SLU ITS Project Process Framework

Deliverable

Introduction: 1.0 Initiate Phase

Phase Description & Goals:
The Initiation Phase of a project begins in direct response to a request from within the University community. ITS management determines whether the request is for operational work or for project work, and in the case of project, whether it is likely to be large, expensive, or complex enough to merit the ITS Project Management processes and controls.
The Initiation Phase of the Project Process contains all the work and deliverables necessary to
  • establish initial scope boundaries,
  • create preliminary effort and cost estimates for the full implementation,
  • present an estimate for completing the project’s Define Phase, and
  • highlight any external factors that influence the project.
The ultimate goal of the Initiation Phase is to obtain approval from the appropriate decision-making bodies that the project is a good fit in the University’s technology portfolio (see Appendix A: ITS Governance). The next step for the project team is to proceed into the analysis and investigative activities of the Define Phase.
Work done in this phase lays the groundwork to ensure that the project is done in an organized, economically-optimized, and mission-directed manner.
Includes:
  • ITS Project Request
  • Project Initiation Document
  • Initial effort and cost estimates
  • Project Issues Log
  • Initiation Gate Review Meeting
/ Excludes:
  • Detailed functional and technical requirements
  • Budgetary commitment for a full implementation
  • Signing contracts with vendors
  • Making project-related purchases

Completion Criteria:
  • Three deliverables are completed and appropriate reviews, signatures, and submissions have been completed. A Project Issues Log may be opened as soon as necessary in the project process.
  • A decision to include the project in the ITS Project Portfolio is obtained from a Project Initiation Gate Review by appropriate decision-making body.
  • New project request becomes visible on IT Project Portfolio.
  • IT Project Manager begins a high-level project plan to track early activities.
  • This phase ends with a project status of “Initiated” or “Cancelled.”

Initiate Phase Deliverable

1.1 ITS Project Request

Deliverable Description and Purpose:
The ITS Project Request marks the beginning of the formal project process. The request may be directed to the Project Office or may originate as a work request that has been deemed as a project by ITS management.
At this point, a user or customer knows that they need or want to have some work done. They also know what they expect to accomplish by having the work done and any other special considerations or constraints that should be considered.
This is a slim, one-page deliverable that contains basic information about the requestespecially, what is needed and why. It provides the starting point for determining whether this is or is not a project, and whether it fits into the ITS portfolio of project.
Includes:
  • Project Name
  • Requestor Name (primary contact for the request)
  • Executive Sponsor Name (Approving Vice President or Dean)(see Appendix A: Project Role Definitions)
  • Description of Problem, Need, or Opportunity
  • Project Idea & Goal
  • Known Constraints
  • Project stakeholders: Individuals or departments that will participate in or be affected by this project
  • Expected Project Completion Criteria
  • Expected source of project funding
/ Excludes:
  • Commitment to proceed
  • Not a work request (<300 hours, etc.)
  • A detailed description of a solution
  • Detailed list of project deliverables

Created by:
  • Project Executive Sponsor (the VP or Dean approving the request) or designee
/ Reviewed/Approved by:
  1. Executive Sponsor (Approval)
  2. ITS Project Office (Review)
  3. ITS Administrators (Review)

Processes and Procedures:
  1. Submit new Project Requests by email to the ITS Project Office: .b
  2. Upon receipt of the request:
  3. A project number will be assigned and the requestor notified
  4. The request will be reviewed by the ITS Administrators to determine the appropriate assignment of the request for completion of the Initiation Phase

Completion Criteria:
  • Deliverable is completed and signed by both the Project’s Executive Sponsor (VP level or above). Request is filed with ITS Project Office and added to ITS Project Portfolio (Roadmap).
  • ITS Project Office assigns a project number.
  • Project is in the status “Requested.”
  • ITS Management appoints Project Manager or other individual to complete the Initiation Phase.
  • IT Project Manager begins a high-level project plan to track early activities. This is the same document that will be expanded into the Definition Phase Plan (2.X) and the Project Work Plan (3.1) deliverable of the Plan Phase.

Initiate Phase Deliverable

1.2 Project Initiation Document

Deliverable Description and Purpose:

The Project Initiation Document deliverable compiles the initial, exploratory work completed by a mixed team of customer, ITS representatives to answer basic questions about the feasibility and estimated effort and cost of the implementing the idea presented in the Project Request.
The purpose of this document is not to design a solution, but to elaborate on the business need, establish scope and time boundaries unique to this project, and to propose a solution approach.
This document does not contain detailed functional, nor technical, requirements, but rather provides enough information to allow ITS groups to provide a preliminary time and cost estimate to the project requestors and to prepare a summary for presentation to the appropriate approving body in the form of the 1.4 Project Initiation Gate Review.
Much of the content developed for this stage will be further elaborated in the Project Charter, once the Initiation Gate Review has been completed approval to proceed has been secured.
Includes:
  • Project Code
  • Description of Problem, Need, or Opportunity (updated/from 1.1 Project Initiation Request)
  • Project Idea & Goal (updated/from 1.1 Project Initiation Request)
  • Anticipated Project Deliverables
  • Initial Stakeholder Analysis
  • Initial Project Risk Analysis
  • Strategic Value
  • Definition Phase Estimates
  • Anticipated Project Size
/ Excludes:
  • Detailed roles & responsibilities
  • Validated budget
  • Funding commitment
  • Detailed design or detailed architecture
  • Commitment of resources
  • Detailed WBS

Created by:
  • Senior systems analyst
  • Project Manager or business analyst
  • Customer representative
  • Key stakeholders
/ Reviewed and Approved by:
  • Enterprise Architects (review)
  • Project Office (review)
  • ITS Sponsor (approve)
  • Executive Sponsor (approve)

Processes and Procedures:
  1. Upon review of the Project Request by the appropriate reviewing bodies, a project manager will be assigned to complete this deliverable. This deliverable must be submitted for gate review within 60 days from when the project request was received.

Completion Criteria:
  • Key stakeholders have reviewed the document for completeness.
  • The document has been reviewed by Enterprise Architecture, the ITS Project Office
  • The ITS sponsor and Executive Sponsor have both reviewed and approved the document
  • Adequate information has been gathered and analyzed to clearly present the project at the Project Initiation Gate Review.

Initiate Phase Deliverable

1.3 Project Issues Log

Deliverable Description and Purpose:
The Project Issue Log is a repository for documenting all known issues that pose real or potential impediments to the progress of the project.
Issues must be articulated in terms that are 1) actionable, 2) specific, and 3) discrete enough to assign them to an owner. The owner is not the sole resource responsible for resolving the issue or developing an acceptable work-around. The owner is a single point of contact taking responsibility for the pursuit of and updates related to a resolution.
Includes:
  • List of actionable, specific, and discrete issues that have a potential impact on the project
  • Unique ID# for each issue
  • Brief Issue Description
  • Issue Dates – open and last updated
  • Name of person who reported/identified the issue
  • Details
  • Impact
  • Owner Name (responsible party for working and monitoring the issue on behalf of the project)
  • Target Resolution Date
  • Status
  • Priority
  • Notes
/ Excludes:
  • Documentation of every fear and anxiety felt by the project team.

Created by:
  • ITS Project Manager/business analyst
  • All project participants contribute
/ Reviewed by:
  • All project participants
  • ITS Sponsor
  • Executive Sponsor

Completion Criteria:
  • This deliverable may be started as early as necessary in the project process. It remains live and updated throughout the duration of the project.

Initiate Phase Deliverable

1.4 Project Schedule – Version 1

Deliverable Description and Purpose:
The Project Schedule is used to identify, plan and track all project activities, deliverables and major milestones. It is used to model what is expected to happen in the project and provides a mechanism for for tracking and reporting project progress and evaluating the impact of issues or risk.
The firstversion of the Project Schedule reflects the initial activities and time estimates associated with completing the project. This version is not intended to be a detailed schedule for the entire project, but rather a detailed short-term schedule for completing the tasks associated with the Initiation Phase, an intermediate-level schedule identifying the activities, resources and timeframes required to complete the Definition Phase of the project and the summary level activities with general time-frames for all activities following the Definition Phase Gate.
As more information becomes available in subsequent phases, the project schedule will be updated to incorporate more detailed tasks, assignments and time estimates for the project.
Includes:
  • Overall Project Schedule
  • Task identification for the remainder of the Initiation Phase including scheduling and conducting the Initiation Phase Gate reviews.
  • Identification of major activities needed to complete the Definition Phase and generic resources (or functional areas) needed to participatein these activities
  • Identification of major phases or activities needed to complete the project (through close-out)
  • Dependencies between tasks and/or activities
  • Planned durations
  • Major milestones identified
/ Excludes:
  • All detailed tasks(work packages) associated with project implementation
  • Specific individual assignments at the task level
  • Specific start and finish dates for the implementation and close-out phases of the project

Created by:
  • ITS Project Manager/business analyst
/ Reviewed by:
  • All project participants
  • ITS Sponsor
  • Executive Sponsor

Completion Criteria:
  • This deliverable may be started as early as necessary in the project process. It remains live and updated throughout the duration of the project.

Initiate Phase Deliverable

1.5 Project Estimating Worksheet

Deliverable Description and Purpose:

The Project Estimating Worksheet is used to collect and record the estimated effort and costs at multiple points in the project lifecycle. The worksheet is completed by representatives of all ITS departments expected to contribute effort to the project and provides effort estimates at the functional or departmental level.
In the Initiation Phase of the project, the estimates in the Project Estimating Worksheet are based upon the information collected and recorded in the Initiation Document. The purpose of this document is not to provide a final, commitment estimate, but to provide an initial sizing for the project. Estimates in the worksheet are refined and updated as more information becomes available in the Definition Phase and Planning Phase of the project.
Following the Initiation Gate Review, the estimates from the Project Estimating Worksheet are used to determine impacts on resources involved in other projects and establish a target time-slot for completing the project.
Includes:
  • Effort estimates for the entire project for:
  • ITS departments
  • User departments
  • Contract labor
  • Cost estimates for:
  • Equipment
  • Licenses
  • Maintenance Contracts
  • Contract labor
  • Training required to complete the project (does not include ongoing user training)
  • Estimating Assumptions used.
/ Excludes:
  • Commitment of resources
  • Start or finish dates for effort
  • Validated budget
  • Funding commitment
  • Individual estimates or assignments

Created by:
  • Senior systems analyst
  • Architects
  • Project Manager
  • Customer representation
/ Reviewed by:
  • Executive Sponsor
  • ITS Administrators

Completion Criteria:
  • All ITS departments expected to contribute or participate in the project have been consulted and have provided and estimate
  • Adequate information has been gathered to complete the Project Initiation Document with a +/-90% level of confidence

Initiation Phase Deliverable

1.6 Project Initiation

Gate Review

Description and Purpose:
The Initiation Gate Review is the first review with the body governing the ITS Project Portfolio. The primary objective of the Initiation Gate review is to obtain approval to place the project in the ITS Project Portfolio and to ensure that enough information is available for the governing body to determine the priority of the project relative to the other projects in the Portfolio.
All Gate reviews are coordinated though the Project Office. In addition to scheduling the date for the actual review, the Project Office distributes copies of the Project Initiation Document to the governing body in advance of the review meeting.
At the review meeting, the Executive Sponsor (or their designate) and ITS representative (either the project manager or business analyst) make a brief presentation which includes:a high-level summary of the request and the information gathered during the Initiation Phase including:
  • A brief description of what is being requested and why
  • a brief description of the proposed solution,
  • the desired outcomes and benefits associated with the proposed solution
  • estimates to conduct analysis and investigative activities of the Define Phase
  • preliminary estimates for the full implementation, and
  • other influencing factors
Approval at the Initiation Gate Review confirms the project’s fit in the portfolio and establishes its prioritization and desired timing. This approval does not authorize a budget for the entire implementation, but authorizes funding for ITS resources to complete a definition/requirements effort for this project.
Includes:
  • Submission of materials to the Project Office for coordination and scheduling of the Initiation Gate Review
  • Preparation of summary presentation for the review
  • Review meeting and decision to approve or cancel the project
/ Excludes:
  • Approval for full project budget/ implementation
  • Build vs. Buy decision
  • Specific start/finish dates for the project

Created by:
  • ITS Project Manager, ITS Sponsor and Executive Sponsor
/ Reviewed and Approved by:
  • ITS Project Office
  • Appropriate ITS Portfolio Governance Body

Completion Criteria:
  • Project Initiation Document, Project Schedule-version 1 and Estimating Worksheet have been reviewed, completed and archived in the project folder.
  • The Project Initiation Document has been distributed to the appropriate governing body for review in advance of the review meeting
  • The appropriate governing body has met, reviewed the Project Initiation Documentand provides direction and prioritization or re-prioritization.
  • Status of “Initiated” or “Cancelled” is assigned by the final approvers from the governing body.
  • ITS Project Manager updates the project plan with target activities and dates to perform the Define Phase activities (If the project has been approved to proceed).
  • The Change Control Manager is notified that the project request has been approved as a project.

ITS Portfolio Governing Body

Responsibilities:

  • Review & Decision on all Project Initiation Requests
  • Review & Decision on all Project Definition Requests
  • Prioritization Decisions across University Technology Portfolio
  • Liaison with Executive Staff

Frequency of meeting:

  • Monthly

Meeting Process:

  • Meeting deadlines for submission published on ITS Project Office Web site
  • Project Managers submit requests for review to ITS Project Office
  • Assemble and deliver agenda and documents prior to meeting

Inputs:

  • University Strategic Plan
  • Current ITS Project Portfolio
  • Requests for Gate Review - Project Initiation and Project Definition
  • In-person representation from Executive Sponsor (or designee) and ITS Project Manager (or designee)

Outputs:

  • Decision and direction on each gate review request
  • Updated ITS Project Portfolio (ITSPO)
  • Documentation of Committee Decisions (ITSPO)

Sample Agenda:

  • Review Initiation Requests
  • Review Definition Requests
  • Progress Review of Funded-Active Projects
  • Priority Assessment & Decisions

Exception Types:

  • Mandated Deadline
  • Disaster Response

Introduction: 2.0 Define Phase

Phase Description & Goals:
The Define Phase begins after the project has passed the Initiation Gate review and it has been approved for inclusion in the ITS Project Portfolio. The main goals of the Define Phase are to:
  • detail the project objectives and scope
  • establish project ground rules and expectations,
  • identify all project stakeholders and approvers and define project roles and responsibilities,
  • gather and document detailed functional and technical requirements for the project and project deliverables,
  • gain customer approval for project scope, requirements and success criteria,
  • secure project funding for the project and
  • present the Executive Sponsor and appropriate governing bodies with a full cost estimate validated against detailed requirements for approval
Work done in this phase ensures that all parties agree on the scope, goals, approach, and costs of the project.
Includes:
  • Project Charter
  • Requirements
  • University “Project Request Form” (funding signatures/commitment)
  • Project Definition Gate Review – Executive Summary
  • Gate Review Meeting
  • Approved Requirements
  • Project Cost Baseline
  • Updated project schedule reflecting detailed activities required to complete Project Planning Phase
/ Excludes:
  • A detailed plan for full project implementation

Completion Criteria:
  • All phase deliverables are completed and appropriate reviews, signatures, and submissions have been completed.
  • Decision obtained from the appropriate decision-making bodies during Project Definition Gate Review.
  • Project Scope and Cost Baselinesare set (upon approval at Gate Review).
  • University “Project Request Form” to secure funding commitment is signed and submitted to Business and Finance.
  • This phase ends with a status of “Funded- Active,” “Funded – Inactive,” or “Cancelled.” A project may remain in the status “Seeking Funding” for some time before progressing through the Definition Phase Gate Review.
  • Project Change Management practices begin.

Define Phase Deliverable