4.7 Overview of project management strategies: planning phase

The design of your research project helps to scope the broad intentions you aim to achieve and provides some specific ideas about the processes to be applied. When you are ready to progress the research (particularly after gaining funding), you will be able to move into detailed planning. At this stage you may need to review the scope and reconsider the costs of the project – particularly if your funding bid was only partially successful. There may also be cost increases, as the project may have experienced delays while the funds for the project were allocated. Some of the major activities during this planning process include developing the detailed WBS and project plan, recruiting your team members, and establishing your research facility. During the planning phase you will want to ensure that:

Project objectives have been clearly defined;
Project team members are competent;
Project is supported by management;
Resources (time, money, people) are likely to be sufficient; and can be maintained;
Milestones match the schedule and required deadlines; and
Quality is controlled by the use of defined processes, checking mechanisms, and review.

This is the critical stage of research project management, as the plan you put together at this point will drive the subsequent research process. The checklist below offers a number of prompts that assist in good project planning. Note that many of these relate to the establishment of good processes and systems so that all the team are kept informed and knowledgeable about your research and its progress.

Knowledge areas	Planning phase checklist
Scope management	Review the scope and objectives of the research and confirm they are still appropriate. Revise your project plan accordingly Prepare a detailed WBS outlining the key tasks, contributors, and roles Review and confirm your milestones and deliverables
Time management	Estimate the total time for the research Identify any milestones which should be included in the plan Review the WBS time elements to identify any activities that require careful management Check that the research team are able to devote the appropriate amount of time to achieve the deliverables
Cost management	Examine the WBS and estimate the costs of the major research activities Estimate the costs of equipment, travel, rental of offices, etc. Prepare a preliminary budget based on the agreed breakdown of costs Set up the project fund account and identify the budget to be committed to each element Establish protocols for expenditure, with 1–2 people maintaining oversight of the budget Plan for regular reports on expenditure and regular reviews of project costs for particular components
Quality management	Identify quality assurance requirements and develop strategies to monitor quality and risk Develop a process for team members to follow Train research team members to follow the process Audit the team members to ensure they are following the process Establish a protocol to deal with incomplete, unsatisfactory, or unsuccessful outcomes
Research management	Review the conditions of the grant and ensure any reporting or deliverables are included in your project planning Make contact with your research services to discuss the project and its management. Check what processes need to be completed to acquire the funding into your project grant Liaise with your legal services to ensure all necessary contracts and grant documents are signed off. Follow up on these if they are not completed in a timely manner Obtain all ethical clearances for the conduct of your research from the Research Integrity Office If you plan to include HDR students in your project, liaise with the graduate research and scholarships office to identify requirements or issues to be addressed
Risk management	Is confidentiality an issue? Speak with legal services and your university's commercial arm Is your research using dangerous processes or chemicals? Is fieldwork involved? Contact your safety and health office if there are issues that need to be managed Establish a risk log and encourage all members to identify potential risks that require consideration
Human resources management	Contact Human Resources for advice on recruitment and selection processes Recruit and appoint staff based on Human Resources policies and protocols. Ensure you are appointing your researchers at the right level and to the correct role Organise contracts for research team members as soon as possible Conduct an induction of all team members, including an overview of the Conditions of Award and team/project processes Conduct an initial performance development meeting with each individual team member. Identify member strengths and development needs Review relative contributions, expectations, and roles of each member. How will changes be managed and controlled? Clarify IP understanding with all members. In the case of students, a confidentiality agreement may need to be signed. Contact legal services if advice is required Establish reporting and timeline expectations Confirm principles for team culture, interaction, support, and quality control Clarify project goals and outcomes Conduct a project orientation/planning session with all team members Agree on timelines, procedures, and protocols. Confirm budgeting processes, expectations, and controls Celebrate the grant success with team members and stakeholders!
Stakeholder management	Confirm the project scope, milestones, and deliverables Finalise expectations regarding meetings, reporting, and outcomes. Confirm dissemination of the findings, IP, and communication strategy If you need a steering or advisory group, determine terms of reference, role and responsibilities of members. Appoint an executive officer to work with the group Liaise with your school/faculty contacts to keep them abreast of your program Finalise issues relating to ownership of IP and outcomes of the project
Communications management	Document all conversations with the granting body and keep it on file Maintain a file of email correspondence Set up your website for the project, including staff profiles, an overview of the project, and contact details Identify all necessary meetings/milestone reviews and schedule them into the WBS to ensure they are planned well ahead
Procurement management	Check the university's systems for procurement If you are setting up a new facility, consider accessing stored furniture and fittings that are being held by the University to reduce fit-out costs Consider whether computers should be hired or leased Seek support from your school manager with respect to procurement
Integration management	Commence a record of the research project development in a log book/file. Consider how you will ensure that all team members can access the research records and document their progress Is your research experiment-based? Consider establishing some procedures and templates for recording the results and observations so that you have a consistent approach and documentation? Set up templates for reports, progress logs, and other processes. Ensure all members of your team have a good understanding of the WBS and its implications for their work outcomes and processes Set up regular meetings with your junior staff and HDR students to ensure they receive appropriate guidance and supervision Identify key dates where the team should meet and review progress. Book these meetings into their calendar now to ensure they are able to attend Finalise your project management systems and processes, e.g. for tracking, timelines, and dependencies

Module 1: Research Strategy and Planning

4.7 Overview of project management strategies: planning phase

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