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National Energy Technology Laboratory (NETL)

Chief Information Officer (CIO)

ADMINISTRATIVE POLICY

Project Management Control Number: NETL-CIO-10-01

CIO: Mark Cerullo Effective Date: TBD

Project Management Policy Revision: 8/13/2010 (Draft) Prepared by: Michael McCormick, MPCS

1.0 Introduction: Project Management is the overarching discipline used by NETL for the acquisition, and maintenance of enterprise and software intensive systems covering the full range of life cycle activities from initiation to closeout. Due to the unique characteristics that distinguish the NETL enterprise Information Technology (IT) projects, existing Information Technology standards and practices have not always provided sufficient guidance and direction. NETL Best Practices will be established to addresses project needs by providing a resource for policies, standards, guidance, and industry best practices.

2.0 Purpose: The Chief Information Officer (CIO) requires all NETL enterprise IT Projects to apply efficient, effective, and repeatable standards and processes that will enabled the NETL to successfully implement and continuously improve its IT Projects and Return on Investment (ROI).

3.0 Policy: It is the policy of the CIO to follow, adhere to, and implement proven project management best practices in accordance with the Federal Enterprise Architecture (FEA) framework, DOE-OCIO Policies, Institute of Electronics and Electrical Engineers (IEEE) standards, the NETL Chief Information Officer (CIO), Enterprise Project Management Office (EPMO) Project Life Cycle Framework (PLCF), and the Project Management Institute (PMI) Project Management Body of Knowledge (PMBOK) methodology. IT Project Managers shall comply with the requirements and procedures referenced in this policy document and described in CIO procedures for project management.

4.0 Procedures: This policy shall be supported by six individual procedures which shall supplement and directly reference this policy, and which shall provide direction to NETL personnel on the specific authorized means for achieving the goals and objectives of this Policy. The supporting procedures include: NETL-CIO-10-02 Best Practices, NETL-CIO-10-03 Project Initiation Procedure, NETL-CIO-10-04 Project Planning Procedure, NETL-CIO-10-05 Project Execution Procedure, NETL-CIO-10-06 Project Monitoring & Control, and NETL-CIO-10-07 Project Closeout Procedure and for Enterprise Architecture will include NETL-CIO-10-08.

Approval: NETL – Chief Information Officer




Adoption of the CIO Best Practices Control Number: NETL-CIO-10-02


NETL – CIO Best Practices Policy Revision: 8/13/2010 (Draft)

Prepared by: Michael McCormick, MPCS

1.0 Introduction:

Due to the unique characteristics that distinguish the NETL enterprise Information Technology (IT) projects, existing Information Technology standards and practices have not always provided sufficient guidance and direction. Using applicable industry standards, Federal and DOE guidelines and regulations, as well as other organizational best practices, the CIO Best Practices will address project needs by providing a resource for policies, standards, guidance, and industry best practices.

2.0 Purpose:

The purpose of this policy is to reaffirm the Chief Information Officer (CIO) ongoing commitment to process improvement by adopting the CIO Best Practices and best practices for enterprise IT Projects managed by NETL.

3.0 Policy:

3.1 Adherence to the guidance provided by the CIO Best Practices is mandatory unless otherwise stated and shall apply to all NETL enterprise IT Projects. IT Projects shall ensure compliance with this policy at the start of a new life cycle phase. IT Projects that are in the middle of the life cycle process (at the effective date of this policy) are required to demonstrate due diligence to comply with this policy to the degree that it does not jeopardize their ability to satisfy prior project commitments.

3.2 IT Projects shall be responsible to be in compliance with new policies and standards as they are added to the CIO Best Practices. IT Projects that are in the midst of their project life cycle should confer with the Enterprise Project Management Office (EPMO) to determine how they will make the transition to policy compliance.




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Project Initiation Procedure Control Number: NETL-CIO-10-03


EPMO Project Initiation Procedure Page 1 Revision: 8/13/2010 (Draft) Prepared by: Michael McCormick, MPCS

1.0 Purpose:

In support of CIO Project Management Policy #NETL-CIO-10-01, this Enterprise Project Management Office (EPMO) procedure establishes the process by which NETL enterprise Information Technology (IT) projects are initiated. The initiation process begins with Project Description Statement and ends with conducting the Initiation Phase review meeting.

2.0 Definitions and References:

2.1 Chief Information Officer (CIO): The NETL CIO provides enterprise Information Technology (IT) project management oversight for the National Energy Technology Laboratory. The CIO also provides standards, guidelines, policies and procedures for the efficient, effective and successful initiation, planning, execution and closure of all IT projects.

2.2 Enterprise Architecture (EA): Enterprise Architecture (EA) provides a strategic planning framework that relates and aligns information technology (IT) with the business functions that it supports. NETL’s Enterprise Architecture is a collaborative endeavor across the agency that has been undertaken to assure that the organization will receive the greatest possible value from investments in information technology.

2.3 Enterprise Project Management Office (EPMO): Provide overall leadership for the planning, organization, and execution of the NETL Enterprise Project Management Office (EPMO). Develop and implement internal processes, procedures, tools and Best Practices for IT Project Management to support the delivery of solutions. Monitor and support the adoption of IT Project Management Standards, Tools, Processes and Best Practices, promote consistency throughout the entire Project Life Cycle.

2.4 Project Life Cycle Framework (PLCF): The Project Life Cycle Framework leverages Project Management as the overarching process which coordinates the underlying life cycle processes of project funding approval, acquisition and system development. At various stages in the project life cycle, each of the underlying processes may occur and overlap with each other based on a variety of factors including control agency requirements.

2.5 Project Management Life Cycle (PMLC): The Project Management Life Cycle (PMLC) is the overarching discipline used by the industry for the acquisition, and maintenance of software intensive systems covering the full range of life cycle activities from initiation to closeout.



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2.5.1 Project Description Statement: A brief statement summarizing the purpose, approach, necessary resources, risks, and impacts of a proposed project/initiative. Executive management uses the Description statement to determine if the proposed project/initiative can be successful based on current resource availability, skill sets and timelines. If approved, the Description statement is to perform the Project Analysis (Develop - Project Analysis, Study - Technical Feasibility, Analyze - Economic Feasibility and Compare - Project Analysis Document) and then incorporated into the Project Charter.

2.5.2 Project Charter: A formal document that describes the purpose, expected outcomes, and high-level milestones and approach to the project. The charter is used to confirm expectations with the project sponsor and stakeholders, and to formally authorize the project.

2.6 Other References:

2.6.1 Federal Enterprise Architecture (FEA) framework. 2.6.2 DOE – OCIO Policies and Guidelines 2.6.3 Institute of Electronics and Electrical Engineers (IEEE) standards 2.6.4 Project Management Body of Knowledge (PMBOK) Forth

Edition, Project Management Institute (PMI)

3.0 Role and Responsibilities:

3.1 Project Sponsor: The Project Sponsor is responsible for advocating for the project at the executive level and with control agencies and stakeholders. The Project Sponsor is responsible for approving the project charter, assigning the Project Manager, and authorizing the project to proceed to the planning phase.

3.2 Chief Information Officer (CIO): The CIO provides enterprise Information Technology (IT) project management services for the National Energy Technology Laboratory. The CIO, Enterprise Architect (EA) and Enterprise Project Management Office (EPMO) will provide standards, guidelines, policies and procedures for the efficient, effective and successful initiation, planning, execution and closure of all IT projects.



EPMO PROCEDURE




3.2 Enterprise Architect: Enterprise Architects works with the CIO, EPMO, stakeholders, both leadership and subject matter experts, to build a holistic view of the organization's strategy, processes, information, and information technology assets. The role of the Enterprise Architect is to take this knowledge and ensure that the business and IT are in alignment. The enterprise architect links the business mission, strategy, and processes of an organization to its IT strategy, and documents this using multiple architectural models or views that show how the current and future needs of an organization will be met in an efficient, sustainable, agile, and adaptable manner.

3.3 Enterprise Project Management Office (EPMO): The EPMO Lead will provide overall leadership for the planning, organization, and execution of IT Project Management. Develop and implement internal processes, procedures, tools and Best Practices for IT Project Management to support the delivery of solutions. Monitor and support the adoption of IT Project Management Standards, Tools, Processes and Best Practices, promote consistency throughout the entire Project Life Cycle.

3.4 Project Manager: The Project Manager is responsible for developing the Project Charter along with the Project Sponsor.

3.5 Project Approval: The Chief Information Officer and Project Sponsor are responsible for signing and approving Project Description Statement and Project Charter.

4.0 Procedure:

The EPMO will provide all necessary procedure templates and instruction sheets to perform the entire Initiation Phase.

Note: Not all project activities are sequential and many are iterative based on the project needs.

ACTIVITY DESCRIPTION

1. Develop Project

Description Statement

The Project Description Statement is a written request for a project by an individual or group within the organization. The project request indicates a desire for a project rather than a mutual agreement and



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commitment to perform it. The Project Description Statement provides a preliminary scope, budget, schedule; number of resources needed and identify the project funding source to complete the project.

2. Approve the Project

Description Statement

The CIO and Project Stakeholders will approve the Project Description Statement.

3. Assign Project Manager

(PM)

The EPMO assigns or hires a PM for the project. If

necessary, an acting PM might be assigned until the

official PM is hired. The acting PM must be available on a

full-time basis to support this effort.

4. Conduct Project Analysis

(EA, EPMO and Project Manager)

The purpose of the analysis activity is to identify the best solution to solve the identified business need or issue. The project analysis activity involves:

Analysis of the business problem;

Identification of potential solutions;

Studies to determine technical and economic feasibility of potential solutions;

Comparison of potential solutions; and,

Identification of the best solution to recommend.

The feasibility studies will help determine if potential solutions are viable. Technical feasibility studies determine if an IT solution is technically possible. An economic feasibility study, such as a Cost Benefit Analysis (CBA), determines if a solution is economically sound and cost effective. Based upon these analyses, a solution is proposed in the next step of the initiation process.

A Project Analysis Worksheet will be provided by the EPMO to assist in the analysis of the business need, analysis of potential solutions, determining the best solution, and developing information that will be used to build the project proposal. The worksheet is not normally a formal deliverable but can be if the organization requires it.

5. Project Proposal The project proposal describes the project in detail and ensures that the project is consistent with the agency’s



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Strategic Plan and IT Strategic Plan. As a formal project deliverable, it identifies project objectives, provides a project description, defines the approach, and supplies other top level planning information which, taken together, establish the scope of the project. Ideally, the project proposal provides decision makers with information necessary to make project initiation decisions. The project proposal is the foundation for initiation of the project, through issuance of the project charter. Specifically the document defines:

What is to be done?

Why it is to be done?

How it is to be done?

How much risk is involved?

A Project Proposal Template and Project Proposal Preliminary Risk Assessment Worksheet will be provided by the EPMO to assist in development of the project proposal.

6. Develop Project Charter

The EPM is responsible for development of the project

charter based on the approved Description statement. The

Project Charter formally establishes a project and

authorizes the Project Manager to use organizational

resources to perform project activities.

7. Review, Approval and

Authorization of Project

Charter

The EPM, Executive Management, EPMO and Project

Sponsor review and approve the Project Charter, as

listed in the Project Charter. This activity is complete

when the Project Charter has been signed and approved.

8. Begin Development of

Project Funding

Documentation

The Project Sponsor begins the process to obtain

funding based on the identified funding source identified

in the Project Description Statement. Refer to the Project

Funding Approval Life Cycle.

9. Complete Initiation Phase

Review and Lessons

Learned

The Project Manager contacts all participating stakeholders to review and document lessons learned in the initiation phase.



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5.0 Revision History

History of document changes, whether they are minor typographical errors, major

improvements, or re-engineering efforts.

Date Revision Number Change

1.0 New Procedure




EPMO PROCEDURE

Project Planning Procedure Control Number: NETL-CIO-10-04


EPMO Project Planning Procedure Page 1 Revision: 8/13/2010 (Draft) Prepared by: Michael McCormick, MPCS

1.0 Purpose:

In support of CIO Project Management Policy #NETL-CIO-10-01, this procedure establishes the process by which projects are planned. The process begins with execution of core processes and ends with planning phase review. The purpose of the Project Planning Phase is to identify and document scope, business requirements, tasks, schedules, costs, risk, quality, and staffing needs.



2.2 Project Funding Approval Life Cycle: The Project Funding Approval Lifecycle describes the process by which departments receive authorization to undertake an enterprise Information Technology Project. The purpose of this process is to establish the business case for the investment of resources in the project and to analyze and justify its costs and benefits. The approach will vary depending upon whether federal, cooperative and or other funding types that will be requested, all of which require the creation of specific project and funding approval documents. Funding approval/obligation must be received before beginning work on the project or expending any funds.

2.3 Acquisition Life Cycle: The Acquisition Life Cycle (ALC) begins with the decision to acquire a product/service. It includes all the activities necessary for the IT Project to solicit, evaluate, and award a contract to a vendor for a new/revised system after obtaining approvals and funding for development, implementation, and ongoing operations of the system. The NETL Financial Management Division has oversight responsibility for the Acquisition Life Cycle.

2.3.1 Acquisition Planning: Planning begins when the need for a product is identified and ends when the Request for Proposal (RFP) is released. The IT Project must work with the NETL Financial Management Division to coordinate the release of the RFP.



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2.3.2 Contracting: The Contracting phase begins upon release of the RFP. It includes the evaluation of vendor proposals and ends in the selection of a vendor meeting the RFP requirements. The phase ends with execution of the contract.

2.3.3 Product Acceptance: This is the contract management phase. The vendor’s efforts are monitored to ensure compliance with contract requirements and product acceptance criteria. The phase ends when all contract terms are fulfilled.



2.6 Core & Facilitating Processes: The project plan is actually a combination of numerous component plans that are developed during the Project Planning Phase. The Project Planning Phase consists of two sets of interrelated processes, Core Processes and Facilitating Processes.

Core Processes represent a set of critical activities that are dependant on each other and are executed in an explicit order. Core Processes begin with the review and refinement of the project scope and objectives found in the project charter. The project plan component documents that result from execution of the Core Processes are:

2.6.1 Project Scope and Business Objective 2.6.2 Work Breakdown Structure 2.6.3 Organizational Breakdown Structure 2.6.4 Resource Plan 2.6.5 Project Schedule 2.6.6 Budget Plan 2.6.7 Performance Plan



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Facilitating Processes represent planning activities that are not dependent on other processes. The Facilitating Processes are performed intermittently during the Project Planning Phase on an as needed basis. However, Facilitating Processes are not optional. These processes will frequently affect components of the plans developed from the Core Processes. The planning documents resulting from the Facilitating Processes are:

2.6.8 Risk Plan 2.6.9 Procurement Plan 2.6.10 Communications Plan 2.6.11 Change and Configuration Management Plan 2.6.12 Quality Management Plan

2.7 System Development Life Cycle: The System Development Life Cycle (SDLC) is a framework used in project management that describes the stages involved in a system development project. The SDLC is a structured, integrated approach that is characterized by a sequence of phases in which each phase is incomplete until the appropriate deliverables are produced. This SDLC feature ensures a consistent approach and control throughout the system development project and includes six phases:

2.7.1 Requirements Analysis 2.7.2 Design 2.7.3 Development 2.7.4 Test 2.7.5 Implementation 2.7.6 Transition to M&O

2.8 Project Plan: The project plan is used to guide execution and control of the project. It forms the basis for all management efforts associated with the project. The project plan can also be used to communicate with project stakeholders and gain support and understanding of the project. The project manager and project team develop the project plan through execution of the project planning processes and present the plan to management for approval.



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The project plan will include the following:

2.8.1 Project Scope and Business Objective Worksheet Instructions 2.8.2 Work Breakdown Structure 2.8.3 Organizational Breakdown Structure 2.8.4 Activity Definition Sequencing Worksheet 2.8.5 Resource Plan 2.8.6 Project Schedule 2.8.7 Budget Plan 2.8.8 Performance Plan 2.8.9 Risk Plan 2.8.10 Procurement Plan 2.8.11 Communications Plan 2.8.12 Change and Configuration Management Plan 2.8.13 Quality Management and IV & V Plan





3.1 Chief Information Officer (CIO): The CIO provides enterprise Information Technology (IT) project management services for the National Energy Technology Laboratory. The CIO, Enterprise Architect (EA) and Enterprise Project Management Office (EPMO) will provide standards, guidelines, policies and procedures for the efficient, effective and successful initiation, planning, execution and closure of all IT projects.

3.2 Enterprise Architect: Enterprise Architect works with the CIO, EPMO, stakeholders, both leadership and subject matter experts, to build a holistic view of the organization's strategy, processes, information, and information technology assets. The role of the Enterprise Architect is to take this knowledge and ensure that the business and IT are in alignment. The enterprise architect links the business mission, strategy, and processes of an organization to its IT strategy, and documents this using multiple



EPMO PROCEDURE




architectural models or views that show how the current and future needs of an organization will be met in an efficient, sustainable, agile, and adaptable manner.

3.3 Enterprise Project Management Office (EPMO): The EPMO Lead will provide overall leadership for the planning, organization, and execution of IT Project Management. Develop and implement internal processes, procedures, tools and Best Practices for IT Project Management to support the delivery of solutions. Monitor and support the adoption of IT Project Management Standards, Tools, Processes and Best Practices, promote consistency throughout the entire Project Life Cycle.

3.4 Project Sponsor: The Project Sponsor is responsible for advocating for the project at the executive level with CIO and stakeholders.

3.5 Metrics and Reporting Analyst: The EPMO Reporting Analyst has the primary responsibility to design, build, implement, quality and support metrics and reporting to enable the EPMO program to effectively measure project progress. This role demands someone who can partner effectively with all levels of the organization. This role works closely with EPMO project managers and process teams (tools, issue, risk, etc.) in addition to NETL team members throughout the NETL organization.

3.6 Master Scheduler: The EPMO Project Master Scheduler is responsible for coordinating and managing inputs to the project plan. This includes tracking progress against project schedules, merging and identifying dependencies and risks between the project schedule, tracking progress on prime contractor's schedule and NETL’s schedules in MS Project Server or Primavera P6.

3.7 Project Manager: The Project Manager is responsible for developing the Project Plan along with the Project Sponsor. The Project Manager will also manage both the Project Funding and Requisition Life cycles.

3.8 Project Team: The Project Team is responsible for performing the tasks defined for them in the staff management portion of the Project Management Plan.

3.9 Financial Management Division (FMD): Budget Unit- Analysts from the FMD will participate in an oversight capacity during development of the initial project funding approval requests.



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4.0 Procedure:

The EPMO will provide all necessary procedure templates and instruction sheets to perform the entire Planning Phase.



1. Conduct Project

Readiness

The Project Manager uses the authority of the Project Charter to officially begin the process of shaping the project. The Project Manager will begin to organize the Project Office infrastructure, environment, tools and assemble the project team in preparation of the project beginning with awarded contractor.

2. Develop Project Plan

The Project Manager begins development of the Project Management Plan. The Project Management Plan is a formal, consolidation of project planning documents that is used to manage and guide both project execution and project control. It forms the basis for all project management efforts associated with the project. The Project Management Plan integrates and coordinates each of the project management plans to create a consistent, coherent document.

3. Complete the Project

Scope and Business

Objective Worksheet

The Project Scope and Business Objective Worksheet are provided to assist the project manager and project team in preparing the project plan. Additional information or modifications to the project scope and objectives should be included in the Project Summary Section of the Project Plan. Project managers, appointed at the time a project is chartered, will conduct a review and analysis of the project scope and objectives as part of the project plan development.

4. Develop Work

Breakdown

Structure (WBS)

The Project Manager begins development of the WBS by developing a hierarchical representation of all the discrete products, services, activities, tasks, and subtasks that comprise a project. The WBS represents the total scope of the project.

Work not identified in the WBS is outside the scope of the



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project. Using a WBS, the project scope is broken down into progressively lower levels of detail. The lowest level of the WBS is a work package. The work package is a task or activity that can normally be completed in 80 hours or less. Each level of the WBS is referred to as a tier. Tier I represents the highest level of the WBS.

5. Complete

Organizational

Breakdown

Structure (OBS)

Worksheet

The Project Manager completes the Organizational Breakdown Structure Worksheet: The organization breakdown structure (OBS) worksheet assists in reporting project tasks by organization. The OBS provides an organizational perspective of the project rather than a task- based perspective. The hierarchical structure of the OBS allows aggregation of project information to higher levels. By using the OBS and WBS together, it is assured that all elements (scope) of a project will be assigned to a responsible organization.

6. Complete Activity

Definition

Sequencing (ADS)

Worksheet

The Project Manager completes the Activity Definition Sequencing (ADS) Worksheet: The process of defining and sequencing activities and tasks represents a further refinement of the WBS. Activity sequencing involves dividing the project into smaller, more manageable components, specifying the order of completion, and identifying the dependent relationships between activities and tasks. This process is to organize WBS elements by defining activities, task and sub-task which will be use to build the Project Schedule.

7. Develop Resource

Plan

Projects have a limited number of resources. The project charter allocates resources (at a high level) to the project. One of the project manager's primary roles is to find a way to successfully execute a project within these resource constraints. Resource planning involves identifying a team that possesses the skills required to perform the work (labor resources), as well as identifying the tools, equipment, facilities, and other resources needed by the team to complete the project.)



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8. Develop Project

Schedule

The Project Manager and the Master Scheduler develop the Project Schedule. The project schedule is based upon information in the WBS, OBS, Activity Definition and Sequencing Worksheet, and Resource Plan. The schedule should address at least three levels of WBS Elements. The schedule may be prepared using an automated scheduling tool like Microsoft Project. If an automated tool is used, format the data entry table to include all of the data elements identified in the table section of Project Schedule Template.

9. Develop Budget

Plan

The Project Manager works with the Master Scheduler and the Project Sponsor with developing the Budget Plan. Budget planning is the determination of available funding and costs associated with a defined set of activities during a specified time period. The steps associated with budget planning are highly dependent on both the estimated duration of tasks and the resources assigned to the project. The budget plan is dependant upon the project schedule, the resource plan, the quality management plan and the independent validation and verification plan, and the risk management plan.

10.Develop

Performance Plan

The Project Manager begins the development of the Performance Plan: The project performance plan defines how project success or failure is measured. Project success is achieved by meeting the stated business objectives for the project and by satisfying customer needs. The performance plan identifies the relationship of the agency’s business objectives to performance goals and specifies: who will measure the performance; how and when performance is measured; and, how performance is reported. The performance plan also identifies and defines the project deliverables and acceptance criteria for each deliverable. The performance plan is a result of the complete planning process that begins with the project scope and objectives defined by the project charter. All of the plans developed through execution of the core and facilitating processes provide information that is used in development of the performance plan.



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11.Develop Risk Plan Risk Management Plan: Risk management planning identifies how the project team responds to and manages risk throughout the execution and control phase of the project. Risk management is an ongoing process. Risk management planning identifies foreseeable risks, quantifies the threat posed by the risks, develops mitigation alternatives for the risks, and identifies responsible person(s) to manage or mitigate the risks. The risk management plan provides input to the budget and schedule plans.

Risk Management Plan Process - The risk management plan has four functional components, these components are:

Risk Management Strategy

Risk Identification and Quantification

Risk Response and Monitoring

Risk Mitigation Cost Estimation

12.Develop

Procurement Plan

The Project Manager and Project Team will work with the designated Contract Officer (CO) from the Financial Management Division (FMD) with developing the Procurement Plan. Procurement planning is the process of identifying and planning for the purchase of products, goods, and services required by a project. In general, procurement planning deals with the following:

Identifying the products, goods or services being procured.

Selecting the procurement method.

Identifying the quantities of the products, goods or services being procured.

Identifying when and where procured products, goods or services must be delivered.

Defining the procurement schedule for each step of the procurement methodology selected. When developing the procurement plan, the project manager and project team must determine the following:

How does this product, good, or service meet the needs of the project and the organization as a whole?



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Does the product, good, or service already exist within the organization?

Is there a service provider available in the marketplace for the product, good, or service?

Does the organization have the means (staff, money, contract, etc.) to produce or to acquire the product, good, or service? Using the questions above as a guide, the project manager and team will identify the products, goods, and services to be procured for support or completion of the project.

13.Develop

Communications

Plan

The Project Manager and the Project Team develop the Communication Plan. Communication is the exchange of information between parties. Communications planning involves identifying and meeting the information needs of the project stakeholders. Specifically, identifying which people need what information, when the information is needed, and how the information is collected and communicated. Communications planning strives to simplify and document effective communications within the project organization.

14.Develop Change and Configuration Management Plan

The terms change management and configuration management is often used interchangeably. Some people view configuration management as part of change control, while others consider configuration management to be a rigorous change control system. This methodology defines configuration management as the management of the physical features, functionality, and documentation of hardware and software used by a project. The term change control will describe the management of change to the project baseline and includes project scope, cost, and schedule. Together, change and configuration management provide the means to control and manage change during the execution of the project plan.

15.Develop Quality Management and IV & V Plan

The Project Manager and Project team will develop the Quality Management and Independent Verification and

Validation Plan: The quality plan defines how the project



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team will implement the organization’s quality policy. The

objective of quality management planning is the successful delivery of products, goods, or services that meet organization needs and satisfy user expectations. Techniques for achieving quality management objectives are product testing, project audits, and independent verification and validation (IV&V).

16.Approve the Project

Management Plan

The Project Manager will present the Project Management Plan to executive management for review, buy-in and approval of the plan.

17.Monitor the Project

Funding Approval

Process

The Project Manager will monitor the project funding approval process

18.System Development

Life Cycle (SDLC)

The Project Manager will manage these phases of the SDLC during the Planning Phase.

Requirements Analysis: This phase is focused on understanding and documenting the user’s business needs to a level of sufficient detail to allow for system design. Design: This phase involves the interpretation of the system requirements identified in the analysis phase into a unified system design that describes the characteristics of the system to be built.

19.Project Planning

Transition (PPT)

Checklist

The Project Manager will complete the PPT Checklist which identifies all the activities necessary to complete the project plan. It also describes the work in sufficient detail so that the person performing the work understands the requirements necessary to complete it correctly.

20.Complete Planning Phase review and Lessons Learned Report

The Project Manager contacts all participating stakeholders to review and document lessons learned in the planning phase and submitted to the EPMO.



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History of document changes, whether they are minor typographical errors, major improvements, or re-engineering efforts.


1.0 New Procedure




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Project Execution Procedure Control Number: NETL-CIO-10-05


EPMO Project Executing Procedure Page 1 Revision: 8/13/2010 (Draft)


1.0 Purpose:

In support of CIO Project Management Policy #NETL-CIO-10-01, this procedure establishes the process by which projects are executed. The processes are used to complete the work defined in the project management plans to accomplish the project's requirements as defined in the charter.






2.4.1 Acquisition Planning: Planning begins when the need for a product is identified and ends when the Request for Proposal (RFP) is released. The IT Project must work with the NETL Financial Management Division to coordinate the release of the RFP.



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2.4.2 Contracting: The Contracting phase begins upon release of the RFP. It includes the evaluation of vendor proposals and ends in the selection of a vendor meeting the RFP requirements. The phase ends with execution of the contract.






2.6.1 Project Scope and Business Objective Worksheet Instructions 2.6.2 Work Breakdown Structure 2.6.3 Organizational Breakdown Structure 2.6.4 Activity Definition Sequencing Worksheet 2.6.5 Resource Plan



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2.6.6 Project Schedule 2.6.7 Budget Plan 2.6.8 Performance Plan 2.6.9 Risk Plan 2.6.10 Procurement Plan 2.6.11 Communications Plan 2.6.12 Change and Configuration Management Plan 2.6.13 Quality Management and IV & V Plan





3.1 Enterprise Project Management Office: The EPMO Lead will provide overall leadership for the planning, organization, and execution of IT Project Management. Develop and implement internal processes, procedures, tools and Best Practices for IT Project Management to support the delivery of solutions. Monitor and support the adoption of IT Project Management Standards, Tools, Processes and Best Practices, promote consistency throughout the entire Project Life Cycle.

3.2 Contract Officer: The Contract Officer (CO) is responsible for managing and tracking the Contractor contracts for the IT project. This includes negotiating amendments, reviewing work authorizations and invoices, and ensuring that all contractual terms and deliverables are met. CO will validate contractor invoice with PM subsequent to processing payment.


3.4 Project Manager: The Project Manager (PM) executes the project management plans. The Project Manager continuously manages and evaluates the overall project performance to provide confidence that the project will satisfy the relevant quality standards. PM reviews and approves contractor invoices subsequent to the CO approving for payment.



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3.5 Project Team: The Project Team is responsible for performing the tasks defined for them in the Resource Plan of the Project Management Plan.

3.6 Metrics and Reporting Analyst (MRA): The MRA has the primary responsibility to design, build, implement, quality and support metrics and reporting to enable the EPMO program to effectively measure project progress. This role demands someone who can partner effectively with all levels of the organization. This role works closely with EPMO project managers and process teams (tools, issue, risk, etc.) in addition to NETL team members throughout the NETL organization.

3.7 Master Scheduler: The Master Scheduler is responsible for coordinating and managing inputs to the project plan. This includes tracking progress against project schedules, merging and identifying dependencies and risks between the project schedule, tracking progress on prime contractor's schedule and NETL’s schedules in MS Project Server or Primavera P6.

3.8 Independent Project Oversight Consultant (IPOC): The IPOC works under the direction of the EPMO Lead to provide independent project management oversight in accordance with the EPMO Polices and Procedures and Project Life Cycle Framework.

3.9 Independent Verification and Validation (IV&V): The IV&V representatives work under the direction of the EPMO Lead to provide IV&V against the project. The IV&V team will provide independent, technical review and verification of project deliverables, as well as independent testing and auditing of project deliverables against requirements, with a special emphasis placed on deliverable quality assurance and information security control reviews.



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4.0 Procedure: The EPMO will provide all necessary procedure templates and instruction sheets to perform the entire Execution Phase.



1. Begin Execution

Phase Activities

The Project Manager can begin execution phase activities

following the completion of all planning phase activities

including approval of the PMP, project funding and project

acquisitions.

2. Assemble Execution

Phase Project Team

The Project Manager follows the Resource Plan for obtaining

the human resources needed to complete the project.

3. Assign Team

Resources

The Project Manager assigns resources to each of the project

tasks as identified in the project schedule.

4. System Development

Life Cycle (SDLC)

The Project Manager will manage these phases of the SDLC during the Execution Phase. Design: This phase involves the interpretation of the system requirements identified in the analysis phase into a unified system design that describes the characteristics of the system to be built.

Development: In this phase, the design specifications are transformed into a complete and integrated system. All system components are validated for compliance to requirements and design.

Test: In this phase, the various components of the developed system are integrated and methodically tested to validate that all identified requirements have been satisfied prior to system implementation.

Implementation: In this phase, the system is installed in the production environment and continues until the production system is operating in accordance with the requirements, which



EPMO PROCEDURE





initiates the transition to the closure phase and transferred to M & O.

5. Execute Project

Management Plan

(PMP)

The Project Manager executes the project management plan

activities by performing the activities contained within each of

the plans such as Communication Plan, Risk Management

Plan, etc.

6. Direct and Manage

Project Execution

The Project Manager will direct the various technical and

organizational resources that exist in the project to execute the

work defined in the project management plan.

7. Execute Task

Assignments

The Project Team Members execute tasks as assigned

performing the activities of the project in accordance with the

project management plan.

8. Team Member

Status Report

The Team Member Status Report is filled out by team members and submitted to the project manager on a regular basis. It tracks schedule and cost status for the current reporting period and provides planned information for the next reporting period. Status reports also identify new risks and issues that have arisen in the current reporting period.

9. Conduct Progress

Status Meetings

The Project Manager conducts all of the progress status meetings. Status on all work accomplished is collected and will provide input into the overall project performance report. Based on the progress meetings, information is made available to all appropriate stakeholders in a timely manner.

10.Update Project

Schedule and

Management

Plans

The Project Manager and Master Scheduler maintain updates of the Project Schedule and Management plans as the project moves through the life cycles. Normal execution variances will cause some re-planning. Such variances may or may not affect the project management plans or schedule.

11.Quality Assurance The Metrics & Reporting Analyst continuously evaluates the overall project performance on a regular basis to provide confidence that the project will satisfy the relevant quality standards. Quality Assurance process is necessary for applying



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the planned, systematic quality activities to ensure that the project employs all processes needed to meet requirements.

12.Acceptance of

Deliverables

The Project Manager and Contract Officer will jointly

receive, review and concur on acceptance of the project

deliverables. The User Acceptance Report is then

forwarded to the Project Sponsor for final approval and

acceptance.

13.Conduct Team

Performance

Assessment

The Project Manager conducts the Team Performance

Assessment which is used to review technical performance

and interpersonal competencies of the team as a whole. It

also addresses team morale and areas for team

performance improvement.

14.Complete Project

Transition

Checklist

The Project Manager will use the EPMO Checklist form to conduct the project transition checklist which provides a vehicle to verify completion of a project phase before beginning the next phase. The transition checklist used at the end of the Execution and Control phase focuses on completion of project tasks, and verification that acceptance criteria have been met. Additionally, the transition checklist forces the project team and project stakeholders to formally address the transfer and acceptance of the deliverables and associated documentation.

15.Quality Audit A Quality Audit is a technique that employs a structured, independent review to project and/or product elements. Any aspect of the project or product can be audited. The audit will be performed by Independent Verification and Validation (IV&V): The IV&V representatives work under the direction of the EPMO Lead to provide IV&V against the project. The IV&V team will provide independent, technical review and verification of project deliverables, as well as independent testing and auditing of project deliverables against requirements, with a special emphasis placed on deliverable quality assurance and information security control reviews.



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16.Complete Execution Phase Review and Lessons Learned

The Project Manager contacts all participating stakeholders to review and document lessons learned in the execution phase.




1.0 New Procedure




EPMO PROCEDURE

Project Monitoring & Controlling Procedure

Control Number: NETL-CIO-10-06


PMO Project Monitoring & Controlling Procedure Page 1 Revision: 8/13/2010 (Draft)


1.0 Purpose:

In support of CIO Project Management Policy #NETL-OD-10-01, as part of the project life cycle this procedure establishes the process that IT projects will use to monitor and control the processes associated with initiating, planning, executing, and closing a project. The process begins with those processes performed to observe project execution so that potential problems can be identified in a timely manner and corrective action can be taken, when necessary, to control the execution of the project. The monitoring and controlling process is performed throughout the life cycle of the project.








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2.4.1 Acquisition Monitoring: Monitoring begins with award of the Contract, contract modifications (if applicable) and ends final payment.

2.4.2 Contracting: The Contracting phase begins upon award of the Contract. The phase ends with final invoice and Product Acceptance.






2.6.1 Project Scope and Business Objective Worksheet Instructions 2.6.2 Work Breakdown Structure 2.6.3 Organizational Breakdown Structure



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2.6.4 Activity Definition Sequencing Worksheet 2.6.5 Resource Plan 2.6.6 Project Schedule 2.6.7 Budget Plan 2.6.8 Performance Plan 2.6.9 Risk Plan 2.6.10 Procurement Plan 2.6.11 Communications Plan 2.6.12 Change and Configuration Management Plan 2.6.13 Quality Management and IV & V Plan

2.7 Integrated Change Control: Project performance must be monitored and measured regularly to identify variances from the management plans. Change Control includes taking preventive action in anticipation of possible problems. Integrated Change Control is coordinating changes across the entire project.






3.2 Contract Officer: The Contract Officer (CO) is responsible for managing and tracking the Contractor contracts for the IT project. This includes negotiating amendments, reviewing work authorizations and invoices, and ensuring that all contractual terms and deliverables are met. CO will



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validate contractor invoice with PM subsequent to processing payment.


3.4 Project Manager: The Project Manager (PM) executes the project management plans. The Project Manager continuously manages and evaluates the overall project performance to provide confidence that the project will satisfy the relevant quality standards. PM reviews and approves contractor invoices subsequent to the CO approving for payment.


3.6 Metrics and Reporting Analyst (MRA): The MRA has the primary responsibility to design, build, implement, quality and support metrics and reporting to enable the EPMO program to effectively measure project progress. This role demands someone who can partner effectively with all levels of the organization. This role works closely with EPMO project managers and process teams (tools, issue, risk, etc.) in addition to NETL team members throughout the NETL organization.


3.8 Financial Analyst: The Financial Analyst is responsible for supporting IT projects by managing and tracking project budget/costs, coordinating/preparing budgetary documents, e.g., Special IT Project Reports and NETL Budget Change Proposals, reviewing budget/contract.

4.0 Procedure:

The EPMO will provide all necessary procedure templates and instruction sheets to perform the entire Execution Phase.




EPMO PROCEDURE







1. Monitor Project

Management Plan

(PMP)

The Project Manager executes the project management plan activities by performing the activities contained within each of the plans such as Communication Plan, Risk Management Plan, etc.

2. Scope Verification

and Control

The Project Manager performs scope verification and control that identifies and manages all elements (people, requirements, and technology) inside and outside of the project that increase or decrease the project scope beyond the required or defined need of the original, agreed upon Project Scope. This is done through a variety of techniques and as documented in the Master Project Management Plan.

3. Schedule Control

The Master Scheduler performs schedule control which involves influencing the factors that create schedule changes to ensure that changes are beneficial, determining that the schedule has changed and managing the actual changes when and as they occur. This is done through a variety of techniques and as documented in the Project Management Plan.

4. Quality Control The Metrics & Reporting Analyst performs quality control

which involves monitoring specific project results to

determine if they comply with relevant quality standards and

identifying ways to eliminate causes of unsatisfactory

results. This is done through a variety of techniques and as

documented in the Quality Management Plan.

5. Performance Reporting

The Project Manager continuously utilizes performance

reporting as a necessary process for collecting and

distributing performance information. This includes status

reporting, progress measurement, and forecasting.

6. Risk Control

The Project Manager invokes the risk control process to

track identified risks, monitoring residual risks, identifying



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new risks, executing risk response plans, and evaluating

their effectiveness throughout the project life cycle. This is

done through a variety of techniques and as documented in

the Risk Management Plan.

7. Contract

Administration

The Project Manager continuously utilizes contract administration process of ensuring that the contractor's performance meets contractual requirements. This is detailed in the Procurement Management Plan.

8. System Development

Life Cycle (SDLC)

The Project Manager will manage the SDLC throughout the Project Lie Cycle Framework. Requirements Analysis: This phase is focused on understanding and documenting the user’s business needs to a level of sufficient detail to allow for system design. Design: This phase involves the interpretation of the system requirements identified in the analysis phase into a unified system design that describes the characteristics of the system to be built.

Development: In this phase, the design specifications are transformed into a complete and integrated system. All system components are validated for compliance to requirements and design.

Test: In this phase, the various components of the developed system are integrated and methodically tested to validate that all identified requirements have been satisfied prior to system implementation.

Implementation: In this phase, the system is installed in the production environment and continues until the production system is operating in accordance with the requirements, which initiates the transition to the closure phase and transferred to M & O.

Transition to M&O: During the Transition to Maintenance and Operations (M&O) phase, the production system is operational and the system operations are transitioned to



EPMO PROCEDURE






the support organization for routine maintenance and performance monitoring.

9. Complete Monitoring

and Control Review

and Lessons Learned

The Project Manager contacts all participating

stakeholders to review and document lessons learned in

the monitoring and control throughout the project life

cycle framework.




1.0 New Procedure




EPMO PROCEDURE

Project Closing Procedure Control Number: NETL-CIO-10-07


PMO Project Closing Procedure Page 1 Revision: 8/13/2010 (Draft) Prepared by: Michael McCormick, MPCS

1.0 Purpose:

In support of OD Project Management Policy #NETL-OD-10-01, this procedure includes the processes used to formally terminate all activities of a project or project phase. These Close-out processes are performed once all defined project objectives have been met, reassigns and/or releases project resources, and the customer has formally accepted the project's product.






2.4.1 Acquisition Planning: Planning begins when the need for a product is identified and ends with Product Acceptance.



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2.4.2 Contracting: The Contracting phase begins upon release of the RFP. The phase ends with procurement audit and Contract Close-out.




2.6 Project Close-out: Project Close-out involves documenting the final project performance as compared to the project objectives. The objectives from the Project Charter are reviewed and evidence of meeting them is documented. If an objective was not met, or if there is a variance, that is documented as well.

The project close-out will include the following:

2.6.1 User Acceptance Report 2.6.2 Training Plan 2.6.3 Project Close-out Transition Checklist 2.6.4 Project Close-out Report 2.6.5 Turnover to Maintenance & Operations (ITD) 2.6.6 Procurement Audit 2.6.7 Contract Close-out 2.6.8 Lessons Learned and Archived 2.6.9 Post Implementation Review



EPMO PROCEDURE




2.6.10 EA ROI Report






3.2 Contract Officer: The Contract Officer (CO) is responsible for managing and tracking the Contractor contracts for the IT project. This includes negotiating amendments, reviewing work authorizations and invoices, and ensuring that all contractual terms and deliverables are met. CO will validate contractor invoice with PM subsequent to processing payment.

3.3 Project Sponsor: The Project Sponsor is responsible for advocating for the project at the executive level with OCIO and stakeholders.

3.4 Project Manager: The Project Manager is responsible for obtaining customer and management sign-off, close out any open .action items, close out any financial accounts, develop a Post Implementation Evaluation Report, archive all project documentation, conduct lessons learned, assist with contract closeout, assist in resource transition from the project and celebrate success.




EPMO PROCEDURE




3.6 Metrics and Reporting Analyst (MRA): The MRA has the primary responsibility to design, build, implement, quality and support metrics and reporting to enable the EPMO program to effectively measure project progress. This role works closely with EPMO project managers and process teams (tools, issue, risk, etc.) in addition to NETL team members throughout the NETL organization.


3.8 Financial Analyst: The Financial Analyst is responsible for supporting IT projects by managing and tracking project budget/costs, coordinating/preparing budgetary documents, e.g., Special IT Project Reports and NETL Budget Change Proposals, reviewing budget/contract

4.0 Procedure: Note: Not all project activities are sequential and many are iterative based on the project needs.


1. Formal Acceptance

The Project Manager, on behalf of the Project Sponsor, will draft the Formal Acceptance letter only after all contractual obligations have been met and verified. The formal Acceptance letter provides the contracted company or organization with a formal written notice that the contract is complete. Standard language for acceptance and closure is usually found in the original contract.

2. Project Close-out The Project Manager begins the administrative closure

process by preparing the closure documentation of the project

deliverables for the customer as well as taking other

administrative actions to ensure that the project and its assets are redistributed.



EPMO PROCEDURE




3. Personnel and

Facilities

The Project Manager handles this closure process with the

reassignment and reallocation of agency personnel and

equipment that have been used during the project.

4. Project Close-out

Transition Checklist

The Project Manager will complete the Project Close-out Transition Checklist. The Project Transition Checklist provides a vehicle to verify completion of a project phase before beginning the next phase. The transition checklist used at the closeout phase focuses on completion of project tasks and satisfying acceptance criteria. Additionally, the transition checklist forces the project team and using organization to address the issue transfer for both the deliverable and associated documentation.

5. Project Close-out The Project Manager will complete the Project Closeout Report which documents the completion of closeout tasks and project performance. The report will provide a historical summary of the projects deliverables and baseline activities over the course of the project. Additionally, the project closeout report identifies variances from the baseline plan, lessons learned, and disposition of project resources. The project closeout report is intended to provide a concise evaluation of the project.

The project manager obtains input from the entire project team, the customers, and other major stakeholders. The Project Closeout Transition Checklist is used to guide the development of the report. Lessons learned sessions and the User Acceptance Report are also used.

6. Collect Contract

Documentation

The Contract Officer begins the tasks to close out the contract. To close a contract, it is important to collect all of the pertinent documentation for review. This will include all of the original contracts and supporting documentation such as schedules, contract changes, and performance reports.

7. Complete Contractor

Final Review

The Contract Officer performs the Contractor Final Review

which includes a formal completion review of all requirements,

deliverables and change orders. The project will review all

contracts and verify that all requirements and deliverables



EPMO PROCEDURE




specified in each contract have been met and that any

change to the contract requirements or deliverables has been

documented, approved and completed.

5. Financial Closure and

Audit

The Financial Analyst begins the Financial Closure process

of completing and terminating the financial and budgetary

aspects of the project. This closure process includes both

(external) contract closure (internal) project account closure.

A financial audit will be conducted at project closure by

performing a thorough examination of a project including a

detailed overview of the project's financial procedures,

budgets, records, etc.

6. Project Archiving

The Project Manager ensures that all documentation related to the project has been archived, both hard and soft copies. A summary report of all archived project record information collected needs to include information such as a description of the project, a project organization chart, budgeted and actual cost, and budgeted and actual schedule.

7. Complete Closeout

Phase Review and

Lessons

The Project Manager will hold a lessons learned session which is a valuable closure and release mechanism for the project team. It allows for an exchange of observations of the project's performance to aid with future projects of a similar nature.

8. Celebrate Project

Success

Celebrate the success of completing a project! It is important to recognize teams that have met this goal. When success in a project is achieved, be certain to provide some recognition to the team. Informal, formal recognition or Superior Accomplishment Awards can be done.

9. Complete Post

Implementation

Review

The CIO Team conducts a final review of the overall project performance; compliance with policies and procedures, Charter performance rating, Stakeholder Acceptance and Satisfaction and project team performance and award recognition.



EPMO PROCEDURE




10.EA ROI Report A Post Implementation Review and EA Report document the successes and failures of the project deliverable. The review process should be directed by the project sponsor or manager. The review is a collection of data from the organization and users about the deliverable. The data will be used in a report that is focused on how well the deliverable performed, how well users accepted the deliverable, and what is the actual cost to operate and maintain the deliverable.




1.0 New Procedure





Enterprise Information Technology Architecture



NETL – Enterprise Information Technology Architecture Policy Revision: 8/13/2010 (Draft)


1.0 Purpose:

The purpose of this policy is to reaffirm the Chief Information Officer’s ongoing commitment to process improvement by adopting the CIO Enterprise Information Technology Architecture by NETL.

2.0 Introduction:

The purpose of the standards and policy development is the creation of a common NETL information technology architecture. In order to implement technology as efficiently and effectively as possible, it is necessary to view NETL as a single enterprise made up of entities which share the common goal for agency service and the management of agency resources rather than individual, autonomous organizations. The information technology architecture provides the building blocks needed to realize the four components of the vision for information technology at NETL:

NETL should be customer focused.

NETL should be efficient.

NETL should be well managed.

NETL should provide the leadership for developing a shared infrastructure.


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The basis for information technology standards and policy is the development of a technical infrastructure that will:

Emphasize integration, interoperability, modularity and scalability,

Provide a guide to information technology decision makers,

Lower costs of information technology through reduced support costs and economies of scale,

Provide flexibility to meet the diverse needs of state agencies,

Balance freedom of choice with consistency.

These standards and policies will drive future technology purchases and implementation. Technology advancements together with industry trends will affect the technology choices available. Because of this, the standards and policies will continue to evolve over time.

3.0 Information Technology Standards and Policies:

The following information technology strategies have been developed as a guide for agencies as they plan for and implement technologies. These strategies set the direction for each component of the technology infrastructure and provide a foundation for the specific standards and policies.

3.1 Operating Systems and Platforms: Operating systems and platforms will support a highly networked, workstation based, distributed databases architecture. Existing platforms in this architecture include the Information Services Division's enterprise server, which currently runs network applications and databases as well as legacy systems. The state standards will reflect the industry trend toward open systems and advance the implementation of a consistent end-user interface to a variety of distributed computing services. Operating systems and platforms will support a wide range of commercially available software and development tools and the system platforms will allow for application migration to other platforms as they grow. Support costs will be reduced through standardization within agencies and across the enterprise. Purchasing policies will support the efficient and timely purchase of products that meet the standards.









3.2 Network Services: Communication between agencies and with external customers requires a single, secure, integrated wide area network that is reliable, widely available and allows for flexible growth. The network architecture will be based on common, open, non-proprietary protocols and on industry and product based standards. Network capacity will provide sufficient bandwidth for future expansion and multiple data formats, including voice and video. Commercial services will be used when appropriate and economically justified. Remote access will be available to NETL with mobile employees or distant offices.

3.3 Application Development: All application development must support the mission and business objectives of the agency. To maximize the productivity of system developers, application development will use common processes, languages and tools. When designing an application, the following requirements should be considered:

Performance

User requirements for ease of use

Ongoing operations and support costs

Internet accessibility

The use of reusable objects will be considered to reduce development costs. When possible, development technologies will be used that allow applications to migrate between platforms as they grow. Databases should be independent of the application to allow for system development flexibility. Before development or purchase of a new application, the availability of appropriate maintenance and support must be evaluated. Along with rapid changes in technology, application development advancements will be evaluated and migration processes to the new technology developed as needed. The number of web enabled applications will grow as the Internet becomes the common vehicle for access to public information.

3.4 Data Management: Data is the raw material from which information is produced and the quality, reliability and integrity of the data must be maintained for the information to be useful. As a capital resource, information will be shared wherever possible; however, definitions of the data must be understood so that it is used consistently across the organization. Public data warehouses will be considered as a vehicle to provide access to information in an easy to use









fashion. Databases should allow for the storage of multiple object types thereby enhancing the value of the data. The state will move to the use of relational database management systems because of advantages in terms of access, flexibility and ease of use. The investment in application development should be protected from changes in vendor direction by choosing when possible, database management systems that are independent of the platform and application development tools. The standard will include several commercial database management systems designed to target specific markets. A database management system should be chosen for the application based on the following requirements:

Size of workgroup

Accessibility

Security

Ease of use

Anticipated growth

Business needs

Performance

Support and maintenance requirements

Cost

Size of database

Portability

Product stability

3.5 Security: Security policies and standards cover the physical and electronic

access to information as well as the transmission, storage, and processing of information. Security measures will be taken to prevent unauthorized modification or the destruction of critical information or systems. Implementation of security measures must also protect the confidentiality of the sensitive data from unauthorized access. Risks associated with unauthorized access should be analyzed and balanced against the cost of protecting the information to ensure









that business activities are not unduly hindered or unnecessary costs incurred. The owning agency shall identify the security requirements of their information based on legal requirements and agency policy and will authorize access to the data on a need-to-know basis. Maintaining the security of the data is a joint responsibility between Information Services Division, state agencies, and their customers who access the data.

3.6 Office Automation: Office automation software will enhance the efficiency and productivity of state personnel. Office automation product standards will be used to maximize information sharing and will be supported by purchasing options such as state contracts and site licensing. ITD will be responsible for the management of all NETL software licenses. The use of office suite software provides for the integration of software applications and allows for the easy transfer of data from one application to another. E-mail communication is a very important function within and outside NETL and requires high reliability and availability. E-mail systems need the capability to include attachments as a way of sharing information. The direction of the NETL e-mail system is towards an enterprise mail system with all mail routed to a single domain for NETL and an easily accessible DOE e-mail directory. The Internet, via agency web sites, has become the vehicle for public access to information, replacing or augmenting paper publications. This will drive the need for office automation products that support HTML as a language for formatting information.

3.7 Project Management: Projects are by definition a temporary process designed to achieve a clearly defined goal or objective within given resource constraints such as time and budget. The CIO standards and policies will ensure that a disciplined, managed, and consistent approach will be used to manage projects, resulting in the delivery of quality products, on time and within budget. Project management, by its very nature, is an iterative process involving planning, monitoring, evaluating and taking corrective action throughout the project. Because information technology projects vary in size and scope, project management guidelines must be flexible enough to accommodate a wide variety of projects from small, well-defined efforts with readily achievable goals to large, complex or high risk ventures.

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