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Month day, year name, title N.C. Department of Commerce Information Resource Management Division
TABLE OF CONTENTS
1. BACKGROUND.......................................................................................................................... 5 2. OBJECTIVES ............................................................................................................................. 5 3. SCOPE........................................................................................................................................ 5 3.1 Inclusions ............................................................................................................................. 5 3.2 Exclusions ............................................................................................................................ 5 4. WORK APPROACH ................................................................................................................... 5 5. KEY PROJECT DELIVERABLES.............................................................................................. 6 6. STAFFING, ROLES & RESPONSIBILITIES.............................................................................. 7 6.1 Staffing ................................................................................................................................. 7 6.2 Roles & Responsibilities Matrix............................................................................................ 7 7. MANAGEMENT APPROACH .................................................................................................... 8 7.1 Deliverable Acceptance Management ................................................................................. 8 7.2 Risk Management ................................................................................................................ 8 7.3 Change Management .......................................................................................................... 9 7.4 Issues & Problem Management........................................................................................... 9 8. PROGRESS REPORTING AND COMMUNICATIONS ............................................................. 9 9. PROJECT PLAN ...................................................................................................................... 10 10. APPENDIX .............................................................................................................................. 10 10.1 Initial Risk Management Report ..................................................................................... 10 10.2 Forms and templates (customized for the project): ......................................................... 10 10.3 Other related and relevant documents ............................................................................ 10
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All instructions, tips and recommendations that you find within the template will be preceded by a bullet-arrow and italicized. Remove these when you are finalizing the template. The document Cover must have NC Logo document name (i.e. Statement of Work) project name preparers name and title department/division date submitted (manually typed, do not use computer-generated dates. This also serves as the version reference.) The same manually-typed date must be on all footers on all pages of the SOW.
For major projects (eg. Reporting to the IRMC) All the sections and sub-sections are mandatory. For simpler projects, the minimum requirement is that the SOW must have all the major sections The section entries do not have to be elaborate. The Management Section may be compressed but ensure that the following are addressed: how deliverables will be submitted and approved, how changes to the scope of work will be handled, how status will be communicated. An example of a simple SOW that contains all these elements is in PCDOCS #3509. This is just an example - Do not create your SOW from this document as the headings may be different.
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Section entries must be brief and to the point. Name names as indicated. Name functions or titles as indicated. Spell-check before submitting for review and approval. Submittal process: 1. Attach a Deliverable Acceptance form (PCDOCS #3497) 2. Submit to Project Sponsor for review 3. Project Sponsor will endorse or return SOW within 2 business days. 4. If rejected: revise and repeat submittal process from step 1. 5. If signed: furnish signed copies Project Team, keep original in Project Notebook Any subsequent revisions to the SOW and baselined project plan have to be tracked and approved via the Change Procedure described in the SOW. Do not state any ASSUMPTIONS in the statement of work. Rationale assumption statements are passive and have no clear drivers, timelines, and resolution plan. Transform assumptions into either of the following: - a scope statement, - a roles and responsibilities statement, - a basis for estimate statement within an Effort and Cost section if provided - a risk statement Examples of assumption conversions: Example 1: Statement: It is assumed that the development environment will be available not only during office hours but during weekends and holidays. Transform into a risk statement: Should the development environment not be available during weekends and holidays it will impact the project schedule by x weeks. The following steps will be taken to mitigate this risk (a) x will do this.. (b) y will do that.. Example 2: Statement: It is assumed that there will be 7 workstations available to the project team at the start of the project initiation phase.. Transform into a roles and responsibilities statement: The IT Manager (specify name) shall provide 7 workstations to the project team at the start of the project initiation phase. Transform it into a risk statement as well, if it will most likely occur: Should the 7 workstations not be available it will delay the project start by .. The project manager will. In order to mitigate this risk.
3497 Deliverable Acceptance form 3498 this SOW template 3499 Example of a Deliverable Acceptance Procedure 3500 Change Procedure template 3501 Change Request form 3502 Change Request Log 3504 Issues Log
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1. Background
! ! ! Describe relevant history that precedes the project. Describe the business drivers for the project or the problem or opportunity being addressed. Describe this projects relationship to other initiatives or projects (eg. Dependencies, function of this project in relation to a bigger picture)
2. Objectives
! ! Given the historical background and drivers (this is why Background must come before Objectives), state what the project must accomplish. This should be brief and high-level describe the final outcome that will address the problem or the opportunity described in the previous section. Example: The objectives of this project are: - to install and make operational a shared services repository that would ensure centralized documentation, facilitate shared services searches.and, - to develop standards for developing and documenting shared services that would .
3. Scope
3.1 Inclusions ! ! ! ! Define what is included using metrics whenever possible. Provide specific details to ensure a complete and unambiguous understanding of the boundaries of the project. Avoid a description of how work is to be performed that is covered in the Work Approach The difference between objectives and scope Objective describes the primary product(s) of the project (eg., A PKI infrastructure, a shared services repository, an application system, a new section in the STA, a new convenience contract process, etc) and the goals to be achieved by producing those products. Scope describes the boundaries within which those products will be developed, delivered and deployed (eg. Dept. of Transportations Purchasing Departments administrative support section, or Statewide mainframe platforms, or pilot effort or proof of concept effort only, etc). The scope statement is the foundation for the subsequent documents that further refine the project coverage, such as business requirements, functional specifications, and infrastructure specifications documents. Useful questions: what business area is targeted? What function within the business area is included? Are the following included: conversion, training, interfaces, transition, maintenance and operations? Remember that some would-be assumption statements should probably be converted into scope statements.
! ! !
3.2 Exclusions ! ! This helps further define boundaries by clearly stating what is out of scope. Must be shorter than Inclusions.
4. Work Approach
! Describe how the work is to be performed if a formal methodology will be used, provide a concise description here. (Eg., This project will use the Method/1 waterfall software development life cycle).
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! ! !
! ! ! ! !
Design Specifications
Must contain all the details to be specified in Activity (Develop Design Specs) Task (Create document outline). A table of contents with section description, and signed-off by the Project Sponsor, will be the basis for acceptance.
Installed System X
Implementation team
Must meet all the requirements defined in the System Acceptance Criteria. (note that the system/project acceptance criteria may either be treated as a Key Deliverable and therefore included in this list or as an
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6.2 Roles & Responsibilities Matrix In the matrix, indicate the - Workgroup/Agency & Names of individuals - Function (corresponding to the Org Chart function) - List of Responsibilities ! Ensure all other references to responsibilities in other sections are supported here ! Avoid using participate or assist be more specific about the activity to be performed ! Remember that some would-be assumption statements should probably be converted into R&R statements. ! Include vendors, IRMC QA group, or groups that will contribute to the project but may not be an integral part of the project. ! Example: Function Workgroup/Individuals Primary Responsibility Dept. of Commerce/IRM Functional, Develop and maintain SOW and project Performance, and - IRM John Martin (Group plan for testing workgroup Lead) Acceptance Testing Provide input in the development of highRaj Varadharajan, SME level business requirements - Susan Barker, Tester Develop functional, performance, and acceptance test plans Define and create the service broker testing environment Select, install and evaluate test tools Develop test drivers and test cases Perform functional, performance, and acceptance tests Maintain test log and bug lists Prepare bi-weekly workgroup progress reports for project manager Review work of other workgroups Attend monthly project team meetings System Operations Dept. of Commerce/ITS/CCS Develop and maintain SOW and project - Barry Bell (Group Lead) and Administration plan for the system operations and - Charles Long (Group administration workgroup
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7. Management Approach
7.1 Deliverable Acceptance Management ! ! ! ! ! ! The focus of this section is to define the process for submitting, approving and rejecting deliverables. This section must briefly describe how the quality of deliverables will be assured and validated (this should be subsequently described in-depth in a Quality Assurance plan). (Examples: pre-defined acceptance criteria, templates, peer review, deliverable walkthrough). Define Acceptance as a written approval of the deliverable based on pre-defined acceptance criteria. Reinforce use of the acceptance criteria column in the Key Deliverables section. Decide on the approval authorities for each deliverable, turnaround time to review and approve. If a group consensus is needed the Project Manager must drive this process and sign for the group. Describe a Deliverable Acceptance and Rejection procedure (see PCDOCS#3499 for an example) and customize the Deliverable Acceptance Form (PCDOCS #3497) for the project and attach it in the Appendix section. The ABT Workbench-generated Deliverables Log must be attached to the regular project status report.
7.2 Risk Management ! ! ! ! ! ! ! ! Define risk as anything that may have a negative impact to the project: schedule delay, increased costs, poor quality of deliverables. Describe how the project will practice risk management: Risk factors identification: indicate use of Kulik and Lazarus, RAMP tools. Risk mitigation: state the presence of the following elements in developing a risk mitigation plan for the project - action plan, who will be the driver, timeline, reporting and tracking (need to locate template in PCDOCS use Service Broker example, see PCDOCS#3464) An initial risk assessment must be performed and an initial Risk Management Plan must accompany the SOW (attach as an appendix) Risk monitoring: The Risk Management Plan must be reviewed with the Project Team, Steering Committee & Project Sponsor on a regular basis (indicate when). The document must be part of regular project status reports. Read more about the IRMs RAMP available at the IRMC website under the Policies & Standards page Remember that some would-be assumption statements should probably be converted into risk statements.
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7.3 Change Management ! ! Define change as any revision or adjustment to the SOW that may or may not impact project schedule or budget. Describe the 3 types of changes that the project will track: - Design changes change to scope, deliverables (including those already approved), activities/tasks, staffing, etc., .resulting in an adjustment to the project budget, schedule or effort. - Non-compliance changes failure to perform something that was planned (including defective deliverables, staffing shortage). This also results in an adjustment to the project budget, schedule or effort. - Informational changes changes that do not result in a change in schedule, effort and cost. Example change in management approach, or a change in project ownership due to a re-org. Customize the Change Management Procedure (PCDCOS #3500) according to the project situation and embed it here. Note that this describes the procedures for initiating, reviewing and approving changes as well as the criteria for approval, and identifying the approval authority. Customize the Change Request Form (PCDOCS #3501) according to the needs of the project and attach it in the Appendix section. Describe how the changes will be tracked and its status communicated. Use the Change Request Log template (PCDOCS #3502) - attach it in the Appendix section. The Log must be part of regular project status reports.
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7.4 Issues & Problem Management ! ! ! ! Describe how the project will capture, prioritize, resolve, escalate, and monitor reported problems and issues. Escalation may be based on criticality or the length of time an issue has been open. Describe how the issues and problems will be tracked and status communicated. Use the Issues Log template (PCDOCS #3504) - attach it in the Appendix section. The Log must be part of regular project status reports. Issues, when closed, should not be deleted from the log.
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9. Project Plan
! Attach the baselined Project Plan. If the project plan is not yet baselined, attach the preliminary Project Plan and ensure that the final project plan is defined as one of the deliverables in the Key Project Deliverables section and that it is completed early in the project.
10. Appendix
10.1 Initial Risk Management Report 10.2 Forms and templates (customized for the project): Individual or Workgroup Status Report template Monthly Project Status Report template (IRMC) Deliverable Acceptance Form Change Request Form Change Request Log Issues Log
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