Princeton University (Project Name) Initiation Plan

Created/updated on: (Date) Printed on: October 22, 2013 Prepared by: (Princeton Affiliate)

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Contents
Executive Summary........................................................................................................ 1 Goals and Objectives...................................................................................................... 2 Specific Objectives.......................................................................... 2 Success Criteria................................................................................2 Key Deliverables..............................................................................................................4 Assumptions.................................................................................................................... 4 Project Scope...................................................................................................................5 Functional Scope..............................................................................5 Data Scope....................................................................................... 6 Project Deliverables......................................................................... 6 Project Interdependencies................................................................ 7 System Scope................................................................................... 7 Technology Scope............................................................................8 Organizational Scope....................................................................... 9 Stakeholders.................................................................................................................. 10 Benefits and Costs ....................................................................................................... 11 Benefits ......................................................................................... 11 Costs...............................................................................................12 Project Governance and Resourcing.......................................................................... 13 Project Governance........................................................................13 Project Resourcing......................................................................... 14 Current Resources..............................................................14 Resource Needs..................................................................14 Management Approaches.............................................................................................16 Development Approach................................................................. 16 Issues Management .......................................................................17 Change Management .................................................................... 18 Risk Management.......................................................................... 19

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Reporting........................................................................................19 Internal Controls............................................................................ 20 Risk Plan.........................................................................................................................21 Time Frames and Constraints......................................................................................22

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Executive Summary
Introduce the project by giving an overview of the project with a brief background as to how it came about. Focus on business imperatives and linkages to broader strategies. This section may be as short as one paragraph or as long as two pages. Remember that this section may be as far as many readers will go. Be conciseget the message across.

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Goals and Objectives

The overall goal of this project isEncapsulate the purpose of this project in a single sentence.

Specific Objectives
Use a table similar to the following to concisely define the project objectives. Where appropriate, make sure the objectives define: A measurean indication of what is to be delivered; A levelhow much is to be delivered; Time framewhen its to be delivered.
Table 1: Project Objectives

Objective

Description

1.

Name the objective

Give a brief description of this objective, defining the attributes (as above).

Success Criteria
Explain how you will know that the overall project was a success, and then use the table below to specify what measurements you will use to determine whether or not the individual objectives were met. You should be able to link the success criteria to each objective.
Table 2: Success Criteria

Objective

SuccessCriteria

1.

Name the objective

Give a brief description of the measurements you will use to determine whether the objective has been met.

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Key Deliverables
Where appropriate, link deliverables to objectives:
Table 3: Key Deliverables

Objective

Deliverable

1.

Name the objective

Describe the deliverables associated with this objective

Assumptions
State all base assumptions used to produce this plan, in particular, assumptions about scope, time frame, deliverables, resources, and costs.

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Project Scope
The scope of the project may be defined by listing project interdependencies, and by showing which deliverables, systems, and technologies are within or outside of scope.

Functional Scope
The functional scope defines the business functions and processes which are to be defined or supported by this project. You can define the functions within the scope of the project by using the following table or a functional decomposition diagram (an example is shown below the table).
Table 4: Functional Scope

IN Scope

NOT IN Scope

Uncertain

Market Analysis Functions

Define New Markets

Modify Market Profiles

Define Analysis Requirements

Specify Market Origins

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Figure 1: Functional Scope Diagram (Functional Decomposition)

Data Scope
Define the data boundaries of the project, in the form of a high-level business object model or data model. Figure 2 shows a sample of a high-level business object model.

Department

Employee

Salary

Pay Period

Paycheck

Deduction

Deduction Type

Figure 2: High-Level Business Object Model

Project Deliverables
Define the deliverables (products and services) within the scope of this project. These products and services are viewed from the clients perspective.
Table 5: ScopeProject Deliverables

IN Scope

NOT IN Scope

Uncertain

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Project Interdependencies
The project boundaries are defined by the projects which are interdependent with this project. Use the following table as a guide:
Table 6: ScopeProject Interdependencies

Project
List each project which is interdependent with this project

InterdependencyType
Interdependency Types can be: Resources Objectives Technology Implementation Training

System Scope
Define the systems within scope of this project, either as components of any application(s) to be delivered, or as interfacing to this application. You may use either a table showing what is within and what is outside of scope, or a Context Diagram, which shows the relationship of the components & interfacesinput, output, or both (an example is shown below the table).
Table 7: System Scope

IN Scope

NOT IN Scope

Uncertain

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General Ledger HR

IRS Payroll

Payroll Generation Benefits

Components

System Interface

Figure 3: Context Diagram

Technology Scope
Technology Scope describes the components of technology (software, hardware, architectures, networks and communications) which are to be considered within the scope of (that is, available to) this project.
Table 8: ScopeTechnology

IN Scope

NOT IN Scope

Uncertain

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Organizational Scope
Define all organizational units considered in any way to be involved in this project. If appropriate, use an organization chart, like the one in Figure 3. Managing Director

Dianne Summers

Exec V-P IT&T

Ted Tech

Exec V-P Support Services

Anne Smith

Exec V-P Business Organization

Ron Bowman

Exec V-P Service Delivery

Alan Rogers

In Scope Not in scope V-P CMD

Eric Hardman

V-P Sales & Marketing

Sally Owens

V-P Product Management

Phil Smart

Figure 4: Organizational Units Within Scope

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Stakeholders
Stakeholders are all those groups, units, individuals or organisations, internal or external to our organisation, which are impacted by, or can impact, the outcomes of this project. Key Stakeholders is a subset of Stakeholders who, if their support were to be withdrawn, would cause the project to fail. Stakeholders are defined by Stakeholder Type:
Project Governance Technology Groups Other Internal Groups User Groups Consultant Partners Other External Groups Interdependent Projects Internal Auditors Vendors Project Teams

Complete the following table for each identified stakeholder. This is where you set the expectations for the stakeholders, define their roles, establish individual accountabilities, and gain agreement on those accountabilities. This activity is critical to the successful initiation and implementation of the project.
Table 9: Stakeholder Table

Project Role Project role such as Sponsor

Organization Role Role within the organisation (such as head of ISD)

Represented By Name the person

Accountabilities Brief description of responsibilities to the project.

Involvement Estimate of how much time will be required to carry out the duties.

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Benefits and Costs

Benefits
Link benefits to objectives. Define the benefit class and size and time of the benefit (if this is known).
Table 10 : Benefits & Objectives

Objective

Benefits

Benefit Class

Benefit measure

1.

Name the objective

Brief description of the benefit to be delivered.

(see below)

Give a ball-park size to this benefit.

Benefit Class: Benefits can be categorised as one of the following:

Increase in revenue Avoid cost increases Legislative / regulatory mandated Avoid revenue loss. Improve service (internal client / user). Meet competition / protect market share. Reduce costs. Improve service (external client / user).

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Costs
Significant damage can be unleashed on the project at this point by giving unsubstantiated cost estimates. Complete the following spreadsheet based on whatever is known at this point.

Project Cost / Benefit Worksheet

Year 1 Project Costs Salaries Technical Staff Functional Staff General Office Expense Consulting Travel Hardware Purchase Maintenance Software Purchase Maintenance Training Technical University Project Savings Cost Reduction Year 2 Year 3 Year 4 Year 5 TOTAL

Revenue Enhancement

Other Opportunities

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Project Governance and Resourcing

Project Governance
Define the management organization for this project, and identify sub-projects.
P2K Project (name) Project Governance Model
P2K Project SteeringCommittee Ray Clark Executive Sponsor

Project Manager Team Nancy Costa, Coordinator

Lee Varian, Director Systems & Network Support

Dave Koehler Director, DMS

Project Sponsor (Name) Title

Rich Pickett Director, DA

P2K Team (Name) Team Leader (Name) DMS Technical Project Leader (Name)

Systems & Network Team (Names)

DMS Technical Team (Names)

Business Team (Names)

DA Support Team (Names)

Project Office Nancy Costa, Hetty Baiz

SPL Colin Michaelis Consultation

Figure 5: Governance Model

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Project Resourcing
Current Resources
Define the make-up of the project at the moment.
Table 11: Current Resources

Project Role

Who

Frequency

Commencing

Finishing
Mar 98

Resourced From

Project Manager

J Biege

Full-time

Jan 98

ISD

Resource Needs
In many cases the make-up of each team would not be decided. Considering resourcing is always a risk on projects, identifying the resource needs and the likelihood of meeting those needs should be defined.

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Table 12: Resource Needs

Project Role

Number Reqd

Frequency

Commencing

Cost Rate
$750 / day

Resourced From

Meet Needs?

Business analysts

Full-time

Jan 98

Contract

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Management Approaches
The new PPMM will be applied as the controlling approach to implementing this project, specifically, planning, tracking, reporting, and reviewing the project. The following sections define the standard approaches. Please describe any exceptions, and explain the reasons for them.

Development Approach
The standard approaches for technical projects at Princeton are documented in the Princeton Development Methodology, which is accessible from the DMS Home Page. Currently, there are four routes defined. Select the appropriate one for your project: Building a Large System Building a Small System Purchasing a Package Purchasing a Small Package If the project is to be staged, list the key deliverables for each stage. If the project is exempted from any phases in the selected route, indicate which phases will be bypassed and provide the reason given for the exemption. If the project does not follow an established route map from the Princeton methodology, show the overall approach in a process diagram, like the sample shown below, and then list the phases, their major activities, and key deliverables in the following table.

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Option 1 Modify FINMAP

Option 2 Business Needs Analysis Evaluation Selection Custom Development

Option 3 Business Case Modify FIMAP

Custom Development

Fi gure 6: Process Diagram Table 13: Deliverables by Phase

Phase

Major Activity

Key Deliverable

Issues Management
Issues will be managed as follows: 1. An issue is registered in the Issue Log by any team member or stakeholder, and quantify the impact, categorize the issue, and attempt to identify an issue resolution owner. 2. When the issue has been registered, the issue owner initiates a planning process to develop an action plan to resolve the issue. Stakeholders are included in this process. The action plan identifies critical milestones, including escalation points. 3. When the action plan is underway, issue reviews are included in the weekly project tracking meetings. Particular attention must be paid to a change of status or a need to escalate the issue. The project manager, sponsor, and steering committee will review all critical or high priority issues once a week to ensure that action is being taken. 4. Every two weeks, the project manager will analyze the issues in the log and include this statistical analysis (such as the resolution trend of critical issues) in the project Status Report.

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5. When an issue is resolved, merged with another issue, or withdrawn, the issue log is updated and all stakeholders are informed. For more information on the PPMM approach to issues management, see the PPMM Handbook.

Change Management
Change is expected to occur during the life of any project, but that change must be controlled if the project is to succeed. This project will use the following change management procedures: 1. Build a 30% change fund into all project phase estimates. This represents the total change that can be accommodated during the project. After this fund is depleted, any further changes will impact the project scope, time line, or resources. 2. Log change requests in the Change Log, which is an Access database (available from the PPO. Once logged, a team representative must authorize the assessment of the change. 3. The project team assesses the impact of the change, and produces an Impact Analysis Statement that defines the scope of the change and its effect. 4. The project team considers the possible courses of action, and identifies the preferred course. 5. Senior management negotiates and approves the change resolution. There are three possible actions: approve the change, reject the change, or defer the change. 6. The project manager updates the Change Log and the Project Plan, if necessary. Work done to complete the change is charged to the change fund. 7. The project manager reports on the status of the change fund, and trends in the Change Log in the regular project Status Report. For more information on the PPMM approach to change management, see the PPMM Handbook.

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Risk Management
Risks will be assessed and managed according to the practices set forth by the Princeton Project Office. In short: During Initiation, stakeholders will be informed of the risk management process and its benefits and will agree to follow the process. Broad risk areas will be defined during start-up. In the Definition phase, a detailed risk plan will be developed, including the identification and assessment of risks and the planning of strategies to minimize or avoid the risks. Throughout the remaining phases of the project, the risk plan will be monitored on a regular basis, reported on weekly or biweekly, and updated as required. When the project is complete, the risks and strategies will be analyzed to evaluate the success of the risk management plan.

For more information on the PPMM approach to risk management, see the PPMM Handbook.

Reporting
Each team determines who should receive their status reports and attend status review meetings, based on the stakeholder table (on page 10). Status reports will be distributed on a regular schedule determined by the project team, within the range of two to four weeks, with larger projects requiring the more frequent distribution. A template, available from the PPO, should be used for status reports. Status review meetings will also be held on a regular schedule, but will be kept brief.

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Internal Controls
Each project will be assigned a Princeton University internal auditor as part of the project team. In a consultative role, the auditor will focus on the system's internal controls and interfaces (primarily financial in nature), security, and recovery. The project manager will provide a system/project overview to the auditor and together they will agree on specific areas of focus.

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Risk Plan
The following risks have been identified, and the accompanying strategies have been adopted to control them:
Risk Factor Impact on Project Prob Sev Risk Risk Plan (Strategy) Rating Resp. In Place By

Precise modifications to the FINMAP package may not be available

If the changes specified by the vendor are not correct, then significant time could be lost reanalysing required changes.

Request all documentation from vendor ASAP. Review quality of current specifications and make judgement on whether necessary quality is present.

PM

end August 98

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Time Frames and Constraints

Give an indication as the time frames especially time constraints - for this project. Be careful not to give the impression that commitments are being made for time frames which cannot be guaranteed at this point. Specify any externally set time constraints. Clarify any assumptions used in creating the high-level Gantt chart that follows. Give a broad indication of time frames both in table format and by showing a high-level Gantt Chart.
Table 14 : Time Frames & Constraints

Milestone

Constraint

Time Frame

Complete Business Requirements Analysis Complete Design

Before Not before

End 1Q98 End 1Q98

Attach the MS Project gantt chart at the end of this document. Since time frames will be indicative at this point, show the way milestones may well move by dotted boxes.

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