PROJECT GOVERNANCE FRAMEWORK

CAPITAL WORKS PROJECTS

AUTHOR: STEPHEN WILLIS, CHIEF OPERATING OFFICER

DATE: OCTOBER 2016
ACKNOWLEDGEMENTS
Document Control

Document ID: G:\1 PROJECT MGMT\2 PM TOOLKIT\1 FRAMEWORKS\1 GOVERNANCE\1 CURRENT\PROJECT GOVERNANCE
FRAMEWORK V1.0 CURRENT (APPROVED NOV 2016).DOCX
Version Date Revision Details Author Endorsed Approved
no

0.1 13th Nov. 2015 Draft for Peer Review S.Willis

0.2 13th Jan 2015 Peer Review Feedback Edits – all sections S.Willis

0.3 16th June 2016 Updated to reflect revised Council Sub-Committee S.Willis
Terms of Reference

0.4 12th July 2016 Updated reporting requirements to VCAG and CDC S.Willis

0.5.1 2nd August 2016 Inclusion of Executive Summary S.Willis VCAG 8/8/16

0.5.2 25th October Inclusion of student engagement requirements and S.Willis

2016 amended figures.

1.0 8th Nov. 2016 Figure 18.2 updated to reflect requirement to escalate S.Willis CDC Council
safety issues to Council, directly from the Ethics & 27/10/16 8/11/16
Safety Compliance Committee

This document has been developed in consultation with the following:

Consultation & Review

University Council
Capital Development Committee
Vice-Chancellors Advisory Group
Risk and Audit Committee
University Council Member Stuart McLauchlan
Chief Financial Officer Sharon van Turnhout
Director Property Services Barry MacKay
Registrar Jan Flood
Director Information Technology Services Mike Harte
Manager – Strategy & Planning Unit, Property Services Division Maurice Roers
Capital Projects Unit Christian German
Phil Chatfield
Wes Jenkins
Jamie Cargill
Manager – Construction Health & Safety Victoria Donohue
OUSA President (2016) Laura Harris

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ACKNOWLEDGEMENTS

ACKNOWLEDGEMENTS

The Capital Projects Unit acknowledge those who contributed to the thinking, development and implementation of this
framework.

In particular, those who have created and implemented the existing governance bodies, processes and tools at the University
of Otago. These have created the foundation and context for this framework.

Further, the following resource documents and bodies of knowledge have been heavily relied on for development of this
framework:

• ‘A Guide to the Project Management Body of Knowledge (PMBOK Guide)’ – Project Management Institute;
• ‘Guide to Governance of Project Management’ - International Project Management Association;
• ‘Project Governance Guide - Victorian Government’s Department of Treasury and Finance;
• ‘Guidance on Project Management’ - International Standard ISO21500
• ‘Project, Programme and portfolio management – guidance on portfolio management’ - International Standard
ISO21504;
• ‘Guide to Project Steering Committees’ - Law and Justice Foundation of NSW;
• Tasmanian Government’s Project Management Framework.

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TABLE OF CONTENTS

Contents

Acknowledgements _________________________________________________________________________ 2
1. Executive summary ___________________________________________________________________ i
PART A: GOVERNANCE OF CAPITAL PROJECTS AT THE UNIVERSITY OF OTAGO _______1
1. Introduction ________________________________________________________________________ 2
1.1 Purpose _________________________________________________________________________ 2
1.2 Scope ___________________________________________________________________________ 2
1.3 Audit and Compliance ______________________________________________________________ 3
2. Context for Governance of Projects at Otago ______________________________________________ 3
2.1 University Vision __________________________________________________________________ 3
2.2 University Mission _________________________________________________________________ 3
3. Guiding Documents __________________________________________________________________ 3
4. Organisational (university) governance __________________________________________________ 4
4.1 Roles & Responsibilities ____________________________________________________________ 4
The Finance and Budget Committee reports to the University Council. The Terms of Reference are as follows: 8
Constitution _______________________________________________________________________________ 8
The Ethics and Safety Compliance Committee reports to the University Council. The Terms of Reference are as
follows: 8
Sub-committees ___________________________________________________________________________ 9
5. Organisational Management __________________________________________________________ 10
5.1 Roles & Responsibilities ___________________________________________________________ 10
PART B: GOVERNANCE OF A CAPITAL WORKS PROJECT ____________________________13
6. Project Governance _________________________________________________________________ 14
6.1 Context _________________________________________________________________________ 14
6.2 Project Governance Failure _________________________________________________________ 15
7. Principles of Governance at a Project Level ______________________________________________ 16
8. committee Roles and Responsibilities ___________________________________________________ 17
9. Governance committee Structures _____________________________________________________ 24
10. Project Role Definitions ______________________________________________________________ 26
11. Project Organisational Structures ______________________________________________________ 31
12. Project Size ________________________________________________________________________ 33
13. Project Governance Processes ________________________________________________________ 34
13.1 Reporting _______________________________________________________________________ 34
14. Strategic Intervention including Termination _____________________________________________ 39
15. project management systems _________________________________________________________ 39
PART C: GOVERNANCE OF THE CAPITAL PROJECTS PORTFOLIO ________________41
16. Portfolio Governance ________________________________________________________________ 42
16.1 Principles of Governance at Project Portfolio Level ______________________________________ 42
17. Portfolio Governance structure ________________________________________________________ 43

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TABLE OF CONTENTS
18. Governance processes _______________________________________________________________ 44
18.1 Establishment of Project Governance_________________________________________________ 44
18.2 Reporting _______________________________________________________________________ 44
PART D: GLOSSARY OF TERMS _______________________________________________________54
Glossary of Terms _________________________________________________________________________ 55
PART E: APPENDICES _______________________________________________________________58
Appendix A – Checklist for establishing project governance _________________________________59
Appendix B – Project Steering Committee Terms of Reference ______________________________61
Appendix C – 6 Key Questions for every governance committee to ask. _______________________66
Appendix D – Standard Project Steering Committee Agenda ________________________________68
Appendix E – Information Sheet for Project Steering Committee Members ____________________70
Appendix F – Project Sponsors checklist for establishing a Project Steering Committee.___________74
Appendix G –Project Steering Committee health check ____________________________________76
Appendix H – Project Control Group Terms of Reference ___________________________________78
Appendix I – Project Control Group Agenda _____________________________________________82
Appendix J – Executive Planning Team Terms of Reference _________________________________84
Appendix K – Executive Planning Team Agenda __________________________________________88
Appendix L – EPT Subgroup Report ____________________________________________________91
Appendix M – User Planning Team Terms of Reference ____________________________________93
Appendix N – Information Sheet for User Planning Teams __________________________________97
Appendix O – Terms of Reference for consultant (external Project Manager) __________________100
Appendix P – Project Steering Committee report template ________________________________113
Appendix Q – Student Associations ___________________________________________________130

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EXECUTIVE SUMMARY

1. EXECUTIVE SUMMARY
This framework document is intended to complement a number of other frameworks that will make up a Project
Management System. These framework documents are intended to provide project participants (internal &
external) at all levels with guidance, processes, tools and templates across a range of project management
knowledge areas within the context of the University of Otago.

Project Project Risk Project Cost

Project
Governance Management Management
Communications
Framework Framework Framework

Benefits & Quality Project Project Scope

Management Procurement Management
Framework Framework Framework

This framework is focused on the knowledge area of project governance, which is the area of corporate governance
(how an organisation is directed and controlled) specifically related to project activities. The purpose of the
framework is to provide guidance, standardisation, common language, structures, processes, tools and templates
that are intended to enhance the effective governance of projects in order to better achieve good project
outcomes. An underlying tenet of this document, however, is that a good governance framework and structure
does not guarantee good outcomes, but no framework or a bad structure will diminish the likelihood of project
success!

The scope of this guideline is limited to the governance of major capital works projects managed by the Capital
Projects Unit of the Property Services Division. It is not intended to provide guidance on University Operational
Governance nor Project Management, rather it is aimed at providing the link between the two.

The framework puts a strong emphasis on (i) governance structures and (ii) clarity of roles and responsibilities of
governance committees and individual roles. This is intentional, given that case studies of project governance
failure in major capital works type projects have indicated these are common points of trouble.

Part A ‘Governance of Projects at the University of Otago’ is intended primarily to establish the context for
governance at the University and provide project participants (internal and external) with an overview of the
governance committees and sub-committees as well as the operational management committees and individual
management roles that are likely to feature in the life of a project at the University.

Given this intent, Part A provides an outline of the roles, responsibilities and membership of the following
governance committees:

• University Council;
• Capital Development Committee;
• Audit and Risk Committee;
• Finance and Budget Committee;
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EXECUTIVE SUMMARY
• Health & Safety and Ethics Compliance Committee;
• Health and Safety Committee;

Part A, concludes with an outline of the roles and responsibilities of the following operational management roles,
committees and Departments.

• Vice-Chancellor;
• Vice-Chancellors Advisory Group (VCAG);
• Chief Operating Officer (COO);
• Chief Financial Officer (CFO);
• Director Property Services;
• Property Services Division;
• Manager, Capital Project Unit;
• Capital Project Unit;
• Strategy and Planning Unit.

Part B ‘Governance of a Capital Works Project’ is intended to provide project participants with guidance,
standardisation, clarity of roles and responsibilities, processes, structures, tools and templates required to assist
with governance of an individual project.

Given this intent, Part B provides a standardised approach and clarity on the roles and responsibilities of project
governance committees and positions that should be established temporarily for the purpose of delivering an
individual project. Roles and responsibilities are provided for the following project governance committees and
positions:

• Project Steering Committee (PSC);

• Project Control Group (PCG);
• Executive Planning Team (EPT);
• User Planning Teams;
• Reference Groups;
• Project Sponsor;
• Project Owner;
• Project Steering Committee Chair;
• Project Director;
• Project Manager;
• Project Team;
• Project Officer;
• Project Procurement Officer;
• Building Services Engineer;
• Organisational Delivery Project Manager (Project Champion);
• Manager-Construction Health and Safety.

Further, in order to provide assistance and consistency, a range of tools and templates such as Terms of Reference
(TOR’s), checklists, agendas and information sheets are provided in the appendices for each of the above
committees.

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EXECUTIVE SUMMARY
Part B, also provides a standard project governance structure to be adopted on all major capital projects
undertaken. This structure is to be initiated early in the project life-cycle and pre delivery phase. In addition to
the standard structures, roles and responsibilities as outlined above, Part B provides guidance on project size
scaling and importantly the reporting and escalation mechanisms within the project and between the project and
the Universities operational management and governance structure.

Part B, is largely summarised in the figure below.

• Member of VCAG
• Refer 10.1

• Refer 18.2.2 for further detail on report &

escalation mechanism

• Refer 8.3 for TOR and Membership

• Refer Tools in Appendix A, B,C,D,E,F & G

• University Rep from Capital Project Unit.

• Refer 10.4 for role description

• Either Internal or External Resource

• Refer 10.5 for role description

• University Rep from Project Owners Division

• Refer 10.10 for role description

• Refer Appendix O for Template

• Refer 8.4 for TOR and Membership

• Refer Tools in Appendix H & I

• Refer 8.5 for TOR and Membership

• Refer Tools in Appendix J, K, L

• Refer Appendix L for Template

Part C ‘Governance of the Portfolio’ recognises that the University is usually undertaking a portfolio of projects at
any one time and as such is intended to provide University internal project participants with guidance,
standardisation, clarity of roles and responsibilities, processes, structures, tools and templates required to assist
with governance and management of the portfolio.
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EXECUTIVE SUMMARY
Given this intent, Part C provides principles of governance at a portfolio level and illustrates the portfolio
governance structure that exists. More importantly tools and a mechanism for providing assurance of project
governance are provided for benefit of the Capital Development Committee and Council. In addition to the
structure, the reporting tool and escalation mechanism is outlined as summarised in figure below.

• Refer 4.1.1 for TOR and Membership

• Refer 4.1.3 for TOR and Membership

• Refer 4.1.2 for TOR and Membership

• Refer 5.1.3 for TOR and Membership

• Refer 18.2.2 for detail

• Refer 18.2.1 for detail

• Refer 18.2.3 for detail

• Refer 18.2.5, Appendices A, F & G for detail

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PART A: GOVERNANCE AT OTAGO

PART A:
GOVERNANCE AT THE
UNIVERSITY OF OTAGO

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PART A: GOVERNANCE AT OTAGO

1. INTRODUCTION
A good governance framework and structure does not guarantee good outcomes, but no framework or a bad
structure will diminish the likelihood of project success!

1.1 Purpose
Project governance is the area of corporate governance (how organisation is directed and controlled) specifically
related to project activities. The effective governance of project management ensures that the organisations
project portfolio remains aligned to the organisation’s objectives, and is delivered efficiently and effectively in a
sustainable manner.

Reviews and case studies of major capital works and infrastructure projects group the major causes of project
governance issues in major capital infrastructure projects into two categories:

• Inadequate project governance structure; and

• Unclear or poorly defined roles, responsibilities and accountabilities

As such the purpose of this guideline is to provide coherence between corporate governance and project
management processes and more specifically;

• Provide context for organisational, portfolio and project governance at the University of Otago (Part A);
• Outline the project governance structures at an individual project level (Part B);
• Outline the governance structures at a project portfolio level (Part C);
• Outline the roles and responsibilities associated with governance and management of individual projects
(Part B);
• Outline the roles and responsibilities associated with governance and management of project portfolio
level (Part C);
• Outline the governance processes at an individual project level (Part B);
• Outline the governance processes at a project portfolio level (Part C).

1.2 Scope
The scope of this guideline is limited to the governance of major capital works projects managed by the Capital
Projects Unit of the Property Services Division. This framework is intended to complement the Project Management
Framework [to be developed]. As such this framework does not seek to:

• Duplicate, replace or provide guidance on non-project areas of business or existing guidance and
standards or corporate governance; or
• Provide guidance on project management methods other than those relating to project and portfolio
governance.

The figure below provides context of project governance within the University and the scope of this framework.

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PART A: GOVERNANCE AT OTAGO

Figure 1.2.1 : Project Governance and Scope of this document in context.

1.3 Audit and Compliance

Project Sponsors, Project Managers and members of Project Steering Committees hold primary responsibility for
compliance to this framework. The general principle is for staff involved with projects to be self-auditors. However,
certain projects may be subject to internal or external audits as part of the University audit process.

2. CONTEXT FOR GOVERNANCE OF PROJECTS AT OTAGO

2.1 University Vision
A research-led University with an international reputation for excellence.

2.2 University Mission

The University of Otago will create, advance, preserve, promote and apply knowledge, critical thinking and
intellectual independence to enhance the understanding, development and well-being of individuals, society and
the environment. It will achieve these goals by building on foundations of broad research and teaching capabilities,
unique campus learning environments, its nationwide presence and mana, and international links.

At the University of Otago, there are two key levels of governance that influence the governance of projects. These
being: (i) organisational (corporate) governance and (ii) operational management / governance.

3. GUIDING DOCUMENTS
The University adopts the following key Guiding Documents that relate to capital developments:

• Strategic Direction to 2020;

• Investment Plan
• Campus Master Plan

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4. ORGANISATIONAL (UNIVERSITY) GOVERNANCE

Figure 4.1: Contextual relationship of Organisational Governance

Generally speaking organisational or corporate governance is the “ongoing activity of maintaining a sound system
of internal control by which the directors and officers of an organisation ensure that effective management
systems, including financial monitoring and control systems, have been put in place to protect assets, earning
capacity and the reputation of the organisation (TSO, 2009).

At the University of Otago the role of organisational governance is fulfilled by the University Council.

4.1 Roles & Responsibilities

Please note, that at time of document approval the following information was accurate. If for any reason,
accuracy is critical to project processes or decision making, the reader should refer to the University Website:
http://www.otago.ac.nz/ for any changes.

4.1.1 University Council

The University Council is the governing body of the University of Otago. The Council is constituted and empowered
according to legislation.

The University Council is chaired by the Chancellor, and comprises elected, appointed and co-opted members
representing key stakeholders including students and staff.

The functions, duties and powers of the Council are prescribed in the Education Act 1989, sections 180,181 and
193. These include:

• To appoint a Chief Executive (Vice-Chancellor);

• To prepare and submit a proposed plan and to ensure that the institution is managed in accordance with
that plan;
• To determine the policies of the institution in relation to the management of its affairs;
• To undertake planning relating to the institution’s long-term strategic direction;

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• To strive to ensure that the University attains the highest standards of excellence in education, training
and research;
• To encourage the greatest possible participation by the communities served by the University so as to
maximise the educational potential of all members of those communities with particular emphasis on
those groups in those communities that are under-represented among the students of the University;
• To ensure that the University operates in a financially responsible manner that ensures the efficient use
of resources and maintains the University’s long-term viability;
• To provide courses of study, admit students and grant awards;
• To prescribe fees payable by students.

Specific committees report directly to Council on matters including financial management and performance, audit
and risk, capital development, ethics and safety compliance.

It also has a Treaty of Waitangi committee with equal membership from Ngai Tahu and the University may from
time to time establish special working parties to examine particular issues.

In addition to the Council Committees, the Senate reports directly to Council, advising it primarily on academic
matters as the Academic Board of the University. Senate is convened by the Vice-Chancellor and its membership is
drawn mainly from the heads of academic departments, but it also includes other senior academics and
representatives of other teaching staff and students.

It is, in turn, advised by a number of committees and boards

Figure 4.1.1 below outlines the University of Otago Councils Committee Structure.

Figure 4.1.1: Committees of Council

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4.1.2 Audit and Risk Committee
The Audit and Risk Committee is a Committee of the University Council. Its role is to strengthen the University’s
control environment and management of risks and to assist Council to discharge its leadership and control
responsibilities for financial reporting and risk management.

The primary functions of the Audit and Risk Committee are to promote accountability, support measures to
improve management performance and internal controls, oversee and monitor the internal audit and the risk
functions, oversee the integrity of the University’s financial reporting systems, and ensure effective liaison
between senior management and the University’s external auditors.

The Audit and Risk Committee achieves those primary functions through exercise of the following
responsibilities:

Governance
1. Monitor the functioning and adequacy of the University’s internal control systems and processes;
2. Review policies related to audit and risk management;
3. Monitor compliance with the University’s Fraud Policy and investigations and outcomes relating to the
policy.
4. Assist in promoting a culture of compliance and take an active interest in ethical issues associated with
the University’s business activities.

Internal Audit
1. Review reports of the Head of Internal Audit on activities undertaken by Internal Audit;
2. Oversee and monitor the work of Internal Audit
3. Oversee the appointment of an external firm as a co-sourced provider of internal audit services to the
University;
4. Approve the annual Internal Audit plan and monitor progress against the plan in consultation with the
Vice-Chancellor;
5. Monitor action plans in respect of reviews conducted by the Internal Audit and management’s
responses;
6. Monitor the internal audit arrangements of all controlled entities;
7. Receive reports on special projects or investigations undertaken by Internal Audit and monitor actions
arising out of the reports.

External audit
1. Approve the University’s external audit arrangements;
2. Liaise with the external auditors to consider risks and issues as part of the external audit planning
process;
3. Examine issues raised by the external auditors;
4. Assess the performance of the external audit in the context of statutory obligations;
5. Monitor the external audit arrangements of all controlled entities.

Risk management
1. Approve the University’s Risk Management Framework setting out the University’s expectations and
internal accountabilities for the management of risk, and approve material changes to the Framework;
2. Monitor the adequacy of arrangements in place to ensure that risks are effectively managed across the
University;
3. Receive reports on the status of risks and issues considered to be of high risk to the reputation and
operations of the University;
4. Receive and review the annual report on the University’s consolidated risk profile;
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5. Receive minutes and reports from the University’s Health & Safety and Ethics and Compliance
Committee.

Legal compliance
1. Monitor the effectiveness of the University’s processes for ensuring compliance with relevant laws,
regulations, industry codes and organisational standards
2. Receive reports on the outcome of the annual legal compliance survey
3. Receive reports on legal compliance breaches, the risks of non-compliance and strategies to manage any
breaches and risks effectively;

Litigation
1. Monitor any legal proceedings involving potential or contingent liability for the University.

Annual financial statements

1. Consider the adequacy of the form and content of the published financial statements;
2. Determine whether accounting policies adopted by the University are appropriate.
3. Recommend to Finance and Budget Committee the adoption of the annual financial statements

Constitution
• Two lay members of the University Council, one of whom shall be appointed Convenor by the Council;
• The Convener of the Health and Safety and Ethics Compliance Committee (lay member of Council);
• Two members appointed for their expertise in the area of financial management, audit and risk.

In attendance
• Vice-Chancellor
• Chief Operating Officer
• Chief Financial Officer
• Internal Auditor/Risk Manager
• Registrar & Secretary to Council (Secretary)
• In attendance as required:
• Head, Health and Safety Compliance

4.1.3 Capital Development Committee

The Capital Development Committee (CDC) reports to the University Council. The Terms of Reference for the CDC
are as follows:

1. To advise the Council on the physical design, development and maintenance of the University
including campus landscaping elements;
2. To advise Council on planning issues relating to its campuses;
3. To advise the Council on the capital buildings programme of the University and the acquisition or
disposal of any property;
4. To advise on capital expenditure priorities for capital development including Information Technology
development.
5. To consider and recommend to Council on all capital expenditure proposals over $1.5 million.
6. To receive progress reports on approved projects.

Constitution
• The Vice-Chancellor (Convenor)
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PART A: GOVERNANCE AT OTAGO
• The Chancellor
• 3 members of the Council
• 3 members of the Academic Staff (appointed after consultation with Pro-Vice-Chancellors)
• The Chief Operating Officer
• The Director of Property Services (in attendance)
• The Chief Financial Officer (in attendance)
• The Manager, Property Management Unit (in attendance)
Registrar & Secretary to the Council (Secretary)

4.1.4 Finance and Budget Committee

The Finance and Budget Committee reports to the University Council. The Terms of Reference are as follows:

1. To consider university financial policy, strategy and planning and make recommendations to the
Council;
2. To monitor the financial position and performance of the University and make recommendations
to the Council.
3. To consider the annual budget and budget review and make recommendations to the Council;
4. To consider financial forecasts and make recommendations to the Council.
5. To consider student tuition fees and make recommendations to the Council;
6. To review the monthly financial statements and reports and provide advice to the Council;
7. To review the Annual Accounts and Annual Report and make recommendations to the Council;
8. To consider the financial sustainability of capital development projects in the context of the
University’s annual and projected budgets.

Constitution
• The Chancellor (Convenor)
• The Pro-Chancellor
• The Vice-Chancellor
• Four members of the Council
• The Chief Operating Officer (in attendance)
• Chief Financial Officer (in attendance)
• Registrar and Secretary to the Council (Secretary)
• Convenor - lay member of Council

4.1.5 Health & Safety and Ethics Compliance Committee

The Ethics and Safety Compliance Committee reports to the University Council. The Terms of Reference are as
follows:

1. To review and recommend to the University Council on all matters relating to health and safety and
ethical approvals, including related statutory compliance;
2. To ensure that the University Council is regularly provided information in order that its members:
a) are kept up-to-date with knowledge of work health and safety matters;
b) maintain an understanding of the operations of the University, and generally of the hazards and
risks associated with those operations;
c) can be satisfied that the University has in place, and is using, appropriate resources and
processes:

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i. to eliminate or minimise health and safety risks; and
ii. for complying with its other Health and Safety duties and obligations
d) can be satisfied that the University has appropriate processes in place for receiving and
considering information regarding incidents, hazards, and risks and for responding in a timely
way to that information; and
e) can verify the provision and use of the resources and processes referred to in paragraphs (c)
and (d)

Constitution
• One lay member of the University Council (Convener)
• Two further members of the University Council
• DVC (Research & Enterprise)
• PVC Health Sciences
• PVC Sciences
• Chief Operating Officer
• Director, Property Services (in attendance)
• Head, Health and Safety Compliance (in attendance)
• Registrar & Secretary to the Council (Secretary)

The following will attend when presenting reports:

• Chair, Human Ethics Committees
• Chair, Animal Ethics Committee
• Chair, Institutional Biological Safety Committee
• Chair, Hazardous Substances and Radiation Committee

The Committee receives reports from the following sub-committees:

Sub-committees
• Human Ethics Committee
• Animal Ethics Committee
• Institutional Biological Safety Committee
• Hazardous Substances and Radiation Committee
• Health and Safety Committee

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5. ORGANISATIONAL MANAGEMENT
The boundary between governance and management is not always hard and fast, however organisational
management primarily concerns the day to day operations of the organisation within the context of the
strategies, policies, processes and procedures that have been established by the governing body.

Figure 5.1: Contextual relationship of Organisational Management

5.1 Roles & Responsibilities

Within the scope of this framework, below is an outline of key roles of Individuals, Committees, Divisions and
Departments involved in operational management and governance of capital projects as part of normal business.

5.1.2 Vice-Chancellor (VC)

The Vice-Chancellor is appointed by the University Council and is the chief executive and employer of all other staff.
The Vice-Chancellor is the academic and administrative head of the University.

The University of Otago’s Central Organisational Structure is outlined in figure 5.1.2 below.

Figure 5.1.2: Central Organisation Structure

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5.1.3 Vice-Chancellors Advisory Group (VCAG)
The Vice-Chancellor chairs the Vice-Chancellor's Advisory Group (VCAG) which comprises the Senior Management
Team:

• Vice-Chancellor
• Deputy Vice-Chancellor, Academic;
• Deputy Vice-Chancellor, External Engagement
• Deputy Vice-Chancellor, Research & Enterprise;
• Pro-Vice-Chancellor, Commerce;
• Pro-Vice-Chancellor, Health Sciences;
• Pro-Vice-Chancellor, Humanities;
• Pro-Vice-Chancellor, Sciences;
• Chief Operating Officer;
• Chief Financial Officer;
• Human Resources Director;
• Director of Māori Development;
• Director of Planning and Funding
• Registrar & Secretary to the Council;

The VCAG meets twice monthly to consider strategy, policy, current projects and issues.

5.1.4 Chief Operating Officer (COO)

The Chief Operating Officer (COO) reports directly to the Vice-Chancellor and is a key member of the Senior
Management Team. The COO provides strategic leadership, and planning and management across the University’s
operational functions and capital developments. The COO leads a team of senior managers responsible for
information technology, property services, accommodation, student services, risk management, compliance and
assurance (refer figure 5.1.4 below). Capital Projects of the University are primarily delivered via two of the COO’s
Divisions i.e. Property Services (via the Capital Projects, Strategy and Planning and Operations Units) and
Information Technology Services (ITS).

Figure 5.1.4: Operations Organisational Structure

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5.1.5 Chief Financial Officer (CFO)
Reporting to the Vice-Chancellor, the Chief Financial Officer (CFO) is the senior officer responsible for the Financial
Services Division for the University. This Division includes Financial Accounting, Management Accounting,
Procurement, Systems and Data. With respect to governance and management of projects, the Financial Services
Division team provide assistance and guidance with respect to financial matters associated with budgeting, project
accounting and review of CAWSEPs.

5.1.6 Director Property Services Division

Reporting to the COO, the Director of Property Services is the senior officer responsible for the Property Services
Division for the University.

5.1.7 Property Services Division

Property Services Division is part of the Operations Structure of the University. The Division provides the following
key services;
• Strategy & Planning;
• Capital Projects;
• Property Management;
• Contracting;
• Operations (Facilities Management, Mail Room, Custodial Services).

5.1.8 Manager, Capital Projects Unit (CPU)

Reporting to the Director of Property Services, the Manager of the Capital Project Unit (CPU) is responsible for
managing the delivery of the Priority Development Plan and related projects in a coordinated way to obtain benefits
and control not available from managing them individually, interact with each project manager to provide support
and guidance on individual projects and manages allocation of resources within the CPU.

5.1.9 Capital Projects Unit (CPU)

The Capital Projects Unit (CPU) reports via the Manager CPU to the Director of Property Services Division. The CPU
manages the large capital projects undertaken by Property Services on behalf of the University. These projects
range from new buildings to major refurbishments of existing buildings.

5.1.10 Strategy & Planning Unit (SPU)

The Strategy and Planning Unit (SPU) reports via the Manager SPU to the Director of Property Services Division.
The SPU is responsible for the long-term planning of the University's physical environment, scoping and concept
design of near-term initiatives, and provides in-house design services for renovations and capital projects.

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PART B: GOVERNANCE OF A CAPITAL WORKS PROJECT

PART B:
GOVERNANCE OF A CAPITAL
WORKS PROJECT

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6. PROJECT GOVERNANCE
A key objective of project governance is to make decisions efficiently, effectively and transparently.

Project governance is an important aspect in enabling project success. A project governance framework along
with a project management system sets a firm framework which guides project success, creates transparency and
confidence in decision making, and clarity on roles and responsibility.

Project governance decisions should reflect the strategy and identified benefits that existed when the project was
first approved, funded and resourced.

6.1 Context
Governance is the framework by which the organisation directs and controls its projects. Project governance
includes but is not limited to, those areas of organisational governance that are specifically related to project
activities. Figure 6.1.1 below illustrates the contextual position of project governance in relation to organisational
governance and organisational management.

Figure 6.1.1 Contextual relationship of Project Governance

Project governance should operate across the project life-cycle (figure 6.1.2 below) from proposal through the
range of decision points and milestones through to project closure. The nature of the governance, management
and monitoring structures, committees and membership that exists may change across the various phases and
stages of the projects and between projects, however the management of individual projects and the portfolio
must be characterised by clarity of roles, responsibilities, accountabilities and controls.

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Figure 6.1.2: Project Life-cycle phases.

6.2 Project Governance Failure

Sound governance is not always clearly established resulting in:

• Failure to communicate fully and appropriately on a timely basis;

• Failure to specify or accept decision-making authority and responsibilities;
• Indecision, lack of project direction and control;
• Confusion between the project and organisational decision-making structures;
• Non-alignment of key stakeholders;
• Over emphasis on reporting that reduces meetings to status updates rather than interactive decision-
making;
• Confusing contract management and decision-making; and
• Failure to sustain governance processes and practices through to delivery of benefits to the organisation.

Other factors contributing to governance failure are:

• Excessive or inappropriate committee membership;

• Weak leadership or lack of governance skills,
• Poor project team cohesion or inappropriate probity practices leading to confusion, team turn-over and
low morale;
• Poor previous experience of project governance, which means project managers do not understand the
role. This results in inadequate or inappropriate support for effective project governance (e.g. lack of
transparency, poor communication, withholding of ‘bad news’);
• Imbalance in the focus on immediate project issues at the expense of future operational factors (for
example value engineering decisions removing sustainability measures which reduce project costs but
increase future operational costs);
• Committees can be overly risk-averse, insisting on consensus in decision making, which can:
o Result in delays;
o Compromise outcomes through unnecessary input from peripheral interests;
o Distract from the best value result by reducing the impact of the essential facts; and
o Confuse accountability for the decision.

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7. PRINCIPLES OF GOVERNANCE AT A PROJECT LEVEL

There are perhaps seven main principles for effective project governance at an individual project level. These being:

1. Clarity of roles and responsibilities for committees and individuals (refer section 8)
2. Establishment of single point of accountability;
3. Service Delivery Ownership determines project ownership;
4. Distinguish between project governance and organisational structures;
5. Separation of project decision-making from design and stakeholder management;
6. Project Management Capability and Systems;
7. Disclosure and reporting.

The following other characteristics should be considered to apply or be output of a project governance framework:

• Projects should be managed in a way that allows them to be fluid and move ahead and not hindered by
too much ‘red tape’;
• Project activities and reporting provides visibility and transparency;
• Projects structured and governed in a way that is logical, robust and supports repeatable management
decision-making process and structure;
• Projects are managed and decisions made align to organisational objectives and vision;
• Project governance should be supported by a compelling business case that clearly outlines objectives and
the in and out of scope aspects;
• There are clear roles and responsibilities;
• Structures and processes should support a system of accurate status and progress reporting;
• Central document repositories should exist;
• Current project management plans that spans all project stages should exist;
• A process for management and resolution of issues that arise should exist;
• A process for management and reporting of risks should exist;

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8. COMMITTEE ROLES AND RESPONSIBILITIES
8.1 University of Otago Council
Outlined in section 4.1.1 above.

8.2 Capital Development Committee (CDC)

Outlined in section 4.1.2 above.

8.3 Project Steering Committee (PSC)

A Project Steering Committee must be established at initiation stage for all projects categorised as medium or large.
The Project Steering Committee (PSC) is the key body within the project governance structure which is responsible
for the business issues associated with the project that are essential to the ensuring the delivery of the project
outputs and the attainment of project outcomes. This includes approving budgetary strategy, defining and realising
outcomes, monitoring risk, quality and timelines and resourcing decisions, and assessing requests for changes to
the scope of the project. The PSC helps to steer a project through from start to completion.

Ideally the PSC focus needs encompass a ‘broader than project context’ to include 3 main areas being; (i) value, (ii)
business and (iii) project (refer to figure 8.3.1 below).

To track and monitor any changes to, or impacts on,

Value the project’s potential value – ensuring at all times
that the project is viable and worthwhile.
Three areas
To ensure the business is ready willing and able to
of project
Business absorb and leverage the outcomes of the project and
governance fully realise the benefits and value.
focus
To ensure the project’s costs and time do not diminish
Project the business value and that the project’s outcomes /
outputs enable the business outcomes and benefits.

Figure 8.3.1: Broad context of PSC focus

Role: The role of the PSC is to:

• Be the key strategic decision-making body for the project;

• Proactively monitor, mentor, challenge and support the project manager and team on projects progress;
• Oversee planning, design, construction and commissioning;
• Accept and decide on matters escalated from the Executive Planning Team (EPT) (if one is established);
• Set direction for the project and ensure the project delivers its intended benefits and objectives;
• Provide those directly involved in the project with guidance on project business issues;
• Ensure effort and expenditure are appropriate to stakeholder expectations;
• Ensure potential risks to project success are identified, managed and regularly assessed;
• Address any issue which has major implications for the project;
• Keep the project scope under control as emergent issues force changes to be considered;
• Reconcile differences in opinion and approach and resolve disputes arising from them;
• Monitor issues and risk management;

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• Provide advice and act as a conduit to and from the University Executive Management e.g. VC, COO, CFO
and Committees e.g. VCAG and CDC).

Responsibility: Responsibilities of the PSC collectively is to:

• On establishment, 3 months post implementation and annually thereafter, conduct governance checks
and report in accordance with the governance establishment reporting requirements (refer section 18.1);
• Define and help to achieve the project outcomes;
• Identify and monitor potential risks and their treatment;
• Monitor progress of the project;
• Monitor the project budget and cost management;
• Monitor and control scope change;
• Monitor timelines;
• Monitor the quality of the project as it develops;
• Provide advice and make decisions about changes to the project as it develops;
• Approve all substantive cost and time variations to the overall program of works;
• Provide a decision-making forum with the authority to respond to requests for decision or
recommendations received from Project Director / Project Manager and the Executive Planning Team
(EPT);
• Ensure the interests of the client are adequately protected and represented;
• Receive and endorse monthly project progress reports;
• Ensure that any organisational and/or work practice changes desired as an outcome of the program are
identified and achieved;
• Review and approve any reports, drawings and relevant documentation at the completion of each phase
(seek endorsement from (EPT);
• Ensure adequate communication, consultation and organisational engagement strategies are in place;
• Ensure the PSC Terms of Reference (TOR) and membership remains effective;
• Provide monthly reports to VCAG and CDC for all projects categorised as ‘Large’ (refer section 12 below
for scaling matrix);
• Ensure requirements of this framework are fulfilled throughout the life of the project.

Membership: The right people must be involved for Project Steering Committees to work effectively and the size
of the committee membership needs to be fit for purpose. Individuals with the necessary leadership and
management skills, knowledge and attributes should be selected for Project Steering Committee membership.
Members may maintain membership of a Project Steering Committee even if their role within the organisation
changes. In some instances, it may be appropriate to include specific expertise on the Steering Committee during
particular phases of the project lifecycle, for example, a design expert in the early phases of a project. The Project
Steering Committee should be helpful to the Project Manager, not a distraction, so membership should be
considered carefully. As a guide the PSC should contain:

• Project Sponsor (chair unless delegated otherwise);

• Project Owner – (service delivery owner);
• Representative with project governance experience/expertise;
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• Representative(s) from key stakeholders (e.g. senior end users);
• Representative from Financial Services Division;
• University Risk Manager is to be a standing (non-voting) invitee to Steering Committees and receive all
circulated documents for all projects).

Further Information and Tools related to PSC:

• This Framework Document;
• Refer Appendix A for checklist when establishing project governance;
• Refer to Appendix B for full details regarding the PSC. This attachment will typically be included in the
Project Management Plan;
• Refer to Appendix C for six key questions for every governance team
• Refer to Appendix D for standard agenda to be adopted by PSCs;
• Refer to Appendix E for an information sheet for members of the PSCs;
• Refer Appendix F for Project Sponsor when establishing PSC;
• Refer Appendix G for PSC health check tool.

8.4 Project Control Group (PCG)

Role: The role of the Project Control Group (PCG) is to:

• Be the primary working group which coordinates the management of the project on a day to day basis;
• Provide recommendations to the Project Steering Committee (PSC) relating to all aspects of the capital
development and undertake actions on behalf of the PSC, within delegated limits;
• Provide a key forum for the co-ordination of activities between the project team, the project manager,
and key consultants (architects, services engineers, quantity surveyors)

Responsibility: The responsibilities of the PCG are to:

• Monitor progress against the overall project programme, and take action to address delays where they
occur;
• Develop and review the project planning frameworks, prioritised timelines and responsibilities;
• Monitor financial progress against budget, taking action as required, within delegated limits, to maintain
progress within budget;
• Resolve project scoping issues at a detailed level, reporting to the PSC as required;
• Ensure close liaison between key client representatives, the project managers, and the key consultants,
and provide clarity on respective roles and responsibilities when required;
• Identify, manage and monitor risk management activities across the project;
• Monitor health and safety activities and ensure compliance and reporting with University safety systems
occurs across the project;
• Monitor quality activities across the project;
• Overview the briefing, engagement and management of the full consultant team, and construction
contractors within levels of delegation;
• Perform actions and respond to the requests as directed by the PSC;

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• Contribute to monthly progress reporting and status updates.

Membership:

• University Project Director / Project Manager;

• External Project Manager (if engaged for project);
• Project Manager – Organisational Delivery (if appointed) or Senior client/owners representative;
• Architect;
• Services Engineers;
• Quantity Surveyor;
• Other core consultants;
• Representative from PSD Strategy and Planning Unit;
• Managing Contractor (once engaged);

Consideration should also be given to the following members to ensure integration:

• University ITS Project Manager / Representative (ICT services often critical to project success and require
close coordination through design, construction and commissioning;
• Manager – Construction Health and Safety.

Further Information on PCG:

• Refer to Appendix H for full details regarding the PCG. This attachment will typically be included in the
Project Management Plan.
• Refer to Appendix I for standard agenda to be adopted by PCG’s;

8.5 Executive Planning Team (EPT)

An Executive Planning Team (EPT) is useful for complex projects with numerous or varied planning teams. The EPT
can effectively deal with operational and design related issues escalated from the planning teams to avoid the
Project Steering Committee needing to get involved or bogged down with matters that can remove focus of the
PSC core role. At completion of design and commencement of construction the EPT can transition into the
Commissioning Committee if project requires.

Role: The role of the Executive Planning Team (EPT) is to:

• Determine the core services that are to be delivered as a result of the project;
• Oversee and review all service and functional design briefs;
• Oversee operational aspects of design;
• Reconcile differences in opinion and approach and resolve disputes arising from them;
• Act as the vehicle for operational and faculty related decision making on the project, overseeing the work
of the individual user planning teams, and making recommendations to and seeking decisions from the
Project Steering Committee as required.
• Ensure facility is operationally commissioned;

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Responsibility:

• Recommend / Approve User Planning Teams framework for design phase and representation;
• Ensuring both Students and Staff requirements are represented throughout project;
• Facilitate the development of strategic brief and functional design brief for the project;
• Respond to operational or business-related issues as they arise from each of the User Planning Teams,
resolving conflict and providing guidance as required;
• Review schedules of accommodation, designs, equipment schedules and proposals as they are
progressively prepared by the consultants (following their initial review at planning teams;
• Review and approve interior design schemes and finishes and furniture, fittings & equipment (FFE);
• Plan or establish sub-committee or working groups to ensure facility is operationally commissioned when
required.

Membership:

• Project Owner (chair)

• Project Director/Manager
• Project Manager – Organisational Delivery (if appointed) or Senior client/owners representative
• Faculty Business Manager
• Student Representative
• Other representatives nominated by the project owner.

Further Information on EPT:

• Refer to Appendix J for full details regarding the EPT. This attachment will typically be included in the
Project Management Plan.
• Refer to Appendix K for standard agenda to be adopted by EPT’s;
• Refer to Appendix L for EPT sub-group reporting template.

8.6 User Planning Teams

Role: The role of each individual user planning teams (sometimes known as user groups) is to:

• Ensure that effective input in the planning and design process by faculty, students or other occupants of
the proposed building occurs at all levels within the organisation, and to ensure that staff and student
‘ownership’ of the design of the new facilities occurs;
• To inform the Executive Planning Team (if established) or senior faculty representative or project owner
of operational issues generated by the planning and design process which either cannot be resolved at
the User Planning Team level or which require a decision at the EPT or senior level;
• Ensure that key service and operational objectives of the project are achieved at the detailed planning
level, through constructively working with the consultant team members and in particular the Architect,
as the floor plans (and other documents) are prepared.

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Responsibilities: The responsibilities of each individual user planning team is to:

• Identify and define user requirements to reflect in the project;

• Provide information to the Project Managers, the Architect and Engineers which ensures that the facilities
design meets the agree user needs;
• Review and comment on the design and documentation as it is produced, bearing in mind the operational
implications inherent in the approved designs;
• Prepare proposed changes to the Functional Design Brief upon which the consultants work is based for
approval by the EPT;
• Consider and evaluate opportunities for achieving service delivery efficiencies;
• Review the detailed schedule of accommodation and the detailed Room Data Sheets prepared by the
consultants, which will set the standard upon which the facilities will be developed, acknowledging that
the outcomes must fall within the boundaries of cost and space set by the project budget, and as approved
ultimately by the Project Steering Committee;
• Review and sign off on samples and proto-types etc. during the construction phase of each project;
• Ensure that there is appropriate communication of group decisions and recommendations to all staff in
relevant department or service division for which the planning team is established to represent;
• Assist the EPT or the EPT’s Commissioning Committee with planning for operational commissioning of the
facility.
Further Information on User Group Planning Teams:
• Refer to Appendix M for full details regarding the User Planning Teams. This attachment will typically be
included in the Project Management Plan.
• Refer to Appendix N for and information sheet to inform members of the User Planning Teams about the
design process.
• Refer Appendix Q for information related to Student associations to assist with student user groups.

8.7 Reference Groups

Reference groups are differentiated from user groups in the sense that whilst they aren’t direct end-users of the
facility but as either internal or external stakeholders with certain organisational responsibilities and oversight they
still need to be informed or have a different level of input into the project.

• Reference groups consist of people with the requisite skills to address particular project issues or may
consist of a collection of people who are Subject Matter Experts to address a particular set of issues.
• The reference group is specifically tasked by the Project Steering Committee or the project
director/manager. Their responsibilities may include:
• Input into specific design, construction or commissioning elements;
• Alignment with campus masterplans and design guidelines;
• End of design phase reviews and input;
• Providing specialist input; for example, health and safety, accessibility, cultural, sustainability etc.
• Quality assurance during the project implementation.

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At a minimum the internal reference groups that are to be identified as key stakeholders to be consulted throughout
(endorsement of design at each design phase) the capital works project at the University include:
• Relevant Faculty / Divisional Student Association e.g. COMSA, OUMSA, ATOM, SOULS - Refer Appendix Q;
• Health & Safety Compliance;
• Property Services Planning & Strategy Unit (engineering services, architectural, sustainability)
• Property Services Facilities Management;
• Property Services Compliance;
• Property Services Custodial Services;
• Property Services Property Management Unit;
• Property Services Sustainability;
• Proctor / Campus Watch;
• Information Technology Services;
• Office of Maori Development;
• Marketing & Communications.

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9. GOVERNANCE COMMITTEE STRUCTURES

The Capital Projects Unit will adopt a standard governance structure for its projects. The standard governance
approach has two variants to suit the nature of projects, particularly with respect to number and complexity of
planning teams involved. The two governance structures are:

1. Multiple / Complex Planning Groups – Executive Planning Team (EPT) Required (figure 9.1 below);
2. Simple Planning Team Arrangement - No EPT required (figure 9.2 below).

Figure 9.1 Project Governance Structure Chart with EPT

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Figure 9.2: Project Governance Structure Chart without EPT

The option adopted should be outlined in the Project Management Plan and discussed with the Project Steering
Committee as part of the establishment of project governance. Every project is different however as a general rule
the EPT option should be adopted if there are multiple end user planning teams with potentially competing
demands, a complex operating environment, the success of the project is dependent on significant operational
preparedness and change to operations, business processes and systems

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10. PROJECT ROLE DEFINITIONS
10.1 Project Sponsor
The Project Sponsor is the member of VCAG in which the project intended deliverable sits operationally. They are
the link between the organisation’s senior executive (V-C), senior executive body (VCAG) and University Council
sub-committees (CDC, Audit & Risk) and the management of a project. The Sponsor is also a mandatory core
member of the Project Steering Committee for all projects categorised as large and if suitably experienced usually
the Chair. In addition to being an experienced executive well versed in the details of organisational stakeholder
and client requirements and relationships, the sponsor should preferably have experience in project
management. The Project Sponsor has accountability and responsibility for a project. In summary the Project
Sponsor:

• Has ultimate accountability and responsibility for project;

• Is responsible to the business and the Council for the success of the project;
• Establishes, maintains and reports on effectiveness of project governance structures (refer section 18.1);
• Provides Project Steering Committee leadership and chair;
• Clearly understands the business rationale for the project;
• Ensures the project will produce deliverables that enable the benefits to be realised;
• Champions the project within the organisation, including to VCAG, CDC and the Council;
• Actively monitors project progress and question for clarity when needed;
• Is prepared to intervene and/or escalate if required;
• Facilitates the approval processes and financial resourcing for the project (i.e. drives development of
business case, proposes and presents business case to VCAG, CDC and Council).

10.2 Project Owner

Investments in capital infrastructure such as buildings usually involve undertaking projects to provide assets for
the delivery of services. As such, usually the primary reason for investing in a project is to achieve a service
outcome, therefore the service outcome should always be the focus on the project from an investment
perspective. As such the project owner should be a senior person who is best positioned to maintain a service
outcome focus for the project. In summary the Project Owner:

• Maintains oversight and accountability for the business alignment, project progress and long term
realisation of benefits;
• Champions the project within the organisation including to VCAG, CDC and the Council;
• Attends Project Steering Committee meetings and other project meetings as required;
• Is accountable for ongoing ownership of project deliverables;
• Ensures project will produce deliverables that enable the benefits to be realised;
• Represents the needs of the business;
• Makes business users available to the project;
• Is prepared to intervene and/or escalate if required;
• Champions health and safety on the project;
• Is responsible for operational commissioning.

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10.3 Chair - Project Steering Committee
The Chair will conduct the meeting according to the agenda, ensuring that all members are encouraged to
provide input throughout the meeting and that any decisions or recommendations are adequately resolved
and agreed to by the members.
Responsible for:

• Ensuring a PSC is established and meetings scheduled;

• Terms of Reference and roles and responsibilities understood by the PSC members;
• Ensuring decisions required are made, recorded and acted upon;
• Monthly Project Progress reports are approved and copies of the Executive Summary are circulated in
accordance with this framework;
• Meetings are correctly recorded;
• The PSC members regularly refer to tools such as “6 Key Questions for every Governance Committee;
• A PSC Chairs Checklist is completed early in PSC establishment;
• A PSC Health Check is conducted at regular occurrences (suggest 6 monthly).

10.4 CPU Project Director

The Project Director is the CPU Project Manager appointed to the project in the event of an external project
manager being appointed (large & complex projects).

The Project Director acts as the agent of the Project Sponsor on a day-to-day basis, and is responsible for
empowering the Project Manager to discharge the manager's responsibilities. The Project Director provides the
Project Manager with the specialist resources and skills necessary to develop and/or deliver a project to an
agreed scope, quality, schedule and budget. This role is usually the Project Manager’s line (contractual or project
structure) manager. For smaller projects the role of Project Director and Project Manager may be combined. In
summary the Project Director:

• Manages the University’s internal project team, internal stakeholders and reference; groups and other
Property Services resources input into the project;
• Acts under delegated authority from the Project Steering Committee;
• In conjunction with the Project Owner, manages the internal stakeholders and reference groups;
• Champions health and safety on the project;
• Provides direction to the Project Manager on behalf of the University.

10.5 Project Manager

The Project Manager is the key person around whom a project will ultimately revolve. The Project Manager:

• Reports to the University’s Project Director (if appointed i.e. if external project manager)
• Along with the Project Director attends, reports to, seeks guidance and takes direction from the Project
Steering Committee;
• Provides the day to day management of the project delivery in accordance with University’s Project
Management Framework and Contractual Brief.

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• The Project Manager has primary responsibility for:
o Accountability to the Project Steering Committee for delivery of the project;
o reporting to the Project Steering Committee at regular intervals;
o Ensuring the project is managed in accordance with agreed processes and tolerances;
o Dealing with the construction/contractors to ensure project progression;
o Maintaining the project risk register and the integration of risk treatments and control activities
into project plans and activities;
o Approving minor variations to budget, schedule or scope, within agreed tolerances;
o Managing and monitoring the project activity through detailed plans and schedules and
preparation of reports;
o Managing day to day stakeholder relationships and issues with the University Project Team;
o Managing Project Sponsor and stakeholder expectations through the formal specification and
agreement of goals, objectives, scope, outputs, resources required, budget, schedule, project
structure, roles and responsibilities and communication to them on progress;
o Inspecting project progress and element completion for quality assurance;
o Ensuring the project proceeds in accordance with budget, programme and quality objectives;
o Representing University interests in dealings with consultants, contractors, authorities and
external stakeholders;
o Directing and coordinating the activities of all appointed consultants including the engagement
of further consultants;
o Certifying consultant and contractor payments;
o Providing design phase and construction phase programming services;
o Providing superintendent services (Engineer to the Contract) in accordance with the construction
contract;
o Health & Safety;
o Coordination of handover at the end of the project.

Refer to Appendix O for full details on terms of reference for an external Project Manager.

10.6 Project Team

The quality of project resources is one of the most important factors in the success of the project. Therefore, an
appropriate team structure with clear lines of accountability should be in place and quality resources applied. The
investment in quality project resources will add significant value to the project, beyond the cost, through more
sophisticated and efficient project implementation.

A project team is led by the Project Manager, and works for the successful delivery of project outputs as outlined
in an investment business case and/or Project Management Plan. It is desirable that a project team includes
representatives from the business unit(s) affected by the project. The specialist expertise required for the project
may include financial, technical, operational, communication, environmental, risk, procurement, contractual and
legal skills. The mix of skills and experience will vary by project type.

The composition of the team may change as the project moves through its lifecycle. The assessment and
selection of people with the requisite skills for each phase of a project is critical to overall success. The skills

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should be explicitly identified in the project planning process. The project team is responsible for completing
tasks and activities required for delivering project outputs. They may be called on to support the Project Steering
Committee by providing reports or information at the discretion of the Project Manager.

Typically, at the University of Otago, the Project Team will consist of the following roles:

10.7 CPU Project Officer

The CPU Project Officer will be responsible for:
• Day to day support to the University’s Project Director (if appointed) or the CPU Project Manager;
• Completing assigned work within the budget, timeline and quality expectations;
• Informing the Project Manager of issues, scope changes, risk and quality concerns;
• Attending planning team meetings;
• Undertaking stakeholder engagement and communications;
• Reviewing drawings and room data sheets;
• Health and safety

10.8 CPU Project Procurement Officer

A CPU Project Procurement Officer will;
• Be involved in early stages to build up project budget for furniture, fittings and equipment (FF&E);
• Be involved in design relating to specialist equipment and specifications;
• Assist with room data sheets with respect to FF&E
• Develop FF&E registers for new and transfer items to inform project;
• Liaise with relevant personnel regarding detailed specifications and selection of items required (including
consideration of models, materials, and colours etc);
• Prepare request for tender (RFT) and tender processes with respect to FF&E;
• Health and safety;
• Be responsible for following up on deliveries and coordinating receipt of goods in accordance with project
programs.

10.9 CPU Building Services Engineer

The CPU Building Services Engineer will be responsible for:
• Confirming constraints of existing services or availability of additional capacity;
• Reviewing plans in light of the services infrastructure master plans;
• Reviewing of feasibility reports and options relating to building services;
• Participating in engineering consultancy meetings;
• Reviewing end of phase deliverables and providing feedback to project team and consultants regarding
services;
• Assessing services design in relation to University standards;
• Health and safety;
• Assisting Project Team with quality control and assurance relating to building services.

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10.10 Organisational Delivery Project Manager / Project Champion
The Organisational Delivery Project Manager or (sometimes known as a ‘Project Champion’ acts as the agent of
the Project Owner on a day-to-day basis. As such the individual appointed should be a senior person who is well
positioned to maintain a service outcome focus for the project. The Organisational Delivery Project Manager will:

• Generally, be appointed by the Project Owner in conjunction with the CPU Project Team (if project
requires);
• Have in-depth knowledge of the operation and day to day running of the service;
• Have the ability to harness the input of a wide range of users and user representatives;
• Have day to day management of the project owner’s business and user groups input into the project e.g.
o Student representative engagement;
o Managing user planning team leads and planning teams;
o Workforce planning (if any) for new facility;
o Ensuring functional briefing and design remains aligned with the needs of the business;
o Defining equipment requirements;
o Managing internal communications;
o Moderating user requests;
o Assisting with assessment of change proposals;
• Liaise closely with the Project Director and Project Managers from CPU;
• Be responsible for health and safety;
• Be responsible for operational commissioning and planning.

10.11 Manager – Construction Health and Safety

The Manager – Construction Health and Safety (H&S) is a member of the University Health and Safety team
embedded within the Property Services Division and works with the Project Management team and construction
contractors to support health & safety on site, and demonstrable legal compliance; including:

• Contributing to safety-in-design.
• Managing the H&S approval for all construction contractors.
• Facilitating University H&S inductions.
• Reviewing, drafting and training of H&S systems and documentation, such as Site Specific Safety Plans
(SSSP), Job Safety Analysis (JSA), permits-to-work, incident investigations.
• Site audits and inspections.
• Providing H&S advice, support & encouragement.
• Liaising with stakeholders on H&S matters.
• Ad hoc reporting and H&S legal advice.

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11. PROJECT ORGANISATIONAL STRUCTURES
The Capital Projects Unit will adopt a standard project organisational structure for its projects. The standard
organisational structure approach has two variants to suit the nature of projects, particularly with respect to
complexity and size and the use of an external project management company. The two organisational structures
are:

1. Complex project with external Project Manager (figure 11.1 below);

2. Standard CPU Project with internal Project Manager (figure 11.2 below).

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Figure 11.1: Project Organisational Structure for a complex project with External Project Manager appointed

Figure 11.2: Project Organisational Structure for a project with internal Project Manager appointed

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12. PROJECT SIZE

Projects being undertaken at the University vary in size and complexity from small to large. The degree to which
project management discipline and project governance and reporting requirements will vary according to project
size.

The size of the project should be determined by the Project Sponsor in conjunction with the Project Manager,
Project Owner and the Project Steering Committee.

The project size should be determined as early as possible after project initiation as it will influence the project
considerably during the projects life-cycle.

The project size scaling matrix below is to be used to determine the project size.

GUIDE ONLY Small Medium Large

If two or more apply If two or more apply If two or more apply
Characteristic
Strategic Project goals and objectives Project goals and objectives are Project has been mandated by
Importance are operational in nature tactical and support enacting the Council and is a cornerstone in
strategic intentions of the University. University Strategic Direction
Mandated by VCAG as very high
priority
Change Impact Little or no impact on any Moderate impact to people or any Significant impact to people or
aspects of University aspect of University business any aspect of University
Business business
Complexity Scope and tasks are easily Scope or tasks are not easily enacted. Scope and tasks difficult to
enacted and readily Some challenge in achieving define. Highly challenging to
achievable achieve
Risk Project has some potential Project has moderate potential to It is extremely likely or certain
for minor increases in costs increase in cost or scope, cause that the project will increase in
or scope, cause disruption to disruption of University business or cost or scope, or cause
University business or failure fail to deliver anticipated outcomes. disruption to University
to deliver anticipated business or fail to deliver
outcomes anticipated outcomes
Cost $1-$5M $5-$10M >$10M
Size of Project 0-1 1 to 2 2+
Team
External PM's No Unlikely Likely
required
Project Duration <6 months 6-12 months 12 + months
Time Constraints Program can vary without Some program variations / delays can Project is constrained to firm
causing notable flow on be accommodated deadlines
effects
Inter Project No significant dependencies Some significant dependencies or Major high risk dependencies
Dependencies or interrelated projects interrelated projects. None are high or interrelated projects
risk
CPU Level Lead Senior PO - PM PM - Senior PM Senior PM

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13. PROJECT GOVERNANCE PROCESSES
13.1 Reporting
The Project Steering Committee should be informed of project progress regularly to enable appropriate and
timely decisions based on project needs and status. The project should have an agreed system of project
reporting. Effective project governance relies on timely and accurate monitoring and reporting of project progress
and performance.

The audience, content and frequency of reporting will depend on the needs of the project, issues arising and
project life-cycle phase. Table 12.1.6 sets out the indicative nature, content and mechanism for reporting that
may be required for projects.

13.1.2 Project registry

A database of project related information and data (project registry) for all active and closed major projects will
be kept. The Project Manager is responsible for keeping the project registry up to date for their allocated
projects. The project registry should be updated fortnightly to coincide with key reporting cycles (e.g. CDC, COO
reports) or after milestones achieved such as:
• Change of project status;
• Change of project phase;
• Change of project stage;
• CAWSEP approval;
• Change to approved budget or forecast completion cost;
• Appointment of consultants (noting compliance with University H&S approval system required);
• Appointment of contractors (noting compliance with University H&S approval system required);
• After risk management workshops are conducted;
• Significant changes to project program and key dates;

The project registry is covered in more detail in part C of this document.

13.1.3 Progress Status Reporting

The monthly project progress reports should contain the answers to these questions:

• What progress has been made on this project since the last status report?
• What is the next stage/task to be done on this project?
• What issues or risks to completion need to be discussed?
• What approvals or decisions are required from the Project Steering Committee?

Project progress reports will include:

• Project details and description;

• Budget/financial status - progress against the budget with respect to planned expenditure, actual
expenditure deficit/surplus, forecast expenditure deficit/surplus and revenue against planned output
delivery (if appropriate);

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• Schedule status;
• Milestone status – progress against the schedule for each major milestone, including:
o detail of milestone;
o whether the milestone is on track for completion by the due date or delayed/changed;
o planned completion date;
o actual and/or forecast completion date;
o reason for variance;
o Impact of not achieving milestones for the remaining period of the project.
• Description of project works/activities completed in the current period and works/activities proposed for
the next period;
• Budget/expenditure status – progress against the budget with respect to planned expenditure, actual
expenditure deficit/surplus, forecast expenditure deficit/surplus if appropriate;
• Risk status – specifying any changes to the major risks identified since the previous report, and
modification to the strategies put in place to manage them; any new major risks that have arisen since the
last report, as identified in the risk register (which should be an attachment);
• Issues status – including areas of concern, specific problems and any action/decision that needs to be
taken by the project steering committee or project sponsor/senior manager, as identified in the issues
register;
• Scope/project variation status;
• Health and safety issues, incidents;
• Stakeholder engagement activities and progress;
• Reports of implementation of the communication plan and any issues; and
• any other relevant information.

Refer to appendix P for the standard project progress report to be adopted.

The Project Manager will attend Project Steering Committee meetings and present the project status report and
answer concerns, receive feedback, gain clarification where required and take appropriate action. Project
Managers should also ensure there is a direct correlation between reporting systems adopted by the Project
Team and the enterprise reporting system e.g. Finance 1, and PSD OurDrive Project Sites and Project Registry.
This will ensure that data sets used for reporting at all levels are consistent and accurate.

As a guide, Project Managers should seek to consistently provide answers to the ‘6 key questions project
governance committees should ask’ outlined in appendix C in their progress reporting to the PSC (written and
verbal).

13.1.4 Risk reporting

Project governance bodies and structures must recognise and manage risk in a way that is most likely to achieve
the project’s desired outcomes, but which mitigates the impact of project failure where necessary. Along with the
Project Manager, the Project Steering Committee is responsible for appropriate escalation of risk.

The project management team are to identify, assess and evaluate risks in accordance with the University’s
Project Risk Management Framework and those risks are to be kept in the respective projects risk register.

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The project risk register is to be managed by the University of Otago’s Project Manager/Project Director in
collaboration with other members of the Project Team on the projects PSD OurDrive Project site. project risk
management plans that are consistent with the Project Risk Management Framework should exist for medium
and large scale projects.

The project risk register is to be reviewed and updated regularly and risks with residual ratings of high to very-
high are to be reported in the body of the monthly project progress reports along with change (i.e. risk level
increased or decreased since last report) with the full risk register appended to the report.

Project Steering Committee

Risk Register

Project Managers

Figure 12.1.4: Project Risk Escalation hierarchy

13.1.5 Issues reporting

Project conflicts may arise from issues related to resource allocation, output quality, the level of commitment of
project stakeholders and related projects. Conflicts and issues may lead to risk materialisation. The project
manager is generally the first reference point for identifying, managing and resolving issues and can solve many
internal project problems. Problems arising outside the control of a project manager are referred to the project
director, Manager of CPU or Project Steering Committee for resolution as appropriate.

Risk and issue escalation, communication and rectification is generally guided by the severity of the risk or issue,
project tolerance levels and the authority or role hierarchy established for the project.

The project team are to identify, register and manage key project issues in accordance with the Project
Management Plan and in collaboration with other project proponents (e.g design team, contractors etc) on the
projects OurDrive site. These issues are to be managed in the issues register when under active management as
well as recording when and how issues were resolved and closed out.

It is expected that most project issues will be resolved by the Project Managers and the Project Steering
Committee. However, in the event that the issue cannot be resolved at this level, it may then be escalated
through operational management paths e.g. VCAG and/or to the Capital Development Committee for resolution.

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PART B: GOVERNANCE OF A CAPITAL WORKS PROJECT

Project Steering Committee

Manager, CPU

Issues Register

Project Managers

Figure 13.1.5: Project Issues Escalation hierarchy

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13.1.6 Reporting Summary

Table 13.1.6: Project Status Reporting Summary

Project Managers Steering Committee
Frequency Weekly - Monthly Monthly
Mechanism CPU Huddle & Project Register Project Progress Reports
Project progress • Provide a week ahead focus summary in weekly CPU • Provide update on design or construction progress over past
huddle; month and main focus or milestones for month ahead;
• Update project registry • Provide update on status of the required authority approvals
required for project to progress
• Report on progress regarding planning or status of commissioning
(both building and operational)
Budget • Update cash flow forecast; • A project budget and financial status update;
• Update project registry; • A project contingencies update;
• A forecast update;
• Explanations for variances
• A QS cost report
Scope • Update project registry and • Identify scope change requests requiring decision. These must be
• Update project decision register accompanied with completed change proposals forms that assess
impact of the scope change;
• Identify pending scope changes;
• Identify approved scope changes, their costs and funding source
Programme / • Identify key milestones for week ahead outlined in • Provide Progress against key program milestones,
Milestones weekly CPU huddle; • Explain of variances and impacts;
• Report on potential roadblocks identified in weekly • Identify potential programme delays;
CPU huddle;
• Provide Status of program contingency (float)
• Include key milestone dates achieved and forecast • Provide proposed corrective Actions/Strategies for variances
completion dates in project registry;
• Include project phases and stages in project register
Risk • Update Project Risk Register • Identify the number of High – Very High Risks
• Update project registry with key project risks and • Provide information on the reduction, increase or deletion of High-
details of emerging risks. Very High Risks
• Identify the mitigation /treatment of High-Very High Risks
• Full Risk Register
Issues • Identify road blocks in weekly CPU huddle; • Identify escalated issues, their impacts and what decisions or
• Update Issues Register; guidance required from the PSC
• Update project registry with key project issues; • Identify Issues impacting scope;
• Identify red flag issues (i.e. those that require
escalation)
Procurement • Update at weekly CPU huddle; • Provide procurement strategies for approval
• Include progress or status of consultant procurement;
• Include progress or status of contractor procurement;
• Include progress or status of FFE procurement;
Quality • Identify concerns raised at weekly CPU huddle; • Provide progress or status of management of quality of design;
• Ensure any issues or risks managed and reported • Provide progress or status of management of construction;
under risk and issues management process
Communications • Identify actions required from each other in weekly • Identify concerns identified from end users, reference groups or
& Stakeholder CPU huddles; other stakeholders;
Management • Identify emerging issues from stakeholders;
• Report on proactive communications and stakeholder
management activity;

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• Report on reactive communications and stakeholder management
activity for matters that represent a risk to project or the
University
Health & Safety • Raise health & safety hazards and incidents weekly • Provide progress update on how health & safety is factored into
CPU huddle; other project processes e.g. design, procurement, construction
• Include Incidents and hazards identified to the etc.
Manager -Construction Health & Safety. • Identify any major incidents, their cause, and how they will be
managed.

13.1.7 Reporting to University Council

Given the large investment, and close alignment between outcomes of capital projects and strategic University
objectives, the reporting of project status (risk, financial, issues, outcomes etc.) to the Council via its various sub
committees outlined in Part A of this document is necessary. Part C of this framework provides the outline for
how project governance processes such as reporting, and how the structures, roles and responsibilities of project
governance integrates with organisational governance of the University.

14. STRATEGIC INTERVENTION INCLUDING TERMINATION

The Project Steering Committee is responsible for identifying the potential need for remedial actions and/or
strategic intervention, and termination where appropriate, escalating the need as appropriate on a timely basis.

Often when a project is under stress, early and decisive intervention can result in the best value outcome for the
University.

15. PROJECT MANAGEMENT SYSTEMS

The combined project governance, project risk, project benefits, project procurement, project quality, and project
scope management frameworks combined define the project management systems for the University.

Project Project Risk Project Cost Project

Governance Management Management Communications
Framework Framework Framework Framework

Benefits and
Project Project Scope
Quality
Procurement Management
Management
Framework Framework
Framework

Figure 15.1 Project Management System

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The Project Management Framework being the primary framework for day to day management of projects will
cover project management knowledge and process areas including:

• Project scope management

• Project cost management
• Project management
• Project time management;
• Project quality management
• Project communications management
• Project stakeholder management
• Project health & safety management
• Project HR management.

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PART C – GOVERNANCE OF THE PORTFOLIO

PART C:
GOVERNANCE OF THE CAPITAL
PROJECTS PORTFOLIO

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16. PORTFOLIO GOVERNANCE
16.1 Principles of Governance at Project Portfolio Level
The principles for governance at a project portfolio level are much the same as those a project level, however they
need to take into consideration the potential for large amounts of information and numerous projects.

Principles for governance of the portfolio for organisational governance committees such as the University Council
and the Capital Development Committee are:

• Differentiate between projects and non-project-based activities;

• Roles and responsibilities for the governance of projects are defined clearly;
• Disciplined governance arrangements, supported by appropriate methods, resources and controls are
applied throughout the project life-cycle;
• Every project has a sponsor;
• There is a demonstrably coherent and supporting relationship between the overall business strategy and
the project portfolio;
• All projects have an approved plan containing authorisation points at which the business case, inclusive
of cost, benefits and risk is reviewed.
• Decisions made at authorisation points are recorded and communicated;
• Members of delegated authorisation bodies have sufficient representation, competence, authority and
resources to enable them to make appropriate decisions;
• Project business cases are supported by relevant and realistic information that provides a reliable basis
for making authorisation decisions;
• The University Council or its delegated agents or sub-committees decide when independent scrutiny of
projects or project management systems is required and implement such assurance accordingly;
• There are clearly defined criteria for reporting project status and for the escalation of risks and issues to
the levels required by the organisation;
• The organisation fosters a culture of improvement and of frank internal disclosure of project management
information;
• Project stakeholders are engaged at a level that is commensurate with their importance to the
organisation and in a manner that fosters trust;
• Projects are closed when they are no longer justified as part of the organisation’s portfolio.

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17. PORTFOLIO GOVERNANCE STRUCTURE

Figure 17.1 below outlines the governance structure of capital works projects at a portfolio level.

Figure 17.1: Project Portfolio Governance Structure

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18. GOVERNANCE PROCESSES

18.1 Establishment of Project Governance

At formation of the PSC for projects categorised as ‘large’, the Project Sponsor will be required to complete and
submit to the CDC under cover of a memo the ‘Checklist for establishing project governance’, refer Appendix A.
This will be submitted to the CDC via the COO’s Office.

Within 3 months of commencement of the PSC for projects categorised as ‘large’ the Project Sponsor will be
required to complete and submit to the CDC under cover of a memo the ‘Project Sponsors checklist for establishing
a Project Steering Committee’, refer Appendix F. This will be submitted to the CDC via the COO’s Office.

Thereafter, on an annual basis for projects categorised as ‘large’, the Project Sponsor is to have all PSC members
complete the ‘Project Steering Committee Health Check’ and address any identified issues and provide a report to
the CDC via the COO’s Office. Refer Appendix G

For projects categorised as medium, PSC chair and members are responsible for conducting regular self-reviews of
effectiveness of the PSC on which they chair or sit on (refer appendices A,C,F & G);

18.2 Reporting
In addition to reporting to the Project Steering Committee, reporting and accountability to the senior organisational
executive (V-C, COO and CFO), organisational management committees (VCAG) and the University Council (via sub-
committees) level is required.

Project status, escalated issues, risks, health and safety management issues will be reported through operational
and organisational governance mechanisms.

Reporting processes should ensure:

• The V-C, COO, VCAG, Council and Council Sub-Committee members are appropriately briefed on the status
of projects;
• The VC, COO, VCAG, Council and Council Sub-Committee members receive timely advice on project status
including communicating bad news as well as good fully and transparently on a timely basis.

Figure 18.2 below illustrates the paths and mechanisms which are outlined in more detail in sections below.

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Health & Safety escalation

to (bypass Audit and Risk)

Figure 18.2: Portfolio reporting model

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PART C – GOVERNANCE OF THE PORTFOLIO
18.2.1 Project Registry
A data base of project related information and data for active and closed projects will be kept for all major capital
projects conducted by the Capital Projects Unit (CPU). This will be maintained by project managers for individual
project as outlined section 13.1.2 above.

The project registry database provides a whole of portfolio view of projects being conducted by CPU and will
enable filters to be applied to create different reports regarding the portfolio of projects. Figure 18.2.1 below
illustrates the process.

Figure 18.2.1: Project Registry Inputs and Outputs

The Director of Property Services and the Senior Management Team and Project Managers of Property Services
have full access to the registry at all times.

Refer to appendix P for example of project registry.

18.2.2 Progress Reporting

Progress Reporting of Portfolio – Organisational Management

The Executive Summary of Project Progress Reports submitted to and endorsed by the Project Steering
Committees will be provided by the Project Sponsor to the Vice-Chancellor and VCAG on a monthly basis. These
will also be provided as annexures to the CDC progress report.

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The Executive Summary of Project Progress Reports will include status updates using a traffic light risk rating
system on attributes such as:

• Benefits;
• Budget;
• Milestones
• Risk management,
• Issues management;
• Health and safety management

In addition, key escalated issues that require senior level attention or intervention will be identified as a ‘Red Flag
Issue’. A high level financial summary outlining the approved budget, the forecast completion cost and the
expenditure to date. And finally, a short commentary regarding the current phase and stage and general progress
will be included.

Figure 18.2.2: Project Progress Report Executive Summary

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Progress Reporting of Portfolio – Organisational Governance

A progress report generated from the PSD OurDrive Project Registry will be submitted to the Capital
Development Committee (CDC) by the Director of Property Services Division. This report will include the
following data:

• Project ID;
• CAWSEP No;
• Project Title;
• Location;
• Strategic links;
• Status;
• Project phase;
• Project health indicator (traffic light);
• Commentary on project health indicator status;
• Project cost management indicator (traffic light);
• Commentary on cost management indicator status;
• Project risk management indicator (traffic light);
• Commentary on risk management indicator status;
• Project schedule indicator (traffic light);
• Commentary on schedule indicator status;
• Approved budget;
• Forecast total spend;
• Forecast surplus/(deficit);
• Expenditure to date;
• Red flags;
• Key issues;
• Key risks;

The Council, CDC, other Council Committees, V-C, VCAG, COO, CFO or other identities are able to request a report
to be generated based on selection of any of the data fields outlined below.

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Table 18.2.2: Project Registry Data Fields

18.2.3 Risk reporting

The Capital Works Project Risk Register shall be maintained by project managers with the PSD OurDrive site
providing an aggregated view of project risks. The Capital Works Project Risk Register shall follow the University’s
Project Risk Management Framework.

A high level status indicator and commentary on project risk management will be provided as part of standard
reporting to organisational management and organisational governance through either the executive summary or
project registry report as outlined above.

In addition, risks assessed as high or very high will be reported to the Audit and Risk Committee via the Corporate
Risk Register which will be fed by an aggregated project portfolio risk register produced by the CPU and University
Risk Manager.

Project Sponsors and Project Owners are to ensure that risks are identified and managed as part of their project
governance responsibilities. Likewise, the University Council and Sub-Committee members are responsible for
managing risks in accordance with the applicable terms of reference that exist for the respective committee.

Figure 18.2.3 below outlines the process for project portfolio risk reporting.

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University Council
Corporate Risk Governance

Audit & Risk Committee

Aggregated Corporate
Risk Register

Office of Risk, Assurance & Compliance

Project Steering Committee Aggregated Programme

Risk Register for all
Project Risk Governance

Project Risk Register Capital Project Unit

Project Managers

Figure 18.2.3: Risk Reporting Model

18.2.4 Health & Safety Reporting

Figure 18.2.4 below illustrates the reporting and escalation mechanisms for health and safety. Essentially the
reporting will be via 2 mediums:

• Project Steering Committee Reports

• Via the University Health & Safety Management System - Vault.

And given the serious nature of health and safety, escalated safety issues will go via operational management,
project and organisational governance paths.

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University Council

VC Audit & Risk

Committee
Health Safety and
Ethics Compliance
VCAG

Head Health Safety

Compliance
COO
WPH&S Committee

Project Steering Director PSD

Committee

Manager CPU Construction

H&S Manager

Project Managers

Figure 18.2.4: Health & Safety Escalation Model

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18.2.5 Reporting Summary
VC & VCAG Council (Sub-Committees)
Frequency Monthly As Scheduled
Mechanism Executive Summary Multiple Reports
Governance • At commencement of PSC, a memo and establishment of
project governance checklist confirming establishment of
Project Steering Committee from Project Sponsor for Large
projects;
• 3-month post implementation of PSC, a memo confirming PSC
functional from the Project Sponsor for Large Projects;
• Annual, PSC health check memo from Project Sponsor for
Large Projects.
Project progress • Executive Summary of monthly project progress • Progress report generated from project registry provided to
reports to be endorsed by PSC and submitted by CDC which includes whole of portfolio reporting on;
Project Sponsor monthly for medium - large o Project ID;
projects underway which includes: o CAWSEP No;
o Brief commentary on phase and stage and o Project title;
progress being made in design or o Project status;
construction o Project phase;
o Project stage;
o Overall health indicator (traffic light);
o Commentary on indicator.
• Annexure of report to CDC to include copies of the PSC
endorsed Project Progress Reports Executive Summaries
submitted by Project Sponsors for Large scale projects only.
Budget • Executive Summary of monthly project progress • Progress report generated from project registry provided to
reports to be endorsed by PSC and submitted by CDC which includes whole of portfolio reporting on;
Project Sponsor monthly for medium - large o Cost Indicator (traffic light);
projects underway which includes: o Commentary on cost indicator;
o Approved budget; o Forecast total spend;
o Forecast completion cost; o Total committed;
o Expenditure to date o Expenditure to date;
• Capital Works Finance Report;
• Long range financial forecast report.
• Annexure of report to CDC to include copies of the PSC
endorsed Project Progress Reports Executive Summaries
submitted by Project Sponsors for Large scale projects only.
Scope • Nil specific • Scope status included as part of general progress report and
escalated issues.
• Annexure of report to CDC to include copies of the PSC
endorsed Project Progress Reports Executive Summaries
submitted by Project Sponsors for Large scale projects only.
Programme / • Executive Summary of monthly project progress • Progress report generated from project registry provided to
Milestones reports to be endorsed by PSC and submitted by CDC which includes whole of portfolio reporting on;
Project Sponsor monthly for medium - large o Schedule Indicator (traffic light);
projects underway which includes: o Commentary on schedule indicator;
o Traffic light assessment of progress against • Annexure of report to CDC to include copies of the PSC
milestones with commentary if amber or endorsed Project Progress Reports Executive Summaries
red. submitted by Project Sponsors for Large scale projects only.

Risk • Executive Summary of monthly project progress • Progress report generated from project registry provided to
reports to be endorsed by PSC and submitted by CDC which includes whole of portfolio reporting on;
Project Sponsor monthly for medium - large o Risk Indicator (traffic light);
projects underway which includes: o Commentary on risk indicator;
o Traffic light assessment of risk management o Key Risks
with commentary if amber or red.

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• Project portfolio aggregated risk register for High-Very High
Risks provided in Corporate Risk Register via the Risk Manager.
• Annexure of report to CDC to include copies of the PSC
endorsed Project Progress Reports Executive Summaries
submitted by Project Sponsors for Large scale projects only.
Issues • Executive Summary of monthly project progress • Progress report generated from project registry provided to
reports to be endorsed by PSC and submitted by CDC which includes whole of portfolio reporting on;
Project Sponsor monthly for medium - large o Issues Management Indicator (traffic light)
projects underway which includes: o Commentary on issues management indicator
o Escalated Issues identified as red flags. o Red flag issues;
• Annexure of report to CDC to include copies of the PSC
endorsed Project Progress Reports Executive Summaries
submitted by Project Sponsors for Large scale projects only.
Procurement • Nil specific • Procurement status included as part of general progress
report and phase/stage status.
• Procurement Strategy and consultant appointments >$7.5M to
be approved by CDC.
Quality • Nil specific • Nil specific. If any key issues or risks associated with quality it
will be picked up as part of escalated issues or risk register.
Health & Safety • Executive Summary provided monthly for major • Progress report generated from project registry provided to
and strategic capital projects underway which CDC which includes whole of portfolio reporting on;
includes: o Health & Safety Management Indicator (traffic light)
o Traffic light assessment of health & safety o Commentary on safety management indicator
management on project with commentary o Red flag issues;
for amber or red. • Annexure of report to CDC to include copies of the PSC
endorsed Project Progress Reports Executive Summaries
submitted by Project Sponsors for Large scale projects only.

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APPENDICES

PART D: GLOSSARY OF TERMS

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APPENDICES
GLOSSARY OF TERMS

Approve / Approval: The act of formally confirming, sanctioning, ratifying, or agreeing to something.

Capital Works Project Management Information System (CWPMIS): An information system that contains the tools
and techniques used to gather, integrate and disseminate the outputs of project management processes.

CPU: Capital Projects Unit – A service stream of the Property Services Division.

EPT: Executive Planning Team – refer to section 8.5.

FF&E: Furniture, Fittings and Equipment.

Governance: The framework by which an organisation is directed and controlled (also refer to Project Governance).

ISO21500: International Standard on Guidance on Project Management.

Issue: An event that has happened or which has a high likelihood of happening that may impede the achievement
of the project objectives if not resolved;

Methodology: A system of practices, techniques, procedures, and rules used by those work in a discipline.

OurDrive: University of Otago’s Sharepoint Site.

Program: A group of related projects managed in a coordinated way to obtain befits and control not available from
managing them individually. Programs may include elements or related work outside of the scope of the discrete
projects in the program.

Project: A temporary endeavour undertaken to create a unique product, service, or result.

PCG: Project Control Group – refer to section 8.4.

Project Governance: Governance is the framework by which the organisation directs and controls its projects.
Project governance includes but is not limited to, those areas of organisational governance that are specifically
related to project activities.

Project Life-cycle: A collection of generally sequential project phases whose name and number are determined by
the control needs of the organisation involved in the project.

Project Management: The application of knowledge, skills, tools, and techniques to project activities to meet the
project requirements.

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APPENDICES
Project Management Plan: A formal, approved document that defines how the project is executed, monitored and
controlled. It may be summary or detailed and may be composed of one or more subsidiary management plans and
other planning documents.

Project Management System: The aggregation of the processes, tools, techniques, methodologies, resources and
procedures to manage a project.

Project Manager: The person assigned by the performing organisation to achieve the project objectives.

Project Owner: A senior person representing the body for whom the project is targeted at. Someone who is best
positioned to maintain a service outcome focus for the project.

Project Steering Committee (PSC): The key body within the project governance structure which is responsible for
the business issues associated with the project that are essential to ensuring the delivery of the project outputs and
the attainment of project outcomes.

Project Phase: A collection of logically related project activities, usually culminating in the completion of a major
deliverables.

Project Team: All the project team members, including the project management team, the project manager and
the project sponsor.

Project Team Members: The persons who report either directly or indirectly to the project manager, and who are
responsible for performing project work as a regular part of their assigned duties.

PSC: Project Steering Committee – refer section 8.3.

Risk: An uncertain event or condition that, if it occurs, has a positive or negative effect on projects objectives.

Risk Register: A document containing the results of the qualitative risk analysis, quantitative risk analysis, and risk
response planning. The register includes identified risks, descriptions, category, cause, probability of occurring,
impact on project, proposed responses, owners and current status.

Role: A defined function to be performed by individuals or project committees.

Scope: The sum of the products, services and results to be provided as a project.

Sharepoint: SharePoint is a web application platform. SharePoint combines various functions which are
traditionally separate applications: intranet, extranet, content management, document management, personal

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APPENDICES
cloud, enterprise social networking, enterprise search, business intelligence, workflow management, web content
management, and an enterprise application store.

Stakeholder: Person or organisation that is actively involved in the project or whose interests may be positively or
negatively affected by execution or completion of the project. For ease of management stakeholders can be grouped
into (i) high influence/high importance, (ii) high influence / low importance, (iii) low influence / high importance
and (iv) low influence / low importance.

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APPENDICES

PART E: APPENDICES

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APPENDICES

Appendix A – Checklist for establishing project governance

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APPENDICES

Determine the nature of the project and its context Yes No

Is the project complex or high value/high risk, if so has this been addressed in
the governance structure?
(Non-routine projects that involve greater risk are likely to require more support elements
in the governance framework e.g. more expert support groups and project team experts,
more regular governance checks etc)

Has the governance framework compensated for any deficiencies the

organisation may have in terms of experience of this type of project?

Is the Project Sponsor sufficiently experienced to manage an investment of

this level of complexity and size?
The Project Sponsor needs to have authority to make decisions and sufficient
support through the project director and steering committee members to
balance the Sponsors level of experience.

Does the governance structure adequately address the need for key
stakeholder engagement and buy-in to decisions?
(Projects can be complicated by the involvement of multiple stakeholders. Judgement
needs to be exercised as to the nature and level of involvement of these parties in the
governance structure.)

If the project has a close relationship with other projects that require joint
consideration of critical dependencies or linkages has this been addressed in
the governance arrangements?
For example, projects may be part of a program or a stage in a larger investment with
consequent dependencies, governance arrangements need to ensure shared
understanding of critical issues.

Is the governance structure clear in terms of roles and responsibilities and

communication/reporting lines?
Within the governance and management arrangements clarity around roles and
responsibilities is vital to accountability.

Is the governance structure fit for purpose in terms of scale and support roles
and future transitioning as the investment progresses?

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Appendix B – Project Steering Committee Terms of Reference

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 PROJECT STEERING COMMITTEE (PSC)
TERMS OF REFERENCE (TOR)
Summary The Project Steering Committee (PSC) is the key body within the project governance structure
which is responsible for the business issues associated with the project that are essential to the
ensuring the delivery of the project outputs and the attainment of project outcomes. This
includes approving budgetary strategy, defining and realising outcomes, monitoring risk, quality
and timelines and resourcing decisions, and assessing requests for changes to the scope of the
project. The PSC helps to steer a project through from start to completion. The Project Steering
Committee should be helpful to the Project Manager, not a distraction, so membership should be
considered carefully.
Scope The scope applicable the PSC includes:
• PM to list out the project specific scope the PSC is responsible for
Role General:
• Be the key strategic decision making body for the project;
• Proactively monitor, mentor, challenge and support the project manager and team on
projects progress;
• Oversee planning, design, construction and commissioning;
• Accept and decide on matters escalated from the Executive Planning Team (EPT) (if one
established) and the Project Managers;
• Set direction for the project and ensure the project delivers its intended benefits and
objectives;
• Provide those directly involved in the project with guidance on project business issues;
• Ensure effort and expenditure are appropriate to stakeholder expectations;
• Ensure potential risks to project success are identified, managed and regularly assessed;
• Ensure project is integrated into other University projects as appropriate;
• Address any issue which has major implications for the project;
• Keep the project scope under control as emergent issues force changes to be considered;
• Reconcile differences in opinion and approach and resolve disputes arising from them;
• Issues and Risk Management;
• Provided advice and act as a conduit to and from the University Executive Management
and Council and other Operational Committees e.g. VC, COO, CFO, VCAG, CDC).
Responsibilities General:
• On establishment, 3 months post implementation and annually thereafter conduct
governance checks and report in accordance with the governance establishment reporting
requirements (refer section 18.1 of Project Governance Framework);
• Ensure decisions and activity is in accordance with approved project delegations (refer
project delegations schedule);
• Ensure that project delivery remains aligned with the University and projects strategic
direction and project objectives;
• Identifying and monitor potential risks and their treatment;
• Monitor progress of the project;
• Monitor the project budget and cost management;
• Monitoring and controlling scope change;
• Monitor timelines;
• Provide advice and make decisions about changes to the project as it develops;
• Approve all substantive cost and time variations to the overall program of works;
• Provide a decision making forum with the authority to respond to requests for decision or
recommendations received from Project Director / Project Manager and the Executive
Planning Team (EPT);
• Ensure the interests of the client are adequately protected and represented;

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TERMS OF REFERENCE (TOR)
• Receive and endorse monthly project progress reports;
• Review and approve any reports, drawings and relevant documentation at the completion
of each phase (seek endorsement from (EPT);
• Monitor the communication, consultation and organisational engagement strategies;
• Provide monthly reports to VCAG and CDC for all projects categorised as ‘Large’ (refer scaling
matrix in Project Governance Framework)
• Ensure requirements of Project Governance Framework are fulfilled throughout the life of the
project;
• Ensure the PSC Terms of Reference (TOR) and membership remains effective.
Project Initiation & Pre Design:
• Determine (with EPT if established) and approve the core services that are to be delivered
as a result of the project;
• On establishment confirm governance structure and mechanisms for project is
appropriate and maintained (refer to appendix A);
• Receive and approve a Project Management Plan from the Project Team;
• Monitor the quality of the project as it develops;
• Approve appointment of consultant team in accordance with project delegations
schedule;
During Design Phases:
• Monitor the quality of the project as it develops;
• Ensure adequate communication, consultation and organisational engagement strategies
are in place;
• Consider and approve procurement strategy for construction;
• Endorse Project teams tender recommendation and appointment of contractor
During Construction Phase:
• Ensure that any organisational and/or work practice changes desired as an outcome of the
program are identified and achieved;
• Ensure adequate communication, consultation and organisational engagement strategies
are in place;
• Monitor the quality of the project as it develops;
• Ensure planning for building and operational commissioning is underway and on track;
Post Construction:
• Conduct or commission a Process Review after project implementation and contribute to
its findings.
• Convene as a final sign-off meeting to review:-
• The accuracy and completeness of the Implementation Plan in respect of its goals
in comparison to the project outcome in terms of final cost, programme and
delivery.
• The accuracy and completeness of the project Risk register.
• The outcome of any sustainability audit, as measured against project targets, if
applicable.
• The outcome of any Post-Occupancy Evaluation, if commissioned.
• Agree a final report that identifies the lessons learnt from the project and its own
management of the process, and that contains recommendations for future projects. This
should be attached to the project implementation plan and should be made available for
audit purposes and for the benefit of future PSC use.
Governance The PSC reports to the University Council via the Capital Development Committee and
& Authority the Vice Chancellor. The PSC has delegated authority to make all decisions of the project
within the bounds of the approved CAWSEP/Business Case except decisions requiring
Council or other approval as defined in the project delegations schedule.

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TERMS OF REFERENCE (TOR)
Membership • Project Sponsor (chair unless delegated otherwise);
• Project Owner – (service delivery owner);
• Representative with Project Governance experience/expertise;
• Representative(s) from key stakeholders (e.g. senior end users);
• Representative from Financial Services
• University Risk Manager is to be a standing (non-voting) invitee t Steering Committees and
receive all circulated documents for all projects).
Attendees The following shall attend and report to the PSC monthly:
• Project Director (if appointed i.e. if external Project Manager appointed on project);
• Project Manager Capital Projects (Internal or external);
• Project Manager of Organisational Delivery (if appointed);
• Quantity Surveyor;
• Manager, Capital Projects Unit (standing invitee);
• Director Property Services Division (standing invitee).

Other attendees that may be invited from time to time for specific agenda items may include:
• Principal Consultant;
• PSD Strategy & Planning Representative;
• Faculty Business Manager;
• Head Contractor
• Others as determined by the Project Manager in liaison with the Chair.

Quorum 50% of members plus 1.

Presentations / Where agreed by the Chair, other persons may be invited to participate in committee
Other activities. However, such persons do not assume membership or decision-making
Participants authority of the committee.
Chair, Frequency Chair: Project Sponsor or other Nominee (preference is to have experience
& Timing chairing)
Frequency: Minimum of Monthly

Agenda & Reports Agenda to be available and distributed with relevant documentation not less than three
working days prior to each meeting. At minimum the agenda and monthly report to include:
• A Progress report from Project Manager (refer standard report format);
• Progress reports from Consultants (appended to main PM report and any issued from
Consultant reports to be included and dealt with as part of main report body);
• A detailed financial report including updated monthly cash flow forecast;
• Any other information as may be required, depending on the stage of the project.

Reports and papers to be registered on Aconex (if in use on project) and transmitted /
submitted in advance of meetings
Secretariat To be provided by Property Services Division unless otherwise agreed.
Confidentiality Certain issues being discussed may be of confidential and/or sensitive nature which will
require members to exercise utmost discretion and ensure privileged information remains
confidential.
Related Documents • Checklist when establishing project governance;
& Tools • 6 key questions for every governance committee to ask;
• PSC Standard Agenda
• Information Sheet for Project Steering Committee Members;
• Project Sponsor / PSC Chair’s checklist when establishing a PSC;
• Project Steering Committee Health Check

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TERMS OF REFERENCE (TOR)

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APPENDICES

Appendix C – 6 Key Questions for every governance committee

to ask.

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The Six Key Questions for every Governance Team
1. Are we on track – to plan/schedule? (Includes both on and off project activities.)
If not, why not?
How will any delays impact the plan/schedule/critical path?
What are you planning to do about it?
What do we need to do about it?
2. What decisions need to be made? (Includes required business decisions and escalation issues.)
What decisions need to be made/action taken – and why?
Do we have sufficient information on the options and their implications?
When do we need to make a final decision?
What are the downstream impacts if we get this decision wrong?
3. What issues are there – inside or outside the project? (Includes required inter-dependency
issues, resource issues, proposed scope changes.)
Are they increasing or decreasing in number?
How are these changes impacting the project?
How will they impact the business outcomes/benefits?
Is the project still under control?
4. Are we on track – to budget and benefits plans? (Includes expenditure, financial commitments,
AND benefit value driver changes and benefits realized to date.)
If not, why not?
How will any shortfalls/overspends impact the budget/benefits/overall net cost?
What are you planning to do about it?
What do we need to do about it?

5. Has the achievability of the project changed? (Includes project, benefits delivery and business
impact risks and critical success factors status.)
Have any changes improved or endangered the project?
If endangered, what is the root cause?
Are the risks’ likelihood/criticality assessments appropriate?
What mitigation action is planned? How will this address/mitigate the risk?
Are the risks being actively managed?
What do we need to do about any remaining risks?
6. Can we still successfully deliver the project AND its business outcomes and benefits?
(Includes resources, funds, skills, risks and time to deliver and benefits value/availability)
What is threatening our success?
What is threatening the viability of the project?
Are any of these factors manageable?
Has any expected reduction in value be compensated for with reduced costs? If not, why not?
Would the funds/resources be better allocated to another project?
Why should we continue?
Source: J. Simms, Totally Optimized Projects

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Appendix D – Standard Project Steering Committee Agenda

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 PROJECT STEERING COMMITTEE (PSC) AGENDA
Project Project ID
Date Time
Venue

Attendees
Name Initials Position Title Attending Apology
Members

Invited Members

Invited Guests

1. Welcome and Apologies Chair

2. Review and Acceptance of Previous Minutes Chair
3. Review of Actions Arising from Previous Minutes Chair
4. Project Progress Report PM
5. Project Cost Report QS
6. Project Risk PM
7. Key Decisions Required Chair
8. Other Business All
9. Next meeting Chair

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APPENDICES

Appendix E – Information Sheet for Project Steering

Committee Members

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 PROJECT STEERING COMMITTEES
FOR CAPITAL WORKS PROJECTS

PROJECT STEERING COMMITTEES

The Project Steering Committee (PSC) is the key body within the governance structure which is responsible
for the business issues associated with the project that are essential to the ensuring the delivery of the
project outputs and the attainment of project outcomes. This includes approving budgetary strategy,
defining and realising outcomes, monitoring risk, quality and timelines, making policy and resourcing
decisions, and assessing requests for changes to the scope of the project. The PSC helps to steer a project
through from start to completion.

What is the role of the Project Steering Committee?

The role of the PSC is to:

• Be the key strategic decision making body for the project;

• Oversee planning, design, construction and commissioning;
• Set direction for the project and ensure the project delivers its intended benefits and
objectives;
• Provide those directly involved in the project with guidance on project business issues;
• Ensure effort and expenditure are appropriate to stakeholder expectations;
• Ensure potential risks to project success are identified, managed and regularly assessed;
• Address any issue which has major implications for the project;
• Keep the project scope under control as emergent issues force changes to be considered;
• Reconcile differences in opinion and approach and resolve disputes arising from them;
• Act as a conduit to and from the CDC and provide advice on key project matters to the VCAG
and CDC.

What sort of responsibilities does the Project Steering Committee have?

Responsibilities of the PSC collectively is:

• Defining and helping to achieve the project outcomes;

• Identifying and monitor potential risks and their treatment;
• Monitor progress of the project;
• Monitor the project budget and cost management;
• Monitoring and controlling scope change;
• Monitor timelines;
• Monitor the quality of the project as it develops;
• Provide advice and make decisions about changes to the project as it develops;
• Approve all substantive cost and time variations to the overall program of works;
• Provide a decision making forum with the authority to respond to requests for decision or
recommendations received from Project Director / Project Manager;
• Ensure the interests of the client are adequately protected and represented;

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 PROJECT STEERING COMMITTEES
FOR CAPITAL WORKS PROJECTS

• Receive and endorse monthly project progress reports;

• Ensure that any organisational and/or work practice changes desired as an outcome of the
program are identified and achieved;
• Review and approve any reports, drawings and relevant documentation at the completion of
each phase;
• Ensure adequate communication, consultation and organisational engagement strategies are in
place.

As an individual on the Project Steering Committee, what role do I play?

Individual Steering Committee members are not directly responsible for managing project activities, but
provide support and guidance to those who do. As such individually members should:

• Understand the strategic implications and outcomes of the project deliverables being pursued;
• Appreciate the significance for some or all major stakeholders and represent their interests;
• Be genuinely interested in the initiative and the outcomes being pursued by the project;
• Be an advocate for the project’s outcomes by being committed to and actively involved in
pursuing the projects outcomes;
• Have a broad understanding of project management issues as planned and as they arise and the
approach being adopted.

As a member you can achieve this by:

• Ensuring the projects outputs meet the requirements of the business owners and key
stakeholders;
• Help balance conflicting priorities and resources;
• Provide guidance to the project team and users of the projects outputs;
• Consider ideas and issues raised;
• Foster positive communication outside of the Committee regarding the projects progress and
outcomes;
• Review the progress of the project;

How often should a project steering committee meet?

This is largely determined by the size and nature of the project. For larger projects they should be held
at least monthly and preferably to coincide with key project milestones.

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 PROJECT STEERING COMMITTEES
FOR CAPITAL WORKS PROJECTS

What should happen before each meeting?

Several days prior to the meeting, the Project Management Team should circulate papers for the
meeting to all Committee Members. This should include:

• An agenda;
• Minutes of the last meeting with actions list;
• A progress report on the status of the project since last meeting;
• Other documents or materials to be approved or considered by the committee.

What should happen at the Steering Committee Meetings?

The Chair will conduct the meeting according to the agenda, ensuring that all members are encouraged
to provide input throughout the meeting and that any decisions or recommendations are adequately
resolved and agreed to by the members.

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APPENDICES

Appendix F – Project Sponsors checklist for establishing a

Project Steering Committee.

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Determine the roles and responsibilities, the timing and the membership Yes No

Has the project drafted terms of reference (ToR)?

Is the ToR appropriate for the steering committee given the project complexity?
For complex projects, the steering committee roles and responsibilities will need to consider
whether other advisory and support committees for the project are appropriate.)

Is the composition of the committee right for the project?

Have you considered the need to include a review process to determine steering
committee effectiveness

Given the project complexity, have you considered how often the committee will
meet?
(e.g. monthly, or after key milestones including the end of phases?)

Are the roles and responsibilities section in the ToR approved?

Is it clear from the roles and responsibilities and other project governance documents
what the steering committee decides or approves, and what the project manager can
decide – with or without consultation with the project sponsor?

Has the appropriate person invited the members to join the committee?

The first meeting Yes No

Have members agreed to and signed off the ToR? Are they all clear on their roles and
responsibilities?

Are the format and content of the agenda, minutes, steering committee pack and
standard reports of a high quality?

Does the reporting provide the committee members with clear information so they
can see if the project is on track to meet stakeholders’ requirements? Are there any
risks or issues that threaten the baseline scope, budget, schedule or quality?

Is the information in the steering committee pack provided in a timely way and to the
point, or is there too much information?

Are you only including material that needs approval or helps with decision-making
(e.g. project baselines, traffic light reports on progress, risk register (main risks), Issues
likely to impact scope, project or benefits plan updates, project or phase reviews)?

Is the steering committee clear on the decisions they are being asked to make?

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Appendix G –Project Steering Committee health check

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APPENDICES
N/A

Improvement

requirements
Project Steering Committee health check

High quality
Meets
Needs
Statement

Provision of Information
1. The PSC is kept abreast of trends and issues affecting the market in which
the project operates.
2. The PSC is provided with appropriate information to accurately measure,
monitor and manage the various projects.
3. The PSC has appropriate measures of performance in place to monitor
areas critical for the project’s success
4. PSC papers contain the correct amount and type of information.
5. The Project Manager has reliable internal reporting and compliance
systems.
Operation of the Committee
6. The PSC responds effectively to resolve issues that will impact on the
delivery of the project on time, in scope and on budget.
7. The PSC spends the necessary time reviewing the project’s future plans,
direction and strategies with project management.
8. The PSC members ask appropriate questions of project management.
9. The PSC fosters a climate that encourages serious enquiry and
challenging discussion on all appropriate matters and issues.
10. The PSC discussions enable all views to be heard.
11. The PSC spends most of its time on important issues.
12. The PSC has the right mix of skills expertise and backgrounds.
13. The PSC has a clear understanding of issues important to the
completion of the project.
Role and Organisation of the Committee
14. The role and responsibilities of the PSC are clearly defined and well
understood.
15. The role of the Chairman is clearly defined and well understood.
16. The role of the Project Director/ Project Manager is clearly defined
and well understood.
17. The goals, expectations and concerns of the PSC are effectively
communicated to the Project Management team.
18. The Project Management team have open and constructive
discussion with the PSC.
19. PSC meetings are run efficiently and effectively.
20. The format, timing and duration of PSC meetings is appropriate
Comments:

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Appendix H – Project Control Group Terms of Reference

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 PROJECT CONTROL GROUP (PCG)
TERMS OF REFERENCE (TOR)
Scope The scope applicable the PCG includes:
• PM to list out the project specific scope the RMG is responsible for

Role & Role: The role of the Project Control Group (PCG) is to:
Responsibilities • Be the primary working group which coordinates the management of the project on a day
to day basis;
• Provide recommendations to the Project Steering Committee (PSC) relating to all aspects
of the capital development and undertake actions on behalf of the PSC, within delegated
limits;
• Provide a key forum for the coordination of activities between the project team, the
project manager, and key consultants (architects, services engineers, quantity surveyors)
Responsibility: The responsibilities of the PCG are to:
• Monitor progress against the overall project programme, and take action to address
delays where they occur;
• Develop and review the project planning frameworks, prioritised timelines and
responsibilities;
• Monitor financial progress against budget, taking action as required, within delegated
limits, to maintain progress within budget;
• Resolve project scoping issues at a detailed level, reporting to the PSC as required;
• Ensure close liaison between key client representatives, the project managers, and the key
consultants, and provide clarity on respective roles and responsibilities when required;
• Identify, manage and monitor risk management activities across the project;
• Monitor health and safety activities and ensure compliance and reporting with University
safety systems occurs across the project;
• Monitor quality activities across the project;
• Overview the briefing, engagement and management of the full consultant team, and
construction contractors within levels of delegation;
• Perform actions and respond to the requests as directed by the PSC;
• Contribute to monthly progress reporting and status updates.
Governance The PCG reports to the Project Steering Committee through the Project Director and
& Authority Project Manager. The PCG has decision making power and responsibilities as defined in
the project delegations schedule.
Membership • University Project Director / Project Manager;
• External Project Manager (if engaged for project);
• Project Manager – Organisational Delivery (if appointed) or Senior client/owners
representative;
• Architect;
• Services Engineers;
• Quantity Surveyor;
• Other core consultants;
• Representative from PSD Strategy and Planning Unit;
• Managing Contractor (once engaged);
Consideration should also be given to the following members to ensure integration:
• University ITS Project Manager / Representative (ICT services often critical to project
success and require close coordination through design, construction and commissioning;
• Manager – Construction Health and Safety.
Attendees • Other consultants or University representatives as required.
Quorum 50% of members plus 1.
Presentations / Where agreed by the Chair, other persons may be invited to participate in committee
Other activities. However, such persons do not assume membership or decision-making
Participants authority of the committee.

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 PROJECT CONTROL GROUP (PCG)
TERMS OF REFERENCE (TOR)
Chair, Frequency Chair: Project Manager
& Timing Frequency: As required for the project. Could be fortnightly during design than monthly.
Minimum
of monthly.
Agenda Agenda to be available and distributed with relevant documentation not less than three
working days prior to each meeting. Refer to standard PCG agenda template
Secretariat To be nominated by Chair and usually provided by the PM.
Reports / Papers Reports and papers to be submitted in advance of meetings.
Confidentiality Certain issues being discussed may be of confidential and/or sensitive nature which will
require members to exercise utmost discretion and ensure privileged information remains
confidential.

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TERMS OF REFERENCE (TOR)

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APPENDICES

Appendix I – Project Control Group Agenda

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 PROJECT CONTROL (PCG) AGENDA
Project Project ID
Date Time
Venue

Attendees
Name Initials Position Title Attending Apology
Members

Invited Members

Invited Guests

1. Welcome and Apologies Chair

2. Review and Acceptance of Previous Minutes Chair
3. Review of Actions Arising from Previous Minutes Chair
4. Safety All
5. Authorities & Approvals
6. Design Principal
Consultant
7. ICT Services
8. Budget QS
9. Programme PM
10. Risk & Issues Management PM
11. Items for escalation / Key decisions All
12. Other Business All
13. Next meeting Chair

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Appendix J – Executive Planning Team Terms of Reference

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 EXECUTIVE PLANNING TEAM (EPT)
TERMS OF REFERENCE (TOR)
Summary An Executive Planning Team (EPT) is useful to implement on complex projects with numerous or
varied planning teams and for projects with complex building and operational commissioning
environments. The EPT can effectively deal with operational and design related issues escalated
from the planning teams to avoid the Project Steering Committee (PSC) needing to get involved
or bogged down with matters that can remove focus of the PSC core role. At completion of design
and commencement of construction the EPT can transition its focus from design issues to
operational preparedness and commissioning if the project requires.
Scope The scope applicable the EPT includes:
• PM to list out the project specific scope the EPT is responsible for
Role & Pre Design:
Responsibilities • Determine the core services that are to be delivered as a result of the project;
• Facilitate the development of strategic brief and functional design brief for the
project;
• Oversee and review all service and functional design briefs;
During Design Phases:
• Oversee operational aspects of design;
• Oversee and monitor the work of individual end user design teams and Respond
to operational or business related issues as they arise from each of the User
Planning Teams, resolving conflict and providing guidance as required;
• Monitor issues, roadblocks and risks related to organisational delivery and
provide direction for their management;
• Review schedules of accommodation, designs, equipment schedules and proposals as
they are progressively prepared by the consultants (following their initial review at
planning teams;
• Review and approve interior design schemes and finishes and furniture, fittings &
equipment (FFE);
• Plan or establish sub-committee or working groups to ensure facility is operationally
commissioned when required.
• Endorse end of design phase reports and recommend approval to the PSC;
• Make recommendations to and seek decisions from the PSC;
• Marketing and public relations;
During Construction Phase: The role and responsibilities for the EPT once transitioned
into construction phase is to:
• Act as the peak body for operational services planning and implementation on
the project;
• Peak body for ensuring operational commissioning (as distinct from building
commissioning) is well planned and implemented to ensure service/ facility
opens as scheduled;
• Responsible for ensuring operational preparedness for the building once handed
over. This may include (but not limited to:
o Change management
o Training and familiarisation with new equipment;
o Implementations of new business processes;
o Work force preparedness;

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TERMS OF REFERENCE (TOR)
o New policy and work procedures development;
o Marketing and public relations
• Oversee and monitor the work of individual operational planning and
commissioning groups;
• Ensure service decanting, moves, planning and operational commissioning
activity is integrated with the capital works activity and program
• Monitor issues, roadblocks and risks related to organisational delivery and
provide direction for their management;
• Make recommendations to and seek decisions from the Project Steering
Committee;
Governance The EPT reports to the Project Steering Committee through the Project Manager of
& Authority Organisational Delivery (if appointed) or the Project Owner who chairs the EPT. The EPT
has decision making power and responsibilities as defined in the project delegations
schedule.
Membership • Project Owner (Chair)
• Project Manager of Organisational Delivery (if appointed)
• Project Director (if appointed i.e. if external Project Manager appointed on project)
• Project Manager Capital Projects (Internal or external)
• University ITS PM or Faculty IT Manager
• Project Communications Lead
• Faculty Business Manager
• Representative from Property Services Strategy & Planning Unit (during design phase
only)
• Key representatives from the business as nominated by the Project Owner
Attendees The following shall attend as required:
• Leads of User Planning Teams as required;
• Representative of key Design Reference Groups as required
Quorum 50% of members plus 1.
Presentations / Where agreed by the Chair, other persons may be invited to participate in committee
Other activities. However, such persons do not assume membership or decision-making
Participants authority of the committee.
Chair, Frequency Chair: Project Owner
& Timing Frequency: Minimum of Monthly

Agenda Agenda to be available and distributed with relevant documentation not less than three
working days prior to each meeting. Refer to standard EPT agenda template
Secretariat To be nominated by Chair
Reports / Papers Reports and papers to be submitted in advance of meetings.
Confidentiality Certain issues being discussed may be of confidential and/or sensitive nature which will
require members to exercise utmost discretion and ensure privileged information remains
confidential.
Related Documents • University of Otago Project Governance Framework
and Tools • University of Otago Project Risk Management Framework
• Standard EPT Agenda Template
• Standard EPT Subgroup Reporting Template

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TERMS OF REFERENCE (TOR)

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APPENDICES

Appendix K – Executive Planning Team Agenda

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 EXECUTIVE PLANNING TEAM (EPT) AGENDA
Date and Time Time
Venue

Attendees
Name Initials Position Title Attending Apology
Members

Invited Members

Invited Guests

1. Welcome and Apologies Chair

Items for Discussion

2. Review and Acceptance of Previous Minutes Chair
3. Review of Actions Arising from Previous Minutes Chair
4. Progress Update, Issues, Road Blocks, Risks & Decisions required (refer report template) Leads
Design Team Update (during design phase)
4.1 Organisational Delivery PM’s Update Organisational
Delivery PM
4.2 Capital Works Update and Schedule Capital Works PM
4.3 Information Technology Services & Information Management ICT PM
4.4 Operational Finance & Administration
4.5 Workforce & Change Management
4.6 Orientation & Training
4.7 Marketing & Communication
4.8 Facilities Management Sector FM
5. Risk Management

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 EXECUTIVE PLANNING TEAM (EPT) AGENDA
5.1 Review of Organisational Delivery Risks (extract from project risk register) Organisational
Delivery PM
6. Other Business All
5.1 Site tour
6. Next meeting Chair

Items for Noting

1.
2.
3.
4.

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APPENDICES

Appendix L – EPT Subgroup Report

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 EXECUTIVE PLANNING TEAM (EPT) SUB GROUP REPORT
Project Name
Reporting Period
Group name
Status General Commentary on progress of group

Progress
Key Milestone Planned KPI Status Commentary
Date







 = On track to be met  = Slippage but plan in place to rectify  = Unlikely to be achieved
Other:
Plan for next •
month
Issues & Road •
blocks
Risks •

Information •
Required from
project team or
others
Assumptions / •
Expectations
Resourcing •
(current,
commissioning
and post go live)
Decisions required •

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APPENDICES

Appendix M – User Planning Team Terms of Reference

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 USER PLANNING TEAM (UPT)
TERMS OF REFERENCE (TOR)
Scope The scope applicable the UPT includes:
• PM to list out the project specific scope the UPTs are responsible for

Role & Role: The role of each individual user planning teams (sometimes known as user groups)
Responsibilities is to:
• Ensure that effective input in the planning and design process by faculty or other
occupants of the proposed building occurs at all levels within the organisation, and to
ensure that staff ‘ownership’ of the design of the new facilities occurs;
• To inform the Executive Planning Team (if established) or senior faculty representative or
project owner of operational issues generated by the planning and design process which
either cannot be resolved at the User Planning Team level or which require a decision at
the EPT or senior level;
• Ensure that key service and operational objectives of the project are achieved at the
detailed planning level, through constructively working with the consultant team
members and in particular the Architect, as the floor plans (and other documents) are
prepared.

Responsibilities: The responsibilities of each individual user planning team is to:

• Identify and define user requirements to reflect in the project;
• Provide information to the Project Managers, the Architect and Engineers which ensures
that the facilities design meets the agree user needs;
• Review and comment on the design and documentation as it is produced, bearing in mind
the operational implications inherent in the approved designs;
• Prepare proposed changes to the Functional Design Brief upon which the consultants
work is based for approval by the EPT;
• Consider and evaluation opportunities for achieve service delivery efficiencies;
• Review the detailed schedule of accommodation and the detailed Room Data Sheets
prepared by the consultants prepared by the consultants, and which will set the standard
upon which the facilities will be developed, acknowledging that the outcomes must fall
within the boundaries of cost and space set by the project budget, and as approved
ultimately by the Project Steering Committee;
• Review and sign off on samples and proto-types etc during the construction phase of each
project;
• Ensure that there is appropriate communication of group decisions and recommendations
to all staff in relevant department or service division for which the planning team is
established to represent;
• Assist the EPT or the EPT’s Commissioning Committee with planning for operational
commissioning of the facility.
Governance The UPT reports to the EPT through the Project Manager. User Planning teams are
& Authority advisory teams rather than decision making teams. The EPT has decision making power
and responsibilities.
Membership • Project Manager of Organisational Delivery (if appointed)
• User planning team reps. Number and focus of user planning teams should be established
in conjunction with the Principal Consultant and the PM Organisational Delivery and
Project Owner.
• Principal Consultant and other core consultants as required;
Note: it is best to limit number of members no more than 8. User reps nominated from the
business should ideally be experienced in area, seen as a natural champion for area
representing, forward thinking and good at communicating to enable engagement with
remainder of users they are representing.

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 USER PLANNING TEAM (UPT)
TERMS OF REFERENCE (TOR)
Attendees The following shall attend as required:
• Representatives from key Reference Groups as required;
• Project Officer / Project Procurement Officer for FFE
• Project Manager Capital Projects (Internal or external) as a standing invitee
• Other consultants as required
Quorum Not a decision making forum
Presentations / Not applicable
Other
Participants
Chair, Frequency Chair: Principal Consultant
& Timing Frequency: As agreed and required during planning, design and commissioning.

Agenda To be provided by Principal Consultant if required.

Secretariat Principal Consultant to record meeting minutes and decisions, register and transmit as a
document on aconex (if in use) or electronically if not in use.
Reports / Papers Drawings, Room Data Sheets, reports and papers to be submitted in advance of meetings
and preferably with time for planning team reps to review and engage with other staff
prior to meetings.
Confidentiality Certain issues being discussed may be of confidential and/or sensitive nature which will
require members to exercise utmost discretion and ensure privileged information remains
confidential.
Related Documents • University of Otago Project Governance Framework
and Tools • Design Process Information Sheet for User Planning Teams

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TERMS OF REFERENCE (TOR)

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Appendix N – Information Sheet for User Planning Teams

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 DESIGN PROCESS EXPLAINED
FOR USER PLANNING TEAMS

USER PLANNING TEAMS IN CAPITAL WORKS PROJECTS

END USER REPS & PLANNING TEAM MEMBERS

The role of the end user planning team members is to represent the end users and their business unit
throughout the design and commissioning phases. They are required to consistently attend design
meetings, sign off on design and other deliverables at key stages and actively assist the planning process.

User Planning Team Leaders/Reps should ensure that all appropriate users/stakeholders are engaged
throughout the design & Planning phases.

It is important that the representatives understand that part of their role is to provide a channel for
feedback to all users in their departments and ensure that the design team is provided with clear and
accurate information to inform the design outcome.

There will be a nominated User Planning Team Leader who has the
responsibility of:

• Ensure that all appropriate users/stakeholders are engaged / consulted throughout the design &
planning phases – this often means ensuring information is gather outside of design meetings from
other stakeholders / staff members;
• Ensure actions allocated to the User Planning Teams from meetings are addressed – this may
include finding out information / data related to functions or providing / creating documentation on
the service as required;Ensure members attend the meetings as planned;
• Act as a key co-ordinator for the User Planning Team for the Design Consultants.

User Groups / Planning Teams with the Leader are expected to “sign off” the plans and specifications /
information associated with the Department / Service design at the end of each phase confirming the
acceptance of the design / solution.

WHAT’S IT ALL ABOUT?

The user group process is the interactive process

between:
• The design team (may consist of architects, planners, engineers and other consultants).
• A representative group of those people who are responsible for the functioning department.

WHY?

The purpose of the process is to provide the building designers with an understanding of how each
department functions both in relation to other departments, and within the department, so the design
(and finally the building) is consistent with the way the service will be provided.

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 DESIGN PROCESS EXPLAINED
FOR USER PLANNING TEAMS

STRUCTURE OF PROCESS

Generally a User Group is made up of 3-4 members of a Department / Service. The members should
be representative of the key functional elements of the service. The Process is led by the Design Consultants
(primarily the Architect) – in this regard they set the timing, frequency and provide action minutes of
the outcomes of the meetings.

STAGES IN THE PROCESS

The user group process falls into two broad stages which correspond to the Schematic Design and
Design Development stages of the project.

1) Preliminary Design: The aim is to arrive at the best relationship of rooms within the
department, relative to each other. The schedule of accommodation is refined in conjunction with the
development of a Schematic Layout of the Department. Room Data sheets are commenced.

The number of meetings during this stage will depend on the project type and complexity. As a general rule you
should expect 3-4 meetings that will follow a:

1. Develop – Develop understanding of overall departmental requirements

2. Confirm - Confirm internal and external relationships
3. Refine - Refine the Schematic Layout
4. Sign Off – Sign off the Schematic Layouts.

2) Developed Design: The aim is to clearly define the detailed requirements and design of
every room. Room Data sheets are fully developed and internal detail layouts to show location of furniture,
equipment, power points, gases etc.

The number of meetings during this stage will depend on the project type and complexity. As a general rule you
should expect 3-4 meetings that will follow a similar process to the Schematic Design Stage but in more detail:
1. Develop – Develop understanding of particular departmental and room requirements
2. Confirm - Confirm internal room requirements
3. Refine - Refine the room layouts
4. Sign Off – Sign off the Room Layouts.

It is most important that staff who are working in the departments on a day to day basis be involved in the
process. This is most critical during Design Development Stage.

At the end of each stage the User Group will be asked to “sign off” the documents indicating their
acceptance of the state of the design.

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APPENDICES

Appendix O – Terms of Reference for consultant (external

Project Manager)

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 Request for Proposal for UO DSR

PART C: PROJECT MANAGEMENT CONSULTANCY SERVICES BRIEF

CONTRACT TYPE

The contract type will be the standard University Project Management Services Consultancy Contract
which is included in Appendix A.

INSURANCE REQUIREMENTS

The Consultant shall effect and maintain the following insurances in connection with the provision of the
Consultancy Services:
 Public Liability Insurance - $10,000,000
 Professional Indemnity Insurance - $5,000,000

PROJECT MANAGEMENT CONSULTANCY SERVICES

Stages will include:

 Completion of Detailed Design

 Procurement
 Construction & Contract Administration
 Commissioning
 Post Construction / POE

It is intended that the successful consultant will be engaged to complete all phases of work. However, it
is envisaged that it will be a staged appointment, with approval to proceed to each subsequent phase
subject to client approval at the end of each project phase.

The Consultant Project Manager will be responsible to the Client for the provision of services over the
life of the project.

The Consultant Project Manager will be expected to provide, but not limited to, the following services:

PROJECT MANAGEMENT TERMS OF REFERENCE

GENERAL

The primary intention of the University of Otago in establishing a consultant Project Manager is to have
a single group responsible for the delivery of the project.

The Project Manager shall adopt a leadership role and shall integrate their service within the project
Organisation Structure to promote a holistic team approach to the project.

The Project Manager is to adopt a risk management approach and use reasonable endeavours to
ensure that the client’s specified outcomes are met from the commencement until the completion of the
project.

The Project Manager shall undertake a key co-ordination role throughout the project lifecycle using
reasonable endeavours to ensure successful outcomes are achieved at the completion of each phase

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and shall take overall responsibility for the co-ordination and management of the consultant team, all
suppliers and Contractors.

The Project Manager is to manage and be involved with key stakeholder consultation and management
throughout the course of the project, including community consultation.

The Project Manager will have a close working relationship with the University’s Project Director, the
Dental Schools Project Manager and associated Property Services Division’s Team for the project.

KEY ROLES

The role of the Project Manager is to:

• provide high level advice to the University from commission to completion of the overall
program of works for the project;
• Direct the consultant engagement and management activities across the project;
• Use reasonable endeavours to ensure that all project and consultant activities are coordinated
such that the built result for the project satisfies the service requirements specified by the
client, meets all statutory requirements, regulations, codes and is “fit for purpose” having
regard to the assumptions the Project Manager can be reasonably expected to make in
accordance with sound practice and exercising the level of skill, care and attention that can
reasonably be expected of the Project Manager;
• Use reasonable endeavours to ensure that the Project Working Party is well advised over the
life of the program, and attend all Project Working Party meetings over the life of the project;
• Accept delegated authority for all relevant matters as determined by the Project Working Party
and the contract;
• Use reasonable endeavours to ensure that project management lines of communications are
set out and maintained over the life of the Project;
• Use reasonable endeavours to ensure that all reporting requirements are being met, and in
particular that all cost and time variations across the program are well managed;
• Use reasonable endeavours to ensure that the Programming services are fully provided and
implemented over the life of the Program;
• Use reasonable endeavours to ensure that all contractual processes and procedures, including
procedures for tendering and contract appointments for all consultants and contractors across
the Project are compliant with University requirements and fully implemented and adhered to;
• Use reasonable endeavours to ensure that appropriate risk management, quality assurance
procedures and workplace health and safety obligations are implemented over the life of the
program;
• Use reasonable endeavours to ensure that all Commissioning activities are well coordinated,
and that the activities of the Commissioning Committee (if established) is fully coordinated with
the Building Commissioning activities;
• Be accountable for the delivery of the program of works within the defined Project, Budget and
the reporting of budget status on a regular basis, to the extent of the Project Manager’s
reasonable control.
• Take full responsibility for the day to day project management of the project,

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• Undertake all of the day-to-day consultant and contractor engagement and management tasks
necessary to ensure the smooth running of the project;
• Manage, within agreed delegated limits, the approval and implementation processes for all
cost and time variations across the project;
• Work closely with all key stakeholders from the University and associated parties and build a
close and effective rapport with the Project Control Group and Project Working Party; and
• Undertake the role of Engineer to the Contract, Engineers Rep as well as the role of Project
Manager, in relation to the Construction contracts for the project.
• Use best endeavours to ensure that building defects are avoided, identified and rectified to a
level satisfactory to the client and to relevant standards and specifications of relevant
consultants or other relevant parties.

KEY RESPONSIBILITIES

The Project Manager shall be appointed to undertake, but not be limited to, the following services,
responsibilities and duties related to the program.

It is expected that the Project Manager will work closely with the staff from the Property Services
Division and the School of Dentistry, who will be dealing with both the infrastructure delivery as well as
service delivery and operational issues of the project, to ensure appropriate integration of service
requirements into the built result.

General
• The Project Manager shall exercise reasonable standards of care appropriate for a
professional consultant experienced and skilled in the delivery of such services in respect of
the major projects. The Project Manager acknowledges that the University of Otago is reliant
on the Project Manager to perform to this standard of care.
• Obtain University of Otago approvals as required to progress the project.
• The nominated project management representatives will be required to provide the project
management input to the project, supported by administrative staff as required.
• Use reasonable endeavours to ensure all Project Manager Services are delivered on time and
within agreed budgets.

Management
• Assume overall responsibility for the management and coordination of all development aspects
of the program of all stages of the project, to the extent of the Project Manager’s reasonable
contract. This will include ensuring that relevant data is provided to the Project Working Party
including:
o Monthly Reports
o Value Management Studies
• The Project Manager will be responsible for coordination, consolidation and distribution of all
material required in the above reports, studies etc.
• Accept delegated authority for specific matters determined by the Project Working Party;
• Set out lines of communication and frequency of meetings required for completion of the
design and construction aspects of the Program of works, and establish a reporting system.

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• Develop the management structure including procedures for administration, accounting,

purchasing, approvals, reporting and document circulation. Review with the Project Control
Group / Project Working Party and Consultants and implement.
• Review all design, documentation, construction and variations to the program of work to see
that they are within the terms of the brief, and agreed design and budget limitations.
• Work with the consultant team and University to refine the functional accommodation
requirements, create and manage the accommodation schedule in accordance and
conjunction with the lead consultant.
• Monitor and ensure consultants fulfil their duties in respect to inspections, defects
identification, and rectification, testing and commissioning and issuance of appropriate
certification;
• Assist the University with high level planning, decant and the coordination of the staff from their
current location to the completed fit out in accordance with the overall project programme and
decanting methodology;
• Ensure that a photographic record of key elements of the project is provided to the Property
Services Division at completion.

Liaison
• Coordinate the work of the Principal Consultant and associated sub-consultants, Quantity
Surveyor and other specialist consultants.
• The Project Manager shall:
o Arrange and chair such progress meetings as are necessary for satisfactory co-
ordination of the works with Consultants, Contractors, sub-contractors and suppliers
etc.
o Attend all meetings of the Project Working Party and Project Control Group, prepare
minutes of Project Control Group meetings, circulate to relevant groups and follow up
as required to maintain project momentum.
o Ensure appropriate Project Management staff attend meetings as appropriate to
conduct the project.
• Use reasonable endeavours to ensure all statutory requirements are complied with, and
approvals are obtained as necessary from Government, Councils (Regional and City) other
authorities and bodies having jurisdiction over the Program of Works within the required time
frame. Coordinate and attend any meetings required to achieve approvals.
• Use reasonable endeavours to ensure defects are avoided, readily identified and a robust
defects management and close out system is implemented through to final completion of
project.
• Arrange presentations of the proposals to appropriate authorities and the public and other
requirements arising from the strategy for Consent Approvals.
• Coordinate and attend any public information or community consultation events required
through the course of the project.
• Assist with complaint management investigations, responses and rectification actions if
required;
• Recommend and advise on matters relating to the construction aspects of the Project.

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Reporting

• Attend monthly Project Working Party Meetings in Dunedin. (PWP)

• Report to the Project Working Party at monthly intervals on:
o All project issues requiring decision from the Project Working Party
o Expenditure against budget and estimated cost to completion;
o Actual progress compared with program and work still to be completed
o Design changes and change proposals;
o Variations; and
o Incorporating specialist consultant reports as necessary.

• Prepare a detailed and regularly updated schedule of future activities in keeping with the
requirements of the Master Project Program. Prepare reports and regularly update program
schedules and make recommendations on activities to be expedited to meet predetermined
completion dates.
• Advise the Project Working Party as necessary at all times on public and community relations
and industrial relations in relation to the construction program. Liaise with the University Project
Director in providing appropriate publicity, appropriate complaint management and promotional
material as required, in conjunction with relevant University of Otago marketing and public
relations staff.
• Comply with University of Otago Project Management Framework requirements and assist with
Benefits reporting and Closure Reporting and other required reporting mechanisms.
• Identify all risk items, critical issues and make recommendations and contingency plans to
minimise or negate any adverse impact on the project.

Budget
• Establish, through the Quantity Surveyor, costing systems to continuously monitor the
expenditure to provide feedback to the Project Working Party and ensure that regular updated
cash flow requirements are prepared including:
o Review and report on all payments;
o Contingencies for design and construction;

o Variations to the Project within the brief and budget limitations.

• Use reasonable endeavours to ensure that Cost management of the project occurs from
inception to completion through a Cost Management and contract administration process of
foresight and prognosis (rather than retrospective reporting), aiming always to achieve
maximum value for money for the Client.
• The Project Manager shall report on and effectively manage the project budget at all times in
consultation with the Cost Manager. In all phases of the project the Project Manager shall use
reasonable endeavours to ensure that the project budget is not exceeded.
• The Project Manager shall present progressive estimates, summaries and reports in a format
agreed by the University of Otago to coincide with key project stages.
• The required estimates, summaries and reports are to include:

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o Monthly summary of actual and anticipated expenditure vs. budget. For the For the
project, provided that estimated amount(s), amount(s) committed, and amount(s)
invoiced;
o Predicted/achieved/revised cash flow reports;
o Functional areas/cost analyses and summaries;
o Statements of contingency sum expenditures;
o Progress claims - reports, summaries, calculations;
o Statements and Summaries of all variations and adjustments; and
o Financial Reconciliation reports at Practical Completion and at Final Completion.
• Use reasonable endeavours to ensure that the budget is prepared for the project by the
Quantity Surveyor including accurate cash flow projections. Arrange to re-examine and revise
as necessary for cost control purposes.
• Establish procedures regarding the issuing of variations and their costing and feedback into the
overall cost budget position, and produces costs-to-completion information regularly and keep
the Project Working Party fully informed. Prepare submissions for approval of variations by the
Project Working Party in accordance with the relevant delegations.
• Review all variation and change proposal submittals, provide advice and recommendations in
conjunction with the Quantity Surveyor and report impact on cost, programme and quality.
• Use reasonable endeavours to check that the design produced complies with the overall cost
budget and ensure that design consultants consider such items as cost efficiency in operation
and maintenance. Ensure adequate provisions are made for the most effective form of
services and future requirements. If applicable, demonstrate that energy saving measures
have been incorporated in the project proposals.
• Use reasonable endeavours to ensure that all final accounts are dealt with according to the
contract conditions and that all claims are settled.
• Any opinion or estimate of costs by the Project Manager will be made on the basis of the
Project Manager’s experience and qualifications and will represent the Project Manager’s
judgment as an experienced and qualified consultant, familiar with the relevant industry.
However, the Project Manager has no control over the cost of labour, materials, equipment or
services furnished by others or over contractors’ methods of determining prices or over
competitive bidding or market conditions. Therefore, the Project Manager cannot and does not
guarantee that proposals, bids or actual construction costs will not vary from the Project
Manager’s estimates.

Program

• Develop the Master Program for the Project from the strategic and functional briefing stage to
final completion identifying all critical target dates and milestones to meet the established
completion dates. This schedule will identify the Project Working Party priorities and any
constraints that could interfere with the achievement of the program. Ensure the program is
sensitive to and incorporates appropriate timelines for the service provision tasks undertaken
by the University’s Project Director and the service provisions of the University Faculties and
student timetabling e.g. exams as well as providing appropriate contingencies for Principal
caused delays;

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• Assess all planning, design and pre-tender construction programs as well as implementation
alternatives and regularly update the Master Program for the design, documentation, tender
and construction phase of all projects, and communicate to all parties.
• Monitor design information flow and Project Working Party / Project Control Group approvals
and ensure that program requirements are being achieved.
• Advise the Contractors of program procedures and requirements and use reasonable
endeavours to ensure that program requirements are being achieved including:
o Monitor design information flow and Project Working Party approvals;
o Ensure all on and off-site activities are carefully monitored including preparation of
necessary shop drawings;
o Oversight material availability and ensure orders are initiated on the Principal’s behalf
for long lead time plant and equipment items; and
o Monitor manufacturers’ progress in design, fabrication and delivery of major packages
etc. to ensure that delays to the Master Program do not occur.
• Identify with the Consultants and Contractors and subcontractors problems and anticipated
problems, and take such measures as are necessary to resolve these equitably. Fully report
all potential delays to the Project Working Party.
• Furnish all sub-consultants with a copy of the relevant documents and briefs in order to clearly
establish from the outset, consistency and demarcation in all the services to be provided, and
to obviate duplication, omission or conflict in each sub-consultant’s area of responsibility.
• Prepare all consultant services briefs (including Principal Consultant, Cost Manager, Services
consultants and specialist sub consultants) and advise the University on the scope and content
of work to be undertaken by Consultants, including all Specialist consultant services which may
be required. Assist the University in the selection, negotiations with and appointment of all
Consultants as required. Update and maintain in association with the Project Working Party /
Project Control Group the detailed briefs relevant to the particular consultant disciplines.
• Direct and administer the work of all Consultant Team members, including the certification of
their accounts for payment by the University.
• Coordinate development of briefs for the design and operation of the facility.
• Use reasonable endeavours to ensure that building and resources consent services are
provided and ensure that all necessary certifications are received prior to use of the facilities.
• Advise on alternative methods available for the construction of the facilities and the various
contractual methods that could be utilised. Consider procedures for selection and appointment
of Contractors in conjunction with the Project Steering Committee including the form of
tendering, form of contract, terms of payment and degree of subcontracting required.
• In association with the Principal Consultants and Quantity Surveyor, prepare a, call and
receive tenders, evaluate all tenders received and make recommendations to the Project
Working Party regarding the appointment of the Contractor, subcontractors and suppliers.
• See that the contract documents are properly executed before work starts on site.
• Arrange for the tender process to incorporate any special requirements identified by the Project
Working Party.

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 Request for Proposal for UO DSR

Contractual

• Advise on enabling work contracts required before full documentation.

• Advise on procurement strategies and recommend best for project delivery options and
recommendations in a procurement strategy report.
• Recommend the delivery method for the project including the type and number of contract
packages and any proposed staging or enabling work;
• Seek expressions of interest from building contractors to undertake all or part of the works and
agree with the University;
• Coordinate and prepare construction tender documentation and administer the tender process
on behalf of the University in accordance with University procurement policy.
• Advise on the contractors programme, construction methodology, buildability and other
technical aspects of their tender.
• Together with University tender panel and project staff, assess the tenders received, conduct
post tender interviews / negotiations and prepare a tender report and recommendations for
University approval.
• Formalise award of contract with the successful building contractor(s) and manage the
construction phase of the project to achieve all programme, quality, cost and scope objectives
as detailed in the return brief.
• Administer the construction contract on behalf of the University including performing the role of
engineer and engineers representative to the contract.
• Closely monitor the progress of the work in relation to the agreed programme and cost plan
requirements.
• Undertake site inspections during construction, including management and identification of
defects in conjunction with the consultant team.
• Monitor and ensure consultants fulfil their duties in respect to answering contractor Requests
for information in a timely manner to ensure no delays or claims for extension of time.
• Use reasonable endeavours to ensure that site possession will be available when required
(advise on the site requirements including the prior checking of any security, legal or planning
restrictions affecting the site).
• Act as Engineer to the Contract under the construction contract and use reasonable
endeavours to ensure the issuing of all certificates required under the Conditions of Contract
including certificates of Practical and Final Completion at the appropriate time, and ratify any
payments required.
• Use reasonable endeavours to ensure all Consultants and Contractors carry appropriate
Professional Indemnity and other forms of insurance.
• Administer the construction contracts including inspection of works to be undertaken by the
various design consultants as appropriate.
• Issue contractual certificates for quality compliance, payments, variations, cost adjustments,
extensions of time, practical completion certificates and other matters included in the
construction contract and where appropriate, for payment by the University.
• Advise the Project Working Party when:
o Certificates of Practical Completion and Final Certificates are to be issued to allow the
Commissioning Committee to participate in Pre-handover inspections; and
o The project or relevant parts of the project are fit for use and/or occupation and/or
client training purposes.
• Use reasonable endeavours to ensure provision of suitable prototypes of various components
as required, for assessment and approval by the University prior to full implementation in the
works.

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• Place orders on behalf of the Principal and negotiate and agree the scope of works relating to
public utilities, Statutory Authorities and other bodies having jurisdiction over the works to
ensure their works occur according to program requirements, where this is not a Contractor’s
responsibility.
• Investigate and resolve any adjacent owner/occupier issues, including for example
preservation orders, rights of way or easements. Ensure that the statutory authorities can
provide the basic services required to service the facilities.
• Use reasonable endeavours to ensure Contractors’ site meetings take place as required, and
review construction progress on the project, discussing all relevant technical and financial
matters. Use reasonable endeavours to ensure the issuing of Contractors’ site meeting
minutes (normally prepared by the Contractor) to all relevant parties.
• Review the Contractor’s construction program, including implementation alternatives as may
be considered from time to time.
• Prepare recommendations on corrective measures to be adopted by all participants to maintain
the agreed Master Program.
• Monitor and advise the client on each Contractor’s performance generally, with particular
regard to achieving time, cost and quality objectives. Check and negotiate any costs in relation
to extension of time claims.

Quality Assurance
• Establish, review, update the brief and ensure approvals are in place, as a living document to
be checked at key milestones throughout the project. Ensure the brief is approved by the PWP
and the options report with recommendation submitted within programme to the PWP for
approval.
• Establish structure for quality management, including review, approval, and variation and
reporting procedures. Prepare recommendations for University approval.
• Undertake site inspections during construction, including management and identification of
defects in conjunction with the consultant team.
• Undertake an assessment of issues in relation to ongoing quality assurance and asset
management, including the aims of minimising recurrent costs and maximising energy
efficiency principles.
• Use reasonable endeavours to ensure that all quality control and testing requirements are
clearly established across the project by all participants.
• Establish the projects requirements on such matters as liquidated damages, insurance
requirements, compliance with regulations and tendering processes etc, and ensure these are
incorporated into the project quality plans.
• Oversee the completion of contract documents for construction in accordance with the agreed
quality plans.
• Review the works during the defects liability period, and inspect in conjunction with the
Principal Consultant and the University’s representatives i.e. Property Services project team
and faculty staff at the expiration of this time. Release retentions or other forms of guarantee at
the expiration of each defects liability period.
• Use reasonable endeavours to ensure that adequate access is provided to all engineering
service installations, to allow for ease of future maintenance and replacement of services with
minimisation of disruption/interruption of existing services.
• Ensure that University key stakeholders have sufficient time and expert advice required to
review all contract documentation and specifications;

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Health & Safety

• Use reasonable endeavours to ensure the client is aware of their health and safety
responsibilities.
• Use reasonable endeavours to ensure designers are aware of their OHS safety-in design
responsibilities.
• Use reasonable endeavours to ensure that Health and Safety is a key element in contractor
selection;
• Ensure all known hazards are identified to contractors
• Use reasonable endeavours to ensure any contractor working on the project can demonstrate
compliance with all relevant legislation includling regulations; ACOP’s; NZ Standards,
University requirements and WorkSafe good practice and fact sheets;
• Ensure site specific safety plans are submitted and approved prior to any works commencing;
• Liaise with the University Construction Safety Manager.
• Use reasonable endeavours to ensure that notifiable high risk works notification shave
occurred;
• Required inductions have and are occurring;
• Use reasonable endeavours to ensure that the construction Contractor is aware of its health
and safety responsibilities and provides and maintains a Health and Safety policy that includes
an OHS management system/manual/plan, documented incident reporting procedures, OHS
training, risk assessments and task/equipment specific safe working procedures/plans.
• Use reasonable endeavours to ensure project transitions and is compliant with new legislation
as it takes effect.

Commissioning

• It is the Consultant Project Managers responsibility to lead the building commissioning aspects
of the project. The Consultant Project Manager is to arrange appropriate representation and
frequency of a building commissioning sub-committee to ensure that the building and its
services is commissioned and thoroughly tested and all statutory and University requirements
are met on time.
• Arrange for Certificates of Code Compliance;
• Use reasonable endeavours to ensure that all necessary construction and equipment operating
manuals and as built drawings are supplied to the University for the project;
• In conjunction with the Commissioning Committee, and at the direction of the Project Working
Party ensure that all Commissioning activities are fully coordinated, as outlined elsewhere in
the Brief;
• Liaise with the relevant Commissioning Committee in relation to the preparation of furniture
and equipment schedules noting that the tendering, ordering, receiving, final placement and
performance testing of all reusable and new items is to be the responsibility of the relevant
officer.
• Use reasonable endeavours to ensure that all required pre commissioning checks are carried

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 Request for Proposal for UO DSR

out as necessary for the plant, equipment and buildings. Where required by the Project
Working Party, arrange for training, additional commissioning, testing and implementation
phasing to suit the requirements of the University and ensure the efficient operation of the
plant, buildings, and built-in equipment items.
• Use reasonable endeavours to ensure adequate provision of consultant services to cover the
commissioning phase of each project, including adequate attendance by architectural,
engineering and other consultants to ensure that the commissioning of the facility proceeds
smoothly.
• Lead the defects management aspects of the project. The Consultant Project Manager is to
arrange appropriate representation and frequency of a defects management working group to
ensure that the building and its services defects are avoided as much as possible, are readily
identified, a robust and streamlined defects identification and close out system is implemented.
• The Consultant Project Manager is to also ensure that all defects are appropriately closed out
by the appropriate party to ensure satisfactory measures and rectification has occurred.
• The consultant project manager is to prepare in association with the design consultants a
detailed schedule of all items for on-going maintenance, the maintenance regime and
frequency of maintenance at practical completion. The schedule is to include all elements,
including architectural items such as door closers, automatic window openers etc
• The consultant project manager is to provide a monthly maintenance report during the
maintenance period, confirming the contractor is maintaining the building elements in
accordance with the prepared schedule at practical completion and specified systems in
accordance with the planned maintenance schedules. At the end of the maintenance period
provide a consolidated report with compliance certificates, evidence of maintenance, to allow
the building warrant of fitness to be reissued.

Review

• Use reasonable endeavours to ensure life cycle cost analyses of major elements of plant,
equipment and other elements occur, where the capital and recurrent costs involved are such
that life cycle costings are justified.
• If required Co-ordinate and undertake Value Management Reviews as required by the Project
Working Party, including the engagement of an independent Value Management facilitator,
planning consultant/technical adviser or other support as required.
• Use reasonable endeavours to ensure that appropriate equipment and plant operational
policies are developed by the consultant Engineers, in turn ensuring that the engineering
services infrastructure for the project is able to operate at a recurrent cost level that is
acceptable to, and sustainable by, the University;
• With the consultants, monitor the performance of the completed works during the defects
liability period of the construction contract, and ensure the reporting of defects and attention to
rectification is thorough, punctual and causes minimum disruption to occupants.

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 Request for Proposal for UO DSR

Resourcing
• Use reasonable endeavours to ensure that the Consultants and Contractors make adequate
personnel available for the fully professional execution of their obligations, throughout all
phases of the project.

Ecologically Sustainable Development

• Use reasonable endeavours to ensure buildings are environmentally efficient. Energy saving
measures are to be an integral part of the project documentation and are to be documented by
the Engineering consultants and signed off by the Mater prior to tenders being called.

Risk

• Use reasonable endeavours to ensure that risk management is planned, risks identified,
analysed and have treatment planned and is continually monitored and controlled.
• A risk management plan and register is mandatory and is required to be created and
maintained on the sharepoint project site.

Post Occupancy
• Lead & participate in a Post Occupancy Evaluation (POE) and coordinate the preparation of a
post occupancy Evaluation Report following twelve months operation of the completed
facilities.

Benefits Management

• A Benefits Management approach is to be applied. This should include the identification,

realisation, monitoring and control of benefits.
• Project Managers are responsible for providing the sponsor/business owners with all
necessary tools and information for the post program benefits assessment and reporting.

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APPENDICES

Appendix P – Project Steering Committee report template

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PROGRESS REPORT
PROJECT: COMMERCE BUILDING
PROJECT NO:
DATE:
CAPITAL PROJECTS UNIT
PROPERTY SERVICES DIVISION
UNIVERSITY OF OTAGO
 Document Control

Document ID: C:\USERS\SWILLIS\DOCUMENTS\TAKE HOME WORK\PROGRESS REPORT.DOCX

Version Date Revision Details Author Endorsed Approved
no

1 Dd/mm/yyyy Original SW

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TABLE OF CONTENTS

1. Introduction _________________________________________________________________________________________ 2
2. Benefits Realisation _________________________________________________________________________________ 2
3. Authorities & Approvals ____________________________________________________________________________ 2
4. Procurement ________________________________________________________________________________________ 3
5. Design Progress _____________________________________________________________________________________ 5
6. Construction Progress ______________________________________________________________________________ 5
7. Scope Management _________________________________________________________________________________ 6
8. Financial Report_____________________________________________________________________________________ 7
9. Programme __________________________________________________________________________________________ 8
10. Issues ______________________________________________________________________________________________ 9
11. Risk ________________________________________________________________________________________________ 9
12. Commissioning _________________________________________________________________________________ 10
13. Stakeholders & Communications _____________________________________________________________ 10
14. Quality___________________________________________________________________________________________ 12
15. Health & Safety _________________________________________________________________________________ 12
16. Project Office / Client Costs ___________________________________________________________________ 12
17. Next Month Look Ahead _______________________________________________________________________ 12
Appendix A – Cost / QS Report ________________________________________________________________________ 15
Appendix B – Consultant Reports _____________________________________________________________________ 16
Appendix C – Contractors Report _____________________________________________________________________ 17
Appendix D – Master Programme _____________________________________________________________________ 18
Appendix E – Risk Register ____________________________________________________________________________ 19

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EXECUTIVE SUMMARY
PROJECT STATUS SUMMARY
Project Name
Project ID
Project Sponsor
Business Owner
Reporting Period

KPIs Status Commentary

Benefits
Budget
Milestones
Risk Management
Issue Management
Safety
On Track & Managed Serious and may impact project objectives Critical and is impacting project objectives

Red Flag Issues

(issues requiring
urgent attention/
resolution or are
decisions required
from the PWP

Financial Summary
Total Approved
Budget
Forecast Completion
Cost
Expenditure to
Date

General Commentary

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1. Introduction
This report has been prepared for the 1st meeting of the Project Working Party Committee to be held on
Wednesday 17th October 2015. This report covers all activities since the previous monthly report.

2. Benefits Realisation
Benefit Benefit Description Status Commentary
B1
B2

On track to be realised or is now realised Unlikely to realise full benefit Will not be realised

If any benefits or key project objectives were identified in CAWSEP approval, insert detail in table.

3. Authorities & Approvals

3.1. UNIVERSITY

Provide commentary on what current approval is in place i.e. if and when CAWSEP approved, number, any
other subsequent or forthcoming approvals required from CDC, Council, VCAG etc.

3.2. DUNEDIN CITY COUNCIL:

3.2.1. Resource Consent

Provide commentary on what current status is or what still required to be achieved.

3.2.2. Building Consent

Provide commentary on what current status is or what still required to be achieved.

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3.3. OTAGO REGIONAL COUNCIL

Provide commentary on what current status is or what still required to be achieved.

3.4. HERITAGE NZ

Provide commentary on what current status is or what still required to be achieved.

3.5. OTHER

Provide commentary on what current status is or what still required to be achieved.

PWP to note.

4. Procurement
4.1. MANAGEMENT TEAM
4.1.1. Consultant Project Manager

Provide commentary on what current status is or what still required to be achieved.

4.1.2. Quantity Surveyor / Cost Manager

Provide commentary on what current status is or what still required to be achieved.

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4.2. DESIGN TEAM
4.2.1. Architect

Provide commentary on what current status is or what still required to be achieved. Any progress/performance
issues, variations etc.

4.2.2. Service Engineers

Provide commentary on what current status is or what still required to be achieved. Any progress/performance
issues, variations etc.

4.2.3. Other

Provide commentary on what current status is or what still required to be achieved. Any progress/performance
issues, variations etc.

4.3. CONSTRUCTION

Provide commentary on what current strategy / status is or what still required to be achieved. Any
progress/performance issues, variations etc.

4.4. FF&E

Provide commentary on what current status is or what still required to be achieved. Provide information re %
of FFE procured, procurement against key dates in design, construction, preparedness for operational
commissioning etc.

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4.5. ICT

Provide commentary on what current status is or what still required to be achieved. Provide information re %
of ICT equipment procured, procurement against key dates in design, construction, preparedness for
operational commissioning etc.

PWP to note.

5. Design Progress

Provide commentary on status of design aspects of the project. Please note that this should also include any
commentary on any key items or concerns raised in the consultant reports or if in general agreement with
report.

PWP to note.

6. Construction Progress
6.1. CONSTRUCTION UPDATE

Provide commentary on status of construction aspects of the project. Please note that this should also include
any commentary on any key items or concerns raised in the contractor monthly reports or if in general
agreement with report.

6.2. PROGRESS PHOTOS

No more than 1 a4 page of photos.

PWP to note.

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7. Scope Management
The current approved baseline scope is defined by the xxxxx , was endorsed by xxxxx and was approved by
xxxxx on xxxxx

7.1. PENDING CHANGE PROPOSALS

CP No. Subject Estimate Current Status Funding Source

7.1.1. Change Proposal Decisions required by Project Working Party

•

7.2. CHANGE PROPOSALS APPROVED

The table below provides an overview of change proposals approved by the PWP to date.

CP No. Subject Cost Proposed Funding

Source

PWP to note.

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8. Financial Report

Refer to the Quantity Surveyors report in appendix A for detailed financial information.
(ensure the QS report includes a detailed month by month cash flow for remainder of project)

8.1. PROJECT FUNDING AND COST SUMMARY

The project budget of $xx was approved in XXX. At the time of approval the budget was a category xxx

Financial Summary
Total Approved Budget
Forecast Completion
Cost
Expenditure to Date
Planned Value to date i.e the planned budget position for the period

Provide commentary on project financials. Deviations from cash flow etc i.e. provide narrative as to why
your expenditure is more or less than the planned value to date..

Consider inserting Earned Value / Planned Value graph

Budget Forecast Expenditure Forecast (against

Cost to budget) Surplus /
Complete Deficit
Construction
Professional
Fees &
Disbursements
Client Costs
FF&E
Project
Contingency
Total

8.2. CONTINGENCY
The contingency status for the project is outlined in the table below:

Contingency Type Amount

Construction & Design $
Professional Fees $
FF&E $
Project $

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9. Programme
9.1. PROGRAM STATUS

Provide commentary on status of program, how things are tracking etc.. Any concerns and what is being done
about it etc. Please note that this should also include any commentary on program related issues raised in the
consultant / contractor monthly reports or if in general agreement with report.

9.1.1. Potential Programme Delays

Identify current issues or risks that are looking like impacting the programme. Outline what corrective action
the project team is taking to deal with this.

9.1.2. Contingency / Delay Allowance Status

Brief commentary on how much float is left in the programme to achieve the agreed delivery dates. This float
may exist in your design, construction or as a general allowance of time across the whole project programme.
This is important for the PWP when making decisions re scope changes etc

9.2. PROGRAMME SUMMARY / KEY MILESTONES

A summary of key dates from the approved project Programme are below:

Milestone Program Date Status/Commentary

PWP to note.

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10. Issues
Issues are no longer a risks. Issues were risks that have now been realised and the project team is currently
dealing with the issue. Any issue outside of the day to day direct control of the project management team
should be identified with actions project team is taking to resolve issue.

10.1. SUMMARY OF KEY ISSUES

Issue Commentary

10.2. DECISIONS REQUIRED FROM PWP

•

Clearly articulate what you need of the PWP in relation to any of the issues i.e. a decision, guidance, member to
influence / action etc.

11. Risk
A full risk register is provided in appendix E.

Please ensure that the risk management approach / matrix etc is compliant with the University’s Risk
Management Framework.

Don’t confuse risk management with Issue management.

The following table summarises the movement of the total number of risks from last month to this month.

Rating This Month Last Month

Very High
High
Medium
Low
PWP to note.

The following risks are rated as either Very High or High. Further risk workshops and risk treatment will
occur in future and throughout the project.

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In accordance with the university Risk Management Framework, risks identified as High or Very High are
required to be reported to management as such table below provides the identification of those risks. Do not
replicate the risk register which is in the appendix. Just identify risks that are High or Very High and at the
residual level i.e. the level with your mitigation/treatment in place.

Risk Risk Level Changes from

Last Report
(i.e. new,
increased,
decreased)

PWP to note.

12. Commissioning
12.1. BUILDING AND SERVICES COMMISSIONING

Provide commentary on status of planning or progress with respect to the building and services commissioning
of the project.,

12.2. OPERATIONAL COMMISSIONING

Provide commentary on status of planning or progress with respect to the occupancy planning of the project.
As this is largely knew to the team, you should obtain progress commentary from end user etc or provide
commentary on how project team is preparing the future building occupants to prepare for handover.

13. Stakeholders & Communications

13.1. END USERS

Provide commentary on status of engagement / communication with the end users i.e. just completed design
meetings with all end user groups or have upcoming end of DD stage presentation, lacking engagement by xxxx
etc. This could also include consumer engagement activities / involvement commentary.

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13.2. REFERENCE GROUPS
Reference groups are the internal groups that the project team should be considered as expert advisors in
design and implementation. Provide commentary and demonstrate that the project team has or is to
proactively engage and include these important groups input into project.

13.2.1. Health & Safety

13.2.2. Property Services

13.2.3. Information Technology

13.2.4. Accessibility Office

13.2.5. Sustainability

13.2.6. Security

13.2.7. Cultural Office

13.2.8. Marketing & Communications

13.2.9. Neighbouring University Facilities / Departments

13.3. EXTERNAL STAKEHOLDERS

Provide commentary and demonstrate that the project team is proactively engaging with key external
stakeholders that have high importance and high influence on success of project.

13.3.1. Dunedin City Council

13.3.2. Otago Regional Council

13.3.3. Neighbouring Properties

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14. Quality

Provide commentary on how the project team is ensuring good quality management practice is occurring in all
phases of the project i.e. what is project team doing to ensure quality in design, how is project team ensuring
quality throughout construction. What is plan for defect management etc. i.e. demonstrate the project team is
managing quality and protecting the universities interest in ensuring a quality project is delivered?

15. Health & Safety

15.1. SAFETY IN DESIGN

How is safety being dealt with in design stage.

15.2. SAFETY MANAGEMENT

How is project team managing safety of client, contractors, consultants, visitors etc during the project?

16. Property Services & Project Office

Provide any relevant commentary on project management from the UoO team that may not be covered
elsewhere. i.e decanting planning or activity not managed by the consultant team, Project Manager going on
long term leave, resource changes/additions, etc.

17. Next Month Look Ahead

• Self-explanatory. Dot point brief high level summary relevant to each section below. Use it as prompt
for your own planning and preparation.

The main focus for the coming month will be:

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PROGRESS REPORT
17.1. Authorities & approvals

17.2. Procurement

17.3. Design

17.4. Construction

17.5. Scope

17.6. Stakeholder & Communications

17.7. Quality

17.8. Health and Safety

17.9. Commissioning

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APPENDICES

Appendix Q – Student Associations

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 Consultation Pathways for Capital Development Projects that Directly Impact the
Living or Learning Environments of Students.
At OUSA, we hold affiliations with well over 100 student clubs and societies, below is a table of
faculty and divisional societies* which could be used for the consultation processes with affected
student stakeholders.

The top four highlighted societies are the largest, best resourced groups as they are either divisional
(i.e COMSA, ATOM), or are competitive entry pathway courses (i.e SOULS, OUMSA) thus tend to be
more cohesive and have better access to the likes of regular and external funding. They often put on
several events for their students such as Balls, Wine and Cheese nights, Relay for Life teams,
organised sporting events and have dependable/contested executive elections.

The others are smaller faculty groups, with less ongoing or secured funding, but I have only included
ones that have very active Facebook pages and/or Executives who have organise the occasional
event in 2016. They appear organised enough to turn out groups of students for consultancy
purposes. It is important to address that sometimes the reliability of the existence of these smaller
groups can depend on the student cohort from year to year. Occasionally groups are disbanded, but
usually are recreated a couple of years later- therefore there may in future be other societies to add
to this list. In the case of there not being a relevant society in existence, I have provided a secondary
table as a potential solution to ensure student input.

Faculty/ Division Society Name Email contact

Commerce Students COMSA comsaotago@gmail.com
Association
**Medical Students’ OUMSA president@oumsa.org
Association
Science Students’ ATOM atom.otago@gmail.com
Association
Society of Otago University SOULS souls@otago.ac.nz
Law Students’

Otago University OUPS otago.postgraduates@gmail.com.

Postgraduate Society
Otago Students’ UOAS uoanthropologysociety@gmail.com
Anthropology Society
Otago Students’ Geological OSGS osgeolsoc@gmail.com
Society
* Student groups and contact details are still active and up to date as of 26/08/2016

**A new student committee is currently in the process of being established, with a membership set
to include the student presidents from the New Zealand Association of Pharmacy Students’ (Otago
Branch), Otago Medical Students’ Association, New Zealand Dental Students Association (Otago
Branch), Otago Physio Students’ Association and the Otago Medical Laboratory Science Students’
Association. Although they not yet functional, I envision that this will be an ideal group to add to this
list. Furthermore, as I have not added the Health Science societies outside the Medical Students’
Association to this list, I wanted to draw your attention to them here because they too are very
active associations, just on a smaller scale than OUMSA.
If during any year one or more of the above student groups has not been established or is proving
uncommunicative, provided below is a table of potentially relevant OUSA Executive Sub-Committees
with which consultancy can occur.

Education Committee EDCOM Consists of Chaired by Education

representatives from Officer:
all divisions, and all education@ousa.org.nz
year levels. Often
from the Class Rep
system. Usually
chosen by
application.
Welfare Committee WELCOM Consists of students Chaired by Welfare
interested in Welfare Officer:
issues. Usually welfare@ousa.org.nz
chosen by
application.
Colleges Committee N/A Consists of Chaired by Colleges
representatives/ Officer:
Presidents*** from colleges@ousa.org.nz
every University
Residential College.
International ICOM Consists of all Chaired by International
Committee presidents of Officer:
International Clubs, international@ousa.org.nz
and governed by an
executive with
representatives from
several of the clubs.
***To note: Some colleges have very active student executives elected annually. This includes the
two affiliated colleges Knox (KCSC) and Selwyn (SCSA), but also St Margaret’s. Most colleges will at
least have an elected president, and usually two other general executive members though their level
of activity and engagement varies greatly from college to college. The Postgraduate Society is often
the best access to Abbey College students.