>STa
«*
Abridged Project Management
Procedures
Environmental Protection Agency
Office of Enterprise Technology and Innovation (OETI)
April 26, 2007-Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Document Change History
Version Date
Author
Description of Changes
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation Abridged PM Procedures
Contents
1. Procedure Development Guide OETI-PMP-01 1
1.1 Process Flow Diagram 1
1.2 Checklist for Procedure Development 1
2. Project Initiation and Planning Procedure OETI-PMP-02 3
2.1 Process Flow Diagram 3
2.2 Checklist for Project Initiation and Planning Activities 4
3. Project Schedule and Cost Baseline Procedure OETI-PMP-03 7
3.1 Process Flow Diagram 7
3.2 Checklist for Preparing a Project Schedule and Cost Baseline 7
4. Project Status, Reporting, and Forecasting Procedure OETI-PMP-04 11
4.1 Process Flow Diagram 11
4.2 Checklist for Project Status, Reporting, and Forecasting 11
5. Risk Management Procedure Guide OETI-PMP-05 14
5.1 Process Flow Diagram 14
5.2 Checklist for Risk Management Procedure 14
6. Issue Management Procedure OETI-PMP-06 17
6.1 Process Flow Diagram 17
6.2 Checklist for Issue Management 17
7. Requirements Management Procedure OETI-PMP-07 20
7.1 Process Flow Diagram 20
7.2 Checklist for Requirements Management 20
8. Change Control Procedure OETI-PMP-08 23
8.1 Process Flow Diagram 23
8.2 Checklist for Change Control 23
9. Quality Management Procedure OETI-PMP-09 27
9.1 Process Flow Diagram 27
9.2 Checklist for Quality Management 27
10. Procurement Management Procedure OETI-PMP-10 30
10.1 Process Flow Diagram 30
10.2 Checklist for Procurement Management 31
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation Abridged PM Procedures
11. Organizational Change Management Procedure OETI-PMP-11 36
11.1 Process Flow Diagram 36
11.2 Checklist for Organizational Change Management Procedures 37
12. Document Management Procedure OETI-PMP-12 38
12.1 Process Flow Diagram 38
12.2 Checklist for Document Management 39
13. Project Closure Procedure OETI-PMP-13 40
13.1 Process Flow Diagram 40
13.2 Checklist for Project Closure 40
/V 04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
1. Procedure Development Guide OETI-PMP-01
This section defines the process by which the Environmental Protection Agency (EPA)'s Office of
Enterprise Technology and Innovation (OETI) project management (PM) procedures are developed
or modified, reviewed, and finalized. This document incorporates industry best practices, EPA
policies, and Project Management Institute (PMI) standards for project management.
1.1 Process Flow Diagram
Figure 1-1 shows the process for creating or modifying a PM procedure. This figure represents the
procedure development activities to be performed by OETI staff.
(4.2.1)
Identify Procedure
Need
V J
/PMP-11 >v
/ Organizational A
Change L
V Management^^"
(4.2.2)
Assign
Writer
(4.2.7)
Issue for Project or
OETI-wide Use
J
(4.2.3) Draft
New or
Update
Existing
Procedure
(4.2.6)
Obtain
Interim or
OETI-wide
Approval
(4.2.4)
Review
Procedure
i
r
(4.2.5)
Incorporate
Comments
Within Procedure ^
Outs de of Procedure
Figure 1-1. PM Procedure Development Process
1.2 Checklist for Procedure Development
The following provides a checklist for the key activities associated with each step of this project
closure procedure.
Activities | Responsible Parties
4.2.1 Identify Procedure Need
Q Request made to develop a new or modify an existing procedure for managing a
project with a description of the need, possible role suggestions, and whether
the request is in response to an EPA or government-wide requirement
Q Request submitted via email or in a written statement to the Project Manager for
agreement or rejection
Q Decision made to move forward with procedure via email or in a written
statement
4.2.2 Assign Writer
Procedure Requestor (Project
Manager, Project Team Lead, or
project team member)
Procedure Requestor
Project Manager
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities
Q Writer assigned
4.2.3 Draft New or Update Existing Procedure
fj The Introduction section with Background and Purpose subsections completed
fj The Approach section with Assumptions (if applicable), Scalability, and Best
Practices (if applicable) completed
Q The Best Practices section completed with enough information to ensure that the
user can find the full reference if desired
fj The Roles and Responsibilities section included and all roles identified in the
procedure included in the Roles and Responsibilities table
Q The Procedure section completed
a A process flow diagram included in the Procedure section
fj The steps of the procedure detailed in the Procedure section and matched to the
process flow diagram
Q The steps of the procedure completed
fj The Consideration section (if applicable) completed
Q An acronyms table included in Appendix A
fj All acronyms used in the document included in the acronyms table
Q Appendix B checklist for the procedure provided
a Appendix C additional resources provided
fj Appendix D interface requirements provided (if applicable)
Q All formatting for the document checked for accuracy and consistency with the
template
a The Table of Contents updated (F9)
4.2.4 Review Procedures
Q Reviewers with sufficient expertise in the subject matter selected
fj Review completed.
4.2.6 Obtain Interim or OETI-wide Approval
fj Appropriate reviews incorporated
fj Procedure approved
4.2.7 Issue for Project or OETI-wide Use
Q Procedure issued to the appropriate audience via email
fj Procedure forwarded to the Document Coordinator for upload to the repository.
fj Procedure posted on the OCFO intranet
Responsible Parties
Project Manager
Writer
Planning and Evaluation Team
Lead
Writer
Project Manager or OETI Director
Project Manager
Communications Lead
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation Abridged PM Procedures
2. Project Initiation and Planning Procedure OETI-PMP-02
This section defines the process by which staff within the EPA's OETI performs project initiation and
planning activities.
2.1 Process Flow Diagram
Figure 2-1, presented on the next page, identifies the process for project initiation and planning for a
new project. The process originates with an idea that is typically generated by an organizational need
or requirement. Initiation activities begin when the project is sponsored within the organization. The
level of sponsorship needed is driven by the magnitude of the initial requirement. The Project
Requestor then completes the activities required to receive formal approval and funding, depending
on the size and complexity of the project. Project planning typically overlaps with initiation activities
for OETI projects due to the documentation required to obtain external approval. Planning, however,
occurs over the life of the project and provides the foundation for all other project activities. This
figure represents the project initiation and planning activities to be performed by OETI staff.
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
(4.2.5) Determine Project Requirements
Documentation
Requirements
May not apply
(4.2.9) Identify
Resource
Requirements
(4.2.8) Identify
Applicable Plans
and Processes
NOTE: This is where re-planning
is initiated and implemented
Figure 2-1. Project Initiation and Planning Process
2.2 Checklist for Project Initiation and Planning Activities
The following table provides a checklist for the key activities associated with each step of this project
initiation and planning procedure.
Activities
Responsible Parties
4.2.1 Complete Project Complexity Model
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities
n Basic project variables relative to estimated cost, time, and complexity
understood
Responsible Parties
Project Requestor
n Project Complexity Model completed and model rating received and perceived as \ Project Requestor
reasonable
n Additional analysis performed (as required) to better understand or mitigate
areas of significant uncertainty
4.2.2 Prepare Rough Estimate of Size, Cost, and Time
n Rough order of magnitude (ROM) cost estimate completed using experience or
actuals from similar efforts
n Approximate number of resources required to complete effort is documented
n Approximate amount of time needed to complete effort defined and documented
(in months)
n Supporting documentation for project known/defined (business need, goals and
objectives, initial business case, cost/benefit, as applicable
4.2.4 Revise Estimate of Size, Cost, and Time
n Approval to proceed with project obtained
n The Project Manager assigned
n Enough information obtained to refine estimate
n Cost estimating tool selected and available, if needed
n Method for estimating defined
n Assumptions for estimate documented
n Resources or estimates from similar efforts consulted
n Vendor estimates submitted, if applicable
n Estimate reviewed and approved
4.2.5 Determine Project Requirements
n Project resource requirements reviewed relative to available resources
n A decision made as to whether outside products or services are needed to
execute the project
n Available resources assigned to open roles based on skill matches
n If applicable, a procurement action initiated to procure the desired product or
services
4.2.6 Prepare and Submit Required Documents
n For large, complex projects - CPIC completed
n For medium projects - CPIC Lite completed
n For large and medium projects, documentation prepared for approval by the
Investment Subcommittee
Project Requestor
Project Requestor
Project Requestor
Project Requestor
Project Requestor
Project Requestor/Project Manager
Project Sponsor
Project Manager/Estimator
Project Manager
Project Manager
Project Manager
Project Manager
Project Manager
Project Manager
Project Manager
For large and medium system projects, OEI SLCM documentation completed Project Manager
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
n For all projects, an initial project schedule completed
4.2.8 Identify Applicable Plans and Processes
n Final project approval received
n Project documentation and unique project requirements evaluated to determine
Project Manager
Project Manager
Project Manager/Planning Team
which processes should be implemented for the project, and to what extent
n Decisions documented for incorporation into the PMP (SMP for systems projects) Project Manager/ Planning Team
4.2.9 Identify Resource Requirements
n Available resources within the organization known and evaluated to determine
"fit" to open project roles
n Need to procure outside resources to fulfill project requirements evaluated
n If applicable, procurement process initiated per PMP-10 Procurement
Management Procedure
4.2.10 Perform Detailed Planning
Detailed planning activities occur for the project where the team defines the
"how" for project execution
4.2.11 Develop Project Management Plan
n Responsibility for development of the PMP (SMP for a system project) assigned
by the Project Manager
n Project planning decisions documented in the PMP (SMP for a system project)
n Development of subsidiary project plans assigned as resources become
available
n PMP (SMP for a system project) viewed and approved
4.2.12 Update Plans
n Process and responsibility for updating the PMP (SMP for a system project) and
all subsidiary plans defined
n Plans continually updated to reflect changes and addition to the project as they
occur over the life of the project
n Test, inspection, and acceptance performed in accordance with contract and
framework established above (if required under the contract)
Project Manager/Planning Team
Project Manager/Planning Team
Project Manager/Planning Team
Project Manager/Project Team
Leads
Project Manager
Project Manager/Project Team
Leads
Project Manager
Project Manager/Project Sponsor
(as required)
Project Manager
Project Manager/Project Team
Leads
DOATO/WA COR or Contract-Level
COR
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
3. Project Schedule and Cost Baseline Procedure OETI-PMP-03
This section defines the process by which staff within the EPA's OETI performs project schedule and
cost baseline activities.
3.1 Process Flow Diagram
Figure 3-1 illustrates the process for the project schedule and cost baseline procedure and the
activities to be performed.
PMP-02 Project
Initiation and Planning
Procedure
(4.2.6)
Conduct Integrated
Baseline Review (if
req'd)
Figure 3-1. Project Schedule and Cost Baseline Process
3.2 Checklist for Preparing a Project Schedule and Cost Baseline
The following provides a checklist for the key activities associated with each step of this project
schedule and cost baseline procedure.
Activities
4.2.1 Refine WBS and Develop Schedule Baseline
Responsible Parties
WBS is refined to meet the following requirements:
1. Prepared using PMI's PMBOK Guide as a framework
2. Contains a WBS dictionary
3. Structured to contain all work elements (scope)
4. Structured to support cost estimation
Project Team Lead
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities
5. Structured to levels that satisfy status reporting, including schedule,
costs, resource, and performance, and if required, EV metrics
6. Structured to levels that identify all work activity in the way that it is
planned to be performed
Q Integrated schedule is submitted
Q Schedule of activities is developed
Q Milestone list is developed
a Activities are sequenced by identifying dependencies (internal and
external)
Q The durations of activities are estimated using historical data (e.g.,
past project schedules, lessons learned, known constraints), and
expert judgment
Q The calendar with the appropriate holidays breaks is used
appropriately for each activity
Q Critical path(s) is established
Q Resources are assigned to the activities
Q Resource leveling is applied
Q Project schedule is reviewed to ensure that it includes all applicable
planning documents and includes:
7. All contract deliverables are in the schedule
8. A proposed timeline is supported by dependent activities
9. An approach to the work, codified in the schedule, is workable at EPA (i.e., is
there sufficient time for building consensus, appropriate reviews, etc.)
10. Activities are linked
11. Schedule is properly formatted
12. Resources are not over booked or under booked
Q Activities are short enough in duration and/or milestones sufficiently
close together that the status process will provide insight into
project progress
Q Project schedule reviewed and approved
4.2.2 Prepare and Load Schedule into IMS
Q New material in the IMS reviewed for dependencies with project's
activities, necessary changes or additions made are communicated
to the Schedule/EV Coordinator
Q Schedule is prepared for incorporation into the IMS, including
summary tasks, milestones, and EPA activities
Q Schedule is loaded into IMS and all external dependencies
established
Q All activities within a task or within the project are sequenced
Q The dependencies and relationships between each of the tasks and
Responsible Parties
CAM, Schedule/EV
Coordinator
CAM, Project Team Lead
Project Manager
CAM, Schedule/EV
Coordinator
Schedule/EV Coordinator
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities
activities are defined
Q Message is sent to all Project Managers that the IMS has been
updated
Q IMS updated based upon feedback and direction from CAM
Q Updated IMS reviewed and any changes provided to Schedule/EV
Coordinator
Q Modifications as a result of external dependencies reviewed and
accepted
4.2.3 Prepare Schedule for EVMS
Q Control accounts are established according to EV standards and
within requirements of the EVtool
Q Control accounts are decomposed into work packages and EV
techniques are assigned
Q The schedule reserved fields are populated as required
Q Schedule "properties", such as Status Date and Project Start Date,
etc., are populated as required
Q Baselined schedule is reviewed and approved
4.2.4 Develop Cost Baseline
Q Cost estimate is developed including EPA costs and contractor
costs (if applicable)
Q Costs are within the budget developed in the planning process
Q Labor and other direct costs (ODCs) are included in cost baseline
Q Cost baseline, including contractor activities, is reviewed:
13. Does the PV by month seem reasonable?
14. Is it overly front- or back-loaded?
15. Are there peaks and valleys where expected?
16. Are all authorized funds baselined?
17. Is the resource loading methodology reasonable?
18. Is there reasonable use of performance measures?
Q Correct baseline costs are captured in the EV tool
4.2.5 Submit Approval Package
Q Schedule and cost baseline package is prepared and submitted for
review
Q Cost and schedule baselines are reviewed and approved or
feedback provided
Q Necessary revisions to the baselines are made
Responsible Parties
Project Team Lead, CAM
CAM, Schedule/EV
Coordinator
Schedule/EV Coordinator
Project Team Lead (if
applicable) and Project
Manager
CAM
Schedule/EV Coordinator,
CAM
CAM
Project Team Lead (if
applicable), Project Manager
CAM, Schedule/EV
Coordinator
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities
Responsible Parties
Project schedule is baselined; new portion of the IMS is baselined Schedule/EV Coordinator
4.2.6 Conduct Integrated Baseline Review (if Required)
Q Performance Measurement Baseline is established and other
required documentation is submitted
Q Ensure IBR is conducted within 45 days to six months of contract
award
Q IBR preparation activities are performed
Q PMB is accessed
Q Results of the assessment are documented
Q IBR out brief is conducted
a All identified risks and issues are captured and communicated for
tracking and monitoring purposes according to relevant procedures
Contractor
Project Manager
Project Manager, Project Team
Lead, CAM
Project Manager
10
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
4. Project Status, Reporting, and Forecasting Procedure OETI-PMP-04
This section defines the process by which staff within the EPA's OETI performs project status,
reporting, and forecasting activities.
4.1 Process Flow Diagram
Figure 4-1 depicts the process for project status, reporting, and forecasting and the activities to be
performed.
(4.2.1)
Update Project
Schedule Status
(4.2.2)
Capture Actual
Costs
(4.2.5)
Calculate and
Analyze EV
Performance Data
(4.2.6)
Prepare and
Submit EV Status
Report
(4.2.3)
Analyze Non-EV
Results
(4.2.4)
Prepare and
Submit Non-EV
Status Report
f PMP-09 \
. J Quality 1
PMP-05
Risk
Manage-
ment
PMP-03
Project Schedule
and Cost
(4.2.7)
Identify Need to Re-
plan
Figure 4-1. Project Status, Reporting, and Forecasting Process
4.2 Checklist for Project Status, Reporting, and Forecasting
The following provides a checklist for the key activities associated with each step of this status,
reporting, and forecasting procedure.
11
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities
4.2.1 Update Project Schedule Status
Q Activities planned to start or finish in the reporting period (the
previous calendar month) are updated
Q Adjustments to the schedule are made (e.g., add
dependencies, change duration, add a new task, etc.)
Q Contractor schedule submitted is checked to ensure that all
activities planned for the period are updated
Q Need Status Report is issued
4.2.2 Capture Actual Costs
Q Timesheets are provided to Schedule/EV Coordinator
Q Current month estimate and prior month reported actual
contractor costs are provided to Schedule/EV Coordinator, if
applicable
Q Actual cost data is consolidated and prepared for analysis
(EPA and contractor cost data as applicable)
4.2.3 Analyze Non-EV Results
Q Updated schedule is distributed to CAM
Q Project budget and actual costs are distributed to CAM
Q Schedule information is reviewed and understood
Q Analysis is performed on project budget and actual costs
Q Corrections are provided to Schedule/EV Coordinator
4.2.4 Prepare and Submit Non-EV Status Report
Q Status report template is populated with status information
Q Source data (e.g., project schedules, project budget, actual
costs, preliminary status report) is provided to the CAM
Q Issues, risks and quality assurance results are managed and
reported throughout the reporting period as well as on the
status report
Q Status report is populated with risks and issues analysis and
budget vs. actual costs variance explanations
Q Status report is distributed to Project Team Lead (if applicable),
Project Manager and Project Evaluation Team Lead
Q Status report updates are summarized in the dashboard report
and submitted to system or project sponsor after Project
Manager approves the report
Q Project status report is reviewed and accepted
Q Dashboard report is reviewed and approved
4.2.5 Calculate and Analyze EV Performance Data
Q Updated schedule is distributed to CAM
Responsible Parties
CAM
Schedule/EV Coordinator
Schedule/EV Coordinator
CAM
COR (if applicable)
Schedule/EV Coordinator
Schedule/EV Coordinator
CAM
Schedule/EV Coordinator
CAM
Planning and Evaluation Team
Lead
Project Team Lead (if applicable)
Project Manager
Project Manager
Schedule/EV Coordinator
12
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities
Q Monthly EV metrics are produced
Q Reports and other information (e.g., updated schedule, EV
reports) are compiled and distributed to CAMs
Q Analysis is performed on EV metrics
Q Corrections are provided to Schedule/EV Coordinator
4.2.6 Prepare and Submit EV Status Report
Q Status template is populated with status information, including
corrections
Q Source data (e.g., project schedule, EV metrics, relevant EV
reports, preliminary status report) is sent to CAM
Q Issues, risks and quality assurance results are managed
according their respective procedures throughout the reporting
period as well as on the status report
Q Status report is populated with risks and issues analysis, basic
EV analysis, and variance analysis
Q Status report is distributed to Project Team Lead (if applicable),
Project Manager and Project Evaluation Team Lead
Q Status report updates are summarized in the dashboard report
and submitted to OCFO after Project Manager approves the
report
Q Related OCFO program status reports for OMB compiled and
submitted, as required
Q Project status report is reviewed and approved
Q Dashboard report is reviewed, approved, and sent to system or
project sponsor
4.2.7 Identify Need to Re-plan
Q Variances are examined to determine if they exceed the
reporting threshold
Q Variances are examined to determine if they are unrecoverable
Prepares a CR requesting a formal re-plan, if necessary
Approves submission of CR requesting a formal re-plan, if
necessary
Submits CR requesting a formal re-plan, if necessary
Responsible Parties
CAM
Schedule/EV Coordinator
CAM
Planning and Evaluation Team
Lead
Project Team Lead (if applicable)
Project Manager
Project Manager
CAM
Project Team Lead (if applicable)
Schedule/EV Coordinator
Project Manager
Project Team Lead (if applicable)
CAM
Project Team Lead (if applicable)
CAM
Project Manager
Project Team Lead
13
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
5. Risk Management Procedure Guide OETI-PMP-05
This section defines the process by which staff within the EPA's OETI performs risk management
activities.
5.1 Process Flow Diagram
Figure 5-1 identifies the process for risk management.
Figure 5-1. Risk Management Process
5.2 Checklist for Risk Management Procedure
The following provides a checklist for the key activities associated with each step of this document
management procedure.
14
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activity
4.2.1 Risk Planning
Q Risk planning is performed
fj Risk Coordinator is assigned
fj Risk Management Plan is completed
fj Risk Management Committee participants are determined (if applicable)
Responsible Parties
Project Manager, Project Team
Leads
Project Manager
Risk Coordinator, Project Manager
Project Sponsor, Project Manager,
Project Team Leads
Project Manager, Project Team
fj Risk management activities are reflected in the project schedule and resources are
assigned Leads
fj Risk tracking tools, metrics, forms, and reports are determined (as applicable) Risk Coordinator
4.2.2 Identify Risks
fj Lessons learned from previous projects and experiences are considered to provide Risk Coordinator, Project Manager
valuable insights for identifying potential risks
fj Risk Reporting Forms are used by project team members for each new risk
identified
Q Risk Log is populated with initial information about new risks
Q A project risk meeting is conducted during the early stage of the project, facilitating
the identification of an initial list of project risks
4.2.3 Analyze Risks
Q Impact rating is assigned for all identified risks
fj Probability rating is assigned for all identified risks
fj Severity score is calculated and a risk classification determined for each identified
risk
Q Risk priority is determined
fj All ratings, severity scores, and priorities are recorded in the Risk Log
4.2.4 Plan Risk Responses
fj Appropriate risk response strategy is evaluated within the context of the project
constraints
Q Risk response strategies for red risks are prioritized and addressed first
fj Risk response actions are assigned
Q Mitigation plan is developed for each risk (if applicable)
fj Contingency plan is developed for each risk (if applicable)
Q Response plan is analyzed to determine whether a Change Request (CR) is
required
Q Risk and associated CR are analyzed to determine if other residual or secondary
risks are introduced as a byproduct of the proposed CR
Q WBS is updated as needed to represent risk response activities
Risk Coordinator
Risk Coordinator, Project Manager,
Project Team Members
Risk Coordinator, Risk
Management Committee
Project Manager, Risk
Management Committee, Risk
Owner(s)
Project Manager, Risk
Management Committee, Risk
Owner(s)
Project Manager, Risk
Management Committee, Risk
Owner(s)
Project Manager, Risk Coordinator,
Risk Management Committee
Project Manager, Project Team
Leads
15
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Q Risk response strategies and plans are documented in the Risk Log
4.2.5 Escalate Risk or Risk Response
Q Escalation actions are determined, as applicable
FJ Escalation actions are documented in the Risk Log
FJ Actions are escalated and the outcomes are documented in the Risk Log
4.2.6 Implement Risk Response Plan
Q Risk response plans are implemented
4.2.7 Monitor and Control Risks
Q Risk Management Report is prepared for regular status activities
Q Status of risk is communicated during status activities
Q Risk response re-planning is performed as required
FJ Alternate risk response strategy for risk is determined (as applicable)
Q Risk status changes and updates are recorded in Risk Log
4.2.8 Close Risks
Q Risks proposed for closure (marked as in the Final stage) are reviewed
FJ Justifications for closing risks are approved
FJ Any associated risks that have been created as a byproduct of closing the risk(s)
are determined
FJ Risk is recorded as closed in the Risk Log, to include accompanying justification
Risk Coordinator
Risk Management Committee,
Project Manager
Risk Coordinator
Risk Management Committee,
Project Manager, Risk Coordinator
Risk Owner
Risk Coordinator
Risk Owner
Risk Owner, Risk Coordinator,
Project Manager, Risk
Management Committee
Risk Coordinator
Risk Owner, Risk Management
Committee, Project Manager
Risk Coordinator
16
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
6. Issue Management Procedure OETI-PMP-06
This section defines the process by which staff within the EPA's OETI issue management activities.
6.1 Process Flow Diagram
Figure 6-1 depicts the process for issue management and the activities to be performed. This
process originates with defining the implementation of the issue management process as described in
PMP-02 Project Initiation and Planning Procedure. This process may also be triggered by risks that
are realized and become issues as described in PMP-05 Risk Management Procedure. The
identification of issues in the course of project statusing activities as described in PMP-04 Project
Statusing, Reporting and Forecasting Procedure or quality assurance activities as described in PMP-
09 Quality Management Procedure can also trigger the process. The process continues from issue
identification through the implementation of resolution actions and issue closure.
ilP 02-
ation S Plannin
>
) Track,
and Close
sues
\
a fc
/
(4.2.1) Plan Issue
Management
(4.2.6) Implement
Resolution
Actions
i
X
\.
(4.2.2) Identify
Issues
Change ^^^
Request? ^^
i
•4
(4.2.3) Evaluate,
Assign and Log
Issues
^
r
(4.2.4) Identify
Issue Resolution
Actions
Within Procedure
Outside of Procedure
Figure 6-1. Issue Management Process
6.2 Checklist for Issue Management
The following table provides a checklist for the key activities associated with each step of this issue
management procedure.
Activities
4.2.1 Plan Issue Management
Responsible Parties
17
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities
Q The scope of the issue management process is defined and documented in the
Project Management Plan
Q The issue management process and details are defined and documented in
the Project Management Plan
fj An issue escalation process is defined
fj Roles and responsibilities for the issue management process are defined
fj Issue management process is communicated to the project team
Q The Issue Coordinator is assigned
Q The Issue Form and Issue Log are designed and locally available to project
team members
4.2.2 Identify Issues
fj Issue is identified
fj Issue is documented using the Issue Form
fj All applicable fields on the Issue Form are complete and accurate
Q A 'Date Resolution Needed' is determined, if known
fj Issue is routed to the Issue Coordinator
4.2.3 Evaluate, Assign and Log Issues
Q Issue is reviewed based on subject matter and severity
fj Issue is routed to Project Manager or Project Team Lead for assignment
Q Issue is reviewed
a Issue is assigned to appropriate team member for resolution
Q Issue Form is forwarded to assigned Issue Owner
fj Issue is reviewed and assigned a Priority rating
fj Issue is reviewed by Issue Coordinator and checked for duplication
fj Issue number is assigned to issue
fj Issue is entered into Issue Log
4.2.4 Identify Issue Resolution Actions
Q Resolution action is identified
Q Next course of action (escalation, change control etc.) is determined
fj Resolution is analyzed for re-planning implications, if any
fj Resolution action is routed through change control process, as required
fj Resolution action is communicated to Issue Coordinator/Project Team
Q Resolution action is approved to implement
4.2.5 Escalate Issue
Q Issue is escalated as needed
fj Resolution action proceeds once escalation action is addressed
4.2.6 Implement Resolution Actions
fj Resolution action is implemented
4.2.7 Track, Monitor and Close Issues
Q Regular opportunities to review and discuss Issue Log with Project Team are
provided
Responsible Parties
Project Manager/Project Team Leads
Project Manager
Issue Originator
Issue Coordinator
Project Manager/Project Team Leads
Issue Owner
Issue Coordinator
Issue Owner
Project Manager, Change Control
Board as required
Project Team Lead, Project Manager
Project Manager, Project Sponsor,
Senior Management
Issue Owner, Project Team Members
(as needed)
Project Manager
18
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities
Q Status of resolution action is reported
Q Resolution action is identified as successful in addressing issue
fj Issue Log is updated regularly
fj Issue Log is distributed to Project Team in advance of statusing activities
Q Issue closed and status updated
Responsible Parties
Issue Owner
Issue Owner, Project Manager
Issue Coordinator
19
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
7. Requirements Management Procedure OETI-PMP-07
This section defines the process by which staff within the EPA's OETI performs requirements
management (RM).
7.1 Process Flow Diagram
Figure 7-1 describes the process for RM, which originates with the development of the Requirements
Management Plan. The RM process is similar for both new and maintenance tasks. For new tasks,
the project should closely follow the RM process to ensure that the requirements baseline is adequate
to serve as the basis for the work performed during the project's life cycle. For maintenance updates
to work-products, even if the project requirements are already documented, the project should
carefully consider each step in the process, even if it does not require significant action.
(4.2.2)
Perform
Requirements
Identification and
Analysis
^
A
(4.2.3)
Develop/Update
the RTM and
Related
Documents
^
(4.
Condu
Revie
Docum
^
2.4)
ct Peer
wson
entation
r
[ In Scope
(4.2.5)
Obtain Appropriate
Stakeholder Approval
for Requirements Work
Products
Within Procedure
Outside of Procedure
Figure 7-1. Requirements Management Process
7.2 Checklist for Requirements Management
The following provides a checklist for the key activities associated with each step of this RM
procedure.
Activities
4.2.1 Develop Requirements Management Plan
Responsible Parties
20
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities
fj
Description of how requirements artifacts (requirements documents, Use Cases,
Concept of Operations, etc.) will be developed and managed during the project life
cycle is provided
Description of how requirement identification and analysis will be accomplished
(e.g., sources, types, attributes, techniques, tools, etc.) is provided
The method by which bi-directional traceability will be established and maintained is
described
RM template is leveraged/referenced
Tasks and estimates are planned for the requirements phase
Business objectives, scope, and constraints are described for the project
Assumptions, known risks, and mitigation strategies are identified and addressed, if
appropriate
Responsible Parties
Requirements Manager
4.2.2 Perform Requirements Identification and Analysis
Q Requirements gathering, identification, and analysis activities are done according to
what is stated in the Requirements Management Plan
Q Documentation is created and/or updated according to Requirements Management
Plan
Q Requirements are identified, gathered, defined, and validated with the appropriate
stakeholders to ensure they are clear and concise, measurable, achievable,
realistic, consistent with the other requirements, and testable
Q Requirements are categorized and, for IT projects, are allocated to systems (e.g.,
functional, interface, performance), and non-systems components (e.g., manual
component, policy)
4.2.3 Develop/Update the RTM and Related Documents
Q The RTM is developed/updated with the newly created/modified requirements
fj Related requirements documents are developed/updated with the newly
created/modified requirements and detailed descriptions, including any additional
analysis
Q Traceability is conducted throughout the life cycle
Q Requirements documents contain enough information for the stakeholder to
understand, approve, or reject the documented requirements
fj Requirements documents are developed sufficiently to meet the project's specific
needs
4.2.4 Conduct Peer Reviews on Documentation
fj Requirements documents/artifacts (e.g., RTM) are reviewed and modified as
necessary before being sharing with project stakeholders
4.2.5 Obtain Appropriate Stakeholder Approval for Requirements Work Products
fj Approval solicitation method is employed (i.e., CCB, facilitated walk through, etc.)
Q Stakeholder approval is obtained for requirements work products (RTM and
Requirements Document, in most cases)
4.2.6 Place Requirements under Configuration Management Control
fj Approved requirements work products are placed under Configuration Management
Project Manager, Requirements
Manager
Requirements Manager
Requirements Manager, Project
Team
Requirements Manager
Requirements Manager, Project
Team Leads, Project Team
Requirements Manager, Project
Manager, Project Team Leads
Requirements Manager, Project
Team Leads, Project Team, QA
Manager, Project Manager, Test
Team
Project Stakeholders
Configuration Management
21
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities
control
4.2.7 Manage Requirements Changes
fj Changes to the requirements baseline have gone through the Change Control
process (Refer to OET/-PMP08 Change Control Procedure tor a description of
change control)
fj Requirements documentation (e.g., RTM) is updated to reflect approved changes
Responsible Parties
Team, Requirements Manager
Project Manager, Project
Stakeholders, Requirements
Manager, Configuration
Management Team
Requirements Manager
22
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
8. Change Control Procedure OETI-PMP-08
This section defines the process by which staff within the EPA's OETI performs change control
activities.
8.1 Process Flow Diagram
Figure 8-1 identifies the process flow for change control.
Within Procedure
Outside of Procedure
Figure 8-1. Change Control Process Flow
8.2 Checklist for Change Control
The following provides a checklist for the key activities associated with each step of this change
control procedure.
Activities | Responsible Parties
4.2.1 Planning and CCB Setup
Q Scope and extent of change control process for the project are
determined
Q Change control activities are reflected in the project schedule and
Project Manager
23
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities
resources are assigned
Q For projects requiring formal change control, a Change Control
Board Charter is developed
Q CCB Administrator role is assigned (if applicable)
Q Members of CCB are invited or assigned for the project (if
applicable)
Q Change control process for project is documented in the Project
Management Plan and/or the CCB Charter
Q Technical infrastructure (for communication, tracking,
documentation) is adequate and available to support the CCB
process
Q Configuration Management Plan is reviewed and approved, if
applicable and as developed
4.2.2 Configuration Management
Q Configuration management planning is conducted
Q Configuration management decisions and processes are
documented in the Configuration Management Plan
Q Configuration Management Plan is reviewed and approved, if
applicable and as developed
Q Configuration management processes are implemented
Q Configuration management baseline is defined
Q Configuration CR(s) are submitted
4.2.3 Identify and Submit Change Request
a CR(s) are submitted
Q CR(s) are logged into the project's change control log or tracking
mechanism
Q CR(s) are routed accordingly
Q CR includes mandatory information as specified in section 4.2.2,
as well as the following information, as appropriate:
n Priority (proposed for CCB consideration)
n Supporting documentation
n Description includes justification and/or rationale for change
n Impact to cost, schedule, and quality
n Cost-benefit analysis
n An assessment of alternatives
n Risk assessment
Q Direct correspondence between CCB Chair and CCB
Administrator is occurring to ensure that all decisions are
Responsible Parties
Project Manager/Project Team
Lead
CCB Administrator
CCB
Project Manager, Configuration
Manager, Project Team Leads
Configuration Manager
Project Manager, Configuration
Manager
Configuration Manager
Configuration Manager
Configuration Manager
CR Submitter
CCB Administrator
CR Submitter, CCB
Administrator
CCB Administrator, CCB Chair
24
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities
documented appropriately
4.2.4 Review and Analyze CR
Q Clarification is sought from CR submitter if needed to clear up
ambiguities
Q If a determination has been made that it is not justified,
termination of CR is documented in the change control tracking
mechanism and CR Submitter is notified of CR termination
Q CR(s) are analyzed and the following information is documented
to assess the magnitude of the impact of the CRs:
n Risks
n Dependencies
n Assumptions
n Decisions
Q Impacts to the budget and schedule associated with implementing
the change are analyzed and documented
Q CCB members are notified of scheduled CCB meetings
4.2.5 Emergency CR Approval
Q Emergency CR(s) are routed to the CCB Chair for expedited
approval
Q Emergency CR(s) approval and implementation information is
documented
Q CR(s) are reviewed for completeness and returned to CR
Submitter if more information is needed
Q Meeting is convened (as needed) for review and approval
Q CR(s) are approved and routed for implementation
4.2.6 Plan, Conduct, and Document CCB Meeting
Q Logistics are planned for the CCB Meeting, including date, time
and location
Q Meeting Minutes are prepared and distributed
Q Proposed CRs and any accompanying analysis are sent to the
CCB for review prior to the meeting
Q Agenda is prepared
Q Action Items are identified and documented
Q CR status is updated in the CR tracking mechanism
Q Notified the CR Submitter and appropriate project management
team and contractor project staff in writing of the disposition of the
Responsible Parties
CCB Administrator
CCB Administrator, SMEs
CCB Administrator, SMEs,
Project Manager
CCB Chair
CCB Administrator
CCB Chair
CCB Chair, Project Manager,
Project Sponsor
CCB Chair, Project Manager,
Project Sponsor, Project Team
Lead(s)
CCB Administrator, CCB Chair
CCB Administrator
25
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
CR (approved, rejected, or deferred)
Q A quorum is present at each vote
Q The following objectives are addressed at the CCB meeting:
n New CRs reviewed
n CRs voted upon, with an outcome of approve, reject, or defer
n CRs prioritized and assigned
n Existing CRs reprioritized as needed
4.2.7 Implement Approved CR
Q Approved Routine CR(s) are communicated to responsible parties
(i.e., Team Leads) for implementation
Q Project re-planning activities are initiated based on required
change(s), referencing PMP-02 procedure
Q Required changes/baselines are implemented
Q Administrative CR(s) are implemented
Q Impact is reviewed based on affected areas of the project,
resulting from initial re-planning activities
Q Project documents are updated if affected by changes
CCB Chair
CCB Chair, CCB members
Project Manager
Project Team, others as needed
Project Manager, Team Leads,
others as needed
26
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
9. Quality Management Procedure OETI-PMP-09
This section defines the process by which staff within the EPA's OETI performs quality management
activities.
9.1 Process Flow Diagram
Figure 9-1 depicts the process flow for the quality management procedure. This process originates
with the definition of quality standards defined during project planning activities (see PMP-02 Project
Initiation and Planning Procedure). The procedure may also be triggered by risk mitigation plans that
impact existing or require new quality assurance activities. Finally, if contractor support is used, the
contract terms and performance criteria are inputs to the quality management process. The
procedure continues through quality planning, collection of quality metrics, evaluation, and
implementation of necessary process improvements.
PMP 05 -
Risk Management
/PMP 10 -
Procurement
Management
V
PMP 02 - \ - -
Project Initiation & Planning^- _
7
(4.2.1)
Define Quality
Standards
/ Update All\
V Plans A
^- s.
^
(4.2.2) Perform
Quality Planning
(.___
(4.2.3)
^ Create/Update
Quality Assurance
Plan
i
J
k
(4.2.4) Perform
^ Quality Assurance
Activities
Iterative Process
/\
(4.2.8) Implement
Process ^
Improvements
No /
(4.2.7) ^v
Change \^
Request /*
Needed? /
Update All
Applicable
Procedures
Figure 9-1. Quality Management Process Flow
9.2 Checklist for Quality Management
The following provides a checklist for the key activities associated with each step of this quality
management procedure.
Activities Responsible Parties
4.2.1 Define Quality Standards
Q The role of Quality Manager is assigned
Q External quality requirements for the project are reviewed
Project Manager
Quality Manager/Project Manager
27
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities Responsible Parties
fj The quality standards for the project are defined
Q Implications of the quality standards on the type of quality assurance activities
that should be implemented for the project are reviewed
4.2.2 Perform Quality Planning
fj Roles and responsibilities for quality assurance activities are defined
Q A schedule for quality assurance activities is defined
fj Quality assurance activities are defined for the project based on project size,
scope and complexity, and defined quality standards
Q Quality metrics are defined specifically for the project
fj A process for capturing and documenting quality metrics are defined
Q Communication activities for providing quality assurance feedback and guidance
within the project and across the organization are defined
fj Reporting mechanisms for quality assurance activities are defined
Q A process for creating and implementing Corrective Action Plans (CAPs) is
defined
fj A process for escalating and resolving quality issues is defined
fj Quality training requirements for team members are defined
Q Quality assurance activities are incorporated into the project schedule
Quality Manager/Project
Manager/Project Team
Lead/Project Team Members
Quality Manager
Quality Manager/Project Manager
4.2.3 Create/Update Quality Assurance Plan
Q Decisions made during quality planning are documented and incorporated in the
Quality Assurance Plan
fj The Quality Assurance Plan is communicated to Project Team Leads and project
team members (if applicable)
Q The Quality Assurance Plan is consistent with all other project plans in terms of
scope and approach
fj The Quality Assurance Plan is completed, reviewed, and approved by project
management
Quality Manager
Quality Manager/Project Manager
4.2.4 Perform Quality Assurance Activities
Q Quality training is has been delivered to project resources as required
fj Quality Assurance activities are conducted as defined in Quality Assurance Plan
and at the intervals and/or scheduled dates defined in the project schedule
Q The results of the quality assurance activities are documented as defined in the
Quality Assurance Plan
Project Team Leads
Quality Manager
4.2.5 Evaluate Quality Results
Q Report formats are defined
fj Quality Assurance results are communicated to the appropriate Project Team
Leads or team members
Q Quality Assurance results are reviewed as defined in Quality Assurance Plan and
at the intervals and/or scheduled dates defined in the project schedule
fj Evidence of quality issues is analyzed to determine impact and scope of the
Quality Manager
Quality Manager/Project Manager
Quality Manager/Project
28
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities Responsible Parties
problem(s)
Manager/Project Team Leads
4.2.6 Determine Process Improvements
Q Quality results are reviewed by appropriate team members and necessary
process improvement options are evaluated
fj Process improvement recommendations are reviewed and prioritized as needed
Q Corrective Action Plans (CAP)s are developed for implementation of process
improvements
fj Impact (cost, schedule, resources) of each process improvement is analyzed and
documented
Quality Manager/Project
Manager/Project Team Leads
Project Manager
Quality Manager
4.2.7 Change Request Needed?
fj The proposed process improvement is submitted as a change request if there
are measurable cost, schedule and resource impacts
Q Process improvements not requiring measurable cost, schedule, or resources
change are scheduled for implementation
Quality Manager
4.2.8 Implement Process Improvements
fj Process improvements not requiring measurable cost, change, and resources
are implemented by working with appropriate Project Team Leads and/or team
members
fj Approved change requests for process improvements are planned and
scheduled for implementation
Q The Project Management Plan, Quality Assurance Plan, and any other impacted
subsidiary plans are updated to reflect the changes resulting from
implementation of process improvement(s)
fj Implemented process improvement actions are measured and evaluated over
time to determine success of the improvement(s)
Quality Manager/Project
Manager/Project Team Leads
Quality Manager/Project Manager
29
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
10. Procurement Management Procedure OETI-PMP-10
This section defines the process by which staff within the EPA's OETI procurement management
activities.
10.1 Process Flow Diagram
Figure 10-1 identifies the process for procurement management. This process originates with
determination of a requirement to be placed under contract during the PMP-02 Project Initiation and
Planning Procedure. Procurement activities begin when a CO and COR are assigned and continue
through development of the acquisition strategy and relevant procurement documentation, solicitation
of proposals, selection of sources, contract award, contract administration, and closeout of the
contract. This figure represents the procurement management activities associated with OETI project
staff. It does not include the functions performed by the EPA contracting office.
Pre-Award Phase
/ PMP 02 -
Project Initiation & Plannim
I Identifies Acquisition
Requirements
Post-Award Phase
(4.2.9) Prepare
W/VTO/DO PR
Package or
Contract
UnHifiratinn
I
Support
ation &
Selection
1
1
No
r
(4.2.11)
Review/Accept
Proposal 8
Issuance of
WA/DO/TO
A*
(4.2.12) Perform
Technical
Monitoring
(4.2.13) Perform
Financial Monitoring
i
No
r
(4.2.11)
Review/Accept
Contractor Work
Plan
(4.2.5) Support
Evaluation,
Selection, and
Contract Award
l
r
Contract Award
Out of Scopi
Within Procedure
Outside of Procedure
Figure 10-1. Procurement Management Process
30
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
10.2 Checklist for Procurement Management
The following provides a checklist for the key activities associated with each step of this procurement
management procedure.
Activities
4.2.1 Assign Contracting Officer and Contracting Officer's Representative
Q Contracting office contacted and CO assigned
Q Met with the assigned CO to determine if the action warrants delegation of a
COR
Q EPA Form 1900-65, Nomination of Contracting Officer's Representative,
submitted to the CO
Q COR delegation by the CO received
Q Government Ethics Form 450, Confidential Financial Disclosure Report,
submitted to designated ethics official by each COR
Q COR Training (initial or recertification) completed (within last three years) and 40
CLPs obtained (within two year cycle) for each COR
4.2.2 Develop Acquisition Strategy/Plan
Q Procurement options for satisfying requirements discussed with CO:
n Existing EPA contract
n GSA Multiple Award Schedule Contracts
n EPA BPAs
n Government-wide Acquisition Contracts
n Multi-agency Contracts
n New procurement
Q Research and evaluation on each relevant procurement option completed
Q The acquisition strategy to include procurement methodology finalized with CO
Q Acquisition Plan completed and approved
4.2.3 Prepare PIN Package
Q PIN package requirements established with CO
Q Procurement Request (EPA Form 1900-8) package completed with the following
relevant documentation:
n PIN Form
n Form 1900-65A, Nomination of COR
n Copy of the Certificate of Training
n PIN Questionnaire (to be completed during meeting with CO)
n Acquisition Plan
Responsible Parties
Project Officer and/or Project
Manager
Project Officer and/or Project
Manager, CO
Project Officer and/or Project
Manager
Project Officer/Contract-Level COR
and/or Project Manager; CO
Contract-Level COR
Contract-Level COR
Contract-Level COR and CO
Contract-Level COR and CO
Contract-Level COR, Project
Manager, and CO
Contract-Level COR, Project
Manager, and CO
Contract-Level COR and CO
Contract-Level COR, Project
Manager, and CO
31
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
n SOWorSOO
n IGCE
n Budget Information
n Market Survey Information
n Evaluation Criteria
n List of Deliverables
n Labor Categories
n Quality Assurance Surveillance Plan (QASP)
n Quality Assurance Review Forms
n Information Technology Information
n Organizational Conflict of Interest Information
n Non-duplication of Effort Statement (required by some contracting offices)
n Justification for Other than Full and Open
Q Determined and obtained necessary approvals and submitted PIN package to
CO
Q PIN Package approved by 0AM
4.2.4 Support Solicitation Process
Q Supported CO in development of draft and final solicitation
Q Supported industry day and/or pre-proposal conference
Q Reviewed and developed responses to vendor questions on solicitation as
directed by CO
4.2.5 Support Evaluation, Selection, and Contract Award
Q Evaluation team members identified
Q Evaluation team members fully understand their role and responsibilities, the
evaluation process methodology, and requirements of the procurement
Q Evaluation team members completed review of proposals and documented
findings and clarifications
FJ Contract or WA/DO/TO negotiated and awarded
4.2.6 Review Contract Management Procedures with Contracting Officer
Q The contract management procedures (including COR structure and roles and
responsibilities) pertaining to specific contract finalized with the CO
FJ EPA Form 1900-65, Nomination of Contracting Officer's Representatives,
submitted to the CO for each COR
a COR Delegation by the CO for each COR received
FJ Government Ethics Form 450, Confidential Financial Disclosure Report
submitted to designated ethics Official by each COR
Contract-Level COR and Project
Manager
Contract-Level COR, Project
Manager, CO
Contract-Level COR
Contract-Level COR
Contract-Level COR
Project Manager or Contract-Level
COR, orWA/DOATOCOR
Eval Team Member, CO
Eval Team Member, CO
CO, Eval Team Member (as
required)
Project Manager, Contract-Level
COR, CO
COR Supervisors
CO, all CORs
All CORs
32
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Q COR Training (initial or recertification) completed (within last three years) and 40
CLPs obtained (within two year cycle) for each COR
4.2.7 Establish and Maintain COR Contract File
Q Strategy for maintaining COR Contract File established
Q COR Contract File is updated on ongoing basis
4.2.9 Prepare WA/DCYTO Procurement Request Package or Contract Modification
Q PR package requirements established with CO
Q PR (EPA Form 1900-8) package completed with the following relevant
documentation:
n SOWorSOO
n IGCE
n QASP (if applicable)
n Cover Sheet or Memo WA, TO, or DO Form
n Contracting Officer's Representative Nomination Form (EPA Form 1900-65)
n Copy of the Certificate of Training
n Quality Assurance Review Form
n Non-duplication of Effort Statement (required by some COs)
n SIO approval for IT services (as needed)
n Intra-agency funding request and approval (as needed)
n Government-Furnished Property worksheet
n Justification and Approval for Sensitive and/or Vulnerable Services (as
needed)
FJ Approvals on PR package and Funding Authorization obtained
Q PR package submitted to CO
Q Approval of PR package by CO obtained
Q TO, DO, WA or contract modification issued by CO
4.2.11 Review/Approve Proposal or Work Plan
Q Contractor's Technical/Mgmt/Staffing/Cost Plan and/or Proposal fully reviewed
and findings documented
FJ Appropriate personnel for review (with appropriate mix of expertise) identified
and briefed on project
Q Mechanism for obtaining and consolidating inputs has developed
FJ Feedback obtained, consolidated, and reviewed
Q Recommendation developed.
Q Recommendation to Contract-Level COR submitted (if applicable)
ICORs
Contract-Level COR and/or
DO/TO/WA COR
Contract-Level COR and
DO/TO/WA COR
Contract-Level COR, CO
DO/TO/WA COR or Contract-Level
COR, Project Manager, and CO
DO/TO/WA COR or Contract-Level
COR, Project Manager
Contract-Level COR or DO/TO/WA
COR, Project Manager, CO
Contract-Level COR, CO
CO, All CORs
DO/TO/WA COR or Contract-Level
COR, Project Manager and/or
Team Leads
DO/TO/WA COR or Contract-Level
33
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
COR
Q Recommendation to CO submitted
FJ Comments provided to contractor; discussions, clarifications, negotiations with
Contractor conducted as required
DO/TO/WA COR or Contract-Level
COR
CO, DO/TO/WA COR or Contract-
Level COR
4.2.12 Perform Technical Monitoring
Q Memorandum for contract file prepared for documenting review of plan/proposal
and final resolution
Q Thorough review of basic contract and contractor proposal completed
Q Framework for conducting technical monitoring established; methodology has
been established for:
n Tracking submission and acceptance of deliverables for each task against
schedule requirements
n Obtaining and consolidating feedback on each deliverable, contractor
proposal, and overall Contractor performance
n Conducting testing, inspection, and acceptance of requirements (if
applicable)
n Conducting In-Progress Reviews and other performance reviews
n Conducting assessments against performance-based metrics/SLAs in
accordance with QASP (applicable under a performance-based contract)
n Providing appropriate dialog with Ccntractor (e.g., conducting regular status
meetings)
n Updating tracking mechanisms on a regular basis
FJ Status reports submitted and reviewed on a regular basis
FJ Progress against schedule reviewed on an ongoing basis
FJ Costs against work plan and schedule are tracked on an ongoing basis
FJ Status meetings are conducted with the contractor on a regular basis
FJ Thorough review of each deliverable completed:
n Feedback obtained and consolidated in accordance with framework
established above
n Recommendations on acceptance or rejection made to Contract-Level COR
(as appropriate) or CO
n Feedback provided to Contractor on deliverable
n Review findings and final results documented in contract file
Q Performance Reviews are being performed in accordance with contract and
QASP (if applicable)
Q Test, inspection, and acceptance is being performed in accordance with contract
DO/TO/WA COR or Contract-Level
COR
All CORs, CO
DO/TO/WA COR and Contract-
Level COR
All CORs
All CORs
All CORs
All CORs
DO/TO/WA COR or Contract-Level
COR
DO/TO/WA COR or Contract-Level
COR
DO/TO/WA COR or Contract-Level
34
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
and framework established above (if required under the contract)
4.2.13 Perform Financial Monitoring
Q Framework for evaluating and approving invoices developed:
n Developed checklist appropriate for invoice review
n Developed invoice tracking mechanism (e.g., excel spreadsheet)
Q Invoices are being reviewed and approved in a timely manner
Q Issues identified have been raised to Contract-Level COR or CO and have been
addresses with contractor
COR
DO/TO/WA COR and Contract-
Level COR
DO/TO/WA COR or Contract-Level
COR
DO/TO/WA COR or Contract-Level
COR
4.2.14 Conduct WA/DOATO or Contract Closeout
Q Certified that all technical requirements of the contract satisfied, that the products DO/TO/WA COR or Contract-Level
or services have been satisfactorily completed within the contract amount, and COR
that the final report and all deliverables received and accepted
Q Completed and submitted contractor Past Performance Evaluation DO/TO/WA COR or Contract-Level
COR
35
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
11. Organizational Change Management Procedure OETI-PMP-11
This section defines the process by which staff within the EPA's OETI performs Organizational
Change Management (OCM) activities.
11.1 Process Flow Diagram
Figure 11-1 identifies the process for OCM.
ipMP-08 Change \
Control Procedure j"
/
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
11.2 Checklist for Organizational Change Management Procedures
The following provides a checklist for the key activities associated with each step of this change
management procedure.
Activities Responsible Parties
4.2.1 Develop/Update OCM Plan
Q OCM Lead is assigned
Q OCM planning is performed
a OCM Plan is developed
Q OCM Plan is reviewed and approved
Project Manager
Project Manager, OCM Lead,
Project Team Leads
OCM Lead
Project Sponsor, Project
Manager
4.2.2 Implement OCM Plan
Q Initial change assessment is conducted
Q Applicability of BPR for the project is determined
Q Applicability of a Communication Plan for the project is determined
Q Applicability of training for the project is determined
Q Applicability of workforce planning for the project is determined
Q Project Team Leads are assigned for applicable OCM project activities
Q OCM performance measurement techniques are implemented
Q Approaches have been reviewed by appropriate leadership, and mapped against
other project milestones
OCM Lead, OCM Support
Team
Project Manager, OCM Lead,
OCM Support Team
OCM Lead, OCM Support
Team
4.2.3 Update Change Readiness Assessment
Q Comparative analysis with initial Change Assessment is conducted
Q Gaps are assessed between desired state and current state
Q Additional OCM activities are defined as a result of the analysis (as required)
Q Change readiness assessment has been conducted
OCM Lead/OCM Support Team
4.2.4 Assess Effectiveness of OCM Initiatives
Q Strategy for monitoring and measuring progress/success is defined
Q Effectiveness of OCM initiatives is assessed
Q OCM activities are added or refined as necessary
OCM Lead/OCM Support Team
37
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
12. Document Management Procedure OETI-PMP-12
This section defines the process by which staff within the EPA's OETI performs document
management activities.
12.1 Process Flow Diagram
Figure 12-1 depicts the process for performing document management.
Figure 12-1. Document Management Process Flow
38
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
12.2 Checklist for Document Management
The following provides a checklist for the key activities associated with each step of this document
management procedure.
Activities
4.2.1 Assign Resources and Establish Repository
n Document Coordinator is assigned
n Document Filing Specialist is assigned
n Folder structure and security are approved
n Folder structure is created
n Folder security is defined
n Filing cabinet is set up to maintain required hard copy documents
4.2.2 Submit Document for Storage
n Document Submission Form is completed and submitted to Document
Coordinator
n Electronic or hard copy documents are transmitted, along with comments
collected or addressed in its support, to the Document Coordinator
4.2.3 Review Document and Supporting Information
n Document is compared to completed Document Submission Form to determine
whether it qualifies for storage
n Notification of document's ineligibility for storage is sent to Submitter, if
necessary
n Storage requirement information is reviewed and found complete
n Any additional information necessary is obtained from Submitter
4.2.4 Name and Store Document
n Appropriate naming conventions are applied
n Document Submission Form is updated
n Document is loaded into the electronic document repository
n Email indicating completion of process and location of document in the
appropriate repository or repositories is sent to Submitter
n Eligible documents provided in hard copy are scanned and provided in an
electronic format
n Signed hard copy documents are filed in filing cabinet with Document
Submission Form
4.2.5 Maintain Repository
n Existing folder structure and metadata are reviewed against newly submitted
documents and any necessary changes are made
n Basic maintenance for the automated document management tool is performed
n Changes are made to the filing cabinet, as necessary
n Updates/changes to criteria, folder structure, metadata or security are approved
Responsible Parties
Project Manager
Document Coordinator
Document Filing Specialist
Submitter
Document Coordinator
Document Coordinator
Document Filing Specialist
Document Coordinator
Document Filing Specialist
Project Manager
39
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
13. Project Closure Procedure OETI-PMP-13
This section defines the process by which staff within the EPA's OETI performs project closure
activities.
13.1 Process Flow Diagram
Figure 13-1 identifies the process for project closure, which originates with the development of the
project closure procedures.
PMP02-
Droject Initiation &
Planning
PMP12-
Document
Management
(4.2.1) Develop
Administrative
Closure
Procedures
(4.2.7) Execute
Next Phase of
Project
(4.2.3) Perform
Administrative Closure
Procedures for Project
(4.2.4) Perform
Administrative Closure
Procedures for Phase
Figure 13-1. Project Closure Process Flow
13.2 Checklist for Project Closure
The following provides a checklist for the key activities associated with each step of this project
closure procedure.
Activities
4.2.1 Develop Administrative Closure Procedures
Responsible Parties
40
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Activities
Q External and internal project closure requirements are identified
fj Project closure planning is conducted to address the following (as applicable):
Q Roles and responsibilities of project resources
fj Final project approvals, sign-offs
Q Archival of project artifacts and deliverables
Q Lessons learned
fj End of phase requirements
Q Human resources requirements
fj Transition plan requirements
Q Project Close Out Report requirements
fj Physical asset disposal or transfer
fj Administrative closure procedures are documented, including a transition plan if
required
Q Administrative closure procedures are made consistent with the scope defined in the
Project Management Plan
fj Appropriate closure activities are reflected in the project schedule
fj Contract closure requirements are identified, if applicable
fj Responsibility for developing administrative closure procedures are assigned
Q Administrative closure procedures are reviewed and approved
4.2.2 End of a Phase or Project?
Q Determination is made whether the end of a phase or end of the project is imminent
4.2.3 Perform Administrative Closure Procedures for Project
fj Lessons learned are documented
fj Feedback from team members is solicited for incorporation into the Project Closure
Report (if applicable)
Q For system projects, required OEI SLCM decision papers are prepared and
submitted
fj Human Resource requirements are addressed. Possible items include post-closure
project staffing activities for all project resources and delivery of performance
feedback
fj Project artifacts and deliverables are archived
fj Formal transition of product or project occurred (if applicable)
fj The project assets (workspace, computers etc.,) are transferred as applicable
4.2.4 Perform Administrative Closure Procedures for Phase
fj Lessons learned are documented
Q Human Resource requirements are addressed. Possible items include post-closure
Responsible Parties
Project Manager/Project Team
Leads
Project Manager/Project Team
Leads/CO/COR
Project Manager
Project Manager/Project Team
Leads
Project Manager/Project Team
Leads
Project Manager/Project Team
Leads
41
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
project staffing activities for phase project resources and delivery of performance
feedback
FJ Project artifacts and deliverables are archived
Q Formal transition of product or project phase occurred (if applicable)
FJ As applicable, approval is obtained to move to next phase of project. For system
projects, required OEI SLCM decision papers are prepared, submitted and approved
4.2.5 Contract Closure?
FJ A determination is made whether contract closure is needed as part of the end of the
phase or the end of the project
Project Manager/Project Team
Leads/CO/COR
FJ If applicable, contract closure procedures are executed per the requirements defined Project Manager/Project Team
in the contract, task order, procedures etc., for either the end of the phase or the end Leads/CO/COR
of the project (see the checklist in Appendix B, PMP-10 Procurement Management
Procedure)
4.2.7 Execute Next Phase of Project
Q If applicable, a new project phase is initiated
4.2.8 Final Review and Approval of Project
FJ Project is reviewed and formally approved.
Project Manager/Project Team
Leads
Project Manager
4.2.9 Project/Contract Ends
FJ All project closure activities are completed
Project Manager
42
04/26/2007- Version 1.0
-------
Office of Enterprise Technology and Innovation
Abridged PM Procedures
Acronyms
The following acronyms shown below are referenced in this document.
Abbreviation Description
CAM
CAP
CCB
CO
COR
CR
DO
EPA
EV
IMS
OCM
ODC
OEI
OETI
OMB
PM
PMI
PMP
RM
ROM
SMP
SPI
TO
WA
Control Account Manager
Corrective Action Plan
Change Control Board
Contracting Officer
Contracting Officer's Representative
Change Request
Delivery Order
Environmental Protection Agency
Earned Value
Integrated Master Schedule
Organizational Change Management
Other Direct Cost
Office of Environmental Information
Office of Enterprise Technology and Innovation
Office of Management and Business
Project Management
Project Management Institute
Project Management Plan
Requirements Management
Rough Order of Magnitude
System Management Plan
Schedule Performance Index
Task Order
Work Assignment
43
04/26/2007- Version 1.0
------- |