Building management skillsMarjorie Mombo.docx

Building management skills
Marjorie Mombo
© Commonwealth of Australia 2014
ISBN 978-1-922098-40-5 Guide to Implementation
Planning (PDF)
ISBN 978-1-922098-41-2 Guide to Implementation
Planning (RTF)
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© Commonwealth of Australia 2014
Contents
Introduction1
Implementation planning2
Implementation plans3
When is an implementation plan required?4
Getting started4
Key terms6
Example of a complex proposal7
1Planning8
1.1Defining the end goal8
1.2Benefits8
1.3Deliverables9

1.4Implementation schedule10
2Governance12
2.1Key considerations12
2.2Roles and responsibilities12
2.3Documenting the governance arrangements13
2.4Cross-portfolio initiatives15
3Engaging stakeholders16
3.1Effective stakeholder engagement16
3.2Communication and engagement16
3.3Stakeholders—who are they?16
4Managing risk18
4.2Risk identification18
4.3Risk planning19
5Monitoring, review and evaluation21
6Resource management24
6.2Business case24
6.3Resource requirements25
7Management strategy28
7.1Why is a management strategy needed?28
7.2Project management methodologies28
7.3Management capabilities required29
8Additional information31
8.1Useful references31
8.2Contacts31
iiiIntroduction
Implementation and delivery of Australian Government policy
initiatives is one of the key responsibilities of government
agencies. In recent years there has been an increasing focus on
and a community expectation of, sound policy implementation
and seamless delivery of government policies—on time, within

budget and to an acceptable level of quality.
Better Practice Guide: Implementation of Programme and Policy
Initiatives, October 2006
This guide is designed to help departments and agencies
formulate robust implementation plans that clearly articulate
how new policies, programs, and services will be delivered on
time, on budget and to expectations. It supports the Australian
Government’s approach to strengthening Cabinet decision-
making and improving program governance and implementation.
This guide aims to assist those involved in implementation
planning to understand how they should formulate an
implementation plan. It is not intended to be a mechanical guide
on how to complete an implementation plan, because it is not
possible to formulate an implementation plan using a
mechanistic or template-driven approach. Nor is it intended to
be used in isolation from other guidance: implementation
planning requires a much deeper understanding of management
approaches than can be conveyed in a single guidance
document.
We recommend that, in addition to this introduction,
· senior responsible officers familiarise themselves, at a
minimum, with section 2, ‘Governance’ and section 7,
‘Management strategy’
· plan owners and members of project teams familiarise
themselves with all sections.
We encourage departments and agencies to refer to this guide
while developing their implementation plans. A step-by-step
approach is not essential to the planning process—planning is
an iterative exercise, and multiple rounds are necessary. We
encourage implementation planners to consult with the Cabinet
Implementation Unit during the drafting process.
The Better Practice Guide: Implementation of Programme and
Policy Initiatives, the Cabinet Implementation Unit’s toolkit
and the documents supporting the Gateway Reviews Process are
also useful references.
We encourage departments and agencies to monitor the

implementation planning website at
www.dpmc.gov.au/implementation for updates.
Implementation planning
Implementation planning is the process of determining how an
initiative will be implemented and setting this out in sufficient
detail to enable the Cabinet to make an informed judgment
about whether to proceed in the light of the risks and
requirements involved.
Implementation planning is critical to ensure outcomes are
delivered on decisions made by government. The Australian
Public Service (APS) successfully delivers thousands of
initiatives every year. Many of these policies, programs and
projects involve a high level of implementation risk, and thus
require appropriate management discipline, including
engagement with central agencies, to maximise the prospects of
successful delivery.
While there are administrative as well as legislative (under the
FMA Act) requirements for agencies to develop implementation
plans as part of their new policy proposals, it should not be
viewed as an onerous task. Rather, the plan is a useful tool that
will assist agencies in successfully delivering the initiative.
Policy reform often involves major transformational change
across multiple programs and services, and several agencies.
The drivers for the change can be varied and powerful; they
may be complex; and they may create ambiguity and
uncertainty. Such changes can have radical impacts on the way
departments and agencies do business.
Implementing change often requires teams of people with
different skill sets to work together across normal functional
boundaries within and between departments and agencies.
Experience shows that traditional departmental and agency
structures and processes are sometimes illsuited to cross-
portfolio delivery—this is when a disciplined approach to
implementation planning is crucial.
Implementation planning has a strong management focus that
requires best practice approaches, skills and experience to be

applied. Effective implementation planning requires a structured
approach to thinking and communicating in seven areas:
1. Planning
2. Governance
3. Engaging stakeholders
4. Managing risk
5. Monitoring, review and evaluation
6. Resource management
7. Management strategy.
A structured approach will create a shared understanding among
those who will drive the implementation process, from the most
senior leaders to managers, and across boundaries between and
within government agencies and non-APS bodies.
Implementation planning is not about ‘filling in an
implementation plan template’: rather, the implementation plan
should document the structured thinking and communication
(through face-to-face workshops, discussions and conversations)
that has occurred between key leaders, managers and project
teams.
A word of warning: No matter how comprehensive the
implementation plan is, successful implementation hinges on the
development of strong working relationships and a shared
commitment to collaboration and acting with integrity.
Fostering a culture of collegiality, where there is a clear,
common understanding of the outcomes sought, is essential for
successful implementation.Implementation plans
An effective implementation plan should:
· clearly articulate what success looks like
· be succinct
· be free of jargon—that is, should be capable of being
understood by non-expert users
· be based on sound program logic—present a clear line of sight
from the Government’s objective through inputs and outputs to
expected outcomes and benefits
· outline the assumptions made about the links in the delivery

chain, and how the delivery chain and its supporting
assumptions will be evaluated
· clearly outline timeframes and project phases, especially
where there are interdependencies with other
programs/measures or critical requirements, such as the passage
of legislation or negotiations with the states and territories
· clearly articulate the decision pathways—the means to
achieving the objectives of the initiative
· identify standards and quality controls to be used during
implementation
· explicitly identify and address the implementation challenges
and how change will be managed (including risks and issues)
· be precise about risks—their source, likelihood of occurrence,
consequence and mitigation strategies.
Implementation plans lodged with the Cabinet Implementation
Unit form the baseline information for ongoing monitoring of
the delivery of initiatives and for informing the Prime Minister
and Cabinet about their progress. This information is presented
through the Cabinet Implementation Unit’s regular reporting
processes.
When is an implementation plan required?
All Cabinet submissions, memoranda and new policy proposals
(NPPs) that have significant implementation risks or challenges
are required to attach implementation plans.
As a guide, a Cabinet submission is likely to have significant
implementation risks or challenges when it:
· addresses a strategic priority of the Government
· involves major or complex changes
· involves significant cross-agency or cross-jurisdictional issues
· is particularly sensitive (for example where the policy affects
many stakeholders, has received or is likely to receive adverse
media attention or is particularly risky)
· requires urgent implementation
· involves new or complex technology or service delivery
arrangements, or
· has been developed over a very short period.

New policy proposals must be assessed using the Risk Potential
Assessment Tool (RPAT). We recommend, as a matter of best
practice, that submissions without an NPP also be assessed with
the RPAT to better communicate to the Cabinet the level of
implementation risks or challenges. A submission that has a
medium risk rating will require an implementation plan to be
attached. Moreover, central agencies may also require
departments and agencies to attach implementation plans to
submissions where proposals are deemed to have a higher level
of risk than is shown by the risk assessment or have particular
implementation challenges.
If central agencies determine that a submission has ‘significant
implementation challenges’ and does not contain an
implementation plan, Cabinet will not consider it unless the
Cabinet Secretary provides written authority for an exception to
be made.Getting started
Departments and agencies intending to put forward Cabinet
submissions, memoranda or NPPs must consult early with the
relevant policy area of the Department of the Prime Minister
and Cabinet (PM&C), the Gateway Unit in Finance
([email protected]) and the Cabinet Implementation Unit (CIU,
[email protected]) to determine whether an implementation plan
is likely to be required.
The CIU offers a range of resources that will assist with
implementation planning; this includes broad guidance material,
general case studies and contacts for people with
implementation experience and expertise, as well as detailed
examples and checklists.
To get started, a ‘plan for planning’ is required—in other
words, a commitment of time and effort from the people who
will be engaged in implementation planning. As a first step this
might be as simple as a series of commitments in people’s
calendars to get together to set direction. However, to develop a
comprehensive implementation plan, the implementation
planning process itself may need to be managed as a project that
may run over several months.

Two key roles must be filled from day one:
· A senior responsible officer (SRO), who will lead and drive
implementation planning and who most likely will be the person
who is accountable for the success of a policy’s
implementation. Typically this will be an SES Level 3 officer
with experience in implementation planning.
· A plan owner, who will plan and control the structured
thinking and communication processes that will deliver the
implementation plan. Typically this will be an SES Level 1 or 2
officer, who will be supported by a small team of management
specialists. Once initial planning is complete, ownership of the
plan would pass to the project manager.
It is vital that those in key roles have access to the specialised
management skills and experience required for implementation
planning. It is also critical that program or project teams are
closely involved in the implementation planning process.
Key terms
A few key terms used in this guide are listed here.
Benefit—the measurable improvement resulting from an
outcome, which is perceived as an advantage by one or more
stakeholders. Note that not all outcomes will be perceived as
positive, and outcomes that are positive for some stakeholders
will be negative for others.
Governancestructure—the management bodies (groups, boards
and committees) and individual roles that will lead, plan and
manage implementation. The structure should include clearly
defined responsibilities, lines of accountability and reporting.
Management strategy—the approaches, methodologies and
frameworks applied by an agency to plan and control the
implementation of initiatives for which it is responsible, in this
context new policy proposals.
Program—a temporary flexible structure created to coordinate,
direct and oversee the implementation of an initiative.
Initiative—a set of projects and activities that deliver outcomes
and benefits related to strategic policy objectives.
Monitoring—the continuous assessment of the progress of

delivery to ensure implementation stays on track and to take
necessary decisions to improve performance. It is a routine,
ongoing, internal activity as opposed to a review or evaluation.
Review—the periodic or ad hoc assessment of the performance
of an initiative, which generally does not apply the more
rigorous process of evaluation. Reviews tend to focus on
operational issues and are fundamental to sound governance and
quality management.
Evaluation—a systematic and objective assessment to determine
the extent to which intended and unintended policy outcomes
are achieved, and how they have affected stakeholders.
Evaluation, particularly independent evaluation, assesses
howwell the outcomes of an initiative meet its original
objectives. It focuses on expected and achieved objectives,
examining the outputs, processes and contextual factors, to shed
light on achievements or the lack thereof. It aims to identify the
relevance, impact, effectiveness, efficiency and sustainability of
the intervention.
The definitions provided in this guide are consistent with the
material published by the UK Government in support of its best
practice frameworks, including the Office of Government
Commerce Glossary of Terms and Definitions, Managing
Successful Programmes (MSP®) and the Portfolio, Programme
and Project Management Maturity Model (P3M3TM). They are
not identical to those in the UK glossary because they have been
tailored to suit the Australian Government’s policy
implementation environment.
Example of a complex proposal
Each section of this guide concludes with an example of a
complex proposal (by the fictional Department of Rural
Affairs), designed to guide readers in understanding the issues
that may need to be considered in the development of an
implementation plan.
Rural Industries International Expo—context
The Department of Rural Affairs is seeking funding for an
international exposition to highlight Australia’s rural industries

and to develop a new package of policies to support rural
industries.
The Department of Rural Affairs considers that the international
exposition will highlight the significant achievements of
Australia’s rural industries to date, increase Australian exports
and promote rural Australia as an attractive location for future
investment.
The Department of Rural Affairs proposes that the international
exposition will take place in two years to coincide with the
launch of a new set of policies designed to further strengthen
Australia’s rural industries. Departments with policy
responsibility for rural industries, including agriculture,
fisheries, mining, renewable energy and tourism, will be asked
to work collaboratively to develop this new package of policies.
The Department of Rural Affairs proposes that this international
exposition be co-funded by the state government that hosts the
event and by industry. Funding arrangements are yet to be
negotiated, although the Commonwealth’s commitment will be
no more than 40 per cent of the total cost.
1 Planning
Planning is the process of identifying key steps needed to reach
a policy outcome. It provides a structured approach or path for
how an initiative will be implemented. It addresses key tasks,
roles, responsibilities and timelines. Planning must commence
early and all those involved in implementation of the policy
must also be involved in planning. Without a plan,
implementation is likely to fail.1.1 Defining the end goal
A clearly articulated goal is vital to the buy-in, motivation and
alignment of effort of the people involved in any policy
implementation.
Defining the end goal is the same as defining what success
looks like.
When departments and agencies need to implement policy,
stakeholders will not necessarily understand the big picture. At
the outset, the implementation plan should describe what
successful implementation will look like, to make the policy

intent clear.
The introduction to your implementation plan should:
1. describe the policy objective—what are the outcomes being
sought?
1. describe the policy context, including the underlying need or
problem
1. describe the delivery model or strategy for achieving the
policy objective—this may be a brief statement of how the
outputs will be delivered, and how they will achieve the end
goal
1. be easily understood by a wide range of stakeholders
1. have the broadest grouping of stakeholders as the target
audience.
Note for cross-portfolio policies: When multiple departments
and agencies are involved in implementing an initiative, the
planning section of the implementation plan must clearly show
which departments and agencies are responsible for the various
aspects of the initiative. All departments and agencies involved
in either the policy or delivery must agree on how success will
be measured; all these departments and agencies must be
consulted in the drafting of the implementation plan.1.2
Benefits
A benefit is ‘the measurable improvement resulting from an
outcome which is perceived as an advantage by one or more
stakeholders, which contributes towards one or more
organisational objectives’ (UK Cabinet Office 2011: 75).
Each implementation plan should contain a statement that
defines and describes benefits—known as the benefits
statement—so that all those working on the plan understand
them.
A good benefits statement will describe:
· the intended beneficiaries for each policy objective as
accurately as possible (noting any assumptions, constraints or
exclusions)
· the benefits expected to be realised by specific deliverables:

direct benefits accrue to the intended beneficiaries of the
initiative, such as the unemployed, small to medium-sized
businesses, or a particular environmental sector
indirect benefits (or externalities) accrue to other beneficiaries,
such as a specific community or society more broadly—if the
indirect benefits are an important part of the policy objective
then they should be included in the benefits statement
· how the benefits realised will be monitored and how they will
be delivered.
Benefits should be specific, measurable, relevant to the
objectives of the initiative, achievable within the timeframe and
agreed by all implementing parties. Performance measures
agreed for the initiative would assist in assessing the level of
success in achieving these benefits. 1.3 Deliverables
A deliverable is a measurable, tangible or verifiable output.
In the implementation plan, each deliverable must be linked to
specific project milestones. A milestone is a checkpoint along
the delivery path that indicates if the initiative is on track to
successful implementation.
The plan should explain which activities will be undertaken to
deliver the project (that is, are in scope), and which activities
are out of scope, as well as any related activities (see Table 1).
Any activities that are the responsibility of other parts of the
agency or external agencies should be identified. This is an
important opportunity to establish expectations on who is doing
what from the outset of the project.
Descriptions such as ‘establishing a section’ or ‘having a
meeting with the states and territories’ are generally insufficient
indicators of progress as they say little about whether the
completion of these activities contributes to the overall policy
being implemented.
Table 1: Example table for mapping scope
In scope
Responsible manager and agency
Out of scope
Activity

Deliverable(s)
Activity
1.4 Implementation schedule
An implementation schedule clearly outlines what the project
will be delivering and when. It sets the framework for dealing
with the ‘on time’ part of the objective ‘on time, on budget and
to expectations’.
The implementation schedule defines the major phases of work
that will be undertaken to achieve the end goal. It documents a
logical sequence of events over time to advance the policy from
concept to delivery. It provides a foundation for the remainder
of the implementation plan.
For most policy implementation, major phases of work may
overlap, whether they run concurrently or sequentially.
Identifying interrelationships and interdependencies between
activities and phases is an important task for the planners. For
example, development of performance measures and an
evaluation strategy should proceed concurrently with other
initial work since different skills, and therefore people, are
likely to be required. On the other hand, getting guidelines or
eligibility criteria approved may depend on completion of an
extensive consultation phase.
Project phasing is an important way of dealing with
uncertainties. For example, it is a fact of public sector life that
systems development will often have to proceed, to allow
detailed business specifications to be developed, before all the
policy issues are sufficiently nailed down.

Such issues need to be articulated in the implementation
schedule and in the risk section of the plan, particularly in
identifying issues that are unresolved at the time the initial
implementation plan is developed. The plan needs to identify
how these issues will be resolved, when and by whom.
The implementation schedule should provide the following
information in a clear, easy-to-read format:
· project phases and timelines (note that the implementation
plan does not require a detailed timeline—an ‘at-a-glance’
timeline that provides a summary of key milestones and
decision points would be more useful)
· the deliverables associated with each phase
· the major activities for each deliverable
· key milestones
· who is responsible for the delivery of each major activity
· any interdependencies.
Portfolio business and program delivery managers must check
the implementation schedule to ensure that targets are
achievable and appropriate.
Note for cross-portfolio policies: An overarching
implementation schedule, which integrates the key activities of
all the participating departments and agencies and their
sequence, together with any interdependencies, is a minimum
requirement of cross-portfolio implementation plans. Typically,
this is the document against which progress will be monitored
and assessed for reporting through the Cabinet Implementation
Unit.
Rural Industries International Expo—planning
In planning for the Rural Industries International Expo
proposal, key issues to consider include:
· What outcomes are the expo and the new package of policies
trying to achieve? What does successful implementation look
like?
· What are the benefits of the proposal? How will those benefits
be realised? To whom will the benefits flow—rural industries,

government, the Australian population?
· What is the path to the end goal? What is needed to achieve
the goal? What will the states contribute and what will the
Commonwealth contribute?
· Who needs to be involved in the planning? Are all states going
to be involved? Will all stakeholders be involved from the
beginning and what will their roles be?
· Are there any activities associated with the expo that are out
of scope? How will these activities be actioned?
· What are the key milestones for the project? What are the
timelines for the development, approval and launch of the new
policy package? How will these link to the launch of the expo?
What are the key dates and timelines for the proposal?
· Are arrangements for other aspects of implementation
addressed in the implementation plan—governance;
management strategy; resource management; risk; stakeholder
engagement and communication; and monitoring, review and
evaluation?2 Governance 2.1 Key considerations
Effective governance arrangements are critical to successful
delivery. They should be one of the earliest considerations in
planning for a new initiative.
Existing ‘business-as-usual’ agency management arrangements
are often inadequate to govern the implementation of a new
initiative, because implementation usually requires teams of
people with different skills working across normal functional
boundaries both within and between agencies. In addition,
existing arrangements may not offer the speed and flexibility
required when fast escalation and resolution of issues, risks and
disputes may be needed. Finally, the governance structures will
strongly influence the management strategy selected for
implementation. It is important to ensure that all project
officers and decision-makers, especially those involved in
cross-portfolio projects, clearly understand both horizontal (to
the project) and vertical (to their agency and Minister) lines of
accountability.
Governance arrangements should be designed in parallel with

other early planning activities, such as the development of the
initial risk assessment, stakeholder analysis and key task
timelines. Governance arrangements need to be developed
collaboratively and agreed with all key stakeholders. This
ensures that the governance structure is adapted to meet the
demands of the initiative.
An effective governance structure requires strong leadership.
The senior executive in all agencies with a policy or delivery
interest must agree on the end goal for the initiative and
demonstrate a shared commitment to the agreed governance
arrangements. A lack of support at the top can undermine the
agreed governance arrangements and lead to an informal,
undocumented arrangement occurring in practice.
Governance arrangements should be regularly reviewed and
adjusted throughout the life of the initiative. Regular reviews
should be scheduled for key points in the initiative. Reviews
should also be considered when there is a change in key
personnel.2.2 Roles and responsibilities
The roles and responsibilities of each person or group involved
in the initiative need to be clearly defined, agreed and
documented. Taking the time to discuss the proposed roles and
responsibilities of each person and group involved in the project
can help to build consensus and understanding about the
challenges and opportunities posed by the initiative.
Reporting arrangements should be defined at the outset. They
should cover the content and frequency of regular reports and
how to deal with emerging issues or risks that arise outside the
regular reporting cycle.
Typical structures and roles include:
· the project sponsor or the senior responsible officer (SRO)—
the SRO plays a crucial role in the successful delivery of the
initiative, and it is vital that they have sufficient expertise,
independence and time to commit to the project and actively
manage its implementation. Names, positions and contact
details must be supplied in the implementation plan.

· the sponsoring group/steering committee—the driving force
behind the initiative that provides the investment decision and
top-level endorsement for the direction and objectives of the
initiative
· the project board(s)—an executive-level management group,
which is represented by all of the interested parties in an
organisation, including any suppliers (internal and external)
who have been identified. If a project board is used, a list of
group members must be supplied in the implementation plan.
· the program or project manager(s) responsible for managing
operations and the project team(s). 2.3 Documenting the
governance arrangements
Governance arrangements should be documented in a diagram
that shows the lines of decision-making responsibility,
consultation channels and avenues for horizontal collaboration.
An example of a governance structure diagram is shown in
Figure 1.
Figure 1: Example of a governance structure diagram
The governance structure diagram should be accompanied by a
description of the roles and responsibilities of each person or
group depicted in the governance structure, as in the example in
Table 2.
Table 2: Example table showing description of roles and
responsibilities of governance group members
Governance role
Key personnel
Accountable to
Responsibilities
Project sponsor (or SRO)
Deputy Secretary
Secretary of the lead agency and, through the Secretary, the
Minister

Ultimate decision-making accountability
Steering committee
Chaired by the project manager (First Assistant Secretary), with
representatives from all agencies with a delivery or policy
interest in the project
Project sponsor
Provides advice to the project sponsor that takes into account
the views of all relevant agencies and stakeholders through the
stakeholder advisory group
Considers the monthly risk and issues report provided by the
project manager
Meets monthly
Project manager
First Assistant Secretary from the lead agency
Steering committee
Coordinates delivery by the project teams
Manages resources
Approves the monthly risk and issues report
Takes emerging issues and risks to the steering committee
Project board
Project manager
Project team leaders
Project manager
Discusses upcoming work, emerging issues and risks, use of
resources across the project and identifies interdependencies in
a collaborative forum
Meets weekly
Project teams
Project team leaders
Project manager
Lead delivery of each workstream
Stakeholder advisory forum (or group)
Stakeholder representatives from key industry and third sector
groups
Steering committee
Consultative forum to advise the steering committee on

emerging industry issues and to discuss the proposed approach
to implementation of the project
Once the governance arrangements are agreed and documented,
it is essential that they are circulated and explained to everyone
involved in the project.
2.4 Cross-portfolio initiatives
Additional effort is required to design effective governance
arrangements for cross-portfolio initiatives, or initiatives that
involve delivery by one or more organisations outside of
government. A tailored governance arrangement is required to
facilitate horizontal collaboration across delivery partners and
ensure a clear line of vertical accountability. The Cabinet
Implementation Unit can advise on the governance structure that
might be most appropriate for your initiative.
Rural Industries International Expo—governance
In designing governance arrangements for the Rural Industries
International Expo proposal, key issues to consider include:
· Who is the lead Minister for the proposal?
· Who in the Department of Rural Affairs needs to be involved
in the preparations for the expo and the development of the new
package of policies? Are these people already in a single group
or do they cross multiple areas? If they are in multiple areas,
how will their work be coordinated?
· Which other agencies need to be involved?
· Who will be the project sponsor? Are there resources to
establish a dedicated team to manage the project? When will the
project team be established?
· Is there an existing governance structure that could be
leveraged for the project? How will the work of the different
Commonwealth agencies developing policies be coordinated? Is
an interdepartmental committee appropriate? What reporting
arrangements will be put in place to ensure that any emerging
issues in one agency are shared so that they do not affect work
in another agency?
· Who will lead discussions with the states to identify the host
state? How will responsibility and decision-making authority

for organising the event be shared with the selected state, given
its funding role?
· Who will lead the discussion with industry? What funding
contribution is expected? How will responsibility and decision-
making authority for the event be shared with industry?
· Who else (from the Commonwealth, other states and
territories, or industry) needs to be consulted on the new
policies and the event? Should a formal advisory group be
established?
3 Engaging stakeholders3.1 Effective stakeholder
engagement
Stakeholder engagement ‘is the process used by an organisation
to engage relevant stakeholders for a clear purpose to achieve
accepted outcomes’ (AccountAbility 2011: 6). It can provide
useful information to shape the implementation of the initiative
at policy, program or project level.
The key elements of effective engagement include:
· involving the right stakeholders
· ensuring a fit-for-purpose approach, with well-managed
interactions
· managing expectations
· using the information obtained from stakeholders.3.2
Communication and engagement
The terms communication and engagement are not
interchangeable, though they are inherently linked.
Communication usually involves a one-way flow of information
(whether by speaking, writing or other means), whereas
engagement is about working with and involving stakeholders
for a clear purpose—usually a two-way flow of information.
There are different skills, tools and techniques for
communication and engagement, and engaging with
stakeholders will usually require a mix of both. 3.3
Stakeholders—who are they?
Stakeholders are ‘those individuals, groups of individuals or
organisations that affect and/or could be affected by an
organisation’s activities, products or services’ (AccountAbility

2011: 6). Stakeholders may include government agencies
(federal, state and territory); APS staff; not-for-profit
organisations; private sector organisations and businesses;
representative, professional and peak bodies; educational
institutions; international governments and organisations;
individuals; communities; and the media. They may also include
those to whom the APS is accountable, such as Ministers and
the Parliament.
Stakeholders are not homogeneous—they have differing
influences, interests, objectives, opinions, capacities and
capabilities in engaging with government. They will also have
different types of relationships with government—for example,
some require light-touch engagement, others are partners in
delivery; some may be one-off engagements, others are long-
term relationships. 3.4 Key considerations
When planning stakeholder engagement it is important that the
purpose of the engagement is clear and reflects the objectives of
the initiative.
To ensure there is a good understanding of the stakeholder
environment it is useful to map:
· who the key stakeholders are
· their interests and influence in the project
· their capacity to engage
· the level of involvement required of them (for example,
whether they are to be informed, consulted, collaborated with,
and/or partners in delivery).
Stakeholders can be engaged throughout the policy life cycle,
including during the development of the policy, as well as the
implementation, delivery and review stages. It is important to
consider how feedback from stakeholders will be incorporated
to effectively manage stakeholder expectations before, during
and after engagement. The implementation plan should clearly
outline the most appropriate times to engage stakeholders and
how their expectations will be managed to support the delivery
of the initiative.

You will need to tailor your stakeholder engagement approach
to your initiative by using a mix of methods that reflect the
purpose of the engagement and the nature of the stakeholders.
Where possible, you should try to identify the capacities and
capabilities that already exist within government to deliver the
stakeholder engagement approach, including whether you can
harness expertise from other agencies that have recent
experience in undertaking similar engagement activities.
Some other key things to consider when planning stakeholder
engagement include:
· How does it interact with the rest of the project and how will
it influence decisions?
· How will stakeholder risks affect delivery?
· How will other risks affect engaging with stakeholders?
· How will stakeholder engagement activities be monitored,
reviewed and evaluated?
Rural Industries International Expo—engaging stakeholders
In designing a stakeholder engagement approach for the Rural
Industries International Expo proposal, key issues to consider
include:
· What will be the role of each stakeholder? Will they be
delivery partners in hosting the expo, contribute to and promote
it, provide expert advice on the development of rural policies,
test the implementation of policy ideas?
· Who are the right stakeholders? This will depend on the role
they will play in the expo and in policy development. It would
be useful to develop a stakeholder map for the policy
development stage and another one for the expo.
· What are the appropriate methods to engage stakeholders?
These could include using print media, websites and newsletters
to communicate information about the expo; holding public
meetings with stakeholders on what the expo should include; or
establishing a joint industry–government advisory committee to
oversee the delivery of the expo.
4 Managing risk4.1 Key considerations
Successful implementation requires managers to plan for and

deal with uncertainty, complexity and ambiguity. Understanding
the potential problems that may arise during implementation
will allow agencies to reduce the likelihood of these occurring
and, if necessary, have in place strategies to manage them and
reduce their impact. Risk management is an essential part of
implementation planning, and provides a structured way to
identify, mitigate, accept and assign responsibility to the risks
that might affect successful implementation.
From 8 August 2011, agencies have been required to complete a
Risk Potential Assessment Tool (RPAT) for every NPP. This is
the RPAT self-assessment stage. The overall risk rating derived
from the RPAT and the top five risks must be included in the
NPP. PM&C, Cabinet Secretariat will not process submissions
where this information is not provided in the NPP.
A risk is an uncertain event or set of events which, should they
occur, will have an effect on the achievement of objectives.
These effects might not always be detrimental. A risk can be
either a threat (that is, an uncertain event that could have a
negative impact on objectives or benefits) or an opportunity
(that is, an uncertain event that could have a favourable impact
on objectives or benefits).
Issues arise from events that have already happened, were not
planned, are currently affecting the program and need to be
actively dealt with and resolved. Risks, should they occur,
become issues.
Good risk management ensures that decision-makers are able to
make accurate and well-informed judgments. It also helps to
maintain alignment between ministerial expectations and
progress at the project level. By understanding the potential
risks that may affect the implementation of a policy measure,
departments and agencies can reduce the likelihood or
consequence of unpleasant surprises that may jeopardise the
achievement of policy objectives.
Most departments and agencies have their own risk management
framework in place. Where this is the case, the framework
should comply with IS0 31000:2009. It can underpin the risk

management element of implementation planning to inform the
overall risk rating derived from the RPAT. The RPAT and
instructions for its use can be found on the Finance website.4.2
Risk identification
Risks may arise as a consequence of:
· the delivery method chosen (transmitted risk)
· changing circumstances and new developments
· further refinement of project planning
· changes to the scope of the project
· discussions or negotiations with stakeholders.
Any current issues and any known constraints, assumptions or
conflicts that may affect the program should also be identified.
Departments and agencies should ensure that risks to achieving
the desired policy outcome as well as risks to the successful
implementation of the initiative are identified separately. This
point links back to the two elements of success to be evaluated
in the plan: the success of the implementation process; and the
success of the overall measure in terms of the outcomes or
impacts aimed for.
During implementation planning, risks should be identified
through:
· stakeholder consultation
· review of previous and current related projects
· the application of professional knowledge in project-based
management
· consultation with specialist technical advisers, as needed
· dedicated risk workshops
· review of known risks and issues.4.3 Risk planning
The design and implementation of the risk management plan
will be influenced by the objectives of the initiative and the
governance arrangements for the project. There may be
differing levels of rigour with which departments and agencies
undertake risk assessment and mitigation strategies to manage
risk. All risk assessment processes, however, should:
· adopt a comprehensive and realistic analysis of risks
(remember that risk planning is about taking action to prevent

the risks that can be avoided and minimise the ones that cannot
be)
· consider risks to achieving desired policy outcomes/impacts as
well as risks to successful implementation of the project (this
will assist in assessing success during evaluation)
· identify and list the risks, and for each, detail its risk rating,
current controls and treatments, as well as the residual risk
rating after the treatments are applied
· consider in detail and record the treatment(s) to be applied to
mitigate each identified risk (for example, ‘stakeholder
consultation’ as a treatment statement is inadequate; the
treatment statement should provide details of who will be
consulted, on what, when and how)
· outline a schedule for regular and ongoing reviews
· identify who is accountable for monitoring, reporting and
undertaking mitigation action for each identified risk
· identify who is responsible for reviewing and updating the risk
management plan on a regular basis and the process for this
review
· for cross-portfolio measures, outline arrangements for taking a
‘whole-of-package’ consideration of assessment, management
and review of risks.
Rural Industries International Expo—managing risk
In designing the risk management and mitigation plan for the
Rural Industries International Expo proposal, key issues to
consider include:
· Does the Department of Rural Affairs have a risk management
methodology that can be usefully applied to assess the expo
proposal? Does the methodology need any modifications to
make it suitable for the project? Is a risk management template
available?
· Which stakeholders (internal as well as external) need to be
involved in the risk management planning exercise?
· Have all potential risks to the program, both arising from
within the Department of Rural Affairs and externally, been

identified?
· Does the risk management and mitigation plan provide
adequate details on the nature of the risk, the current rating and
controls, the mitigation actions, residual risk rating and risk
owners?
· How often will the risk management and mitigation plan be
reviewed? Who will be responsible for this review and what are
the reporting arrangements?
· Did all the risk owners participate in the planning exercise and
are they aware of their responsibilities in relation to risk
management?
5 Monitoring, review and evaluation 5.1 Key
considerations
The activities of review, monitoring and evaluation have three
main purposes: to guide decision-making, to improve the
delivery of the initiative and to enhance accountability.
An effective monitoring, review and evaluation regime will
depend on a number of key factors: proper planning,
understanding of the purpose, timing and mechanisms of the
evaluation, and the application of the findings.
Evaluations answer three key questions:
· Are we doing the right thing?—this addresses the rationale,
the delivery process in the context of the real world and the
outcomes for intended beneficiaries.
· Are we doing it the right way?—this addresses all the
components of how expected outcomes are being achieved.
· Are there better ways of achieving the results?—this addresses
good practices, lessons learned and possible alternative options.
Good planning is the most successful strategy for delivering an
effective evaluation that will usefully answer these three
questions based on a robust foundation of review and
monitoring. Understanding the policy context and objectives of
the initiative is essential to defining why an evaluation is
needed, how it will be used and by whom.
Depending on its purpose, an evaluation may be conducted
before, during or after implementation. If undertaken before

implementation, this is generally for the purpose of assisting in
defining the extent and focus of service needs or for
establishing benchmarking for future comparable measurement.
Assessments (possibly in the form of a review) undertaken at
different stages over the life of the initiative measure progress
towards achieving expected outcomes and identify possible
improvements required to micro-level delivery mechanisms.
Evaluations completed following implementation assess the
impact of the initiative and must be timed to ensure the full
effects of the initiative can be captured.
Looking at the critical milestones and delivery phases of an
initiative may usefully inform the timing of monitoring, review
and evaluation.
The type of evaluation is largely determined by the nature of the
initiative itself and how the findings of the evaluation will be
applied. In deciding on the design, approach and methodology
of the evaluation, consider:
· Which information, data collection and evaluation
methodology will provide the evidence base to best inform the
decision-makers?
· Which methods and data will produce the most robust and
credible evidence base within given timeframes and the
resources available?
Good indicators are succinct measures that aid understanding of
the initiative and make comparisons and improvements possible.
If meaningful indicators are not selected, no amount of data will
provide useful insights about or evidence for the performance of
an initiative. Likewise, meaningful indicators without
meaningful data will not be useful.
Responsibility for conducting the evaluation and acting on its
findings and recommendations needs to be identified during
planning. Forecasts for adequate resourcing of monitoring,
review and evaluation also need to be completed in the planning
phase. Funding must take into account the full costs to the
affected agencies, jurisdictions, third party contractors and
funding recipients. The availability of resources and capacity

will determine whether the evaluation is conducted internally or
externally.
How and to whom the evaluation report will be released will be
informed by the purpose of the evaluation and how the results
are intended to be used. Reviews and monitoring reports should
also be considered in this context.
Reporting the results of an evaluation is not an end in itself.
The findings need to be applied so that the original purpose of
the evaluation is achieved. This may mean the findings and
recommendations need to be tailored for specific audiences.
Rural Industries International Expo—monitoring, review and
evaluation
In designing monitoring, review and evaluation arrangements
for the Rural Industries International Expo proposal, key issues
to consider include:
· What will success look like? How will it be measured? How
will it be reported? Who will it be reported to? When will it be
reported? What authority is required to ensure monitoring,
review and evaluation activities proceed as planned?
· What baseline data needs to be collected on the performance
of rural industries to date, exports and the current status of
domestic and international investment? When will comparison
data be collected—directly after the Expo, after six months,
after one year, prior to the next international exposition if
another is held? Will connections made during the expo be
documented through case studies so that some qualitative data
will accompany the quantitative data?
· What indicators will be chosen to monitor changes in
performance directly due to the impact of the expo (that is,
attribution)? Are there existing datasets that can be drawn on, or
does a new framework need to be established? Has a reporting
framework been agreed? Over what period are the benefits
expected to be realised? Has an evaluation strategy been
agreed? Is there an expert group available for guidance?

· Who will be responsible for collecting the baseline and
ongoing data? Who will be responsible for coordinating data
collection? How will consistency be maintained across the
collection? What resources (including funding) are available for
the data collection, reporting and evaluation activities? Does
funding for this need to be included in the NPP?
· Are all stakeholders—interdepartmental, inter-jurisdictional
and industry—aware that data collection and reporting of the
data are part of implementation? Will there be a cost to state
government or industry for participating in monitoring, review
and evaluation activities? If so, will this be addressed in
funding negotiations?
6 Resource management6.1 Key considerations
Resource management involves consideration of the types—
financial and non-financial—and amounts of resources required
and how they will be used to deliver the stated outcomes of an
initiative.
The resources available to implement an initiative will be
limited and their availability will change throughout its life. It
is essential that project managers understand the quantum of
resources available and how important their efficient
deployment in the delivery of the initiative is.
Good resource management will ensure:
· more informed decisions that match the availability of
resources
· more efficient, effective, ethical and economical use of
available resources
· improved delivery, as initiatives are less likely to be delayed
by resource shortages
· improved realisation of benefits, as the scale and timing of
implementation is proactively managed.
The implementation plan should address financial resources,
including budget, and non-financial resources, including
required assets (for example, office space and equipment),
technology and human resources. 6.2 Business case
A business case outlines the optimum mix of information used

to judge whether an initiative is needed, viable and achievable,
and therefore worthwhile investing in. The business case should
not only be used to gain initial funding for an initiative, but
should be actively maintained throughout the life of the
initiative and be continually updated with information about
costs, benefits and risks.
The business case should provide information on the estimated
costs, timescales and effort required to set up and manage the
initiative from commencement through to delivery and
realisation of benefits. Options for delivery, clearly explaining
the differing risk and cost profiles and benefits, should be part
of the business case.
When making resourcing decisions, it is important to understand
what benefits can be gained, with what degree of risk and how
much they will cost. The key categories of benefits and costs
are the service being delivered, the relationships required to
manage service delivery and the overall strategic capability to
implement the initiative.6.3 Resource requirements
Before drilling down into the operational details, consider what
high-level resources are needed for implementation. This will
involve analysis at a whole-of-government level on what
resources are required to facilitate collaboration over the life
cycle of the initiative. Factors that will need to be considered
include:
· any constraints that may affect the flexible management of
resources, including ‘silo-ing’ within and across agencies
· the rules, regulations and processes associated with financial
management
· the chosen delivery approach, which will affect the
operational resources required
· the expertise needed in the management team (including in
planning and finance, human resources, and assets and systems,
as well as any specialist knowledge).
Financial resources
Managing the budget involves the allocation of administered

and departmental funds against project deliverables so that
agencies can effectively track expenditure over time and get
early warning of likely overspend, underspend or possible
savings. Expenditure is an indicator of whether implementation
is ‘on budget’—part of the objective ‘on time, on budget and to
expectations’.
The budget must reflect whole-of-life costs, and clearly
distinguish departmental and administered items, as well as
capital and operating expenses. Any costs associated with
external expenditure or capital items should also be included.
Financial planning processes should also encompass and
document:
· the proposed delivery approach, including contracting,
partnering, regulation, client co-production, multi-party
networks
· strategies for negotiating and managing delivery arrangements
· the deliverables, and whether there is a need for staged
delivery
· the desirability of testing the initiative through a pilot.
For initiatives involving high-value, high-risk and/or complex
procurements, the implementation plan should also document:
· the timing for the public release of documentation, tender and
contract finalisation, and the contract period
· the procurement method (for example, open tender,
prequalified tender or limited tender)
· any probity issues
· the funding model (for example, milestone payments and up-
front payments, if any)
· supplier selection processes (for example, tender evaluation
and contract negotiation)
· arrangements for ongoing contract management, including
monitoring, review and evaluation.
Non-financial resources
Managing non-financial resources is just as important as
managing financial resources in achieving the outcomes of the

initiative.
Effective management of non-financial resources requires an
early review of the scope and breakdown of work to identify the
resources that are critical to successful implementation. These
may include staff with specialist skills, consultants, a co-
located office venue, ICT equipment, transportation, and data
and information systems.
Management teams with appropriate capabilities and skills will
need to be assembled. Effective planning of human resource
requirements to deliver an initiative should address:
· demand—consider the number of staff required and the sort of
skills and knowledge needed to manage delivery
· supply—develop a skills register of available staff to outline
skills, experience and capacity
· matching of supply and demand—match the available staff
with required activities to ensure that high-priority initiatives
are sufficiently resourced
· gap closure—identify shortages in supply (numbers, skill or
experience), and take steps to fill these gaps through
recruitment, enlisting the expertise of external providers, or
staff training and development.
The implementation plan should outline the availability of the
non-financial critical resources required—whether they are
available internally, sourced through other Commonwealth
agencies and/or purchased externally. It should also outline
either a strategy to manage or acquire the resources for the
duration of the initiative or the procurement strategy, if the
resources are to be acquired externally. This information could
be summarised in the implementation plan (see example in
Table 3) and linked to the high-level objectives of the initiative.
Table 3: Example of a table summarising critical resource
management arrangements
Critical resource
Critical to:
(activity/phase deliverable )
Strategy to manage or acquire critical resource

Duration
(days or dates)
Est. cost
Where appropriate, resourcing issues should be reflected in
other relevant sections of the implementation plan—such as
those on risk, monitoring, review and evaluation, and
governance.
Rural Industries International Expo—resource management
In designing resource management arrangements for the Rural
Industries International Expo proposal, key issues to consider
include:
· Has a business case been developed?
· What is the budget for the project? Have funds been allocated
over the life of the project? Is the budget linked to key
milestones?

· Are there sufficient resources to establish a dedicated team to
manage the project? How many staff are required? What skills
and expertise will they need to deliver the project?
· Does the Department of Rural Affairs have the necessary
resources to meet these staffing requirements? Is it possible to
source expertise from other Commonwealth agencies to deliver
the project? Do you need to implement recruitment strategies to
meet resourcing demands?
· What delivery options—such as procurement, grants,
partnerships, co-production—will the agency use to implement
the project? What outputs will be achieved through these
delivery arrangements? How will these arrangements be
managed?
· How will funding be broken down over the two-year life of the
project (from initiation through to delivery and realisation of
benefits)? What is the breakdown between departmental and
administered items? How are these funds linked to the key
project deliverables?
· What is the contingency plan if funding agreements with the
state government cannot be reached? Do you have the resources
to manage any risks associated with implementation?
· Are any other non-financial resources—such as venue, ICT
equipment, transportation—critical to the delivery of the
project? Are these resources available internally? If necessary,
is there a strategy in place to acquire these resources?
7 Management strategy7.1 Why is a management strategy
needed?
Considering management strategy during the development of an
initiative is important because it provides an idea of whether
timeframes and outcomes are achievable within the proposed
financial, human and technical resources. The management
strategy also sets out key decision points in the process, which
will indicate whether the governance framework and reporting
and monitoring arrangements will deliver these goals.
Most departments provide guidance and stipulate requirements
for program and project management of government initiatives.

In the main, these documents say what should be done, not how
or why you should do it.
The management strategy should make a realistic estimate of
the resources required to deliver the initiative and provide
decision-makers with the information they need.
Initiatives that are highly complex, cross-portfolio, cross-
jurisdictional and require delivery through numerous
stakeholders may benefit from a dedicated project management
office (PMO). Some agencies maintain central PMOs that
provide services, ranging from provision of templates through
to the expertise of highly skilled project managers who can
provide tailored assistance or involvement in projects.
Assuming that the people who developed the policy are best
placed to implement it can be a costly error. The skills and
processes required for business as usual could be insufficient to
manage time, resources and outcomes for defined projects. The
skills and capabilities of the management team need to match
the initiative’s requirements throughout its life.7.2 Project
management methodologies
Departments and agencies that use a standard project
management best practice suite (such as PRojects IN Controlled
Environments (PRINCE2®) and the Project Management Body
of Knowledge) are encouraged to understand the principles,
themes and practices of the methods described in the suite, and
to avoid a ‘robotic’ or ‘template-driven’ approach. The methods
are flexible and are specifically designed to be tailored to suit
the context of a program or project. They are also designed to
be embedded into an organisation so as to match its culture and
management processes.
All FMA Act agencies with an annual ICT spend of greater than
$2 million are required to implement the Portfolio, Programme
and Project Management Maturity Model (P3M3TM) to assess
their capability to commission, manage and realise the benefits
of ICT investment.
7.3 Management capabilities required
Planning and managing the implementation of policy require

skills and experience beyond those relating to the subject matter
of the policy area concerned—they require leadership and
management expertise in such areas as best practice program
and project management methods, resource planning (financial
and non-financial) and risk management. Departments and
agencies need to pay particular attention during implementation
planning to the adequacy of financial and human resources—
including the mix of skills and expertise—required for
successful delivery of the initiative.
Obtaining such skills involves a combination of formal learning,
coaching and on-the-job experience. The APS Policy
Implementation Network (APS PIN), agency centres of
excellence, APS Custodians of Best Practice (for example, in
Benefits Realisation Management) and the Government Program
Community of Practice Forum provide contacts who can share
their experiences and approaches to developing these skills and
agency capabilities.
There are also industry bodies that specialise in program and
project management qualifications and competencies. These
include:
· APMG–Australasia (APMG)—the Australasian arm of the
Official Accreditor for the OGC suite of frameworks. APMG
specialises in the accreditation and certification of
organisations, processes and people, within a range of industries
and management disciplines.
· Australian Institute of Project Management (AIPM)—the peak
body for project management in Australia. AIPM has been
instrumental in advancing the profession of project management
in Australia over the past 30 years. It fosters the professional
application of project management skills and techniques as the
preferred process for delivering business outcomes.
· Project Management Institute (PMI)—a global body with
Australian chapters that serve practitioners and organisations
with standards that describe good practices, globally recognised
credentials that certify project management expertise, and
resources for professional development, networking and

community.
We encourage departments and agencies to understand and
consider what these bodies can offer.
7.4 Key considerations
The following questions should be addressed in the development
of an implementation plan:
· Does the implementation plan describe the capability and
expertise needed to manage the project?
· Does the agency currently have the capacity to manage the
project or is additional assistance necessary?
· Does the project need to harness any capabilities from other
agencies and when would these capabilities be required?
· Which project management methodology underpins the project
and how has this been tailored to meet the outcomes of the
project?
· Does the chosen project management methodology tailor
corporate tools, resources and reporting processes to the
requirements of individual measures and programs and capture
information required to make decisions?
Rural Industries International Expo—management strategy
In designing the management strategy for the Rural Industries
International Expo proposal, key issues to consider include:
· Has an assessment been done on what expertise is required to
manage the project? Does the Department of Rural Affairs
possess the capability and expertise needed to manage the
project?
· Does the Department of Rural Affairs currently have the
capacity to manage the project or is additional assistance
necessary? Does the project need to harness any capabilities
from other agencies? Which agencies need to be involved?
When would these resources be required?
· What project management methodology is available in the
Department of Rural Affairs to underpin the project? Is this
adequate to manage a project of this nature?
· How will the chosen project management methodology tailor

corporate tools, resources and reporting processes to the
requirements of individual measures and programs and capture
information required to make decisions?
8 Additional information8.1 Useful references
The Cabinet Implementation Unit’s toolkit papers each have a
comprehensive annotated list of resources for particular aspects
of implementation planning.
The following references may also be useful when preparing
your plan:
Australian National Audit Office (ANAO), Program Evaluation
in the Australian Public Service
http://www.anao.gov.au/Publications/Audit-Reports/1997-
1998/Program-Evaluation-in-the-Australian-Public-Service
ANAO, Performance Standards and Evaluation
http://www.anao.gov.au/Publications/Speeches/1996-
1997/Performance-Standards-and-Evaluation
AccountAbility 2011, AA1000 Stakeholder Engagement
Standard,atwww.accountability.org/images/content/5/4/542/AA1
000SES%202010%20PRINT.pdf
Department of Finance and Deregulation, Benefit Realisation
Management
www.finance.gov.au/publications/gateway-
publications/docs/Benefits_Lessons_Learned_flyer.pdf
Australian National Audit Office: Better Practice Guide: Public
Sector Governance
www.anao.gov.au/Publications/Better-Practice-Guides/2005-
2006/Public-Sector-Governance
Department of Finance and Deregulation, Better Practice Guide:
Risk Management
http://www.finance.gov.au/comcover/docs/Better_Practice_Guid
e.pdf

Australian National Audit Office (ANAO), Development and
Implementation of Key Performance Indicators to Support the
Outcomes and Programs Framework
http://www.anao.gov.au/Publications/Audit-Reports/2011-
2012/Development-and-Implementation-of-KPIs-to-Support-the-
Outcomes-and-Programs-Framework
8.2 Contacts
For further information on implementation planning, please
contact the Cabinet Implementation Unit:
www.dpmc.gov.au/implementation
[email protected]
02 6271 5844
Cabinet Implementation Unit
PO Box 6500
Canberra ACT 2600
Australia
<PROJECT NAME>IMPLEMENTATION PLAN
Version <1.0>
<mm/dd/yyyy>VERSION HISTORY
[Provide information on how the development and distribution
of the Project Implementation Plan was controlled and tracked.
Use the table below to provide the version number, the author
implementing the version, the date of the version, the name of
the person approving the version, the date that particular
version was approved, and a brief description of the reason for
creating the revised version.]
Version #
Implemented
By
Revision

Date
Approved
By
Approval
Date
Reason
1.0
<Author name>
<mm/dd/yy>
<name>
<mm/dd/yy>
<reason>
Notes to the Author
[This document is a template of a Project Implementation Plan

document for a project. The template includes instructions to
the author, boilerplate text, and fields that should be replaced
with the values specific to the project.
· Blue italicized text enclosed in square brackets ([text])
provides instructions to the document author, or describes the
intent, assumptions and context for content included in this
document.
· Blue italicized text enclosed in angle brackets (<text>)
indicates a field that should be replaced with information
specific to a particular project.
· Text and tables in black are provided as boilerplate examples
of wording and formats that may be used or modified as
appropriate to a specific project. These are offered only as
suggestions to assist in developing project documents; they are
not mandatory formats.
When using this template, the following steps are
recommended:
1. Replace all text enclosed in angle brackets (e.g., <Project
Name>) with the correct field document values. These angle
brackets appear in both the body of the document and in headers
and footers. To customize fields in Microsoft Word (which
display a gray background when selected) select File-
>Properties->Summary and fill in the appropriate fields within
the Summary and Custom tabs.
After clicking OK to close the dialog box, update all fields
throughout the document selecting Edit>Select All (or Ctrl-A)
and pressing F9. Or you can update each field individually by
clicking on it and pressing F9.
These actions must be done separately for any fields contained

with the document’s Header and Footer.
2. Modify boilerplate text as appropriate for the specific
project.
3. To add any new sections to the document, ensure that the
appropriate header and body text styles are maintained. Styles
used for the Section Headings are Heading 1, Heading 2 and
Heading 3. Style used for boilerplate text is Body Text.
4. To update the Table of Contents, right-click on it and select
“Update field” and choose the option - “Update entire table”.
5. Before submission of the first draft of this document, delete
this instruction section “Notes to the Author” and all
instructions to the author throughout the entire document.
Table of Contents
61Introduction
61.1 Purpose
61.2 System Overview
61.2.1 System Description
61.2.2 Assumptions and Constraints
61.2.3 System Organization
61.3 Glossary
62 Management Overview
62.1 Description of Implementation
72.2 Points-of-Contact
72.3 Major Tasks
82.4 Implementation Schedule
82.5 Security and Privacy
82.5.1 System Security Features
92.5.2 Security Set Up During Implementation
93 Implementation Support
93.1 Hardware, Software, Facilities, and Materials
93.1.1 Hardware
93.1.2 Software

103.1.3 Facilities
103.1.4 Materials
103.2 Documentation
103.3 Personnel
103.3.1 Staffing Requirements
113.3.2 Training of Implementation Staff
113.4 Outstanding Issues
113.5 Implementation Impact
123.6 Performance Monitoring
123.7 Configuration Management Interface
124 Implementation Requirements By Site
124.1 Site Name or Identification for Site X
124.1.1 Site Requirements
134.1.2 Site Implementation Details
144.1.3 Risks and Contingencies
144.1.4 Implementation Verification and Validation
144.2 Acceptance Criteria
15APPENDIX A: Project Implementation Plan Approval
16APPENDIX B: REFERENCES
17APPENDIX C: KEY TERMS
18APPENDIX D: System Hardware Inventory
19APPENDIX E: System Software Inventory
1 Introduction
1.1 Purpose
[This subsection of the Project Implementation Plan describes
the purpose of the plan and identifies the system to be
implemented.]1.2 System Overview
[This subsection of the Project Implementation Plan provides a
description of the system to be implemented and its
organization.]
1.2.1 System Description
[This subsection of the Project Implementation Plan provides an
overview of the processes the system is intended to support. If
the system is a database, provide a description of the type of

data maintained, sources and uses of that data. Include any
identification numbers, titles, abbreviations, version numbers
and release numbers to describe the system. ]
1.2.2 Assumptions and Constraints
the assumptions made regarding the development and execution
of this document as well as the applicable constraints. Some
items to consider when identifying the assumptions and
constraints are:
· Schedule
· Budget
· Resource availability and skill sets,
· Software and other technology to be reused or purchased,
· Constraints associated with product interfaces ]
1.2.3 System Organization
description of the system structure and the major system
components essential to its implementation. It should describe
both hardware and software, as appropriate. Charts, diagrams,
and graphics may be included as necessary to provide a clear
picture of the system.]1.3 Glossary
[This subsection of the Project Implementation Plan lists all
terms and abbreviations used in this plan. If it is several pages
in length, it may be placed in an appendix.]2 Management
Overview
[This section of the Project Implementation Plan provides a
description of how the implementation will be managed and
identifies the major tasks involved.]2.1 Description of
Implementation

description of the planned deployment, installation, and
implementation approach. Include whether the system will be
implemented using a phased approach or an “instant-on”
approach. ]2.2 Points-of-Contact
[This subsection of the Project Implementation Plan identifies
the System Proponent, the name of the responsible
organization(s), titles, and telephone numbers of the staff who
serve as points of contact for the system implementation. These
points-of-contact should include the Business Sponsor, Program
Manager, Project Manager, Quality Assurance Manager,
Configuration Management Manager, Security Officer, Database
Administrator, or other managers and representatives with
responsibilities relating to the system implementation. The site
implementation representative for each field installation or
implementation site should also be included, if appropriate.]
Add additional lines as needed to the table. If the applicable
team members are listed in the Project Management Plan,
reference the appropriate section within that document.]Role
Name
Contact Number
Business Sponsor
Project/Program Manager
Government Project Officer
System Developer or System Maintainer
Quality Assurance Manager

Configuration Management Manager
Security Officer
Database Administrator
Site Implementation Representative
IV&V Representative
Table 2.2 – Points-of-Contact
2.3 Major Tasks
[This subsection of the Project Implementation Plan provides
descriptions of the major system implementation tasks. Add as
many subsections as necessary to this subsection to describe all
the major tasks. The tasks described in this subsection are not
site-specific, but generic or overall project tasks that are
required to install hardware, software, and databases, prepare
data, and validate the system
If several implementation approaches are being reviewed, then
identify the advantages, disadvantages, risks, issues, estimated
time frames, and estimated resource requirements for each
option considered. These options could include:
· Incremental implementation or phased approach
· Parallel execution
· One-time conversion and switchover

· Any combinations of the above.
Include the following information for the description of each
major task, if appropriate:
· What the task will accomplish
· Resources required to accomplish the task
· Key person(s) responsible for the task
· Criteria for successful completion of the task (e.g., “user
acceptance”)
Examples of major tasks are the following:
· Provide overall planning and coordination for the
implementation
· Provide appropriate training for personnel
· Ensure that all manuals applicable to the implementation
effort are available when needed
· Provide all needed technical assistance
· Schedule any special computer processing required for the
implementation
· Perform site surveys before implementation
· Ensure that all prerequisites have been fulfilled before the
implementation date
· Provide personnel for the implementation team

· Acquire special hardware or software
· Perform data conversion before loading data into the system
· Prepare site facilities for implementation
Consider addressing the changes that may be necessary once the
system has been implemented. These changes may include, but
are not limited to, personnel and technology equipment
alignment, and contractor support.]2.4 Implementation Schedule
schedule of activities to be accomplished. Show the required
tasks (described in Subsection 2.3, Major Tasks) in
chronological order, with the beginning and end dates of each
task. If MS Project is used to plan the implementation, include
the project Gantt chart. Include any milestones from the
projects that are dependent on this project and vice-
versa.]2.5 Security and Privacy
[This subsection of the Project Implementation Plan includes an
overview of the system security and requirements that must be
followed during implementation. If the system contains personal
data, describe how Privacy Act concerns will be addressed.]
2.5.1 System Security Features
[This subsection of the Project Implementation Plan provides an
overview and discussion of the security features that must be
addressed when it is implemented. It should include the
determination of system sensitivity and the actions necessary to
ensure that the system meets all the criteria appropriate to its
Certification level. Reference the applicable security guidance
documents.]
2.5.2 Security Set Up During Implementation
[This subsection of the Project Implementation Plan addresses
security issues specifically related to the implementation effort,
if any. For example, if LAN servers or workstations will be

installed at a site with sensitive data preloaded on non-
removable hard disk drives, address how security would be
provided for the data on these devices during shipping,
transport, and installation because theft of the devices could
compromise the sensitive data.]3 Implementation Support
[This section of the Project Implementation Plan describes the
support hardware, software, facilities, and materials required
for the implementation, as well as the documentation, necessary
personnel and training requirements, outstanding issues and
implementation impacts to the current environment. The
information provided in this section is not site-specific. If there
are additional support requirements not covered by the
subsequent sections, others may be added as
needed.]3.1 Hardware, Software, Facilities, and Materials
[This subsection of the Project Implementation Plan lists all
support hardware, software, facilities, and materials required
for the implementation.]
3.1.1 Hardware
list of support equipment and includes all hardware used for
installing and testing. This hardware may include computers,
servers, peripheral equipment, simulators, emulators, diagnostic
equipment, other non-computer equipment as well as any
network and data communication requirements. The description
should include the specific models, versions, configuration
settings, and the equipment owner. Also include information
about manufacturer support, licensing, and usage and ownership
rights, and maintenance agreement details.
If this information is recorded in another document or system,
such as the Configuration Management Plan or tool, identify
that item here. Otherwise, refer to the Hardware Inventory table
in Appendix D.
For example, if a web-enabled database is to be implemented,

identify the application and web servers that will provide
network access. If the hardware is site-specific, list it in Section
4, Implementation Requirements by Site.]
3.1.2 Software
list of non-hardware components (software, databases, and
compilers, operating systems, utilities, etc.) required to support
the implementation. Identify the component by specific name,
code, or acronym, identification numbers, version numbers,
release numbers, and applicable configuration settings. Also,
include information about vendor support, licensing, usage, and
ownership rights, as well as any required service and/or
maintenance contract costs and associated payment
responsibility. Identify whether the component is commercial
off-the-shelf, custom developed or legacy. Identify any
component used to facilitate the implementation process.
If this information is recorded in another document or system,
such as the Configuration Management Plan or tool, identify
that item here. Otherwise, refer to the Software Inventory table
in Appendix E.
If the component is site-specific, list it in Section 4,
Implementation Requirements by Site.]
3.1.3 Facilities
the physical facilities, accommodations and their location(s)
required during implementation. Examples include physical
workspace for assembling and testing hardware components,
desk space for software installers, floor space for equipment,
and classroom space for training the implementation staff.
Specify the hours per day needed, number of days, and
anticipated dates.

If the facilities needed are site-specific, provide this
information in Section 4, Implementation Requirements by
Site.]
3.1.4 Materials
any other consumables (i.e. technology, supplies, and materials)
required to support the system. Provide the names,
identification numbers, version numbers, release numbers,
owners, and any associated maintenance or operational costs.
If the materials needed are site-specific, provide this
information in Section 4, Implementation Requirements by
Site.]3.2 Documentation
[This subsection of the Project Implementation Plan lists any
additional documentation needed to support the deliverable
system. Include any security or privacy protection
considerations associated with the systems use. If created, make
reference to the Software User Documentation Guide for user
documentation.]3.3 Personnel
committed and proposed staffing requirements. Describe the
training, if any, to be provided for the implementation staff.]
3.3.1 Staffing Requirements
the number of personnel, length of time needed, types of skills,
skill levels, expertise, and any necessary security clearances for
the staff required during the implementation period. If
particular staff members have been selected or proposed for the
implementation, identify their roles and responsibilities.]
3.3.2 Training of Implementation Staff
the training, if any, necessary to prepare staff for implementing
the system; it does not address user training, which is the

subject of the Software Training Plan.
Describe the type and amount of training required for each of
the following areas, if appropriate, for the system:
· System hardware/software installation
· System support
· System maintenance and modification
List the courses that will be provided, a course sequence, and a
proposed schedule. If appropriate, identify which courses
particular types of staff should attend by job position
description.
If one or more commercial vendors will provide training,
identify them, the course name(s), and a description of the
course content.
If Center staff will provide the training, provide the course
name(s) and an outline of the content of each course. Identify
the resources, support materials, and proposed instructors
required to teach the course(s).]3.4 Outstanding Issues
[This subsection of the Project Implementation Plan states any
known issues or problems relevant to implementation planning.
This section answers the question, “Are there any specific
issues, restrictions, or limitations that must be considered as a
part of the deployment?”
If issues are site-specific, provide this information in Section 4,
Implementation Requirements by Site.]3.5 Implementation
Impact
how the system’s implementation is expected to impact the
network infrastructure, support staff, user community, etc.

Include any references to Service Level Agreements which
describe the performance requirements, availability, security
requirements, expected response times, system backups,
expected transaction rates, initial storage requirements with
expected growth rate, as well as help desk support requirements.
If impacts are site-specific, provide this information in Section
4, Implementation Requirements by Site.]3.6 Performance
Monitoring
the performance monitoring tool, techniques and how it will be
used to help determine if the implementation is
successful.]3.7 Configuration Management Interface
Configuration Management, such as when versions will be
distributed. Reference the Configuration Management
Plan.]4 Implementation Requirements by Site
[This section of the Project Implementation Plan describes site-
specific implementation requirements and procedures. If
requirements and procedures differ by site, provide this
information in an appendix and reference it here.
The "X" in the subsection number should be replaced with a
sequenced number beginning with 1. Each subsection with the
same value of "X" is associated with the same implementation
site. If a complete set of subsections will be associated with
each implementation site, then "X" is assigned a new value for
each site.]4.1 Site Name or Identification for Site X
the site by name, location and ownership.]
4.1.1 Site Requirements
[This subsection of the Project Implementation Plan defines the
requirements that must be met for the orderly implementation of
the system and describes the hardware, software, and facilities
requirements for this site.

Any site requirements that do not fall into the following three
categories and were not described in Section 3, Implementation
Support, may be described in this subsection, or other
subsections may be added following Facilities Requirements
below:
· Hardware Requirements -- Describe the hardware requirements
necessary tosupport the implementation (such as, workstations
that will run on a LAN).
· Software Requirements -- Describe any software required to
implement the system (such as, software specifically designed
for automating the installation process).
· Database Requirements – Describe any databases that are
required to implement this system and their contents.
· Data Requirements -- Describe any specific data preparation
requirements and data that must be available for the system
implementation. An example would be the assignment of
individual IDs associated with data preparation.
· Facilities Requirements -- Describe the physical facilities and
accommodations required during the system implementation
period. Some examples of this type of information are provided
in Section 3, Implementation Support.]
4.1.2 Site Implementation Details
the specifics of the implementation for this site. Include a
description of the implementation team, schedule, procedures,
and database and data updates. This subsection should also
provide information on the following:
· Team -- If an implementation team is required, describe its

composition and the tasks to be performed at this site by each
team member.
· Schedule -- Provide the subsection of the master
implementation schedule described in paragraph 2.4,
Implementation Schedule, above that applies to this site.
· Procedures -- Provide the detailed procedures required to
accomplish the implementation at this site. If necessary, other
documents may be referenced. If appropriate, include a step-by-
step sequence of the detailed procedures. A checklist of the
installation events may be provided to record the results of the
process.
· If the site operations startup is an important factor in the
implementation, then address startup procedures in some detail.
· If the system will replace an already operating system, then
address the startup and cutover processes in detail.
· If there is a period of parallel operations with an existing
system, then address the startup procedures that include
technical and operations support during the parallel cycle and
the consistency of data within the databases of the two systems.
· Database -- Describe the environment where the system and
the database(s) will be installed. Include a description of the
different types of databases and library environments (such as,
production, test, and training databases).
· Reference database operating procedures, database file and
library naming conventions, database system generation
parameters, and any other information needed to effectively
establish the database.
· Reference the database administration testing procedures to be

used before the system implementation.
· Data Update -- If data update procedures are described in
another document, such as the operations manual or conversion
plan, that document may be referenced here. The following are
examples of information to be included:
· Control inputs
· Operating instructions
· Database data sources and inputs
· Output reports
· Restart and recovery procedures]
4.1.3 Risks and Contingencies
the risks and specific actions to be taken in the event the
implementation fails or needs to be altered at any point and
includes the factors to be used for making the decision. Refer to
the Project’s Contingency Plan, Risk Management Plan and the
Risk Management Process for additional guidance. ]
4.1.4 Implementation Verification and Validation
the process for ensuring that the implementation was not poorly
executed. It describes how any noted discrepancies will be
rectified. It also references the system Contingency Plan, if, as
a result of the discrepancies, a no-go decision is made to
implement the system. ]4.2 Acceptance Criteria
[This subsection of the Project Implementation Plan establishes
the exit or acceptance criteria for transitioning the system into
production. Identify the criteria that will be used to determine

the acceptability of the deliverables as well as any required
technical processes, methods, tools, and/ or performance
benchmarks required for product acceptance. ]
APPENDIX A: Project Implementation Plan Approval
The undersigned acknowledge that they have reviewed the
<Project Name> Implementation Plan and agree with the
information presented within this document. Changes to this
Project Implementation Plan will be coordinated with, and
approved by, the undersigned, or their designated
representatives.
Signature:
Date:
Print Name:
Title:
Role:
Project Manager
APPENDIX B: REFERENCES
[Insert the name, version number, description, and physical
location of any documents referenced in this document. Add

rows to the table as necessary.]
The following table summarizes the documents referenced in
this document.
Document Name
Description
Location
<Document Name and Version Number>
<Document description>
<URL or location where document is located>
APPENDIX C: KEY TERMS
The following table provides definitions and explanations for
terms and acronyms relevant to the content presented within this
document.
Term
Definition
[Insert Term]
<Provide definition of term and acronyms used in this
document.>
APPENDIX D: System Hardware Inventory
Name/ ID
Type

Model/ Version
Physical Location
Equipment Owner
(Person or Dept)
Maintenance Contract? Y/N
Maintenance Contact Point
Maintenance Type/ Level of Coverage
Maintenance Period Expiration Date
Required Licenses

APPENDIX E: System Software Inventory
Name/ ID
Type
Model/ Version
Physical Location
Equipment Owner
(Person or Dept)
Maintenance Contract? Y/N
Maintenance Contact Point
Maintenance Type/ Level of Coverage
Maintenance Period Expiration Date
Required Licenses

[Insert appropriate disclaimer(s)]
PAGE
[Insert appropriate disclaimer(s)]
ANALYTICS SURVEY
ANALYTICS COMPONENTS
Totally disagree
1
2
3
4
Totally agree
5
CULTURE

Integration of information management and business analytics
into strategy
Promotion of analytics best practices
Collaborative use of data across company lines
Planned investments in analytics technology, new talent and
training
Pressure from senior management to become more data-driven
and analytical

Data is treated as a core asset
Analytics is a top-down mandate
Analytical insights guide future strategy
Data analysis outweighs management experience when
addressing key business issues
Organizational openness to new ideas and approaches that
challenge current practices
Analytics changes the way business is conducted

Analytics causes a power shift in the organization
DATA MANAGEMENT
Managers have all the data they need to make key business
decisions
Customer-facing employees have access to insights to help drive
sales and productivity
Access to useful data has improved during the past year

The organization is effective at capturing data, cleaning data,
aggregating/integrating data and visualizing data
Data is shared across functional silos and/or business units.
The organization uses a great deal of the data it generates or
collects.
Functional areas are planning to make investments in analytics
technology in the next 12months, and/or have already made
investments in the past 12 months.
Analytics is being applied to key business issues by the
organization as a whole.
SKILLS

The organization as a whole is effective at analyzing
information and disseminating data insights
The organization has the appropriate analytical talent to make
good use of analytics
Executives are effective at balancing analytics and intuition
Individual managers feel adequately prepared to use the
organization’s data to address business issues
Functional areas have made investments in the past 12 months
and are planning to make Investments in the next 12 months in
analytics-related human resources (hiring analytics talent such
as data scientists or analysts) and training (expanding analytical

skill sets of current employees)

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