in navigating the project through the political climate and help the project be successful by providing adequate resources (staff & budget) and ensuring the scope is attainable and fits the strategic direction of the Corporation. The Project Sponsor has the following responsibilities: - Provides overall project direction and guidance, including setting attainable expectations and scope of work. - Champion/Promote/Support the project at senior levels - Empower the project manager to manage the project. - Provide the Project Manager with adequate staffing and budget for the project to be successful. - Accountable for realizing the benefits and short comings of the projects. - Hold the Project Manager accountable for the status of the project (I.e. on budget, on time, within scope), and be available to help the Project Manager address issues/constraints outside their control. - Provide the Project Manager with a go / no go decision at various stages of the project. In rare circumstances, the Project Sponsor could assume some or all of the responsibilities of the Project Executive Committee, with the approval of Council or the CAO. Project Steering Committee - The role of the Project Steering Committee is to support the project, and assist them in navigating the project through the political climate and help the project be successful by providing adequate resources (staff & budget) and ensuring the scope is attainable and fits the strategic direction of the Corporation. Project Executive Committee - The role of the Project Executive Committee is to support the Project Sponsor of the project, and assist them in navigating the project through the political climate and help the project be successful by providing adequate resources (staff & budget) and ensuring the scope is attainable and fits the strategic direction of the Corporation. Depending on the project governance structure some of the responsibilities can be transferred to a superior Steering Committee or the Project Sponsor. Typically the Project Executive Committee has the following responsibilities: - Provides overall project direction and guidance. - Promote/Support the project at senior levels Project Management Methodology policy Page 15 of 16 - Provides stakeholder's engagement. - Provides cross-functional resources to the project (I.e. staff, funding, technology, etc.) - Ensures the project stays aligned with the corporate goals; advises the Project Manager where changes to strategy might impact the project - Approve success criteria and performance measurements - Hold the Project Manager accountable for the status of the project (I.e. on budget, on time, within scope), and be available to help the Project Manager address issues/constraints outside their control. - Provide the Project Manager with go / no go decision at various stages of the project, and authorize key project milestones (I.e. pass through gating, entering into contracts, deliverable completion, etc.) - Authorizes or declines scope change requests - Monitors the overall project progress, through consistent monitoring mediums such as, regular Committee meetings, reviewing project status reporting, risk management, etc. - Authorizes the project completion Project Manager - The role of the Project Manager with the appropriate skills and experience for the project, is to be the leader of the project, who orchestrates a plan and leads a project team to meet the project's goals and objectives set by the Project Sponsor and Project Executive Committee. The Project Manager has the following responsibilities: - Has overall leadership and responsibility of the Project Team to meet the project success criteria. - Is the person responsible for accomplishing the project objectives within the parameters of the Project Charter. - Elevates risks/issues, change requests, and direction for approval to the Project Executive Committee. - Is involved with the planning, implementation and monitoring of the project plan, including managing and directing the assigned project resources to best meet project objectives. - Controls and monitors --triple constraints‖--project scope, time and cost (quality also)--in managing competing project requirements. - Collects metrics data (such as baseline, actual values for costs, schedule, work in progress, and work completed) & reports on project progress and other project specific information to the Project Executive Committee and stakeholders. - Responsible to the project stakeholders for delivering a project's objectives within scope, schedule, cost, and quality. - Responsible for constructing and implementing a project plan, including all 4 remaining phases of a project (planning, implementation, monitoring, & closing), to achieve the objectives within the Project Charter. Project Management Methodology policy Page 16 of 16 Project Team - The role of the Project Team is to complete the work assigned in the project plan to meet the project's goals and objectives set by the Project Sponsor and Project Executive Committee. The Project Team has the following responsibilities: - Does the work as allocated in the project plan. - Assists in building the details of the project plan. - Assists in resolving issues at the project level and refers to the Executive Committee if required. - Provide input to process improvements. - Report to the Project Manager the status of the assigned tasks, issues or risks relating the project, or process changes that may impact the project. 3rd Party Responsibilities - Consultants, vendors, and contractors typically report to the Project Manager, providing services through the project life-cycle. The services will vary depending on the nature of the project and are based on the formal agreement between the Consultant and the City. The responsibilities of the 3rd party are to: - Be aware of the Project Management Policy and report appropriately to the Project Manager for compliance. - Complete an acceptable level of work as identified in the binding document between the 3rd party and the City (I.e. tender contract, statement of work, etc.)