UCISA Major Projects Governance Assessment Toolkit

UCISATOOLKIT Major Project
Governance
Assessment
version 1.0

Universities and Colleges
Information Systems Association
University of Oxford
13 Banbury Road
Oxford OX2 6NN
Tel: +44 (0)1865 283425
Fax: +44 (0)1865 283426
Email: admin@ucisa.ac.uk
www.ucisa.ac.uk
Contents
Introduction 1
Roles and responsibilities 2
Definition of a Major Project 3
Guidance for using the Toolkit 4
Governance elements 4
When to carry out a governance assessment 4
The assessment process 5
Appendix 1 – Role descriptions 7
Appendix 2 – Assessment tool for identifying Major Projects 11
Appendix 3 – Requirements for effective management 13
Appendix 4 – Governance assessment and visualisation tool 20
Appendix 5 – Case study: shared academic timetabling 33
Appendix 6 – Case study: research management 35
Acknowledgements 38
References 39

U C I S A T O O L K I T – M A J O R P R O J E C T G O V E R N A N C E A S S E S S M E N T V 1 . 0 1
1 PRINCE2 – a standard project management method, widely used in the public and private sectors, both in the UK and internationally. PRINCE2
aims to embody established and proven best practice in project management. See: http://www.prince-officialsite.com
2 MSP – a standard programme management method used in the public and private sectors, both in the UK and internationally. Managing
Successful Programmes (MSP) comprises a set of best practice principles and processes for use when managing a programme.
See: http://www.msp-officialsite.com
Introduction
Universities and colleges are constantly undertaking significant change activities. These activities will typically be
managed using existing institutional project and change management processes. Often, however, there is a lack
of consistency and rigour in the governance approach. This can lead to significant cost overruns and project failure
when confronted with the challenges of a major change project. Major Projects require a more rigorous approach to
governance and project management to deliver success.
This Toolkit has been developed to assist staff who are managing or participating in major change projects.
The Toolkit provides:
a. guidance on assessing which projects should be classed as Major Projects
b. the key governance elements that must be managed for Major Projects
c. an assessment tool for project governance to help ensure that the required governance actions are established
and work effectively throughout the life of the project
d. a visualisation tool for project governance which gives a view of the project as it currently stands and the
changes since the last review
e. case studies on the use of the Toolkit at the University of Edinburgh
The Toolkit was originally developed by the University of Edinburgh with support from a project and management
consultant. The Toolkit is based on best practice guidance provided by PRINCE21
and experience of successfully
delivering Major University Change Projects. The Toolkit can be used for projects being managed and delivered using
any methodology. The Toolkit can be used, with minor adjustments, where the term project is used more loosely to
identify a programme of related projects as defined by MSP2
. Increasingly, Major Projects will be delivered as change
programmes and a future version of the Toolkit will address the needs of programmes more directly.
The Toolkit has been designed to be complementary to existing project and change management processes. The
Toolkit fills an important gap by providing a repeatable assessment process that covers all aspects of governance for
Major Projects. The Toolkit can be used as a reference point and checklist for any project. The Toolkit has been used
successfully by the University of Edinburgh on major software projects including Shared Academic Timetabling,
Research Administration and Virtual Learning Environments. A version of the Toolkit is used by the University of
Edinburgh for large capital projects.
We believe that using the Toolkit will enhance the governance and delivery of Major University and College Change
Projects.

Roles and responsibilities
It is critically important for effective project governance that each member of the senior team understands and
accepts his/her responsibilities and accountabilities. These governance roles can be time consuming, politically
difficult and may often appear thankless. However, they are absolutely crucial to the success of the project. The key
roles in the governance of Major Projects are:
Project Executive The Project Executive represents the business interests of the institution and is accountable
for the success or failure of the project. The Project Executive must ensure that effective
governance is established and maintained for the duration of their project. The Project
Executive oversees the regular governance assessments described in this Toolkit and ensures
that any required actions are followed up.
Senior User The Senior User represents the interests of the users who will eventually make use of what
is delivered by the project. It may be appropriate to have multiple Senior Users representing
different areas of the institution or different user roles. A User Group can also be set up to
represent wider user interests. In such cases a Senior User will chair the User Group. The
Senior Users must participate fully in the regular project assessments described in this
Toolkit.
Senior Supplier The Senior Supplier is accountable for the quality, performance, technical integrity and
timeliness of the supplier deliverables. It may be appropriate to have multiple Senior
Suppliers, for example, where there are both internal and external suppliers. A Supplier
Group can be set up to represent wider supplier interests. In such cases a Senior Supplier will
chair the Supplier Group. The Senior Suppliers must participate fully in the regular project
assessments described in this Toolkit.
Project Board The Project Board provides governance for a project. The key members of the Project
Board are the Project Executive, the Senior User(s) and the Senior Supplier(s). Project Board
members must participate fully in the regular project assessments described in this Toolkit.
User Group The User Group, chaired by a Senior User, represents the diverse range of user stakeholders
for the project. The User Group’s prime responsibility is to ensure that the solution delivered
by the project will meet the needs of users. User Group members should participate fully in
the regular project assessments described in this Toolkit.
Project Manager The Project Manager has day to day responsibility to run the project and is accountable
to the Project Board. The Project Manager coordinates the regular project assessments
described in this Toolkit reporting the findings, and any recommendations for action, to the
Project Executive and Project Board.
Each role and its involvement in the project is described in more detail in Appendix 1 – Role descriptions.

Definition of a Major Project
Project: A set of activities that are managed and coordinated to deliver a specific outcome in a defined
timescale
Major Project: A project that has a significant financial, operational, or reputational impact on a university or
college (or an organisational unit such as a faculty, school or support group)
This definition of a major project covers many different types of project. For example:
„„ Capital and refurbishment projects
„„ Projects with significant information technology components
„„ Projects to change the way the institution conducts its business, processes and operations
„„ Organisational change projects
In assessing whether a project is major there are a number of factors that must be considered including:
„„ total cost of the project (i.e. the total cost of ownership including recurring costs over 48 months)
„„ impact of the project on students and staff
„„ complexity of the project
„„ reputational impact on the institution if the project runs into difficulties
Different projects will have a different profile across these factors. For example, a large capital project in Estates has
a significant financial cost, but the impact on staff and students may be relatively straightforward. A significant
change to the curriculum could have a large impact on staff and students, but the cost of delivering it may be modest.
A project involving a number of external partners, and which involves organisational change, could be complex and
challenging without necessarily having a high financial cost.
Major Projects will primarily be those that impact on the whole institution and where a greater degree of coordination
is required to deliver success.
A simple assessment tool to help determine whether a project should be classified as major is provided in Appendix
2 – Assessment tool for identifying Major Projects. The tool may be used as is or adjusted to meet the needs of the
individual institution.

Guidance for using theToolkit
Governance elements
For Major Projects there are a number of important elements that need to be effectively managed for the project to
achieve success. Each element will be present for all projects but the relative importance of each element may vary for
different types of project. The following is a generic model of these project governance elements:
In the model, the governance elements are shown as sequential and, in practice, they must be sequential at the start
of the project. As the project moves forward, however, there will be significant iteration. There will be an ongoing need
to reinforce project sponsorship and stakeholder buy-in, communicate effectively, maintain team cohesion, manage
risk etc.
The requirements for the effective management of each governance element are described in Appendix 3 –
Requirements for effective management.
When to carry out a governance assessment
Major Projects often naturally break into a number of phases. For an information technology project requiring
procurement of hardware, software and services the phases may be:
Develop Business Case – Procure solution – Implement solution and close – Business as usual
Governance assessments using the Toolkit can take place at any time and can be particularly valuable during the start-
up of a project phase or as part of the phase close down process.
The first governance assessment using the Toolkit should take place early in the project lifecycle with further
reviews at least once per project phase. For Major Projects with phases lasting longer than six months a governance
assessment should take place approximately every six months.
Governance assessments should not be a one off event and should be repeated with an appropriate frequency during
the life of the project to ensure that all of the required activities remain in place and working effectively.
Vision for
change
Business
and Case
Alignment
CommunicationTeam building
Sponsorship/
Stakeholder
buy-in
Risk
Management
and Assurance
Project
Management
and Planning
Governance
structures
Implementation
Benefits realisation
and ongoing
improvement
Business as
usual MeasurementLearning
Create vision
Engage people
Deliver
Embed

The assessment process
An assessment of the project status against each governance element is carried out by members of the Project
Board, User Group, Project Team and other key stakeholders. It is important that as many as possible of these key
stakeholders complete the assessment. The target is to achieve around 70% returns from the Project Team and Project
Board and 50% from the User Group and other key stakeholders.
Each assessor records a score for each governance element in the range 0 – 10 based on the following:
0 Not started. Typically only justifiable in the early stages of a Major Project for later Embed
governance elements. Action is required to address omission.
1–3 Emerging, immature and/or incomplete. Typically only justifiable in the early stages of a major
project for later Embed governance elements. Action is required to improve overall management of
element.
4–6 Progressing towards best practice with evidence of positive impact. Action is required to further
improve position.
7–10 Mature. Good practices in place and working effectively. Clear evidence of positive impact. Action
may be required to maintain position.
Each assessor is also asked to record a reason for their score and any suggestions for improvement. This information is
valuable in highlighting concerns and possible remedial actions.
All the assessment responses are analysed, collated and plotted on a radar chart in Microsoft Excel to show where
the project is going well and where action may be needed. Radar charts can be produced to show individual or group
perception of the project status. The analysis can be repeated at different stages through project delivery and the
shape of the radar chart will change over time.
Project status visualisation diagram – single assessment
Learning
Measurement
Implementation
Project ManagementRisk Management
and assurance
Governance structures
Communication
Team building
Sponsorship and
stakeholder buy-in
Business Case
Vision
0
10
8
6
4
2
Benefits and ongoing
improvement
Business as usual

Project status visualisation diagram – multiple assessments
The tool for assessment and visualisation of project status is described in Appendix 4 – Governance assessment and
visualisation tool. The tool may be used as is or adjusted to meet the needs of the individual institution.
0
10
8
6
4
2
Vision
Learning
Measurement
Implementation
and assurance
Communication
Team building
Sponsorship and
stakeholder buy-in
Business Case
improvement
Business as usual Jul 13
Feb 14

Appendix 1 – Role descriptions
The following tables provide high level description of the key project roles referred to in this Toolkit.
Project role: Project Executive (often also referred to as the Project Sponsor)
Role description The Project Executive owns the business case and is ultimately accountable to senior
management for the success or failure of the project. The Project Executive role must be
vested in one individual who is appointed at a very early stage in the lifetime of the project.
There must never be more than one Project Executive at any point during the lifetime of the
project.
Project
involvement
The Project Executive appoints Project Board members and typically chairs Project Board
meetings. The Project Executive has to ensure that the Project Board meets and delivers its
full responsibilities. This role cannot be delegated.
The Project Executive must be prepared to make a significant commitment to the project
as, without their involvement, important decisions cannot be taken and the project will not
progress. This is not a passive role. Commitment may be 0.5 days per week or more.
Project role: Senior User(s)
Role description The Senior User is responsible for ensuring that the services delivered by the project will
meet the needs of user stakeholders. The Senior User is appointed by the Project Executive
during the early stages of the project.
Due to the devolved nature of many universities and colleges there are often diverse groups
of user stakeholders. The Senior User role may be shared between multiple individuals
representing different areas or user roles. A User Group, chaired by a Senior User, can also
be set up to represent wider user interests. Whatever options are chosen it is vital to ensure
that:
zz The wider user community are appropriately represented on the User Group and Project
Board
zz Each Senior User is empowered to make decisions on behalf of the user community they
represent
zz The Project Board is not overloaded with Senior Users who have a very narrow interest
in the project deliverables. This will inevitably reduce the decision making capabilities of
the Project Board
The Senior User plays a key role in managing the process, organisational and cultural
changes affecting users that arise as a result of the project. The Senior User role should not
be combined with the Project Executive or Senior Supplier roles.
Project
involvement
The Senior User is responsible for identifying the stakeholders from user communities to be
involved in the project and will be involved in securing or releasing user resources to work on
the project. The Senior User may organise and chair a separate User Group to fully represent
user interests.
At the start of the project the Senior User will play a key role in specifying and quantifying
the benefits to be delivered by the project. Post project the Senior User may be responsible
for demonstrating that the anticipated benefits have been realised.

Project role: Senior Supplier(s)
Role description The Senior Supplier is accountable for the quality, performance, technical integrity and
timeliness of the supplier deliverables. The Senior Supplier role is appointed by the Project
Executive during the early stages of the project. The Senior Supplier must be empowered to
make decisions on behalf of the supplier community.
It may be appropriate to have multiple Senior Suppliers, for example, where there are both
internal and external suppliers. This can be managed in different ways depending on the
needs of the project. For example:
zz Each supplier can be given Senior Supplier representation on the Project Board. This
is a relatively common approach and works best when there are few interactions or
dependencies between the suppliers. It can, however, result in a lack of clarity for the
Project Board on supplier risks, issues and accountabilities
zz A Supplier Group can be set up to represent wider supplier interests with the Senior
Supplier chairing this group. For example, the Project Executive may appoint a senior
manager from the leading internal supplier to chair the Supplier Group and represent
supplier interests on the Project Board. This is a significant responsibility for the internal
Senior Supplier but can result in greater clarity over supplier concerns for the Project
Board
Multiple suppliers add complexity to project delivery. If there are multiple suppliers it is
recommended that an additional risk is added to the project risk log. A possible action to
mitigate this risk is to ensure that suppliers meet regularly to discuss and agree supplier
progress, risks, issues and concerns. The meetings will improve communication between
suppliers and result in better management of interactions and dependencies. The outcomes
of each meeting can then be reflected in the reports to the Project Board.
With this mitigation in place the Project Board can be confident that the reporting of
supplier progress, risks and issues will be more complete and accurate regardless of how the
individual suppliers are represented on the Project Board itself.
Project
involvement
The Senior Supplier must assess and confirm the viability of the project approach and
ensure that proposals for designing and developing the deliverables are realistic.
The Senior Supplier must advise the Project Executive on any supplier risks, deal effectively
with supplier issues and resolve any supplier requirements or priority conflicts.
The Senior Supplier must ensure the supplier resources required for the project are available,
including staff with the appropriate skills and expertise.
The Senior Supplier must regularly brief non-technical management on supplier aspects of
the project.
Project role: Project Board
Role description The Project Board provides overall governance for a project. The key members of the Project
Board are the Project Executive, the Senior User(s) and the Senior Supplier(s). The Project
Board can comprise multiple Senior Users and Senior Suppliers, which can vary during
project’s lifetime.
The Project Board must provide clear direction and support for the project and needs to
be an appropriate size. In a highly devolved university or college it will often be necessary
to have a larger Project Board than would be appropriate in other business environments.
The Project Executive needs to strike a balance between having sufficient representation
on the Project Board and having a manageable Project Board to enable timely and effective
decision making.

Project role: Project Board
Project
involvement
The Project Board is a decision making body not a discussion group. Regular Project Board
meetings, at least every six to eight weeks, help to keep the project on track and ensure that
decisions are made in a timely manner. To ensure board members are available the schedule
of Project Board meetings should be agreed at the outset of the project.
Project Board members are collectively responsible for committing the resources required
for successful delivery of the project. The Project Board directs communication with project
stakeholders across the University and members act as champions for the project.
The Project Board must provide visible and sustained support for the Project Manager and
should be available for consultation, advice and guidance at all times.
The Project Executive must regularly review the participation of individual members in
Project Board activities. Failure to attend or participate may indicate that a board member
has a concern about the project or is unable to commit the time required to the role.
Project role: User Group
Role description The User Group represents the diverse range of user stakeholders for the project. The User
Group’s prime responsibility is to ensure that the project deliverables will meet the needs of
users and must advise the Senior User of any risks or issues which may affect their timing,
cost or suitability. The User Group should be established during the early stages to promote
user understanding of the vision for change and increase engagement with the project.
The User Group should always include expert users who understand the end to end business
process and are aware of any business constraints on the solution. These experts add value
by providing a different perspective to user representatives who have a detailed but more
limited view of the business. Including sceptics as well as supporters on the User Group will
enhance decision making and improve the overall governance and outcomes for the project.
The User Group provides the link between the project and the user community. User Group
membership should be widely communicated so that users know who to contact if they
have any questions, concerns or feedback about the project.
The Project Executive and Senior User must regularly review the membership of the User
Group to ensure that all user areas are properly represented on the group.
Project
involvement
The membership of the User Group may vary through the lifetime of the project depending
on the deliverables in each phase. The Senior User(s) will chair the group and represent the
interests of the User Group on the Project Board, co-opting key stakeholders from time to
time as needs arise.
Members of the User Group are expected to be active on behalf of the project within their
communities. The time needed will vary depending on the nature of the project and the
degree to which the project results will transform business processes.
The Project Executive and Senior User must ensure that there are effective links between
the Project Board and User Group with sharing of papers between each group and regular
agenda items which encourage updates, issues and concerns to be highlighted.
The Project Executive and Project Manager must also ensure that there are effective links
between the core project team and User Group which encourage mutual engagement and
understanding of the challenges faced in delivering the project.
The Senior User should regularly review the participation of individual members in User
Group activities. Non-participation may indicate that the member has a concern about the
project or is unable to commit the time required to the role.

Project role: Project Manager
Role description The Project Manager has day to day responsibility to run the project and is accountable to
the Project Board. The Project Manager role is appointed by the Project Executive at an early
stage of the project.
The Project Manager is responsible for ensuring that the project produces the required
deliverables within the specified time, cost, scope, quality, risk and benefit tolerances agreed
with the Project Board.
Project
involvement
The Project Manager will have a substantial time commitment to the project, perhaps
multiple days per week in the case of a major change project. The responsibilities of the
Project Manager include:
zz Preparing and maintaining the business case
zz Maintaining the high level project plan and detailed stage plans
zz Monitoring progress against the plan and making adjustments (within tolerances) as
necessary
zz Advising the Project Executive and Project Board of significant deviations from agreed
plans. Escalating items of concern in a timely manner
zz Preparing reports for Project Board meetings
zz Leading, directing and motivating the project team
zz Ensuring that the project conforms to all relevant institutional standards and
procedures
zz Actively managing and communicating risks, issues and changes
zz Ensuring the project maintains timely and effective communication with stakeholders
zz Maintaining project records and deliverables
Project role: Project Assurance
Role description Project Assurance is an audit function used to ensure that the project runs correctly and
that complete and accurate information reaches the Project Board. There are three types of
project assurance:
zz The Project Executive is accountable for project assurance from the business viewpoint
zz The Senior User is accountable for project assurance from the user viewpoint
zz The Senior Supplier is accountable for project assurance from the supplier viewpoint
For a small project the Project Board members may carry out the Project Assurance role
themselves. For a Major Project they may prefer to delegate the role to a trusted and
sufficiently independent third party. This role cannot be delegated to the Project Manager.
Project
involvement
Project Assurance will continue during the lifetime of the project. The time required
commitment will vary depending on the size and complexity of the project, the stage and
the viewpoints being reviewed.
The responsibilities of Project Assurance include:
zz Regularly reviewing project information to ensure that the project is being managed
effectively
zz Making recommendations to the Project Manager and/or the Project Board on
improvements to the way the project is being run
zz Highlighting areas of concern to the Project Manager and/or the Project Board and
ensuring that they are adequately responded to

Appendix 2 – Assessment tool for identifying
Major Projects
This tool is used to identify Major Projects and is based on the following characteristics:
„„ Total cost of the project (i.e. the total cost of ownership including recurring costs over 48 months)
„„ Impact of the project on students and staff
„„ Complexity of the project
„„ Reputational impact on the university or college if the project runs into difficulties
The tool may be used as is or adjusted to meet the particular needs of the individual institution.
Characteristic Mark Project
score
Cost of project
Costs must include all time/resource spent on the project
and not just the dedicated project team. A total cost of
ownership approach must be used which includes all
project costs over 48 months including recurring costs.
£25m or over 15
£10m or over 7
£1m or over 4
£0.5 or over 2
Under £0.5m 1
Impact on staff and students Direct impact on students
and/or staff across the
institution
4
Direct impact on students
and/or staff across a
College, Faculty or Support
Group
3
Direct impact on another
significant group of
students or staff
2
Impacts only on some
students/staff within a
local organisation
1
Complexity
High
zz Four or more external stakeholders or partner
organisations including external suppliers
and/or
zz Affects a large number of diverse stakeholders with
significant changes to roles, business processes, IT
systems and ways of working
Medium
zz One to three external stakeholders or partner
organisations including external suppliers
and/or
zz Affects a large group of people having similar roles or
expertise with some significant changes to business
processes, IT systems and ways of working
High 4
Medium 2
Low 1

Low
zz No external stakeholders or partner organisations
and/or
zz Affects few people with little or no change in
business processes, IT systems and ways of working
High
Reputational impact
If project gets into difficulties or is not delivered
Potential for impact on UK
or international profile
4
Potential for impact on
national profile
2
Potential for local impact 1
Project score
Major Project – Yes/No
If score is 10 or over then project is Major

Appendix 3 – Requirements for effective
management
For Major Projects there are a number of important governance elements that need to be effectively managed for the
project to achieve success. Each governance element will be present for all projects but the relative importance of each
element may vary for different types of project. The requirements for the effective management of each governance
element are described below.
Create vision
Governance
element
Requirement
Vision for change zz Provide clear, easily understandable statements of:
{{ current problems and the need for change (i.e. what is wrong with the current
situation), ideally backed up by evidence from sources, such as user feedback,
performance measures and/or helpdesk statistics
{{ business drivers for the project
{{ benefits that are expected to be delivered by the project
{{ how things will be from a business, user and technology perspective when the
project is complete
{{ project scope, objectives, success criteria and roadmap for delivery
zz Maintain and develop the vision as the project progresses
zz Regularly communicate and reinforce the project vision for all stakeholders
Business Case
and Alignment
zz Establish business case for project including
{{ Options appraisal demonstrating that the project represents the best value for the
institution
{{ Non-recurrent project costs and recurrent costs including both the project team and
effort right across the institution
{{ Credible and realistic assessment of the benefits to be delivered by the project and
a plan for reviewing that the anticipated benefits have been delivered (benefits
should be measurable and clearly aligned with overall business objectives)
{{ Alignment with institutional strategic plans
{{ Review of solutions in place at comparable organisations
{{ Analysis of possible solutions available in the market and procurement strategy for
any significant external spending
{{ Identification and analysis of the most significant risks
{{ High level delivery plan and schedule
{{ Requirements for post-project business as usual service delivery
zz Obtain authority to proceed with project and secure required funding
zz Ensure the procurement strategy is agreed with institutional procurement specialists
zz Regularly review and update the business case as the project progresses to ensure that
the impact of changes is fully understood

Engage people
Governance
element
Requirement
Sponsorship
and Stakeholder
buy-in
zz Identify an individual to be the Project Executive who will be ultimately accountable
for the project. Ensure that the chosen Project Executive has the time, skills and
commitment to provide effective leadership for the project
zz Identify appropriate individual(s) to be Senior User(s) who will represent the groups who
will use or gain benefit from the solution delivered by the project
zz Identify appropriate individual(s) to be the Senior Supplier(s) representing the groups
who will deliver the project
zz Establish a User Group, with the Senior User as chair, to represent wider user interests
zz Identify all other key institutional stakeholders who will be affected by the project and
obtain their buy-in to the project vision, scope and objectives
zz Ensure lessons learned from previous similar projects at the institution, or elsewhere,
are clearly understood from the outset and that these will be used positively to improve
project governance and outcomes
zz Confirm progress/status reporting requirements for the institutional groups and
committees who will have an interest in the project as it progresses
zz Establish champions for the project across the stakeholder community
zz Establish ongoing activities to maintain stakeholder engagement with appropriate
success measures
Team building zz Identify the project stakeholders whose operational input as part of the project team
will be essential for successful project delivery
zz Identify the skills needed on project team and wider teams who will help deliver the
project and recruit or develop staff accordingly
zz Ensure that the project team is adequately resourced, supported and given enough time
from their day jobs to successfully deliver the project
zz Establish team cohesion and a shared belief in the project vision and achievability of the
project goals and objectives
zz Develop and maintain effective links between the project team and User Group to
validate and support the work of the project team and ensure that the user perspective
is kept in focus as the project progresses
zz Leverage the skills and experience available from your external suppliers and bring
relevant supplier staff on to the project team
zz Establish ongoing activities to maintain effective team working with appropriate
success measures

Governance
element
Requirement
Communication zz Ensure that stakeholder identification is inclusive and diverse taking into account
expertise, level of empowerment, influence and willingness to engage
zz Establish a communications plan detailing regular project communication with all
stakeholder groups
zz Ensure adequate resources are devoted to ensuring effective communication
zz Ensure the communications plan is a key element of the project delivery strategy and
establish processes to ensure that it is regularly reviewed and updated
zz Establish appropriate success measures for project communications
zz Identify changes of culture and/or behaviour needed for the project to be successful and
use communication to positively promote the required changes
zz Ensure communications are always clear and relevant to the target audience. Always
answer the question, “what is the impact on me?”, for each stakeholder
zz Ensure communications are consistent, timely and managed to build trust
zz Include feedback loops and ensure that the Project Board and project team are ready to
act on feedback received (i.e. engagement is being used to drive project decision making
and not simply as a public relations exercise)
zz Maintain a log detailing all formal communications sent by or on behalf of the project
Deliver
Governance
element
Requirement
Governance
structures
zz Establish and maintain effective governance structures for the project with Project
Board, User Group, Project Manager and appropriate administrative support
zz Ensure staff involved in project governance understand their responsibilities and are
appropriately skilled and supported to discharge these (e.g. by experts with relevant
specialist business or technical knowledge)
zz Ensure Project Board and User Groups meet regularly, at least every 6 – 8 weeks, for the
duration of the project
zz Establish and maintain effective links between the Project Board and User Group with
sharing of papers between each group and agenda items which encourage updates,
issues and concerns to be highlighted and shared
zz Ensure that the regular progress reports and information prepared for the Project Board
and User Groups are clear, consistent, timely and relevant
zz Monitor attendance and participation at Project Board and User Group meetings
and take action if there are any problems. Failure to regularly attend or participate in
meetings may indicate that an individual member has a concern about the project or is
unable to commit the time required to the role

Governance
element
Requirement
Project
management
and planning
zz Identify an individual to be Project Manager with day to day responsibility for running
the project on behalf of the Project Executive
zz Ensure that the Project Manager has skills, experience, capacity and motivation required
to successfully deliver the project
zz Ensure that the Project Board provides full and effective support for the Project Manager
zz Translate the project vision and business needs into an unambiguous project brief with
clear and agreed success criteria
zz Set appropriate budgets, timescales, tolerances and contingency for the project
zz Establish and maintain appropriately detailed project plans identifying tasks,
responsibilities, resources, deliverables, deadlines and milestones
zz Ensure that the project plan includes change management tasks (people and processes)
as well as technical activities
zz Establish and maintain effective risk, issue and change management processes
zz Establish and maintain effective resource management processes
zz Agree reporting formats and frequency of updates ensuring contents reflects the needs
of the Project Board, User Group and other key stakeholders
zz Establish and maintain effective processes for learning and adapting the project
approach based on experience during the project
zz Agree criteria for closure of the project and re-deployment of the project team
Risk
Management and
Assurance
zz Establish reporting processes and performance measures to ensure that the Project
Board can monitor progress and deal effectively with risks and issues
zz Establish financial control and reporting processes
zz Ensure adequate resources are allocated to project assurance
zz Use external reviews to provide additional assurance on project progress e.g.
{{ Use local experts not otherwise involved in the project delivery
{{ Add suitably qualified external person to the project team or Project Board
{{ Hire a specialist commercial services provider to audit the project
zz Be ready to act, including delaying or abandoning the project, if issues arise and the
project is failing to make acceptable progress
zz Project Board members, risk owners and other key stakeholders are engaged with risk
management and accept the time and resource implications of required mitigation and
contingency actions
zz Effective risk management is embedded in project management processes
zz Identify and record key project risks defining risk impacts in business terms that are
readily understandable to stakeholders
zz Establish and maintain proactive and effective risk management processes
zz Establish clearly defined criteria for the escalation of risks and issues to the Project
Board
zz Review the most significant project risks, and recommended actions, at each Project
Board meeting
zz Use risk management to inform effective decision making for the project

Governance
element
Requirement
Implementation zz Establish an appropriately detailed implementation plan that is agreed and understood
by all parties. Ensure that the implementation plan includes:
{{ Change management tasks as well as technical activities
{{ Phased implementation options where these are available
{{ Clear business and technical success criteria for the implementation
{{ Provision of appropriate training, help and support for users before, during and after
the implementation
{{ Completion of required technical and user documentation required for business as
usual service
{{ Contingency to enable the implementation to be rolled back if the new solution is
not working or has had serious unforeseen impacts
{{ Tasks and resources for the resolution of issues that become apparent in the period
immediately post go live
zz Ensure that all business and technical acceptance criteria are tested and the outcomes
signed off as part of final pre-implementation testing
zz Ensure that there are contingency arrangements in place so that the implementation
can be deferred or abandoned if the solution is not ready on time
zz Ensure that there is a process for documenting and communicating any features that
will not be delivered by the implementation

Embed
Element Requirement
Measurement zz Include an updated set of measurements, with comparison against the baseline
measures, as part of the project closure report
zz Establish and publish baseline measures of what took place before the project started
zz Establish and regularly report on appropriate measurements to show improvements
made against the baseline and to act as a starting point for further improvements
zz Identify an appropriate set of performance measures for the solution to be delivered by
the project
Business as usual zz Ensure that the impacts on the business as usual service are always considered part of
project decision making
zz Define the business as usual service as service requirements become known. The service
definition should include:
{{ Normal service and support hours
{{ Service availability (and how it will be measured and reported)
{{ Service capacity and performance measures
{{ How planned downtime will be agreed and communicated
{{ Organisational structures, resources and skill requirements
{{ Support mechanisms and escalation routes
{{ Funding requirements
zz Establish a clear and agreed plan for transition to the live service
zz Ensure that backup and recovery arrangements are defined and in place, including
maximum permissible data loss, recovery times and backup retention periods
zz Ensure that business continuity arrangements are defined and in place to enable the
business to cope effectively during a recovery period and/or in the event that recovery
arrangements hit problems in practice
zz Ensure dependencies on other services are known and documented
zz Ensure that responsibilities for maintaining technical and end user documentation and
resources are clear
zz Ensure that business as usual service requirements are reflected in contractual
arrangements with third parties involved in delivering the service
zz Ensure that there is an agreed change control process for future service enhancements
zz Define service management and review processes that will be used to deliver long term
satisfaction to users

Element Requirement
Benefits
realisation
and ongoing
improvement
zz Ensure that a credible assessment of the benefits to be delivered by the project, and a
plan for reviewing that the benefits have been realised, is included in the business case
zz Ensure that benefits are measurable and clearly aligned with overall business objectives
zz Ensure that benefits are regularly reviewed and updated as the project progresses to
ensure that they remain realistic – during the project it may become apparent that the
anticipated benefits cannot be fully achieved, or decisions may be taken which affect
the anticipated benefits. Unexpected opportunities to increase benefits may also arise
zz Identify and include activities in the project plan which enable benefits to be
fully realised (e.g. training and education for users, definition of new roles and
responsibilities, collection of performance data and decommissioning of legacy systems)
zz Allocate clear responsibilities and ownership for post project benefits realisation (e.g. by
establishing reviews to track and report on benefits realisation for a defined time period
following project delivery)
zz Identify processes and responsibilities for ongoing improvement of the solution
delivered by the project post implementation
Learning zz Ensure lessons learned from previous similar projects, at the institution or elsewhere,
are understood and are used positively to improve project governance and outcomes
zz Establish effective processes for learning and adapting the project approach based on
experience during the project
zz Conduct post project reviews to identify the learning from the project and how any
outstanding issues emerging from the project will be handled

Appendix 4 – Governance assessment and
visualisation tool
The Governance assessment and visualisation tool is based on evaluation of the project against each of the
governance elements described in Appendix 3 – Requirements for effective management. The tool may be used as is
or adjusted to meet the particular needs of the individual institution.
This assessment tool should be completed by members of the Project Board, User Group, Project Team and other key
project stakeholders. Each assessor records a score for each governance element in the range 0 – 10 based on the
following guidance:
0 Not started. Typically only justifiable in the early stages of a major project for later Embed governance
elements. Action is required to address omission.
1 – 3 Emerging, immature and/or incomplete. Typically only justifiable in the early stages of a major project for
later Embed governance elements. Action is required to improve overall management of element.
4 – 6 Progressing towards best practice with evidence of positive impact. Action is required to further improve
position.
7 – 10 Mature. Good practices in place and working effectively. Clear evidence of positive impact. Action may be
required to maintain position.
All the questionnaire responses will be analysed, collated and plotted on a project status visualisation diagram, using
a radar chart in Microsoft Excel, to show where the project is going well and where action may be needed. Radar
charts can be produced to show individual or group perception of project status.
The analysis can be repeated as the project progresses and the shape of the project status visualisation diagram will
change over time. Multiple assessments can be included on a single diagram to produce a view of both current status
and the outcomes of previous reviews.
Project status visualisation diagram
Learning
Measurement
Implementation
and assurance
Communication
Team building
Sponsorship and
stakeholder buy-in
Business Case
Vision
0
10
8
6
4
2
improvement
Business as usual

UCISATOOLKIT–MAJORPROJECTGOVERNANCEASSESSMENTV1.021
MajorProjectstatusassessmentscorecard
Guidance:ThisassessmenttoolshouldbecompletedbymembersoftheProjectBoard,UserGroupandotherkeyprojectstakeholders.Pleasecompletethequestionnaire
providingyourviewsonthecurrentstatusoftheproject.EnteryourscoreforeachGovernanceElementintherange0–10where0isnotstarted,1–3isemergingand/or
incomplete,4–6isprogressingtowardsbestpracticeand7–10ismaturewithclearevidenceofpositiveimpact.Pleasebrieflystatethereasonsforyourscoringandany
suggestionsforimprovement.

Project:
AssessorNameandOrganisation/Unit:
ProjectRole:
DateofAssessment:
Governance
element
EvaluationquestionsScore
(0–10)
Reasonsforscoring/Suggestionsforimprovement
CREATEVISION
Visionforchange
zzArethereclearandeasilyunderstandablestatementsof:
{{Currentproblemsandtheneedforchange?Arethesestatements
backedupbyevidencefromsourcessuchasuserfeedback,
performancemeasuresand/orHelpDeskstatistics?
{{Businessdriversfortheproject?
{{Benefitsthatareexpectedtobedeliveredbytheproject
{{Howthingswillbefromabusiness,userandtechnology
perspectivewhentheprojectiscomplete?
{{Projectscope,objectives,successcriteriaandroadmapfordelivery?
zzIsthevisionbeingmaintainedanddevelopedastheproject
progresses?
zzIsthevisionregularlycommunicatedandreinforcedforallproject
stakeholders?

Governance
element
(0–10)
CREATEVISION
Visionforchange
zzArethereclearandeasilyunderstandablestatementsof:
{{Currentproblemsandtheneedforchange?Arethesestatements
backedupbyevidencefromsourcessuchasuserfeedback,
performancemeasuresand/orHelpDeskstatistics?
{{Businessdriversfortheproject?
{{Benefitsthatareexpectedtobedeliveredbytheproject
{{Howthingswillbefromabusiness,userandtechnology
perspectivewhentheprojectiscomplete?
{{Projectscope,objectives,successcriteriaandroadmapfordelivery?
zzIsthevisionbeingmaintainedanddevelopedastheproject
progresses?
zzIsthevisionregularlycommunicatedandreinforcedforallproject
stakeholders?

Governance
element
(0–10)
CREATEVISION
Businesscaseand
alignment
zzIsthereacrediblebusinesscasefortheprojectincluding:
{{Optionsappraisalconfirmingtherecommendedoptionasbest
value?
{{Non-recurrentprojectcostsandrecurrentcostswhichinclude
effortfromallareas?
{{Realisticassessmentofbenefitstobedeliveredbytheproject?An
agreedplanforreviewingthattheanticipatedbenefitshavebeen
delivered?
{{Alignmentwithinstitutionalstrategicplans?
{{Marketanalysisandprocurementstrategy?
{{Identificationandanalysisofthemostsignificantrisks?
{{Highleveldeliveryplanandschedule?
{{Requirementsforbusinessasusualservicedelivery?
zzArebenefitsmeasurableandclearlyalignedwithoverallbusiness
objectives?
zzHasprojectfundingandauthoritytoproceedbeensecured?
zzHastheprocurementstrategybeenagreedwithinstitutional
procurementspecialistsandisitbeingfollowed?
zzIsthebusinesscaseregularlyreviewedandupdatedastheproject
progresses?

Governance
element
(0–10)
ENGAGEPEOPLE
Sponsorship
andStakeholder
Buy-In
zzHasaseniorindividualbeenidentifiedastheProjectExecutive?Does
theProjectExecutivehavethetime,skillsandcommitmenttoprovide
effectiveleadershipfortheproject?
zzHaveappropriateindividualsbeenidentifiedtoactasSeniorUsers
andaretheyeffectivelyrepresentingtheinterestsofthewideruser
community?HasaUserGroupbeenestablished?
zzHaveappropriateindividualsbeenidentifiedtoactasSeniorSuppliers
andaretheyeffectivelyrepresentingtheinterestsofthegroupswho
aredeliveringtheproject?
zzHastheprojectidentifiedallkeyinstitutionalstakeholderswhowillbe
affectedbytheprojectandobtainedtheirbuy-intothevision,scope
andobjectives?
zzArelessonslearnedfromprevioussimilarprojectsattheinstitution
beingusedpositivelytoimproveprojectgovernanceandoutcomes?
zzHavereportingrequirementsbeenconfirmedforthegroupsand
committeeswhowillhaveaninterestintheprojectasitprogresses?
zzIsthereopenandtransparentsharingofprojectinformationwith
stakeholders?
zzAretherechampionsfortheprojectacrossthestakeholder
community?
zzArethereon-goingactivitiestomaintaintheengagementofkey
stakeholderswithappropriatesuccessmeasures?

Governance
element
(0–10)
ENGAGEPEOPLE
TeamBuilding
zzIstheprojectteamfullyrepresentativeofthestakeholderswhose
operationalinputwillbeessentialforsuccess?
zzArethemembersoftheprojectteamandothersupportingteams
appropriatelyskilledtodelivertheproject?
zzIsappropriatestaffdevelopmentandrecruitmentbeingundertakento
strengthentheprojectteam?
zzIstheteamadequatelyresourced/supportedandhaveteammembers
beengivenenoughtimefromtheirdayjobstosuccessfullydeliverthe
project?
zzIstheprojectleveragingtheskillsandexperienceavailablefrom
externalsuppliers–aresupplierstaffappropriatelyengagedwiththe
projectteam?
zzDotheprojectteamdemonstratecohesionandasharedbeliefinthe
projectvisionandachievabilityoftheprojectgoalsandobjectives?
zzDoindividualprojectteammembersdemonstrateahighdegreeof
personalmotivationtosuccessfullydelivertheproject?
zzArethereeffectivelinksbetweentheprojectteamandUserGroup
tovalidate/supporttheworkoftheteamandensurethattheuser
perspectiveinformsprojectdecisionmaking?
zzAretheprojectteamworkingwelltogetherandwithother
stakeholders?

Governance
element
(0–10)
ENGAGEPEOPLE
Communications
zzDoesthecommunicationsplanincludeallstakeholdergroups
impactedbytheproject?
zzHaveadequateresourcesbeendevotedtoensuringeffective
communication?
zzIsthecommunicationsplanakeyelementoftheprojectdelivery
strategyandisitregularlyreviewedandupdated?
zzDoesthecommunicationsplanincludeappropriatesuccessmeasures?
zzHaveculturalandbehaviouralimpactsbeenassessedandappropriate
communicationsactionsidentified?
zzAreprojectcommunicationsclearandrelevanttotheirtarget
audience?
zzArecommunicationsconsistent,timelyandlikelytobuildtrustand
deliverresults?
zzDocommunicationsincludeeffectivefeedbackloops?Arethereclear
waysforaconcernedstakeholdertoringanalarmbelliftheproject
appearstobegoingofftrack?
zzIseffectivecommunicationbeingusedtodriveprojectdecisionmaking
andnotsimplyasapublicrelationsexercise?
zzIsthereacommunicationslogdetailingallformalcommunications
sentbyoronbehalfoftheproject?
zzAreprojectcommunicationsbeingusedeffectivelyandachieving
desirableoutcomes?

Governance
element
(0–10)
DELIVER
Governance
structures
zzHastheprojectestablishedeffectivegovernancestructureswitha
competentandrepresentativeProjectBoardandUserGroup?
zzDotheindividualsinvolvedinprojectgovernanceunderstandtheir
responsibilitiesandaretheyappropriatelyskilledandsupportedto
dischargethese?
zzHaveappropriateindividualsbeenidentifiedtoactasSeniorUsers
andaretheyeffectivelyrepresentingtheinterestsofthewideruser
community?HasaUserGroupbeenestablished?
zzHaveappropriateindividualsbeenidentifiedtoactasSeniorSuppliers
andaretheyeffectivelyrepresentingtheinterestsofthegroupswho
aredeliveringtheproject?
zzDoestheProjectBoardmeetregularly,atleastevery6–8weeks,to
reviewprojectprogress?
zzAretheregularprogressreportsandinformationpreparedforthe
ProjectBoardandUserGroupsclear,consistent,timelyandrelevant?
ArethereoftensurprisesatProjectBoardorUserGroupmeetings?
zzArethereeffectivelinksbetweentheProjectBoardandUserGroup
withsharingofpapersandreportingofupdates,issuesandconcerns?
zzIsparticipationandattendanceatProjectBoardsandUserGroups
beingmonitoredandactiontakenwhenrequiredtomaintaineffective
governance?

Governance
element
(0–10)
DELIVER
Project
managementand
planning
zzIsthereaProjectManagerwithdaytodayresponsibilityforrunning
theproject?DoestheProjectManagerhavetheskills,experience,
capacityandmotivationrequiredtosuccessfullydelivertheproject?
zzIstheProjectBoardprovidingeffectivesupportfortheProject
Manager?
zzHastheprojectvisionandbusinesscasebeentranslatedintoan
unambiguousprojectbriefwithclearandagreedsuccesscriteria?
zzHaveappropriatebudgets,timescales,tolerancesandcontingency
beenagreed?
zzHastheProjectManagerestablishedandmaintainedanappropriately
detailedandcredibleprojectplanidentifyingtasks,responsibilities,
resources,deliverables,deadlinesandmilestones?
zzDoestheprojectplanincludechangemanagementtasks(peopleand
processes)aswellastechnicalactivities?
zzHastheProjectManagerestablishedandmaintainedeffectiverisk,
issueandchangemanagementprocesses?
zzIsthereeffectivemanagementoffinancialandpeopleresources?
zzDoreportingformats,contentsandfrequencyofprogressupdates
reflecttheneedsoftheProjectBoard,UserGroupandotherkey
stakeholders?ArethereoftensurprisesatProjectBoardorUserGroup
meetings?
zzArethereagreedcriteriaforclosureoftheprojectandre-deployment
oftheprojectteam?

Governance
element
(0–10)
DELIVER
Risk
managementand
assurance
zzDoreportingprocessesandperformancemeasuresenabletheProject
Boardtomonitorprogressanddealeffectivelywithrisksandissues?
Areappropriateactionstakenwhenissuesorrisksarise?
zzArethereeffectivefinancialcontrolandreportingprocesseswith
appropriateestimationandcontrolofprojectcontingencies?
zzHaveadequateresourcesbeendevotedtoprojectassuranceandare
theseassuranceprocesseseffective?
zzDoestheprojectuseexternalreviewstoprovideadditionalassurance
onriskmanagementandprojectprogress?
zzAreProjectBoardmembers,riskownersandotherkeystakeholders
engagedwithriskmanagementanddotheyacceptthetimeand
resourceimplicationsofrequiredmitigationandcontingencyactions?
zzIseffectiveriskmanagementfullyembeddedintheproject
managementprocess?
zzArethekeyprojectrisksidentifiedandareriskimpactsclearlydefined
inbusinesstermsthatareunderstandabletostakeholders?
zzIstherisklogbeingproactivelymaintainedandregularlyreviewedby
theProjectManager,ProjectExecutiveandriskowners?
zzArethereclearlydefinedcriteriafortheescalationofrisksandissuesto
theProjectBoard?
zzArethemostsignificantrisks,andrecommendedactions,regularly
reviewedatProjectBoardmeetings?
zzIseffectiveriskmanagementbeingusedtoinformprojectdecision
making?

Governance
element
(0–10)
DELIVER
Implementation
zzIsthereanappropriatelydetailedimplementationplanthathasbeen
agreedbyallparties?
zzDoestheimplementationplaninclude:
{{Changemanagementtasksaswellastechnicalactivities?
{{Trainingforuserswhosewaysofworkingarebeingchanged?
{{Completionofrequireduserandtechnicaldocumentation?
{{Appropriateusersupportactivities?
{{Adequateresourcesfortheresolutionofissuesthatbecome
apparentpostgolive?
zzAretherecleartechnicalandbusinessacceptancecriteriaforthe
implementation?Willthesebetestedandtheoutcomessignedoffas
partoffinalpre-implementationtesting?
zzHaveoptionstoimplementlargescalechangesusingaphased
approachbeenproperlyassessed?
zzArethereappropriatecontingencyarrangementssothatthe
implementationcanbedelayedorabandonedifthesolutionisnot
readyontime?
zzCantheimplementationberolledbackifthenewsolutionisnot
workingorthereareseriousunforeseenimpactspostgolive?
zzIsthereaprocessfordocumentingandcommunicatinganyfeatures
thatwillnotbedeliveredbytheimplementation?

Governance
element
(0–10)
EMBED
Measurement
zzHastheprojectestablishedandpublishedbaselinemeasuresofwhat
tookplacebeforetheprojectstarted?
zzDoestheprojectregularlyreportonappropriatemeasurementsto
identifyimprovementsmadeagainstthebaselineandtoactasa
startingpointforfurtherimprovements?
zzHaveappropriateperformancemeasuresbeendefinedforthesolution
deliveredbytheproject?
Governance
element
(0–10)
EMBED
Businessasusual
zzHasthebusinessasusualservicebeendefinedincluding:
{{Normalserviceandsupporthours?
{{Serviceavailability(andhowmeasured)?
{{Servicecapacityandperformancemeasures?
{{Howplanneddowntimewillbeagreedandcommunicated?
{{Organisationalstructures,resourcesandskillrequirements?
{{Supportmechanismsandescalationroutes?
{{Fundingrequirements?
zzAreimpactsonthebusinessasusualserviceactivelyconsideredaspart
ofprojectdecisionmaking?
zzIsthereaclearplanfortransitiontotheliveservice?
zzIsitclearwhouserswillcontactintheeventofincidentsorqueriesand
howsupportperformancewillbemeasured?
zzArebackupandrecoveryarrangementsdefinedandinplace,including
maximumpermissibledataloss,recoverytimesandbackupretention
periods?
zzArebusinesscontinuityarrangementsdefinedandinplacetoenable
thebusinesstocopeeffectivelyduringarecoveryperiodand/orinthe
eventthatrecoveryarrangementshitproblemsinpractice?
zzArebusinessasusualservicerequirementsreflectedincontractual
arrangementswiththirdpartiesinvolvedindeliveringtheservice?
zzIsthereanagreedchangecontrolprocessforfutureservice
enhancements?

Governance
element
(0–10)
EMBED
Benefits
realisation
andongoing
improvement
zzIsacredibleassessmentofthebenefitstobedeliveredbytheproject
andaplanforreviewingthatthebenefitshavebeenrealisedincluded
inthebusinesscase?
zzArebenefitsmeasurableandclearlyalignedwithoverallbusiness
objectives?
zzArebenefitsbeingregularlyreviewedandupdatedastheproject
progresses?
zzDoestheprojectplanincludeactivitieswhichenablebenefitsto
befullyrealised(e.g.trainingandeducationforusers,definitionof
newrolesandresponsibilities,collectionofperformancedataand
decommissioningoflegacysystems)?
zzHaveresponsibilitiesandownershipforpostprojectbenefitrealisation
beenassignedtoappropriateprojectstakeholders?
zzHavereviewstotrackandreportonbenefitsrealisationbeenscheduled
foradefinedtimeperiodfollowingprojectdelivery?
zzArethereclearprocessesandresponsibilitiesdefinedforongoing
improvementofthesolutiondeliveredbytheproject?
EMBED
Learning
zzArelessonslearnedfromprevioussimilarprojectsattheinstitution
orelsewherebeingusedpositivelytoimproveprojectgovernanceand
outcomes?
zzArethereeffectiveprocessesforlearningandadaptingtheproject
approachbasedonexperienceastheprojectprogresses?
zzIsthereaplantoconductpostprojectreviewstoidentifylearningfrom
theprojectandhowanyoutstandingissuesemergingfromtheproject
willbehandled?

Appendix 5 – Case study: shared academic
timetabling
The Shared Academic Timetabling Project was initiated by the University of Edinburgh in December 2009. This was
a complex multi-year project requiring business process and cultural change underpinned by implementation of an
effective software solution.
The Project was delivered over four phases:
„„ Phase 1 – Options appraisal/Business Case (December 2009 – October 2010)
„„ Phase 2 – Detailed requirements and procurement (December 2010 – October 2011)
„„ Phase 3 – Minimum change implementation (November 2011 – July 2012)
„„ Phase 4 – Extended implementation (August 2012 – July 2014)
The Project Executive for Phase 1, 2 and 3 was the Vice Principal for Resources. The Project Executive for Phase 4 is the
Vice Principal for Learning and Teaching. Project Management was provided by Information Services through Mark
Ritchie and Jamie Thin.
The Project used the Major Projects Governance Assessment Toolkit during Phase 2 to establish a baseline measure of
the project status and identify any actions required. Further reviews were carried out during Phase 3 and Phase 4. The
Project was the subject of an independent Project Review in June 2011 and an Internal Audit Review in February 2012.
Conclusions
From these reviews and experience using the Major Projects Governance Assessment Toolkit the Project Board offered
the following findings and recommendations:
„„ Use of the Toolkit adds significant value to the governance process. The approach gives assurance for Project
Boards and stakeholders of what is going well and where action may be required. The comparison of results
between different project phases provides a clear indication of the direction of travel in terms of overall project
governance. This addresses a long term concern that Project Boards have often found it difficult to judge over
time whether there are issues or not
„„ Best practice project management techniques as advocated by the Toolkit, in particular, the establishing of an
effective and representative Project Board backed up by wider stakeholder engagement, should be mandatory
for all major information technology projects. It is further recommended that the Major Projects Governance
Assessment Toolkit should be used for all Major Projects and not just those involving significant use of
information technology
„„ Independent external review and assurance, either via external representation on the Project Board and/or
formal review by external experts, is highly desirable for major change projects
„„ To ensure greatest value is obtained from the Toolkit it is essential that:
zz Project Board and User Group members are given appropriate training and support in the use of the Toolkit
zz Governance assessment reviews are scheduled in advance as part of project planning
zz Outcomes of governance assessment reviews are published and shared widely with key project
stakeholders
zz Outcomes of governance assessment reviews are used to direct and prioritise governance actions
„„ The Major Projects Governance Assessment Toolkit should be adopted and maintained by Information Services
in line with experience using the Toolkit and related governance techniques on Major University Projects. All
significant changes to the Toolkit must be formally approved by the Knowledge Strategy Committee
The success of project governance for the Shared Academic Timetabling Project is illustrated by the following
composite radar diagram showing how perceptions of project governance changed between January 2011 and
February 2012. In comparison with many projects, which quickly fall into a trough of disillusionment due to poor
governance, the project rose in every key measure identified by the Major Project Governance Assessment Toolkit.

Project governance assessment – shared academic timetabling
The Major Projects Governance Assessment Toolkit was approved by the Knowledge Strategy Committee for use on all
Major Information Technology Projects from August 2012.
A version of the Major Projects status assessment scorecard has also been made available as an online survey using
the Bristol Online Survey. A demonstrator version of the online survey is available at:
https://www.survey.ed.ac.uk/majorprojgov
0
10
8
6
4
2
Vision
Learning
Measurement
Implementation
Project Management
Risk and assurance
Governance
Communication
Team building
Sponsorship buy-in
Business CaseBenefits and ongoing
improvement
Jan 11
Feb 12

Appendix 6 – Case study: research management
Background
At the Project Board Meeting in January 2013 it was agreed that the Research Management and Administration
System (RMAS) would use the Major Project Governance Assessment Toolkit. Due to the scheduling of activities
around the RMAS procurement it was agreed that the first governance assessment would take place during the tender
evaluation phase in July 2013. It was also agreed that the first governance assessment would be completed before the
award of contract to the successful supplier.
All members of the RMAS Project Board, User Group and Core Team were invited to complete the governance
assessment in July 2013. The participants were provided with a set of resources to assist with the assessment of each
governance element. The assessments were completed and returned between July and September 2013. This case
study summarises the findings of this assessment.
Participation
Unfortunately, the value of the governance assessment was reduced by the relatively low number of completed
assessments from User Group and Project Board members. There were thirteen returns in total and the response rates
were: Project Team 69%, Project Board 47% and User Group 30%.
Whilst accepting that this was a new process which required significant engagement from each participant the
Project Executive requested that action be taken to identify any issues that may have affected the response rates from
the Project Board and User Group. This resulted in a further round of communication with Project Board and User
Group members and an agreement to use the online survey version of the assessment tool for future reviews.
Scores by element
Vision
Learning
Measurement
Implementation
Project Management
Risk and assurance
Governance
Communication
Team building
Sponsorship buy-in
Business CaseBenefits and ongoing
improvement
0
10
8
6
4
2
Jul 13
Project Governance Assessment – research assessment
Unscored elements
The majority of respondents believed that work had not yet started on Learning, Measurement and Ongoing
Improvement. This indicated a need for action particularly on establishing baseline measures and wider
understanding of project benefits.

Vision for change
This element received an average score of 6.4, with scores ranging between 5 and 8, the mode being 7. The overall
view was that the vision for change was understood and accepted by key stakeholders. Responses did, however,
indicate that there was a requirement to provide an updated narrative on the project vision which can be shared with
the wider university community.
Business Case and alignment
This element received an average score of 7.5, with scores ranging between 6 and 10, the mode being 7. This was the
highest scoring element. The business case was considered to be of good quality but needed to be kept under review
as the project moved forward.
Sponsorship and stakeholder buy-in
This element received an average score of 5.7, with scores ranging between 4 and 8, the mode being 5.
Respondents indicated that, although the appropriate stakeholders had been identified, the visibility of senior
stakeholder engagement needed to be increased. Responses also indicated that more work was needed to engage
Research Principal Investigators in the project.
Team building
The team was generally judged as working well together with respondents noting good input from the delivery
partners in Finance, Research and Information Services. The requirement to extend the reach of the team into the
wider community was noted.
Several responses related concerns about the overall resourcing of the team, particularly during the period where
many staff would also be working on the Research Excellence Framework (REF) return. It was recommended that the
delivery timescales and resourcing be reviewed to ensure that the project can continue to progress effectively.
Communication
This element received an average score of 5.5, with scores ranging between 4 and 8, the mode being 6. This was the
lowest scoring element. Assessors believed there was good communication within the project team and the Project
Board. Communication with the User Group was considered inferior to that between the Project Board and Project
Team. The Project wiki was noted as an effective resource.
Almost every respondent identified that there had to be an improved communications strategy for the
implementation phase of the Project. It was also suggested that a sub-team with the responsibility for
communications should be established to coordinate effective communications with the wider community of
stakeholders.
It was felt that the correct governance structures had been established but that these did not necessarily have the
right people involved. There were concerns that the Schools and Colleges were not adequately represented and that
there was a lack of academic leadership on the Project Board. It was felt that the membership of both the Project
Board and User Group must be reviewed before starting the implementation project.
Risk management and assurance
This element received an average score of 7, with scores ranging between 5 and 8. Assessors felt that appropriate
risk management processes were in place but that they were not being used consistently to inform project decision
making. It was felt that risk owners may not fully understand their responsibilities and that, as a result, important risk
mitigation actions may be neglected. It was agreed that the end to end risk management processes must be reviewed
to ensure better engagement from risk owners and to increase visibility of risks to the Project Board.

Project management and planning
This element received an average score of 7.2, with scores ranging between 5 and 9.The overall quality of the project
management was valued but some concerns were noted that the project manager and business staff may not be
resourced to the level needed due to their other competing workloads. Senior Supplier support for the project team
was valued.
The Procurement phase was considered to have been well structured but guidance on what was required had often
been provided at too short notice. It was stressed that this needed to be addressed for implementation phase.
Implementation (including business as usual)
Scores against the Implementation element were low with some assessors believing that this work also had not yet
started. This was considered to be a crucial omission and the Project Manager was requested to further develop the
implementation plan before completing the procurement phase of the project.
Conclusions
Using the Major Project Governance Assessment Toolkit delivered significant value to the project and highlighted
a number of high priority actions. The number of responses received, as well as their content, provided valuable
information and feedback covering perceptions, immediate priorities and longer term objectives. This structured
engagement with key stakeholders undoubtedly identified concerns that may not have been revealed until much later
in the project when the remedial costs would be much higher.
The Project Executive recognised the value of the assessment and identified a number of priority actions for the
project team, Project Board and User Group. These are now being progressed. The next governance assessment has
been scheduled for the beginning of the implementation project in March 2014.

Acknowledgements
Mark Ritchie, the Deputy Director of IS Applications and Head of Project Services at the University of Edinburgh, is the
lead author for this document. The Governance Assessment Toolkit was originally developed by Nigel Paul and Jeff
Haywood, from the University of Edinburgh, with specialist input from a project and management consultant. The
Toolkit has been extended and enhanced by Information Services through its use on Major Information Technology
Projects at the University of Edinburgh over the last five years.
The Toolkit has been greatly improved by the input of colleagues at the University of Edinburgh and the UCISA Project
and Change Management Group. The author would like to acknowledge and thank the following individuals for their
contribution:
Lynne Berrie Head of Project Management Office and Enterprise Architecture, University of Lincoln
William Harrod Director, Valuta
Jeff Haywood Vice Principal Knowledge Management, Chief Information Officer and Librarian, University
of Edinburgh
Simon Marsden Deputy Vice Principal and Director of Information Services Applications Division, University
of Edinburgh
Susan McKeown Programme and Project Manager, University of Edinburgh
Nigel Paul Vice Principal and Director of Corporate Services, University of Edinburgh
Bob Ruxton Internal Audit, University of Edinburgh
Jamie Thin Team and Portfolio Manager, University of Edinburgh
Pauline Woods-Wilson Head of Project Management and Planning, Lancaster University

References
University of Edinburgh Projects website – www.projects.ed.ac.uk
University of Edinburgh Information Services – www.ed.ac.uk/schools-departments/information-services
University of Lancaster Information Services – www.lancaster.ac.uk/iss/
University of Lincoln – www.lincoln.ac.uk/home/
UCISA Project and Change Management Group – www.ucisa.ac.uk/groups/pcmg.aspx
Online Survey Demonstrator Version of the Major Project Status Assessment Scorecard –
www.survey.ed.ac.uk/majorprojgov
PRINCE 2 – www.prince-officialsite.com
Managing Successful Programmes – www.msp-officialsite.com
Management of Risk – www.mor-officialsite.com
Managing Successful Programmes – www.msp-officialsite.com
Scottish Government Guidance on Programme and Project Delivery –
www.scotland.gov.uk/Topics/Government/ProgrammeProjectDelivery
HEFCE/JISC Research Management and Administration Systems Project – www.rmas.ac.uk

UCISA Major Projects Governance Assessment Toolkit

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