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ARCHIVED - An Enhanced Framework for the Management of Information Technology Projects - Part II Solutions: Putting the Principles to Work


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4. Enhanced Framework Solutions

The goal of any IT/IM project is to deliver a product. This may be a new system, a modified or enhanced system, hardware, and/or any other supporting components. Implementation of the Enhanced Framework will enable project teams to focus on this goal.

In order to support and facilitate departmental implementation, the Enhanced Framework document (published May 1996) outlined an action plan calling for the development of concrete tools and techniques that could assist departments with implementation. As a result pilots have been conducted, assessments have been made, lessons have been learned, goals have been defined, priorities have been established and solutions have been developed. Implementing these solutions will complete the supporting foundations required to ensure project success.

These tools and techniques fall into one of three sets:

  • solutions that directly support the project;
  • solutions that improve both the primary processes within a project and other supporting processes external to the project (but related to the IT/IM organization); and
  • solutions that support the people involved in project delivery.

These solution sets transcend the boundaries of the pyramid layers. These concepts are illustrated in Figure 4, on the following page.

 

Figure 4: Solution Sets (7964 bytes)

Figure 4: Solution Sets

The solution sets contain templates, samples, strategies, tools, methodologies, standards, and/or programs.

  • The Project Solution Set contains approaches that pertain to governance, procurement, risk management and the planning and control of a project. These will be of assistance for departments implementing Plateau 0, as defined in the Departmental Implementation Plateaux.
  • Process improvement models, guides, assessment tools and methodologies are identified in the Process Solution Set. These will be of interest to those departments implementing Plateaus 1-4.
  • Solutions that assist in the support and development of the people involved in a project are defined in the People Solution Set. This set reinforces and supports the other two sets described and will assist in the realization of Plateaux 0 – 4.

4.1 Overview of Solutions

The following chart illustrates the solutions being developed by the Treasury Board Secretariat.

Project Solution Set Solutions
Governance Structure
  • Business Case
  • Project Charter
  • Gates, Reviews and Approvals
Procurement Reform
  • Benefit-driven Procurement
Risk Management
  • Continuous Risk Management Approach
  • Selected Methods/ Tools/Techniques
  • Lessons Learned database
Planning and Control
  • Tracking and Control Scenario
  • Function Point Analysis
  • Earned Value
  • Measurement Benchmark database

 

Process Solution Set Solutions
Process Improvement Models and Guides
  • Capability Maturity Models - Software Engineering Institute (SEE)
  • Key Process Area Handbooks (SEI)
  • EssentialSet Process Templates - Software Productivity Centre (SPC)
  • IDEAL Guide to Process Improvement
  • Tailoring Guidelines
  • Lessons Learned database
Assessment Methodologies and Tools
  • Enhanced Framework Questionnaire
  • CMM-Based Appraisal for Internal Process Improvement (SEI)
  • S:PRIME (GrafP),
  • Softguide (SPC)
  • Capability Assessment Questionnaires

 

People Solution Set Solutions
Project Management Support
  • Core Competencies
  • Symposia Series
  • Project Management Guide
  • Project Management Tools Survey
  • Web Site
PM Career Development
  • Accreditation Program
  • Project Manager Network
  • Education Program

These solution sets are designed to provide departments with a starting point. As with any tool, tailoring is required by the department to ensure that the tools directly support the specific environment.

4.2 Where and When to Use The Solutions

The chart below aligns the solutions defined with the appropriate implementation Plateau. The 'x' in the diagram indicates where a particular solution should be introduced or its use begun. Once a solution or tool has been initialized, its use is expected to be refined and continued through the remaining Plateaux. These solutions are described in further detail in the sections that follow.

Solutions (Project Solution Set) Plateau 0 Plateau 1 Plateau 2 Plateau 3 Plateau 4
Business Case  X        
Project Charter  X        
Gates, Reviews and Approvals  X        
Benefits-driven Procurement  X        
Continuous Risk Management  X        
Continuous Risk Mgmt. Guidebook  X        
Selected Methods/ Tools/ Techniques  X        
Risk Mgmt. Lessons Learned Database  X        
Modern Tracking and Control Scenario  X        
Function Point Analysis    X      
Earned Value   X      
Measurement Benchmark Database   X      

 

Solutions (Process Solution Set) Plateau 0 Plateau 1 Plateau 2 Plateau 3 Plateau 4
Capability Maturity Models – SEI   X      
Key Process Area Handbooks – SEI    X      
EssentialSet Process Templates – SPC    X      
IDEAL Guide to Process Improvement  X        
Tailoring Guidelines   X      
Process Improvement Lessons Learned Database    X      
Departmental Assessment Questionnaires  X        
CMM-based Appraisal for Internal Process Improvement – SEI    X      
Other Capability Assessment Model  X        

 

Solutions (People Solution Set) Plateau 0 Plateau 1 Plateau 2 Plateau 3 Plateau 4
Core Competencies X        
Symposia Series    X      
Project Management Guide  X        
Project Management Tools Survey  X        
Web Site    X      
Accreditation Program    X      
Project Manager Network    X      
Education Network   X      

4.3 Project Solution Set

4.3.1 Governance structure

Purpose: This document outlines the governance structure that is to be used across the federal government to manage IT projects. It satisfies the key factors for success as identified in the Chaos Report(6) – early agreement on project requirements, commitment and involvement of the user community, and attention and decisions by top executives. It is also supported by the concepts of modern comptrollership.(7)

Benefits: A consistent and co-ordinated governance structure is needed for successful implementation of IT projects. A sound governance structure will help departments avoid typical project failures.

Synopsis: The governance structure consists of three elements – a business case, a project charter and the gating, reviews and approval process.

The Business Case puts the investment decision in a strategic context and positions the business objectives and options that will affect both the decision and the investment itself. It provides the information necessary to make a decision about whether a project should proceed. It provides an analysis of all the costs, benefits and risks associated with a proposed investment and with the reasonable alternatives to the proposed investment.

The Project Charter is a signed agreement between all stakeholders that defines the objectives, roles, responsibilities and level of participation of each stakeholder.

The Gating, Reviews and Approval Process establishes in the project charter the project review gates. The review gates are the major decision points of a project – to continue or to walk away. For each gate, the deliverables for that review, the type of review, the stakeholders responsible for reviewing each deliverable and the appropriate approval authorities must be defined.

Affected Audience:

  • Business Program executives and Information Technology executives responsible for strategies, priorities, and decisions.
  • Business Program managers who implement information technology solutions in their program delivery value chains.
  • Information Technology process support teams who provide the common standards and infrastructure for projects.
  • Information Technology project teams who need an action ready-project infrastructure so that they can concentrate on delivery of the business solution.

4.3.2 Procurement reform

Purpose: Benefits-driven Procurement (BDP) is a direct response to the stated need for new methods of supply and process that address efficiency and effectiveness concerns. BDP basically alters the way in which requirements are defined, the way in which vendors are solicited and evaluated and the way in which project expectations are managed to ensure success. BDP embraces the principles, practices and tools called for in the Enhanced Framework, and is defined to be a "value-added approach to acquire and implement business solutions for complex IT/SI projects traditionally characterized by significant risk".

The purpose of the Benefits-driven Procurement (BDP) Tool Kit is to provide methods and tools to support the BDP Process. BDP is one of several accepted approaches to procurement.

Benefits: The benefits of Benefits-driven Procurement leading to increased success of the IT/SI projects and, consequently, value for money are:

  • flexible business arrangements and processes that are driven by the outcomes and benefits of the project;
  • sound, continuous risk management;
  • tight integration of the procurement activities with the project management process;
  • increased visibility of the fiscal element throughout the project; and
  • constant focus on process and organizational ability.

Synopsis: Key elements of the BDP tool kit include:

  • the Logical Framework Method as a tool to scope projects;
  • a guide to evaluating business cases;
  • a guide to evaluating business case tools;
  • a risk assessment guide (template);
  • a guide to evaluating performance measurement and tracking systems and data;
  • a guide to developing a BDP Request for Proposal document (including a template);
  • a guide to evaluate BDP proposals (template of evaluation criteria);
  • a guide to implementing gating in BDP projects (gating checklist); and
  • a guide to contracting under BDP.

Affected Audience: The tool kit has been developed for all stakeholders who will implement, manage or participate in a BDP procurement. It addresses more specifically the needs of the procurement officers who must apply the concepts set forth in the BDP process.

4.3.3 Risk management

Purpose: This solution set is proposed to facilitate the implementation of risk management within IT projects.

Benefits: Sound risk management regimes help people avoid disasters, rework and stimulate win-win situations on software projects. Some of the benefits resulting from implementing risk management include:

  • preventing problems before they occur;
  • improving product quality;
  • enabling better use of resources; and
  • promoting teamwork.

Synopsis: The strategy for implementing an improved risk management regime builds upon a series of proven and related elements. These include a Continuous Risk Management approach promoted by the Software Engineering Institute, a Guidebook that identifies and facilitates the use of risk management tools and techniques, a set of selected methods/tools/techniques, and a Lessons Learned database.

Continuous Risk Management is an approach to risk management promoted by the Software Engineering Institute and selected for use by the PMO. Continuous Risk Management is simply an area of emphasis of good project management. It is applied common sense; it should be a normal aspect of the project manager's daily work.

The functions performed in Continuous Risk Management are described in Table 1.

Table 1: Risk Management Functions

Function Description
Identify Search for and locate risks before they become problems.
Analyze Transform risk data into decision-making information. Evaluate impact, probability and timeframe, classify risks, and prioritize risks.
Plan Translate risk information into decisions and mitigation actions (both present and future), and implement those actions.
Track Monitor risk indicators and mitigation actions.
Control Correct for deviations from the risk mitigation plans.
Communicate Provide information and feedback, internal and external to the project, on the risk activities, current risks, and emerging risks.

Note:

Communication happens throughout all the activities of risk management.

The Guidebook, published by and available from the Software Engineering Institute explains Continuous Risk Management. It helps practitioners to understand the principles, functions, methods and tools of Continuous Risk Management, shows what it could look like when implemented in a project and how a project can implement its own adaptation. This guidebook is comprehensive and one of the best available on the market. It is an invaluable tool to any department implementing risk management. It does not, however, provide a cookie-cutter solution for all situations. There is no such solution. The guidebook outlines a generic practice with a variety of commonly used methods and tools from which to choose. It is meant to be adapted to suit organizations and projects.

Selected methods/tools/techniques. To help the responsible officials to get started, the following have been selected to initiate improvements. All of these selected approaches are described in the Continuous Risk Management Guidebook, as are several others that may be preferred. Some departments have already used those identified below and therefore provide an opportunity to leverage lessons learned.

Table 2: Selected methods/tools/techniques

Activity Method/tool/technique
Risk Identification
  • Taxonomy-based Questionnaire and Interviews
  • Risk Information Sheets
Risk Analysis
  • Tri-level Attribute Evaluation
  • Taxonomy Classification
  • Comparative Risk Ranking and Top N
Risk Planning
  • Planning Decision Flow Chart
  • Risk Information Sheets
Risk Monitoring
  • Tri-level Attribute Evaluation
  • Risk Information Sheets
Risk Control
  • Cause and Effect Analysis
  • Risk Information Sheets

Lessons Learned database: The PMO is in the process of implementing a risk management lessons learned database that is scheduled to be operational in the fall of 1998. The purpose of this database is to document what government departments have read, learned, tested and experienced in risk management as well as documenting successes and less-than successful experiments.

Affected Audience: Improved risk management will have implications for two distinct groups within the federal government IT community:

  • the departments that must manage and deliver IT projects (specifically the Head of IT to implement the program and the Project Managers to use the tools); and
  • the agents, such as PWGSC, who must ensure that the acquisition vehicles used for IT goods and services embody the principles of improved risk management and see to it that these are respected by private-sector suppliers.

4.3.4 Planning and control

Purpose: The purpose of Project Tracking and Control Standards is to ensure that projects are planned consistently and the right information is available to support both routine and milestone decisions. A common set of expectations and vocabulary will help users to exploit the power of information technology.

Benefits: Co-ordinated and consistent Project Tracking and Control Standards are needed for successful implementation of information technology projects in industry and government. Key factors for success include early agreement on project requirements; commitment and involvement of the user community; and attention and decisions by top executives. A core set of definitions and measures will streamline business communications and business decisions.

Synopsis:
Summarized components of a modern Tracking and Control scenario include:

  • roles and responsibilities of project sponsors, executive managers, project leaders, project managers, support teams, project teams, operations teams;
  • decision loops, decision points and decision processes at both the organizational and project levels;
  • reporting standards for each decision point within the decision loop; and
  • a Measurement Benchmark Database, which will be established to support the realistic evaluation of size, cost, schedule and risk.

The Earned Value Method of planning and reporting progress on deliverables, which is being used for Major Crown Projects, will be adapted for use in information technology projects.

The Function Point Method of planning and controlling the size of software will be packaged for implementation.

Affected Audience:

  • Business Program executives and Information Technology executives responsible for strategies, priorities and decisions.
  • Business Program managers who implement information technology solutions in their program delivery value chains.
  • Information Technology process support teams who provide the common standards and infrastructure for projects.
  • Information Technology project teams who need an action-ready project infrastructure so that they can concentrate on delivery of the business solution.

4.4 Process Solution Set

4.4.1 Process improvement models and guides

Purpose: This solution set is intended to ease the implementation of process improvements within IT organizations across the federal government in support of the Enhanced Framework.

Benefits: Some of the recorded and publicly announced benefits resulting from process improvement(8) include:

  • increases in productivity ranging from 10 per cent to 100 per cent;
  • defect and error rate reductions of 45 per cent to 70 per cent;
  • cost savings ranging from $4 to $6 saved for every dollar invested in process improvement;
  • schedule improvements, including the reduction from 50 per cent to 1 per cent late projects; and
  • rework reduced from 40 per cent to 25 per cent of the total project effort.

It is reasonable to assume that similar gains can be achieved in the federal government and that these improvements will provide a level of predictability in IT projects that will minimize project cancellations and/or overruns.

Synopsis: The Process Improvement implementation strategy builds upon a series of proven and related elements. These include: Capability Maturity Models, which identify key practices that must be performed in the project environment; guides and templates that describe these practices; tailoring guidelines and support; an improvement path that clearly identifies the milestones to be achieved; an improvement process to guide departmental initiatives and a lessons learned database.

The Capability Maturity Models (CMMs) were created and are promoted by the Software Engineering Institute (SEI). While the initial focus is on the software CMM since software is an area of prime PMO concern, other models such as the Systems Engineering CMM, the Software Acquisition CMM and the People CMM are also available. They can be accessed on the Internet or through the PMO for those situations in which they should be applied. Each CMM defines a number of Key Process Areas, and is comprised of Goals and Key Practices that must be followed to assure an organizational capability to deliver on project commitments.

Personal Software Process (PSP): The original impetus for developing the PSP came from questions about the SEI software-CMM. Many viewed the CMM as designed for large organizations and did not see how it could be applied to individual work or to small project teams. As a result, the SEI has devised a means of adapting 12 of the 18 CMM key process areas to the work of individual software engineers and this is expressed in the PSP.

It has been found that, by using a defined and measured personal software process, engineers can improve the quality of their products by five to ten times while also improving their productivity. The PSP is a promising way for engineers to understand their own performance and to see how to improve it.

Key Process Area Handbooks fully describing each of the 18 SW-CMM Key Process Areas (e.g. Requirements Management) have been assembled from the SEI materials. Information includes an overview, a description of the goals, practices and activities, roles, inputs, outputs, entry and exit criteria, measurements, work products managed and controlled, documented procedures, training and tools. These are available from the PMO.

EssentialSet is a set of adaptable and reusable templates based on the SEI SW-CMM that define how to perform the SEI Key Practices in order to fully satisfy the goals of Enhanced Framework Plateaux 1 and 2. It is available through the Software Productivity Centre in Vancouver (http://www.spc.ca).

Tailoring is an important component or tool in the solution set. It is expected that the SEI models, Key Process Areas and Key Practices, and tools built on them such as EssentialSet, will be tailored by the organization before being applied. A guide for tailoring the CMM for small - to medium-sized organizations is available from LOGOS, Inc. in the U.S. by calling (617) 259-8266.

The Improvement Path is described more fully in Section 3 of this document. It is designed to be directly applicable to the Process Improvement initiative.

The IDEAL User's Guide for Process Improvement (also an SEI product and available through both the SEI and the PMO) can be used as a step-by-step guide to implement improvements in an organization. It provides a comprehensive, step-by-step guide on how to introduce change in a structured manner. It saves time by:

  • defining clear roles and responsibilities;
  • ensuring that no steps are missed; and
  • leveraging lessons learned through a cyclical approach.

A Process Improvement Lessons Learned database is being developed by the PMO.

Affected Audience: This solution is intended primarily for the providers of IT goods and services. They can be represented by departmental IT managers and practitioners, as well as the IT industry, which needs to improve its processes in order to satisfy the ever-increasing pressures placed on them.

4.4.2 Assessment methodologies and tools

Purpose: The Assessment and Methodologies Tools outlined below can be used by IT organizations to determine the areas where best to assign resources for greatest return on investment in support of the Enhanced Framework.

Benefits: Benefits resulting from assessments include:

  • identification of strengths and areas for improvement;
  • guidance in selecting and rolling out EMF Solutions;
  • identification of opportunities to leverage best practices;
  • establishment of a baseline against which to measure progress; and a
  • kick-start for new improvement initiatives or support for ongoing activities.

Synopsis: The PMO and departments have used a number of tools to assess compliance with the Enhanced Management Framework and an organization's capability maturity.

The Enhanced Framework Questionnaire was designed to assess the degree to which departments were using recommended practices. It is a requirement that must be completed by departments seeking TBS approval for a project.

Each SEI CMM has a standard and comprehensive assessment tool (questionnaire) and methodology associated with it that can be used to determine the degree to which an organization is capable of consistently performing well-defined Key Processes. These tools point to specific practices requiring improvement.

The most comprehensive of these is the CMM-based Appraisal for Internal Process Improvement, or CBA-IPI. An SEI-trained and authorized lead assessor must conduct it. It can take 200 person-days over several months and cost about $100K, but it has been proven to work in many organizations. SEI has also developed a Maturity Questionnaire that serves primarily to identify issues requiring further exploration. It addresses each Key Process Area goal, but not all of the Key Practices. There are six to eight questions for each of the 18 Key Process Areas.

S:PRIME is a methodology and a product based on the SEI SW-CMM. It can be used to identify and prioritize improvements to software processes based on risk mitigation and to develop an action plan. It is available through the Applied Software Engineering Centre (ASEC) in Montreal by calling (514) 840-1244.

Softguide is an automated questionnaire used to identify and prioritize areas for improvement and develop an action plan. It is available through the Software Productivity Centre (SPC) in Vancouver (http://www.spc.ca)

The Systems Engineering CMM has a questionnaire associated with it as does the Software Acquisition CMM. Both are available through the SEI.

The PMO has put together an Assessment Questionnaire comprised of 117 questions that will be used to assess process capability in departments. Twenty of the questions are from the original EMF Project Assessment Questionnaire, eight are from the SE-CMM questionnaire and 89 are modified Softguide questions.

Another related solution of interest is SEI's Software Capability Evaluation (SCE) Methodology. The SCE is used for software acquisition as a discriminator to select suppliers, for contract monitoring and for incentives. It can also be used for evaluation of internal processes. The SCE is used to gain insight into the software process capability of a supplier organization and is intended to help decision makers make better acquisition decisions, improve subcontractor performance and provide insight to a purchasing organization.

Affected Audience: This solution is intended primarily for the providers of IT goods and services. They can be represented by departmental IT managers and practitioners, as well as the IT industry who need to improve their processes in order to satisfy the ever-increasing pressures placed on them.

4.5 People Solution Set

4.5.1 Project management support

Purpose: The PM Support program is designed to provide project sponsors, project leaders and project managers with the appropriate procedures, tools and training to be able to successfully manage IT projects within the federal government environment.

Synopsis: The project manager support program has four components: the Project Management Symposia series; a Project Management Guide; a survey of project management tools; and the Enhanced Framework web-site.

The Core Competencies document details the core competencies, or basic skills, required by persons managing an information technology (IT) project in the Canadian federal government be they the project sponsor, project leader or project manager. These skills fall into three broad areas: general management, project management and IT/IM project management.

The PM Symposia Series consists of three symposia all focusing on managing IT projects within the federal government environment. The first symposium will be a two-day event for executive-level project sponsors and project leaders. The second is a 10-day symposium for master project managers. (A five-day subset of this symposium will be offered to intern/professional project managers). The third is a five-day symposium for non-executive-level project sponsors and project leaders.

The Project Management Guide is to provide a simple but comprehensive guide to the management of IT projects in the federal government. It is a hierarchy of documents that covers all aspects of project management related to the governance of the project lifecycle. The contents of the guide are based on the ISO/IEC 12207 software lifecycle process descriptions and will incorporate principles of the Project Management Institute's Project Management Body of Knowledge (PMBOK), the Software Engineering Institute's Capability Maturity Model for Software and other relevant TBS and external reference materials. In addition to the project manager's role, the document will also address the roles of the project leader and project sponsor.

The PM Tools Survey identifies and describes a set of effective automated tools to support project management activities. It defines the tools and explains how the features of current products can improve system development and maintenance.

The Enhanced Framework Web-site, will contain the documents and lessons learned databases developed for the project management solution set. It will also contain hyperlinks to key project management related web-sites.

Affected Audience: Project sponsors, project leaders and project managers would benefit from the symposia series. The guide and tools survey are intended primarily for the use of departmental process improvement personnel to determine where and how the solutions of the Enhanced Management Framework should be incorporated into the departmental project life cycle. These tools are also intended to provide support to IT project personnel as they implement the principles of the Enhanced Framework within their projects.

4.5.2 Project management career development

Purpose: The purpose of the PM Career Development program is to ensure that project managers have the required skills and experience to manage large IT projects.

Benefits: With accredited project managers, projects will be better managed and therefore have a higher success rate. The PWGSC Institute will maintain an inventory of all project managers resulting in the creation of a Project Management community. Once the PM community has been identified, career development and enhancement opportunities will be created and programs like a project management network can be developed. In addition, with accreditation, a career development target for project management will exist for staff and management.

Synopsis: The career development program consists of an education program, an accreditation program and a project manager network.

The Education Program, called The Institute Certificate in Project Management, is available from The Institute for Government Information Professionals in PWGSC. It currently consists of seven courses and three seminars.

The Accreditation Program will also be available from The Institute for Government Information Professionals in PWGSC. It will consist of an exam to ensure adequate skills and the requirement to have a minimum of 4 years experience in managing complex IT projects and two recommendations from project sponsors.

The Project Manager Network will be developed once the inventory of project managers has been created. The intent is to establish a network for the exchange of information and lessons learned.

Affected Audience

Aspiring project managers and their management will use the PM career development program. The Treasury Board will require that projects seeking TBS approval have an accredited project manager identified for the project.

4.6 Solution Availability

Some of the solutions described have already been developed and are available from the TBS, while others are still in the development stages. The availability of the solutions is summarized in the following chart:

Solution December 1997 March 1998 June 1998
Business Case x    
Project Charter   x  
Gating, Reviews and Approval Process   x  
Procurement Reform x    
Risk Management x    
Planning and Control   x  
Measurement Benchmark Database     x
Process Improvement Models and Guides x    
Assessment Methodologies and Tools x    
Project Management Support – Symposia Series     x
Project Management Guide   x  
PM Tools Survey   x  
Enhanced Framework Web-site   x  
Project Management Career Development Program     x
Lessons Learned   x  

A complete list of all developed supporting documentation available from the TBS or from its original source can be found in Appendix 3.