Project Management Manual

PM01 (V7.
01) Doc Ref: PM01

GRIP Manual Version: 7.01
Introduction to the Project Management manual Date: 20/12/06
Project Management Manual

PM01
Introduction to the Project Management Manual
Ref: PM01 (V7.01) - Uncontrolled once Printed
Issued on 20th December 2006
Manual Owner: James Couper
Head of Project Management Governance
MP&I
PM01(V7.01) Page 1 of 23
PM01 (V7.01) Doc Ref: PM01
Change Log
Change Description Owner of Change Date of Change
PM01(V7.01) Page 2 of 23
Table of Contents
About This Document..................................................................................................................................................4

1. Introduction to the Guide to Railway Investment Projects (GRIP) ...............................................................5
2. About the Project Management Manual...............................................................................................................8
3. Structure of the Project Management Manual ................................................................................................. 12
4. Application of GRIP in a multi-project Environment...................................................................................... 15
4.1 Introduction........................................................................................................................................................... 15
4.2 Definitions.............................................................................................................................................................. 16
4.3 Application of GRIP to Workbanks ................................................................................................................. 20
4.4 Managing Major Projects..................................................................................................................................... 23
PM01(V7.01) Page 3 of 23
About This Document
In this This document is the introduction to the Project Management Manual. Its contents
document are as follows:
• Section 1 provides an introduction to the entire Guide to Railway Investment
Projects (GRIP)
• Section 2 provides a specific introduction to the Project Management Manual
and its contents
• Section 3 defines the format for each of the documents within the Project
Management Manual
• Section 4 provides general guidance on the management of projects, portfolios
and programmes within the GRIP environment.
PM01(V7.01) Page 4 of 23
1. Introduction to the Guide to Railway Investment Projects

(GRIP)
Structure of The diagram below shows the structure of the Guide to Railway Investment
the Guide Projects:
Policy Manual
(POL)
Enhancements Development Manual The Delivery Manual

(ENH) (DEL)
Investment
Regulations
(IR)
Renewals Development Manual Third Party Delivery

(RDM) (TPD)
Project Management Manual

(PM)
The Manuals • The Guide to Railway Investment Projects consists of the following manuals:
Title Purpose
Policy Manual Describes the overarching policies that must be
applied to all investment projects and provides an
overview of Network Rail’s approach to managing
and controlling these projects.
Project Management Manual Describes the underpinning project management
approach and principles that must be applied to all
investment projects, across all stages of the
investment lifecycle.
Investment Regulations Describes the principles that apply to investment
project funding and the procedures that must be
followed in order to obtain funding authority.
Enhancements Development Describes what must be produced by an
Manual investment project if its scope includes any
element of network enhancement.
Continued on next page
PM01(V7.01) Page 5 of 23

(GRIP), Continued
The Manuals (continued)
Title Purpose
Renewals Development Manual Describes what must be produced by an
investment project if its scope includes any
element of network renewal.
The Delivery Manual Describes what must be produced by an
investment project if Network Rail delivers the
asset change in full, or in part.
Third Party Delivery Manual Describes what must be produced by an
investment project for Network Rail to
discharge its asset protection role if a third
party delivers the asset change in full, or in part.
Each manual contains separate manual documents that provide details on a specific
subject, for example Project Engineering, Track Renewals or Value Management.
Products The key components in each of these separated documents are the Products that
are required at each stage of the Investment Lifecycle.
These products represent the output, or deliverable, from a piece of work, for
example a Remit, Budget (Cost) Estimate or Functional Specification. The Guide to
Railway Investment Projects ensures consistency by specifying the required outputs
in terms of format and content, but not how they should be developed. This
approach gives maximum flexibility to the development process.
PM01(V7.01) Page 6 of 23

(GRIP), Continued
The The Basic Lifecycle Diagram is shown below:

Investment
Lifecycle
A B C/D E
Strategic EFA Procurement Delivery
Phases Requirements
Feasibility & Development
1 2 3 4 5 6 7 8
Construction,
Stages Output
Pre-Feasibility
Option Single Option Detailed
Test &
Scheme Project Close
Definition Selection Development Design Handback Out
Commission
The lifecycle defines the eight stages through which an investment project
progresses from Output Definition to Close Out. The eight stages are grouped into
three phases which are linked to the Strategic Rail Authority’s investment process
(Phases C and D are the SRA’s Tender Documentation and Procurement stages,
which map across several Network Rail stages depending on the chosen
procurement route).
Product Matrix A Product Matrix has been developed to give an overview of all the products that
should be produced within each stage of the Investment Lifecycle.
The products have been grouped together in the Quality Plan/Stage Gate Review
Checklists on a stage-by-stage basis, thereby forming a definitive list of outputs from
each stage.
PM01(V7.01) Page 7 of 23
2. About the Project Management Manual
Aims The aims of the Project Management Manual are to:

• Provide a framework for managing projects that can be applied consistently
across Network Rail
• Define the products required at various stages of the project lifecycle
• Provide guidance and, where applicable, templates to enable the efficient
development of the products.
• Provide guidance on the management of major projects and programmes.
Content of the The table below lists the sections within the Project Management Manual and the
Project purpose of the products within each section:
Management
Manual
Section No Section Name Purpose

PM01 Introduction to the Project Introduction to the content and format of the
Management Manual Project Management Manual. Also describes
the contents of the Guide to Railway
Investment Projects.
PM02 Sponsor’s and Project Manager’s Defines the format and content of the
Remits Sponsor’s and Project Manager’s Remits at
each stage of the investment lifecycle.
PM03 Project Planning Defines the format and content of the Project
Planning products at each stage of the
PM04 Cost Estimating Defines the format and content of the Cost
Estimating products at each stage of the
PM05 The Management Plan Defines the format and content of the
Management Plan products at each stage of
the investment lifecycle.
PM06 Contract Planning and Procurement Defines the format and content of the
Contract Planning and Procurement products
at each stage of the investment lifecycle.
PM01(V7.01) Page 8 of 23
PM07 Controls – Change Management Defines the format and content of the change
management products at each stage of the
2. About the Project Management Manual, Continued
Content of the Project Management Manual (continued)
Section No Section Name Purpose

PM08 Controls – Cost Management Defines the format and content of the Cost
Management products at each stage of the
PM09 Controls - Reporting Defines the format and content of the
Reporting products at each stage of the
PM10 Risk and Opportunity Management Defines the format and content of the Risk
and Opportunity Management products at
each stage of the investment lifecycle.
PM11 Value Management Defines the format and content of the Value
Management products at each stage of the
PM12 Contract Management Defines the format and content of the
Contract Management products at each stage
of the investment lifecycle.
PM13 Stage Gate Review Defines the format and content of the Stage
Gate Review at each stage of the investment
lifecycle.
PM14 Project Close Out Defines the format and content of the Project
Close Out products at each stage of the
PM15 Roles and Responsibilities Defines the general roles and responsibilities
of the key personnel who have an input to the
production of the products defined in the
Guide to Railway Investment Projects.
PM01(V7.01) Page 9 of 23
PM16 Product and Template Glossary This document lists all of the products within
the Guide to Railway Investment Projects
alphabetically and gives a high-level purpose
for each one. Products with templates
available are also indicated.
PM17 Project Communications Defines the content and processes to be used
in managing a Project’s Communications Plan.
PM01(V7.01) Page 10 of 23
2. About the Project Management Manual, Continued
Staged Within each stage of the investment lifecycle we adopt a ‘plan–do–review’ approach
Approach which is shown in the following diagram:
Previous
A Stage Next Stage
Stage
Plan Do Review
Plan Do Review
Plan Do Review
The Project The elements of the Project Management Manual we use to undertake this ‘plan–do–
Management review’ approach within each stage are shown in the following diagram:
Manual
Plan Do Review
• PM02 Remits • PM07 Controls - Change Management • PM13 Stage Gate Review
• PM03 Project Planning • PM08 Controls - Cost Management • IR01 Investment Regulations
• PM04 Cost Estimating • PM09 Controls - Reporting
• PM05 The Management Plan • PM10 Risk Threats and Opportunities
Management
• PM06 Contract Planning and Procurement
• PM11 Value Management
• PM12 Contract Management
• PM14 Project Close Out
PM01(V7.01) Page 11 of 23
3. Structure of the Project Management Manual
Introduction The contents of each document within the Project Management Manual is based on
the same template and organised in the same way. Each document is organised as
follows:
Section 1. Roles and Responsibilities
Section 2. Products
Section 3. Guidance
Section 4. Templates
The content of each section is described below.
1. Roles and Identifies the roles that encompass specific responsibilities linked to the production
Responsibilities of products defined in the appropriate section of the Project Management Manual.
More general guidance on roles and responsibilities is given in PM15 - Roles and
Responsibilities. The role definitions are not intended to be job specifications;
rather, their purpose is to describe a function to be fulfilled to meet the
requirements of the Guide to Railway Investment Projects.
2. Products Defines the Products that may be required at each stage of the project lifecycle.
The following table describes the common format that is followed:
Topic Description
Purpose The purpose of this product.
Input Dependencies Specific products that must be completed before this
product can be started.
May include specific quality criteria.
Format and Content - The format and minimum requirements of this product.
Minimum Requirements
PM01(V7.01) Page 12 of 23
3. Structure of the Project Management Manual, Continued
2. Products (continued)
Topic Description
Responsibility The RACI for the product.
Note: RACIs are an organisational tool used by
Network Rail to understand and define how individual
job roles are involved in, and contribute to,
organisational processes.
The RACI analyses responsibility for producing the
product under the following headings:
• Responsible - The job role that is responsible for
producing the product but not ultimately
accountable. Responsibility can be delegated.
• Accountable - The job role that is ultimately
responsible for the product. Accountability cannot
be delegated.
• Consult - Job roles that must be consulted during
the production of the product. Evidence must be
provided that consultation has taken place.
• Inform - Job roles that must be informed about the
product. Evidence must be provided that the
required information has been disseminated.
3. Guidance Provides additional non - mandatory information to assist in the preparation of the
Products detailed in Section 2.
4. Templates Wherever possible templates for the products will be placed here to enable
practitioners to construct the products quickly.
PM01(V7.01) Page 13 of 23
3. Structure of the Project Management Manual, Continued
Version The Project Management Manual was originally published as part of the Guide to
Control Railway Investment Projects as an uncontrolled document in both paper and CD -
ROM formats. The latest version of the manual is available on Network Rail’s
Connect. This version should be used at all times. A CD version is available for
those without access to Connect via the Director, Programme Controls, MP&I.
Document The Project Management Manual, as part of the Guide to Railway Investment
ownership and Projects, is formally owned by the Director, Programme Controls, MP&I, who will
revision revise the manual at appropriate intervals.
PM01(V7.01) Page 14 of 23
4. Application of GRIP in a multi-project Environment
4.1 Introduction
Introduction This section provides further guidance on projects and programmes and their
management in the Network Rail context. Specifically it addresses:
• Context of projects and programmes
• Definitions of a project, programme, portfolio, workbank and major project
• Guidance on managing programmes
• Guidance on how GRIP should be applied on major projects
Context • Network Rail renews and enhances assets through a variety of project related
mechanisms. This section describes how this work is packaged and managed.
• GRIP is presently tailored to the delivery of infrastructure works. IT and
Business change projects and programmes are not specifically covered by this
release of GRIP.
PM01(V7.01) Page 15 of 23
4.2 Definitions
Definitions To enable a common understanding of key terms this section provides definitions
for the following:
• Workbank
• Project
• Portfolio
• Programme
• Major project
Workbank The Workbank is a listing of worksites which the Asset Engineer has identified for
completion. It is usually developed after discussion with the maintainers and with
due regard to sponsored enhancements and regulatory change. It is usually defined
over a number of years so that the development process and resourcing profile can
be planned.
Project A project is any planned work resulting in a material change to Network Rail’s assets
including new construction, relocation or alteration, renewal, refurbishment,
decommissioning and recovery, and demolition.
Portfolio Portfolios are a grouping of not necessarily related projects, which are packaged
together to manage their development and delivery, normally in order to allow
more effective resource management.
Programme A programme is a set of discrete but inter-dependent projects which all lead to the
achievement of a common business benefit, e.g. increase in line speed on a section of
track to achieve increased revenue.
Programmes connect projects and integrate delivery of incremental business
benefits. They provide the processes and organisational framework for managing
the delivery of strategic business initiatives. These are delivered by a number of
projects, (and potentially by line management activity) which Programme
Management integrates to obtain and optimise the required business benefits.
PM01(V7.01) Page 16 of 23
4.2 Definitions, Continued
Major Project A bespoke project, programme or portfolio characterised by its complexity, level of
investment and stakeholder involvement. Such a project is likely to have its own
project control office established and have a dedicated project team under the direct
control of a nominated person. For example, West Coast Route Modernisation is a
major project.
Characteristics Programmes are characterised by:

of a
• high value with potentially severe impact on business performance and
Programme
reputation
• high impact on operations - during implementation and at completion
• implementation in busy operating units, whilst minimising disruption to existing
services
• competing requirements between current and future business, and capital
investment
• the need for cultural and/or behavioural change in order to realise benefits
• highly complex - managerially and technically - with diverse multi-disciplinary
systems, often extending over wide geography
• involving development and application of new technology
• long time periods - typically several years.
A programme will generally reflect a number, but not necessarily all of these
characteristics. Whilst many of these characteristics also apply to projects, the
degree of complexity and ambiguity will be higher with programmes.
Benefits of a The benefits of a programme of projects are:

Programme of
• Only projects determined as necessary will be run. This aids the process of
Projects
prioritisation and ensures unnecessary work does not take place.
• Increased efficiency by sharing well managed resources and adopting common
procedures
• Reduction of risk by the management of interfaces and interdependencies
between projects
• Delivery of benefits in controlled tranches, ensuring earlier and safer business
return on capital
• More flexibility in the overall route taken to achieve the programme objective.
PM01(V7.01) Page 17 of 23
PM01(V7.01) Page 18 of 23
4.2 Definitions, Continued
Comparison of The following list compares key aspects of projects and programmes.
Key Aspects of
Projects and
Programmes
Programme Project
Scope, cost and schedule are flexible Clearly defined scope, cost and
and subject to change schedule
An organisational and management Discrete management framework with
framework which integrates the focus on delivering specific changes to
changes delivered by projects to obtain assets and/or operations and discrete
cumulative business benefits benefits
May have a less defined and flexible Fixed time horizon
time horizon
Objectives may evolve during definition Objectives fixed at the outset that are
phase and subsequent delivery in line focused on delivery of an asset and/or
with evolving business needs change in operations
Flexible to changes in the business Relatively inflexible to change
environment
Definition of constituent projects Clarity of definition at start of each
evolves during the programme lifecycle project is vital for success
PM01(V7.01) Page 19 of 23
4.3 Application of GRIP to Workbanks
Introduction This section of the Manual supplements the guidance given within the Policy Manual
of GRIP when managing stage gate reviews (SGRs) for programmes of work.
Workbanks are typically managed as Portfolios. However, some components of the
Workbank may be managed as part of a Programme, as a Major Project or as a
stand-alone Project.
Policy Manual Page 8 of the GRIP Policy manual gives the following guidance:
Guidance
Is it recognised that a renewals workbank can contain a large number of low value,
low risk projects for which the preparation of a set of individual GRIP products and
stage gate reviews would produce little additional value when compared to the large
level of work required to produce them. The GRIP process can therefore be
simplified by:
1. Work items It is not necessary to review all work items in a workbank separately. Work items
can be may be aggregated for a stage gate review when the following criteria all apply:
aggregated for
• The work items are of a similar nature and are to be delivered by similar supply
Stage gate
arrangements
Review
• The value of the individual work items are not significantly different from others
in the workbank
• The commercial and technical risks associated with the work items are not
significantly different from others in the workbank
2. Decision to It is envisaged that the proposal to aggregate similar items will be made by the
aggregate Programme Manager/Project Manager at the regular quarterly or period review
these work meeting of the Workbank with the Sponsor. The Project Manager and Sponsor
items must agree that this approach will still maintain adequate control of project risks. In
these circumstances it is acceptable for a single product to apply to a number of
similar work items in the Workbank.
3. All work All elements of the workbank should be reviewed through a stage gate review at
items must least once at some point during the year. The timing of this review should be at the
have at least an best time for the individual work item, i.e. at a natural stage gate review point, rather
annual Stage than being immediately prior to the Investment Authorisation paper.
Gate Review
PM01(V7.01) Page 20 of 23
PM01(V7.01) Page 21 of 23
4.3 Application of GRIP to Workbanks, Continued
4. Whole Immediately prior to the Investment Authorisation submission the whole portfolio
portfolio should be reviewed to ensure its acceptability. All items for which authorisation is
should be sought must be capable of meeting the appropriate stage gate criteria for the
reviewed prior particular authority.
to investment
authorisation
5. It is It is recommended that packages of works be formally reviewed by the

recommended Sponsor/Project Manager at least once in each period and the development stage for
to review all each project / site is determined and then reviewed against the planned products for
packages each that stage.
period
Grouping Projects within a portfolio of workbank items may be grouped together for
Projects management control and stage gate review if the Sponsor and Programme Manager
agree that this would enable a more efficient management process. Projects would
normally be grouped together for two reasons:
• Projects will impact the same, or very similar, products e.g. plain line track
renewal
• Projects will go through the same investment authorisation process, e.g. they are
all part of an annualised workbank
The aim of this grouping is to improve the efficiency of the delivery of projects by
removing unnecessary management control processes. It is the Sponsor’s decision
to aggregate projects in this way.
Using Groups of projects may use common products where the Sponsor deems that this is
Common acceptable and will remove unnecessary management controls. Examples of this
Products could be the use of a common Management Plan or Value Management Study across
a Programme or Portfolio of similar projects.
PM01(V7.01) Page 22 of 23
4.4 Managing Major Projects
Introduction This section of the manual provides further guidance on the management of stage
gate reviews (SGR) specifically for major projects.
Reviews at In certain circumstances it may be appropriate to undertake stage gate reviews at

Major Project both the project level and also at the individual work package/sub project level. This
and Work may be appropriate where a major project has, for instance, a number of individual
Package/ sub discrete projects, which have their own delivery schedule within the overall project
project level schedule.
Some major projects, for example the Southern Region Power Upgrade project,
have found this of value as undertaking reviews only at the major project level does
not identify areas of concern at the work instruction level. The overall project
review therefore becomes much more strategic and does not adequately control the
actual delivery of changed assets. In this case, both levels of stage gate review should
be applied.
Projects and Experience has shown that a major project can be at a certain stage within the
Work investment lifecycle but that individual projects within it may be at different stages.
Instructions at For example as the major project develops new projects will begin which have to
different stages start at a lower stage whilst the major project is ongoing at a later stage. In this case
the major project is effectively being treated as a programme with individual
tranches of projects progressing at independent pace.
This approach is only acceptable provided that the business benefits are capable of
being realised independently in tranches and with the express approval of the
authorising body. In these circumstances, particular attention will need to be given
to managing any interdependencies between projects/activities, and these should be
highlighted within the Management Plan and reviewed at Stage Gate Reviews. Stage
Gate Reviews will be needed at both the Programme and project level.
Bespoke SGR Major projects may find it advantageous to produce generic stage gate review forms
forms to assist their individual project teams in undertaking stage gate reviews. This may
be particularly useful where a project has for example, a number of similar activities
undertaken in a number of different geographical locations, e.g. new transformers on
a power upgrade project or bridge re-gauging works on a freight-upgrade scheme.
PM01(V7.01) Page 23 of 23

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PM01 (V7.

01) Doc Ref: PM01

Project Management Manual

Ref: PM01 (V7.01) - Uncontrolled once Printed

Issued on 20th December 2006

Manual Owner: James Couper

Head of Project Management Governance

About This Document..................................................................................................................................................4

About This Document

1. Introduction to the Guide to Railway Investment Projects

Enhancements Development Manual The Delivery Manual

Renewals Development Manual Third Party Delivery

Project Management Manual

Continued on next page

1. Introduction to the Guide to Railway Investment Projects

The Manuals (continued)

Continued on next page

1. Introduction to the Guide to Railway Investment Projects

The The Basic Lifecycle Diagram is shown below:

2. About the Project Management Manual

Aims The aims of the Project Management Manual are to:

Section No Section Name Purpose

Continued on next page

2. About the Project Management Manual, Continued

Content of the Project Management Manual (continued)

Section No Section Name Purpose

Continued on next page

2. About the Project Management Manual, Continued

3. Structure of the Project Management Manual

Continued on next page

3. Structure of the Project Management Manual, Continued

Continued on next page

3. Structure of the Project Management Manual, Continued

4. Application of GRIP in a multi-project Environment

Continued on next page

4.2 Definitions, Continued

Characteristics Programmes are characterised by:

Benefits of a The benefits of a programme of projects are:

Continued on next page

4.2 Definitions, Continued

4.3 Application of GRIP to Workbanks

Continued on next page

4.3 Application of GRIP to Workbanks, Continued

5. It is It is recommended that packages of works be formally reviewed by the

4.4 Managing Major Projects

Reviews at In certain circumstances it may be appropriate to undertake stage gate reviews at

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