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2 PROJECT INITIATION
Purpose
The purpose of Project Initiation is to begin to define the over- all parameters of a project and establish the appropriate proj- ect management and quality environment required to complete the project.
Development of the Project Charter is a pivotal starting point for the project, establishing the project definition that will serve as the foundation for all future efforts. The completion of this process is marked by the Project Kick-off Meeting, in which the Project Manager presents the Project Charter.
Successful projects begin with a detailed project definition that is understood and accepted by Stakeholders. Putting everything down in writing helps ensure a commitment among Project Team members and between the team and the Stakeholders. As part of Project Initiation, an initial Project Plan is developed, which comprises the Project Charter, Cost/Scope/Schedule/ Quality (CSSQ) documents, and preliminary risk identification list. These documents, once approved, ensure a consistent understanding of the project, help to set expectations, and identify resources necessary to move the project to the next level of detailed planning. Potential problems are identified so that they can be addressed early in the project.
Also during Project Initiation, a high-level Project Schedule is developed as the roadmap to more detailed Project Planning and Project Execution and Control. This high-level schedule will be refined over time, and will serve as the primary source of information regarding project status and progress. An accurate, realistic, and complete schedule, rigorously maintained, is essential to the success of a project.
Sponsorship of the project must be confirmed or gained during Project Initiation. Having a Project Sponsor, and securing approval early in the project management lifecycle, helps to ensure a commitment to the project.
List of Processes
This phase consists of the following processes:
Prepare for the Project, where the Project Sponsor and
initial Project Team are identified and work with the Project Manager to create the Project Charter.
Define Cost/Scope/Schedule/Quality (CSSQ), where the
Project Manager, along with the Project Team define the scope of the project and identify the preliminary budget, high-level schedule and quality standards to complete the project.
Perform Risk Identification, where the Project Manager
and Project Team begin to identify and document any risks associated with the project.
Develop Initial Project Plan, where the Project Manager
and Project Team identify all Stakeholders and document their involvement in the project, develop means of commu- nicating with them, and compile all documentation created during Project Initiation to produce the Initial Project Plan.
Confirm Approval to Proceed to Next Phase, where the
Project Manager reviews and refines the Business Case, secures resources required for Project Planning and pre- pares the formal acceptance package for review and approval by the Project Sponsor.
The following chart illustrates all of the processes and deliver- ables of this phase in the context of the project management lifecycle.
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NYS Project Management Guidebook
List of Roles
The following roles are involved in carrying out the processes of this phase. Descriptions of these roles can be found in the Section I Introduction.
Project Manager
Project Sponsor
Project Team Members
Customer
Customer Representatives
Stakeholders
Performing Organization
List of Deliverables
Project deliverables for this phase fall into three categories of importance and formality:
Phase deliverables – major deliverables approved by the
Project Sponsor or a designated alternate that allows the project to proceed to the next phase.
Process deliverables – drafts of major deliverables or
minor deliverables that may or may not require a formal sign-off but nevertheless must be reviewed by Project Team members, Customer Decision-Makers, and the Project Sponsor. The review validates the project’s progress, and allows the Project Manager to move on to the next process in confidence.
Task deliverables – drafts of process deliverables or
works-in-progress that are verified within the Project Team, and may or may not be reviewed by the Project Sponsor or Customer Representatives. Each task culminates with the production of one or more tangible deliverables, which allows the Project Manager to monitor project progress using concrete and real results.
Figure 2-2 lists all Project Initiation tasks and their outcomes and deliverables.
Processes Tasks Task Deliverables (Outcomes) Prepare for Identify Project Sponsor Project Sponsor the Project (^) Identify Initial Project Team Project Team
Review Historical Information Information Reviewed Develop Project Charter Project Charter Conduct Project Kick-off Meeting Kick-off Meeting Establish Project Repository Project Repository Define CSSQ Define Project Scope Scope Statement Develop High-Level Schedule High-level Project Schedule Identify Quality Standards Quality Management Plan Establish Project Budget Preliminary Budget Estimate Perform Identify Risks Risks and Impacts Risk Identification (^) Document Risks List of Risks
Develop Initial Identify and Document Description of Stakeholder Project Plan Stakeholders’ Involvement^ Involvement Develop Communications Plan Communications Plan Compile All Information to Initial Project Plan Produce the Initial Project Plan Confirm Approval to Review/Refine Business Case Refined Business Case Proceed to Next Phase (^) Prepare Formal Acceptance Approval Form Package Gain Approval Signature Signed Approval Form from Project Sponsor
Figure 2-3 illustrates the evolution of deliverables from task through process to phase output.
Figure 2-
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2.1 PREPARE FOR THE PROJECT
Purpose
After formal project approval, the project is assigned to a Project Team whose first responsibility is to Prepare for the Project. The Project Manager must work to ensure that the Performing Organization’s expectations and all available project information are effectively conveyed to the Project Team. This can be done collaboratively with the Performing Organization’s management team.
Tasks
2.1.1 Identify the Project Sponsor
If a Project Sponsor has not been identified, the Project Manager must work with Performing Organization management to identi- fy and formally appoint someone to that position. Because the Project Sponsor will champion the project within the organiza- tion, secure spending authority and resources, and provide sup- port to the Project Manager, it is imperative that he/she be identified as early in the project management lifecycle as pos- sible. Building the relationship between the Project Manager and the Project Sponsor is critical to project success.
2.1.2 Identify the Initial Project Team
The extent to which the Project Team has been defined at this point may vary. At a minimum the manager for the project and certain individuals who can provide support in preparing for the project should be identified.
During Project Origination, a Project Proposal was created. During Project Initiation, the Proposal is reviewed to determine the roles required to staff the project. With the help of appropriate Stakeholders, the Project Sponsor should take the lead in identifying the names of individuals within the Performing Organization who could fill the roles and become Project Team
Roles
Project Manager Project Sponsor Project Team Members Stakeholders
The tasks to Prepare for the Project are: 2.1.1 Identify the Project Sponsor 2.1.2 Identify the Initial Project Team 2.1.3 Review Historical Information 2.1.4 Develop the Project Charter 2.1.5 Conduct Project Kick-Off Meeting 2.1.6 Establish the Project Repository
NYS Project Management Guidebook
NYS Project Management Guidebook
members. Names of the individuals needed to complete Project Initiation tasks will be documented in the Project Charter. In selecting the Project Team, definition of the skills required to per- form current tasks as well as skills for future project tasks is needed. Immediate project needs should be met first. After Project Team members have been identified, the Project Manager should provide them with a project orientation and review with individual team members their current and future roles on the project. This establishes a baseline understanding of team mem- bers’ project responsibilities, which will be useful for conducting performance reviews later in the project.
Some agencies hold a meeting at the beginning of Project Initiation, where all potential Stakeholders come together to review the Project Proposal, discuss required roles, and assign Project Team members. In other agencies, establishing a Project Team is a less formal process. You should choose and use the method to identify your Initial Project Team that will work best for your project and within your organization.
Take the opportunity, from the outset, to establish the concept of a Project Team that compris- es not only the folks reporting directly to you, but also your Project Sponsor, Customer Representatives, Customer Decision-Makers, and all other players participating in the Project Schedule.
2.1.3 Review Historical Information
Development of the Project Charter will require review of doc- umentation compiled or presented during Project Origination. Materials and information reviewed may include: the strategic plan, a formal document produced by the Performing Organization that outlines the business goals and direction over a designated number of years the Project Proposal, including the initial Business Case, which describes the project objectives and how they sup- port the Performing Organization’s strategic business direction project selection criteria, defining the parameters used in determining whether or not to undertake a project and identifying its business justification and measurements of its success information from a previous project similar in size, scope and objectives project knowledge and experience of the individuals on the Project Team
Various areas of the Performing Organization may be required to provide resources to the project in order to complete Project Initiation. The Project Sponsor and Project Manager must determine specific resource requirements and effort estimates, and include them in the charter. The Project Sponsor must communicate with the affected areas of the Performing Organization, proactively gaining agreement and securing the necessary resources.
Once the Project Charter has been developed, the Project Manager should schedule a meeting to review its contents, secure necessary resources, and gain formal approval. Meeting attendees should always include the Project Sponsor and the members of Performing Organization Management whose resources are affected. Attendees may also include other mem- bers of the Performing Organization who are able to provide resources that will add value to the project. During the meeting, the Project Manager presents the Project Charter for review. Resources are formally secured by gaining the signatures of the appropriate Performing Organization managers. At the conclu- sion of the meeting, the Project Sponsor will formally approve or reject the charter. Should the Project Sponsor reject the char- ter, he/ she must provide the reasons for rejection to allow the Project Manager to make necessary adjustments.
Based on the contents of the Project Charter, the Project Manager should have a general understanding of the amount of effort that will be required to complete Project Initiation and produce an initial Project Plan. It is imperative that the Project Manager begins to track the remaining Project Initiation efforts and communicate status. Items to discuss during status meet- ings include accomplishments, progress against schedules, work to be done, and any open issues that need resolution. As part of the Communications Plan for the project, a Project Status Report should be prepared and reviewed during the meet- ings. See 2.4.2, Develop a Communications Plan and Figure 2-10, the Project Status Report template, for more information.
At this early stage in the project management lifecycle, the Project Manager needs to ensure that only Project Initiation resources are secured. Resources required in subse- quent project management lifecycle phases will be determined and documented later, in the Project Plan.
NYS Project Management Guidebook
NYS Project Management Guidebook
Figure 2-4 New York State Project Charter
New York State Project Charter
PROJECT IDENTIFICATION
Project Name: _______________________ Date:________________________________ Project Manager: _____________________ Project Sponsor: _____________________
Enter the Project Name. Enter the current Date. Enter the name of the Project Sponsor. Enter the name of the assigned Project Manager.
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Figure 2-4 (Continued)
PROJECT CHARTER APPROVAL
Project Sponsor Name: ____________________________________________________ Action: Approve: Reject: Comments:
Project Sponsor Signature: _________________________________________________ Date: _________________
Enter the Project Sponsor Name. The Sponsor should indicate approval or rejection of the Project Charter by checking the Approve or Reject box. If the Sponsor is rejecting the charter, he/she must indicate the reason in the Comments field. The Sponsor indicates final acceptance of the Project Charter (including securing individual resources) by providing his/her signature on the Project Sponsor Signature line and the approval date on the Date line.
AGREEMENT TO SECURE REQUIRED RESOURCES
Approver Name: __________________________________ Role: _________________ Approver Comments:
Approver Signature: _______________________________________________________ Date: _________________
Enter the Approver Name and Role. The approver is a member of Performing Organization Management. He/she indicates his/her agreement to provide required resources for the project by providing his/her Approver Signature and the approval Date. NOTE: Duplicate the Approver Information section on this template if more than one approval signature is required.
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2.1.5 Conduct Project Kick-off Meeting
When the Project Charter is complete, the Project Kick-off Meeting is conducted. The Project Kick-off Meeting is the event that formally marks the beginning of the project. It is most like- ly the first opportunity for the Project Sponsor to assemble the entire Project Team to discuss his/her vision of the project, demonstrate support, and advocate project success. Project Team members are introduced to each other and given the opportunity to discuss their areas of expertise and how they will contribute to the project. The Project Charter is presented by the Project Manager and discussed in an open forum, to fos- ter a mutual understanding of and enthusiasm for the project. At the conclusion of the meeting, Project Team members will understand their “next steps,” and will leave the meeting ready and excited to begin work.
Prior to the meeting, an agenda and a presentation highlighting the contents of the Project Charter should be prepared by the Project Manager. The Project Manager should designate one of the Project Team members as the scribe for the session, to cap- ture decisions, issues, and action items. The Project Charter and any applicable supporting materials are distributed to attendees for their review. The review of the charter contents ensures that expectations for the project and its results are in agreement. If not already done, the Project Manager must ensure that the Project Sponsor has provided his/her signature on the Project Charter, indicating his/her approval of the con- tents of the document. If the Project Sponsor does not approve the charter, he/she must indicate the reason, to allow the Project Manager to make necessary adjustments.
Following the session, the notes and action items should be compiled into meeting minutes and distributed to all attendees. (See Figure 2-5 for a sample agenda.)
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Figure 2-5 (Continued)
Project Initiation Kick-off Meeting
Be sure that one of the Project Team members in attendance is scribing for the session, captur- ing important project-specific information that requires further review or discussion as well as potential issues that could impact the project. At the end of the meeting, the Project Manager and Project Team should review these points as well as any other notes captured by other team members to identify any additional actions required. The notes will be compiled into meeting minutes to be distributed to all the attendees and retained in the project repository.
DECISIONS
Decision Made Impact Action Required?
Document each project decision reached and its impact. Also indicate if the decision requires follow-up actions. If so, these should be captured below.
ISSUES
Issue Description Impact Action Required?
Document any project issues identified and its impact. Also indicate if the issue requires follow up actions. If so, these should be captured below.
ACTION ITEMS FOR FOLLOW UP
Action Responsible Target Date
Capture any follow up activities and the individual responsible for them as well as set a date as to when the action needs/should be completed.
At the end of the meeting, the scribe should recap the action items. These should also be included in the meeting notes to be distributed.
Project: ______________________________
Date:________________________________ Time: From: ___________ To: ___________ Location: _____________________________
2.1.6 Establish the Project Repository
Maintaining information about the project in an organized fash- ion facilitates new team member transitions and creates a cen- tral point of reference for those developing project definition documents. Most importantly, it provides an audit trail docu- menting the history and evolution of the project.
All relevant project-related material, documents produced, decisions made, issues raised and correspondence exchanged must be captured for future reference and historical tracking. The project repository can be kept as hard copy in a binder or notebook, or as electronic files and email folders, or both, at the discretion of the Project Manager, in accordance with orga- nizational records management policies. All files related to the project should be grouped by categories within project-specific folders. The structure should be intuitive so that anyone brows- ing the directory can easily locate needed information. Within the primary hard copy repository, information should be organ- ized in indexed volume(s) to enable easy access. An index should provide reference to all material maintained electroni- cally (e.g., a file directory or email folder by drive, directory, and filename). The most current hard copy of documentation should be kept in the primary hard copy repository, with earli- er versions in the electronic file.
By the end of the project, a project repository may include the following materials: Project Proposal and supporting documentation, including the Business Case Project description/definition documents such as the Project Charter, the CSSQ, and the Project Plan Any working documents or informal documents defining Cost, Scope, Schedule and Quality (CSSQ) of the project Project Schedules (baseline and current) Project financials Project Scope changes and requests log Project Status Reports Team member Progress Reports and timesheets Issues log and details (open and resolved)
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2.2 DEFINE CSSQ
Purpose
CSSQ is the acronym derived from a project’s quadruple con- straints: Cost, Scope, Schedule, and Quality. Because the con- straints are interdepend- ent, they are defined and managed together. The CSSQ concept is incorpo- rated throughout all proj- ect management lifecycle phases and is, therefore, documented throughout this Guidebook. The CSSQ work products are first created during Project Initiation.
The purpose of Defining CSSQ is to: Develop a written Project Scope statement to define the project. The scope statement will be used as the foundation for scope and schedule refinement during Project Planning. Establish a preliminary Project Schedule to define, at a very high level, the activities that must be accomplished at certain points in the project in order to deliver the product described in the scope statement. Define the quality processes and standards that will be used throughout the project. Determine the appropriate approaches for staff and materials acquisition, and establish a preliminary budget for the project.
Roles
Project Manager Project Sponsor Project Team Members Customer Representatives Stakeholders Performing Organization Customer Decision-Maker
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NYS Project Management Guidebook
Tasks
2.2.1 Define Project Scope
The written scope statement is a document that serves as input to future project planning efforts. The scope statement (see Figure 2-6) should include: the business need the project will address. what the project will accomplish, how it will be accomplished and by whom. what the end result of the project will be (e.g., a product, service, other). a list of project deliverables, which, when produced and accepted, indicate project completion. Also included is a list of those items/deliverables that are not in scope for the project. The Project Manager must be specific about what is in scope and what is not in scope, as the weaker the boundaries between the two, the more difficult it will be to effect the change control process if required later in the project. Also, the details regarding what is in and what is out of scope are critical input to the creation of a detailed Project Schedule. critical success factors (usually cost, schedule, and quality measurements) that determine whether or not a project was successful.
The Project Charter, including the project outcome description, provides necessary information for defining the Project Scope relative to the business need and benefit for the organization undertaking the project. The scope statement will build on the outcome of the project described in the Project Charter by developing an approach to deliver that result, and by develop- ing additional detailed information about the scope of work to be done. Interviews with other Project Managers who have had experience developing scope statements for similar projects can also be helpful.
The tasks to Define CSSQ are:
2.2.1 Define Project Scope
2.2.2 Develop High-Level Schedule
2.2.3 Identify Quality Standards
2.2.4 Establish Project Budget
