[INSERT PROJECT NAME]
PR OJ EC T CHA R TER FOR CER TIFIC A TION
EXECUTIVE SPONSOR – [INSERT NAME] BUSINESS OWNER - [INSERT NAME] PROJECT MANAGER – [INSERT NAME] ORIGINAL PLAN DATE: [INSERT DATE, SPELLED OUT] REVISION DATE: [INSERT DATE, SPELLED OUT] REVISION: [INSERT NUMBER]
ABOUT THIS PROJECT CHARTER DOCUMENT
PERMISSION TO PLAN THE PROJEC T AND SETTING THE GOVERNANCE STRUCTURE The Project Charter provides the project manager and project team with permission to proceed with the work of the project, within the scope delineated in this document. The Project Charter should be the outcome of a number of documents that went into the pre-planning for the project, and in many cases the agency IT Plan, Business Case for appropriations, Federal funding requests and the like. Project sponsors sign the Project Charter signifying that they have agreed to the governance structure for guiding the direction for the further planning of the project, discovery and defining the requirements, acquiring necessary resources, and within that context the statement of work for any related contracts including a contract for the Independent Validation and Verification. The Project Charter is also the foundation for the creation of the project management plan, and much of the thinking and writing for this charter will be immediately usable for that project management plan. PROJECT CERTIFICATION INITIAL PHASE DOCUMENTATION The Project Charter is also used within the State of New Mexico IT Project Certification process as evidence of the project’s worthiness for the Initial Phase certification. The Initial Phase certification is especially critical to many state and agency projects because of its related release of the initial funds required for the project.
Initiation Phase funding is requested by an agency for use in developing project phases, developing Independent Verification and Validation (“IV&V”) plan and contract; address project review issues and/or to develop an overall project management plan. Note: Waiver of the IV&V requirement requires specific written approval by the Secretary of the DoIT. DoIT “Project Certification” Memorandum July 2, 2007
The Project Charter and the Request for Certification Form are meant to provide a comprehensive picture of the project’s intention and initial planning, that includes the project’s place in the context of the State of New Mexico’s IT Strategic Plan, Enterprise Architecture, and DoIT project oversight process. See “IT Project Oversight Process” Memorandum July 5th 2007 on the OCIO-DoIT web site.
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TABLE OF CONTENTS
ABOUT THIS PROJECT CHARTER DOCUMENT .......................................................................................................... I TABLE OF CONTENTS .............................................................................................................................................. II 1. PROJECT BACKGROUND ..................................................................................................................................... 1 1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT ......................................................................................................1 1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT ...........................................................1 1.3 PROJECT CERTIFICATION REQUIREMENTS ......................................................................................................................1 2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS ...................................................................................................... 1 2.1 AGENCY JUSTIFICATION .............................................................................................................................................1 2.2 BUSINESS OBJECTIVES ...............................................................................................................................................2 2.3 TECHNICAL OBJECTIVES .............................................................................................................................................2 2.4 IMPACT ON ORGANIZATION .......................................................................................................................................2 2.5 TRANSITION TO OPERATIONS ......................................................................................................................................2 3.0 PROJECT/PRODUCT SCOPE OF WORK ............................................................................................................... 3 3.1 DELIVERABLES .........................................................................................................................................................3 3.1.1 Project Deliverables .....................................................................................................................................3 3.1.2 Product Deliverables....................................................................................................................................5 3.2 SUCCESS AND QUALITY METRICS ............................................................................................................................6 4.0 SCHEDULE ESTIMATE ........................................................................................................................................ 6 5.0 BUDGET ESTIMATE ........................................................................................................................................... 6 5.1 FUNDING SOURCE(S) ................................................................................................................................................6 5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE - ................................................................................................7 5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE....................................................................................................7 6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE ............................................................................... 7 6.1 STAKEHOLDERS ...................................................................................................................................................7 6.2 PROJECT GOVERNANCE PLAN..............................................................................................................................7 6.3 PROJECT MANAGER .............................................................................................................................................7 6.3.1 PROJECT MANAGER CONTACT INFORMATION ............................................................................................7 6.3.2 PROJECT MANAGER BACKGROUND ............................................................................................................7 6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES ....................................................................................................7 6.5 PROJECT MANAGEMENT METHODOLOGY .....................................................................................................................8 7.0 CONSTRAINTS .................................................................................................................................................. 8 8.0 DEPENDENCIES ................................................................................................................................................. 8 9.0 ASSUMPTIONS ................................................................................................................................................. 9 10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY ........................................................................................... 9 11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING.................................................................................... 9 12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V .................................................................................. 9
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13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES ................................................................................... 11 14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE .......................................................................... 11
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Revision History REVISION NUMBER 1.0 DATE August 14, 2007 COMMENT Original DoIT PMO Document
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PROJECT CHARTER [PROJECT NAME]
1
1. PROJECT BACKGROUND
The project background section is meant to provide the reviewer with a picture of the development of the project from inception to its being submitted for certification. 1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT 1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT 1.3 PROJECT CERTIFICATION REQUIREMENTS Does the project fit into the criteria for certification? Which and how? CRITERIA Project is mission critical to the agency Project cost is equal to or in excess of $100,000.00 Project impacts customer on-line access Project is one deemed appropriate by the Secretary of the DoIT Will an IT Architecture Review be required? YES/NO EXPLANATION
2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS
The justification and objectives section relates the project to the purpose of the lead agency and describes the high level business and technical objectives for the project. The section also includes a high level review of the impact to the organization, and of the concerns for transition to operations. 2.1 AGENCY JUSTIFICATION
IDENTIFY AGENCY MISSION, PERFORMANCE MEASURE OR STRATEGIC GOALS TO BE ADDRESSED THROUGH THIS PROJECT
NUMBER
AGENCY
DESCRIPTION
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2.2 BUSINESS OBJECTIVES
USE THE FOLLOWING TABLE TO LIST MEASURABLE BUSINESS OBJECTIVES
NUMBER
BUSINESS OBJECTIVE 1
DESCRIPTION
2.3 TECHNICAL OBJECTIVES
NUMBER
TECHNICAL OBJECTIVE 1
DESCRIPTION
2.4 IMPACT ON ORGANIZATION The impacts on the organization are areas that need to be addressed by the project through its planning process. They may not be internal project risks, but they can impact the success of the project’s implementation. AREA
END USER BUSINESS PROCESSES IT OPERATIONS AND STAFFING OTHER
DESCRIPTION
2.5 TRANSITION TO OPERATIONS The transition to operations areas include items that are asked in the certification form to assure that the project has accounted or will account for these matters in its planning and requirements specifications.
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AREA
PRELIMINARY OPERATIONS LOCATION AND STAFFING PLANS DATA SECURITY, BUSINESS CONTINUITY MAINTENANCE STRATEGY INTEROPERABILITY RECORD RETENTION CONSOLIDATION STRATEGY
DESCRIPTION
3.0 PROJECT/PRODUCT SCOPE OF WORK
In its efforts to move from the high level business objectives to the desired end product/service the project team will need to deliver specific documents or work products. The State of New Mexico Project Management Methodology distinguishes between the project and the product. Project Deliverables relate to how we conduct the business of the project. Product Deliverables relate to how we define what the end result or product will be, and trace our stakeholder requirements through to product acceptance, and trace our end product features and attributes back to our initial requirements 3.1 DELIVERABLES 3.1.1 PROJECT DELIVERABLES This initial list of project deliverables are those called for by the IT Certification Process and Project Oversight memorandum, but does not exhaust the project deliverable documents
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Project Charter
The Project Charter for Certification sets the overall scope for the project, the governance structure, and when signed is considered permission to proceed with the project. The Project Charter for Certification is used to provide the Project Certification Committee with adequate knowledge of the project and its planning to certify the initiation phase of the project The Request for Certification and Release of Funds form is submitted when a project goes for any of the certification phases. It deals with the financial aspects of the project, as well as other topics that indicate the level of planning that has gone into the project. Many of the questions have been incorporated into the preparation of the project charter
. “Project management plan” is a formal document approved by the executive sponsor and the Department and developed in the plan phase used to manage project execution, control, and project close. The primary uses of the project plan are to document planning assumptions and decisions, facilitate communication among stakeholders, and documents approved scope, cost and schedule baselines. A project plan includes at least other plans for issue escalation, change control, communications, deliverable review and acceptance, staff acquisition, and risk management.
Certification Form
Project Management Plan
plan.” IV&V Contract & Reports
“Independent verification and validation (IV&V)” means the process of evaluating a project to determine compliance with specified requirements and the process of determining whether the products of a given development phase fulfill the requirements established during the previous stage, both of which are performed by an organization independent of the lead agency. Independent verification and validation assessment reporting. The Department requires all projects subject to oversight to engage an independent verification and validation contractor unless waived by the Department.
IT Service Contracts
The Department of Information Technology and the State Purchasing Division of General Services have established a template for all IT related contracts.
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Risk Assessment and management
The DoIT Initial PROJECT RISK ASSESSMENT template which is meant to fulfill the following requirement: “Prepare a written risk assessment report at the inception of a project and at end of each product development lifecycle phase or more frequently for large high-risk projects. Each risk assessment shall be included as a project activity in project schedule.” Project Oversight Process memorandum
Project Schedule
A tool used to indicate the planned dates, dependencies, and assigned resources for performing activities and for meeting milestones. The defacto standard is Microsoft Project
Project status reports. For all projects that require Department oversight, the lead agency project manager shall submit an agency approved project status report on a monthly basis to the Department.
Monthly Project Status Reports to DoIT
Project Closeout Report
This is the Template used to request that the project be officially closed. Note that project closure is the last phase of the certification process
3.1.2 PRODUCT DELIVERABLES The product deliverable documents listed here are only used for illustration purposes Requirements Documents Description -
Design Documents
Systems Specifications
Systems Architecture
System and Acceptance Testing
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Operations requirements
3.2 SUCCESS AND QUALITY METRICS Metric are key to understanding the ability of the project to meet the end goals of the Executive Sponsor and the Business Owner, as well as the ability of the project team to stay within schedule and budget. NUMBER
QUALITY METRICS
DESCRIPTION
1
4.0 SCHEDULE ESTIMATE
The schedule estimate is requested to provide the reviewers with a sense of the magnitude of the project and an order of magnitude of the time required to complete the project. In developing the schedule estimate, certification timelines and state purchasing contracts and procurement lead times are as critical as vendor lead times for staffing and equipment delivery. Project metrics include comparisons of actual vs. target date. At the Project Charter initial phase, these times can only be estimated.
5.0 BUDGET ESTIMATE
Within the Project Charter budgets for the project can only be estimated. Original budgets requested in appropriations or within agency budgets are probably not the numbers being worked with at project time. Funding sources are asked for to help evaluate the realism of project objectives against funding, and the allocation of budget estimates against project deliverables. Please remember to include agency staff time including project managers as costs. 5.1 FUNDING SOURCE(S) SOURCE AMOUNT ASSOCIATED RESTRICTIONS
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5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE IT E M COST ESTIMATE .
5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE
6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE
6.1 STAKEHOLDERS Stakeholders should be a mix of agency management and end users who are impacted positively or negatively by the project. NAME STAKE IN PROJECT ORGANIZATION T IT L E
6.2 PROJECT GOVERNANCE PLAN A diagram of the organization structure including steering committee members, project manager and technical/business teams would be helpful. 6.3 PROJECT MANAGER 6.3.1 PROJECT MANAGER CONTACT INFORMATION NAME ORGANIZATION PHONE #(S) EMAIL
6.3.2 PROJECT MANAGER BACKGROUND 6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES ROLE RESPONSIBILITY
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ROLE
RESPONSIBILITY
6.5 PROJECT MANAGEMENT METHODOLOGY The Department of Information Technology certification process is built around a series of certification gates: Initiation, Planning, Implementation and Closeout. Each of these phases/gates has a set of expected documents associated with it. The gates and the associated documents make up the certification methodology. For some projects such a framework might be sufficient, where for some projects the solution development life cycle (SDLC) with plan, define, design, build, close might be more appropriate. Put most simply how is the project to be structured into a methodology or framework and where do the project and product deliverables fit into this roadmap?
7.0 CONSTRAINTS
NUMBER DESCRIPTION
8.0 DEPENDENCIES
Types include the following and should be associated with each dependency listed.
Mandatory dependencies are dependencies that are inherent to the work being done. D- Discretionary dependencies are dependencies defined by the project management team. This may also encompass particular approaches because a specific sequence of activities is preferred, but not mandatory in the project life cycle. E-External dependencies are dependencies that involve a relationship between project activities and nonproject activities such as purchasing/procurement
NUMBER DESCRIPTION
TYPE M,D,E
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NUMBER DESCRIPTION
TYPE M,D,E
9.0 ASSUMPTIONS
NUMBER DESCRIPTION
10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY
Risk 1 Description Probability Impact
Mitigation Strategy Contingency Plan
Risk 2 Description Probability Impact
Mitigation Strategy Contingency Plan
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING 12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V
IV&V focus depends upon the type of project, with various emphases on project and product deliverables. The following check list is based on Exhibit A of the OCIO IV&V Contract Template, and the Information technology template. . It is included here to provide a high level of the type of IV&V accountability the project envisions:
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Project/Product Area
Include – Yes/No
Project Management Quality Management Training Requirements Management Operating Environment Development Environment Software Development System and Acceptance Testing Data Management Operations Oversight Business Process Impact
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13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES
SIGNATURE DATE
EXECUTIVE SPONSOR
BUSINESS OWNER
PROJECT MANAGER
14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE
SIGNATURE DATE
DOIT / PCC APPROVAL
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