Portfolio and Project Management

Framework

1. Purpose
The Portfolio and Project Management (PPM) Framework is intended to guide UNE Portfolio, Program and
Project Managers through the governance and management requirements for each stage of the project
lifecycle. The Framework is to be used by all UNE project managers for IT, IM and business process projects.
It does not cover research, collaboration or building projects where specific rules and regulations apply. In
those cases, the Framework may be used for general guidance and project managers will need to seek
specific guidance pertaining to research, collaboration and building projects. The Framework is based on a
dispersed model, whereby project management will be undertaken within business units (and not through
a centralised project management office) and subject to portfolio and project governance arrangements.
The Framework is intended as a dynamic document and will be subject to regular review and updating.

2. Framework principles
1. Enables the strategic objectives of the University.
2. Supports and encourages active and effective portfolio/project governance.
3. Articulates clear lines of authority and accountability for decision making and approvals.
4. Ensures transparency and compliance within the organisation.
5. Provides consistent and fit for purpose expectations, standards, processes and documentation.
6. Allows for flexibility in project delivery methodologies to suit individual projects within UNE
common standards.

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3. Portfolio Management
A portfolio is a group of related projects with synergies or dependencies delivering on specific strategic
objectives. Portfolio management refers to the management of a project and program portfolio to achieve
those objectives. It is concerned with achievement of benefits, compared to project and program
management, which are concerned with delivery of outputs within quality, schedule and cost constraints.

Processes
1. Strategy – setting strategic objectives at the portfolio level
2. Enterprise architecture – understanding and informing the technical and digital landscape
3. Planning – managing a pipeline of projects to meet strategic objectives and business outcomes
emerging from strategic planning, market research and/or business consultation
4. Prioritisation – selecting the right fit of projects at the right time to meet strategic objectives
5. Sequencing – investing in projects through time to maximise the benefits from investment
6. Realisation of benefits – managing project performance and risk to ensure projects deliver benefits
and synergistic opportunities are captured
7. Resource management – ensuring the portfolio is appropriately resourced to deliver benefits and
managing resource conflicts
8. Risk management – mitigate strategic risk at the portfolio level and ensure a balanced portfolio,
some projects being higher risk than others, and
9. Performance management – monitor the performance of the portfolio as a whole with line of sight
to project performance via appropriate governance mechanisms.

Requirements
1. All University projects will be managed through a portfolio. Portfolios will have a governance
structure approved by the VC (or delegate) and will be overseen by an Executive Sponsor. Typically,
this will include a portfolio advisory committee. The portfolios include:
a. Strategic initiatives aligned with the Strategic Plan
b. The capital portfolio, or
c. A project portfolio managed within a business area.
2. All portfolios will have a designated portfolio manager. The portfolio manager will be responsible
for managing the portfolio under direction of the portfolio sponsor/Executive.
3. Portfolio managers will develop and maintain portfolio plans for a planning horizon relevant to the
portfolio and including a one-year and either a ‘rolling’ three- or five-year plan.
4. Portfolio managers will develop criteria for project prioritisation and update as needed.
5. Projects require approved commencement documentation. Projects will be approved in two stages
– first, a concept brief, and later, a business case (revision of concept brief for small projects).
6. Project funding approval is at portfolio level via the annual UNE budget process budget. Approval
of a project Business Case is not an automatic approval for budget. Budget must be approved
before commencement of a project.

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 7. Small/medium projects will be managed within Programs comprising projects that are co-
dependent or share resources. Performance will be monitored at the Program or business unit
level.
8. The portfolio manager will monitor and report on portfolio performance to the Executive Sponsor
and portfolio advisory committee.
9. The Executive Sponsor will be responsible for ensuring adequate reporting of portfolio
performance to Executive Team, VC and Council as appropriate.
10. Performance monitoring will focus on achievement of strategic objectives, benefits realisation,
project prioritisation, portfolio risk and portfolio resourcing.
11. The portfolio will request regular project and program progress reports from project managers
during the life of the project, and business owners of benefits following project closure.

Guidance and templates

- Portfolio Advisory Committee Terms of Reference
- Portfolio status report template and dashboard

4. Program and project management

Program and Project Management
A program is a tight or loosely related group of projects that are managed under one governance structure,
either to manage synergies or dependencies across projects or to manage project resourcing where
resources are shared across the projects.
A project is a unique piece of work with a set timeframe (it is not continuing) that is undertaken outside of
‘business as usual’ operations. Project management covers the entire lifecycle of a project – from when it is
initiated, planned, implemented and transitioned to operations.
Through the lifecycle of a project, authorisation is provided at key stages based on documentation and
demonstration of progress. The governance process requires projects to proceed through a minimum of
four stages with approval required at each stage. This Framework does not support a single project
management methodology. Project managers are encouraged to use the most appropriate project
management methodology for the type of project they are managing.

Project Lifecycle
1. Initiation – approval of a concept brief and subsequent business case and authorisation to
commence.
The first stage requires approval of the concept brief initially, followed by approval of the business
case. For some major projects, an initiation stage plan may be approved to authorise seed funding
for early work (eg market research, design documents) required to inform development of a
business case.
2. Planning – start of the project and approval of a project management plan.
The second stage develops planning documentation, undertakes consultation and undertakes risk
assessment. An approved project management plan is required to proceed to execution.

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 3. Execution – project management and performance monitoring.
The third stage executes the project using an agreed project management methodology. For major
projects, the project may proceed over multiple stages with review and approval required to
proceed from one stage to the next. Regular performance monitoring is required for all projects.
4. Completion – project closure, benefits review and transition to operations.
The final stage of the project involves project closure (finances, records, data) and review of project
outcomes, benefits and key learnings. This stage involves transition to operations (where relevant).

EXECUTION CLOSING A
IDEA INITIATION PLANNING PROJECT/STAGE
PROJECT/STAGE

• Concept brief • Business case • PMP • Status reports • End stage/Close

report
• Approval • Approval • Risk register • Risk register
• Lessons learned
• Assigned to • Benefits • Decision Log
portfolio realisation plan • Approval
• Budget
• Budget • Stakeholder control/financial
Approval engagement plan tracking
• Approval • Change request

• Transition plan

Processes
1. Project initiation and development of a business case
2. Project governance and performance management
3. Planning and resourcing
4. Project management and performance monitoring
5. Procurement, contract and vendor/supplier management
6. Management of project finances, resources, timelines, information and risk,
7. Delivery of project objectives and outcomes
8. Stakeholder engagement and communications, and
9. Management of change associated with the project including transition to operations.

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Requirements
1. All programs and projects are to be assigned to a portfolio, categorised (refer to the sizing guide)
and recorded in a project register. This will be undertaken during project initiation.
2. All projects must have approved budget before commencement. For small projects this budget
approval can be a cost centre level if budget is available, for medium and major projects funding is
approved via the portfolio submission in the annual UNE budget process.
3. All programs and projects require a governance structure to be approved at the time of
commencement. Typically, major projects or larger programs will require a steering committee.
4. All programs and projects require a project owner who is the executive or business unit sponsor for
the work. This person will be the responsible university delegate in the governance structure.
5. All programs and major projects require a designated project manager with appropriate project
management expertise and with access to training and continuing professional development.
6. Project Managers will be responsible for project delivery including planning, execution, delivery
and achievement of project outcomes.
7. Project Managers will oversee the preparation of all project documentation including a business
case, budget, Project Management Plan (PMP), risk management plan, benefits realisation plan,
stakeholder engagement and communication plan, status reports, risk register and project review.
8. Project Managers are responsible for performance reporting, financial and resource management,
risk management, information management and record keeping in line with University policies.
9. Project Managers will report on performance to the portfolio manager. Major projects may report
to multiple portfolios and in this case, the same reporting will be acceptable. Reporting will include
progress against delivery, milestones, timelines, finances, risk and benefits (as per PMP).

Guidance and templates

- Initiation
o Project approvals, governance and documentation guide
o Concept brief template
o Business case template
- Planning
o Project management plan template
o Benefits realisation plan
o Stakeholder engagement / communication plan (to come)
o Risk register template and assessment matrix
- Execution
o Project status report template
o Project decision log template
o Change request template
o Transition plan template

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 o Budget control / financial tracking template (under development)
o Meeting minutes, agendas and action sheets

5. Governance
Project governance focusses on strategic management of resources, realisation of benefits, monitoring of
performance, management of risk, achievement of outcomes and financial accountability. Responsibilities
are shared between the portfolio manager, program/project executive sponsor and project manager.

Project governance
Portfolio governance Program/project governance Project Management
Identify strategic opportunities Executive oversight Project management processes
Address strategic risks Stage gate review and approvals Committee secretariat
Program/project assessment Performance monitoring Status reporting
Prioritisation Project assurance Financial management
Resource allocation Monitor resourcing and finances Risk management
Benefits realisation Monitor project risk Information management
Project review / lessons learned Monitor benefits realisation Change management

Portfolio
Each portfolio will be governed by a committee chaired by a University delegate. For Strategic portfolios,
the governance committee will be chaired by a Senior Executive. Other portfolios may be chaired by the
head of a business unit. Portfolio governance committees will have Terms of Reference approved by the
executive sponsor and will abide by University policies relating to the conduct of University governance
committees. Responsibilities and accountabilities will be set by University policy and defined in the terms of
reference. Each portfolio will have a designated portfolio manager with responsibilities detailed in the
terms of reference for the governance committee and at least including scheduling of meetings, committee
secretariat, record keeping, status reporting and oversight of committee actions.

Programs and Projects

Each program and project will be governed according to a governance structure set out in an approved
business case. This will at least include a Project Owner (who will be a University delegate – a Senior
Executive, head of a business unit or a senior officer of the University) who will take overall responsibility
for the project and will ultimately be accountable for performance, risk and financial management.

Project Steering Committees

Major projects (according to the sizing guide) require a project steering committee within their governance
structure due to the complexity of decision making and a need for Executive oversight. Steering
committees will have Terms of Reference to be approved by Executive and will abide by University policies
relating to the conduct, responsibilities and accountability of University governance committees.
The Chair of the Steering Committee is to abide by UNE policies in establishing the Committee and selecting
members. Members may be selected from the University community (with consideration of diversity),
stakeholders, beneficiaries or specialist expertise or responsibilities associated with the project.

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The Chair is to give consideration to including representatives of business areas providing project-
dependent services. This may include, for example, Technical and Data Services, Procurement, Business
Intelligence. Guidance (and training) will be made available to steering committee members.
Program and Project Managers will have responsibilities detailed within the terms of reference for the
governance committee and at least including scheduling of meetings, management of committee
secretariat, record keeping, performance reporting and oversight of committee actions and decisions.
The project steering committee may approve a sub-committee (comprising selected members of the
steering committee) or working groups to support the project. For major projects these are likely to include
an implementation working group, user/stakeholder reference group and a procurement sub-committee.

Guidance and templates

- Project approvals, governance and documentation guidelines
- Steering Committee Terms of Reference template
- Steering and Stakeholder group agenda, minutes and action items templates

6. Risk management
Portfolio Managers are primarily concerned with strategic risk and managing risks to the portfolio. These
are risks that are outside of the control of the portfolio such as sector changes, global drivers, disasters,
government regulation, consumer behaviours and so on. Project Managers are primarily concerned with
managing project risk. Project risk is within the control of the project, for example, equipment failure,
vendor performance, loss of key resources. Project Managers are to be comprehensive and realistic in
assessment of risk and guard against being overly optimistic or generic. Portfolio Managers and Steering
Committees need to provide adequate oversight and critical review of risk assessment and treatments.

Requirements
1. Risk identification – identify risk for the appropriate scale and area of influence (context)
2. Risk assessment – likelihood of occurrence combined with overall consequence
3. Risk treatment – control and/or mitigation measures and residual risk (after treatment), and
4. Monitor and review – regular monitoring of risks and effectiveness of mitigation measures.

Guidance and templates

- Risk assessment matrix (click to access)
- Risk register template

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7. Benefits realisation
Benefits realisation is the process that allows the University to assess whether projects are suitable for
investment and hold portfolio and project managers to account for delivery of those benefits. Benefits will
be specified in a business case and in some cases, this will include supporting research or analytics. Benefits
must clearly align with strategic objectives (managed at the portfolio level). A benefits realisation plan will
articulate how project benefits will be achieved, measured and transitioned to operations. At the close of a
project, benefits are to be reviewed, and processes implemented to sustain benefits.

Requirements
1. Identification of benefits – typically involving research and/or analytics to support claims
2. Execution of benefits – undertaking work throughout a project to ensure that benefits are realised
and maximised and risk to realisation of benefits is managed, and
3. Sustain benefits – ensure that the outcomes of a project deliver lasting benefits – where applicable,
this may require additional work as part of the transition of a project to operations.

Guidance and templates

- Benefits realisation plan template

8. Budgets, resourcing and procurement

A key component of project initiation and planning is the development of project budgets and resourcing
requirements, agreement on a project budget and approval for funding and procurement. These elements
are iterative given that the final budget for a project will not be known until procurement has been
completed. Resourcing and procurement will require input from the project owner, portfolio manager,
Executive Sponsor (if different to the project owner), Technical Architecture Group (if IT) and procurement
and contracting teams. The aim is to develop an indicative budget at the initiation stage and an agreed final
budget at the planning stage, with sign off at the project governance and portfolio governance levels.
All purchasing must follow University procurement guidelines. This can be a major hurdle for projects
where expenditure is to be significant and where procurement and contracting processes are rigorous. It is
the responsibility of project governance to be aware of anticipated procurement, to commence discussions

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with procurement and contract teams early and to ensure timelines are put in place that allow adequate
time for procurement and contracting. Projects with individual procurement activities >$250K or complex
engagements require a procurement plan as an addendum to the Project Management Plan that is
developed with procurement and contracting. The approved procurement plan is to outline roles and
responsibilities and desired timelines, noting that some contingency is likely to be needed. Some projects
will need to form a tender/procurement Committee.

Requirements
1. Portfolio budgets will be established by Senior Executive during the annual budget process, with a
3-5-year planning horizon reviewed annually.
2. Portfolio Managers are to develop a portfolio budget in alignment with approved one- and three-
year plans and with a clear line-of-sight to those projects which are set out in the portfolio plan.
3. Portfolio budgets are to be shown over 3-5 years but will only receive funds for one financial year.
The portfolio budget and all associated project budgets will be reviewed and approved annually.
4. Portfolio budgets are to be endorsed by the portfolio governance committee and/or Executive
sponsor and approved via Executive Team (and ultimately through Council) via University budget
processes.
5. Portfolio Managers are to maintain a list of approved and future (pipeline) projects that have been
funded or will require funding.
6. Project Managers are to work with Portfolio Managers to initiate, negotiate and finalise project
business cases, budgets and resourcing plans, especially where there are resourcing conflicts.
7. Approval of a Business Case is not an automatic approval for a budget. Project budgets will be
approved via the portfolio submission the annual UNE budget process and released according to
approval stages to be specified in the PMP.
8. Project budgets are to include all project expenditure including ‘in-kind’ contributed by business
units, transition costs to operations and forward operating costs including licencing.
9. At each approval stage, the project steering committee or project owner is expected to review
progress and confirm continued business case viability and alignment and formally endorse project
continuation to next stage or proceed to project closure.
10. Release of budget for a project stage is to be endorsed by the project steering committee or project
owner and approved by the portfolio executive sponsor (via the portfolio advisory committee).
11. Projects with individual procurement activities >$250K or complex engagements are to have a
procurement plan attached to the PMP and are required to engage with the procurement and
contract teams in developing the plan as it will also specify roles and responsibilities and desired
timelines.
12. Resourcing requirements (human and financial resources as well as any other resources) to be
included in the PMP.
13. Project Managers are to work with procurement, contracting/legal office, and TAG (technical
architecture group as needed. Procurement thresholds available in procurement policy

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Guidance and templates
- Project approvals, governance and documentation guide
- Procurement plan – contact Procurement

9. Performance management
Performance management is important for both governance oversight and project management
transparency, coordination and communication. Ideally it generates information that allows for agile
response to change or emerging issues. It underpins portfolio management and should provide information
that informs project delivery, accountability and benefits realisation.
For performance management to be effective, portfolio and project governance need to both be
accountable for performance and performance measures need to be effective, reasonable and realistic.
Performance measures will be set by steering committee through approved project management plans.
Performance measures will typically cover progress (timing), delivery (outcomes), benefits realisation,
finances, resourcing, risk, quality, information management and change management. Performance
management will typically include monthly reporting to governance committees using project reporting
dashboards. It is important that governance committees put in place processes for responding to
performance reporting include formal acceptance of reports and corrective actions where necessary.

Requirements
1. Portfolio governance set key performance areas that will be used to assess the performance of all
projects within the portfolio. Key performance areas are to include, at a minimum:
i. Finance – expenditure against budget
ii. Delivery – tracking of progress towards project outcomes against the timelines and
projected expenditure detailed in the project management plan
iii. Assurance – project is compliant with regulations, policies and requirements and
producing outputs of a suitable quality as detailed in the project management plan,
iv. Risk – risk treatments are in place, monitored and effective, and
v. Benefits realisation – maximising benefits to UNE.
2. The Project Management Plan is to include performance measures (KPIs) to monitor key
performance areas (KPAs), to be reviewed annually alongside budget review.
3. The Project Manager reports KPIs to the portfolio and project governance committees on a
monthly basis using a project status report. It is the responsibility of the project manager to alert
the governance committees to any change in project status.
4. The Portfolio governance committee monitors progress and uses this information to inform annual
review. Where concerns are identified in status reports they may initiate an interim project review.
5. The Project governance committee requests and receives status reports from project managers. At
a minimum the governance committee is required to respond to all status reports:
i. Accept the status report and noting of performance

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 ii. Request more information, assessment of options, or clarification
iii. Initiate a change action or approve a change request, or
iv. Initiate a review of the project.
6. Change action, change request or project review occur in response to an identified need to make
changes to the project (major or minor) as a result of external drivers, change to risk profile,
emerging issues or identification of an alternative way to deliver outcomes and maximise benefits.
7. Portfolio and project governance processes allow for Executive to reduce the scope, suspend or
close a project at any time in response to project review. Reviews are to be led by either the
project owner (or Chair of Steering Committee) or the Executive Sponsor and Chair of the portfolio.
Reviews are intended to change a project (say, to maximise benefits) or decommission or close a
project and in either case require governance oversight, communication and change management.
8. Formal project review occurs annually in line with budget approval for the following year. A review
may be initiated at any time through the governance committees in response to external change, a
need to revisit project planning or in response to opportunities that will maximise project benefits.

Guidance and templates

- Project status report template
- Portfolio status report and dashboard template
- Budget control / financial tracking (to come)
- Change request template
- Decision log template

10. Transition management

A majority of projects will aim to improve the services delivered by the University, replace infrastructure, or
transform business processes. These projects assume that at some future point, the knowledge,
infrastructure, artefacts and outputs of the project will integrate with University operations and funding
will be available for ongoing maintenance and improvement. While assumed, the transition to operations
rarely is included in project management planning at the time of approval.
Transition management in this context manages the change associated with transition of a project to
operations including impact to business processes, resourcing impacts, impact to users (staff and students)
and ongoing financial costs. Ideally this process begins at project initiation so that impacted business areas
may work on transition alongside the project team throughout the project. This transition is the purpose
for user or stakeholder reference groups. Transition planning also needs to estimate the budget for out-
years associated with the transition to operations. It is the responsibility of portfolio managers to ensure
that out-year budget estimates for all projects are included in forward budget planning.

Requirements
1. Change management or transition planning to be included in project management plans
2. Impacted business areas to be consulted through the project, preferably through a user or
stakeholder reference group formulated for that purpose

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 3. Budgets for out-years to be included in annual budgets, and
4. Formal transition planning to be included in the completion phase of the project.

Guidance and templates

- Transition plan template

11. Teamwork, roles and responsibilities

Projects managers will form project teams to deliver on projects, drawing on capacity and capability from
across the University, external suppliers, vendors and specialist expertise (internal and external). To be
effective, teams will need to be agile, high performing and have freedom to operate. This requires high-
level communication, documentation of project decisions, articulation of roles and responsibilities and
collaboration tools (including team meetings, collaboration platforms and group problem solving).

Requirements
1. Formation of a project team with suitable capability, capacity and subject matter expertise
2. Articulate roles and responsibilities at all levels, including governance
3. Establish collaboration tools at least including regular meetings and file sharing, and
4. Establish document processes and controls at least including decision registers.

Guidance and templates

- Project approvals, governance and documentation guide

12. Guidance and Templates

All templates and guides are stored in Content Manager (TRIM). It is recommended templates are accessed
via the Kapish tab for Word or directly from TRIM and saved into the project TRIM container to ensure the
latest template version. Templates have TRIM record number fields inserted in the footer which will
populate once the document is saved and reopened the first time. For more instructions on how to access
TRIM templates see the project approvals, governance and documentation guide.

Project stage Document TRIM Reference

Portfolio

Portfolio Advisory Committee Terms of Reference Word Kapish template

Advisory Committee agenda, minutes and action Word Kapish template

templates use CONVENE

Portfolio status report template and dashboard Word Kapish template

Program and project

Project approvals, governance and documentation D21/30575
Initiation
guide

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 Sizing guide D21/30224
Concept brief template Word Kapish template
Business case template Word Kapish template
Planning Project management plan template Word Kapish template
Risk assessment matrix Link
D21/32596
Risk register template
Excel TRIM template
Benefits realisation plan template Word Kapish template
Procurement plan Via Procurement
Stakeholder engagement/communications plan Under development
template
D21/33530
Execution Project status report template
Excel TRIM template
Portfolio status report and dashboard Word Kapish template
Transition plan template Word Kapish template
D21/32048
Project decision log template
Excel TRIM template
Change request template Word Kapish template
Budget control / financial tracking template Under development
Steering Committee Terms of Reference template Word Kapish template
Steering Committee agenda, minutes and action sheet Word Kapish template
templates
Stakeholder group agenda, minutes and action sheet Word Kapish template
templates
D21/32966
Closure Lesson learned template
Excel TRIM template
End stage/ close report template Word Kapish template

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