OE PROJECT CHARTER TEMPLATEPROJECT NAME:PREPARED BY:DATE (MM/DD/YYYY):Operating PrinciplesKia Afcari04/20/2012PROJECT CHARTER VERSION S (DRAFT, SIGNED, REVISED – CURRENT STATUS)DOCUMENT PURPOSEThe Project Charter documents the formal conversation between the Project Sponsor and the Project Manager/Team, including thedefinition of success for the project.Once approved, the Project Charter communicates the current agreement between the Project Sponsor and the Project Teamthroughout the lifecycle of a project. The Charter provides a high-level overview of the project including the definition of projectsuccess, and project resource (people and funds) requirements.Requests and additions to the project scope are considered “out-of-scope” for the current project. When a scope change is required,document a change request that includes an impact analysis of project cost, resources, schedule, and risk. The Project Sponsor thenformally approves the scope change request.The project manager will retain additional documents that provide detail on the management of the project, including acommunications plan, an issues log, a risk log, a change management plan, a budget, and a work schedule.REVIEW & APPROVAL(The Project Sponsor signature indicates approval of the Project Charter, and authorizes the Project Manager/Team to useidentified resources to proceed with the detailed planning and execution of the project; using this charter as guide.)PROJECT SPONSOR(S) NAMESIGNATUREDATEJohn WiltonCASE FOR CHANGE(What is the Current Situation?)Our vision for UC Berkeley is: World class research, teaching, and service supported by world class systems, processes, and people.But, while Cal has consistently delivered on the first half of that vision for over 140 years, our administrative operations have fallenshort—despite the often heroic efforts of a hard-working and dedicated staff. If the University is to maintain its focus on accessand excellence, the administrative functions needed to support that mission must perform at high levels.In a recent staff survey*, 60% of respondents do not believe that UC Berkeley is an effective organization and 85% believe thatsignificant change is necessary. One focus group participant lamented, “Berkeley is the spiritual home of mindless bureaucracy.”While many OE projects are focused on improving systems, processes and efficiency, without a corresponding high performanceculture to support these efforts, their success will be limited. The Bain & Company Final Diagnostic report named the followingProject Charter Template v1OEPM101 Workbook Section 2Page 1 of 8

OE PROJECT CHARTER TEMPLATEaspects of Cal’s culture to address: Analysis over actionCritical cultureWeak performance management processesThe report went on to name the development of a “high performance culture” as a critical enabler to the success of OperationalExcellence.*Bain & Company Final Diagnostic Report.PURPOSE(What problem will be solved by the project? What value does this project add to the organization? How does this project alignwith the strategic priorities of the organization? What benefits are expected once the project is completed?)The key problems that the Operating Principles project address are: Often inefficient and/or ineffective operational services that are meant to support the academic mission of the University A lack of useful principles across administrative functions that define high performance and are aimed at guiding behavior A lack of concise touch points that can be used measure unit and individual performanceThis project aligns with the UC Berkeley’s strategic priorities (Access & Excellence) by: Naming and promoting a culture that provides the operational support necessary to ensure access and excellenceThe added value and benefits of the project include: The largest data set ever collected on what the campus community means by high performance culture Simple, memorable and useful “mantras” that can guide decision-making across the organization Units use principles to drive change/innovation from within (bottom up) Common expectations (more powerful than rules) that can be used to measure unit and individual performance Hiring teams use principles to gauge “cultural fit” of candidates Service is improved for end-usersRESULTS(What does success look like? How do we know that the problem described above is resolved? This typically involves clarifyingmetrics for operations once the project is completed.)#SUCCESS MEASURE1Campus Input: 10,000 staff, faculty & student reps. provide input on OPs with at least 10% of each control unit represented.2Institutional Agreement: Approval of OPs by the OE Executive Committee and the VCAF by the end of 2012.3Awareness: At least 40% of staff surveyed are aware of the OPs and can name at least two of the OPs by June 2013.4Embedding: OPs are embedded into every part of central administration’s HR cycle, in unit metrics and present in at least30% of all staff training and development offerings delivered by COrWE by October 2013.5Adoption: At least 20% of control units (early adopters) report hosting a “culture retreat” and using the OPs to guideperformance management and innovation by October 2013.6Benchmarking: Staff/faculty/student perceptions on how we are doing on living up to the OPs are assessed yearly.SCOPEProject Charter Template v1OEPM101 Workbook Section 2Page 2 of 8

OE PROJECT CHARTER TEMPLATE(The scope defines the boundaries in terms of where the project begins and ends. The scope describes what will be delivered where, when, and how. It describes the services, functions, systems, solutions, or tangible products for which the sponsor will takedelivery.)Key elements of our scope include: Reviewing existing research on large-scale culture change in organizations Developing and refining an initial draft of OPs through focus groups and input from campus constituencies Building a steering committee and project team Vetting potential OPs with staff/faculty groups and OE teams (CAO, AFLG, COD, GA, ASUC, ABOG, COSO, BSA, unions,Student Affairs Cabinet, CC2, CSAC, etc.) Hosting a proof of concept Ideation/Open Space event utilizing Computer Service Corporation and Imaginatik Software Creating a case for change video Creating a Cal CultureJam website with viral video inviters campaign Carrying out a broad-based marketing campaign encouraging a diversity of voices from thousands on campus to attendthe Ideation/Open Space event Hosting the full-scale Ideation/Open Space event: Cal CultureJam Processing the data/findings from the Ideation Presenting findings and a revised set of OPs to senior leaders for approval A description of each Berkeley Operating Principle” in action”. A 5 year roadmap for cultural change: including activities, roles, systems, etc. Embedding OPs into the entire HR cycle Embedding OPs into training & development offered by COrWE Training “culture facilitators” and hosting “culture retreats” throughout campus to encourage use of the OPs Creating a website where OPs are highlighted and videos/stories of their use are spread virally Institutionalizing a system to gather perceptions about how campus is doing on living up to the OPs yearlyPROJECT CONSTRAINTS & ASSUMPTIONS(List the known and anticipated constraints, and the initial assumptions for the project.)#NAMEAssumptions1Culture is more powerful than rules in changing behavior because social control amongst peers is more powerful thanformal control.2This effort is about administrative and operational culture, not academic culture.3It is possible to institute a singular administrative culture across units despite the highly decentralized nature of theUniversity and the presence of existing value statements in many units.4The culture will be sufficiently strong, strategically relevant and focused on innovation to affect behavior.5Crowdsourcing Operating Principles to thousands on campus will produce better results and more buy-in.6Managers and leadership on campus will actively promote and act in accordance with the OPs lest the OPs be used againstthem.7Pro-bono consulting and tools will be offered by CSC and Imaginatik to host the Ideation. Funds for the marketing andhosting of the event will be provided by the OE Executive Committee.Constraints1The decentralized and non-hierarchical nature of campus will mean that very little of what is proposed will be mandatory.2Units may not make time for their employees to attend the Ideation or host “culture retreats” to embed the OPs into theirpractice.3Since HR and training functions are decentralized, it will be difficult to embed the OPs into hiring, onboarding, training,Project Charter Template v1OEPM101 Workbook Section 2Page 3 of 8

OE PROJECT CHARTER TEMPLATEand performance management systems across campus.PROJECT MILESTONES & DELIVERABLES(List the major milestones and deliverables of the project.)MILESTONEDELIVERABLESSteering Committee and Project Team Formed Standing meeting schedule, Charter, Assessment Plan,Communication Plan, Resource RequestTest-run IdeationLessons learned for IdeationOPs website with viral video campaign invitingWebsite launchedcampus to IdeationInput gathered from LDP team, OE teams,LDP Final Report, Focus group findings, OPs 2.0, OPs 3.0CAOs, AFLG, CODs and other staff groupsIdeationIdeation findingsOPs approved by OE ExecutiveCommittee/ChancellorPlan for embedding OPsOPs embedded in HR cycleOPs embedded in COrWE offeringsEngaging “Culture Facilitators”Stories of changeDATEMay 2012June 2012June 2012July 2012September2012October 2012Finalized OPsRoadmap for Cultural ChangeTrainings for HR managers, materials for HR managers,Process map for embeddingTraining of trainers, curriculum for OPsTraining of trainers, curriculum for “culture retreats”, cultureretreats heldNovember 2012December 2012February 2013February2013—October2013March 2013Viral video campaign: “How we use the OPs”, storiespublished on websiteIMPACT STATEMENT(List the impact this project may have on existing systems and populations.)POTENTIAL IMPACTWHAT AND WHO IS IMPACTEDRATING (1-5)1:Low 3: Med 5: HighHR: (recruiting, hiring, onboarding,performance evaluation, training)Messaging of the OPs is frequent andconsistent over the course of 5 years bycampus leadersSupervisors allow time for staff to attendIDEATIONHR Managers, Metrics team, COrWE and supervisorsacross campus are embedding OPs in their workChancellor, VCs, Deans, AVCs, etc.4Supervisors across campus2FINANCE DESCRIPTION3(Provide a high level narrative overview on the estimated investment requirements, the savings targets, and the ongoing fundingmodel.)Funds will be needed for:Marketing, video production and event costs for the IdeationA project websiteStaff and travel costs for CSC consultant (Imaginatik software provided for free)Project Charter Template v1OEPM101 Workbook Section 2Page 4 of 8

OE PROJECT CHARTER TEMPLATE-Consultant costs for Open Space Technology ConsultantA total of 2.0 FTE staff release time (50% FTE for 4 staff) for project team: IDEATION event planning, marketing/outreach,etc.No ongoing funds will be needed for project. Savings targets will be hard to pinpoint as savings will likely be characterized as softsavings (reduced costs in hiring/retaining staff, increased effectiveness and efficiency of current staff, etc.).RISKS(Identify the high-level project risks and the strategies to mitigate them.)RISKMITIGATION STRATEGYLow participation or non-solution based responses atWork closely with CSC consultant, taking advantage of his expertise.the IDEATION.Ensure a broad network of champions and inviters hasspread the word about the IdeationCraft a united video invitation from Chancellor, VCAF, Chairof Academic Senate and ASUC PresidentCarry out grass-roots marketingAssess proof-of-concept Ideation and incorporate learninginto campus-wide IdeationInsufficient support of Chancellor and other campusObtain commitment of Chancellor and cabinet before proceedingleaders.with the campus-wide Forum and remaining work steps.Presentation to CabinetInclusion of SLPM participants in POC Ideation andfollow-on focus groups.Focus appropriate modules of the SLPM on theimportance of organizational cultureInsufficient staff resources to mainstream the BerkeleyObtain senior leadership commitment to resource requests.Operating Principles throughout the culture.Dedicated professional staff member responsible forBerkeley OPs implementation plan, and associated funding.Redirection of critical staff resourcesCultivate continued buy in from HR, COrWE, and supervisorsin unitsTrain cadre of 25 “culture facilitators” who will carry outculture retreats with unitsCOMMUNICATION(Highlight the communication requirements between the Sponsor, the Key Stakeholders and the Project Team, including thefrequency of check-ins, project reviews, and status reports (in person and written).)-Monthly Steering Committee meetingsMonthly meetings between sponsor and project managerWeekly meeting with project manager and project teamProject Charter Template v1OEPM101 Workbook Section 2Page 5 of 8

OE PROJECT CHARTER TEMPLATEAPPENDIX A - PROJECT ROLES & RESPONSIBILITIESName the members of the project team.PROJECT SPONSOR: Provides overall direction, guidance, and funding for the project.RESPONSIBILITIES include setting the vision and strategic direction, approving the project charter and plan; securing resources forthe project; confirming the project’s goals and objectives; keeping abreast of major project activities; making decisions onescalated issues; and assisting in the resolution of roadblocks.NAMEJohn WiltonNAME(Ann Jeffrey)FUNCTIONAL OWNER: Manages the impact of the project in their functional area.RESPONSIBILITIES include ensuring agreed-upon project tasks and deliverables are completed, incorporating the views of theircustomers, providing functional expertise in a particular area, articulating requirements, and working to ensure that business needsare met.NAMEJohn WiltonPROJECT MANAGER: Leads the team in planning and implementing the project from initiation to closure.RESPONSIBILITIES include scope and change management, keeping the project plan current (deliverables, schedule, andresources), issue and risk management, maintaining project documents, reporting project status, and facilitating conflictresolutions within the project and between cross-functional teams.NAMEKia AfcariThe PROJECT STEERING COMMITTEE includes key stakeholders and subject matter experts.RESPONSIBILITIES include providing guidance on key issues.NAMERich LyonsNAMEJeannine RaymondNAMELiz ElliotNAMEPhyllis HoffmanNAMEBarbara BroqueNAMEJeff UrdahlNAMEJennifer ChizukNAMESid ReelNAMEMoira PerezNAMEJames DudekNAMEChristina MaslachA SUBJECT MATTER EXPERT (SME) provides expertise on project elements including business process and current or newProject Charter Template v1OEPM101 Workbook Section 2Page 6 of 8

OE PROJECT CHARTER TEMPLATEtechnical solutions.RESPONSIBILITIES include maintaining up-to-date experience and knowledge on the subject matter, validating recommendations,and providing advice on what is critical to the performance of a project task.NAMEJennifer ChatmanDescribe the roles and responsibilities of the project participants.PROJECT TEAM MEMBERSRESPONSIBILITIES include understanding the work to be completed, completing the research, data gathering, analysis, and documentation, informing the project manager and team members of issues, scope changes, risks, and quality concerns, and proactively communicate status and manage expectations.NAME Melanie Hurley, OEPOROLEmarketing and communicationsNAME , ITSROLEIT Support/HardwareNAME , Public AffairsROLEevent logisticsNAME Mindy McDaniels, OEPOROLEProject ManagementNAMEROLEweb designNAMEROLENAMEROLEProject Charter Template v1OEPM101 Workbook Section 2Page 7 of 8

OE PROJECT CHARTER TEMPLATEAPPENDIX B – OPs Input MapProject Charter Template v1OEPM101 Workbook Section 2Page 8 of 8

communications plan, an issues log, a risk log, a change management plan, a budget, and a work schedule. . - Marketing, video production and event costs for the Ideation - A project website - Staff and travel costs f