1. Candidate Jim Shields
Example PMO Project Initiation Process (part of NCDPI QA program)
Audience • Help Desk (HS to college)
• IT personnel (college)
• Management (Generally college-educated)
• Executive Management (college-educated to PHD)
Tools Used • Word
• Visio
Notes • Template designed by me according to Chicago Manual of Style and
Information Mapping principles.
• Paper & web-based publication.
• Flowcharts provide links to next page and/or another procedure (red
pentagon)
• Proprietary information redacted.
Program Management Office
IT Planning and Program Management

2. Program Management Office
PMO Project Initiation Process
Overview
Purpose of the Project Initiation Process
This process is used to begin a Program Management Office project. Project
Initiation is the first step in the PMO Project Management Method. It provides a
framework comprising the following objectives:
Purpose of Project Initiation
DD
AA
FF
SS
Define the project: Work with the customer to determine and
document the purpose, business case, and major requirements of
the project.
Authorize the project: Consult with and get approval
from appropriate management.
Staff the project:
Identify and fill
personnel needs.
Fund the project: Secure resource
and implementation funding.
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IT Planning and Program Management

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Process and Documentation Development and Approval
Process ID:
Process Owner: Rob Hines, Section Chief, Program Management Office
Documentation
Author(s):
• Rob Hines
• Annette Murphy
• Sara Thomas
Version 0.4 (Draft)
Approved by: Elaine Glass, Director, IT Planning and Program
Management Division
Guiding
authority
• IT Planning and Program Management Division Plan
(FY 2004-2005)
• North Carolina ABCs Plus – Strategic Priority 5,
Effective and Efficient Operations, Strategic Goal 5.3
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Process Requirements
PMO Initiation Process Inputs, Tools & Techniques, and Outputs
Inputs Tools & Techniques Outputs
• Customer request,
including
♦ SBE directive
♦ NC Executive
Branch
mandate
♦ Legislative
Branch
directive
♦ Federal law or
mandate.
• NCDPI Help
Desk Request
• Identified
business need
• Historic project
documents (if
applicable)
• PMO Project
Management Method
• PMO Project
Management Method
templates
• project archive (if
applicable)
• the HEAT System
• Level 2 Support
process
• business analysis
• Project Charter
• Assumptions Checklist
• Constraints Checklist
• Authorized Project
Approval Request
• Initial Work Breakdown
Structure
• Meeting Minutes
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PMO Project Initiation Process Actors
The following table lists the actors and functions for this process.
Actor Function
Customer • Submit new project request.
• Sponsor project; as such, provides input on project
rationale, benefits, and scope.
• Participate in Project Initiation Meeting.
• Review and approve Project Approval Request.
• Review and approve Project Charter.
• Complete initiation checklists with PPM.
Business Analyst • Creates or receives initial project request.
• Schedule and chair Project Initiation Meeting.
• Complete project initiation checklists.
• Draft and submit Project Charter.
Planning Project
Manager
• Review and approve Project Initiation documentation.
• Report project initiation events, submit documents to
PMO Section Chief as requested.
• Assign BA.
• Coordinate with appropriate section chiefs to identify
and assess
♦ staff skill/knowledge needs/gaps
♦ tool needs/gaps
♦ scheduling requirements
♦ security framework.
• Obtain valid budget codes.
• Set up project:
♦ Create project in ATS.
♦ Create network project folder for team.
♦ Assess logistics needs; initiate procurement
process.
♦ Write job descriptions, as required.
♦ Complete staff orientation plan.
• Initiate ITS Project Certification process, if necessary.
• Draft initial
♦ Communication Plan
♦ Risk Management Plan
♦ Work Breakdown Structure (WBS), based on input
from appropriate section chiefs.
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Glossary of Terms
Term Definition
order-of-magnitude
estimate
A cost estimate established for the project that meets the
stated criterion of the PMO Project Management Method.
This estimate is documented in the Project Approval
Request, which is approved by the customer.
This estimate warrants to the customer that the project
will not cost -25% below or +75% above the stated
estimate (in compliance with stated PMI standards).
The Planning Project Manager (PPM) calculates the
order-of-magnitude estimate by consulting with the
appropriate
• SME
• Section Chiefs
• DPI or customer business stakeholders.
SCIO Project
Certification
process
The process required by North Carolina law to get an IT
project approved by the SCIO.
A potential project must
• meet certain criterion
• be submitted according to SCIO process, and
• conform to SCIO documentation requirements
before it can be considered for approval.
Note: SCIO certification only applies to IT projects.
The SCIO defines what constitutes an agency IT project
that requires certification.
PMI Project Management Institute; a nationally certified and
recognized organization that sets standards and
guidelines for the management of all types of projects.
historic project
documentation (or
files)
Any files (for example, MS Project, MS Access
databases, code libraries, etc.) or documentation created
for a previous release, fix, or rollout related to the
identified project.
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Term Definition
Technology
Services Executive
Project Approval
process
The process the PMO, BTD, and TS Executive Office
used to either
• approve IT project requests
• forward IT project requests to the SCIO.
The PMO Project Initiation process is suspended based
on the determination of this process.
Assumptions
Customer knows process for submitting request.
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The PMO Project Initiation Process
Project Initiation Flowchart: Page 1 of 5
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Project Initiation Flowchart: Page 2 of 5
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PMO Project Initiation Process: Page 3 of 5
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PMO Project Initiation Process: Page 4 of 5
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PMO Project Initiation Process: Page 5 of 5
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Detailed Description
The PMO Project Initiation process is divided into 3 distinct phases. The
following pages describe the stages or each phase of the PMO Project Initiation
process.
Phase 1
Stage Description
1 PMO BA initiates or receives a project request.
If… Then the BA…
Level 2 Support
Programmer/Analyst (P/A)
has determined a Help Desk
request meets the criterion for
a project (per Level 2
Support process)
The BA reviews the Project
Request with
• the customer
• the Level 2 Support P/A
to determine next steps.
a BA working either
• independently
• with other DPI staff, or
• with a customer
identifies a business need
• the BA creates the Project
Request
• notifies the Planning
Project Manager (PPM)
about the potential project
• contacts business
stakeholders.
a customer submits a Project
Request
the BA reviews the Project
Request with the customer to
determine next steps.
2 BA prepares for project initiation:
• BA and customer review and clarify needs.
• BA researches, gathers, and collates any pertinent project
documentation from
♦ historic project documentation
♦ Level 2 Support P/A and/or
♦ customer.
3 BA notifies Planning Project Manager about potential project,
including any pertinent documentation requested.
4 Planning Project Manager reviews Project Request and any pertinent
documentation.
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Stage Description
5 Planning Project Manager consults with appropriate DPI staff and
customer to determine if the project requires SCIO project
certification.
If… Then…
the project requires NC ITS
certification
• The Planning Project
Manager initiates the TS
Prepare for SCIO
Certification process.
• PMO staff suspend this
process until SCIO Project
Certification determined.
the project does NOT require
NC ITS certification.
continue to the next stage.
6 The BA plans and schedules the 1st
Project Initiation meeting.
Attendees must include
• customer and
• BA
• Technical Architect (in consulting role)
Note: Optional attendees are invited at the discretion of the customer
and the BA.
7 The BA and customer
• draft the Project Charter
• complete the Assumptions Checklist
• complete the Constraints Checklist
Note: Above documents completed per PMO Project Management
Method templates.
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Phase 2
Stage Description
1 The PPM consults with appropriate section chiefs to identify and
assess
• staff skill/knowledge needs/gaps
• tool needs/gaps
• scheduling requirements
• order-of-magnitude estimates
• security requirements.
2 PPM reviews Project Charter and initiation checklists:
If… Then…
The PPM does NOT approve
the Project Charter and
checklists.
• BA revises charter and
checklists with customer
and any other appropriate
personnel.
• BA re-submits to PPM.
The PPM approves the
Project Charter and
checklists.
• PPM notifies PMO Section
Chief.
• Continue to next stage.
3 PPM confers with key staff and drafts the
• Work Breakdown Structure
• order-of-magnitude estimate
Note: The PPM uses MS Project to create the above. The order-of-
magnitude estimate is an integral part of the MS Project file.
4 The PPM
• requests and secures budget codes from the appropriate budget
analyst
• completes the Project Approval Request, using the information from
the WBS
• notifies the BA that the 2nd
Project Initiation meeting can be
convened.
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Phase 3
Stage Description
1 BA schedules the 2nd
Project Initiation meeting, including the
• customer, and
• Technical Architect (as consultant).
Note: BA invites other attendees at the discretion of the customer and
PPM.
2 • customer
• BA, and
• Technical Architect (as consultant)
Review, modify, and approve the Project Approval Request and all
ancillary attachments.
Upon approval, the BA submits to the PPM.
3 PPM submits Project Approval Request to Technology Services
Executive Approval Process.
Note: At this stage the process is suspended until determination by
Executive Approval Process.
4 The PPM completes project initiation tasks, including
• finalizing major deliverables and schedule
• establishing and requesting resources
• finalizing rates and hours required
• procuring equipment and space for project
• consulting with PMO Section Chief.
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Stage Description
5 PPM drafts
• Communications Management Plan
• Risk Management Plan
PMO Project Initiation Process Products
Name Purpose
Project Approval Request Basically serves as a contractual instrument
between DPI
• Technology Services area
• Financial Services area
executive management and
• the project manager and
• business sponsor.
It outlines the high-level cost estimate for project
fulfillment.
Project Charter Provides all parties a fundamental understanding of
the project, including
• reasons for initiation
• justification for completion
• description of general scope.
Assumptions Checklist Helps to establish customer and project team
expectations for
• resources
• deliverables or products
• project environment
• project costs.
Constraints Checklist Sets the baseline for project-term limits on
• resources
• delivery
• environmental.
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Name Purpose
Initial Work Breakdown
Structure
A Microsoft Project file that serves as the baseline
draft of the project plan. It segments the project
into standard phases, according to the PMO
Method, and outlines general tasks for each phase.
The WBS is also used to provide the general cost
estimates that appear on the Project Approval
Request.
The WBS produced during the PMO Project
Initiation process is an initial draft, and required for
the PMO Project Planning process.
What’s Next
After satisfying all requirements for completion of the PMO Project Initiation
process, which include
• approval of all PMO Project Initiation process documentation, as defined in
this process
• customer sign-off on Project Approval Request
• completion of all PPM tasks, as defined in this process
the next step is the PMO Project Planning process.
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