Project Complexity and Risk Assessment Manual (PCRA)

Table of Contents

  1. Introduction
  2. Background
  3. Conducting a PCRA Assessment
  4. Instructions for Conducting PCRA Assessments

1. Introduction

1.1 Purpose

The purpose of this manual is to assist Public Works and Government Services Canada (PWGSC) staff in performing Project Complexity and Risk Assessments. The PWGSC Project Complexity and Risk Assessment (PCRA) Manual has been designed to ensure PCRAs are performed consistently across the Department. This PWGSC PCRA Manual is a supplemental aid to the PCRA Tool and the "Callipers User Guide", both developed by the Treasury Board Secretariat (TBS).

1.2 Scope

The scope of the PWGSC PCRA Manual includes the following:

  • Background - description of new TB Policy on the Management of Projects
  • PCRA Scoring methodology and quality assurance process for PCRA scores; and
  • PCRA question interpretation specific to PWGSC projects.

This manual is to be used for all PWGSC projects, which are required to complete a PCRA, as follows:

  • All Real Property capital asset and space projects, including lease projects, with total project fit-up costs estimated to be > = $1 million, including Goods and Services Tax (GST) or Harmonized Sales Tax (HST), and excluding client costs, if applicable;
  • All PWGSC Business Projects – Information Technology (IT) Enabled with a planned value of $1 million or more;
  • At the discretion of the Department, non-routine initiatives that have characteristics analogous to a project may also be requested to conduct a PCRA.

1.3 Definition of Projects – PWGSC Context

Within the context of PWGSC, the following are the definitions of the two main types of projects carried out within the Department:

Real Property Projects: All real property asset acquisitions or improvements, including entering into a lease, fit-up of accommodation space, construction, renovation and remediation of a built-work (building, bridge, dam, road, etc.) or crown-owned land.

Business Projects – IT-Enabled: Business Projects – IT Enabled are projects which develop solutions to achieve and maintain efficient and effective business processes and service delivery that are facilitated by Information Technology; some of these projects may transform business practices.

Other activities can also be deemed to be managed as a project at the discretion of the Department where the activity will be undertaken within a limited time span with fairly well defined start and end dates; a clear outcome, output and budget; identified high risk and cost; a requirement for dedicated resources. It is possible that a modified tool will be developed for that purpose in the future. TBS officials may however require PWGSC to conduct PCRAs on high-risk activities.

2. Background

2.1 Policy on the Management of Projects

The Treasury Board Policy on the Management of Projects (PoMP) came into effect on June 7, 2007 and is being phased in across all government Departments over a 4-year period. This policy replaces the following TB policies:

  • Project Management Policy;
  • Policy on the Management of Major Crown Projects; and the
  • Project Approval Policy.

The Policy on the Management of Projects focuses on project governance, oversight and departmental capacity to manage projects. The policy re-defines project approval authority and oversight levels based on an organization's capacity and a project's complexity and risk profile.

Two additional standards were approved in conjunction with the PoMP, namely:

  • The Standard for Organizational Project Management Capacity; and
  • The Standard for Project Complexity and Risk.

The Policy and two supporting standards establish clear responsibilities for deputy heads to manage their projects in an integrated manner across the Department, rather than on a project-by-project basis. The expected results of this Policy, associated standards are that:

  • Projects achieve value for money;
  • Sound stewardship of project funds is demonstrated;
  • Accountability for project outcomes is transparent; and
  • Outcomes are achieved within time and cost constraints.

Deputy heads are responsible for conducting:

  • An organization-wide capacity assessment in accordance with The Standard for Organizational Project Management Capacity; and
  • An assessment of each planned or proposed project in accordance with The Standard for Project Complexity and Risk.

The two scores from the PCRA and Organizational Project Management Capacity Assessment (OPMCA) are compared to determine the level of Treasury Board oversight required. Deputy heads must seek Treasury Board approval for any project who's assessed risk and complexity exceeds the assessed level of project management capacity that the sponsoring minister can approve as is summarized in the following table.

Table Summary

This table determines the TB Submission & Approval level that will be required if a project's PCRA score exceeds the departmental OPMCA rating, provided for each of the 4 possible departmental OPMCA ratings.

Assessed Project Management Capacity Assessed Project Complexity and Risk
Class 4
  • Level 4 - Transformational
  • Level 3 - Evolutionary
  • Level 2 - Tactical
  • Level 1 - Sustaining
Class 3
  • Level 3 - Evolutionary
  • Level 2 - Tactical
  • Level 1 - Sustaining
Class 2
  • Level 2 - Tactical
  • Level 1 - Sustaining
Class 1
  • Level 1 - Sustaining
Class 0
(Limited or no assessed capacity)
  • $1 million

2.2 Standard for Organizational Project Management Capacity

The Standard for Organizational Project Management Capacity outlines the basis for determining the capacity of an organization to manage projects. The organizational project management capacity must be assessed every three years by performing an Organizational Project Management Capacity Assessment (OPMCA). The OPMCA is comprised of a total of 92 questions, and generates a weighted average indicating the classification of organizational project management capacity on a scale of 0-4 ("0" indicating a limited capacity for the organization and "4" indicating a transformational organizational capacity).

PWGSC has obtained an Assessed Project Management Capacity rating of Class 3 from Treasury Board and therefore will be able to internally approve projects whose complexity and risk are assessed at levels 3, 2 or 1, based upon the TB approved PWGSC Integrated Investment Plan which was completed for the first time and approved by TB Ministers on July 28th, 2011. It is important to note however, that, as per the Policy TB Ministers have the prerogative to consider any project for approval, regardless of the PCRA rating.

2.3 Standard for Project Complexity and Risk

The Standard for Project Complexity and Risk outlines the basis for determining the level of complexity and risk of a project. Every project identified in the Department's investment plan must be assessed by performing a Project Complexity and Risk Assessment. The PCRA is comprised of a total of 64 questions, and generates a weighted average to indicate the classification of complexity from 1-4.

The PCRA tool is a questionnaire that seeks to determine the nature of a proposed project by asking 64 risk-related questions in 7 categories as follows:

Project Characteristics (18 Questions)
This category is designed to build a profile of a given project with respect to key attributes, including funding, budget, size and number of resources, duration, scope, technology scope, stakeholders, dependencies, and external considerations.
Strategic Management Risks (6 Questions)
This category assesses a project's alignment with its organization's investment plan:

Is the project well positioned to achieve the goals and objectives of the plan?

Is the project a potential risk to the plan?

Procurement Risks (9 Questions)
This category assesses the extent to which procurement activities present potential risks to the project.
Human Resource Risks (5 Questions)
This category assesses whether the project team has the right skill sets in place, with the appropriate roles and responsibilities.
Business Risks (5 Questions)
This category assesses the extent to which the project affects the organization operationally and legislatively.
Project Management Integration Risks (6 Questions)
This category assesses whether the project demonstrates implementation of key project management control measures and deliverables. This assessment includes addressing the state of the project management plan, project management and control disciplines, and information management processes.
Project Requirements Risks (15 Questions)
This category assesses, by considering the number, type, and degree of certainty of the requirements, the extent to which the specific requirements of the project add risk and complexity.

Once the questions have been answered they are scored and weighted according to the following table:

Table Summary

This table provides the number of PCRA questions, scores and weightings for each of the 7 risk-related categories used in the PCRA tool.

Section No. of Questions Maximum Score Weighting
Project Characteristics 18 90 28%
Strategic Management Risks 6 30 9%
Procurement Risks 9 45 14%
Human Resource Risks 5 25 8%
Business Risks 5 25 8%
Project Management Integration Risks 6 30 9%
Project Requirements Risks 15 75 24%
TOTAL 64 320 100%

Note that the PCRA calculates a score out of 320 points and that the questions are each given an equal percentage in the overall score. Because the PCRA score evaluates a wide range of inherent risks, it is unlikely that a single project would be susceptible to all of the potential risks. The worst-case scenario would be that 70% of the inherent risks would be present in any one project. Therefore the actual raw score of the assessment is divided over 70 to show how the project compares to the worst case. Project Managers do not have to do this weighting calculation themselves, it is done automatically by Callipers.

Expressed as a percentage, this score corresponds to the complexity and risk rating of a project as shown in the following table:

Table Summary

This table names the four Project and Risk levels that may result from a PCRA assessment, with definitions and entry and exit scores for each level.

Complexity and Risk Level Definition Score
1. Sustaining Project has low risk and complexity. The project outcome affects only a specific service or at most a specific program, and risk mitigations for general project risks are in place. The project does not consume a significant percentage of departmental or agency resources. 25-44
/100
2. Tactical A project rated in this class affects multiple services within a program and may involve more significant procurement activities. It may involve some information management or information technology (IM/IT) or engineering activities. The project risk profile may indicate that some risks will have serious effects, requiring carefully planned responses, on the department or agency. The scope of a tactical project is operational in nature and delivers new capabilities within limits. 45-63
/100
3. Evolutionary As indicated by the name of the class, projects with this level of complexity and risk introduce change and new capabilities and may have a fairly extensive scope. Disciplined skills are required to successfully conduct evolutionary projects. Scope frequently spans programs and may affect one or two other departments or agencies. There may be substantial change to business process, internal staff, external clients, and technology infrastructure. IM/IT components may represent a significant proportion of total project activity. 64-82
/100
4. Transformational This class of projects requires extensive capabilities and may have a dramatic effect on the organization and, potentially, on other organizations. Horizontal (i.e. multi-departmental, multi-agency, or multi-jurisdictional) projects are transformational in nature. Risks associated with these projects often have serious consequences, such as restructuring of the organization, change in senior management, and loss of public reputation. 83-100
/100

3. Conducting a PCRA Assessment

The procedures for conducting PCRAs have been integrated into the departmental investment and project governance and approval process of PWGSC. In this regard the Department has established a PWGSC National Project Management System (NPMS). The methodology outlined in this guide provides further guidance supporting the NPMS policy and procedures.

PCRAs are to be completed as per NPMS. As a project matures, the information used for completing the PCRA will evolve and improve which will require the PCRA to be reviewed and updated.

Project teams must use Callipers to complete PCRA assessments, first as Authors and then as Reviewers. The Office of Investment Planning (OIP – Finance Branch) will perform the Approver function using the same tool and will keep TBS informed of all new PCRA scores for planned projects through regular meetings. Project team leaders can get their access to Callipers by contacting the OIP to obtain a user name and password. If need be, an Excel version of the tool is also available from the NPMS Web site but should only be used if you have not been provided with access to Callipers. Hyperlinks to the Excel version of the tool and to Callipers are as follows:

When preparing the PCRA assessments, project teams should also use the Annexes this Guide. This guidance has been developed within the PWGSC context to enable consistency in interpretation of the questions. As the project goes through the different NPMS phases and the PCRA gets reviewed, it must be re-entered in Callipers if the PCRA score changes.

3.1 Responsibilities for Conducting PCRA Assessments

Project Leads - The responsibility for carrying out the initial PCRA rests with the originator of the project. Normally this will be the originating Branch and Region and would generally be conducted by the Project Leader/Originator in consultation with the Project Manager and project team where necessary.

Branch Investment Plan Designated Contact - The respective Branch Investment Plan Designated Contacts are responsible to validate the identification of planned projects and to review PCRA scores developed by their Project Leads. Final approvals of Branch planned projects and PCRA scores will follow the approval process for the PWGSC Investment Plan.

Office of Investment Planning - Finance Branch established an Investment Plan group to:

  • Provide a secretariat function to maintain and store all of the PCRA scores and any related documentation;
  • Take on the roles of Departmental Access Control Officer (DACO) and Departmental Assessment Manager (DAM) for Callipers;
  • Undertake a final quality review of the individual PCRA scores, providing feedback to the respective designated Branch Investment Plan Contacts, to enable consistency of application of the PCRA tool;
  • Validate training material;
  • Approve PCRAs in Callipers after having received all the required documentation from the sponsoring branch and once proper analysis has been conducted.

Strategic Planning and Enterprise Architecture (SP&EA), Information and Technology Services Branch (ITSB)

  • Will provide technical support to Branches, and the Office of Investment Planning, to review PCRA scores for PWGSC's planned Business Projects – IT Enabled to be listed in the Integrated Investment Plan (IIP) and when seeking initial listing, and updates (i.e. at least at business case, Preliminary Project Approval (PPA) and Effective Project Approval (EPA) approval stages).

Project Management (Advisory & Practices) - Real Property Branch, Professional & Technical Services sector

  • Will provide technical support and training to the Real Property Branch staff, and act as a technical resource support center
  • Will provide additional support to review higher value, more complex projects PCRAs as per the NPMS project Quality Knowledge Area procedures.

4. Instructions for Conducting PCRA Assessments

4.1 General

  • All 64 questions must be answered. If you are sure a question does not apply to your project, answer with the lowest score ("1") for that question;
  • Provide brief comments to substantiate responses;
  • If the answer to a question is unknown, answer with the highest score ("5") for that question;
  • If you answer "1" to Question 2 in the "Project characteristics" section 1, questions in the "Procurement risks" section 3 should be answered with a "1" only; and
  • The assessments MUST reflect the current situation according to NPMS.

Triple Constraint

  • TBS has established a "Triple Constraint" criteria, which will automatically elevate the score. In the PCRA tool, the following parameters related to budget, scope and time as defined in questions 1, 3, and 11 of the PCRA tool have been defined as the "Triple Constraint" whereby scores on each of these 3 questions at the highest level (i.e. 5 points) will result in the highest score being applied to all other questions in the section. i.e.
    • Q1 - Total budget request for this project >$100 million
    • Q3 - Relative to the average project in your organization – project is considered to be "Large"
    • Q11 - Project is highly susceptible to time delays; major impact on the schedule

4.2 Project and PCRA Tombstone Data

Please refer to the Callipers User Guide for explanations on how to complete the Project and PCRA Tombstone Data. Below are additional indications on how to complete specific fields:

  • Project ID: Is a unique key indicator to be entered by the author in line with the Naming Convention.

    Icon - Project ID: Is a unique key indicator to be entered by the author in line with the Naming Convention.

  • Project Name – Enter a project name which will be meaningful for senior management.
  • Description - Enter a brief project description in order to provide context and scope for reviewers of the PCRA.
  • PCRA Title – Enter same as Project Name.
  • Scope of PCRA: Always indicate "Entire Project".
  • Activities Covered by PCRA: Not mandatory for now, could be used for a more detailed project description.

Annex A - PCRA Process, Questions
and Guidance for Real Property Projects

Real Property Annex to the PWGSC Departmental PCRA Manual

The Real Property Annex to the PWGSC Departmental PCRA Manual has been created to outline processes and responsibilities to employees within Real Property Branch and to provide guidance on PCRA questions for real property projects (applicable to Real Property Branch (RPB) and Parliamentary Precinct Branch (PPB)). Please read this annex in conjunction with the PWGSC Departmental PCRA Manual. Please note that this annex was developed using the section of the Departmental Manual from pages 8 – 16 only and it is considered that the other sections in the Departmental PCRA Manual are relevant to RPB projects and need to be followed. Any questions relating to this annex should be addressed to National Portfolio Management.

Real Property Branch Process Details

1.0 Conducting a PCRA Assessment

The procedures for creating, reviewing and approving PCRAs have been integrated into the departmental investment, project governance and approval process of PWGSC. Therefore, Branches should complete PCRAs in accordance with the PWGSC National Project Management System (NPMS). The methodology outlined in this Manual provides guidance in support of the processes and standards for completing PCRAs and is in adherence at all times with the NPMS policy and procedures.

A PCRA must be prepared coincidently and attached with the Investment Analysis Report (IAR), a control point within the NPMS Project Identification Stage. PCRAs are required for Capital and Lease Projects with a total project cost greater than $1M. The Project Leader/Manager in the region develops the initial PCRA for the project. Following the substantive completion/approval of the Investment Analysis Report (IAR) at the PPA/Lease Project Approval (LPA) Stage, the PCRA is forwarded to the Regional Manager Owner Investor (RMOI) where a Quality Assessment/Quality Control (QA/QC) is conducted in accordance with Diagram 2 of this Annex. Note, though optional, the PCRA can also be developed at the Statement of Requirements (SOR) stage of the NPMS Project Inception Stage but must be updated as required based on the substantively complete IAR information and should changes occur the PCRA is to be updated accordingly, prior to submission of PCRA and IAR for review and approval through the IIP governance process.

The PCRA is submitted to National Portfolio Management (NPM) via the Process for updating Regional Project Lists and Submission of PCRAs from Region to Headquarters (HQ), Diagram 1.

NPM will then input the PCRA data into the Treasury Board Secretariat (TBS) web portal "Callipers" and the PCRA and IAR will follow the IIP Governance Process (may want to add diagram of IIP project approval process) for approval and addition to the IIP project list. If further information is required during this process NPM will contact the RMOI as needed.

For process details:

(Refer to High-Level PCRA Completion and Submission Process for Projects > $1M, Diagram 2)

When completing and submitting PCRAs it should be noted that systems such as the Planned Leasing Action Report (PLAR) and Capital Project Briefing Notes (CPBN) will be cross checked during the PCRA QA/QC to verify project information. Therefore, it is integral that these two systems be consistent with the information contained in the PCRA.

Diagram for Process for Updating Regional Project Lists and Summission of PCRA's from Region to HQ via Regional Shared Drive.

Text Description for Diagram 1 - Process for updating Regional Project Lists and Submission of PCRAs from Region to HQ is available on a separate page.

Diagram for High-Level PCRA Completion and Submission Process for Projects greater than $1M.

Text Description for Diagram 2 - High-Level PCRA Completion and Submission Process for Projects > $1M is available on a separate page.

2. Responsibilities for Conducting PCRA Assessments

Region - Project Lead
  • The initial PCRA is created as per Diagram 2 of this Annex. In most instances, this will be the originating Branch and Region and would generally be conducted by the Project Leader/Originator in consultation with the Project Manager and project team where necessary.
PCRA Designated Contact (i.e. Regional Manager Owner Investor)
  • Validates the PCRA and list of planned projects and completes a Quality Assessment/Quality Control (QA/QC).
  • Follows the PCRA completion and submission process (refer to Diagram 2)
  • Provides PCRA to NPM via Regional Shared Folder. (refer to Diagram 1)
National Portfolio Management Directorate (Real Property Branch)
  • Provides a secretariat function to maintain and store all of the Real Property Branch PCRA and any related documentation.
  • Undertakes a final QA/QC review of the PCRA's and where needed provides feedback and clarifies content with the RMOI.
  • Promotes PCRA to the Office of Investment Planning via TBS web portal.
  • National Portfolio Management Directorate maintains a file structure system that contains the list of Capital and Lease Projects as well as associated PCRAs. Documentation is available on the shared regional drive located at:

    P:\RPS\Owner Investor\NPM\NPM Elec. Library\Regional Analysts - Mail Drop

Project Management (Advisory & Practices) - Real Property Branch, Professional & Technical Services sector
  • Provides technical support to the Real Property Branch and in cooperation with the Office of Investment Planning (or National Portfolio Management Directorate for Real Property Branch projects), provides PCRA training to RPB staff, and acts as a technical resource support center for Project Management.
  • Provides additional support to review higher value, more complex PCRAs as per the NPMS project Quality Knowledge Area procedures.

Real Property Interpretation and Guidance to PCRA Questions

The guidance on the PCRA questions is applicable for all real property projects managed within PWGSC.

General

  • All 64 questions must be must be answered. If you are sure a question does not apply to your project, answer with the lowest score ("1") for that question;
  • Provide brief comments in the notes to substantiate responses;
  • If the answer to a question is unknown, answer with the highest score ("5") for that question; and
  • If you answer "1" to Question 2 in the "Project characteristics" section 1, questions in the "Procurement risks" section 3 should be answered with a "1" only.
  • The assessment must provide the actual state of the documentation; whether the documentation is currently available or not.

IMPORTANT NOTE - It is important to note that the assessments MUST reflect the actual situation, when the projects are being put forward for project approval (i.e. PPA, EPA or LPA).

For large or complex projects, especially where non-conventional approaches are being developed whereby the current standard practices may not be fully in place, the questions should not be answered as positive until the particular document/requirement has in fact been completed.

  • TBS has established a "Triple Constraint" criteria, which will automatically elevate the score. In the PCRA tool, the following parameters related to budget, scope and time as defined in questions 1, 3, and 11 of the PCRA tool have been defined as the "Triple Constraint" whereby scores on each of these 3 questions at the highest level (i.e. 5 points) will result in the highest score being applied to all other questions in the section. I.e.
    • Q1 - Total budget request for this project >$100 million
    • Q3 - Relative to the average project in your organization – project is considered to be "Large"
    • Q11 - Project is susceptible to time delays

Ensure that the project tombstone data is accurate and complete as follows:

Date Prepared: ___________________________

Prepared By/Contact:

List the lead and project team members who participated in the preparation of the PCRA. Provide full name & contact information

Project Name:

Project name as listed in PWGSC Investment Plan must include:

  • Full address,
  • Building/Complex Name

Project Description:

Provide a brief description of the project to provide context, and included the following where applicable:

  • Project Type: Renewal, Tender Call, Options…
  • Clients – major to minor
  • Amount of space (total rentable)
  • Length of term sought
  • Reason for project
  • Links to other leases/projects
  • Investment Analysis Report status
  • Lease Project Approval status
  • In Service Date/Lease Start Date

Example - Capital

The West Memorial renovation & fit-up project consists of the rehabilitation of the West Memorial Building (WMB) and the addition of space through the conversion of the building light wells and the completion of the 5th and 6th floors. Clients consist of Elections Canada and Department of Justice. Effective Project Approval for the project is $334 M. The WMB is approximately 24,404 m² rentable (19,525 m² usable) and is a heritage asset that has reached the end of its economic life. Investment Analysis Report completed July 15, 2011.)

Example - Lease

Lease renewal project for 6,2000 rm² to position clients program for long term solution in Niagara Falls. The lease expires April 30, 2012 and will be renewed to May 1, 2015, which is the proposed in service date of the new location in Niagara Falls. The new location in Niagara Falls is a Canada Boarder Services Agency Southern Ontario regional office co-location with the Regional Municipality of Niagara Falls police. Lease #2522121. Investment Analysis Report completed June 13, 2011, currently awaiting Lease Project Approval)

Project Type:

Select from drop down menu project type as being:

  • Real Property

Project Status:

Select Project Status from Drop down list:

  • Concept (Prior to NPMS Analysis Phase and Preliminary Project Approval/Lease Project Approval)
  • Planning (NPMS Planning and Design Phase up to Effective Project Approval)
  • Execution (NPMS Implementation Phase)
  • Completion (NPMS Project Close Out Phase)

***When submitted to NPM HQ, status should always indicate "Planning"***

Investment Plan:

The current Investment Plan for the period from 2011/2012 - 2015/16 is the "2011/12 Investment Plan" therefore enter 2011/12 if your project will be started "ie project expenses incurred" within this 5 year period.

Investment Plan Year:

Enter the year within the current 5 year Investment Plan in which your project will be started "ie project expenses incurred" - 2011/12 = year "1", 2012/13 = year "2" … 2015/16 = "5"

Location: Country:

Indicate country - select Canada from drop down list

Location Canada: National Capital Region (NCR), Province or Territory:

For projects to be undertaken within Canada, select from the drop down list, the province or territory.

Documents verified for Consistency

Capital Project Briefing Note (CPBN):

Note: When completing PCRA reviews and doing QA/QC for project/PCRA approval the following fields within CPBN and PLAR will be reviewed/compared with PCRA information for consistency:

Sigma, CPBN, Project/Building, Address, Total Project Cost, Total Expenditures (previous, future, current), Preliminary Project Approval (PPA), Priority Ranking, Full Description, Purpose

Planned Lease Action Report (PLAR):

Address, Asset Name/Building, City, Province, Cost Centre (new, old)

Lease Project Approval (LPA), Projected Lease end date. Rentable Area

PCRA Questions and Guidance for Real Property Projects

Table Summary

This table contains the Project Complexity and Risk Assessment questions related to Project Characteristics as well as the rating descriptions and question specific guidance or interpretation.

1. PROJECT CHARACTERISTICS (18 Questions)
Question Rating Guidance/
Interpretation
Typical Score
1. What is the total budget request for this project?

NOTE - TRIPLE CONSTRAINT QUESTION

See section on Triple Constraint Questions for details.

  • = $1-5 million
  • = $5-10 million
  • = $10-25 million
  • = $25-100 million
  • = >$100 million

"Total budget request" includes the formal securing of funds for all phases of the project. This includes all acquisitions, capital costs and re-fit/improvement costs, and PWGSC delivery staff fees.

Mandatory Comments

In the notes identify:

  • Lease Project Approval/
    Preliminary Project Approval/Effective Project Approval: $___
  • Goods and Services Tax/
    Harmonized Sales Tax: $___
  • Fit-up: $___
-
2. What percentage of the overall project budget is for procurement?
  • = No procurement is required—answer "1" to all questions in the "Procurement risks" section 3
  • = <25 per cent
  • = 26-50 per cent
  • = 51-75 per cent
  • = >75 per cent
Typically the largest percentage of the project budget is used for procurement (e.g. building purchase and/or re-fit using contractors) as opposed to services being supplied internally. 5
3. Relative to the average project in your organization, which of the following adjectives describes the total budget of this project?

Note: Total project budget includes capital and operating costs

NOTE - TRIPLE CONSTRAINT QUESTION

See section on Triple Constraint Questions for details.

  • = Small
  • = Medium
  • = Large
  • Small Projects: <$5 million for Asset projects OR <15,000 m² rentable for Lease projects
  • Medium Projects: $5-10 million for Asset projects OR 15,000-30,000 m² rentable for Lease projects
  • Large Projects: >$10 million for Asset projects OR >30,000 m² rentable for Lease projects

Mandatory Comments

In the notes identify:

For leases: The total project size is _____ m²r.

-
4. How many people are required to complete this project at its peak activity?

Note: People can be part-time or full-time on the project, including Government of Canada (GC) employees and individual contractors, but excluding vendor-supplied work teams

  • = <10
  • = 10-25
  • = 26-100
  • = 101-250
  • = >250
Include government employees and contractors who work on the project and are managed directly by PWGSC staff.

E.g. For construction projects:

  • Exclude construction staff, &
  • Include design consultants and contracted Project Managers
2
5. From project initiation to project implementation, what is the expected duration of the project?

Note: Use definitions from A Guide to the Project Management Body of Knowledge for initiation and implementation

  • = <12 months
  • = 12-24 months
  • = 24-36 months
  • = 36-48 months
  • = >48 months
"Expected duration" spans from the receipt of PPA/LPA to the end of Project Implementation and the in-service date or transfer of administration/registration of the asset/property. -
6. Horizontal (i.e. cross-departmental or cross-agency) scope: How many sponsoring or funding departments or agencies are involved?

Note: Service providers such as Public Works and Government Services Canada (PWGSC) or central agencies should not be included. Include only the departments or agencies that will co-sponsor or jointly fund the project.

  • = The project involves only one department or agency
  • = The project involves another department or agency
  • = The project involves two other departments or agencies
  • = The project involves three other departments or agencies
  • = The project involves four or more other departments or agencies
When PWGSC is acting as a service provider on behalf of a client, do not count PWGSC. When it is a PWGSC funded project or a project where PWGSC has joint funding/co-funding, count PWGSC. Asset: 1
7. Project reach

The outcome of this project changes or directly affects the following:

  • = One business process within a sector
  • = Multiple business processes within a sector
  • = Multiple sectors
  • = Multiple branches
  • = Multiple departments or agencies
The purpose of this question is to assess the outcome of the project itself in the context of the client/receiver of the product. Think of the end solution's effects on the users when interpreting this question.

Most RP projects will not change business processes or the way sectors, branches and departments conduct their work.

1
8. The proposed or established governance structure demonstrates adequate support for how many of the following project factors?
  1. appropriate representation of stakeholders and executive management;
  2. documented decision-making processes;
  3. documented roles, responsibilities, and authorities within the governance structure; and
  4. documented information requirements.
  • = Support for all factors is demonstrated.
  • = Support for three of the factors is demonstrated.
  • = Support for two of the factors is demonstrated.
  • = Support for one of the factors is demonstrated.
  • = Support is not demonstrated for any of the factors.

The typical score should be 1 when they are fully complying with the NPMS.

Mandatory Comments

In the notes identify which project factors are demonstrated:

  1. ____________________
  2. ____________________
  3. ____________________
  4. ____________________
1
9. In supporting the achievement of the expected outcomes, how many of the following criteria apply to the cost estimate?
  1. cost estimates are generated at the work-package level;
  2. cost estimates are based on historical data, industry benchmarks, or both.
  • = Both criteria are met.
  • = One of the two criteria is met.
  • = None of the two criteria are met.
  1. A work package is defined as a/multiple group(s) of deliverables within a project (usually the lowest level element identified in the project Work Breakdown Structure (WBS). The total of work packages forms the complete scope of work for a project.
  2. Cost estimates at PPA are usually based on historical data while more detailed estimates are later completed for EPA based on actual design and current industry cost.

Mandatory Comments

In the notes identify which (if any) of the two criterias is not met:

a), b)

1
10. In supporting the achievement of the expected outcomes, how many of the following criteria apply to the costing model?
  1. the source of funds has been identified
  2. the funds are committed (i.e. authority to spend)

    Cost should be interpreted as funding.

  • = Both criteria are met.
  • = One of the two criteria is met.
  • = None of the two criteria are met.
Interpret the word "committed" as meaning that funds have been identified in the IIP.

Projects can only be placed in the IIP if funds have been identified for the project.

Mandatory Comments

In the notes identify which (if any) of the two criterias is not met:

a), b)

1
11. Is the project susceptible to time delays? Time delays can have a number of causes, such as the following:
  1. changes in technology;
  2. requirements of participating organizations;
  3. seasonal considerations;
  4. the need for policy approvals; and
  5. external influences.

    NOTE - TRIPLE CONSTRAINT QUESTION

    See section on Triple Constraint Questions for details.

  • = No, the project is not susceptible.
  • = Yes, the project is moderately susceptible; time delays will have minor effects on the schedule.
  • = Yes, the project is highly susceptible; time delays will have major effects on the schedule.
Due to the nature of the business, Real Property (RP) projects are often susceptible to time delays: i.e. weather conditions.

Indicate in the notes which from a) to e) is relevant to this question.

-
12. Do geographical considerations influence the manner in which the project is conducted? Consider the following statements:
  1. project activities or team members are distributed across a wide geographical area.
  2. the project will be conducted in a remote or difficult location.
  • = Neither statement applies.
  • = One statement is true.
  • = Both statements are true.

Mandatory Comments

In the notes identify which (if any) statement is true:

a), b)

1
13. Do environmental considerations influence the manner in which a project is conducted?
  • = No
  • = Yes
As per the Canadian Environmental Assessment Act, projects requiring an Environmental Assessment (EA) will determine if there are environmental considerations that may impact the project. If other non-legislated environmental requirements have been identified, such as meeting high levels of environmental and sustainable performance, whereby markets, methods and/or techniques are not yet well established, and will significantly impact the manner in which the project will be delivered, score the project as 5.

E.g. Achievement of Leadership in Energy and Environmental Design (LEED) Gold for a project involving a non-typical office or special purpose space, located in a northern climate would likely score as a 5. For projects where practices are well established and markets are readily available to meet LEED Gold environmental requirements, the project would likely be scored as a 1.

1
14. Are there any socio-economic considerations that must be taken into account?

e.g. Considerations relating to industrial regional benefits, ABORIGINAL PEOPLES, and GREEN PROCUREMENT.

  • = No
  • = Yes
Other socio-economic considerations could also include managing heritage assets. Projects with these considerations would typically be scored as 5.

If response is 5 then define consideration in the notes.

1
15. Consider how the availability of facilities will influence the manner in which the project is conducted:
  • = appropriate facilities are available to conduct the project.
  • = Facilities available to the project are inadequate
  • = Facilities are unavailable for the project
This question relates to the Implementation Phase of the project only and refers to such things as the availability of office facilities for the project team and availability of equipment. 1
16. Does PUBLIC perception influence the manner in which the project is conducted?
  • = No
  • = Yes
Decisions are mainly based on operational need and are not usually susceptible to public influence.

Public perception does not reference the client.

Example Exception:

  • Projects involving contaminated sites or with significant environmental considerations whereby the Environmental Assessment has determined that public consultation will be required, the project should be scored as 5.

If response is 5 then explain in the notes.

1
17. Do considerations relating to ABORIGINAL PEOPLE (including land claims) influence the manner in which the project is conducted?
  • = No
  • = Yes
If response is 5 then explain in the notes. 1
18. Do health and safety requirements add significant complexity to the requirements for this project?
  • = No
  • = Yes
Question should be scored as a 5 if the project presents special health and safety considerations to make the project significantly more complex. I.e. such as the presence of extensive amounts of asbestos or other hazardous materials including site contamination requiring remediation measures.

If response is 5 then explain in the notes.

1
Table Summary

This table contains the Project Complexity and Risk Assessment questions related to Strategic Management Risks as well as the rating descriptions and question specific guidance or interpretation.

2. STRATEGIC MANAGEMENT RISKS (6 Questions)
Question Rating Guidance/
Interpretation
Typical Score
19. How well and how clearly does the project align with the department or agency's mandate and outcomes?
  • = The project is critical to the outcomes of the department, agency, or program.
  • = There is good alignment with an indirect contribution to the outcomes of the department, agency, or program.
  • = There is a weak alignment with the outcomes, or the outcomes have not been established.
Follows NPMS and is in-line with the departmental and branch investment plans. 1
20. To what degree is this project considered to be of critical importance to the Department or Agency?
  • = The project is a critical priority: all resources necessary will be allocated to it.
  • = The project is a normal priority: resources may be shared with a project of equal or higher priority.
Although all the RP Projects have shared resources and are considered a normal priority, they are still considered critical to the management of the RP portfolio.

The decision to make the project a critical priority is made with the approval of the Statement of Requirements (SOR).

1
21. How thoroughly does the project business case demonstrate the value of the project to the organization?

Note: A business case (when it is required) is defined by the operational requirements of the department or agency.

  • = The business case is compelling, and value is extensively documented OR a business case is not required
  • = The business case provides a good demonstration of value; some details require further clarification.
  • = The business case does not demonstrate value or is not complete.
Typically, the IAR will provide the necessary demonstration of value to the organization and is a key parameter for approval of the project. 1
22. To what degree are the department's management and relevant stakeholders aware of the project?
  • = There is consistent, clear, and comprehensive understanding of the project at all relevant levels.
  • = There is good general awareness of the project, its implications, and its budget.
  • = There is minimal awareness of the project in relevant levels of the organization.
In the case of very large projects, senior management oversight committees may also be required in order to score the project as 1.

In addition, for Asset projects, where an approved Project Plan and/or Project Charter is available, developed in consultation with all key stakeholders, the score is 1.

1
23. Does the project have a communications plan?
  • = Yes, there is a project communications plan.
  • = The project communications plan has not yet been completed
  • = No, a project communications plan does not exist
The communication plan requirement is covered by the development of the communications management section of the Preliminary Project Plan/Project Management Plan as per NPMS. 1
24. How extensive is the commitment of the organization, senior management, stakeholders, partners, and project sponsors to the timely and successful completion of this project? Consider the following criteria:
  1. a senior management champion is engaged.
  2. stakeholders are willing to reallocate resources if necessary.
  3. senior executive oversight is in place.
  4. commitment from all stakeholders is confirmed
  • = All four criteria are met.
  • = Three of the four criteria are met.
  • = Two of the four criteria are met.
  • = One of the four criteria is met.
  • = None of the four criteria are met.
  1. All projects have a senior management champion engaged (identified project approval bodies).
  2. Resources must be allocated to the project when it is inserted into the Investment Plan.
  3. Senior staff oversight is applied through the establishment of regional and national investment boards that review projects.
  4. Projects are not implemented without commitment of stakeholders.
1
Table Summary

This table contains the Project Complexity and Risk Assessment questions related to Procurement Risks as well as the rating descriptions and question specific guidance or interpretation.

3. PROCUREMENT RISKS (9 Questions)
Question Rating Guidance/
Interpretation
Typical Score
25. The documented project procurement strategy:
  • = addresses all project requirements.
  • = is high-level and adequately describes required procurement activities.
  • = is incomplete or inappropriate for the project.
A documented project procurement strategy is a requirement within the Project Plan. This requirement is standardized under the departmental application of the NPMS. 1
26. What is the supplier availability and willingness?
  • = There are qualified bidders in the market willing to work with the Government of Canada.
  • = There is a limited number of qualified bidders in the market, or some bidders are reluctant to work with the Government of Canada.
  • = There is only one bidder, or there are no qualified bidders that can meet the requirements.
In the case of work in most metropolitan areas where qualified bidders are anticipated, the typical score is 1.

If however there are known shortages, the score should be increased to 3 or 5 accordingly.

1
27. Will the project required products, goods, or services be supplied in a timely manner by an appropriate vendor?
  • = Yes: products, goods or services can be readily supplied.
  • = Potential slippage of project schedule may be due to procurement complexity or vendor challenges.
  • = The project deliverables, schedule, or budget may be seriously affected by limited qualified bidders, significant request-for-proposal (RFP) process delays, or extended challenges.
If there are known shortages that could impact the schedule the score should be increased to 3 or 5 accordingly. Consider #11's response in your answer. 1
28. Contracting capabilities

How many of the following statements are true?

  1. personnel supporting this project have expertise in writing specifications or RFPs/Statement of Work.
  2. the personnel supporting this project have subject-matter expertise with the goods or services being procured.
  3. there is a robust departmental process for reviewing all awarded contracts.
  • = All statements are true.
  • = Two statements are true.
  • = One statement is true.
  • = None of the statements are true.

Mandatory Comments

In the notes identify which (if any) of the statements are not true:

  1. ____________________
  2. ____________________
  3. ____________________
1
29. Number of contracts

How many separate contracts associated with KEY DELIVERABLES are planned for this project?

  • = One contract
  • = Two contracts
  • = Three contracts
  • = Four contracts
  • = Five or more contracts
Typical projects have more than 1 contract, and so the score will be greater than 1.

In the case of a contract, which has multiple sub-consultants or sub-contractors, the number of contracts is to be interpreted as 1 contract. All consultant contracts associated with key deliverables should be counted.

Key Deliverables are the outputs associated with NPMS i.e. Statement of Requirements (SoR), Preliminary Project Plan (PPP), FR, IAR

-
30. Contract characteristics

How many of the following statements are true?

  1. the firm or individual obtaining the contract will subcontract to other companies.
  2. contracts are subject to trade agreements.
  3. the results of the contract are dependent on the results of another contract.
  • = None of the statements are true.
  • = One statement is true.
  • = Two statements are true.
  • = All statements are true.
  1. In virtually all cases, construction contracts involve the use of subcontractors
  2. Contract may be subject to trade agreements (Agreement of Internal Trade) if the value of the procurement meets the following minimum criteria:
    • >$25,000 when the largest portion of the procurement is for goods
    • >$100,000 when the largest portion of the procurement is for services
    • Or >$100,000 in case of construction
      (Supply Manual)

    Note: Only count the statement as true if it is true for all contracts related to the project as per Question 29.

Mandatory Comments

In the notes identify which (if any) of the statements are not true: a),b), c)

-
31. Degree of control over supplier selection and anticipated contract style

The contract is as follows:

Note: If more than one method of supply is involved, use the method with the highest score.

  • = directed (sole-source, Advance Contract Award Notice)
  • = a standing offer call-up
  • = a supply arrangement procurement
  • = a public tender (request for quotation, invitation to tender, RFP)
Typical score is 5 as contracts are publically tendered.

In the case of a lease renewal, the score could be as low as 1.

-
32. Contract management

How many of the following statements are true?

  1. the personnel who wrote the contract are involved in the management of the contract.
  2. there is a standardized acceptance process for the review of the completion of contracts (e.g. peer reviewing or review of the completion of deliverables).
  3. the lines of communication between the contract authority and the contractor are well defined and regularized.
  4. there is a standardized process for reporting progress (e.g. punctual evaluation or regular meetings).
  5. there is a mechanism in place to address any contractual disagreements between parties regarding the completion of a contract.
  • = All statements are true.
  • = Four statements are true.
  • = Three statements are true.
  • = Two statements are true.
  • = One or none of the statements are true.

All statements are true based on requirements defined by standard departmental contracting procedures.

Mandatory Comments

In the notes identify which (if any) responses are not true:

  1. ____________________
  2. ____________________
  3. ____________________
  4. ____________________
  5. ____________________
1
33. Has PWGSC or a delegated contracting authority been formally engaged through a service agreement to provide adequate support for the procurement process?
  • = Yes or not required
  • = This is planned but not yet in place
  • = No
  1
Table Summary

This table contains the Project Complexity and Risk Assessment questions related to Human Resources Risks as well as the rating descriptions and question specific guidance or interpretation.

4. HUMAN RESOURCES RISK (5 Questions)
Question Rating Guidance/
Interpretation
Typical Score
34. Does your organization anticipate a shortage of available personnel with appropriate skills during a significant period of the project?

Note: Resources can be internal or external to the Government of Canada.

  • = No
  • = Yes
Typically, the project will have time to plan and acquire resources.

Unless the project is in an isolated post or in an area where there are many major projects ongoing, the score should be 1.

If response is 5 then explain in the notes.

1
35. What is the predicted stability of the project team? Consider the following criteria:
  1. the project team has previously worked together.
  2. a low rate of turnover is expected.
  3. it is expected that suitable replacements will be readily available.
  • = All three criteria are met.
  • = Two of the three criteria are met.
  • = One of the three criteria is met.
  • = None of the three criteria are met.
  1. Each team member will have likely worked on similar projects previously, therefore the answer is yes.

Mandatory Comments

In the notes identify which (if any) criteria is not met:

a), b), c)

1
36. Commitment of project team members

What percentage of the project team is assigned full-time to the project?

  • = >80 per cent
  • = 61-80 per cent
  • = 41-60 per cent
  • = 20-40 per cent
  • = <20 per cent or all part-time
Staff is not assigned to a project on a full time basis but rather work on many projects simultaneously. 5
37. Knowledge and experience

Consider the following criteria:

  1. the project will use a proven approach.
  2. this type of project has been done before in the Government of Canada.
  3. the project will use resources that have been applied to this type of project before.
  • = All three criteria are met.
  • = Two of the three criteria are met.
  • = One of the three criteria is met.
  • = None of the three criteria are met.

Mandatory Comments

In the notes identify which (if any) criteria is not met:

  1. ____________________
  2. ____________________
  3. ____________________
1
38. Has the assigned Project Director or Project Manager worked on a project of this size and complexity before?
  • = Yes
  • = No
  1
Table Summary

This table contains the Project Complexity and Risk Assessment questions related to Business Risks as well as the rating descriptions and question specific guidance or interpretation.

5. BUSINESS RISKS (5 Questions)
Question Rating Guidance/
Interpretation
Typical Score
39. Describe the overall effect of this project on the organization:
  • = Project will fit with current departmental or agency processes, use existing workforce and skills, and not require substantial changes to technology and other infrastructure.
  • = Some changes to processes, staffing models, or technology will be required.
  • = Significant restructuring of business processes, staffing requirements, partner relationships, and infrastructure will be required.
  1
40. Does the project have a change management plan?
  • = Change management (CM) will be required and a CM plan has been prepared. Alternatively, there are no significant change management requirements.
  • = Change management will be required and preparation of a CM plan is incorporated or included in the project management plan.
  • = Change management will be required but there are no plans to establish a CM plan.
For regular RP projects, the typical score should be 1. For very complex RP projects, the score should be 3.

Score 5 is not applicable to our RP Business.

-
41. Public engagement

What is the level of public involvement required to achieve expected outcomes? (The level of involvement is expressed in the number of people, length of time, or number of groups involved.)

  • = No public participation is required for project success.
  • = Limited public participation is required for project success.
  • = Moderate public participation is required for project success.
  • = Extensive public participation is required for project success.
In some cases it is necessary to meet with local residents, through public consultations, Townhall meetings, to outline the nature of the proposed project and possible problems related to its implementation.

Public = Local Residents

1 or 2
42. What level of legal risk will be introduced by this project through the addition of new liabilities, regulatory requirements, and legislative changes?
  • = No legal review is required; no legislative changes are required; liability is assessed as low.
  • = One or more risk events will likely occur resulting in legal costs and effort; a legal review has been completed.
  • = One or more risk events will likely occur resulting in legal costs and effort; a legal review has not been completed.
  • = There is a high probability of liability and other legal risks; extensive legal resources will be required during the project; legislative change is required to implement the project; a legal review has been completed.
  • = There is a high probability of liability and other legal risks; extensive legal resources will be required during the project; legislative change is required to implement the project; a legal review has not been completed.
For standard project delivery processes, contract development should take any of these potential liabilities or risks into consideration. Projects involving leases will have a legal review for some elements in the lease contract, however the overall risk is low. 1
43. What level of complexity is introduced to ensure that this project complies with relevant Treasury Board policy requirements, such as those regarding security, accessibility, and common look and feel standards for the Internet, and management of government information?
  • = The project fully conforms with all applicable policies. Alternatively, the project is not subject to any of these policies.
  • = There are some challenges associated with policy requirements, but the project team is adequately equipped to address these.
  • = There is a lack of confidence that policy requirements can be met on schedule and within the budget.
Projects that plan on acquiring exemptions to these requirements would still score 1. 1
Table Summary

This table contains the Project Complexity and Risk Assessment questions related to Project Management Integration Risks as well as the rating descriptions and question specific guidance or interpretation.

6. PROJECT MANAGEMENT INTEGRATION RISK (6 Questions)
Question Rating Guidance/
Interpretation
Typical Score
44. How many of the following elements are defined in the project management plan?
  1. scope
  2. costs
  3. schedule
  4. project controls
  5. risks
  6. deliverables
  7. team or skills
  • = All elements are defined.
  • = Five or six elements are defined.
  • = Three or four elements are defined.
  • = One or two elements are defined.
  • = No plan has been completed.

The elements noted are standard requirements of a Project Plan. These requirements are standardized under the departmental application of the NPMS.

Mandatory Comments

In the notes which (if any) elements are not defined:

a), b), c), d), e), f), g)

1
45. To indicate the extent of the project team's is appropriately organized to undertake a project of this scope, how many of these criteria are met?
  1. project team composition, resource levels, and roles and responsibilities are defined and documented.
  2. resources are dedicated (i.e. available when required).
  3. responsibilities and required authorities for managers and leads within the project team are defined and documented.
  • = All three criteria are met.
  • = Two of the three criteria are met.
  • = One of the three criteria is met.
  • = None of the three criteria are met.

A Project Charter/Project Plan should layout these requirements.

Mandatory Comments

In the notes identify which (if any) criteria that is not met:

  1. ____________________
  2. ____________________
  3. ____________________
1
46. Has a project reporting and control process for the project been documented?
  • = Yes
  • = The development of a project reporting and control process is in the Project Plan, but not yet completed
  • = No
Project should comply with NPMS. 1
47. How many of the following disciplines will or does the project employ?
  1. quality assurance
  2. risk management
  3. outcome management
  4. issue management
  • = All four disciplines
  • = Three of the disciplines
  • = Two of the disciplines
  • = One of the disciplines
  • = None of the disciplines

Project should comply with NPMS.

Mandatory Comments

In the notes identify which (if any) disciplines will not be employed:

  1. ____________________
  2. ____________________
  3. ____________________
  4. ____________________
1
48. Has a risk management plan been completed, and to what degree have appropriate contingency plans been included which respond to the risks as identified in the plan?

Consider the following criteria:

  1. identified risks have been assessed and prioritized.
  2. appropriate controls and mitigations are in place for all significant residual risks.
  3. a risk management plan has been integrated into the project management plan.

    Note: An organizational risk management group should be involved.

  • = All three criteria are met, OR a risk management plan is not required.
  • = Two of the three criteria are met.
  • = One of the three criteria is met.
  • = None of the three criteria are met.

As per NPMS, a risk management plan should be incorporated into the IAR and/or project plan for identification and mitigation.

Mandatory Comments

In the notes identify which (if any) criteria is not met:

  1. ____________________
  2. ____________________
  3. ____________________
1
49. Is an appropriate information management (IM) process planned or in place to collect, distribute, and protect relevant and important project information, such as designs, project plans, baseline, and registers?
  • = Highly effective IM practices are in place or planned to support the project throughout its life cycle.
  • = Standard IM practices are planned or in place and resourced.
  • = Minimal IM practices are in place or planned within project.
  3
Table Summary

This table contains the Project Complexity and Risk Assessment questions related to Project Requirements Risks as well as the rating descriptions and question specific guidance or interpretation.

7. PROJECT REQUIREMENTS RISK (15 Questions)
Question Rating Guidance/
Interpretation
Typical Score
50. How many of the following statements are true?
  1. the project solution requires a high degree of availability.
  2. the project solution requires customization beyond normal configuration.
  3. the project solution requires a high degree of performance quality
  4. the project solution requires a high degree of reliability.

    Note: "Project solution" is the major output that the project will deliver.

  • = None of the statements are true.
  • = One of the statements is true.
  • = Two of the statements are true.
  • = Three of the statements are true.
  • = Four of the statements are true.
  1. Degree of availability of space to operate beyond normal operating hours (i.e. operations 24/7)
  2. Degree of customization refers to requirements for fit-up customization above current standards requiring special base-building modifications
    Example: a requirement to remove asbestos in a heritage building.
  3. Performance requirements above current office standards (e.g. Requirements for high loads, high security requirements)
  4. Degree of reliability refers to requirements to ensure operations above current office standards (e.g. Critical security installations)

Mandatory Comments

In the notes identify which (if any) statements are not true:

a), b), c), d)

Typical
1-2

Complex
4-5

51. In defining project requirements, how many of the following statements are true?
  1. the requirements can be defined with very few people.
  2. the requirements can be defined in a short period of time.
  3. there are a small number of individual requirements to define.
  4. the requirements do not require a high degree of detail.
  • = Four of the statements are true
  • = Three of the statements are true
  • = Two of the statements are true.
  • = One of the statements is true.
  • = None of the statements are true.

For a lease project, the project scope is driven by the Office Accommodation Framework (OAF), and Fit-up Standards as well as typical terms and conditions of PWGSC leases.

Mandatory Comments

In the notes identify which (if any) statements are not true:

  1. ____________________
  2. ____________________
  3. ____________________
  4. ____________________
Typical
1-2

Asset
4-5

52. Information availability for planning, integration, and development

To what extent have available sources/methods been employed and verified to provide information for this project as applicable (e.g. research, consultations, workshops, surveys, and existing documentation)?

  • = Feasibility studies are not required.
  • = All sources/methods have been employed but have not been verified.
  • = Some sources/methods have been employed.
  • = Few sources/methods have been employed.
  • = No information has been gathered or is available.
Feasibility studies should not be interpreted as the NPMS feasibility report.

Asset project:
Only score 2 if additional technical studies are required.

Lease project:
NPMS "Lite" projects score 1, all others score 2.

-
53. Have the business requirements been validated with users with an appropriate technique, such as "walk-throughs", workshops, and independent verification and validation?
  • = Yes
  • = Validation is a planned activity but has not yet been completed.
  • = No
All projects should comply with NPMS. 1
54. Have feasibility studies been conducted and is there confidence in the assumptions made in the feasibility studies?

Note: Prototypes or proof of concept exercises are included as feasibility activities.

  • = Feasibility studies are not required, because none of the requirements are technically difficult to implement.
  • = Feasibility studies were conducted, and there is confidence in the assumptions made.
  • = Feasibility studies were conducted, but there is not complete confidence in the assumptions made.
  • = Feasibility studies were necessary but not conducted.
See question #52 -
55. Indefinable requirements
(Known unknowns)

What percentage of tasks cannot be fully defined until the completion of previous tasks?

Note: These are tasks that may be understood but cannot be documented in detail due to dependency on results from a previous task.

  • = <10 per cent
  • = 20 per cent
  • = 30 per cent
  • = 40 per cent
  • = >40 per cent
For small to medium projects, detailed technical specifications can be developed in the normal course of the project development and there are no significant unknown project scope elements, which could significantly impact the project requirements. Score is 1-2.

For projects whereby there are identified unknowns, such as the extent of contamination present in a contaminated sites remediation project, the typical score would be 4-5

1
56. To what extent are the project's requirements clear, completed, and communicated?
  • = All requirements are clear, complete, and communicated.
  • = Up to 10 per cent of total requirements are not complete or are undocumented.
  • = More than 10 per cent of total requirements are not complete or are unclear.
Projects should establish clear project requirements.

If uncertainties are present, scores may increase up to 5.

1
57. How many of the following project characteristics are expected to remain stable?
  1. quality
  2. functionality
  3. schedule
  4. integration
  5. design
  6. testing

    Note: Project characteristics should be expected to remain stable if the project requirements are stable

  • = All of the project requirement characteristics are expected to remain stable.
  • = Five of the six project requirement characteristics are expected to remain stable.
  • = Four of the six project requirement characteristics are expected to remain stable.
  • = Three of the six project requirement characteristics are expected to remain stable.
  • = Two or less of the project requirement characteristics are expected to remain stable.

Typical score is 1 to 3.

Mandatory Comments

In the notes identify which (if any) characteristics are not expected to remain stable:

  1. ____________________
  2. ____________________
  3. ____________________
  4. ____________________
  5. ____________________
  6. ____________________
-
58. Are any other projects dependent on outputs or outcomes of this project?
  • = No
  • = Yes
If a project is part of an integrated program where work cannot start until that project is complete, the response is a 5.

If the project is a single event with limited operational or strategic requirements the score is 1.

-
59. Are outcomes of this project dependent on the outputs and/or outcomes of any other projects?
  • = No
  • = Yes
If the assessed project does not affect other projects and is a single event, the score is 1. -
60. What degree of integration with other projects, systems, infrastructure, or organizations is required (i.e. integration with things external to the project)?
  • = There are few complex integration requirements; activities to specify integration are included in the project management plan.
  • = There is adequate understanding and planning for integration.
  • = There are highly complex or numerous integration requirements and insufficient planning of required activities.
The response for this question should focus on the integration points with other projects.

Typical response is 1 if there are no dependencies with other projects, systems, infrastructure or organizations.

Typical response is 3 if there is integration with organizations outside of the project.

-
61. What degree of integration is required within the project (i.e. the integration of components of the project)?
  • = There are few complex integration requirements; activities to specify integration are included in the project management plan.
  • = There is adequate understanding and planning for integration.
  • = There are highly complex or numerous integration requirements and insufficient planning of required activities.
The response for this question should focus on the integration within the project.

Typical score is 1 for smaller projects with few requirements for integration and when the Project Plan as been completed.

Typical score is 3 for medium to large complex projects when the integration requirements are addressed in the plan.

-
62. Relative to the average (typical) project in your organization, which of the following adjectives describes the number of tasks, elements, or deliverables in the work breakdown structure?
  • = Small
  • = Medium
  • = Large
All projects should comply with NPMS.

Typical answer is 3 however some minor capital and Operations and Maintenance (O&M) projects will be 1.

Examples

  • Small
    • Most RP asset projects with no dependencies on other systems
    • Single client space projects with no dependencies on other projects
  • Medium
    • medium sized space/lease projects with multiple tenants
  • Large
    • Large space/lease projects with multiple tenants
-
63. Dependency of tasks (critical path)

Does the project schedule accommodate the critical path of the project, including appropriate contingencies?

  • = Yes
  • = No, OR no critical path analysis has been performed.
The following must be true:
  • The project critical path is documented in a completed GANTT/PERT/
    Critical Path Method.
  • Contingencies are in place to accommodate the critical path variances.
1
64. Resources

What is the effect on the project of the requirement for scarce resources or resources that are in very high demand?

Note: Resources can be internal or external to the government and can be people, goods, or services. If a resource is scarce internally but available externally, then the resource is not considered scarce.

  • = No scarce resources are required or not applicable.
  • = The project will incur minor delays or minor cost overruns due to scarcity of resources.
  • = The project will incur moderate delays or moderate cost overruns due to scarcity of resources.
  • = The project will incur significant delays or significant cost overruns due to scarcity of resources and must return to Treasury Board for revised approval.
  • = The success of the project is critically dependent on scarce resources.
For the purposes of this question, resources include material and human resources (i.e. people with required skills to carry out the work). E.g.
  • Availability of roofing contractors who are often in high demand may impact and delay project schedules and cause cost increases as a result.

    Consider #11's response in your answer.

1-3

Annex B - PCRA Questions and Guidance for
IT Enabled Projects

The guidance on the PCRA questions is applicable for all IT Enabled projects managed within PWGSC.

General

  • All 64 questions must be must be answered. If you are sure a question does not apply to your project, answer with the lowest score ("1") for that question;
  • Provide brief comments in the notes to substantiate responses;
  • If the answer to a question is unknown, answer with the highest score ("5") for that question; and
  • If you answer "1" to Question 2 in the "Project characteristics" section 1, questions in the "Procurement risks" section 3 should be answered with a "1" only.
  • The assessment must provide the actual state of the documentation; whether the documentation is currently available or not.

IMPORTANT NOTE - It is important to note that the assessments MUST reflect the actual situation, when the projects are being put forward for project approval (i.e. PPA, EPA or LPA).

For large or complex projects, especially where non-conventional approaches are being developed whereby the current standard practices may not be fully in place, the questions should not be answered as positive until the particular document/requirement has in fact been completed.

  • TBS has established a "Triple Constraint" criteria, which will automatically elevate the score. In the PCRA tool, the following parameters related to budget, scope and time as defined in questions 1, 3, and 11 of the PCRA tool have been defined as the "Triple Constraint" whereby scores on each of these 3 questions at the highest level (i.e. 5 points) will result in the highest score being applied to all other questions in the section. I.e.
    • Q1 – Total budget request for this project >$100 million
    • Q3 – Relative to the average project in your organization – project is considered to be "Large"
    • Q11 – Project is susceptible to time delays

Ensure that the project tombstone data is accurately and completed as follows:

  • Project ID: Is a unique key indicator to be entered by the author in line with the Naming Convention.
  • Name – Enter the project name as listed in PWGSC Integrated Investment Plan (IIP).
  • Description – Enter a brief project description in order to provide context and scope for reviewers of the PCRA (maximum of 4,000 characters).
  • Type – Select from the drop down menu the project type as being either:
    • IM/IT
    • Other
  • Value – Enter the project total estimated cost (do not use any commas, spaces or dollar signs).
  • Status – Select project status from drop down list i.e.
    • Concept (Prior to NPMS Analysis Phase and Preliminary Project Approval/Lease Project Approval)
    • Planning (NPMS Planning and Design Phase up to Effective Project Approval)
    • Execution (NPMS Implementation Phase)
    • Completion (NPMS Project Close Out Phase)
  • Investment Plan Date – Select from the drop down menu the year of the IIP that the project was identified in (i.e. current IIP plan is 2011/2012)
  • Investment Plan Year – Within the Investment plan, indicate the year of planned investment (i.e. scope of the plan is 5 years - so indicate investment plan year from 1 to 5).
  • Country – Select from the drop down menu the country (i.e. can select Canada)
  • Province or Territory – For projects to be undertaken within Canada, select from the drop down menu, the province or territory.

Once the tombstone is submitted, the following information will automatically be system generated:

  • Created by – The author's user name.
  • Created date – The date when the author submitted the project tombstone data.
  • Modified by – The author's user name since is the only one that will modify the project tombstone.
Table Summary

This table contains the Project Complexity and Risk Assessment questions related to Project Characteristics as well as the rating descriptions and question specific guidance or interpretation.

1. PROJECT CHARACTERISTICS (18 Questions)
Question Rating Guidance/
Interpretation
1. What is the total budget request for this project?

NOTE - TRIPLE CONSTRAINT QUESTION

See section on Triple Constraint Questions for details.

  • = $1-5 million
  • = $5-10 million
  • = $10-25 million
  • = $25-100 million
  • = >$100 million
"Total budget request" is the formal securing of funds at the proposal stage to reflect the funds required for all project phases. It includes all project costs and any other funds being sought for the initiative (Professional Services, hardware, software, training, licenses, specialized resources, etc.).
2. What percentage of the overall project budget is for procurement?
  • = No procurement is required—answer "1" to all questions in the "Procurement risks" section 3
  • = <25 per cent
  • = 26-50 per cent
  • = 51-75 per cent
  • = >75 per cent
Typically, the largest percent of an IT-E project budget is for the procurement of goods and/or services that are not available internally.
3. Relative to the average project in your organization, which of the following adjectives describes the total budget of this project?

Note: Total project budget includes capital and operating costs

NOTE - TRIPLE CONSTRAINT QUESTION

See section on Triple Constraint Questions for details.

  • = Small
  • = Medium
  • = Large
 
4. How many people are required to complete this project at its peak activity?

Note: People can be part-time or full-time on the project, including GC employees and individual contractors, but excluding vendor-supplied work teams.

  • = <10
  • = 10-25
  • = 26-100
  • = 101-250
  • = >250
Include government employees and contractors who work on the project and are managed directly by PWGSC staff.
5. From project initiation to project implementation, what is the expected duration of the project?

Note: Use definitions from A Guide to the Project Management Body of Knowledge for initiation and implementation.

  • = <12 months
  • = 12-24 months
  • = 24-36 months
  • = 36-48 months
  • = >48 months
"Expected duration" spans from the Project Inception Phase to the end of the Project Implementation Phase, and the ‘go live' date.
6. Horizontal (i.e. cross-departmental or cross-agency) scope: How many sponsoring or funding departments or agencies are involved?

Note: Service providers such as Public Works and Government Services Canada (PWGSC) or central agencies should not be included. Include only the departments or agencies that will co-sponsor or jointly fund the project.

  • = The project involves only one department or agency
  • = The project involves another department or agency
  • = The project involves two other departments or agencies
  • = The project involves three other departments or agencies
  • = The project involves four or more other departments or agencies
When PWGSC is acting as a service provider on behalf of a client, do not count PWGSC. When it is a PWGSC funded project or a project where PWGSC has joint funding/co-funding, count PWGSC.
7. Project reach

The outcome of this project changes or directly affects the following:

  • = One business process within a sector
  • = Multiple business processes within a sector
  • = Multiple sectors
  • = Multiple branches
  • = Multiple departments or agencies
Determine the impact of the solution delivery on the organization's users and current business processes.
8. The proposed or established governance structure demonstrates adequate support for how many of the following project factors?
  1. appropriate representation of stakeholders and executive management;
  2. documented decision-making processes;
  3. documented roles, responsibilities, and authorities within the governance structure; and
  4. documented information requirements.
  • = Support for all factors is demonstrated.
  • = Support for three of the factors is demonstrated.
  • = Support for two of the factors is demonstrated.
  • = Support for one of the factors is demonstrated.
  • = Support is not demonstrated for any of the factors.
If abiding by the NPMS, then support for all project factors is/will be established.
9. In supporting the achievement of the expected outcomes, how many of the following criteria apply to the cost estimate?
  1. cost estimates are generated at the work-package level;
  2. cost estimates are based on historical data, industry benchmarks, or both.
  • = Both criteria are met.
  • = One of the two criteria is met.
  • = None of the two criteria are met.
  1. A work package is defined as a/multiple group(s) of deliverables within a project (usually the lowest level element identified in the project Work Breakdown Structure (WBS). The total of work packages forms the complete scope of work for a project.
  2. Cost estimates at PPA are usually based on historical data while more detailed estimates are later completed for EPA based on actual design and current industry cost.
10. In supporting the achievement of the expected outcomes, how many of the following criteria apply to the costing model?
  1. the source of funds has been identified
  2. the funds are committed (i.e. authority to spend)

    Cost should be interpreted as funding.

  • = Both criteria are met.
  • = One of the two criteria is met.
  • = None of the two criteria are met.
Interpret the word "committed" as meaning that funds have been identified in the IIP.

Projects can only be placed in the IIP if funds have been identified for the project.

11. Is the project susceptible to time delays? Time delays can have a number of causes, such as the following:
  1. changes in technology;
  2. requirements of participating organizations;
  3. seasonal considerations;
  4. the need for policy approvals; and
  5. external influences.

    NOTE - TRIPLE CONSTRAINT QUESTION

    See section on Triple Constraint Questions for details.

  • = No, the project is not susceptible.
  • = Yes, the project is moderately susceptible; time delays will have minor effects on the schedule.
  • = Yes, the project is highly susceptible; time delays will have major effects on the schedule.
IT-E projects are highly susceptible to time delays due to changes in technology, requirements of participating organizations/sectors/branches, policy approvals and lack of skilled technical resources and resource training requirements.
12. Do geographical considerations influence the manner in which the project is conducted? Consider the following statements:
  1. project activities or team members are distributed across a wide geographical area
  2. the project will be conducted in a remote or difficult location
  • = Neither statement applies.
  • = One statement is true.
  • = Both statements are true.
IT-E projects are not highly influenced or impacted by geographical factors.
13. Do environmental considerations influence the manner in which a project is conducted?
  • = No
  • = Yes
IT-E projects are not influenced or impacted by environmental considerations.
14. Are there any socio-economic considerations that must be taken into account?

e.g. Considerations relating to industrial regional benefits, Aboriginal peoples, and green procurement.

  • = No
  • = Yes
Typically, measuring and identifying socio-economic factors for an IT-E project is seldom feasible and not within scope of the solution delivery.
15. Consider how the availability of facilities will influence the manner in which the project is conducted:
  • = appropriate facilities are available to conduct the project.
  • = Facilities available to the project are inadequate
  • = Facilities are unavailable for the project
 
16. Does public perception influence the manner in which the project is conducted?
  • = No
  • = Yes
Typically, IT-E projects are not influenced by public perception unless it affects how the public obtains or registers for goods and/or services.
17. Do considerations relating to Aboriginal people (including land claims) influence the manner in which the project is conducted?
  • = No
  • = Yes
 
18. Do health and safety requirements add significant complexity to the requirements for this project?
  • = No
  • = Yes
 
Table Summary

This table contains the Project Complexity and Risk Assessment questions related to Strategic Management Risks as well as the rating descriptions and question specific guidance or interpretation.

2. STRATEGIC MANAGEMENT RISKS (6 Questions)
Question Rating Guidance/
Interpretation
19. How well and how clearly does the project align with the department or agency's mandate and outcomes?
  • = The project is critical to the outcomes of the department, agency, or program.
  • = There is good alignment with an indirect contribution to the outcomes of the department, agency, or program.
  • = There is a weak alignment with the outcomes, or the outcomes have not been established.
 
20. To what degree is this project considered to be of critical importance to the Department or Agency
  • = The project is a critical priority: all resources necessary will be allocated to it.
  • = The project is a normal priority: resources may be shared with a project of equal or higher priority.
The decision to make the project a critical priority is made with the approval of the Statement of Requirements (SOR).
21. How thoroughly does the project business case demonstrate the value of the project to the organization?

Note: A business case (when it is required) is defined by the operational requirements of the department or agency.

  • = The business case is compelling, and value is extensively documented OR a business case is not required
  • = The business case provides a good demonstration of value; some details require further clarification.
  • = The business case does not demonstrate value or is not complete.
 
22. To what degree are the department's management and relevant stakeholders aware of the project?
  • = There is consistent, clear, and comprehensive understanding of the project at all relevant levels.
  • = There is good general awareness of the project, its implications, and its budget.
  • = There is minimal awareness of the project in relevant levels of the organization.
IT-E projects are reported on at all relevant management levels which provide comprehensive stakeholder awareness.
23. Does the project have a communications plan?
  • = Yes, there is a project communications plan.
  • = The project communications plan has not yet been completed
  • = No, a project communications plan does not exist
If abiding by the NPMS, the communications plan will be established and developed under the Communications Management section of the Preliminary Project Plan.
24. How extensive is the commitment of the organization, senior management, stakeholders, partners, and project sponsors to the timely and successful completion of this project? Consider the following criteria:
  1. a senior management champion is engaged.
  2. stakeholders are willing to reallocate resources if necessary.
  3. senior executive oversight is in place.
  4. commitment from all stakeholders is confirmed.
  • = All four criteria are met.
  • = Three of the four criteria are met.
  • = Two of the four criteria are met.
  • = One of the four criteria is met.
  • = None of the four criteria are met.
  1. All projects have a senior management champion engaged (identified project approval bodies).
  2. Resources must be allocated to the project when it is inserted into the Investment Plan.
  3. Senior staff oversight is applied through the establishment of regional and national investment boards that review projects.
  4. Projects are not implemented without commitment of stakeholders.
Table Summary

This table contains the Project Complexity and Risk Assessment questions related to Procurement Risks as well as the rating descriptions and question specific guidance or interpretation.

3. PROCUREMENT RISKS (9 Questions)
Question Rating Guidance/
Interpretation
25. The documented project procurement strategy:
  • = addresses all project requirements.
  • = is high-level and adequately describes required procurement activities.
  • = is incomplete or inappropriate for the project.
If abiding by the NPMS, the procurement strategy will be established and developed under the Procurement Management section of the Preliminary Project Plan.
26. What is the supplier availability and willingness?
  • = There are qualified bidders in the market willing to work with the Government of Canada.
  • = There is a limited number of qualified bidders in the market, or some bidders are reluctant to work with the Government of Canada.
  • = There is only one bidder, or there are no qualified bidders that can meet the requirements.
 
27. Will the project required products, goods, or services be supplied in a timely manner by an appropriate vendor?
  • = Yes: products, goods or services can be readily supplied.
  • = Potential slippage of project schedule may be due to procurement complexity or vendor challenges.
  • = The project deliverables, schedule, or budget may be seriously affected by limited qualified bidders, significant request-for-proposal (RFP) process delays, or extended challenges.
 
28. Contracting capabilities

How many of the following statements are true?

  1. personnel supporting this project have expertise in writing specifications or RFPs/Statement of Work.
  2. the personnel supporting this project have subject-matter expertise with the goods or services being procured.
  3. there is a robust departmental process for reviewing all awarded contracts.
  • = All statements are true.
  • = Two statements are true.
  • = One statement is true.
  • = None of the statements are true.
 
29. Number of contracts

How many separate contracts associated with key deliverables are planned for this project?

  • = One contract
  • = Two contracts
  • = Three contracts
  • = Four contracts
  • = Five or more contracts
"Key deliverables" are the outputs associated with the NPMS.
30. Contract characteristics

How many of the following statements are true?

  1. the firm or individual obtaining the contract will subcontract to other companies.
  2. contracts are subject to trade agreements.
  3. the results of the contract are dependent on the results of another contract.
  • = None of the statements are true.
  • = One statement is true.
  • = Two statements are true.
  • = All statements are true.
 
31. Degree of control over supplier selection and anticipated contract style.

The contract is as follows:

Note: If more than one method of supply is involved, use the method with the highest score.

  • = directed (sole-source, Advance Contract Award Notice)
  • = a standing offer call-up
  • = a supply arrangement procurement
  • = a public tender (request for quotation, invitation to tender, RFP)
Typically all contracts must be publically tendered.
32. Contract management

How many of the following statements are true?

  1. the personnel who wrote the contract are involved in the management of the contract.
  2. there is a standardized acceptance process for the review of the completion of contracts (e.g. peer reviewing or review of the completion of deliverables).
  3. the lines of communication between the contract authority and the contractor are well defined and regularized.
  4. there is a standardized process for reporting progress (e.g. punctual evaluation or regular meetings).
  5. there is a mechanism in place to address any contractual disagreements between parties regarding the completion of a contract.
  • = All statements are true.
  • = Four statements are true.
  • = Three statements are true.
  • = Two statements are true.
  • = One or none of the statements are true.
All statements are true based on requirements defined by standard departmental contracting procedures.
33. Has PWGSC or a delegated contracting authority been formally engaged through a service agreement to provide adequate support for the procurement process?
  • = Yes or not required
  • = This is planned but not yet in place
  • = No
 
Table Summary

This table contains the Project Complexity and Risk Assessment questions related to Human Resources Risks as well as the rating descriptions and question specific guidance or interpretation.

4. HUMAN RESOURCES RISK (5 Questions)
Question Rating Guidance/
Interpretation
34. Does your organization anticipate a shortage of available personnel with appropriate skills during a significant period of the project?

Note: Resources can be internal or external to the Government of Canada.

  • = No
  • = Yes
A Resource Plan is typically drafted during the PPP and the requirement to acquire resources will be identified at this time. There should be ample time to procure resources for the project if required.
35. What is the predicted stability of the project team? Consider the following criteria:
  1. the project team has previously worked together.
  2. a low rate of turnover is expected.
  3. it is expected that suitable replacements will be readily available.
  • = All three criteria are met.
  • = Two of the three criteria are met.
  • = One of the three criteria is met.
  • = None of the three criteria are met.
  1. The project team may not have previously worked together, but likely worked on a similar project.
  2. and c. Turnover is always a possibility but usually suitable replacements are readily available.
36. Commitment of project team members

What percentage of the project team is assigned full-time to the project?

  • = >80 per cent
  • = 61-80 per cent
  • = 41-60 per cent
  • = 20-40 per cent
  • = <20 per cent or all part-time
 
37. Knowledge and experience

Consider the following criteria:

  1. the project will use a proven approach.
  2. this type of project has been done before in the Government of Canada.
  3. the project will use resources that have been applied to this type of project before.
  • = All three criteria are met.
  • = Two of the three criteria are met.
  • = One of the three criteria is met.
  • = None of the three criteria are met.
If a third party is delivering/administering the project, then this question must be answered from their perspective.

Else,

  1. The project will follow the NPMS.
  2. Typically, IT-E projects have been initiated in other Government of Canada Departments but may differ in scope.
  3. Typically, projects are staffed with resources that have experience in delivering IT-E solutions.
38. Has the assigned Project Director or Project Manager worked on a project of this size and complexity before?
  • = Yes
  • = No
 
Table Summary

This table contains the Project Complexity and Risk Assessment questions related to Business Risks as well as the rating descriptions and question specific guidance or interpretation.

5. BUSINESS RISKS (5 Questions)
Question Rating Guidance/
Interpretation
39. Describe the overall effect of this project on the organization:
  • = Project will fit with current departmental or agency processes, use existing workforce and skills, and not require substantial changes to technology and other infrastructure.
  • = Some changes to processes, staffing models, or technology will be required.
  • = Significant restructuring of business processes, staffing requirements, partner relationships, and infrastructure will be required.
 
40. Does the project have a change management plan?
  • = Change management (CM) will be required and a CM plan has been prepared. Alternatively, there are no significant change management requirements.
  • = Change management will be required and preparation of a CM plan is incorporated or included in the project management plan.
  • = Change management will be required but there are no plans to establish a CM plan.
 
41. Public engagement

What is the level of public involvement required to achieve expected outcomes? (The level of involvement is expressed in the number of people, length of time, or number of groups involved.)

  • = No public participation is required for project success.
  • = Limited public participation is required for project success.
  • = Moderate public participation is required for project success.
  • = Extensive public participation is required for project success.
 
42. What level of legal risk will be introduced by this project through the addition of new liabilities, regulatory requirements, and legislative changes?
  • = No legal review is required; no legislative changes are required; liability is assessed as low.
  • = One or more risk events will likely occur resulting in legal costs and effort; a legal review has been completed.
  • = One or more risk events will likely occur resulting in legal costs and effort; a legal review has not been completed.
  • = There is a high probability of liability and other legal risks; extensive legal resources will be required during the project; legislative change is required to implement the project; a legal review has been completed.
  • = There is a high probability of liability and other legal risks; extensive legal resources will be required during the project; legislative change is required to implement the project; a legal review has not been completed.
 
43. What level of complexity is introduced to ensure that this project complies with relevant Treasury Board policy requirements, such as those regarding security, accessibility, and common look and feel standards for the Internet, and management of government information?
  • = The project fully conforms with all applicable policies. Alternatively, the project is not subject to any of these policies.
  • = There are some challenges associated with policy requirements, but the project team is adequately equipped to address these.
  • = There is a lack of confidence that policy requirements can be met on schedule and within the budget.
Identify which policies apply to the initiative. For example, if the solution will be hosting personal information, then a Privacy Impact Assessment is required. List all policies that the project is required to comply with.
Table Summary

This table contains the Project Complexity and Risk Assessment questions related to Project Management Integration Risks as well as the rating descriptions and question specific guidance or interpretation.

6. PROJECT MANAGEMENT INTEGRATION RISK (6 Questions)
Question Rating Guidance/
Interpretation
44. How many of the following elements are defined in the project management plan?
  1. scope
  2. costs
  3. schedule
  4. project controls
  5. risks
  6. deliverables
  7. team or skills
  • = All elements are defined.
  • = Five or six elements are defined.
  • = Three or four elements are defined.
  • = One or two elements are defined.
  • = No plan has been completed.
The elements noted are standard requirements of a Project Plan. These requirements are standardized under the departmental application of the NPMS.
45. To indicate the extent of the project team's is appropriately organized to undertake a project of this scope, how many of these criteria are met?
  1. project team composition, resource levels, and roles and responsibilities are defined and documented.
  2. resources are dedicated (i.e. available when required).
  3. responsibilities and required authorities for managers and leads within the project team are defined and documented.
  • = All three criteria are met.
  • = Two of the three criteria are met.
  • = One of the three criteria is met.
  • = None of the three criteria are met.
All criteria should be identified in the Project Charter and/or Preliminary Project Plan.
46. Has a project reporting and control process for the project been documented?
  • = Yes
  • = The development of a project reporting and control process is in the Project Plan, but not yet completed
  • = No
If abiding by the NPMS, the project reporting and control process will be documented.
47.How many of the following disciplines will or does the project employ?
  1. quality assurance
  2. risk management
  3. outcome management
  4. issue management
  • = All four disciplines
  • = Three of the disciplines
  • = Two of the disciplines
  • = One of the disciplines
  • = None of the disciplines
If abiding by the NPMS, all four disciplines will be utilized and accounted for.
48. Has a risk management plan been completed, and to what degree have appropriate contingency plans been included which respond to the risks as identified in the plan?

Consider the following criteria:

  1. identified risks have been assessed and prioritized.
  2. appropriate controls and mitigations are in place for all significant residual risks.
  3. a risk management plan has been integrated into the project management plan.
  • = All three criteria are met, OR a risk management plan is not required.
  • = Two of the three criteria are met.
  • = One of the three criteria is met.
  • = None of the three criteria are met.

Note: An organizational risk management group should be involved.

As per NPMS, a risk management plan should be incorporated into the IAR and/or project plan for identification and mitigation.
49. Is an appropriate information management (IM) process planned or in place to collect, distribute, and protect relevant and important project information, such as designs, project plans, baseline, and registers?
  • = Highly effective IM practices are in place or planned to support the project throughout its life cycle.
  • = Standard IM practices are planned or in place and resourced.
  • = Minimal IM practices are in place or planned within project.
If abiding by the NPMS, an Information Management Plan must be completed using the 'PWGSC Information Management Plan' template information provided on 'PWGSC Information Management Portal'.
Table Summary

This table contains the Project Complexity and Risk Assessment questions related to Project Requirements Risks as well as the rating descriptions and question specific guidance or interpretation.

7. PROJECT REQUIREMENTS RISK (15 Questions)
Question Rating Guidance/
Interpretation
50. How many of the following statements are true?
  1. the project solution requires a high degree of availability.
  2. the project solution requires customization beyond normal configuration.
  3. the project solution requires a high degree of performance quality
  4. the project solution requires a high degree of reliability.

Note: "Project solution" is the major output that the project will deliver.

  • = None of the statements are true.
  • = One of the statements is true.
  • = Two of the statements are true.
  • = Three of the statements are true.
  • = Four of the statements are true.
  1. What is the amount of time the application must be available for use? ie. If the IT application is mission critical, it will have a high degree of availability with minimal downtime.
  2. The direction of IT-E solutions is to configure and avoid customization to promote government-wide standardization and reusability. Ideally, this statement will be false.
  3. If the solution is required to produce accurate, complete, repeatable results and/or outputs then it should be considered to have a high degree of performance quality.
  4. Consider how robust and failure resistant the solution is. Applications with a high degree of availability must have a high degree of reliability.
51. In defining project requirements, how many of the following statements are true?
  1. the requirements can be defined with very few people.
  2. the requirements can be defined in a short period of time.
  3. there are a small number of individual requirements to define.
  4. the requirements do not require a high degree of detail.
  • = Four of the statements are true
  • = Three of the statements are true
  • = Two of the statements are true.
  • = One of the statements is true.
  • = None of the statements are true.
Consider the scope of the project and project objectives. How complex is the solution requirements? If the requirements are extensive, highly detailed and numerous people and/or stakeholders need to be consulted, then it is generally considered of high complexity.
52. Information availability for planning, integration, and development

To what extent have available sources/methods been employed and verified to provide information for this project as applicable (e.g. research, consultations, workshops, surveys, and existing documentation)?

  • = Feasibility studies are not required.
  • = All sources/methods have been employed but have not been verified.
  • = Some sources/methods have been employed.
  • = Few sources/methods have been employed.
  • = No information has been gathered or is available.
If following NPMS "Full" a Feasibility Report (Study) is required as a deliverable for the Identification Stage.
53. Have the business requirements been validated with users with an appropriate technique, such as "walk-throughs", workshops, and independent verification and validation?
  • = Yes
  • = Validation is a planned activity but has not yet been completed.
  • = No
Have the end-users been involved in the development of the solution requirements? Were end-users consulted and engaged?
54. Have feasibility studies been conducted and is there confidence in the assumptions made in the feasibility studies?

Note: Prototypes or proof of concept exercises are included as feasibility activities.

  • = Feasibility studies are not required, because none of the requirements are technically difficult to implement.
  • = Feasibility studies were conducted, and there is confidence in the assumptions made.
  • = Feasibility studies were conducted, but there is not complete confidence in the assumptions made.
  • = Feasibility studies were necessary but not conducted.
If following NPMS "Full" a Feasibility Report (Study) is required as a deliverable for the Identification Stage.
55. Indefinable requirements (Known unknowns)

What percentage of tasks cannot be fully defined until the completion of previous tasks?

Note: These are tasks that may be understood but cannot be documented in detail due to dependency on results from a previous task.

  • = <10 per cent
  • = 20 per cent
  • = 30 per cent
  • = 40 per cent
  • = >40 per cent
Refer to the Project Management Plan, specifically the Work Breakdown Structure and Project Schedule to identify inter-dependant tasks and calculate accordingly.
56. To what extent are the project's requirements clear, completed, and communicated?
  • = All requirements are clear, complete, and communicated.
  • = Up to 10 per cent of total requirements are not complete or are undocumented.
  • = More than 10 per cent of total requirements are not complete or are unclear.
Are any requirements uncertain or are assumed requirements excluded?

Note: If all requirements have not been defined at the time of the assessment, then use the upcoming phase as the basis for the response, else use the entire project as the basis.

57. How many of the following project characteristics are expected to remain stable?
  1. quality
  2. functionality
  3. schedule
  4. integration
  5. design
  6. testing

    Note: Project characteristics should be expected to remain stable if the project requirements are stable

  • = All of the project requirement characteristics are expected to remain stable.
  • = Five of the six project requirement characteristics are expected to remain stable.
  • = Four of the six project requirement characteristics are expected to remain stable.
  • = Three of the six project requirement characteristics are expected to remain stable.
  • = Two or less of the project requirement characteristics are expected to remain stable.
Does the current project information adequately represent the requirements? If some of the requirements are expected to change due to incomplete or uncertain information, then some of the project characteristics will inevitably be considered unstable.

Typically, for IT-E projects, schedule, design, and testing is expected to remain stable.

58. Are any other projects dependent on outputs or outcomes of this project?
  • = No
  • = Yes
 
59. Are outcomes of this project dependent on the outputs and/or outcomes of any other projects?
  • = No
  • = Yes
 
60. What degree of integration with other projects, systems, infrastructure, or organizations is required (i.e. integration with things external to the project)?
  • = There are few complex integration requirements; activities to specify integration are included in the project management plan.
  • = There is adequate understanding and planning for integration.
  • = There are highly complex or numerous integration requirements and insufficient planning of required activities.
 
61. What degree of integration is required within the project (i.e. the integration of components of the project)?
  • = There are few complex integration requirements; activities to specify integration are included in the project management plan.
  • = There is adequate understanding and planning for integration.
  • = There are highly complex or numerous integration requirements and insufficient planning of required activities.
 
62. Relative to the average (typical) project in your organization, which of the following adjectives describes the number of tasks, elements, or deliverables in the work breakdown structure?
  • = Small
  • = Medium
  • = Large
 
63. Dependency of tasks (critical path)

Does the project schedule accommodate the critical path of the project, including appropriate contingencies?

  • = Yes
  • = No, OR no critical path analysis has been performed.
 
64. Resources

What is the effect on the project of the requirement for scarce resources or resources that are in very high demand?

Note: Resources can be internal or external to the government and can be people, goods, or services. If a resource is scarce internally but available externally, then the resource is not considered scarce.

  • = No scarce resources are required or not applicable.
  • = The project will incur minor delays or minor cost overruns due to scarcity of resources.
  • = The project will incur moderate delays or moderate cost overruns due to scarcity of resources.
  • = The project will incur significant delays or significant cost overruns due to scarcity of resources and must return to TB for revised approval.
  • = The success of the project is critically dependent on scarce resources.