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

Enhanced Management Framework
Project Tracking & Oversight Process

Document Revision Draft 1.0
Date of Issue: January 2000

Process Owner: Enhanced Management Framework

PPTO-PS-003

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	3
2.	Process	4
2.1	Entry Criteria	4
2.2	Process Map	4
2.3	Inputs	6
2.4	Activities	7
2.5	Outputs	8
2.6	Verification and Validation	8
2.7	Exit Criteria	9
2.8	Metrics	9
2.9	Records Control Table	9
2.10	Controlled Documents Table	9
Annex A – Lexicon	10
Annex B – Acronyms	11
Annex C – Flowcharting Symbols	12
Annex D – Bibliography	13
Annex E – Document Change Control	14

1.	Introduction
1.1	Purpose
The purpose of this document is to describe the process to be followed by a project manager to track a project. 
1.2	Scope
This process is applicable to any Information Management/Information Technology (IM/IT) project and to any phase of the IM/IT development life cycle.
1.3	Roles
Everyone in the organisation has a role to perform in this process.
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 Key Practice:  Software Project Tracking and Oversight.  
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-001  Project Management Process
PPTO-PS-002  Project Planning 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/Publications/SoftwareToolsReport/stf_e.html 
1.6	Inquiries
For further information on this process:
Go to www.cio-dpi.gc.ca/emf-cag/index_e.asp       
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
•	Approved Set of Requirements, as required by your IM/IT methodologies
•	Approved Project Plan	

2.2	Process Map
The overall process flow given below shows the interaction and flow among the activities.  More details about the activities 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.	
Project Plan	•	Original or Revised	PPTO-TM-002	
Project Actuals	•	The current status of the project		
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	•	Project Planning	PM	•	Project planning in the context of overall project management is documented in the referenced documents.	PPTO-PS-002
PPTO-PS-001	
2	•	Obtain Tracking Requirements	PM	•	Obtain the data collection requirements for project tracking from the Project Plan. 	PPTO-PS-002
PPTO-PS-001
PPTO-TM-002	
3	•	Obtain Baseline	PM	•	Obtain the baselined estimates from the Project Plan.	PPTO-PS-002
PPTO-PS-001
PPTO-TM-002	
4	•	Collect Actuals
•	Compare Actuals to Plans	PM	•	Collect and store the current actual values of the tracking data, and compare them to the baselined estimates.
•	Perform according to Project Plan Schedule.	PPTO-PS-002
PPTO-PS-001
PPTO-TM-002	
5	•	Evaluate Status and Performance
•	Monitor Risks	PM	•	Evaluate the project's performance and status relative to the plan.  Identify the reasons for deviations from the plan; identify both delays and accelerations; and monitor risks.	PPTO-PS-002
PPTO-PS-001
PPTO-TM-002	
6	•	Status Meeting
•	Project Review
•	Commitment Review		•	Determine whether the project's objectives, plan, or resources need to be adjusted.  
•	Re-planning Needed?
•	[Yes]  Go to activity 1.
•	[No]  Is project completed?
•	[Yes] Write postmortem.
•	[No] Go to activity 4.
	PPTO-PS-002
PPTO-PS-001	

2.5	Outputs 
The following outputs are produced or modified by the activities in this process.
Output	Detail of Outputs and Remarks	Ref.	
Project Logs and Status Report

	•	Update issue log, decision log, action log and risk log.
•	Document:
•	Reasons for deviations from the plan
•	Corrective actions taken
•	Recommendations for further adjustments

•	Track and report on requirement changes, size, schedule, cost, quality, people and resources such as equipment, tool, training, development environments, infrastructure, as defined in the Project Plan.
•	Assess and document status as per the schedule and reporting requirements defined in the Project Plan.
•	Store the logs and status reports in the project’s quality records to form part of the projects historical data. 		
Project Postmortem	•	Conduct a postmortem to capture lessons learned.		

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.
•	Approved postmortem.	

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
Caputo, Kim, CMM Implementation Guide:  Choreographing Software Process Improvement.  Addison Wesley, Reading, Massachusetts, 1998.
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	1999-09-23	EMF/PPTO	Draft 0.1	
1.0	1999-11-09	EMF/PPTO	First Draft	
1.0	2000-01-13	EMF/PPTO	Second Draft