The New York State Project Management Guidebook,

LIST OF FIGURESSECTION I: PROJECT MANAGEMENT LIFECYCLE1Introduction0-1Project Management Lifecycle – Overall Chart of All Phases50-2Small Project Organizational Chart100-3Medium Project Organizational Chart120-4Large Project Organizational Chart170-5NYS Project Management Guidebook Templates18Project Origination1-1Lifecycle – 1 Origination221-2Table of Project Origination Tasks231-3New York State Project Business Case261-4New York State Proposed Solution291-5Sample Project Rating Matrix341-6Sample Pairwise Comparison361-7New York State Proposal Decision Notice401-8End-of-Phase Checklist (Origination)421-9Measurements of Success Table (Origination)441-10 Phase Risks Table (Origination)45Project Initiation2-1Lifecycle – 2 Initiation532-2Table of Project Initiation Tasks552-3Evolution of Initiation Phase Deliverables562-4New York State Project Charter612-5Project Initiation Kick-off Meeting Agenda652-6New York State Project Scope Statement722-6A Work Breakdown Structure for SDLC752-7New York State Project Schedule Worksheet772-8New York State Project Quality Management Plan812-9New York State Preliminary Budget Estimate872-10 New York State Project Status Report95xi

xiiList of FiguresNYS Project Management Guidebook2-11 New York State Project Communications Plan992-12 New York State Project Plan1042-13 New York State Project Deliverable Approval Form1102-14 End-of-Phase Checklist (Initiation)1132-15 Measurements of Success Table (Initiation)1162-16 Phase Risks Table (Initiation)117Project Planning3-1Lifecycle – 3 Planning1293-2Table of Project Planning Tasks1313-3Project Planning Kick-off Meeting Agenda1353-4New York State Project Budget1463-5New York State Project Risk Management Worksheet1503-6New York State Project Change Request1583-7New York State Organizational Change Management Plan1683-8New York State Project Team Training Plan1743-9New York State Project Implementation and Transition Plan1793-10 End-of-Phase Checklist (Planning)1853-11 Measurements of Success Table (Planning)1883-12 Phase Risks Table (Planning)189Project Execution & Control4-1Lifecycle – 4 Execution and Control2014-2Table of Project Execution and Control Tasks2034-3Project Execution and Control Kick-off Meeting Agenda2074-4New York State Progress Report2134-5Quality Table2154-6New York State Project Acceptance Form2504-7End-of-Phase Checklist (Execution and Control)2514-8Measurements of Success Table (Execution and Control)2554-9Phase Risks Table (Execution and Control)256Project Closeout5-1Lifecycle – 5 Project Closeout2665-2Table of Project Closeout Tasks2675-3New York State Project Post-Implementation Survey270

List of FiguresxiiiNYS Project Management Guidebook5-4New York State Project Post-Implementation Report2805-5New York State Project Repository Table of Contents2885-6End-of-Phase Checklist (Project Closeout)2895-7Measurements of Success Table (Project Closeout)2915-8Phase Risks Table (Project Closeout)292SECTION II: PROJECT MANAGEMENT TOPICS1Project Triage1-1Table of Project Triage Processes and Deliverables61-2Sample Triage Interview Agenda91-3Project Triage Action Plan Table121-4Table of Prioritized Recommendations141-5Measurements of Success (Project Triage)171-5Triage Questionnaire18IT Project Capability (CMM)5-1Capability Maturity ModelSECTION III: SYSTEM DEVELOPMENT LIFE CYCLE LINE OF BUSINESS621Introduction0-1System Development Life Cycle50-2Mapping Project Management and SystemDevelopment Lifecycles60-3Representative SDLC Considerations100-4System Development Life Cycle Templates14System Initiation1-1System Initiation Overview161-2System Initiation List of Deliverables and Outcomes171-3System Initiation Considerations211-4Measurements of Success (System Initiation)25System Requirements Analysis2-1System Requirements Overview332-2System Requirements Analysis List ofDeliverables and Outcomes35

xivList of FiguresNYS Project Management Guidebook2-3SDLC Requirements Descriptions402-4System Requirements Analysis Considerations412-5Business Requirements Document452-6Impact of Change on Project Costs542-7Functional Specification Template592-8Measurements of Success (System Requirements Analysis)63System Design3-1System Design Overview733-2System Design List of Deliverables and Outcomes753-3Technical Architecture Template813-4System Standards Template873-5System Design Considerations993-6Typical Testing Patterns1063-7Technical Specifications Template1093-8Measurements of Success (System Design)120System Construction4-1System Construction Overview1314-2System Construction List of Deliverables and Outcomes1334-3System Construction Considerations1404-4Defect Log Template1454-5Measurements of Success (System Construction)150System Acceptance5-1System Acceptance Overview1595-2System Acceptance List of Deliverables and Outcomes1615-3System Acceptance Considerations1695-4Measurements of Success (System Acceptance)171System Implementation6-1System Implementation Overview1796-2System Implementation List of Deliverbles and Outcomes1806-3System Implementation Considerations1866-4Measurements of Success (System Implementation)188

PREFACEThe New York State Project Management Guidebook wasdeveloped to document a common methodology for managingprojects in New York State government organizations and toprovide guidance and advice to Project Managers throughoutthe life of a project.In January of 2001, James Natoli, Director of State Operations,announced the creation of a statewide Project ManagementOffice (PMO) within the Office for Technology. The PMO mission: to increase project management competence and fostersustained success for projects carried out by New York State.The top priority of the newly created PMO was, and is, thedevelopment of a common project management methodologyfor use by Project Managers across the state.A common methodology encourages individual Project Managers across the state to approach each project endeavor withthe same discipline and tools. Since the methodology is common to all business areas and across all agencies, state ProjectManagers moving to new opportunities within and among stateagencies will have virtually no learning curve for project management. Roles and expectations are clearly defined for ProjectTeam members, Project Sponsors, and Customers, regardlessof the type of project (IT projects, software development projects, engineering projects, business process improvement projects, etc.). All project participants receive the same information regarding deliverables and activities throughout the project. This streamlines project execution, since participants willnot need continual direction and education regarding the project process.The New York State Project Management Methodology also provides a standard for agency staff to use when contracting withprivate vendors. The state can now provide the methodology forits contractors, rather than requiring New York State staff toadjust to the different performance standards of each firm withwhom they contract. Again, utilizing one common frameworkwithin which all New York State projects can be carried outimproves the state’s ability to complete the projects successfully.xv

xviPrefaceNYS Project Management GuidebookAcknowledgementsUnder the direction of the New York State PMO, a team of experienced Project Managers developed the New York StateProject Management Guidebook collaboratively. The team,made up of state Project Managers and Project Managers fromKeane, Inc., collected and analyzed best practices from NewYork State agencies as well as practices from the Keane Guideto Project Management . Generally accepted principles of project management were refined and incorporated into a projectlifecycle consistent with New York State policies and practices.At all times, the team worked to align the methodology developed for New York State with the Project ManagementInstitute’s (PMI ) Guide to the Project Management Body ofKnowledge (PMBOK ), the recognized ANSI standard.A committee of eighteen agencies, consisting of IT Directors,Project Officers, and Project Managers, participated in theguidance, review, and critique of the methodology over a ninemonth development period, resolving issues ranging from theprocesses to include in the methodology to the selection ofappropriate templates and report formats. They providedinsight and guidance on the methodology development and itspresentation within this Guidebook.Since its initial publication in September of 2001, theGuidebook content and direction have been guided by aGuidebook Guidance Committee. This committee is a volunteereffort, with members from New York State agencies, boards,and commissions who meet at least twice yearly to review suggestions and plans for changes to the Guidebook.The New York State Office for Technology acknowledges thecontributions, time commitments, and ongoing support of thefollowing individuals, and their agencies, to the developmentand ongoing support of the New York State Project Management Guidebook.

PrefacexviiNYS Project Management GuidebookProject Director and EditorNancy MulhollandDirector, New York State Project Management OfficeContributing Project ManagersKeane, Inc.Jonathan BlakeJack BradyJoann DunhamTeresa GillooleySteve LawlorLori SnowNew York State PMONew York State OFTBrenda Breslin, PMPVivian BrunnerRon PiracciTerry RemillardSteve BaumWorker’s Compensation BoardTom SchofieldTom WegenerTechnical WriterJanet Lindner, Keane, Inc.Document DesignerJudi Orozco, TDB Publishing ServicesGuidebook Guidance CommitteeNameDennis GaigeNancy GuttermanCelia HamblinKirk SchanzenbachGary SpielmannOrganizationDepartment of State PoliceOffice of Mental HealthDepartment of TransportationOffice of the State ComptrollerOffice of Mental HealthBest Practices Contributors and Guidebook Review CommitteeNameLinnea Andersson-WintleBill BaileyLynn BaconDennis BlackmanMichael BlossMichael ButtinoLinda CardonaFrank DeSanteMichael DonovanBarbara DraissDiane DunleavyPaula DwyerOrganizationDepartment of Civil ServiceHigher Education Services CorpDivision of State PoliceDormitory AuthorityDepartment of LaborHigher Education Services Corp.Department of TransportationState Education DepartmentDepartment of State PoliceOffice of General ServicesOffice of Mental HealthDepartment of Motor Vehicles

xviiiPrefaceNYS Project Management GuidebookNameFrancis FabianJoseph Fitzgerald, PMPTracy FloodsDan ForoTerry FrielloRoger HerzhauserLynn HumistonTim JaquesRichard E. KellyBob LemmermanPeter LevyWendy MarinoRobert MastroJohn MeyerhofferAndy NazzaroRobert PennacchiaGene PezdekPam PryzbloDiane ReinerJoanne RiddettThea RosenbergJoel SchensulGinny ScholzLori SchulzRobert SempJames ShaversLinda SmithBarry SolomonTracy StockMarianna Stout, PMPJaney TrowbridgeNancy Van WinkleRichard VeldmanKaren VergoniSteve WatsonJonathan WeinsteinEileen WierbowskiMark WhiteOrganizationState Education DepartmentState Education Department, LRICOffice of Mental HealthDivision of Criminal Justice ServicesDormitory AuthorityOffice of the State ComptrollerState Education DepartmentCanal Bridge Consulting, Inc.Division of Housing & Community RenewalDepartment of Motor VehiclesDepartment of Motor VehiclesDepartment of Tax and FinanceOffice of Temporary Disability AssistanceState Education DepartmentDepartment of TransportationDepartment of HealthDepartment of Environmental ConservationDepartment of TransportationDepartment of Environmental ConservationThruway AuthorityDepartment of Motor VehiclesDepartment of Tax and FinanceDepartment of Motor VehiclesDormitory AuthorityKeane, Inc.Department of TransportationDepartment of Motor VehiclesThruway AuthorityDivision of Housing & Community RenewalHigher Educational Services CorporationCanal Bridge Consulting, Inc.Keane, Inc.Office of General ServicesOffice of Children and Family ServicesCanal Bridge Consulting, Inc.Canal Bridge Consulting, Inc.State Education DepartmentDivision of Housing & Community Renewal

PrefacexixNYS Project Management GuidebookStructure of the GuidebookSection I, Project Lifecycle, provides a description of theproject lifecycle. It is intended to guide a Project Managerthrough the complete life of a project, from the first formal documentation of the project’s concept to its formal termination,detailing the phases of the project lifecycle, the specificprocesses to be performed within each phase, and defining thetasks that comprise each process. Specific templates are provided to supplement the tasks and processes, including meeting agendas, deliverable templates, checklists, and forms. Tipsand techniques for successfully performing the tasks/processesare offered, as are answers to “frequently asked questions”. Atthe end of each phase, common pitfalls faced by ProjectManagers are described, along with solutions that could beused to successfully deal with those challenges. The hope isthat a Project Manager will find useful direction for what to do,when to do it, and how to do it, no matter what stage of the lifecycle his/her project may be in.Section II, Project Management Topics, provides in-depthadvice and direction on selected topics of importance to NewYork State Project Managers. It is anticipated that this sectionof the Guidebook will grow as the state’s Project Managerscontribute advice on additional topics of common interest. Thissection is a repository for shared lessons learned from theexperience and expertise of the state’s Project Managers.Section III, System Development Lifecycle (SDLC), providesa description of the standard phases and major processes of ageneric system development lifecycle. It is intended to guide aProject Manager through the effort of developing a computersystem, describing specific system development processes andaligning them with the project management lifecycle. Structuredsimilarly to Secion I, this section also provides specific templates to illustrate format of deliverables and supplement theprocesses described, including meeting agendas, checklists, andforms. Tips and techniques for successfully performing the SDLCprocesses are offered throughout the text, supplemented by common pitfalls and answers to “frequently asked questions”. Whilenot trying to anticipate every task that may be required by various technology platforms and development techniques, the hopeis that a Project Manager will find useful information for how to

xxPrefaceNYS Project Management Guidebookdirect the project team, what to expect from them at every development checkpoint, and how to interact with other parties interested in the system being developed.It is expected that other Line of Business Lifecycles will beadded to future editions of the Guidebook.Appendices provides a glossary of the project managementand system development terms used throughout the text, arepository of all templates used throughout the Guidebook(without the annotations, instructions, and field descriptions),and a list of resources used in the compilation of this document, which may be of use to Project Managers as they seek tofurther their education and skills in project management.How to Use this GuidebookThe New York State Project Management Guidebook isintended to be both a “what to do” and a “how to do it” guidefor New York State Project Managers. While at first it mayappear intimidating, remember that in many cases theGuidebook is merely formalizing, in process documentation,what is already a fairly standard and generally accepted technique. The value of documenting and standardizing theseprocesses is that it frees the Project Manager from having todefine a process to fit a particular situation and/or event occurring during his/her particular project. Instead, standards arealready there for the Project Manager to use to manage eachprocess while continuing to focus on key project activities.Most processes and deliverables are required for all projects,although in smaller projects they may require less formality anda lower level of effort. The End-of-Phase Checklists can be usedto ensure that every process defined has been considered, necessary tasks addressed, and required deliverables produced. Ifrecommended tasks or deliverables are skipped, make sure toidentify and record why the particular task/deliverable has notbeen completed and how the objectives of that task/deliverablewill otherwise be met.

PrefacexxiNYS Project Management GuidebookThe compass iconindicates a tip from an experiencedProject Manager, while the life preserver iconmarksadvice intended to save the project from pitfalls.The templates included in the text contain instructions andcomments facilitating their use. The same templates can befound in the Appendices, without annotation. These can be photocopied or downloaded from the OFT website http://www.oft.state.ny.us/ for use and customization for your project. Forquick reference, a Table of Templates has been provided in theIntroductions to both Section I and in Section III that lists eachtemplate, its purpose, and page number references to quicklylocate the template either within the text of the Guidebook orin the Appendices.Finally, use this Guidebook as a tool to help you manage theproject. Don’t let the process or the project manage you!

PrefacexxiiiNYS Project Management GuidebookNew York State Project Management GuidebookRelease 2.0REGISTRATION FORM(Use this form to register your Guidebook with the NYS Office for Technology and receive updates)Name:Agency:Address:E-mail Address:Daytime Phone:Fax:Please complete this form and return it to:(United States Postal Service Regular Mail Address)NYS Office for TechnologyProject Management OfficeState Capitol ESP, PO Box 2062Albany, NY 12220-0062(Parcel Post/Overnight and Interagency Mail Address)NYS Office for TechnologyProject Management OfficeEmpire State PlazaSwan St., Core 4, 1st FloorAlbany, NY 12223Fax: (518)-486-1122

PrefacexxvNYS Project Management GuidebookNew York State Project Management GuidebookRelease 2.0CHANGE REQUEST FORM(Please Use a Separate Form for Each Requested Change)Submitter Name: Agency:Address:E-mail Address:Daytime Phone: Fax:[1] Please check one of the following: CHANGE COMMENTOTHER (briefly explain):[2] Page Number and Paragraph (as it appears in the Guidebook):[3] Original Text (please attach a copy of the original text here):[4] Recommended Text (modify the original text to satisfy your concern here):[5] Provide a detailed reason for requested change:Please complete this form and return it to:(United States Postal Service Regular Mail Address)NYS Office for TechnologyProject Management OfficeState Capitol ESP, PO Box 2062Albany, NY 12220-0062(Parcel Post/Overnight and Interagency Mail Address)NYS Office for TechnologyProject Management OfficeEmpire State PlazaSwan St., Core 4, 1st FloorAlbany, NY 12223Fax: (518)-486-1122FOR PROJECT TEAM USE ONLY(Record of Decision and Response Form to Submitter)ACCEPTED: INITIAL: DATE:NOT ACCEPT

3-5 New York State Project Risk Management Worksheet 150 3-6 New York State Project Change Request 158 3-7 New York State Organizational Change Management Plan 168 3-8 New York State Project Team Training Plan 174 3-9 New York State Project Implementation and Trans