Policy and Procedure Examples

Transcription

1 Appendix 1 Policy and Procedure Examples Four sample documents are shown in this appendix to illustrate the type of administrative guidelines that should be developed in support of project operations within the enterprise, providing the framework for managerial direction, communication and control: EXAMPLE 1: CHARTER OF PROGRAM OR PROJECT MANAGER (MATRIX ORGANIZATION) Alpha Technology Corporation ABC Division Charter No Purpose: Define program management charter within ABC Division Effective Date: September 1, 2014 Position Title: Program Manager* Authority The program manager* has the delegated authority from general management to direct all program activities. He or she represents the company in contacts with the customer and all internal and external negotiations. Project personnel have the typical dual-reporting relationship: to functional management for technical performance and to the program manager for contractual performance in accordance with specifications, schedules, and budgets. The program manager approves all project personnel assignments and influences their salary and promotional status via formal performance reports to their functional managers. Travel and customer contact activities must be coordinated and approved by the program manager. Any conflict with functional management or company policy shall be resolved by the general manager or his or her staff. * Both the program manager and the project manager are referred to as program manager in this charter. 473 Managing Technology-Based Projects: Tools, Techniques, People, and Business Processes by Hans J. Thamhain Copyright 2014 by John Wiley & Sons, Inc. All rights reserved Published by John Wiley & Sons, Inc., Hoboken, New Jersey

2 474 APPENDIX 1 Responsibility The program manager s responsibilities are to the general manager for overall program direction according to established business objectives and contractual requirements regarding technical specifications, schedules, and budgets. More specifically, the program manager is responsible for (1) establishing and maintaining the program plan, (2) establishing the program organization, (3) managing and controlling the program, and (4) communicating the program status: 1. Establishing and maintaining the program plan. Prior to authorizing the work, the program manager develops the program plan in concert with all key members of the program team. This includes master schedules, budgets, performance specifications, statements of work, work breakdown structures, and task and work authorizations. All of these documents must be negotiated and agreed upon with both the customer and the performing organizations before they become management tools for controlling the program. The program manager is further responsible for updating and maintaining the plan during the life cycle of the program, including the issuance of work authorizations and budgets for each work package in accordance with the master plan. 2. Establishing the program organization. In accordance with company policy, the program manager establishes the necessary program organization by defining the type of each functional group needed, including their charters, specific roles, and authority relationships. 3. Managing and controlling the program. The program manager is responsible for the effective management and control of the program according to established customer requirements and business objectives. He or she directs the coordination and integration of the various disciplines for all program phases through the functional organizations and subcontractors. He or she monitors Und controls the work in progress according to the program plan. Potential deficiencies regarding the quality of work, specifications, cost, or schedule must be assessed immediately. It is the responsibility of the program manager to rectify any performance deficiencies. 4. Communicating the program status. The program manager is responsible for building and maintaining the necessary communication channels among project team members to the customer community and to the firm s management. The type and extent of management tools employed for facilitating communications must be carefully chosen by the program manager. They include status meetings, design reviews, periodic program reviews, schedules, budgets, data banks, progress reports, and team colocation.

3 Appendix EXAMPLE 2: CHARTER OF FUNCTIONAL/RESOURCE MANAGER (MATRIX ORGANIZATION) Alpha Technology Corporation ABC Division Charter No Purpose: Define resource department charter within ABC Division Effective Date: October 1, 2014 Position Title: Resource Department Manager Authority The functional resource manager has the delegated authority from the general manager or his or her functional director to establish, develop, and deploy organizational resources according to the business needs, both long and short range. This authority includes the hiring, training, maintaining, and terminating of personnel; the development and maintenance of the physical plant, facilities, and equipment; and the direction of the functional personnel with regard to the execution and implementation of the various disciplines according to specific project requirements from the program office. Responsibility The functional resource manager is accountable to the general manager or his or her functional director for all work within his or her functional areas in support of all programs. He or she establishes organizational objectives and develops the resources needed for effective performance regarding the cost, schedule, and technical requirements established by the program office, and seeks out and develops new methods and technology to prepare the company for future business opportunities. EXAMPLE 3: POLICY FOR PROJECT MANAGEMENT (MATRIX ORGANIZATION) Alpha Technology Corporation ABC Division Policy No Effective Date: October 1, Purpose and Scope This policy provides the basis for the management of programs within the Alpha Technology Corporation. It defines the responsibilities,

4 476 APPENDIX 1 authorities, and accountabilities for performance of assigned programs consistent with program requirements and company policies. 2. Applicability and Organizations Affected This policy is applicable to all organizational units. 3. Definitions 3.1. Program Manager The individual who has been assigned responsibility for management of proposal or contract Task Manager The individual within a line or functional organization to whom responsibility has been assigned for fulfilling the requirement of a task authorization Functional or Line Manager These titles are used interchangeably to identify responsibilities such as manager of engineering, manufacturing, or product assurance Task A manageable portion of a total program that is consistent with items of customer accountability. It is usually progressively subdivided, to succeeding levels in the work breakdown structure Task Agreement A formal document issued by the procurement manager to authorize performance of a task, production of material, or furnishing of services Task Authorization A formal document issued by a program manager and agreed to by a functional manager within an operating division to authorize performance of specific tasks, time phase within that division as required to fulfill a customer contract Task Matrix A two-dimensional representation of a plan describing the relationship of who is responsible for what tasks in accomplishing the total job Accounting Charge Number A number used for identifying costs charged to a task or to a subtask which is shown on the task matrix. 4. Policy 4.1. Responsibility for each contract awarded to the Alpha Technology Corporation will be assigned to the appropriate business area. The business area manager will assume overall responsibility to ensure that the requirements for each contract under his jurisdiction are successfully met The business area manager, subject to the approval of the general manager, will appoint a qualified individual as program manager The program manager will act as the senior management representative for all facets of the program utilizing all authorities as delegated to him by the business area manager to perform his function The program office will be staffed with those skills necessary to ensure effective, competent, and professional direction and guidance of the program. Personnel so assigned will receive supervision on matters pertaining specifically to the program from the program manager or his designated representative.

5 Appendix The objectives of the program office are to ensure that program tasks are accomplished within cost, schedule, and performance requirements of the contract and that the full business potential of the program is exploited. The program office will not duplicate skills that belong in the functional organizations. The program office defines what to do (contract scope of work), when to do it (schedule requirements), and basic parameters (budgets and specifications). The functional organization directs the team with regard to who is going to perform (skills and talent distribution), where activities will take place (make or buy decisions), how things are to be done (methods and techniques), and when they are to be done (internal schedules) The program office is to accomplish the following major functions: Prepare and maintain a master program plan. Divide the work into discrete and clearly defined tasks. Assign tasks to the functional organizations, other company locations, other outside sources, or perform them in the program office. Negotiate, establish, and allocate budgets, schedules, and technical requirements for the various tasks consistent with the work to be done and compatible with total contract requirements. Maintain continuing control and surveillance of schedule, cost, technical performance, and personnel to ensure progress on all planned tasks. Replan, redirect, or make tradeoffs between prime tasks if established criteria cannot be met, and adjust task authorizations. Carefully evaluate customer requests/directions to ensure proper contractual coverage The program office in managing the program shall utilize functional organizations. To the extent that existing capabilities do not fully satisfy the needs of the program, the program manager will arrange for their acquisition, consistent with company objectives and policies The functional organizations shall comply with direction from the program manager regarding all phases of the program, consistent with the contractual requirements, task authorizations, and subject to Paragraph All program direction shall flow through the responsible task manager Task authorizations will be issued to the functional organization and the functional managers will be responsible for the proper performance of the tasks assigned to their organization. Task authorizations shall be negotiated between the appropriate program manager and the appropriate functional managers Each involved functional organization will appoint a task manager who will have responsibility for the overall planning, coordination, and control needed to successfully complete his task within the budget and schedule prescribed by the program office.

6 478 APPENDIX 1 All programs will be performed utilizing the business area program task management concept whereby all programs are divided into tasks, each under the direction of a task manager. It will be the task manager s responsibility to see that all requirements of the task as defined by the business area program office are successfully met and are in accordance with specified budgets and schedules. Cost forecasting, weekly labor reporting, and various scheduling techniques will be employed to ensure that each task is progressing as scheduled. a. Cost Forecasting The cost forecast is a projection of the cost-at-completion. It is determined by adding the cost-to-complete forecast to the actual cost of resources expanded to date. The cost forecast is prepared by each task manager. It will be performed monthly. Basis-of-estimates are not required. It does not in itself culminate in an agreement with the program manager. The cost forecast is used as an indicator to determine whether a formal cost-to-complete estimate is necessary or corrective actions are required. Cost forecast reports will be reviewed by the program manager monthly. b. Cost-to-Complete Estimates that reflect the work remaining to complete a task including commitments yet to be initiated. These estimates should be prepared in a specified level of detail, normally determined by the cost element. These estimates will be consistent with the latest program plan and established management directives (Project Reviews ). c. Weekly Labor Reporting The weekly labor report depicts a detailed summary of all tasks within a contract in hours, and measures those hours against the time-phased hours that exist within the task agreements, in a weekly, monthly, and inception-to-date report. Its prime function is to give the program manager as well as task and functional managers a weekly up-to-date report of how they are performing against their tasks. d. Scheduling Techniques The required methods of control (PERT, LOB, milestone charts) will be specified in the task authorizations by the program office. The methods of control are normally specified in the contract Should problems arise that are not resolved at the program office task manager level, the program manager and the functional manager(s) will attempt in good faith and on a timely basis to resolve them in a manner consistent with the terms, conditions, and requirements of the contract and will be held accountable for so doing. Either the program manager or the functional manager(s) may, if necessary, request resolution of such problems

7 Appendix by the business area manager and the general manager. Pending such resolution, however, the tasks, budgets, and schedules established by the program manager shall be adhered to. EXAMPLE 4: JOB DESCRIPTION FOR R&D PROJECT MANAGER Alpha Technology Corporation ABC Division Management Directive No Effective Date: November 1, 2014 The project manager is the key individual charged with the responsibility for the total project and is delegated the authority by management. He is also assigned a supporting staff, which may include individuals directly responsible to him (i.e., administratively and technically) as well as others technically responsible to him though administratively located in other parts of the organization. The responsibilities and authorities of the project manager can be summarized as follows: Establish and effectively operate an integration effort that is based on rapid feedback from each element of project activity. Implement an appropriate philosophy of how project work will be done, avoiding cumbersome formality without sacrificing traceability and project intercommunications. Plan the work and break it down into understandable elements with well-defined technical, schedular, and financial aspects. Maintain an up-to-date plan that integrates and reflects the actual work status of these work elements. Analyze the total project work against allocated resources and establish an optimum project organization to achieve the project objectives. Reorganize this project organization as required to meet the changing needs of the project. Assign responsibility for discrete elements of project work (contract and in-house) to members of his project organization and redelegate sufficient of the project manager s own authority to these members to enable them to contribute effectively to the successful completion of the project. Serve as the focal point of responsibility for all actions relating to accomplishment of the total project, including both in-house and contract effort. Ensure, by direct participation and review of the work of others, that each contract effort in support of his project is well planned and fully defined during the preparation of the technical package, thus enabling

8 480 APPENDIX 1 the solicitation through RFPs of technically responsive offers from responsible contractors. Ensure, by direct participation in negotiations, that the successful contractor and the company have a common understanding of the goals and requirements of each contract before contract execution. Maintain a continuous surveillance and evaluation of all aspects of the work being conducted by each contractor, including technical, schedular, and financial status. Identify, devise, and execute effective solutions to management and/or technical problems that arise during the course of the work. Ensure the timely detection and correction of oversights in any aspect of each contract to minimize cost overruns, schedule delays, and technical failures. Make final decisions within the scope of work of each contract. Give guidance and technical direction for all elements of the project work, or concur in contractor actions in accordance with provisions of each contract. Continually evaluate the quality of the work performed by each contractor and verify that the requirements are properly carried out by the contractor. Ensure that configuration management requirements are adhered to by each contractor in accordance with the requirements of the contract. Help to indoctrinate and regularly monitor contractor performance to ensure full reporting of all new technology evolved under each project contract. Participate in contract closeout or in termination proceedings to ensure that the best interests of the company are safeguarded.