Cornell Project Management Methodology (CPMM)
LMU PM Project Initiation Plan
Unabridged Version
Project Name:
Campus EAI Portal
Business Unit / Program Area (Customer):
Executive Sponsor:
Project Director (Sponsor):
Organization:
Project Manager:
Proposed Project Start Date:
Proposed Project End Date:
Key Contact, Phone #
Date Submitted:
Date Approved:
Version:
Last Updated:
<MM/DD/YYYY>
This LMUPM template is annotated with notes to help authors when filling it out. Please make sure to
delete any of the text that is within <> with appropriate text specific to the project, particularly when you
submit a formal LMUPM form for signatures.
CPMM Project Initiation Plan
Version: February 28, 2006
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Contents
CONTENTS ............................................................................................................................................................................... I
1
EXECUTIVE SUMMARY ............................................................................................................................................ 1
2
GOALS AND OBJECTIVES ...................................................................................................................................... 1
3
4
5
2.1
Overall Goal
1
2.2
Specific Objectives
1
2.3
Success Criteria
1
PROJECT SCOPE ..................................................................................................................................................... 2
3.1
Functional Scope
2
3.2
System Scope
2
3.3
Project Interdependencies
3
3.4
Data Scope
3
3.5
Technology Scope
4
3.6
Organizational Scope
5
HIGH LEVEL SCHEDULE ......................................................................................................................................... 5
4.1
Work Breakdown Structure (WBS)
5
4.2
Key Deliverables
6
4.3
Milestone Schedule
6
ASSUMPTIONS ......................................................................................................................................................... 7
5.1
Stakeholder Roles and Responsibilities
8
6
COMMUNICATION PLAN........................................................................................................................................ 11
7
BENEFITS AND BUDGET ....................................................................................................................................... 13
8
PROJECT GOVERNANCE AND RESOURCING .................................................................................................... 14
9
8.1
Project Governance
14
8.2
Project Resourcing
15
MANAGEMENT APPROACHES ............................................................................................................................. 15
9.1
Mode of Accomplishment
15
9.2
Issues Management
15
9.3
Change Management
16
9.4
Risk Management
16
9.5
Procurement Plan
16
9.6
Transition Management Plan
17
9.7
Gathering Customer Requirements Approach
17
9.8
Reporting
18
10
RISK PLAN .............................................................................................................................................................. 19
11
SIGNATURES .......................................................................................................................................................... 20
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Change Record
Date
Author
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Version
Change Reference
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1 Executive Summary
2 Goals and Objectives
2.1
Overall Goal
2.2
Specific Objectives
1.
Objective
Description
<objective 1>
<Give a brief description of this objective, defining the attributes as above>.
Table 1: Project Objectives
2.3
Success Criteria
Explain how you will know that the overall project was a success, and then use the table below to specify what
measurements you will use to determine whether or not the individual objectives were met.
(You should be able to link the success criteria to each objective.)
Objective
1.
Success Criteria
<Give a brief description of the measurements you will use to determine whether the
objective has been met.>
2.
Table 2: Success Criteria
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3 Project Scope
Complete the following aspects of scope that further define this project.
3.1
Functional Scope
The functional scope defines the business functions and processes that are to be defined or supported by this
project.
In Scope
Out of Scope
Uncertain
Table 3: Functional Scope
3.2
System Scope
Define the systems within scope of this project, either as components of any application(s) to be delivered, or as
interfacing to this application. You may use either a table showing what is within and what is outside of scope, or a
Context Diagram, which shows the relationship of the components & interfaces—input, output, or both (an
example is shown below the table).
In Scope
Out of Scope
Uncertain
Table 4: System Scope
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General
Ledger
HR
IRS
Payroll
Payroll
Generation
Benefits
Components
System Interface
Figure 1: Context Diagram
3.3
Project Interdependencies
The project boundaries are defined by the projects that are interdependent with this project. Also identify follow on
projects that may be required.
Project
Interdependency Type
<List each project which is interdependent with this
project>
<Interdependency Types can be other: Project, Systems, Groups, Technology,
Resources>
Table 5: Scope—Project Interdependencies
3.4
Data Scope
Define the data boundaries of the project, in the form of a high-level business object model or data model. Figure 2
shows a sample of a high-level business object model.
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Department
Pay Period
Employee
Salary
Paycheck
Deduction
Deduction Type
Figure 2: Scope—Data: High-level business object model
3.5
Technology Scope
Technology Scope describes the components of technology (software, hardware, architectures, networks and
communications) that are to be considered within the scope of (that is, available to) this project
In Scope
Out of Scope
Uncertain
Table 6: Scope—Technology
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3.6
Organizational Scope
Define all organizational units considered in any way to be involved in this project in the table below, or if
appropriate, use an organization chart, like the one in Figure 3.
In Scope
Out of Scope
Uncertain
Table 7: Scope—Organizational Scope
In Scope
Not in scope
Figure 3: Scope-Organization chart
4 High Level Schedule
Developing the High Level Schedule it is best to start with a Work Breakdown Structure, a listing of the Key
Deliverables/Task and identify the Project Management and Project Product Lifecycle Milestones. Using this
information it is best practice to use a project scheduling tool (e.g. Microsoft Project) to produce the high level
Schedule. If your project is small or medium size you can use an excel template (CPMM Project Schedule)
4.1
Work Breakdown Structure (WBS)
WBS: A deliverable - oriented grouping of project elements that organizes and defines the total work scope of the
project. Each descending level represents an increasingly detailed definition of the project work.
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< This section is where you would place the High Level Work Breakdown Structure (WBS)>
4.2
Key Deliverables
A deliverable is any measurable, tangible, verifiable outcome, result, or item that must be produced to complete the
project. For example: these include project management deliverables (such as this Project Initiation Plan) and
project deliverables, such as the business requirements, technical designs, training plans etc.) At this stage of project
planning you should identify the Key Deliverables for the High Level Schedule.
< Enclose or attach a list of the Key Deliverables >
4.3
Milestone Schedule
The below Chart should show the Milestones (a significant event, end of process or phase or usually a completion of
a major deliverable) for your project. These milestones should include both the Project Management and Product
Milestones. If your project does not have a large number of Key Deliverables, you may wish to include them in the
table below and not list them separately.
Milestone
Start Date
Completion Date
Initiation
Project Charter
Approve Project Charter
Hold Kick Off for Project Initiation Planning
Planning (High Level)
Project Initiation Plan
Approve Project Initiation Plan
Hold Kick Off for Detail Planning
Planning (Detail)
Project Plan (Detailed)
Baseline Schedule
Approve Baseline Schedule
Hold Kick Off for Executing the Project
Executing and Controlling
<enter milestones for product / service development phases>
Closing
Transition to Steady State-Project Close Out Report
End of Project Review Report (Lessons Learned)
Table 8: Milestone Schedule
<You can attach the Project Schedule (e.g. MS Project schedule) showing the high-level schedule including the
Gantt chart in addition to the above table. Make sure to know what level of detail your governance board expects >
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5 Assumptions
State all base assumptions used to produce this plan. In particular state the assumptions about scope, time frame,
deliverables, policies, schedules, technologies, resources, and costs, etc.
<Base assumptions>
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5.1
Stakeholder Roles and Responsibilities
Stakeholders are all those groups, units, individuals or organizations, internal or external to our organization, which
are impacted by, or can impact, the outcomes of this project.
Stakeholders can be from many areas. Here are some examples:
Project Governance
User Groups
Campus Readiness Team
Project Teams
Technology Groups
Consultant Partners
Internal Auditors
Support Groups
Interdependent Projects
Customers
Suppliers
Training Groups
Transition Team
Other Internal Groups
Other External Groups
Complete the following table for each identified stakeholder. This is where you set the expectations for the
stakeholders, define their roles, establish individual accountabilities, and gain agreement on those accountabilities.
This activity is critical to the successful initiation and implementation of the project.
Please use the embedded project responsibilities as guidelines. You can add or delete roles/responsibilities, since
these will vary from project to project.
Executive Sponsor
Who
University Role
% Time Required
Project Responsibilities
 Secure spending authority for project
 Act as a vocal and visible champion for the project
 Keep abreast of all major project activities
 Be the final decision-maker on key issues
 Provide support for all Sponsors, Project Directors, and Project Manager
 Provide final approval for all major scope changes
 Provide signoff to approve project to move forward to succeeding phases
Table 9: Stakeholder Roles and Responsibilities
Project Sponsor and/or Project Director
Who
University Role
% Time Required
Project Responsibilities
 Help to secure spending authority for project
 Act as a vocal and visible champion for the project
 Keep abreast of all major project activities
 Facilitate decision-making on key issues
 Make decision on escalation of issues to the Executive Sponsor
 Provide support for Project Manager and Project Team
 Provide approval for all major scope changes
 Provide signoff to approve project to move forward to succeeding phases
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Steering Committee or Advisory Group
Who
University Role
% Time Required
Project Responsibilities
 Keep abreast of all major project activities
 Act individually and collectively as a vocal and visible champion for the project
 Provide direction and guidance to the project
 Help resolve issues and policy decisions
 Assist with communication for the areas they represent
Project Manager
Who
University Role
% Time Required
Project Responsibilities
 Ensures the project team completes the project
 Develops the CPMM Project Documentation with the team and others as needed
 Manages the team’s performance of project tasks
 Manages the project scope, schedule, and budget
 Communicate status/issues as identified in the Communication Plans
 Quickly works to address project issues, or escalate project issues to appropriate people
 Develop all necessary CPMM project documentation
 Manage issues, risks, actions, and change
 Provide performance feedback to team members
 Gain Project Acceptance
 Archive Project Information
Project Team
Who
University Role
% Time Required
Project Responsibilities
 Execute tasks and produce deliverables as outline in the Project Plan or as directed by the project Manager
 Provide input on planning activities as requested
 Identify and quickly communicate or escalate issues and risks to the Project Manager
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 Stay up to date on the project status
 Provide input on change requests as required
 Provide feedback on project performance
Customers / Subject Matter Experts
Who
% Time Required
Project Responsibilities
 Provide Subject Matter Expertise
 Represent their business units needs to the project team
 Validate deliverables that describe the product or service that the project will produce
 Bring information about the project back to the Customer community
 Test the product or service and provide feedback
Other
Project Role
Who
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University Role
10
Project Responsibilities
% Time
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6 Communication Plan
The following methods will be used to keep stakeholders and outside parties informed and involved in the project.
You must edit the text to reflect the communication needs of your project.
Note: Key Stakeholders are a subset of Stakeholders who, if their support were to be withdrawn, would cause the
project to fail.
What
Who/Target
Purpose
When/Frequency
Type/Method(s)
<Initiation Meeting>
<Project Team and
Sponsors>
<Gather information for
Project Initiation Plan>
<FIRST
<Meeting
Before Project Start
Date>
See Template>
<Distribute Project
Plan and Obtain
Approval>
<Key
stakeholders*>
<Distribute plan to alert key
stakeholders of project
scope and to gain buy in. >
<Before Kick Off
Meeting
<Document distributed via hardcopy
or electronically. >
<Project Kick Off>
<All stakeholders>
<Communicate plans and
stakeholder
roles/responsibilities.
<At or near Project
Start Date and when
Project Initiation Plan is
approved>
<Meeting>
<Update stakeholders on
progress of the project. >
<Regularly Scheduled.
<Project Server>
<To review detailed plans
(tasks, assignments, issues,
and action items). >
<Regularly Scheduled.
<Project Steering
Committee and
project manager>
<Update Project Steering
Committee on status and
discuss critical issues. >
<Regularly Scheduled.
<Sponsor(s and/or
executive sponsor)
and project
manager>
<Update sponsor(s) and/or
executive sponsor on status
and discuss critical issues.
Seek approval for changes
Plan.
<Regularly scheduled
at sponsor level
(recommended
monthly) or as needed
at executive sponsor
level.
Encourage communication
among stakeholders. >
<Status Reports>
<Team Meetings>
<All stakeholders >
<Entire project
team.
Individual meetings
for sub-teams,
technical team, and
functional teams as
appropriate. >
<Project Steering
Committee Meetings
(This may apply only
to larger projects) >
<Sponsor and/or
Executive Sponsor
Meetings**
(This may apply only
to larger projects.) >
Review status reports,
issues, and risks. To
identify and communicate
potential risks and issues
that may affect the
schedule, budget, or
deliverables. >
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Before Project Start
Date>
Monthly is
recommended for large
and mid-size projects.
>
<Project Server>
Weekly is
recommended for
entire team. Weekly or
bi-weekly for subteams as appropriate.
>
<Project Server>
Monthly is
recommended. >
<Project Server>
Hold when issues
cannot be resolved or
changes need to be
made to Project
Initiation Plan. >
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What
Who/Target
Purpose
When/Frequency
Type/Method(s)
<Post Project
Review>
<Project manager,
key stakeholders,
and sponsor(s). >
<Identify improvement
plans, lessons learned, what
worked and what could have
gone better. Review
accomplishments. >
<End of project or end
of major phase>
<Project Server>
<Periodic Demos
and Target
Presentations>
<Specific focus
groups or end
users. >
<To gain input from special
groups and keep them
abreast of the project’s
status. >
<Once product has
enough to “show”. As
you complete critical
phases or make major
enhancements. >
<Presentation/Discussion>
<Other…>
<To be determined
by the project team>
<General communications>
<As needed>
<Email lists, ManeGate, Loyolan,
etc.. >
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7 Benefits and Budget
Project Benefits
Nature of Benefit
(Benefit Class -- see
below)
Brief Description
Quantitative Benefit / Qualitative
Benefit
(“ball-park size to this benefit”)
Nature of Benefit/Benefit Class:
 Increase in revenue
 Avoid revenue loss
 Reduce costs
 Avoid cost increases
 Improved service
 Legislative/regulatory mandated
 Meet competition/protect-increase market share
 Other
Project Budget Summary
Type of Expense
Development Cost
On Going - Recurring Cost
Staff Expense (LMU)
Capital Expense
Operating Expense
Service-Non Cornell
Contingency
Total Project Budget
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8 Project Governance and Resourcing
8.1
Project Governance
Define the management organization for this project, A sample is provided below. Include Actual Names
Project - <Project Name>
Project Governance Model
Executive Sponsor
Project Director / Sponsor
Focus Group / SME's
Steering Committee
Project Manager
Technical Project Lead
Business / Functional
Project Lead
Project Team
Project Team
Figure 4: Governance Model
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8.2
Project Resourcing
Define the make-up of the project resources as currently understood. Include those specific individuals that have
been identified and also show those that need ‘To Be Determined’ (TBD).
Project Role
<Business analysts>
#
Req’d
Who (if
known) or
TBD
% Time
<2>
<30%
Time>
Dates Needed
(Date Range)
<Date Range>
Name of
Manager
<Manager>
Resourcing Comments, Constraints, and/or Issues:
9 Management Approaches
The Cornell Project Management Methodology (CPMM) will be applied as the project management approach to
implementing this project, specifically, planning, tracking, reporting, and closing out the project. The following
sections define the standard approaches. Please describe any exceptions, and explain the reasons for them.
9.1
Mode of Accomplishment
<Provide an overall statement on mode of accomplishment. How will this project be accomplished? Will it be
totally done by C.U. resources, or will outside partners be involved? Who is the Customer and how will their
participation be needed? How will the project be organized? Are all the Stakeholders and their responsibilities clear
or are some yet to be defined? Will the project team need any training to develop individual or group skills to
enhance project performance? How many end users will be impacted by this project? Will it require a Campus
Readiness activity? Will a transition team be required? Is training a significant part of the project? How will you
ensure the project will satisfy the needs for which it was undertaken? Are their quality standards that need to be
met? How will the quality of the project be assured?>
9.2
Issues Management
Issue management will be managed by using Project Server, which includes an issue tracking system and an alert
system.
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9.3
Change Management
Change is expected to occur during the life of any project, but that change must be managed if the project is to
succeed.
<You may want to document what constitutes a change for your project here>
The following change management procedures will be used when a change occurs:
Complete a Change Order (Internal) [Template: CPMM Change Order (Internal)] and log the change requests in the
[Template: CPMM Change Log]. Complete the Impact Analysis Statement of the change. Submit the CPMM
Change Order (Internal) to the appropriate people for authorization <identify Change Escalation for your project>.
The Project Manager will track the CPMM Change Order (Internal) and log the status in the
CPMM Request for Change Log: Proposed, Authorized, Denied, Deferred
The project manager reports on the status of the Change Orders in the CPMM Project Status Report.
The above change management process covers managing changes that are internal to Cornell. If the project you are
managing will involve changes to Purchase Orders or contracts with outside Vendors, the please follow standard
University Policy.
9.4
Risk Management
Risk planning is the process of deciding how to approach and plan the risk management activities for a project.
Risks will be managed as follows:
During Initiation, stakeholders will be informed of the risk management process and its benefits. Broad risk areas
will be defined in the Project Initiation plan.
During Project Planning (Detail Level), a more detailed risk plan will be developed, including the identification and
assessment of risks and the planning of strategies to minimize or avoid the risks. [Template: CPMM Risk
Management Plan]
Throughout the remaining phases of the project, the risk plan will be monitored on a regular basis, reported on at
regular intervals in the CPMM Status Report, and updated as required.
When the project is complete, the risks and strategies will be analyzed to evaluate the success of the risk
management plan.
9.5
Procurement Plan
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If your project will involve procuring products or services outside of Cornell, this section should outline the scope
of the product or service, any assumptions or constraints, and any other activities that will be required for the
procurement or contract. The project team should identify the specialists within Cornell for Procurement and/or
Contracting and involve them early in the planning process as a member of the project team.
The following should be considered:
What type of Contract or Purchase Order will be used?
Will Cornell Preferred Suppliers be used or will a formal bid solicitation be needed? Who will prepare the bid
documents? Will it be a single/sole source and how will it be justified?
How will you plan to involve the Cornell procurement/contracting specialists in the project?
How will the procurement be coordinated with other project aspects, such as scheduling and reporting?
How will multiple providers be managed?
<Identify your Procurement Plan>
9.6
Transition Management Plan
Identify the approach that will be required to move the project from development to production or from project
completion to steady state. When will this planning start? Will it be managed by the project manager of this project,
or will there be a Transition (Campus Readiness) Team Lead or will there be a completely separate Campus
Readiness Team that includes members of this project team integrated with the transition (Campus Readiness) team?
<Identify transition management approach>
[Template: CPMM Transition Planning Checklist]
9.7
Gathering Customer Requirements Approach
A key component to delivering projects on-time and on-budget is doing a great job of defining the requirements and
understanding the approach. Requirements can be gathered in many ways. Some projects cannot start before all
requirements are known, while other projects will have a more iterative approach to gathering requirements.
In this section you should:
Define the approach that will be used to gather customer requirements.
Identify the mechanism to make changes to requirements and add new requirements.
Identify any tools that are used to gather customer requirements. These may vary across CIT depending on the
product or service.
<Identify approach to gathering customer requirements>
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9.8
Reporting
Each team determines who should receive their status reports and attend status review meetings, based on the
stakeholder table.
Status reports will be distributed on a regular schedule determined by the project team (weekly, monthly etc).
Status review meetings may be held on a regular schedule determined by the project team.
<Identify approach to status review meetings and status reporting>
[Template: CPMM Project Status Report]
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10 Risk Plan
The following table should include the broad risk areas that have been identified, and the accompanying strategies
that will be put in place to control them. The rating should include a probability of the risk occurring and the
severity of the impact of the risk to the project should it occur. This will provide an overall Risk rating. (You can
use H=High, M=Medium, L=Low or a numerical rating if you prefer). A sample Risk is included below (please
delete the sample row before starting).
Risk Factor
Impact on Project
Prob
HML
Sev
HML
Risk
Rating
Risk Plan (Strategy)
Resp.
In Place By
Assign full technical
resources when possible
Project
Manager
DD/MMM/YYYY
HML
<The
experienced
technical
program may
not be
available when
needed
The project cost and
schedule could
overrun
M
H
MH
>
Obtain commitment of
resources to meet the
project schedule
Create an alternate
resource plan for critical
tasks
Table 15: High Level Risk Plan
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11 Signatures
The Sponsor should indicate approval or rejection of the CPMM Project Initiation Plan by checking the Approve or
Reject box. If the Sponsor is rejecting the Project Initiation Plan, he/she must indicate the reason in the comments
field.
The Sponsor indicates final acceptance of the CPMM Project Initiation Plan (including securing individual
resources) by providing his/her signature in the Project Sponsor Signature box and the approval date in the Date
box.
Executive Sponsors
Name
Action
Approve:
Reject:
etc.
Approve:
Reject:
Comments
Signature
Date
Signature
Date




Project Directors and/or Sponsors
Name
Action
Approve:
Reject:
etc.
Approve:
Reject:
Comments




Approvers
Agreement to Secure Required Resources
The Approver is the person(s) or group that has the authority to commit resources for this project. He/she
indicates his/her agreement to provide required resources for the Project by providing his/her Approver Signature
and the approval Date.
Name
Action
Approve:
Reject:
etc.
Approve:
Reject:
Comments
Signature
Date




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