[Project Name]

Project Charter and Implementation Report (PIR)

[Date]

Project Manager:
Email address:
Telephone:

Table of Contents

Preface............................................................................................................1
How the Project Initiation Report (PIR) Works..........................................................................................................1
Project Start Up Step...................................................................................................................................................1
Develop Business Case Step.......................................................................................................................................1
Project Scope Step......................................................................................................................................................1
Project Organization Step...........................................................................................................................................1
Project Team Readiness..............................................................................................................................................1
Project Management Procedures Step........................................................................................................................2
Project RFP Workplan and Budgeting Step................................................................................................................2
Project Assessment Step.............................................................................................................................................2

Project Start Up Step.......................................................................................3

Activity: Identify Project Sponsor.............................................................................................................................3
Activity: Identify Project Manager............................................................................................................................3
Activity: Identify Current Business Owner(s)...........................................................................................................3

Develop Business Case Step...........................................................................3

Document the vision and goals of the project what ills will be cured.....................................................................3
Activity: Describe the desired output/result..........................................................................................................3
Needs Analysis............................................................................................................................................................3
Activity: Needs Analysis Identify the Problems with the Status Quo................................................................3
Activity: Needs Analysis Identify the Stakeholders...........................................................................................3
Activity: Needs Analysis Identify the Goals or programs served.......................................................................3
Activity: Review Needs Analysis activity.............................................................................................................4
Feasibility Study.........................................................................................................................................................4
Activity: Feasibility Study Identify Project Owner:...........................................................................................4
Activity: Feasibility Study - Identify Staffing Availability....................................................................................4
Activity: Feasibility Study - Identify Funding Available.......................................................................................4
Activity: Feasibility Study - Identify Project Timeframe Constraints...................................................................4
Activity: Feasibility Study - Identify Political landscape......................................................................................4
Activity: Review Feasibility Study........................................................................................................................4
Define high level requirements:..................................................................................................................................4
Activity: Define the status quo by context diagram(s) and models........................................................................4
Activity: Model the as is process........................................................................................................................5
Activity: Model the future, could-be process......................................................................................................5
Develop Alternatives...................................................................................................................................................5
Activity: Build alternatives Matrix:.......................................................................................................................5
Activity: Review Alternatives.................................................................................................................................5
Activity: Select Alternative.....................................................................................................................................5
Milestone: Document Alternative Rationale...........................................................................................................6

Project Scope Step...........................................................................................7

Activity: Establish Scope of Project..........................................................................................................................7
Activity: Review Project Scope.................................................................................................................................7
Activity: Communicate Project Scope to Stakeholders.............................................................................................7

Project Organization Step................................................................................8

Activity:
Activity:
Activity:
Activity:
Activity:
Activity:

Establish Governance Structure..................................................................................................................8

Establish Steering Committee.....................................................................................................................8
Establish the Project Team..........................................................................................................................8
Identify Subject Matter Experts..................................................................................................................8
Create Project Organization Chart..............................................................................................................8
Establish Communication Procedures........................................................................................................9

Activity: Review Project Organization......................................................................................................................9

Project Team Readiness Step........................................................................10

Activity: Establish Work Environment.....................................................................................................................10
Activity: Hire Staff...................................................................................................................................................10
Activity: Train Project Team on Lotus Notes Calendar and QuickPlace.................................................................10
Activity: Determine Project Team Additional Training Requirements....................................................................10
Activity: Conduct Project Team Training................................................................................................................10
Activity: Review Project Team Readiness...............................................................................................................10

Project Management Step..............................................................................11

Activity:
Activity:
Activity:
Activity:
Activity:
Activity:
Activity:
Activity:

Establish Project Management Procedures...............................................................................................11

Establish Project Status Reporting Procedures.........................................................................................11
Establish Quality Control Procedures.......................................................................................................11
Establish Configuration Management Procedures....................................................................................11
Establish Change Control Procedures.......................................................................................................11
Establish Issue Resolution Procedure.......................................................................................................11
Establish Decision/Information Request Procedures................................................................................11
Review Project Management Procedures.................................................................................................11

Develop RFP Workplan Step.........................................................................12

Activity:
Activity:
Activity:
Activity:

Determine Project Approach/Methodology..............................................................................................12

Prepare Project Workplan.........................................................................................................................12
Document Workplan Assumptions...........................................................................................................12
Review Project Workplan.........................................................................................................................12

Develop RFP Budgeting Step.......................................................................12

Activity: Prepare Project Budget.............................................................................................................................12
Activity: Document Project Budget Assumptions...................................................................................................12
Activity: Review Project Budget.............................................................................................................................12

Project Startup Assessment Step...................................................................13

Activity:
Activity:
Activity:
Activity:
Activity:
Activity:

Compile Project Initiation Plan (PIP).......................................................................................................13

Present PIR to the Steering Committee....................................................................................................13
Update PIR with Feedback from the Steering Committee.......................................................................13
Deliver PIR to the Steering Committee....................................................................................................13
Conduct End Stage Assessment................................................................................................................13
Follow up end stage assessment...............................................................................................................13

Preface
The Project Initiation Report (PIR) records the results of executing the Project Initiation Plan (PIP).
How the Project Initiation Report (PIR) Works
The Project Initiation Plan (PIP) is the plan for planning the start of a project. The PIP is a workplan. This
workplan describes the tasks, timeframe, and human resources required to start planning for a project. As the tasks
in the PIP are accomplished, the results are recorded into this document. Once all of the results are recorded, the
Project Initiation Plan is magically transformed into the Project Initiation Report (PIR). This document, as it is
transformed from the PIP to the PIR, forms the foundation for a successful project. The template should not be
altered (leave the italicized instructions in place) simply add the information as required. In that fashion the
finished document will serve any reader by outlining the instructions and the responses. The Steps for the creation
of the PIR are described below.
Project Start Up Step
The PIP is a plan to plan. This step is a guideline for how the project initiation plan itself will be prepared. Step 1
defines the project, the management structure and the parties involved in shepherding the project to completion. As
an orientation, the Project Initiator or Project Manager (if one has been assigned) must gather all of the
documentation created to date regarding this project. The documentation will include the original Service Request,
the Project Concept Authorization and Report, and the Project Initiation Authorization.
Develop Business Case Step
The objective of the Business Case Step is to document the Needs Analysis, the Feasibility Study, and evaluation of
the Alternatives. These are the steps necessary to prepare a Business Case. At a minimum, this step provides
analysis of the business reason for a project, the high level requirements to meet the need, the project alternatives
and the benefits and costs of each alternative. Before proceeding, the client/customer must decide if the project is
still worthwhile given the alternatives. In this step we identify the project constraints and the likelihood of the
projects success. It is during the review of alternatives that we identify the specific risks for each alternative, and
how success will be measured. It is essential to document the alternative selected, and the rationale behind that
selection.
Project Scope Step
For the selected alternative, the project team establishes the scope of work required to bring the project to the RFP
stage. The review must include the technical aspects of the scope (hardware, operating software, middleware,
applications, interfaces, and conversion of data), as well as organizational change and political pressures. In order to
allow all participants to understand and commit the resources necessary to proceed with the project, the tasks
required to bring the project to the RFP stage are documented (a work breakdown structure or task list) and the
resources assigned to each task are listed.
Once completed, the Project Scope is reviewed with all managers required to assign resources, and the decision to
proceed is documented with a Decision Information Request (DIR). At this point, the required participants have
been identified and the level of their participation has been documented. The Project Initiation Communication Plan
(if already created) should now be revised to more effectively meet its goals.
Project Organization Step
The objective of the Project Organization Step is to select and prepare the people whose involvement will be
necessary for the project to succeed. During this step project governance is defined, each participant is advised of
the roles and responsibilities that must be filled, and a communication plan (if not already created) developed.
Project Team Readiness
The customer/client and the project manager identify the staff requirements (backfill and project assignments),
training required for the project participants, and the work environment.

Project Management Procedures Step

This step documents the approach to project management and the tools that will be used.
Project RFP Workplan and Budgeting Step
The project manager constructs the project workplan and estimates the total budget for the creation of the RFP and
the management of the RFP selection process.
Project Assessment Step
This section formally documents the results of Section 1 through 7 and presents these results to the Steering
Committee.

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Project Start Up Step

Activity: Identify Project Sponsor
Task: Identify an executive sponsor with the interest and authority to oversee the project
throughout its lifespan, and to ensure the necessary resources are allocated to ensure the
successful completion of the Project.
Activity: Identify Project Manager
Task: Identify a Project Manager who has experience in the development approach and/or the
business area under study, and possesses the level of experience and skill to manage the Project
to a successful completion.
Activity: Identify Current Business Owner(s)
Task: Identify the Business Unit that currently owns the process or has the problem as a result of
the status quo and is, as a result, initiating this project.

Develop Business Case Step

Document the vision and goals of the project what ills will be cured
ACTIVITY: DESCRIBE THE DESIRED OUTPUT/RESULT

Task: To provide guidance to the project team and any other interested party, define the vision
and the goals of the project. (Originally outlined in the Project Concept Report)
Needs Analysis
ACTIVITY: NEEDS ANALYSIS IDENTIFY THE PROBLEMS WITH THE STATUS QUO

Task: Document the high-level description of the problem with the status quo sufficient to give
rise to a project. Describe the project and the background what history has lead to the status
quo. (Originally outlined in the Project Concept Report)
ACTIVITY: NEEDS ANALYSIS IDENTIFY THE STAKEHOLDERS

Task: Identify the stakeholders who are impacted by the problem with the status quo. (The
Citizens of Albuquerque are the foremost stakeholders. Originally outlined in the Project
Concept Report)
ACTIVITY: NEEDS ANALYSIS IDENTIFY THE GOALS OR PROGRAMS SERVED

Task: Identify the Strategic Goal(s) (or Program(s)) that this project will support. (Originally
outlined in the Project Concept Report)
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ACTIVITY: REVIEW NEEDS ANALYSIS ACTIVITY

Task: The current business owner and the project manager provide the project sponsor with the
information gathered in the preceding activities. (This same documentation may be guidance and
clarification for a transition team or a post-project audit.)
Feasibility Study
ACTIVITY: FEASIBILITY STUDY IDENTIFY PROJECT OWNER:

Task: This project was initiated by some business unit with a problem; the status quo is not
acceptable. What business unit initiated the project? What business unit will incur the largest
impact if the project is undertaken?
ACTIVITY: FEASIBILITY STUDY - IDENTIFY STAFFING AVAILABILITY

Task: Identify the staff available from the business units involved and from any other required
business units (ISD for technical support, Treasury or Accounting for revenue or reconciliation
requirements, etc.) to be assigned to this project. The Project Sponsor is responsible for the
commitment of all resources required to successfully complete the project.
ACTIVITY: FEASIBILITY STUDY - IDENTIFY FUNDING AVAILABLE

Task: Identify the source of funds necessary to pursue the project. Indicate the time the funds
will become available and any necessary process required to access the funds.
ACTIVITY: FEASIBILITY STUDY - IDENTIFY PROJECT TIMEFRAME CONSTRAINTS

Task: Identify any deadlines or windows during which the project must be completed or work
performed. Consider business cycles, resource constraints, holidays and elections.
ACTIVITY: FEASIBILITY STUDY - IDENTIFY POLITICAL LANDSCAPE

Task: Identify any constraints of a political nature that will impact the project at the planning
stage or throughout its anticipated duration.
ACTIVITY: REVIEW FEASIBILITY STUDY

Task: The current business owner and the project manager provide the project sponsor with the
information gathered in the preceding activities. (This same documentation may be guidance and
clarification for a transition team or a post-project audit.)
Define high level requirements:
ACTIVITY: DEFINE THE STATUS QUO BY CONTEXT DIAGRAM(S) AND MODELS

Task: Conduct interviews, job shadowing, report review, and other analysis techniques to
determine the existing system. Identify the source of the necessary data, the manipulations to that
data, and the output of the system. Identify all interfaces, approvals, time constraints, and
dependencies for the system. At this stage level 0 and level 1 are typically as deep as the analysis
must be done.
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ACTIVITY: MODEL THE AS IS PROCESS

Task: Convert the information gathered in the preceding task into a business modeling
diagram(s)
ACTIVITY: MODEL THE FUTURE, COULD-BE PROCESS

Task: Clearly identify the future as possible, not the actual design (to avoid creating user
expectations inaccurately). As much as possible, accommodate the output requirements of the
system (e.g., reports, data file extracts) and identify all of the changes that will be required to
dependent systems.
Develop Alternatives
ACTIVITY: BUILD ALTERNATIVES MATRIX:

Expand the identification of alternatives task completed during the Project concept report. For
each alternative, the following tasks must be completed. Note that the first alternative in each
project is to do nothing accept the status quo as the most appropriate response. An Alternative
Matrix template is attached for use.
Task: Review related studies/research
Task: Identify the executive sponsor for this alternative
Task: Identify the business owner for this alternative
Task: Identify the stakeholders for this alternative
Task: Identify the staffing availability for this alternative
Task: Identify the staffing required for this alternative
Task: Identify the funding available for this alternative
Task: Identify the time frame constraints for this alternative
Task: Identify the political landscape for this alternative
Task: Identify the business process re-engineering opportunities of this alternative
Task: Identify the benefits of this alternative
Task: Identify the costs of this alternative
Task: Identify the assumptions made in consideration of this alternative
Task: Identify the risks of proceeding with this alternative
Task: Identify the work environment required for this alternative
ACTIVITY: REVIEW ALTERNATIVES

Task: The project manager, the project sponsor, and the executive sponsor review the alternatives
and ensure that sufficient information has been gathered to allow an informed decision to be
made.
ACTIVITY: SELECT ALTERNATIVE

Task: The decision is made by the party who will be responsible for the funding and the
allocation of resources to the project. A project requires the full support and conviction of the
owner if the owner does not want to go there, that alternative should not be selected.

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MILESTONE: DOCUMENT ALTERNATIVE RATIONALE

Task: The project manager needs to document all of the alternatives and the rationale for the
selection of the alternative selected. This serves as a reminder to the owner, and it should resolve
any waver of resolve; to the stakeholders so that they can feel their interests were considered in
the decision-making process, and to the auditors after the fact, to show the due diligence of the
alternative selection process. The decision reached should be recorded in a decision information
request (DIR).

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Project Scope Step

Activity: Establish Scope of Project
Task: Size the conversion requirements for the Project. Approximately how much data (how
much history, what number of fields, etc.) must be converted, from what source to what
destination, to what degree of accuracy? What are the time constraints for the conversion
when can it start, by when must it be completed?
Task: Identify the interfaces that will be impacted by the Project, or that must be developed for
the Project.
Task: Identify the user training required for the Project. Team member training is dealt with
elsewhere, but the users will require some training and that training is part of the Project
responsibility. Consider different modalities, timing, audiences, etc.
Task: Identify the business processes that will be impacted by the Project. What degree of
business reengineering is required to establish a best practices process?
Task: Determine the Enterprise Transition Management commitment required to implement the
changes to business processes and to assist in the adoption of the new system.
Task: Outline the development phases planned for the Project clearly identify the anticipated
timing, the functionality included in each phase and the overall anticipated end date.
Task: Describe in detail the deliverables of the Project and the high level requirements that the
Project deliverables must address and relate these requirements to the business objectives.
Activity: Review Project Scope
Task: Project Manager reviews the scope of the Project with the Steering Committee.
Milestone: Document the Project Scope
Task: Record in decision information request (DIR)
Activity: Communicate Project Scope to Stakeholders
Task: Executive Sponsor and Project Owner sponsor a communication to the stakeholders, in
accordance with the Communication Plan, which outlines the timing and functionality of the
Project.

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Project Organization Step

Activity: Establish Governance Structure
Task: [Especially important and difficult in any project that is sponsored or impacts more than
one department.] There will be decisions that have to be made who will make those decisions?
It must be understood that those decisions are binding upon all participants. Identify the
responsibilities (including communication requirements) of each team member. Create a
Governance chart that identifies the Project Sponsor (executive position) at the top of the chart
and the core team at the bottom of the chart. For governance purposes, who needs to be between
the two?
See the sample governance chart marked Attachment B.
Activity: Establish Steering Committee
Task: Identify the senior management team who will direct and be accountable for the project
and provide management commitment (assign resources). Ensure that those senior managers
with a significant interest in the successful outcome of the project are properly represented.
They will ensure that the project members from their department understand their
responsibilities and the time commitment they are making to the project.
Activity: Establish the Project Team
Task: Based on the available budget, resources, and objective of the Project, determine the
composition of the Project Team. Usually this team will consist of a Working Group (core
team). The working group makes project policy decisions and provides procedures and
technical implementation decisions.
Activity: Identify Subject Matter Experts
Task: Based on the available budget, resources, and objective of the project, identify Subject
Matter Experts (SMEs) for consultation by the Project Team. The SMEs provide expert guidance
and opinions related to the subject matter of the project.
Activity: Create Project Organization Chart
Task: Produce the Project Organization Chart, which defines the reporting lines and
communication channels for the Project. Unlike the governance chart, this chart will identify the
team members by area of responsibility (who manages the trainers?) and overall
responsibility.
See attachment C.

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Activity: Establish Communication Procedures

Task: Define how the team will communicate internally and externally during the project. Note
that all meetings must be scheduled through Lotus Notes Calendar (or the collaboration
software in production at the time of the project). All invitees must be called in addition to the
Lotus Notes Calendaring notification. On some Projects, the communications plan will include
the marketing and public relations aspect of the Project as well as Project team updates.
Activity: Review Project Organization
Task: Project Manager reviews the Project organization with the Steering Committee.

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Project Team Readiness Step

Activity: Establish Work Environment

Task: Determine estimated duration of the project, and the location of the project team during
that duration. Establish furniture, equipment (computing, networking, copying, faxing, telephone
service), access by vendors, etc.
Activity: Hire Staff
Task: Define the roles and responsibilities of all team members and hire where necessary to fill
the competence gap.
Activity: Train Project Team on Lotus Notes Calendar and QuickPlace
Task: Train the project team to use Lotus Notes Calendar functions to set and respond to
invitations for team meetings. Train the project team to view, edit, post and participate in
discussions on the QuickPlace meeting room technology. If the Project Communications Plan
calls for some other technology to be used, ensure the team members responsible for those
communications are trained to use the appropriate technology.
Activity: Determine Project Team Additional Training Requirements
Task: Assess the capabilities and skills of the project team. Based upon this assessment,
establish a training plan to acquaint the project team members with the methodologies,
technologies, and business areas under study. Update the project schedule to incorporate
scheduled training activities.
Activity: Conduct Project Team Training
Activity: Review Project Team Readiness
Task: Project Manager reviews the project team readiness with the Steering Committee.

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Project Management Step

Activity: Establish Project Management Procedures
Task: Document the project management process that will be followed during the project,
specifically the meeting schedule and the method of documentation.
Activity: Establish Project Status Reporting Procedures
Task: Document the project status reporting procedures that will be followed during the project.
Ensure that all documents are responsive to the needs of the executive sponsor and steering
committee members.
Activity: Establish Quality Control Procedures
Task: Document the quality control procedures that will be used during the project. These
should include walk-through procedures, IV&V, committee reviews if appropriate, and customer
acceptance procedures.
Activity: Establish Configuration Management Procedures
Task: Document the process by which changes in scope, specifically enhancements, will be
proposed, reviewed, and approved or rejected. Part of the Configuration Management Procedure
is to determine when the Change Control Procedures are triggered.
Activity: Establish Change Control Procedures
Task: Document the change control procedures that will be used during the project. These
changes may be in schedule or budget or any change in scope.
Activity: Establish Issue Resolution Procedure
Task: Document the issue resolution procedures and documentation that will be used during the
Project.
Activity: Establish Decision/Information Request Procedures
Task: Document the Decision/Information Request (DIR) procedures and documentation that
will be used during the Project.
Activity: Review Project Management Procedures
Task: Project Manager reviews the project management procedures with the Steering
Committee.
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Develop RFP Workplan Step

Activity: Determine Project Approach/Methodology
Task: Document the approach/project methodology (i.e. iterative prototyping, freezing the
requirements after analysis, phasing, etc.) that will be used for the project.
Activity: Prepare Project Workplan
Task: Develop an initial project workplan. Identify the tasks, start and end dates, and resources
required.
Activity: Document Workplan Assumptions
Task: Record all assumptions and issues identified with the creation of the Project Workplan.
Activity: Review Project Workplan
Task: Project Manager reviews the Project Workplan with the Steering Committee.

Develop RFP Budgeting Step

Activity: Prepare Project Budget

Task: Estimate the project costs and identify the funding sources.
Activity: Document Project Budget Assumptions
Task:
Activity: Review Project Budget
Task: Project Manager reviews the Project Budget with the Steering Committee.

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Project Startup Assessment Step

Activity: Compile Project Initiation Plan (PIP)
Task: Collate all the elements of the project initiation plan into a single document (PIR) for
review by the Steering Committee.
Activity: Present PIR to the Steering Committee
Task: Project Manager presents the PIR to the Steering Committee and Project Sponsor.
Activity: Update PIR with Feedback from the Steering Committee
Task:
Activity: Deliver PIR to the Steering Committee
Task:
Activity: Conduct End Stage Assessment
Task: Project Manager meets with the Steering Committee and Project Sponsor to assess the
success of the Project Initiation Stage. Document lessons learned.
Activity: Follow up end stage assessment
Task: Based upon decisions made by the Steering Committee and the Project Sponsor, the
Project Manager adjusts the project plan/project schedule as required. Project Manager should
make any suggestions regarding improvements to the PIP/PIR process to the ISD department at
this time.

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