CONCEPT DEFINITION

Step 0: Concept Definition

In Step 0, the predominate IPMC process group is Initiating. (See Appendix B for a detailed discussion of the Initiating process group.) The purpose of Concept Definition is to evaluate projects proposed for the next planning cycle and to reach consensus from the EIB or the appropriate senior leadership to proceed with the project. During this phase in the IPMC Project Management approach, it is important to have a clear understanding of the problem that needs to be solved and how solving that problem supports a strategic objective of the Department.

The Project Concept Paper defines the project’s reason for being and ensures the project is consistent with the organizational business plan. It defines a high-level approach and other top-level planning information. Ideally, the information contained in the Concept Paper provides management with the information necessary to decide if the project can be supported. The Concept paper should not be a collection of product or process deliverables, but it should define what is to be done, why it is to be done, and what business value it will provide to the when the project is completed.

New IT projects/initiatives require submission of Concept Papers and acceptance of the Concept Papers at a Project Initiation Milestone 0 Review. Each paper is meant to be a high-level, conceptual description of new proposed projects that broadly identify project goals and benefits. Once the Concept Paper is submitted, a Milestone 0 review will be scheduled with the Enterprise Information Board (EIB). A decision to proceed by the EIB authorizes the submitting office to prepare a “planning” or “full acquisition” Capital Asset Plan and Business Case (OMB Exhibit 300).

If a new IT project/initiative is not approved during the Milestone 0 review, the originating office will have 14 calendar days to reschedule and conduct the review. Rescheduling a review will not postpone the date for completion of the OMB Exhibit 300 in Capital Asset Management System (CAMS). The results of all Milestone 0 reviews will be reported to the Strategic Management Council. A sample Concept Paper can be found in the Appendix.

The primary task of the concept definition step is the “initiating” or “chartering” of the project . The PM documents produced during concept definition serve as the equivalent of what IPMC would call a project charter. The project charter process at the has several steps and incorporates several organizational-specific documents. These include the Concept Paper, Milestone 0 Review Briefing, and the Milestone 0 Decision memo. Combined, these documents:

A project is considered to be “chartered” once these three artifacts exist and the project has been received Milestone 0 approval from the governing bodies or appropriate senior management.

Milestone 0: Project Initiation Approval

Milestone 0 is intended to have the Project Sponsor, Business Sponsor, or Project Manager address the basic areas necessary to warrant project initiation approval. It does not presume any significant prior investment in analysis (either business or technical), concept or requirements definition or design; rather, it seeks answers to these most basic questions even before committing to that level of investment. The Project Manager should have a clear understanding of the problem that needs to be solved and how solving that problem supports a strategic objective of the Department. Based on a successful Milestone 0 review, the Project Manager will be authorized to expend the resources necessary to establish the project’s business case and prepare for the project’s Milestone I review.

The main steps that need to be taken to reach the project initiation approval include preparing the Concept Paper, and conducting the Milestone 0 Decision Briefing.

Preparing the Concept Paper: The Concept Paper information basically documents the business problem and proposed technical approach. The document should be brief, providing a high-level justification for the project, giving enough information to determine if the project should continue onto the next phase.

After the appropriate Administration or Staff Office approval, the Concept Paper will be submitted to the CIO for review. The reviewing official will determine whether the project should go forward to EIB or be tabled, reworked, scrapped or refined.

Preparing the Briefing: In addition to the documentation, a briefing needs to be given to the Enterprise Information Board (EIB). If the project is approved to go forward and is approved by the EIB, an Exhibit 300, either Planning or Full Acquisition, will need to be developed for the next milestone.

Once a concept is approved, the project team will need to complete a more detailed life cycle cost estimate, breaking out acquisition and recurring costs for each year of the project, in order to provide sufficient information to prepare and justify a budget request.

Project Manager Selection

The Project Manager is responsible for project cost, schedule and performance. Selection of the project manager should be based upon qualifications and experience commensurate with the size, complexity and profile of the project. All OMB Exhibit 300 level projects must have a Level III master project manager and alternate project manager assigned. A Level II master project manager should be assigned to projects of medium to large size/complexity or to those subprojects that fall under an OMB Exhibit 300 initiative. Level I master project managers are qualified to manage small projects with a short duration. The project manager should be selected as early in the project life cycle as possible.

The Project Manager should have broad authority over the entire project. Senior management should empower the Project Manager to take actions necessary to complete the project successfully. This includes the authority to make design decisions during development, as well as the ability to control requirements, budget, schedule, resources, and product quality.

Assignment of the Project Manager should take place as early as possible. It is especially important the Project Manager conduct the planning phase of the project. The Project Manager’s understanding of the project’s planning process and trade-offs can be invaluable to team members and matrixed support personnel as they come on-board. That understanding of ‘how we got here’ will also have a beneficial impact on the decisions made during project execution.

One EA/Enterprise Architecture

From the perspective of the One- EA, at Milestone 0, PMs are expected to focus on the information relevant to their respective proposed new projects in row 1 of the EA Zachman Framework. This information is described in Chapter 3 of version 2.1 of the One Enterprise Architecture. Chapter 3 provides a delineation of the business of the Department from a business-focused, top-down, enterprise-wide perspective.

IT Operations Considerations

Projects that will involve telecommunications and operations infrastructure should consider the following questions leading up to Milestone 0:

Network Capacity Planning:

Significant Project Management Activities

The following is a summary listing of the significant project management activities and outputs for Step 0.

Responsibility Assignment Matrix

The Responsibility Assignment Matrix below is provided as a “best practices” tool that the PM can adapt and fill out for the appropriate tasks and responsibilities of his or her project. For additional guidance, the PM should refer to the appendices of this guide and consult his or her Administration or Staff Office PMO.