Guidelines for the Preparation of Project Plans
Table of Contents
- General Notes and Information
- 1.0 Executive Summary
- 2.0 Project Background
- 3.0 Scope Management
- 4.0 Time Management
- 5.0 Cost Management
- 6.0 Financial Management
- 7.0 Change Management
- 8.0 Risk Management
- 9.0 Procurement Management
- 10.0 Quality Management
- 10.1 Project Document File Management
- 10.2 Project Reviews
- 10.3 Design Reviews
- 10.4 Project Monitoring and Reporting
- 10.5 Commissioning
- 10.6 Authorities Having Jurisdiction
- 10.7 Project Evaluation
- 11.0 Safety Management
- 12.0 Human Resources Management
- 13.0 Communications Management
- 14.0 Environmental Management
- 15.0 Claims Management
- 16.0 Signatures
General Notes and Information
(Delete this page when the Project Plan is complete)
The Project Plan is the document that defines the plan (systematic method) that will be used to meet the project objectives. It will include why this project is being initiated, what is to be done, who will be involved in its development and delivery, when it will be done and how it will be done. In addition to these basic questions, it includes cost information, monitoring and control strategies.
The Project Plan takes on two forms during the life of the project. It initially starts out as the “Preliminary Project Plan” and can have specific annexes updated as more information becomes available. At the beginning of the Delivery Stage, the “Project Management Plan” is prepared to detail the delivery plan to the end of the project.
The content of the Project Plan is, for the most part, structured around the Project Management Institute (PMI) Knowledge areas.
Assumptions on which information is based should be noted in all sections of the plan. Throughout the life of the project, client requested scope modifications and their associated impact should also be noted in the appropriate sections of the plan.The project team must periodically validate and/or modify assumptions as the project evolves. In general, as the project evolves, risks should be more accurately defined as well as their potential impact should be better understood and mitigated. Also, in the various sections of the project plan such as scope, schedule and cost, include the source of information for later reference in case verification of information is required (i.e. project leader, project manager, client, consultant, quantity surveyor, etc.)
Purpose of Identification Stage Preliminary Project Plan (PPP)
The Preliminary Project Plan (PPP) is prepared by the person carrying out the role of the Project Leader. The purpose of the PPP is to focus on the plan (systematic method) that will be taken to develop the project to the end of the Project Identification Stage at which point Project Approval/Expenditure Authority (PA/EA) will be obtained or denied. Please note that many of the sections and information provided in the Statement of Requirements (SoR) can be used and further developed to help complete the PPP.
In preparing the PPP, the NPMS knowledge areas should be consulted. The knowledge areas describe required practices within the context of the Treasury Board Project Management Policy and the Project Management Institute's Body of Knowledge that should be taken over the life of the project.
As the same template is used for both the PPP and the Project Management Plan (PMP), the key aspects that should be developed in the PPP include the following:
Section 2.0 Project Background - Description of the project background, describing the context for the project, the identified need and the reasons for initiating the project. Content for this section is largely based on the “Purpose” and “Background” sections of the SoR.
Section 3.0 Scope Management – Problem/Opportunity Definition (Section 3.1) and any project constraints/issues (Section 3.2.1). Content or this section should be based on the “Problem/Opportunity Definition” section of the SoR. The Scope Documents will be divided into small packages to create the Activity List and Milestone List, as well as a Work Breakdown Structure (WBS).
Section 4.0 Time Management – From the Activity Lists and Milestone Lists, a Project Schedule will be developed. In the PPP, a schedule must be developed up to PA/EA, and an overall milestone list reflecting activities to the end of the project is required. However, any known schedule constraints (e.g. fixed end date, lease expiry) should always be reflected.
Section 5.0 Cost Management – The level of detail for this section is subject to the adequacy of information to generate a Cost Plan for the proposed project.
Note that the intent is to provide an initial budget for the project with expected cash flows for delivery of the project. As a minimum, copy the spending breakdown provided in the approved Statement of Requirement document and provide an estimate / timeline of how the funds for those cost items / activities will be disbursed.
Section 6.0 Financial Management – Must outline approved seed funding (received with the Approved SoR) and anticipated costs to complete to PA/EA submission.
Section 10.0 Quality Management – Description of how the records management system is to be established and maintained (section 10.1), description of the project review methods (section 10.2) and description of the project monitoring and reporting methodology (section 10.3).
Section 12.0 Human Resources Management - Who will be the project team for this stage and their roles and responsibilities. In the preliminary stages of the plan a simple outline of the project team and roles can suffice. The roles and responsibilities should however be developed in detail as the project approaches PA/EA.
Once the Identification Stage is completed and the project is approved at PA/EA, the PPP will be used to transition the project for the next stage by the project delivery team.
Purpose of Delivery Stage Project Management Plan (PMP)
The Project Management Plan (PMP) is prepared by the Project Manager, respecting overall objectives defined in the PPP and project approvals obtained by the Project Leader. The Project Leader is to validate and sign the PMP.
The purpose of the PMP is to define the project objective and scope for the approved solution, as well as how it is executed, monitored, and controlled during the Delivery Stage. The PMP details project activities from the Planning Phase to Project Completion and ensures that the project objectives and requirements provide sufficient detail to allow for the preparation of complete project instruction to the project team.
This table displays the version number, the date of issue, the author, and a brief description of change of this version of the project plan.
|Version Number||Date of Issue||Author(s)||Brief Description of Change|
1.0 Executive Summary
(Prepare this section last)
Keeping in mind that the purpose of the Preliminary Project Plan is to bring the project to PA/EA, and the purpose of the Delivery Stage Project Management Plan (PMP) is to provide sufficient detail to allow for the preparation of complete project instruction to the project team, summarize the project objectives, current scope of project and its source, forecast cost estimates and schedules, sensitive issues and potential risks. Indicate the environment of the project: crown-owned, leased space, OGD, etc. Describe the key issues driving the project that have been evaluated and analyzed and that clearly demonstrate problem/opportunity need and how it provides best value while meeting economic or political objectives. “Cut and paste” from the Statement of Requirements (SoR)/ Tenant Requirements Package (TRP) / Investment Analysis Report (IAR) if necessary but be sure the statements are concise. Avoid pointing the reader to the full SoR/IAR since this is an executive summary and the reader should not have to go elsewhere to obtain the summary. The summary is intended to provide the reader with a quick overview and good understanding of the essential aspects of the project. It would be a useful source of information for an individual preparing a ministerial briefing note.
2.0 Project Background
Provide background information to describe the context for the project, the identified need and the reasons for initiating the project. This section should closely resemble the “Background” section of the SoR. Indicate in this section if other projects are related to this one. Is this project planned to be a multi-year and/or a multi-phase project?
Reiterate the problem/opportunity driving the project and summarize the results of the project Identification Stage (e.g. results of feasibility studies and recommendations of the IAR). Summarize the solution chosen that will be used in the project to deliver the option selected from the IAR.
3.0 Scope Management
3.1 Problem/Opportunity Definition (for PPP only)
Describe the major objectives of the solution required to meet the defined problem/opportunity. The content for this section should closely resemble the “problem/opportunity” section of the SoR. The project objectives should also relate to the criteria the client would use to evaluate the project. Topics might include:
Space Based: (samples of issues)
- Geographic Boundaries
- Access to public transit, parking
- Suitability of space
- Source of funds
- Timing - Lease expiry
- Space Reduction
- Special purpose space
- New client program with additional FTEs requiring space
- Swing Space
- Strategies - Policies - Regulations - Standards violations
- Potential for non-compliance with space standards
Asset Based: (samples of issues)
- Source of Funds
- Health & Safety
- Emergency power
- Environment and Sustainable Development
- Heritage considerations
- Structural: capacity
- Operating & Maintenance Cost Reduction
- Strategies - Policies - Regulations - Standards violations (e.g. accessibility)
3.2 Scope Definition
Describe in detail the scope of the project needed to meet the stated objectives – it is important to keep in mind the requirements for both the product scope (the features and functions of a product or service) and project scope (the work required to deliver the product).
For PMP only
Define the objectives of the chosen solution and the intended results. The project objectives should also define the criteria that can be used by the stakeholders to judge the success of the project.
Describe the project boundaries and constraints - what is included in the scope and what is not included, what are the important elements to consider during the delivery of this project -Topics might include:
- Program Facility must remain operational during the construction period.
- “Swing space” required.
- Components must match existing.
- Dangerous goods or chemical present
- Site can only be accessed via winter roads
- Construction materials must be barged to a remote northern site
- Technology used must be easily maintained without the use of specialized tools or equipment
- Allowable effects on neighbours - noise, vibration, etc.
- End of lease (need to vacate the space)
- Client operational requirements - Busy time at the end of calendar year and tax period (Taxation department)
- Seasonal weather: work performed on the roof, on the ground, on the building envelope, etc.
- Shutdown timing (generator; backup system; etc.)
- Availability of knowledgeable staff (vacations; leaves; training; normal working hours, etc.)
- Access of site (security; travel; road conditions; during silent hours; etc.)
- Life systems during building occupation vs. silent hours (alarm system; elevator access; ventilation; telephone and communication lines; water supply; etc.)
- Availability of technical personnel for tests and inspections (City of XX; HRSDC; etc.)
- Language communication (all in English or all in French?)
3.3 Work Breakdown Structure (WBS), Activity Development
The Work Breakdown Structure (WBS) will not be detailed at the beginning of the project but will become more detailed as the project progresses from the identification to the delivery stages and through the various phases within each stage. Refer to appropriate NPMS roadmap for a description of key activities required for each Phase.
Use the provided WBS to prepare the project WBS. (See WBS indent tree Annex A – Work Breakdown Structure)
Describe the approach to subdividing the scope elements down into manageable work packages that organize and define the total project scope. Use the scope documents, approval documents and project team meetings to identify the packages. This process will develop the activity list for the project.
4.0 Time Management
Describe how the Project Team will use proper industry standards and practices in development and maintenance of schedules and documents.
4.2 Schedule and Development
Describe how the Project Team will work together to develop all schedules (e.g. Gantt chart) with sufficient detail or summary activities and logic to reasonably portray the project.
Describe how all schedules will maintain the same Work Breakdown Structure (WBS) as well as Milestones and Milestones Dates.
The current project schedule should be either annexed to the PPP or PMP (Annex B), or if it is filed electronically, the location should be indicated in this section.
4.3 Major Milestones
Use the NPMS Deliverables and Control Points as the Major Milestones within the project (see Annex C). These milestones will be used in Project Performances and General Reporting within RPB.
5.0 Cost Management
5.1 Project Cost Plan and Cash Flow
This section is limited to the amount of spending authority from the approved Statement of Requirements. Therefore, as a minimum, provide a breakdown of the approved spending authority and indicate the timeline of how the funds for each cost item / activity will be disbursed, as per section 4.
Provide the Cost Plan for the project with itemized breakdown into appropriate major components such as:
- Construction Works
- Fit-up Works
- Consultant Fees
- PSPC Fees and Disbursements
- Risk Allowances – as identified in the Risk Management Plan
- Other Ancillary Costs
- Client costs
- Taxes – GST or HST
Client costs must be included in order to reflect the total cost of the project to the federal government.
Following the Cost Plan, prepare a forecasted Cash Flow reflecting the expected expenditures / spending in relation to the project schedule for each of the major components. For projects with a multiple year duration, the Cost Plan and Cash Flow must be presented in both constant dollars (without escalation) and in current dollars (escalated for inflation, i.e. constant dollars x appropriate cost indices for the year that the expected expenditures/spending will occur).
5.2 Project Cost Estimates
The project information at this stage may not be sufficient to generate a detailed project cost estimate. However, adopting relevant historical data where appropriate to develop an Order of Magnitude Project Cost Estimate should be considered. Referral to the Cost Planners/Estimators (in-house) is recommended.
For PMP only
Initiate the preparation of a cost estimate for the project through either an external qualified professional Cost Consultant or Cost Planners/Estimators (in-house). Refer to the Cost Management Knowledge Area for the classification of Cost Estimates. Ensure that the cost estimates accurately represent the defined scope/design of the project.
Provide the references of the project cost estimate that has been prepared and attach a copy of the latest estimate to this Project Plan (see Annex E).
Update the Project Cost Estimates throughout the life of the project as the design develops, to ensure accuracy of the estimates.
6.0 Financial Management
6.1 Funding Strategies
Describe the funding approvals required and the planned steps to obtain funds and approvals. (i.e. local, regional, HQ, TB or other). Indicate if the project is single funded (PSPC or OGD) or multi-funded (PSPC, OGD, etc). The information in this section should reflect what has been outlined in the last section of the SoR.
6.2 Approved Funding
Provide in Annex F a summary of approved funding. Indicate whether the approved funding is from an internal PA or EA or from a client department. Is the funding part of existing corporate plans? If so, provide the reference (e.g., provide the TB Minute number).
7.0 Change Management
7.1 Scope Management
Describe the tools, techniques and approach to be taken to control changes in scope, to determine who will have authority for such change, to identify who will pay for additional fees/costs, and to monitor the impact on other aspects such as the budget, schedule, and risks associated with the approved changes. Note that in the Preliminary Project Plan this section may not be highly developed.
7.2 Time Management
Following the Scope Management Process any approved changes to Scope must be included in the Project Schedules and Narratives and approved by the Project Team.
7.3 Cost management
The Project Team must ensure that any approved scope changes following the Scope Management Process must be documented accordingly and any impact on the cost has to be evaluated and reflected in the project Cost Plan.
8.0 Risk Management
Risk analyses and plans are to be prepared following TB guidelines and the NPMS Risk Management Knowledge Area. Include a summary of the major risks identified and their potential impacts relative to cost, schedule, quality and political objectives of the project. Describe the planned responses to mitigate, minimize or avoid impacts on costs, schedules and quality. The complete risk analysis and Risk Management Plan are to be included as an annex (Annex G) or a reference document. The potential impact costs associated with the risk analysis should also be included in the cost estimates shown in the Cost Management section. Review the Risk Management Plan periodically and amend the Risk Management Plan to include new risks as they appear throughout the life of the project.
In addition, details on the PCRA should be included such as: level, score (%), date completed, and date revised.
9.0 Procurement Management
This section covers the plans to procure the goods and services needed for the successful identification and delivery of the project.
9.1 Consultant Acquisition
Describe the processes to be used for acquiring consultants for the Project Identification and Delivery Stages. For example, what consultants will be required to supplement the project team in the definition/analysis process or producing feasibility studies? Will they be engaged through a one- or two-stage request for proposal (RFP) process, a standing offer, a sole source (when justified) contract, an expression of interest, the landlord, the prime consultant contract (for specialist consultants) or other means? On occasion, the client may have its own existing contract with a specialist - will this contract be extended or amended?
9.2 Product Acquisition
Describe the planned processes for realization of the project. Will the construction be delivered through design-bid-build, construction management, design-build, lease- purchase, lease fit-up or some combination of these? The reason for the choice should be explained. Reasons might include the urgency of the project that emphasizes the type of project delivery such as: Fast Track, emergency conditions, weather permitted schedule, etc.
Reference the generic roadmap to be followed here.
9.3 Goods Acquisition
Describe the planned processes for acquiring purchased goods, such as furniture, IT equipment, scientific equipment, vehicles, long delivery items such as switchgear, security systems, etc.
10.0 Quality Management
10.1 Project Document File Management
The need to maintain hard-copy records falls under the purview of the National Archives Act. A records management system is required for every project, in accordance with PSPC records management policies. Consult the NPMS Real Property Procedure on Document Management for a description of the requirements for proper document management of real property projects, and specify which version of the Electronic Project Filing Structure you will use.
10.2 Project Reviews
In this section, you must indicate which Project Review will be done for the project. Moreover, if the level of Project Review carried out varies from the one suggested in the table, it must be justified here as well.
The NPMS Real Property Procedure on Project Reviews can be found on the NPMS web site. Briefly, a Project Review is a high level evaluation of the project delivery approach methodology conducted at the end of the planning phase in order to support the Project Team in the production of the Project Management Plan (PMP). The Project Review Advisory Committees (PRAC) are formed at the National (NPRAC), Regional (RPRAC) and Peer level (Peer PRAC) depending on project value and Project Complexity and Risk Assessment (PCRA). Any RPB project with fit-up/renovation/construction costs greater than $20M or Level 3 or 4 PCRA requires a National PRAC.
Below this threshold, the following table can be used as a guide to assess the minimum level of Project Review Advisory Committees required.
This table can be used as a guide to assess the minimum level of Project Review Advisory Committee required as per PCRA level and the project costs.
|PCRA Level 1||PCRA Level 2||PCRA Level 3||PCRA Level 4||OGD|
|Up to $1M||No PRAC||No PRAC||No PRAC||No PRAC||No PRAC|
|$1M to $2.5M||Peer PRAC||Peer PRAC||NPRAC||NPRAC||Peer PRAC|
|$2.5M to $5M||Peer PRAC||RPRAC||NPRAC||NPRAC||Peer PRAC|
|$5M to $20M||RPRAC||RPRAC||NPRAC||NPRAC||RPRAC|
Note: The total budget includes all acquisitions, capital costs and re-fit/improvement costs, and PSPC delivery staff fees. In the case of a space based project, the fit-up value is to be used in determining the PRAC level guide. Moreover, for lease purchase projects, the Project Value (Lease Project Approval) amount is to be used.
10.3 Design Reviews
Describe how plans and specifications will be reviewed, at what stages (ex. 33%, 66%, 99%), and members of the design review team.
10.4 Project Monitoring and Reporting
10.4.1 Key Performance Indicator
Indicate when the KPI must be updated (scope, time, cost) in SIGMA. For projects over $1M, KPI must be updated quarterly at a minimum for national reporting.
10.4.2 Schedule Monitoring and Control
Describe how the Project Team will baseline the approved schedule and monitor and control the project progress.
Describe how the Project Team will provide Project Status, Variance Reporting and Cash flow Projection reporting and determine the frequency of reporting.
Included in this section are the monitoring and reporting needs for the project against the Master Schedule and milestones.
10.4.3 Cost Monitoring and Control
Variances between the current budget estimates and approved funding will be reported on a monthly basis. Describe the methodology and/or tools for cost control and management of changes.
- Measures to manage cost due to scope modifications. Reviews of consultant work to ensure that the quality and design approaches are consistent with the budget and project intent
- Value engineering exercises
- Change order management
Describe the approach to commissioning to be used. For example, who will devise the commissioning strategies and tests? Who will execute them? Who will verify and accept them? Will commissioning be done by in-house resources or by outside commissioning agents, consultants or contractors? Will the client be part of the commissioning team (clients sometimes have specialized knowledge in certain areas, such as bio-safety)? Describe the extent of the commissioning activities, taking into account whether the project will be Crown owned or leased to an OGD and the complexity of the project building systems. Please note that it may be difficult to complete this section during the preliminary phases of the project, it should however be fully developed as the project moves forward.
10.6 Authorities Having Jurisdiction
List the authorities that will need to be consulted and from whom approvals or permits will be required. Such authorities might include Labour Canada, TB, provincial bodies, municipal governments, Health Canada, Environment Canada, Fisheries and Oceans, Transport Canada, and the International Boundary Commission.
10.7 Project Evaluation
Describe the criteria, methods and techniques to be used to evaluate whether and how well the completed project meets the stated objectives. Will a lessons-learned evaluation session be conducted? If so, provide a list of planned participants. Determine what strategy will be used for documenting and communicating lessons learned as the project evolves (this should not be left until the end of the project).
11.0 Safety Management
Describe the actions proposed to meet the due diligence aspects of construction safety. If the construction takes place in areas occupied by federal employees or where the public might have access, how will their safety be ensured? What interaction will be required with provincial jurisdictions? Confirm who is the constructor? Who has the constructor's responsibilities? Is this a leased facility or crown-owned building? Do we have a H&S officer assigned to this project? What is this person's role and responsibilities?
12.0 Human Resources Management
12.1 Project Team Structure
Provide a project organizational chart that shows the individuals required for all aspects of the project (appropriate for the scope and nature of the project). Ensure the type of services are listed as defined in the Work Breakdown Structure (WBS) in section 3.3, including but not limited to the following:
- Project management
- Contracting and procurement
- Real estate services
- Consulting services (Architectural, Interior Design, Mechanical, Electrical, and Structural)
- Specialist consulting (Audio-Visual system, courtroom design; vibration analysis consultant, cabling consulting (voice, data, image), etc.)
- Geotechnical consulting
- Cost-estimating services
- Scheduling services
- Functional and Technical programming
- Interior Environment Consulting (acoustics, thermal comfort, lighting, art gallery, archives, etc.)
- Laboratory/Bio-safety Specialist
- Commissioning agent services
- Testing services
- Communication and information technology (IT) services
- Public relations services
- Environmental services
- Hazardous waste management services
- Wind and snow studies
- Metallurgical services
- Security systems
- Health and Safety Consultant
- Horticulturist (interior and exterior planting)
- Review committees (PRAC, COE, HRSDC, City of XX, etc.)
List the resources required from internal or external sources, such as real estate, IT, and environmental services. Who are the third parties? If need be with multi-source funded projects, different coloured backgrounds in the staff boxes could be used to distinguish who pay for who (Consultants, specialists, contractors, suppliers, etc.)
Include a team master list in the annexes to identify the name, department, position, phone #, email address, fax #, cellular #, etc. This can be very useful for a new member when they join the team.
12.2 Roles and Responsibilities
Explain the roles and responsibilities of all members of the project team, refer to the Project Charter for client responsibilities. The organization structure should clearly show the authority and approval levels in the team structure for the project. This section should be used to further explain roles not covered in the Project Charter.
13.0 Communications Management
13.1 Internal Communications Plan
“Internal communications” refers to communications between parties to the project. The internal communications plan should describe the type and manner of communications between members of the project team, including consultants, clients and contractors. Describe the lines and methods of communication, the types and frequency of reports, the requirements for ministerial briefing notes, and other forms of communication to be provided and to whom. What common software suite will be used as the standard written communication package between all team members? (This is more of an issue when dealing with OGD clients.)
The author is free to break this section down into subheadings to deal with each team component separately, i.e.
- in-house PSPC communication
- consultant team
- service providers
This section could be augmented with a graphic “Project Communication Diagram” with solid lines and dotted lines to show the type of communication that is expected. No line means no communication.
13.2 External Communications Plan
“External communications” refers to communications with those outside the immediate project team. Planning for this type of communications can be politically sensitive and will require input from the communications officer. Provide details on how information will be handled for the media, members of the public, government public relations, members of Parliament, OGDs, agencies or specialist interest groups. Include planning for any opening, sod-turning or ribbon-cutting ceremonies in this section. If the communications plan is complex, include the main elements of the communications plan in this section and attach the complete plan as an annex.
14.0 Environmental Management
All projects must have an environmental review. The responsibility for conducting an environmental assessment for an OGD project rests with that department, but PSPC may be called on to do it on the client's behalf. The reviews can range from a cursory screening to a full-scale review, depending on the nature and size of project. The type and extent of reviews required must be determined in consultation with PSPC environmental experts. Attach or reference the full review document (CEAA-including exclusion report, Designated Substance Report, Waste management plan, Special site removals, etc.) In this section provide a brief synopsis of the required or completed environmental review. Project should be assessed to ensure requirements of the PSPC and OGD Sustainable Development Strategies are met, as applicable.
15.0 Claims Management
Provide information on the planned strategies for claims prevention. Describe proactive strategies, such as alternative dispute resolution mechanisms and escalation ladders to resolve potential claims quickly and at the lowest level. Describe any planned partnering sessions or education of consultants and contractors on specialized work. Claims often stem from poor-quality or unclear documents. Therefore, plans for mitigating claims arising from this risk should be covered in the quality management section.
In the event of a formal claim, update the Project Management Plan with the description of the claim and the settlement amount; how it was funded (PSPC, client, shared responsibility, etc.)? What mechanism was used for the payment? Who was involved in the negotiations and their position title at the time of the negotiation? Was litigation required? Indicate under what file number the claim and settlement documents reside.
The Project Leader and the Project Manager (Leasing Representative, Property Manager - delete where not applicable) agree to deliver this project in accordance with this (Identification or Delivery Stage) Project Plan and amend the annexes of the (PPP or PMP) periodically as project parameters change. For OGD funded projects, the client department acts as the Project Leader. The OGD Project Leader is to be provided a copy of the PMP for information. Their signature below indicates they have received the document and verified the project parameters (time, scope, cost) to be correct as presented.
This table displays the name and signature of the Project Manager, Project Leader and approval body for approval of the Project Plan.
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