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Project Management Process Guide for Information Resource ...

  1. 1. Project Management Process Guide for Information Resource Projects November 2009 V 2.01
  2. 2. TTUHSC IR Project Management Process Guide 1.0 Introduction.................................................................................................................................................... 4 1.1 Purpose ............................................................................................................................................................................ 4 1.2 Scope................................................................................................................................................................................ 4 1.2.1 Definitions .................................................................................................................................................................. 4 1.2.1.1 What is a Process? ............................................................................................................................................... 4 1.2.1.2 What is an IR Project? ......................................................................................................................................... 4 1.2.1.3 What is the Project Management Office? ............................................................................................................ 4 1.2.1.4 What is Project Management? ............................................................................................................................. 5 1.3 Benefits ............................................................................................................................................................................ 5 1.4 Triple Constraints and Quality ......................................................................................................................................... 6 2.0 The Project Management Process ................................................................................................................ 7 2.1 Applicability .................................................................................................................................................................... 7 2.2 Project Processes.............................................................................................................................................................. 7 2.3 Five Process Groups ........................................................................................................................................................ 9 2.4 Knowledge Areas ........................................................................................................................................................... 10 2.5 TTUHSC Project Management Activity Flow ............................................................................................................... 11 2.6 Project Management Process Flow ................................................................................................................................ 12 2.7 Project Classification ..................................................................................................................................................... 12 2.8 Project Management Approval Processes and Deliverables .......................................................................................... 14 2.9 Portfolio Management at TTUHSC ............................................................................................................................... 16 3.0 Document Management .............................................................................................................................. 17 3.1 Guidelines to Records Retention.................................................................................................................................... 17 4.0 Roles in the Process ..................................................................................................................................... 19 5.0 Project Initiation .......................................................................................................................................... 20 5.1 Initiation Activities ........................................................................................................................................................ 21 5.2 Initiation Roles ............................................................................................................................................................... 22 5.3 Initiation Deliverables .................................................................................................................................................... 22 5.4 Business Case ................................................................................................................................................................ 23 5.5 Statewide Impact Analysis ............................................................................................................................................. 24 5.6 Project Charter ............................................................................................................................................................... 24 5.7 Business Justification Stage Gate .................................................................................................................................. 26 6.0 Planning ........................................................................................................................................................ 27 6.1 Description of the Project Plan ...................................................................................................................................... 28 6.2 Scope of the Project ....................................................................................................................................................... 28 6.3 Planning Activities ......................................................................................................................................................... 28 6.4 Planning Roles ............................................................................................................................................................... 30 6.5 Planning Roles ............................................................................................................................................................... 30 6.6 Project Plan Deliverables ............................................................................................................................................... 30 6.7 Project Scope Statement ................................................................................................................................................ 32 6.8 Work Breakdown Structure ........................................................................................................................................... 33 6.9 Work Breakdown Structure (WBS) Dictionary ............................................................................................................. 34 6.10 Network Diagram .......................................................................................................................................................... 34 6.11 Project Schedule ............................................................................................................................................................ 35 6.12 Budget ............................................................................................................................................................................ 35 6.13 Measures ........................................................................................................................................................................ 38 6.14 Project Management Plan .............................................................................................................................................. 38 6.15 Communication Plan ...................................................................................................................................................... 39 6.16 Configuration Plan ......................................................................................................................................................... 40 6.17 Performance Management Plan ..................................................................................................................................... 41 6.18 Risk Management Plan .................................................................................................................................................. 42 6.19 System Development Plan ............................................................................................................................................. 42 6.20 Acquisition Plan ............................................................................................................................................................. 45 7.0 Executing ...................................................................................................................................................... 47 8.0 Monitoring and Controlling........................................................................................................................ 50 8.1 Scope of the Process ...................................................................................................................................................... 51 8.2 Monitoring and Controlling Activities ........................................................................................................................... 51 8.3 Monitoring and Controlling Roles in the Process .......................................................................................................... 52 8.4 Monitoring and Controlling Roles ................................................................................................................................. 52 Version 1.00 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  3. 3. TTUHSC IR Project Management Process Guide 8.5 Monitoring and Controlling Deliverables ...................................................................................................................... 52 8.6 Continuously Monitor Progress ..................................................................................................................................... 53 8.7 Conduct Team Reviews ................................................................................................................................................. 54 8.8 Conduct Formal Progress Reviews ................................................................................................................................ 54 8.9 Manage Changes ............................................................................................................................................................ 55 8.10 Revise the Plan............................................................................................................................................................... 55 8.11 Conduct Work Product Reviews .................................................................................................................................... 56 8.12 Verification Activities .................................................................................................................................................... 57 9.0 Project Closure............................................................................................................................................. 58 9.1 Scope of the Lessons Learned Process .......................................................................................................................... 59 9.2 Closing Activities .......................................................................................................................................................... 59 9.3 Closing Roles ................................................................................................................................................................. 60 9.4 Closing Roles ................................................................................................................................................................. 60 9.5 Closing Deliverables ...................................................................................................................................................... 61 9.6 Overview of the Closing Process ................................................................................................................................... 61 9.7 Define the Process to Use .............................................................................................................................................. 62 9.8 Build Data Gathering Instruments ................................................................................................................................. 62 9.9 Gathering Information ................................................................................................................................................... 63 9.10 Conduct the Lessons Learned Review Session .............................................................................................................. 63 9.11 Documents Results From Session .................................................................................................................................. 64 9.12 Measures ........................................................................................................................................................................ 65 9.13 Verification Activities .................................................................................................................................................... 65 9.14 The Closing Process....................................................................................................................................................... 65 10.0 Glossary ........................................................................................................................................................ 67 11.0 Document Revision History ........................................................................................................................ 75 12.0 References..................................................................................................................................................... 76 13.0 Revision History ........................................................................................................................................... 77 Version 1.00 3 Last update: 12/15/2009 4:09 PM
  4. 4. TTUHSC IR Project Management Process Guide 1.0 INTRODUCTION 1.1 Purpose The Process Guide provides Texas Tech University Health Sciences Center (TTUHSC) departments with a consistent approach for the management of Information Resource (IR) projects. This process guide complements the IR Project Management Policy and IR Project Management Standard. 1.2 Scope The processes and procedures described in this guide are generally applicable to the management of all TTUHSC IR projects. However, projects identified as major information resource projects are also subject to the Major IR Project Deliverables and must meet the minimum requirements and guidelines for the Department of Information Resources (DIR) Texas Project Delivery Framework located at http://www.dir.state.tx.us/pubs/framework/. Project management processes form an approach for the initiation and management of IR projects, as well as the completion of project management documentation. As appropriate, tailor the processes to match the size and complexity of the individual business area projects. A glossary is at the end of the document. This document covers processes associated with the project management lifecycle only. Processes associated with the system development lifecycle are outside the scope of this text. 1.2.1 Definitions 1.2.1.1 What is a Process? The characteristic of an effective process is that the process reliably delivers specific outcomes. That is, cost estimates and schedule commitments must be met with reasonable consistency, and the resulting products should generally meet users‟ functional and quality expectations (Humphrey, 1989). Meeting those goals requires a method for proceeding and a system for documenting project activities. The process works roughly the same way and produces roughly the same result each time (successful project). The project management process is a repeatable set of tools, methods, and processes used to conduct a project. 1.2.1.2 What is an IR Project? As defined in Information Resource (IR) Project Management Policy, the project is an IR project if the planned work (project) has any of the following characteristics or purposes: Builds or buys a new software application and/or interfaces; Enhances or maintains an existing software application; Conducts IR research, discovery, feasibility, or proof of concept as part of the project‟s scope; Provides technology solutions to support business innovation, optimization, or consolidation; Performs systems or data optimization; or Buys new or enhances existing IT infrastructure. 1.2.1.3 What is the Project Management Office? The Complete Project Management Office Handbook, Second Edition identifies the function of the PMO as: Version 1.00 4 Last update: 12/15/2009 4:09 PM
  5. 5. TTUHSC IR Project Management Process Guide the essential business integrator of the people, processes, and tools that manage or influence project performance applying professional project management practices and successfully integrates business interests with project goals According to the Project Management Institute (PMI) Program Management Office Significant Interest Working Group (PMOSIG), the PMO is: a strategic driver for organizational excellence and seeks to enhance the practices of execution management, organizational governance, and strategic change leadership. 1.2.1.4 What is Project Management? Project Management is the application of knowledge, skills, tools, and techniques to project activities in order to meet or exceed stakeholder needs and expectations (PMBOK, 2004). As defined in Information Resource (IR) Project Management Policy, the project is an IR project if the planned work (project) has any of the following characteristics or purposes: 1.3 Benefits The benefits of using an effective project management process include: Compliance with House Bill (HB) 1789, Texas Administrative Code (TAC) §216 Cost estimates and schedule commitments are met with reasonable consistency, and the resulting products generally meet users‟ functional and quality expectations As project requirements change, the process guides the clients and stakeholders toward a satisfactory solution The project management process is explainable and understandable Informs stakeholders of the work, gives confidence in decisions, and gives stakeholders faith in the results Repeatable – repeating processes in the same way will produce the same result Measurable - evaluate or estimate the processes to numerically represent the process being controlled and to provide a basis for action Reliable – the customer expectation that the probability of the product functioning without failure is low Predictable - cost estimates and schedule commitments can be met with reasonable consistency while the end product should generally meet users‟ functional and quality expectations Version 1.00 5 Last update: 12/15/2009 4:09 PM
  6. 6. TTUHSC IR Project Management Process Guide 1.4 Triple Constraints and Quality Project managers often talk of a “triple constraint” – project scope, time, and cost – in managing competing project requirements. The relationship among these factors is such that if any one of the three factors changes, at least one other factor is likely to be affected. Project quality is affected by balancing these three factors. High quality projects deliver the required product, service, or result within scope, on time, and within budget. Product quality is a blend of functionality and how well the product works. Some quality factors are (see glossary for definitions) availability, efficiency, flexibility, integrity, interoperability, reliability, robustness, usability, maintainability, portability, reusability, and testability. Project managers also manage projects in response to uncertainty. Project risk is an uncertain event or condition that, if it occurs, has a positive or negative effect on at least one project objective (see Figure 1- 1). Figure 1-1 Figure 1-1 Project Management Institute’s Triple Constraint Version 1.00 6 Last update: 12/15/2009 4:09 PM
  7. 7. TTUHSC IR Project Management Process Guide 2.0 THE PROJECT MANAGEMENT PROCESS 2.1 Applicability Scale the application of the processes, procedures, and concepts to the size and complexity of each project. Meeting stakeholder needs and expectations for projects requires a clear definition of the business problem or opportunity with well-defined goals and success criteria. The basic questions for defining the success criteria are “Why are we doing this project?” and “How will we know when the project is done?” Criteria for project success must be expressed in terms of value and must be measurable. There are four aspects to project success the process focuses on: Does the project meet the documented requirement specifications (meet the defined business goals and objectives)? Was it completed on time? Was the project completed within the approved budget? Quality – the degree to which the product satisfies both stated and implied requirements. The process is only as effective as the project team using the process. The skill with which the process is used is at least as important as the process itself. 2.2 Project Processes There are two kinds of lifecycles associated with a project: Project management processes deal with describing and organizing the work of the project. The processes in this document use five Project Management Process Groups (initiation, planning, executing, monitoring & controlling, and closing). The product development lifecycle (also known as systems development lifecycle (SDLC)) deals with specifying, creating, delivering, and, after deployment, maintaining the final product. Maintaining or evolving the product is not part of the project (see Figure 2-1). Details for system development processes are beyond the scope of this document. However, typical TTUHSC system development phases are described in the TTUHSC IT Policy 9.5 Information Services Coding Standards, Security, and Audit Controls at http:www.ttuhsc.edu/it/policy/coding.aspx. Version 1.00 7 Last update: 12/15/2009 4:09 PM
  8. 8. TTUHSC IR Project Management Process Guide Figure 2-1 Project and Product Lifecycle Relationships Version 1.00 8 Last update: 12/15/2009 4:09 PM
  9. 9. TTUHSC IR Project Management Process Guide 2.3 Five Process Groups This document describes standardized project management processes and a generally accepted industry standard approach. Project management processes are presented as discrete elements which define a process group. The process groups and the constituent processes are used to apply appropriate project management knowledge and skills during the project (PMBOK, 2004). The five process groups are in Table 2-1: Process Group Activity Project Initiation Identifying the business need and proposed solution, as well as, justifying and packaging a business case for approval. Authorizes the project and the project manager. Project Planning Defining and refining objectives and a course of action. Project Execution Integrating people and resources to carry out the project work. Project Monitoring and Control Measuring progress, identifying variances, taking corrective actions. Project Closing Gaining acceptance of the project product, bringing the project to an orderly end including delivering the product. Table 2-1 Process Groups For ease of understanding, the five process groups are described in sequence. In practice, multiple processes from different process groups can be in progress simultaneously to manage and control various planned work and unplanned events taking place during the project lifecycle. The Figure 2-2 illustrates the Project Management Lifecycle (PMLC) using process groups. Figure 2-2 The Five Project Lifecycle Process Groups (PMBOK, 2004) Version 1.00 9 Last update: 12/15/2009 4:09 PM
  10. 10. TTUHSC IR Project Management Process Guide Note the length of time for completing a process group varies from project-to-project. Project initiation and closing processes are performed once per project or per phase. Planning and execution, as well as, monitoring and controlling are processes performed throughout the life of the project (see Figure 2-3). Executing Level of Activity Planning Initiating Initiating Closing Monitoring && Monitoring Control Control Time Figure 2-3 Overlap of the Five Process Groups Over the Life of a Project (PMBOK,1996) 2.4 Knowledge Areas In addition to the five process groups, Project Management Institute (PMI) suggests there are nine knowledge areas that must be considered and applied by the project manager. They are: 1. Integration Management: areas required to ensure the various elements of the project are properly coordinated. Includes overall plan development, execution, and control of the project. 2. Scope Management: areas required to ensure the project includes all the work required and only the work required to complete the project successfully. Includes scope definition, verification or elaboration, and change control. 3. Time Management: areas required to ensure timely completion of the project. Includes identifying specific activities to be performed, sequencing, estimating duration, and developing and controlling the schedule. 4. Cost Management: areas required to ensure the project is completed within the approved budget. Includes resource planning, cost estimating, budgeting, and cost control. 5. Quality Management: areas required to ensure the project will satisfy the needs for which it was undertaken. Includes quality planning, assurance, and control. 6. Human Resources Management: areas required to make the most effective use of the people involved with the project. Includes organizational planning, staff acquisition, and team development or training. 7. Communications Management: areas required to ensure timely and appropriate generation, collection, dissemination, and storage of project information. Includes performance reporting and administrative closure. 8. Risk management: the systematic process of identifying, analyzing, and responding to project risk. Includes maximizing the probability and consequences of positive events and minimizing the probability and consequences of adverse events to project objectives. 9. Procurement Management: areas required to acquire goods and services from outside your organization to complete the project. Includes solicitation, source selection, contract administration, performance monitoring, and contract closeout. Version 1.00 10 Last update: 12/15/2009 4:09 PM
  11. 11. TTUHSC IR Project Management Process Guide 2.5 TTUHSC Project Management Activity Flow All TTUHSC IR projects are responsible for complying with the standard and processes referenced in the IR Project Management Policy. Figure 2-4 broadly depicts the project management activity flow: Figure 2-4 TTUHSC Project Activity Flow *See Glossary. Version 1.00 11 Last update: 12/15/2009 4:09 PM
  12. 12. TTUHSC IR Project Management Process Guide 2.6 Project Management Process Flow Among the Project Management Process Groups, individual processes are often repeated. The Planning Process Group provides the Executing Process Group with a documented project management plan early in the project and then facilitates updates to the project management plan if changes occur as the project progresses (PMBOK, 2004). Experienced project managers know every project brings a different set of challenges. The project manager applies project management knowledge, skills, processes, tools, and techniques in different degrees of rigor to achieve the desired project performance. The project manager and the project team must address every process, and the level of implementation for each process as it applies to the project size and complexity at hand. 2.7 Project Classification Information resource projects will be managed through standardized project management practices. However, the specific processes engaged within each Project Management process group will be based upon a project‟s classification level. As new project ideas and requests are brought for consideration, they must first be classified through the Project Complexity and Risk Assessment model, which scores factors that define a project‟s complexity and risk. The Classification Matrix (see Table 2-2) uses this information to determine the Classification Level of a project. This classification process is used to identify the project management methodologies required for each phase of the project life cycle of the project. An online tool is provided at http://www.ttuhsc.edu/it/projectmanagement/ to compute a project’s complexity and risk level. Project management processes form an approach for the initiation and management of IR projects, as well as the completion and collection of project management deliverables. In some cases, processes will be used more informally (less rigor) than in others which will need more detail (more rigor). Risk management is an integral part of IT project management, as reflected in the categorization matrix and project scoring mechanisms. Risk has three fundamental elements: nature of the possible disruptive event, the probability that an event will occur, and the impact should the event occur (Cooke, 2005). Risk is assessed in terms of business continuity and institutional impact, as well as influence on the strategic mission of the entities involved in the project. In rare cases, risk is too great to initiate a project, but typically strategies of risk avoidance, acceptance, mitigation, and transfer are adopted. Version 1.00 12 Last update: 12/15/2009 4:09 PM
  13. 13. TTUHSC IR Project Management Process Guide Table 2-2 To determine the appropriate process effort, projects can be divided into three levels of effort as shown in Figure 2-5. Version 1.00 13 Last update: 12/15/2009 4:09 PM
  14. 14. TTUHSC IR Project Management Process Guide Figure 2-5 Levels of Effort 2.8 Project Management Approval Processes and Deliverables Projects, no matter how complex, should follow a Project Management Methodology. Approval processes and deliverables are determined by the level of effort of a project. Larger more complex projects require more stringent procedures and documentation than smaller, less complex projects. Consequently, approval processes and deliverables are determined by the level of effort of a project. Review Gate Approval Requirements Level 1 o Major IR project approvals are coordinated through the TTUHSC Information Technology Division. The Texas Department of Information Resources (DIR) has identified a Project Delivery Framework for Statewide Project Delivery of Major Information Resource projects and can be found at www.dir.state.tx.us/pubs/framework/. Non-major project approvals are obtained from the TTUHSC Information Technology Division. o Coordinate project approval through PMO. Level 2: Approvals are obtained from the sponsoring department head. o Coordinate project approval through PMO. Level 3: Departmental project management practices apply. Version 1.00 14 Last update: 12/15/2009 4:09 PM
  15. 15. TTUHSC IR Project Management Process Guide Project Deliverables TTUHSC template cores are the same as those required by the Texas Project Delivery Framework for major information resource (IR) projects. Scaled down templates or an appropriate subset may be used for projects not classified as major projects. Level 1 o Major IR projects are required to follow the Project Delivery Framework. Document templates and instructions can be found at www.dir.state.tx.us/pubs/framework/ and must be coordinated through the TTUHSC Information Technology Division and then submitted to DIR throughout each phase of the project. o Non-major project templates as indicated in Table 2-3. Level 2: Project templates as recommended in Table 2-3. Level 3: Departmental project management practices apply. PROJECT MANAGEMENT DELIVERABLES IMPLEMENT INITIATE PLAN CLOSE Execute, Monitor & Control Classification Level 1 2 3 Classification Level 1 2 3 Classification Level 1 2 3 Classification Level 1 2 3 Project Complexity & R R R Project Plan R X 0 Project Status Report R 0 0 Project Closeout Report X 0 0 Risk Assessment Post Implementation Review Business Case R 0 0 Project Schedule X 0 0 Monitoring Report R 0 0 R 0 0 of Business Outcome Project Planning Statewide Impact Benefits Realization Review R 0 0 Review Gate R X 0 Change Request X X 0 R X 0 Analysis Gate Approval Approval Solicitation & Contracting Vendor Performance Project Charter R X 0 X 0 0 (if applicable) Review Business Justification R X 0 Acquisition Plan R 0 0 Acceptance to Deploy R X 0 Review Gate Approval Contract Project Implementation Amendment & R 0 0 R X 0 Review Gate Approval Change Order CATRAD, if R 0 0 Major IR Project Technology R 0 0 Addendum Solicitation & Contracting R 0 0 Review Gate Approval An "R" in the column indicates that a completed template is required to be submitted for approval to the TTUHSC CIO. An "X" in the column indicates that a completed template is recommended but not required to be submitted for approval. A "0" in the column indicates that project managers may choose to use any template deemed necessary for the success of the project. Table 2-3 Version 1.00 15 Last update: 12/15/2009 4:09 PM
  16. 16. TTUHSC IR Project Management Process Guide 2.9 Portfolio Management at TTUHSC Through a collaborative process that involves the Deans, Vice Presidents and the IT Board of Directors of the institution, Information Technology needs are considered and prioritized so that they align with the mission and strategic goals of the institution. Projects at TTUHSC are prioritized and scheduled through the Office of the CIO under the direction of the IT Board of Directors. Version 1.00 16 Last update: 12/15/2009 4:09 PM
  17. 17. TTUHSC IR Project Management Process Guide 3.0 DOCUMENT MANAGEMENT Project documentation must be maintained throughout the life of an active project and for a certain amount of time after project closure, as determined by the IT Division and the Institution‟s Archivist. Records flagged as having historical value should be transferred to the Institution‟s Archives, as cited by section 441.186 of the State Records Management Laws. At the time of closure of an IR project, project documents must be consolidated into a single repository for record-keeping purposes. Digital project repositories must receive regular backups to ensure recoverable copies are available. Prior to the destruction of project documents, review by IT Division and Institution‟s Archivist must occur to ensure records of technical relevance and/or archival value are not destroyed. 3.1 Guidelines to Records Retention The retention time applies to the master [original] copy of a document. Each document has only one official master copy. Duplicate copies of a document are disposable at the discretion of the project manager, project team, and project team members. However, the IT project manager is responsible for complying with the following records retention schedule: PM Level Record Type Retention Period Archival Value Level One Initiation documents and correspondences Permanent Yes Planning documents and correspondences Permanent Yes Implementation documents and Permanent Yes correspondences Process correspondence 3 Years No Closure documents and correspondences Permanent Yes Level Two Initiation documents and correspondences 3 Years Yes Planning documents and correspondences 1 Year No Implementation documents and 1 Year No correspondences Process correspondence 1 Year No Closure documents and correspondences 3 Years Yes Level Three Initiation documents and correspondences 1 Year Yes Planning documents and correspondences Duration of No project Implementation documents and Duration of No correspondences project Process correspondence Duration of No project Planning documents and correspondences 1 Year Yes All Levels Transitory Information Duration of No (Internal meeting notes, design sketches and project preliminary diagrams, Internal correspondences) Document retention requirements will be disseminated to all project participants at project inception during the initiation phase. Note that documents containing confidential or sensitive data must be stored on an institutional server and carefully managed. Version 1.00 17 Last update: 12/15/2009 4:09 PM
  18. 18. TTUHSC IR Project Management Process Guide According to Texas Administrative Code 202, information and data shall be classified by its level of access control as one of the following: Confidential - Confidential Information as defined by the Texas Administrative Code Information Security Standards, which is information that is exempt from disclosure requirements under the provisions of applicable state or federal law. Sensitive - Information pertaining to Access Control data, Account Management Data, procedures, security documentation of Information Resources, or any other information the institution so designates. Public - Information specifically designated by state or federal law as Public and/or in accordance with the Texas Public Information Act. Information and data shall be classified by its level of criticality as one of the following: Mission Critical - Information considered essential to the function(s) of an institution, a business unit within an institution, or a higher education research project. Non-Mission Critical - Information considered nonessential to the function(s) of an institution, a business unit within an institution, or a higher education research project. Version 1.00 18 Last update: 12/15/2009 4:09 PM
  19. 19. TTUHSC IR Project Management Process Guide 4.0 ROLES IN THE PROCESS The project manager drives the project activity through the five process groups. As the project progresses, project activity happens at different levels within an organization. Advancing through each process group, the project incorporates appropriate management perspectives and requires active participation by different organizational levels of the project team as shown in Figure 4-1. Strategic Initiating Closing Project Management Tactical Planning Monitoring and Controlling Operational Executing Figure 4-1 Process Group Activity by Organizational Level Management Level Action The strategic level (management and sponsorship) provides scope, Strategic guidance, resources, and priority for the tactical processes based on the organizations business needs and drivers. The strategic level addresses results, or outcomes; answers questions, such as, "Why are we performing these functions?” is externally focused on customers; includes a mission, goals, strategic objectives, outcome measures, and effectiveness evaluations. The tactical processes (project manager and support) develop and maintain Tactical the project plan, as well as, managing and controlling the project. The tactical level addresses products, or outputs; answers questions, such as: "What products (or services) should we produce?"; "How will we achieve the results described in the strategic objective?” includes strategies, tactical objectives, output measures, budgeting, and efficiency evaluation. The operational level (technical lead, subject matter experts, and project Operational team) create the product by executing the processes as outlined in the project plan. The operational level addresses processes, procedures or tasks; answers questions, such as "Who will perform tasks or procedures that will lead to production?” is internally focused; includes tasks, operational objectives, workload measures, and performance appraisal. Version 1.00 19 Last update: 12/15/2009 4:09 PM
  20. 20. TTUHSC IR Project Management Process Guide 5.0 PROJECT INITIATION The key project management deliverables associated with the Project Initiation Process Group are depicted in Figure 5-1. Figure 5-1 Initiation Process Flow The processes and activities starting from creating a business case for a project through authorizing the project and the project manager follow. Version 1.00 20 Last update: 12/15/2009 4:09 PM
  21. 21. TTUHSC IR Project Management Process Guide 5.1 Initiation Activities The activities, roles, and deliverables may be performed slightly differently for different types of projects. The following tables provide suggestions for adaptation of activities. The project manager should complete any process/activity deemed necessary for the success of the project. Activities Level 1 Projects Level 2 Projects Level 3 Projects Create Business Case Takes 4 person weeks Recommended. Takes 2 Takes 1 person week; for long range items; 2 person weeks; usually Usually built by the person weeks for short built by a department department head. Gather range items; usually built head and a small team. data from individuals by the project sponsor, Use a spreadsheet to with previous experience department head, IT capture cost and time for estimating level of Division and in one or data. Use individuals‟ effort, time needed, and more facilitated team previous experience and cost. Retain document in sessions. review lessons learned departmental files. from other projects. For non-major projects, Retain document in use the TTUHSC departmental files. Business Case template For Major IR projects, refer to DIR Texas Project Delivery Framework Submit documents to IT Division Draft Statewide Impact Refer to DIR Texas Not required Not required Analysis Project Delivery Framework. Submit documents to IT Division Create Project Charter Takes 4 person weeks Takes 2 person weeks; Not required. May for long range items; 2 built by a project manager complete sections of person weeks for short and small team. TTUHSC TTUHSC Project Charter range items; built in one Project Charter template which apply. Retain or more facilitated team recommended. Retain document in departmental sessions. Use TTUHSC document in departmental files. Project Charter template. files. For Major IR projects, refer to DIR Texas Project Delivery Framework. Submit documents to IT Division. Conduct Business Project manager compiles Project manager Project manager develops Justification Stage Gate the documentation. develops the the documentation. Submit documents to IT documentation. Business Business manager Division. manager certifies certifies accuracy and accuracy and completeness. Retain completeness. Retain document in departmental document in departmental files. files. Version 1.00 21 Last update: 12/15/2009 4:09 PM
  22. 22. TTUHSC IR Project Management Process Guide 5.2 Initiation Roles Role Names Role Definitions Project Manager Participate as early in project as possible Communication Leadership Management Administrative maintenance Project Team Probable members of the team assist with project deliverables, as needed Project Sponsor Authorize and funds the project. Keeps abreast of current status Empower project manager Review plans ensuring they meet organizational goals Senior management liaison Remove barriers beyond the control of the project manager or project team Department head Ensure business goals are met Provide business resources Represent the customer interests concerning requirements and project results Has signature authority for Level 2 & Level 3 Review Gate approvals and may elect to delegate authority for Level 3 Review Gate approvals IT Division Level 1 Major IR project approvals are coordinated through the TTUHSC IT Division and follow requirements listed at http://www.dir.state.tx.us/pubs/framework/ Non-major Level 1 project approvals are obtained from the TTUHSC Information Technology Division These roles in project initiation may be handled differently based on the classification level of a project. Role Level 1 Projects (non- Level 2 Projects Level 3 Projects major) Project Manager Person in this role is Person in this role may Person in this role is also dedicated to managing the also do some of the work likely to be a member of project. of the team the team doing the work Project Sponsor Role performed by the Role performed by the Department head and person providing funding person providing funding project sponsor may be and resource authorization. and resource authorization.one in the same for Level 3 Identifies the business Identifies the business Projects. Identifies the goals the project satisfies. goals the project satisfies. business goals the project satisfies. Department head Identifies the need and Identifies the need and Identifies the need and determines the business determines the business determines the business processes the project processes the project processes the project satisfies. Provides business satisfies. Provides business satisfies. Provides business resources and direction. resources and direction. resources and direction. 5.3 Initiation Deliverables Deliverables in project planning may be done differently based on the classification level of a project. Deliverable Level 1 Projects (non- Level 2 Projects Level 3 Projects major) Version 1.00 22 Last update: 12/15/2009 4:09 PM
  23. 23. TTUHSC IR Project Management Process Guide Deliverable Level 1 Projects (non- Level 2 Projects Level 3 Projects major) Business Case Use TTUHSC Business Recommended use of Provide a descriptive Case template TTUHSC Business Case narrative and costs in a template table Project Charter Use TTUHSC Project Recommended use of Provide a descriptive Charter template TTUHSC Project Charter narrative template Business Justification Stage Use TTUHSC Business Obtain documented Departmental practices Gate Justification Review Gate approval signed by apply for documentation template department head/project approval sponsor 5.4 Business Case The Business Case provides comparative information between business solution costs and proposed project benefits. As a detailed investment proposal, the Business Case considers quantitative and qualitative evaluation factors and provides the baseline information to make an informed decision and whether to recommend proceeding further. The Business Case also provides input into the Statewide Impact Analysis that is required for Major IR projects. Entry Criteria: Business change need or opportunity with a potential IR component. For example: o application need from within business unit o new business unit productivity goal, business equipment or infrastructure changes o business technology changes, which may offer value pending/enacted legislation or other legal requirements public and private sector trends Costs Inputs: Description of business need Role Procedure/Activity Project Sponsor Collect and analyze business information and need Business & Technology Derive description of business need (A business need can be based on needed Staff training, customer demand, technological advance, legal requirement, or governmental standard) The Project Sponsor and appropriate staff draft the Business Case and workbook The business areas use the help of a business and technology staff and, ideally, a project manager The Business Case is a structured proposal for business change justified in terms of costs and benefits. The Business Case addresses, at a high level, the business need the project seeks to resolve. It includes the reasons for the project, the expected business benefits, the options considered (with reasons for rejecting or carrying forward each option), the expected costs of the project, and the expected risks. In almost all cases the option of doing nothing should be included with the costs and risks of inactivity along with the differences (costs, risks, outcomes etc) between doing nothing and the proposed project. Executive Summary – Provide a synopsis of the project and how the project affects institution service or product delivery. At a high level, describe the merits, impacts, and benefits of the proposed project. Governance and Business Case Analysis Team – Describe the structure for Version 1.00 23 Last update: 12/15/2009 4:09 PM
  24. 24. TTUHSC IR Project Management Process Guide Role Procedure/Activity making project decisions. With the project meriting further business analysis, identify the Executive Sponsor, Technical sponsor, and key staff. Problem Definition – State the business problem, specifically identifying the processes, services, and technology receiving benefit from the project. Do not include solutions in this section. Project Overview – Establish a basis for the qualitative and quantitative analysis completed later by describing the project with the goals and objectives of the project. Project Evaluation – Provide a measure of how well the project satisfies the business goals and objectives of the project. Six factors are considered: o Statutory fulfillment o Strategic alignment o Institution impact analysis o Financial analysis o Initial risk consideration o Alternatives analysis Project Selection – using the six evaluation dimensions and a documented selection process, the project is, or not, selected based on how well business needs are met. Exit Criteria: Completed Business Case Output: Business Case 5.5 Statewide Impact Analysis Applicable to Major IR Projects, the Texas Project Delivery Framework (Framework) includes a Statewide Impact Analysis (SIA) to provide a consistent method for collecting and analyzing a project's effect on common IR used throughout the state. The SIA is a self-report questionnaire that describes a project's use of (or effect upon) interoperability, collaboration, and reuse of information resources throughout the state. The SIA accomplishes this through a series of questions related to the institution‟s approach to leveraging the state‟s resources through collaboration with other state agencies. The assessment seeks information regarding the extent to which business processes and technical components will be reused from prior projects within the institution, or from other agencies, institutions of higher learning, or other governments (federal, local, other states). The SIA also elicits specific information regarding shared services related to project goals or requirements for interoperability. For more instructions and the template, go to http://www.dir.state.tx.us/pubs/framework/. 5.6 Project Charter The Project charter provides a consistent method to formally authorize work to begin on a project. The intent is that an agreement among stakeholders is established before significant resources are committed and expenses are incurred. The Project Charter is the tool that gives the named Project Manager authority to carry out the project business. Approval of the Project Charter provides the go-ahead for an officially recognized project to begin when business considerations, such as, resources, budget, and timing allow. Entry Criteria: Completed Business Case Inputs: Business Case Statewide Impact Analysis (Major IR projects only) Enterprise Environmental Factors Version 1.00 24 Last update: 12/15/2009 4:09 PM
  25. 25. TTUHSC IR Project Management Process Guide o Organization structure o Organizational culture o Infrastructure Organizational Process Assets o Standards, policies, software development lifecycles o Established organization processes, e.g. procurement Role Procedure/Activity Initiating Sponsor Complete the Project Charter: Business & Technology o Develop a concise statement of the business reasons for starting the Staff project specifically stating problems the project is going to solve IT Security Staff o Describes the approach the project will use to address the business need o Provide a narrative description of what will be included and excluded in the Project Scope Critical Success Factors o List factors or characteristics deemed critical to the success of the project Project Oversight Authority o Describe management control over the project o Describe external oversight bodies and policies Project Structure o Describe the organizational structure of the project team and the stakeholders o Provide an organizational chart Roles and Responsibilities o Outline the overall structure of the project organization throughout the project phases o Identify customers, key stakeholders who have influence or may be impacted Responsibility Matrix o Identify who is responsible for each activities and who needs to be informed or consulted Project Facilities and Resources o Describe the project requirements for facilities and resources such as office space, computer equipment, support tools o Identify the Points-of-Contact Executive Sponsor and/or Follow project selection process Steering Committee Review Project Charter Approve, rework, shelve, or kill proposal. If approved: Get required authorization signatures, as applicable Approver Signature authorities vary by project size and complexity. See Section 1.8 Project Approval Processes and Deliverables Approve (sign) Project Charter Executive Sponsor For Level 1 projects, submit document to IT Division. For Level 2 and 3 projects, retain the approved Project Charter in file. Exit Criteria: Completed Project Charter For Level 1 projects, submit document to IT Division. For Level 2 & 3, Project Charter retained in file Output: Project Charter Version 1.00 25 Last update: 12/15/2009 4:09 PM
  26. 26. TTUHSC IR Project Management Process Guide 5.7 Business Justification Stage Gate The Business Justification Stage Gate is the initial check point during a project management lifecycle. The stage gate is intended to synchronize the state‟s investment in a project based on approval of business outcomes. The stage gate facilitates assessment and approval of whether the project goals have been achieved and whether a project is ready to proceed. The process approval considers: Verification of approved deliverables Assessment of key questions Assessment of open issues Before any formal project planning activities can occur, the appropriate approver must approve the completion of the necessary documentation at that specific point during project delivery (See Section 1.8 Project Approval Processes and Deliverables). Entry Criteria: Approved Project Charter Inputs: Completed Business Case and Project Charter Role Procedure/Activity Initiating Sponsor The project approver collaborates with the executive sponsor to obtain complete, Business & Technology accurate, and comprehensive status information on the project. The status Staff information provides evidence to support the responses to key questions. Emphasis IT Security Staff is placed on whether the expected results and deliverables of the project, thus far, align with business goals and objectives. Member Institution IR Follow project authorization process Steering Committee Review Project Charter and/or Approve, rework, shelve, or kill proposal. If approved: Executive Sponsor Get required authorization signatures, as applicable. Approver Signature authorities vary by project size and complexity. See Section 1.8 Project Approval Processes and Deliverables Approve (sign) Initiation Stage Gate Approval Executive Sponsor and/or Store the approved Project Charter in file Steering Committee Exit Criteria: Completed Initiation Stage Gate Document Project Charter stored in PMRS Output: Business Justification Review Gate Document Version 1.00 26 Last update: 12/15/2009 4:09 PM
  27. 27. TTUHSC IR Project Management Process Guide 6.0 PLANNING Project Initiated Develop the Project Critical Success Factors Refine the Project Scope Statement Create the WBS (Includes Project Planning Tasks) Create the Network Diagram Create the WBS Dictionary Develop Initial Project Schedule Develop the Project Develop the Project Plan Budget Develop the Communication Plan Develop the Sponsor Resolve Issues and Configuration Plan Approval? Resubmit No Develop the Yes Performance Management Plan Stage Gate Resolve Issues and Approved? Resubmit No Develop the Risk Management Plan Yes Perform Procurement Executing Involved? Activities No Yes Perform Procurement Process Figure 6-1 Planning Process Version 1.00 27 Last update: 12/15/2009 4:09 PM
  28. 28. TTUHSC IR Project Management Process Guide 6.1 Description of the Project Plan The Project Planning Process provides a framework for Project Plans. In the planning process, develop estimates of effort, develop a schedule, plan the management and technical approaches, identify measures to gather, develop a risk management approach, and, if procurement of external resources or services is needed, use the procurement process (see Figure 6-1 and Figure 6-3, page 46). The key project management deliverables associated with the Project Planning Process Group are: Project Scope Statement Work Breakdown Structure (WBS) Network Diagram (e.g.: Microsoft Project) Work Breakdown Structure Dictionary Initial Project Schedule Budget Project Measures Project Management Plan (PMP) Communication Plan Configuration Plan Performance Management Plan Risk Management Plan Acquisition Plan (if services or materials needed) 6.2 Scope of the Project The activities, roles, and deliverables in the project planning process may be performed slightly differently for different types of projects. 6.3 Planning Activities The activities, roles, and deliverables may be performed slightly differently for different types of projects. The following tables provide suggestions for adaptation of activities. The project manager should complete any process/activity deemed necessary for the success of the project. Activities Level 1 Projects Level 2 Projects Level 3 Projects Refine Project Scope Takes 4 person weeks Takes 3 to 4 person Takes 1 to 2 person Statement for long range items; 2 weeks by project manager weeks by project manager person weeks for short and team and team range items; built in one or more facilitated team sessions Establish Work Takes 4 person weeks Takes 2 person weeks; Takes 1 person week; Breakdown Structure for long range items; 2 built by project manager built by project manager person weeks for short and small team and project team range items; built in one or more facilitated team sessions Version 1.00 28 Last update: 12/15/2009 4:09 PM
  29. 29. TTUHSC IR Project Management Process Guide Activities Level 1 Projects Level 2 Projects Level 3 Projects Create Network Diagram Takes 4 person weeks Takes 2 person weeks; Takes 1 person week; for long range items; 2 built by project manager built by project manager person weeks for short and small team and project team range items; built in one or more facilitated team sessions Complete Work Takes 4 person weeks Takes 2 person weeks; Takes 1 person week; Breakdown Structure for long range items; 2 built by project manager built by project manager Dictionary person weeks for short and small team range items; built in one or more facilitated team sessions Develop Initial Project Attempt to get level of Attempt to get level of Attempt to get level of Schedule confidence >70%. Use confidence >75%. Use confidence >80%. Use a scheduling software (e.g. scheduling software (e.g. spreadsheet or word MS Project) MS Project) processing table Develop Budget +/- 3-5 person week +/- 2-3 person week +/- 1 person week (project (project manager and (project manager and manager) Estimates based project team). Estimates project team). Estimates on task length estimate, based on WBS dictionary based on WBS dictionary skill level needs, detail detail schedule, resource availability, and cost of resource plus materials cost Define Project Measures Collect fundamental Collect fundamental Collect fundamental measures and those measures and those measures of size, defects, needed to handle project needed to handle project milestone attainment, issues issues effort Draft Project Management Ensure plan is useful for Use organization Use concise plan formats Plan (PMP) project members added templates. Takes 2 after project start person weeks; built by project manager and small team Develop Communication Ensure plan is useful for Use organization Address in the PMP – a Plan project members added templates. Takes the paragraph or two after project start Project Manager 1 person week. Create Configuration Plan Ensure plan is useful for Use organization Address in the PMP – a project members added templates. Takes the paragraph or two after project start small team 2 person weeks Establish Performance Ensure plan is useful for Use organization Not Applicable Management Plan project members added templates for after project start Procurement Activity Evaluation Create Risk Management Use the appropriate risk Use the appropriate risk Use a short list of key Plan factor tables for factor table for risks for identification identification at the start identification of the project, and the beginning of each phase Version 1.00 29 Last update: 12/15/2009 4:09 PM
  30. 30. TTUHSC IR Project Management Process Guide Activities Level 1 Projects Level 2 Projects Level 3 Projects Develop Acquisition Plan Ensure plan is useful for Use organization Not Applicable (if services or materials project members added templates. Takes the needed) after project start small team 2 person weeks 6.4 Planning Roles Role Names Role Definitions Project Manager Plan and track the project Project Team Participate in building and reviewing the plan(s) and project work items; developers or implementers of a system Senior Management Authorizes the project and provides staff and other resources Reviews the plans to ensure they meet organization goals Business Area Subject Represents the customer and/or user of the project results Matter Expert (SME)(s) Provides input to the plan concerning requirements, may review the plan to ensure it meets user needs Project Sponsor Provides resources and funding for the project 6.5 Planning Roles These roles in project planning may be handled differently for different types of projects. Role Level 1 Projects Level 2 Projects Level 3 Projects Project Manager Person in this role is Person in this role may Person in this role is also dedicated to project also do some of the work likely to be a member of management of the team as well as the team doing the work managing the project Project Team Completing work and Provide input for plan Does majority work report status development as well as doing the work Senior Management Monitor work, provide Monitor work, provide Acknowledge work funding, manage funding, manage communication with communication with upper management upper management Business Area Subject Play part in direction and Plays part in direction and Provide input and tests Matter Expert (SME) funding as well as active funding as well as active role during delivery of role during delivery of product product Project Sponsor Provide funding and Provide funding and Provide support authorization to do the authorization to do the project project 6.6 Project Plan Deliverables These deliverables in project planning may be done slightly differently for different types of projects. Version 1.00 30 Last update: 12/15/2009 4:09 PM
  31. 31. TTUHSC IR Project Management Process Guide Activity Level 1 Projects Level 2 Projects Level 3 Projects Deliverable Scope Statement Fully documented outline Formal document Brief statement in a word of the product, service, or outlining the product, processing software or e- result desired while listing service, or result desired mail constraints, assumptions, limits, rough order of magnitude proposed budget, critical success factors WBS MS Project; may be MS Project file Table in project plan or connected to process Excel spreadsheet library tools Network Diagram Use MS Project network Use MS Project network Put tasks in order in an diagram view diagram view Excel spreadsheet WBS Dictionary Likely to employ formal Documented assumptions Table in project plan estimating technique, e.g. in project plan, plus Wideband Delphi, with modest tool support, e.g. associated deliverables MS Project Schedule MS Project MS Project Table in project plan Budget Usually captured in May be Excel spreadsheet Table in project plan budgeting tool or MS Project Project Management Plan Rigorous plan detailing Basic Plan detailing how Brief outline in word how the project will be the project will be processing document managed as well as managed as well as developing subsidiary developing subsidiary plans (i.e. risk, plans (i.e. risk, communication, etc.) communication, etc.) Communication Plan Rigorously developed Plan with Roles and Few lines identifying plan with Roles and Responsibilities outlined. status and problem Responsibilities outlined. Contains full outline of reporting Contains full outline of communication needs communication needs Configuration Plan Rigorously developed Plan with Roles and Few lines referring to plan with Roles and Responsibilities outlined. how revisions handled. Responsibilities outlined. Contains full outline of Contains full outline of configuration configuration needs including versioning for IR projects Performance Management Rigorously developed Plan with roles and Not applicable for Plan plan with roles and responsibilities outlined. projects of this size responsibilities outlined. Contains full outline of Contains full outline of contracted deliverables contracted deliverables needs needs Version 1.00 31 Last update: 12/15/2009 4:09 PM
  32. 32. TTUHSC IR Project Management Process Guide Activity Level 1 Projects Level 2 Projects Level 3 Projects Deliverable Risk Management Plan Rigorously developed Plan with roles and List in word processing plan with roles and responsibilities outlined. with suggested actions responsibilities outlined. Contains risk Contains risk prioritization charts and prioritization charts and actions actions Project Planning Review Use TTUHSC Business Obtain documented Departmental practices Gate Justification Review Gate approval signed by apply for documentation template department head/project approval sponsor Acquisition Plan Rigorously developed Plan with roles and TTUHSC Purchasing plan from procurement responsibilities outlined. Departmental practices documentation through apply contract closure with roles and responsibilities outlined. Contract Amendment and TTUHSC Contracting TTUHSC Contracting TTUHSC Contracting Change Order Departmental practices Departmental practices Departmental practices apply apply apply Solicitation and Use TTUHSC Business Obtain documented TTUHSC Purchasing Contracting Review Gate Justification Review Gate approval signed by Department and template department head/project Contracting Departmental sponsor practices apply 6.7 Project Scope Statement The project scope statement has evolved and will require more detail to manage the project. The project scope statement describes, in detail, the project‟s deliverables and the work required to complete the deliverable. The statement provides a common understanding for the stakeholders of the major deliverables. The detail provides the basis for detailed planning while guiding the project team through execution. The statement provides the baseline for the boundaries of the project. With well defined boundaries, the scope of the project can be more easily managed which, in turn, determines how well the project team can plan, manage, and control the execution of the project. Purpose: Describe in detail the project deliverables and all of the work for the project. Entry Criteria: Approved Project Charter Preliminary Scope Statement Organizational Process Assets, i.e. a template for developing the scope statement, if available Role Procedure/Activity Project Manager Delineate the work items, user requirements, boundaries, constraints, and assumptions while referring to other documents describing the system to be built Include: o Objectives o Scope description o Requirements Gathering o Boundaries o Deliverables Version 1.00 32 Last update: 12/15/2009 4:09 PM
  33. 33. TTUHSC IR Project Management Process Guide o Acceptance criteria o Constraints o Assumptions o Initial organization o Initial defined risks o Schedule milestones o Fund limitation o Cost estimate o Configuration management requirements o Specifications Approval requirements Project Manager, Project Review the work elements for completeness Team Provide input on systems affected Business Area Subject Ensure business needs are documented Matter Expert (SME) Review results with Senior Management to ensure all needed work is included Exit Criteria: Project manager, business area SME, project team members, and other affected groups are in agreement. Output: Enhance Project Scope Statement 6.8 Work Breakdown Structure The Work Breakdown Structure (WBS) is a deliverable-oriented decomposition of the work to be done by the project team. The WBS organizes and defines the total scope of the project. The WBS subdivides the project work into smaller, more manageable pieces of work, with each descending level of the WBS representing an increasingly detailed definition of the project work (PMBOK, 2004). The lowest level of work can be scheduled, cost estimated, monitored, and controlled. The WBS may be developed using a hierarchical structure or using an outline structure. When using a project scheduling software (MS Project) the default method is the outline structure. Purpose: Identify and describe the work elements in the project plan, any dependencies between them, and approximate level of effort of each. Entry Criteria: Project requirements and goals are well-defined (Scope Statement) Lifecycle, development approach, methods, and tools have been selected Role Procedure/Activity Project Manager Draft an initial list of work items by using statement of work, user requirements, and/or other documents describing the system to be built Determine development lifecycle (waterfall, spiral, rolling wave, time phased) Document the results as a Work Breakdown Structure (WBS) in the project plan (or a living document attached as an appendix to the project plan) Review results with Customer Subject Matter Expert (SME) and Senior Management to ensure all needed work is included Project Manager, Project Decompose the project to the lowest level where reliable estimates for Team scheduling, costing, monitoring, and controlling can occur. Avoid breaking down the task too far because this may cause non-productive management effort, inefficient use of resources, and decreased efficiency in performing the work. Use an estimation process to create effort estimates for each work item. Version 1.00 33 Last update: 12/15/2009 4:09 PM

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