Treasury Board of Canada
Secretariat	Secrétariat du Conseil du Trésor 
du Canada	

Enhanced Management Framework
Project Management Process

Document Revision Draft 1.0
Date of Issue: January 2000

Process Owner: Enhanced Management Framework

PPTO-PS-001

Table of Contents
1.	Introduction	1
1.1	Purpose	1
1.2	Scope	1
1.3	Roles	1
1.4	Definitions and Acronyms	2
1.5	References	2
1.6	Inquiries	4
1.7	Conceptual Flow	5
2.	Process	7
2.1	Entry Criteria	7
2.2	Process Map	7
2.3	Inputs	9
2.4	Activities	10
2.5	Outputs	12
2.6	Verification and Validation	13
2.7	Exit Criteria	13
2.8	Metrics	13
2.9	Records Control Table	13
2.10	Controlled Documents Table	14
Annex A – Lexicon	15
Annex B – Acronyms	16
Annex C – Flowcharting Symbols	17
Annex D – Bibliography	18
Annex E – Document Change Control	19

1.	Introduction
1.1	Purpose
This document describes how the project management processes work together to form a management system directed toward meeting Information Management/Information Technology (IM/IT) delivery commitments.
1.2	Scope
This document is applicable to any IM/IT project.
The scope covers the processes necessary to support IM/IT delivery commitments at the portfolio level.  These processes include organisation-wide processes at the portfolio level, and project-based processes at the project level.
Project Level Processes	Portfolio Level Processes	
Requirements Management Process	Commitment Control Process	
Project Planning Process	Project Management Review Process	
Estimation Process	Software Quality Assurance Process	
Project Tracking Process	Project Management Processes Overview	

1.3	Roles
Everyone in the organisation has a role to perform in these processes.
Role	Description/Responsibilities	
Project Leader (PL)	This is the person appointed by the sponsoring department to be accountable for all external and internal aspects of a capital project. http://www.publiservice.tbs-sct.gc.ca/pubs_pol/dcgpubs/TBM_122/ABKGLOS_e.html
	
Project Manager (PM)	This is a person formally appointed to manage a project with specific accountability for achieving defined project objectives within allocated resources.  A project manager has access to, and a formally defined relationship with, the project leader to which the specific project has been assigned. http://www.publiservice.tbs-sct.gc.ca/pubs_pol/dcgpubs/TBM_122/ABKGLOS_e.html	
Project Team Member (PTM)	Software engineer or writer assigned to a project
Responsible for completing project tasks, providing input to plans, and providing status	
Project Management Office (PMO)	This is a distinct and temporary organisational unit led by the project manager tasked to administer a project. It consists of assigned full or part-time members of the sponsoring department and, when appropriate, representatives of participating departments working together in accordance with any interdepartmental agreements or memorandums of understanding. http://www.publiservice.tbs-sct.gc.ca/pubs_pol/dcgpubs/TBM_122/ABKGLOS_e.html 	
Quality Assurance (QA)	Responsible for support of quality assurance activities.	
Configuration Management  (CM)	Responsible for support of configuration management activities.	

1.4	Definitions and Acronyms
Refer to Enhanced Management Framework Lexicon.
Refer to Enhanced Management Framework Acronyms.
Refer to Enhanced Management Framework Web Links

1.5	References
1.5.1	Traceability
This process was designed to satisfy the SEI Software Capability Maturity Model goals for Level 2.  
1.5.2	Policies
Treasury Board Secretariat Policies:
•	Capital Plans - Glossary
•	Management of Major Crown Projects
•	Procurement Review Policy
•	Project Management
•	Project Approval
The policies above are located at the following URL:
http://www.publiservice.tbs-sct.gc.ca/pubs_pol/dcgpubs/TBM_122/siglist_e.html
1.5.3	Standards
Annex A – Flowcharting Symbols
1.5.4	Processes
PPTO-PS-002  Project Planning Process
PPTO-PS-003  Project Tracking and Oversight Process
PEER-PS-001  Peer Review Process
1.5.5	Procedures
PPTO-PD-001  Estimate Software Product Size Basic Procedure
PPTO-PD-002  Estimate Project Resources/Schedule Basic Procedure
1.5.6	Guidelines
EMF Business Case Guideline
1.5.7	Templates
PPTO-TM-001  Process/Procedure Template
PPTO-TM-002  Project Plan Template
PPTO-TM-003  Project Estimates Template
EMF Project Charter Template
1.5.8	Checklists
PPTO-CK-001  Project Management Checklist
1.5.9	Training
For further information on training:
Go to www.cio-dpi.gc.ca/emf-cag/index_e.asp

1.5.10	Tools
For further information on tools:
Go to 
http://www.cio-dpi.gc.ca/emf/solutions/softools/toolsreport_e.html 
1.6	Inquiries
For further information on this process:
Go to www.cio-dpi.gc.ca/emf-cag/index_e.asp
1.7	
Conceptual Flow
The objective of this management system is to establish basic project management processes to track size, effort, quality, cost, schedule, computer resources, and functionality, and to establish the necessary process discipline to repeat delivery within budget, on time, with required functionality and quality, on projects with similar applications.  The conceptual flow of these processes is depicted in the following Management System Processes Pyramid:

To meet commitments, it is necessary to:
•	Understand REQUIREMENTS
•	ESTIMATE the work
•	PLAN the work, so the original commitment is achievable
•	Control the COMMITMENT approvals
•	TRACK status against the plans
•	REVIEW status toward commitments, and initiate changes if necessary
•	ASSURE product quality and process compliance and initiate corrective action if necessary
•	Control CONFIGURATION of deliverables and records
From a top-down view, initial commitments are supported by project plans, which in turn are supported by requirements and estimation activities.  After initial commitments are made, commitment status monitoring is supported by reviews, which in turn are supported by tracking and assurance activities.
From a bottom-up view, requirements are gathered and estimates of the work effort are made.  The results feed into plans, and the plans receive commitment approval.  Then, the plans are tracked, and the products and processes are assured.  The results feed into reviews, and reviews report status or issues on progress toward commitments.
Throughout, configuration management is applied to prevent loss of important project information such as deliverables and records.
2.	Process
2.1	Entry Criteria 
The following entry criteria describes the input’s state, an event, or an expired amount of time, which is required before this process can begin.
 Details of Entry Criteria	
•	Approved Business Case
•	Approved Project Charter	

2.2	Process Map
The overall process flow given below shows the interaction and flow among the processes.  More details about the processes can be found in 2.4 Activities.

2.3	Inputs
The following inputs are used in this process  Where they don’t exist, identify any associated risks.
Input	Detail of Inputs and Remarks	Ref.	
Business Case	The identification and justification of an IM/IT project that relates the IM/IT project to program priorities and the measurable improvements in program performance.
•	Identifies the opportunity
•	Describes the added value
•	Describes the IM/IT solution
•	Identifies the indicators to measure improvements in program performance	EMF Business Case Guideline	
Project Charter	An agreement between technical and business groups defining:
•	Partners & external stakeholders
•	Project management framework
•	Roles, responsibilities, accountabilities and activities
•	Management commitments
•	Empowerment framework	EMF Project Charter Template	
Enterprise Database	•	Actuals from previous IM/IT projects for comparison and verification of the planning process		
IM/IT Methodology Deliverables	•	Architectures, processes, templates, etc.		

2.4	
Activities 
The following activities are performed in this process.  Document all assumptions, risks, constraints etc. in the Project Plan.
No	Activities	Action by	Detail of Activities and Remarks	Ref.	
1	•	Definition
•	Analysis	PM	•	Define and analyse requirements to create a requirements specification that is input to project planning. 		
2	•	Initial Project Planning	PM	•	Initiate project planning. 
•	Divide the requirements if the requirements specification is to be addressed by more than one project and initiate multi-project development plans and individual project plans.  
•	Initiate risk management, if not started already, to identify and manage obstacles that could prevent the organisation from meeting the acceptance criteria. 	PPTO-PS-002	
3	•	Create Estimates
•	Review Estimates	PM	•	Create estimates using the business case, project charter, and requirements specification.
•	Review the estimates with the affected groups and individuals.  	PPTO-PD-001/002	
4	•	Obtain Commitment and Approval
•	Establish Baseline	PM	•	Obtain the commitment and approval of all affected groups and individuals
•	Review and discuss the plans. 
•	Sign the approval form when agreements and commitment is reached. This is the commitment point.
•	Establish/revise the baseline in the project and enterprise databases.	PPTO-PS-002	
5	•	Compare Actuals to Plans
•	Evaluate Status and Performance
•	Monitor Risks	PM	•	Compare actuals against the plan and identify deviations.
•	Evaluate deviations to determine if corrective action is required.
•	Monitor status of existing risks and corrective actions.
•	Identify new risks that could prevent the organisation from meeting the acceptance criteria.	PPTO-PS-003	
6	•	Requirements Status Tracking	PM	•	Track the requirements to ensure existing requirements are addressed and traceable throughout the development life cycle.	PPTO-PS-003	
7	•	Quality Assurance Plan
•	Conduct Audits	PM	•	Develop the Quality Plan with input from the Quality Plans from the individual projects.
•	After approval, perform the Quality Assurance activities. 		
8	•	Status Meetings
•	Project Review
•	Commitment Reviews	PM	•	Review project status and performance at 2 levels.
•	Conduct status meetings at the project level.
•	Conduct project reviews at the portfolio level.
•	Conduct commitment reviews .
•	If replanning is required, perform steps 9-12, else continue project tracking, risk management, and project management review.
•	If the project is complete , go to the delivery point and step 13. 	PEER-PS-001

PPTO-PS-003	
9	•	Replanning	PM	•	Update project plans using requirement changes and revised estimates.
•	Prepare a revised plan for approval and commitment negotiation.	PPTO-PS-002	
10	•	Requirements Change Control	PM	•	Perform requirements change control if revisions involve a change in the requirements.	PPTO-PS-001	
11	•	Additional Estimates	PM	•	Create additional estimates as required for project planning. 
•	Revise estimates as a result of requirement changes or deviations in the plan.
•	Refine estimates for next phase of project  	PPTO-PS-002/003	
12	•	New Commitment Negotiation
•	Revise Baseline	PM	•	Obtain the commitment and approval of all affected groups and individuals for the updated plans and estimates.
•	Go to step 4	PPTO-PS-002/003	
13	•	Post-mortem	PM	•	Conduct a post-mortem to capture information and lessons learned  from the project.	PPTO-PS-002	
14	•	Update Enterprise Database	PM	•	Collect project data, compare against the estimates and store historical data for future use in project planning, audits, process improvement, benchmarking, etc. 	PPTO-PS-002	

2.5	Outputs 
The following outputs are produced or modified by the activities in this process.
Output	Detail of Outputs and Remarks	Ref.	
Project Charter	•	Possible modifications	EMF Project Charter Template	
Project Plan	•	Project estimates are included in the Project Plan	PPTO-TM-002	
Project Deliverables	•	Deliverables the customer will receive		
IM/IT Methodology Deliverables	•	Deliverables the IM/IT organisation requires to produce the solution		
Project Postmortem	•	Conduct a postmortem to capture lessons learned		
Enterprise Database	•	Compare original estimates to actuals
•	Update historical data for use in future projects		

2.6	Verification and Validation
Output Validation	To determine if the outputs are within specification, 
•	Use the (PEER-PS-001) Peer Review Process and any techniques described in your IM/IT methodology.
•	Use validation techniques referred to in your IM\IT methodology such as testing, demonstration, analysis and inspection.

2.7	Exit Criteria
Details of Exit Criteria	
•	Client approves, revises or terminates the project, product or services.	

2.8	Metrics
Refer to Enhanced Management Framework, Exposure Draft Executive Toolkit, November 22, 1999 for the Project Health Check Dashboard.
2.9	Records Control Table
Not applicable at this time.  Populate table if seeking ISO certification. For more information, refer to (PPTO-TM-001) Process/Procedure Template.
Description
(no. and name)	Storage Location	Filing / Index	Minimum Storage Period	

				

2.10	Controlled Documents Table
Not applicable at this time.  Populate if seeking ISO certification. For more information, refer to (PPTO-TM-001) Process/Procedure Template.
Number	Name	Revision Date
(or version)	Owner	

Annex A – Lexicon
Refer to the Enhanced Management Framework Lexicon or insert a reference to your organisation’s Lexicon.

Annex B – Acronyms
Refer to the Enhanced Management Framework Acronyms or insert a reference to your organisation’s Acronyms.

Annex C – Flowcharting Symbols

		
Parallelograms represent inputs and outputs to or from a process/procedure.		

		
Rectangles represent individual process/procedure activities.  	Diamonds represent important decision points in the process/procedure.	

		
Lines with arrowheads connect symbols to show the progression or direction of the activities.	Circles represent connectors when a process/procedure flowchart continues on the next page.	

Annex D – Bibliography
Arthur, Lowell Jay, Rapid Evolutionary Development: Requirements, Prototyping and Software Creation, John Wiley and Sons, 1992.
Boehm, Barry, Software Engineering Economics, Prentice Hall, New Jersey, 1991. 
Caputo, Kim, CMM Implementation Guide: Choreographing Software Process Improvement. Addison Wesley, Reading, Massachusetts, 1998.
Garmus, David, Herron, David, Measuring the Software Process: A Practical Guide to Functional Measurements, Yourdon Press, 1996. 
Humphrey, Watts, Managing the Software Process, Addison Wesley, Reading Massachusetts, 1990.
Jones, Capers, Applied Software Measurement: Assuring Productivity and Quality, McGraw-Hill, Inc., New York, 1996.
Raytheon Electronic Systems Experience in Software Process Improvement, CMU/SEI-95-TR-017.
Schultz, Herman P., Software Management Metrics, ESD-TR-88-001, May 1988.
Refer to Enhanced Management Framework Web Links.

 

Annex E – Document Change Control
Revision Number	Date of Issue	Author(s)	Brief Description of Change	
0.1	1999-07-30	EMF/PPTO	Draft 0.1	
1.0	1999-11-09	EMF/PPTO	First Draft	
1.0	2000-01-13	EMF/PPTO	Second Draft