IT Standard

Operating
Processes
 SOP Framework

Document Information
Document ID
Date
Version
Status

Revision History
Version Date Changes Revised By
1.0
1.1
1.2
1.3
1.4
1.5
1.6
1.7
1.8

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Index
1. Introduction 6
Document Purpose 6
Document Contents 6
Document Users 6
Document Organization 6
Legend 7
Methodology 7
2. High Level Process Flow 8
2.1. Processes: At-A-Glance 9
2.2. Business Idea 13
Business Idea> Initial Screening (L2.BI 01).........................................................................13
2.3. Feasibility 14
Feasibility> Build Business Case (L2.FB 01).......................................................................14
2.4. Approval of Technical Committee 15
2.5. Project Initiation 16
Project Initiation>Project Scope (L2.PI 01)..........................................................................17
Project Initiation>Initiation: (L2.PI 02).................................................................................18
Project Initiation>Prepare Project Controls & Files (L2.PI 03)............................................19
Project Initiation>Develop Project Charter (L2.PI 04)..........................................................21
Project Initiation>Conduct Team Mobilization Session (L2.PI 05)......................................22
2.6. Requirement Analysis 24
Requirements Analysis>Conduct AS-IS Analysis (Current State) (L2.RA 01).....................25
Requirements Analysis>Develop TO-BE (Future State) (L2.RA 02)...................................26
Requirements.........................................................................................................................27
Requirements Analysis>Requirement Study>Elicit Requirements (L3.RA 3.1)...................27
Requirements Analysis>Requirement Study>Analyze Requirements (L3.RA 3.2)...........28
Requirements Analysis>Requirement Study>Specify Requirements (L3.AN3.3)................28
Requirements Analysis>Requirement Study>Establish Requirement Traceability Matrix
(L3.RA 3.4)............................................................................................................................30
Requirements Analysis>Detailed Analysis of Functional Requirements (L2.RA 04)...........31
Requirements Analysis> Perform Architecture Analysis (L2.RA 05)...................................32
Requirements Analysis>Conduct System Integration Analysis (L2.RA 06).........................34
Requirements Analysis>Analyze Data Migration Requirements (L2.RA 07).......................35
1.1. Design 36
Design>Design Application Features & Specifications (L2.DN 01).....................................37
Design>Design System Architecture (L2.DN 03).................................................................39
Design>Produce Detailed Design Document (L2.DN 04)....................................................40
Design>Design System Integration (L2.DN 05)...................................................................41
Design>Design Data Migration (L2.DN 06).........................................................................42
1.2. Package Selection 43
Package Selection > Determine Key and Unique Requirements (L2.PS 01)........................43
Package Selection > Selection Criteria (L2.PS 02)...............................................................43
Package Selection > Vendor Analysis (L2.PS 03).................................................................44
Package Selection>Select Vendor (L2.PS 04).......................................................................44

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1.3. Build 46
Build >Build Application (L2.BL 01)....................................................................................47
Build >Build System Architecture (L2.BL02).......................................................................48
Build>Develop System (L2.BL 03).......................................................................................49
Build>Build System Integration (L2.BL 04).........................................................................50
Build>Build Data Migration Script (L2.BL 05)....................................................................51
Build>Release & Configuration Management (L2.BL 06)...................................................52
1.4. Test 53
Test>Hardware Test (L2.TS 01)............................................................................................54
Test>Create Test Plan (L2.TS 02)..........................................................................................55
Template.................................................................................................................................55
Test>System Test...................................................................................................................56
Test>Create Test Cases (L2.TS 03).......................................................................................56
Test>Hardware Tests (L2.TS 04)...........................................................................................57
Test>Development of Test Environment (L2.TS 05)............................................................57
Test>Build System Test Scripts (L2.TS 06)..........................................................................58
Test>Perform System Testing (L2.TS 07).............................................................................59
Test>Integration Test (L2.TS 08)...........................................................................................61
Test>User Acceptance Test....................................................................................................62
Test>Build UAT Test Scripts (L2.TS 09)..............................................................................62
Test>Perform UAT Testing (L2.TS 10).................................................................................64
1.5. Deploy65
Deploy> Preparation of Infrastructure (L2.DP 01)................................................................66
Deploy> GO-Live Readiness Assessment (L2.DP 02)..........................................................67
Deploy> User Training (L2.DP 03).......................................................................................68
Deploy> GO-Live Tasks (L2.DP 04).....................................................................................69
1.6. Close a Project 70
Close a Project>Project Closure (L2.PC 01).........................................................................71
1.7. Operate 73
Operate> Post Launch Review (L2.OP 01)...........................................................................74
Operate>Monitor Benefits Realization (L2.OP 02)...............................................................75
Operate>Drive Continuous Improvement (L2.OP 03)..........................................................76
1.8. Common Processes 78
Common Processes>Project Governance (L2.CM 01)..........................................................78
Common Processes>Project Monitoring & Control (L2.CM 02).........................................79
Common Processes>Risk Management (L2.CM3)...............................................................83
Common Processes>Issue Management (L2.CM4)..............................................................84
Common Processes>Change Management (L2.CM5)..........................................................85
Common Processes>Preparation of Annual IT Capex Budget (L2.CM6).............................87
Common Processes>Preparation of Annual IT Opex Budget (L2.CM7)..............................88
Common Processes>Monitoring the Annual IT Budget (L2.CM8)......................................89

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1. Introduction
Document Purpose
This document is intended to be used as a reference guide and a source of best practices for
project planning and execution. The right application of these processes will depend upon the
unique circumstances of each project. The following factors should be taken into consideration
when referring this document to specific projects:
 Project objectives and scope;
 Team member skills, knowledge and levels of experience with similar projects;
 Project resource constraints (time, budget, human resources, senior management
availability);
 Work environment and available tools; and,
 Degree of project sponsorship.
Document Contents
This framework presents a structured approach to the effective set-up and delivery of program
and projects. With its description of a set of customizable Program Management Office
processes reflecting industry best practice and Deloitte Consulting expertise, it provides a
valuable starting point for Essar setting up a large program.
Document Users
The framework is designed to be used by:
 PMO management and staff, who will tailor and manage the processes
 Program/ Project Managers and sponsors
Document Organization
Processes defined in this document are of Level 1, Level 2 and Level 3.
Legend Description Example
L1.FB Level1(process level).Feasibility(process) L1.IN, L1.PC
L2.FB1 Level2(process level).Feasibility1(sub process) L2.FB1, L2.FB2
L3.FB1.1 Level3(process level).Feasibility1.1(sub-sub process) L3.FB1.2, L3.FB1.3

Templates ids are associated with processes

Legend Description Example
T1.L1.FB Template1.Level1(process level).Feasibility(process) T1.L1.IN, T1. L1.PC

Project Categories
Legend Description
SD Small Duration (up to 15 calendar days)
MD Medium Duration (15 to 45 calendar days)

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In
LD Long Duration (more than 45 calendar days) de
AD All Duration x

Legend

Process activity

Input/Output connection to sub-process

Decision Box

Methodology
This document is developed based on the interaction with Information Technology, PMO of
Essar Steel, and best practices used by Deloitte.

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2. High Level Process Flow

Start

L1.BI L1.FB
Initial
Business
Approv Feasibility
Idea
al

L1.PI L1.AP
Investme
Project Technical nt
Initiation Approval Approval
L1.RA
L1.DN L1.BC
Requirements
Design Build/Configure
Analysis

L1.CP L1.DP L1.TS

Close Project Deploy Tests

L1.OP L1.MO
Maintenance & End
Operate
Outsource

Project Governance

Project Monitoring & Control

Change Management

Risk Management

Issue Management

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2.1. Processes: At-A-Glance
Process ID Process Sub Process (L2) Sub-Sub Process Templates & Process
(L1) (L3) Project Categories (LD- Long Owner
Duration, MD – Medium
Duration, SD – Short Duration)
L1.BI Business Idea
L2.BI 01 Initial Screening BI_01 Idea Screen (LD) Business
L1.FB Feasibility
Build Business Case FB_01 Business Case(LD) Business
L1.AP Technical Approval Business &
Technology
L1.PI Project Initiation
L2.PI 01 Project Scope PI_01 Project Scope(AD) PMO
L2.PI 02 Initiation Form PI_02 Project Initiation Form (AD) PMO
L2.PI 03 Prepare Project PI_03 Delivery Acceptance Form PMO
Controls & Files (AD), PI_04 Issue Log (AD),PI_05
Risk Log (AD), PI_06 Quality Plan
(AD), PI_07 Action Item Log (AD),
PI_08 Project Budget (LD,MD),
PI_09 Resource Plan (LD,MD),
PI_10 Project Organization
(LD,MD), PI_11 Project Charter
(AD), PI_12 Project Plan (LD,MD),
PI_13 Communication Plan (AD)
L2.PI 04 Develop Project PMO
Charter
L2.PI 05 Conduct Team PI_14Roles & Responsibilities PMO
Mobilization (AD)
Session
L1.RA Requirements Analysis
L2.RA 01 Conduct AS-IS RA_01 As-Is-Process Definition Business &
Analysis (Current (LD,MD ) Technology
State)
L2.RA 02 Develop TO-BE RA_02 To-Be-Process Definition Business &
(Future State) (LD,MD) Technology
L2.RA 03 Requirement Study
L3.RA3.1 Elicit RA_03 Requirements Elicitation Business &
Requirements (LD,MD), Technology
RA_04 Requirements
Classification (LD,MD)
L3.RA3.2 Analyze RA_05 Business Issues, RA_06 Business &
Requirements Project Data Dictionary Technology
L3.RA3.3 Specify RA_07 Business Requirements Business &
Requirements (LD,MD), RA_08 Software Technology
Requirements Specification
(LD,MD)
L3.RA3.4 Establish RA_09 Requirements Traceability Business &

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Process ID Process Sub Process (L2) Sub-Sub Process Templates & Process
(L1) (L3) Project Categories (LD- Long Owner
Duration, MD – Medium
Duration, SD – Short Duration)
Requirement (LD,MD), RA_10 Requirements Technology
Traceability Traceability Matrix (LD,MD)
Matrix
L2.RA 04 Detailed Analysis Business &
of Functional Technology
Requirements
L2.RA 05 Perform RA_11 Application & Hardware Technology
Architecture (LD), RA_12 Application Usage
Analysis (LD), RA_13 SLA (LD), RA_14
Security Requirements(AD),
RA_15 Disaster Recovery Plan
(AD), RA_16 Risk Log (AD)
L2.RA 06 Conduct System Business &
Integration Technology
Analysis
L2.RA 07 Analyze Data RA_17 Data Migration Business &
Migration Requirements (LD,MD) Technology
Requirements
L1.DN Design
L2.DN 01 Design Application Business
Features &
Specifications
L2.DN 02 Build or Buy Business
L2.DN 03 Design System Business and
Architecture Technology
L2.DN 04 Produce Detailed DN_01 High Level Design Technology
Design Document Document (LD,MD)
L2.DN 05 Design System DN_02 Interface Design (LD) Technology
Integration
Approach
L2.DN 06 Design Data Business &
Migration Technology
L1.PS Package Selection
L2.PS 01 Determine key and
unique
requirements
L2.PS 02 Selection Criteria
L2.PS 03 Vendor Analysis
L2.PS 04 Select Vendor
L1.BC Build
L2.BL 01 Build Application Business
L2.BL 02 Build System PMO and
Architecture Technology
L2.BL 03 Develop System PMO and
Technology
L2.BL 04 Build System PMO and

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Process ID Process Sub Process (L2) Sub-Sub Process Templates & Process
de
(L1) (L3) Project Categories (LD- Long Owner
x
Duration, MD – Medium
Duration, SD – Short Duration)
Integration Technology
L2.BL 05 Build Data PMO and
Migration Script Technology
L2.BL 06 Release & BL_01 Release Note (AD) PMO and
Configuration Technology
Management
L1.TS Testing
L2.TS 01 Hardware Test TS_01 Hardware Acceptance PMO and
Checklist (LD,MD) Technology
L2.TS 02 Create test plan Testing Environment PMO and
Validation(LD,MD) Technology
L2.TS 03 Create Test Cases
L2.TS 04 Hardware Tests
L2.TS 05 Development of
Test Environment
L2.TS 06 Build System Test TS_02 Test Script (LD,MD) PMO and
Scripts Technology
L2.TS 07 Perform System PMO and
Testing Technology
L2.TS 08 Integration Test PMO and
Technology
L2.TS 09 Build UAT Test TS_03 Test Script (LD,MD) PMO ,
Scripts Business and
Technology
L2.TS 10 Perform UAT TS_04 UAT Phases (LD,MD) PMO ,
Testing Business and
Technology
L1.DP Deploy
L2.DP 01 Preparation of PMO and
Infrastructure Technology
L2.DP 02 GO-Live Readiness PMO and
Assessment Technology
L2.DP 03 User Training PMO
,Business
and
Technology
L2.DP 04 GO-Live Tasks DP_01 GO-Live Tasks (LD,MD), PMO and
DP_02 Pre and Post Technology
Implementation Checklist(LD,MD)
L1.PC Close a Project
L2.PC 01 Project Closure PC_01 Project Closure(LD,MD), PMO
PC_02 Project Closure PC_03 ,Business
Checklist(LD,MD), PC_04 and
Outstanding Risks(LD),PC_05 Technology
Lessons Learnt(LD)
L1.OP Operate

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Process ID Process Sub Process (L2) Sub-Sub Process Templates & Process
(L1) (L3) Project Categories (LD- Long Owner
Duration, MD – Medium
Duration, SD – Short Duration)
L2.OP 01 Post Launch OP_01 Post Launch Review (LD) Business
Review
L2.OP 02 Monitor Benefits OP_02 Benefits Tracking Tool PMO
Realization (LD,MD) ,Business
and
Technology
L2.OP 03 Drive Continuous PMO
Improvement ,Business
and
Technology
L1.CM Common Processes
L2.CM 01 Project CM_01 PMO Structure (LD,MD), PMO
Governance CM_02 PM Events (LD,MD),
CM_03 Governance Roles &
Responsibilities (LD,MD), CM_04
Escalation Framework(AD)
L2.CM 02 Project Monitoring
& Control
L3.CM2.1 Financial Control PMO
L3.CM2.2 Project CM_05 Weekly Status PMO
Performance Report(LD,MD),CM_06 Project
Monitoring Dashboard(LD,MD)
L3.CM2.3 Project Plan CM_07 Earned Value(LD,MD) PMO
Control
L3.CM2.4 Monitoring of PMO
Project Team
Performance
L2.CM 03 Risk Management CM_08 Risk Log(LD,MD), CM_09 PMO
Risk Summary Priority
List(LD,MD)
L2.CM 04 Issue Management CM_10 Issue Log(AD) PMO
L2.CM 05 Change CM_11 Change Request(AD), PMO
Management CM_12 Change Request
Register(AD)

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2.2. Business Idea
Business Idea> Initial Screening (L2.BI 01)
The objective of this process is to capture new solution ideas, document the basics of new ideas
in a formal & structured way, distribute this basic idea among the review team and decide
whether it qualifies for a Business Case.

Start

Receive
Technology Review Idea
Idea

Reject Application Idea

Project
Evaluation No No No No No
Committe
e
Does it fit Does it fit
Yes Yes Can we Yes Can we Yes Is it
Business IT
build it? win? worth?
Strategy Strategy?

Yes

Build
FB01 Business Case

Process Owner: Business

Template Project Category

Long Duration
Idea Screen

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2.3. Feasibility
Feasibility> Build Business Case (L2.FB 01)
The objective of this process is to build a formal Business Case, based on Technology Research,
User Expectations & Essar Capabilities and to document the business justification for
undertaking the project.

Start
Projects
Evaluation
Committee Prepare detailed Does it fit
Yes
Application/Product Business
Requirements Strategy

No
Technology Capability
Nominated
Research Gaps
tech SME

Nominated Document Define Develop

Risk
tech SME RA 01 Business Business Investment
Assessment
Case Benefits Needs

Business
Sponsor

Process Owner: Business

Template Project Category

Long Duration
Business Case

CHECKLIST 

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Does the business case demonstrate that the project is fit for purpose?  In
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2.4. Approval of Technical Committee

Prepare High Level Prepare Overview of Design based on

Requirements High Level Requirements
Team Lead,
Members,
Steering
Committee Present
Present Business
Architecture Yes Tech Ops
Approval Case & Details to
Details to Approval
Tech Ops
Architecture Team

Incorporate Incorporate PI 01
changes No changes
Suggested Suggested
by EA_EC by EA_EC

Process Owner: Business and Technology

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2.5. Project Initiation

Start

L2.PI 01 L2.PI 02 L2.PI 03

Project Project Prepare
Scope Initiation Project Controls

L2.PI 04 L2.PI 05
Development of Conduct Team
Project Charter Mobilization Session

End

Template List
Project Scope Action Item Log Quality Plan Roles &
Responsibility
Project Initiation Resource Plan Project Plan Communication
Form Plan
Delivery Acceptance Project Organization Project Charter Project Budget
Form
Issue Log Risk Log Project Contacts

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Project Initiation>Project Scope (L2.PI 01)
The purpose of this process is to define & document the scope of work for the project.

AP 01

Team Lead, Define

Define Project Define Project Define Software
Members Define High Business
Objectives & Inclusions & Module Scope
Level Approach Process
Goals Exclusions (e.g SAP MM/PP)
Scope

Define Define Reports, Define

Define
Deliverables Forms, Interface, Organization
Geographical
(Name, Nos., Data Migration Scope (Business
Scope
Format etc.) (such other) Scope Units Covered)

Project
Manager,
Team Define Define Define
Members Activities Assumptions, Roles & PI 02
to be carried out if any Responsibilities

Process Owner: PMO

Template
Template Name Category
LD
Project Scope
MD
SD

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Project Initiation>Initiation: (L2.PI 02) x

Project Steering
Committee Reviews and Approve
(Executive approves updates
Team)

Approve Project
Initiation Form
PMO for quality

Business
Provides input Reviews & Approve
Sponsor
for Project approves updates
Initiation Form

Yes
Is the
Completes Address
Project Make updates update a Make
Project questions or
as needed major No updates
Manager Initiation Form concerns
change?

PI 03
Team Provides input for
Lead & Project Initiation PI 01
Members Form

Process Owner: PMO

Template
Template Name Project Category
LD
Project Initiation
MD
Form.doc SD

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Project Initiation>Prepare Project Controls & Files (L2.PI 03)
It is mandatory whatever the project. The objective is to develop initial versions of management
applications, and to set-up a shared, centralized location to store these documents.

Team Create Prepare

Memb Prepare
Gather all Deliverable Prepare Organization
ers, Project
PMO Documentation Acceptance Resource Chart &
Budget
created to date Forms Plan Contact list
Control
PI 02

Identify Data Admin, Identify Network

Identify Applications for d/b calls, back- Administrator for Prepare
Admin, for instance ups during different network Tech.
Copy structure creation, Infrastr
stages of resources like
to designated performance, logs, ucture File
development, LAN, bandwidth
area on interfaces, prepare plan Documentation
prepare etc, prepare
network documentation documentation documentation
for allocation and
administration
PI 04

Prepare initial
Prepare initial Prepare initial Prepare initial Prepare initial Communications
Issue Log Risk Log Project Plan Quality Plan Plan

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Process Owner: PMO

Template
Template Name Project Category Template Name Project Category
LD LD
Delivery Acceptance
MD Resource Plan.xls
MD
Form

LD LD
Issue Log.xls
MD Project Organization
MD
SD
LD LD
RiskLog.xls
MD Project Charter
MD
SD SD
LD LD
Quality Plan
MD Project Plan
MD
SD
LD LD
Action Item Log.xls
MD Communication Plan
MD
SD SD
LD
Project Budget.xls
MD

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Project Initiation>Develop Project Charter (L2.PI 04)
The process is Mandatory, however the level of detail within the Project Charter will vary
dependant on the project type. Purpose is to provide the baseline definition for the project that
will be a benchmark for all future management decisions, and an information base for everyone
who needs to know about the project.

PI 03

Team Lead, Gather Project

Members, Update Provisional
Documentation
Project Approval from Go Live date
created to Draft Project Charter
Manager Program Manger in System Diary
date

PI 05

Process Owner: PMO

Note:
 All the detail contained within the Project Charter will have an impact on the
planning and delivery of the project - make sure that there is sufficient time to allow
for reviews to be conducted with the stakeholders and revisions to be redrafted, in
preparation for sign off.

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Project Initiation>Conduct Team Mobilization Session (L2.PI 05)
The process is strongly recommended, however if the parties involved are based at different
locations, individual meetings are acceptable. Purpose is to recruit and mobilize the resources
required to deliver the project and assign ownership within the project.

PI 04
Yes
Review and
Have all the Validate Work
Find appropriate roles been Allocation and
PMO, External Resources resourced? Responsibilities for
Project to fill resources all Resources
Manager gap
No
Deliver individual
induction sessions Is it a
Pre-
No Selected
Secure assigned Package
Internal Impleme
Resources Yes ntation

Conduct Formal Validate POC, set Showcase Build Proof of Conduct Core
Team Kick-Off Session, expectations POC to all Concept (POC) for User Group
lead, ensuring Participation among Users. stakeholders Showcasing to Training
Members from all Stakeholders Stakeholders

RA 01

CHECKLIST 
Has the team mobilization kick-off event been organized and are all of 
the project team members invited?
Is the project organization clear and have roles & responsibilities been 
agreed by all involved?
Have all the roles been resourced? 
Does every team member have an induction pack? 
Note:
 The team mobilization should be accompanied by any supplemental training (e.g. the
development approach, methodologies used on the project, and the work environment
being employed by the project) to provide the overall project orientation.
 It is a formal session for all of the project team members to gain a background
understanding of the project, solicit their reactions and suggestions for the project.

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 Ensure that each project team member knows the project procedures and what xRole &
Responsibilities they have been assigned.

Process Owner: PMO

Template
Template Name Category
LD
Roles and
MD
Responsibilities SD

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2.6. Requirement Analysis

Start

L2.RA 01 L2.RA 02 L2.RA 03

Conduct Develop Requirement
As-Is Analysis To-Be Study

L2.RA 04 L2.RA 05 L2.RA 06

Conduct System Architecture Analysis of Functional
Integration Analysis Analysis Requirements

L2.RA 07
Analysis of Data
Migration Requirements

End

Template List
As-Is Process Definition Business Issues Requirements SLAs
Traceability
To-Be Process Definition Project Data Requirements Security Requirements
Dictionary Traceability Matrix
Requirement Elicitation Business Application & Disaster Recovery Plan
Requirements Hardware
Requirement Software Application Usage Risk Log
Classification Requirements
Specifications
Data Migration Requirements

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Requirements Analysis>Conduct AS-IS Analysis (Current State) (L2.RA 01)
This process is recommended for all projects, however in certain circumstances such as minor
software upgrades, this is not required.

FB 01

Project
Discussion with Identify & Gather data on
Manager,
stakeholders, contact users Conduct current performance Develop AS-IS
Team Lead,
feedback on Key to arrange for Interviews measures, targets & maps
Business
problem areas the interviews historical data
Sponsor

Physical sign AS-IS workshop

off by user Validation of to drill down
RA 02
groups Current State into each
process areas

Note:
 This process is designed to help fully understand how the service area and processes
therein ‘actually function’ rather than how they are ‘supposed to function’. This is
achieved through analysing and documenting the current processes and activities
within the service area, and understanding how well they are being performed to
assist in identifying opportunities for improvement.
 It is also very important that the project team understand how the services are
currently delivered, so that they can start to apply analysis techniques, in order to
improve the processes for the future.

Process Owner: Business and Technology

Template
Template Name Project Category
LD
As-is Process
Definition

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Requirements Analysis>Develop TO-BE (Future State) (L2.RA 02)
This process is recommended for all projects, however in certain circumstances such as minor
software upgrades, this is not required.

RA 01
Project Best Practices
Manager, research
Team Lead,
AS – IS Agree Workshops Compile
Members
Process constraints Prepare to define TO-BE
Core user
Maps of process for future state maps
group
improvemen workshop
AS-IS Data t

Business Provide Define Develop and

Sponsor, implementation/de implementatio validate
Validate TO-BE
Analysis velopment n/developmen process
maps
Team activities to PM t activities document

Project Sign off by

Board Core RA 03 user groups &
User Group project board

Process Owner: Business and Technology

Template
Template Name Project Category
LD
To-Be Process
Definitions

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Requirements Analysis>Requirement Study (L2.RA 03) x
This process is applicable in the requirement gathering phase of any project. It is not a one-time
sequential process. The steps mentioned in the process need to be repeated as the
requirements development process needs to be iterative in order to be robust.

Re-evaluate

Establish
Team Elicit Analyze Specify Requirements RA 04
Lead and RA 02 Requirements Requirements Requirements Traceability Start
Members Start Matrix End
Core User End
Group Clarify Re-write
Correct & close gap

Requirements Analysis>Requirement Study>Elicit Requirements (L3.RA 3.1)

It is the process of identifying the needs and constraints of the various stakeholders for a
software system. Elicitation focuses on discovering the user requirements. User requirements
encompass the tasks that users need to accomplish with the system and the user’s expectation
of performance, usability, and other quality attributes.

RA 02
Team
Start
Lead and End Identify
Members requirement Select
Core User Identify vision Identify
s decision elicitation RA 3.2
Group & scope User
Requireme makers & technique
nts approvers

Process Owner: Business and Technology

Template
Template Name Project Category Template Name Project Category
LD LD
Requirements
MD Requirements
MD
Elicaitation Classification

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Requirements Analysis>Requirement Study>Analyze Requirements (L3.RA 3.2) x
It involves refining the requirements to ensure that all stakeholders understand them and
scrutinize them for errors, omissions, and other deficiencies. Analysis includes decomposing
high-level requirements into details, building prototypes, evaluating feasibility, and negotiating
priorities. The goal is to develop requirements of sufficient quality and detail. These
requirements will allow managers to construct realistic project estimates and technical staff to
proceed with design, construction, and testing.

RA 3.2

Team
Lead and User Requirements Create user
Model
Members Analysis Technique Create Data Interface Prioritize Allocate
Requirement
Core User & Document Analysis Dictionary & Technical Requirements Requirements
s
Group Prototype

RA 3.3
Re-
evaluat
Process Owner: Business and Technology e
Template
Template Name Category Template Name Category
LD LD
Business Issues
MD Data Dictionary
MD

Requirements Analysis>Requirement Study>Specify Requirements (L3.AN3.3)

It involves documenting the requirements in a consistent manner. Typically, business
requirements are documented in the Business Requirements Specification document. User
requirements are documented in the Requirements Use Cases, User Requirement Specification
document, or as an event response table. The software requirements are documented in the
Software Requirements Specification document.

Team
Complete
Lead and RA 3.2 Complete Business Software RA 3.4
Members Requirements Requirements
Core User
Group

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Process Owner: Business and Technology

Template
Template Name Category Template Name Category
LD, LD,
Business
MD Software
MD
Requirements Requirements Specification

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Requirements Analysis>Requirement Study>Establish Requirement Traceability x

Matrix (L3.RA 3.4)

It documents the dependencies and logical links between individual requirements and other
system elements. These elements include other requirements of various types, business rules,
architecture and other design components, source code modules, test cases, and help files,
whatever is applicable in the expected solution. Traceability information facilitates impact
analysis by helping the project team identify all the work modules that have to be modified to
implement a proposed requirement change.

RA 3.3
Team
Lead and
Decide
Members
Type of Identify
Core User Maintain Traceability Perform Traceability
Traceability Traceability
Group Data Audit
Matrix Data

RA 04

Process Owner: Business and Technology

Template
Template Name Category Template Category
Name
LD LD
Requirements Requirements
Traceability.xls Traceability Matrix.xls

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Requirements Analysis>Detailed Analysis of Functional Requirements (L2.RA 04)
It is mandatory for all IT based projects, although the detail of the Logical Model output will
significantly vary depending on the complexity. The objective is to analyze the functional
requirements to determine which functions will be supported by the application.

RA 03

Team Identify what

Lead and Analyze who Analyze Analyze the functional
Members will use where it interactions requirements
Core User the system will be used involved can not be delivered
Group

Project
Manager, Project Manager
Stakehold Provide time Approval by
RA 05 validates time
ers estimate to key
estimate, adjusts as
Project Manager stakeholders
required

Process Owner: Business and Technology

CHECKLIST 
Has there been a formal walk through of the Logical Model by the 
Analyst with the key stakeholders and Technical Architect group?
Where functionality is not possible, has a review taken place with the 
BPR team and key stakeholders to revise the Functional Specification?

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Requirements Analysis> Perform Architecture Analysis (L2.RA 05)
It is mandatory for all IT based projects. It is carried out to check whether the logical views meet
the enterprise views across the network, applications and data architectures.

RA 04

Compile list of Compile Compile

Compile list of Document
Team Applications & information information
Application Assess Service Level
Associated on Application on Application
Lead and Interfaces Networks Indicators
Hardware Usage Quality
Members

Document Document
Document
Back ups Planned
Document Security
& Disaster Developments
Risks Requirements
Recovery Plans & Upgrades

RA 06

Process Owner: Technology

Template
Template Name Category Template Name Category
LD LD,
Application & Security
MD
Hardware.xls Requirements.xls SD
LD LD,
Application Usage.xls Disaster Recovery
MD
SD
LD,
SLA
SD RiskLog.xls
MD
SD

Note: This process provides an assessment of current technical architecture in terms of:
 Technical infrastructure (server components & operating systems)
 Network capability and connectivity
 Systems
 This assessment will provide an input to the design of the revised technical
architecture that will be required to support the new application.

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 An assessment of the network and sub-networks will determine the suitability the x
of
existing network infrastructure to support the current application traffic and the
ongoing deployment of the application being implemented. For this activity consider
restricting the scope of the assessment to the sites that are likely to be impacted by
the application deployment. The areas to investigate are as follows:
 Quality of service.
 Organisation and IT skills support.
 Traffic analysis and distribution.
 Network protocols implementation.
 Placement of servers and application impact.
 Redundancy and reliability in the links.
 Systems management and monitoring.
 Disaster recovery.
 Storage.
 Security.
 Service level agreements.

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Requirements Analysis>Conduct System Integration Analysis (L2.RA 06) x
It is optional as not all projects will involve technology or integration. In case of integration, this
step becomes mandatory. The objective is to understand the application integration
requirements of the proposed new system (internal and external).

RA 05

Team
Define the Establish what Collect API
Lead, Confirm that
touch points data is required documentation
Tech SME, integration is
between to support & document
Core User required & feasible
the systems the touch points interface notes
Group

RA 07

Process Owner: Business and Technology

CHECKLIST 
Has the API (Application Programmers Interface) been identified and

documented?
Are there notes on each interface defining the following?
l Timing

l Frequency
l Constraints
Have the users of the third party systems been included when defining

the list of touch-points?
Has the list of data in the target application (that will support the touch-
points) been defined in conjunction with the analysts creating the 
detailed design documentation?
Has Audit or IT Security reviewed the reconciliation requirements? 

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Requirements Analysis>Analyze Data Migration Requirements (L2.RA 07) x

It is mandatory for all IT based projects where data migration is required. It covers the data
migration rules and constraints required during data transfer from source to the target system.

RA 06

Team
Lead, Define the Understand
Understand the Understand the
Tech SME, context for transformation
source system target system
Data data migration rules required
Team
Document data Estimate
migration migration
requirements efforts

Validate with Review with

user group Design
Core User & obtain sign off Authority
group,
Project
Steering DN 01
Committe
e

Process Owner: Business and Technology

Template
Template Name Category
LD
Data Migration
Requirements

CHECKLIST 
Have the User Group and third party system owners reviewed and 
validated what data and how much of it will be migrated?
Has the quality of the source data been validated, and the cause of poor 
data identified?

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1.1. Design

Start

L2.DN 01 L2.DN 02 L2.DN 03

Design Application Design System

Features & Specifications Build or Buy Architecture

L2.DN 06 L2.DN 05 L2.DN 04

Design System
End
Design Data Integration Approach Produce Detailed Design
Migration Document

Template List
High Level Design Document Interface Design

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Design>Design Application Features & Specifications (L2.DN 01)
The purpose is to design the application specifications & have a re-look at the business case
before going ahead with actual application development.

Requirement
Team Analysis
Lead,
Tech SME,
Data Functionality Develop Solution Develop Develop Define
Team Inputs - Subject Features & Technical Resource Infrastructure
Matter Experts Functionality Requirements Specifications Specifications

Team
Lead, Review
Incorporate the
Business Presentation to Review of Validate the Application or
findings in
Sponsor Committee Business Case Business Case Product
business case
estimation

Project
DN 02
Steering Development
Committe Approval
e

The detailed definition and specification deliverable provides a description of the end. The
application specifications should include high-level architecture description, any major
innovations, system requirements, operational requirements, performance requirements and
interface requirements.

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Design>Build or Buy (L2.DN 02) x

Build Buy
Build App.
Project Or buy
Manager, DN 03 COTS? PS 01
Team Lead,
Business
Sponsor

Process Owner: Business

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Design>Design System Architecture (L2.DN 03)
This is mandatory for all IT based projects, unless it is a system upgrade, in which case it is
optional. The purpose is to design a solution architecture that meets the needs of the end user,
and is in line with the corporate architecture.
DN 02

Design the
Presentation
Team Layer
Lead,
Dev.
Team Design the
Membe Business
rs Logic Layer

Develop SAD
Design the Review SAD Sign Off by Sign Off
(Software
Middleware with Technical Technical from User
Architecture
Layer Architect Architect Group
Document)

Design the DN 03
Application
Layer

Design the
Data Layer

Process Owner: Business and Technology

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Design>Produce Detailed Design Document (L2.DN 04)
It’s mandatory for all IT projects. The objective is to produce a design for each application layer
that meets the functional specification requirements.

DN 03 PS 04

Design
Team
the
Lead,
database
Team
Membe
rs Design the
component
structure Software
design
Structure
specifications
Design the design modules
(modules)
user
interface

Tech.
Archite Sign Off
ct by
DN 05
Nomina technical
ted by architect
St.
Commi
ttee

Process Owner: Technology

Template
Template Name Category
LD
High Level Design
Document

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Design>Design System Integration (L2.DN 05) x

It is mandatory for all IT based projects that involve integrating two systems. This is to be used
as required for system upgrades. Its purpose is to define how the integration between the
different systems, in the context of this application development and implementation, will be
carried out.

Team
Lead, DN 04 Define & create
Define
Team system
integration
Membe integration
process rules
rs design document

Project Sign Off by

Board Project Board DN 06

Process Owner: Technology

Template
Template Name Category
LD
Interface Design

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Design>Design Data Migration (L2.DN 06) x

This is mandatory for all IT based projects. This is to be used as required for system upgrades. Its
purpose is to design the process that will move data from the source application to the target
application.

DN 05

Design
transformation
Design extract Design data Create data
& cleansing
Processes load processes model
processes
Team
Lead,
Team
Membe
rs
User Testing in Dev.
Environment

Technic
al Technical architect
Technical architect
Archite to map to
AP 01 or application
ct corporate
owner sign off
data model

Process Owner: Business and Technology

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1.2. Package Selection

Package Selection > Determine Key and Unique Requirements (L2.PS 01)

Categorize
Define key Weight
requirements as
DN 02 and unique requirement
mandatory or
requirement s for scoring
important
Project s
Steering
Committ
ee Update the business
requirements and
vendor questions as
appropriate

Confirm the key

Project and unique
Manager, PS 02
requirements
Core with stakeholders
User
Group

Package Selection > Selection Criteria (L2.PS 02)

Project Reconcile and

Define document the Assign
Manager,
Start Selection relationships between weights to
Core
Criteria the selection criteria and each criteria
User
Group key requirements

PS 01

PMO, Define the

Steering Obtain approval on the
method of
Committ PS 03 selection criteria and
scoring Selection
ee weightings
Criteria

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Package Selection > Vendor Analysis (L2.PS 03) x

Understand the
characteristics of a Research solutions
Review the experience with the
PS 02 selection criteria package that may be
appropriate for this type of package
client being selected

Project Consider ,if appropriate

Yes Identify any vendors alternative method of
Steering
Researc that should be service delivery such as
Committee,
h included using an Application
Technology
require Service Provider(ASP)
SME
d?
No

Conduct research Document results Compile vendor

into suggested in the vendor list best able to
PS 04
packages in order evaluation framework accommodate all of
to qualify them the criteria

Package Selection>Select Vendor (L2.PS 04)

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Select Prepare and Resolve Vendor Prepare for Vendor
PS 03 Candidate Issue Bid Queries Presentations and
Vendors Request Demonstrations

Project Conduct Gap Request Best Conduct Vendor Conduct Vendor

Manager, Analysis Offers Reference Presentation and
Business Queries Demonstrations
Sponsor

Yes

Any Resolve Key Finalize

Issues Issues Selection DN 04
?
No

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1.3. Build

Start

L2.BL 01 L2.BL 02 L2.BL 03

Build Build System Develop

Application Architecture System

L2.B. 06 L2.BL 05 L2.BL 04

Release & Configuration Build Data Build System

Management Migration Scripts Integration

End

Template List
Release Note

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Build >Build Application (L2.BL 01)

Planning of Resources, Define Deliverables Prepare Work

Develop the
Design efforts, for Application Plan for Application
Application
Constraints & Duration Development Stages Development

Design Reviews with

Build
Stakeholders, take User
the Application
Application Development Feedback

PI 05 Develop
or BL 02
Implemen
t?
Package Implementation

Project Prepare Work Plans for

Manager, Get Functional Spec. Configuration, Data
Develop Functional Spec. Configure the package
Team Approval from major Change and
document for all modules and build the interfaces
Lead, Dev. stakeholders implementation of
Team Integration Touch Points
Members

Process Owner: Business

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Build >Build System Architecture (L2.BL02)
It is mandatory for all IT projects. The objective is to build the network, application and data
infrastructure required that meets the need of the operating environment.

BL 01

Team
Lead, Development
Dev. Installing Manager
Configure Install
Team Operating To QA the
Hardware Applications
Members System Environment

Approve
Approve
environment
Environment
for release
Technical for release
Architect

BL 03

Process Owner: PMO and Technology

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Build>Develop System (L2.BL 03)
This step is mandatory for all IT based projects. It is required to construct the application
components that will meet the designed functional requirements.

Change Test in Perform User Release to QA Perform QA

configurations, Development Acceptance Environment Test
Update Tables Environment Test

Yes No
Release for
Defect
Integration
s?

Yes No
Implementatio
n Defect
s?
Team
Lead,
Dev. Develop
Team or
Members Implemen
, Core t?
User
Group Development

Develop Code in Peer Testing in Release to QA Perform QA

Module level Development Development Environment Test
Tech Specs Environment Environment

Yes No
Release for
Defect
s?
Integration

Yes No
Defect
s?

Process Owner: PMO and Technology

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Build>Build System Integration (L2.BL 04)
This is mandatory for all IT based projects where there is a need to integrate between one
application and another.

BL 03

Review Build source Build data

Team system application conversion
Build target Build delivery
Lead, integration outputs system
Dev. interface (Load) layer
design (Extract) (Transform)
Team
Members

Build error
handling
Write & carry Compile
processes &
out unit test (if appropriate)
transaction rollback

Technical
architect
Release the
Core User and business
code
Group user review

BL 05

Process Owner: PMO and Technology

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Build>Build Data Migration Script (L2.BL 05)
This step is mandatory for all IT based projects where there is a need to migrate data from one
environment or application to a new version.

BL 04

Dev Team
Members
Export a
, Data Run cleansing Sort data as Reconcile
copy of the
Team process (count per the target error log (using
Members source data Load data
no. of records) structure record count)
to staging area

Sample
Define cut-over
Validate data data
strategy with
template test
Team Lead and
Low Core user group
criticality
User group to
Tech.
review data
Define data and sign off
Architect, Define
migration strategy
Core user complexit
with Team Lead and
Group y, business
Core User Group criticality High
criticality BL 06

Process Owner: PMO and Technology

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Build>Release & Configuration Management (L2.BL 06)
This step is mandatory for all IT based projects. Objective is to release application software in a
controlled manner and to put in place a process that enables recovery from a deployment
failure.

BL 05

Maintain a
Team Number a Define Release Approve
Component
Lead, Release Content Release
Repository
Version
Manage
ment TS 01
team If release fails
Members

Redeploy old
Review last
code and
Stable Release
Restore data

Process Owner: PMO and Technology

Template
Template Name Category
LD,
Release Note
MD
SD

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1.4. Test

Start

TS 01 TS 02 TS 03

Hardware
Testing Create Test Plan Create Test Cases

TS 06 TS 05 TS 04
End System Test
Build Development of Test Hardware
Scripts Environment Test
TS 08
TS 07 TS 09

Perform System Testing Integration Test Build UAT Test Scripts

TS 10

Perform UAT Testing

Template List
Test Script Testing Environment UAT Phases Hardware
Validation Acceptance
Checklist

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Test>Hardware Test (L2.TS 01)
The purpose of this testing phase is to ensure that the hardware is functioning properly.
Hardware Acceptance Testing includes all of the activities necessary to install the hardware,
perform diagnostic tests, and track any hardware installation-related issues.

BL 06

Prepare
Hardware Test
PMO Schedule

Define Define Test Prepare

Project Hardware Testing Evaluation Hardware Test
Manager Tools Criteria Check List

Conduct Define Testing

Testing TS 02
Hardware Roles &
Team
Test Responsibilities
members

Process Owner: PMO and Technology

Template Name Category

LD,
Hardware
MD
Acceptance Checklist

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Test>Create Test Plan (L2.TS 02) x

TS 01

Define each test Develop Test

Determine scope Establish test Develop test
phase enter and resource plan and
for overall testing phrases schedule
exit criteria team organization
Project
Manager,
Team
Lead, Approve tools, test
Setup Defect Determine test
Testing Review deliverable environment and Select testing tools
Management environment
Team defect management
members

Configuration Integrate with

TS 03
Management project schedule

Process Owner: PMO and Technology

Template
Template Name Category
LD,
Testing Environment
MD
Validation

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Test>System Test x

The purpose of System Testing is to ensure that all of the components within a system are
functioning and interacting properly. Units of software (code and configuration) are tested for
their functional ability to integrate with each other and existing application functionality.
System Testing focuses on end-to-end (remaining within a Business Object) test conditions,
completeness of functionality, inputs producing desired outputs, and performance
requirements. System Test is a comprehensive test of all software units that integrate to
support business processes.

Test>Create Test Cases (L2.TS 03)

This step is mandatory for all IT based projects.

Project Conduct Overview

TS 02
Manager Sessions

Testing
Develop or
team
Update Test Cases
Leader

Testing
team Update
Prepare Test Data TS 04
Members traceability matrix

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Test>Hardware Tests (L2.TS 04)

Testing
Prepare Hardware Define Hardware Define Test Prepare hardware
team TS 03
Test Schedule Testing tools Evaluation Criteria test checklist
Members

Define testing
Conduct
TS 05 roles and
hardware test
responsibilities

Test>Development of Test Environment (L2.TS 05)

TS 04

Team Develop Develop Testing

Lead, Prepare Test Develop Test Testing
Production Data, if
Testing Schedule Environment Tool
Environment Applicable
team
Member
s
Define Testing Environment Develop
Develop Evaluation
TS 06 Roles & Validation Readiness
Criteria
Responsibilities Activities Criteria

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Test>Build System Test Scripts (L2.TS 06)

Core
User Sign off on Test TS 07
Group Scripts

TS 05
Team
Lead,
Testing Obtain Functional Review Scripts with
team Produce system test
Specs and Change Dev. Team and
members script
Log Users

Team Lead,
Technical Validate on Final
Architect Scripts

Process Owner: PMO and Technology

Template
Template Name Category
LD,
Test Script
MD

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CHECKLIST  x

Have all the functions defined within the functional specifications an 

associated test script?
Have the developers and User Group reviewed the test scripts in 
conjunction with a review of the functional specification and change
controls to ensure they cover all functionality?

Test>Perform System Testing (L2.TS 07)

This step is mandatory for all IT based projects. The objective is to test the system by running
the system test scripts.

TS 06
Testing
Team
Managers

Obtain system Perform system

Log bugs Fix bugs
test script testing

Perform
regression Test bugs
testing

Team Completed &

Validate system
Lead, Test approved test
working
Manager, scripts
Core User
group

TS 08

Process Owner: PMO and Technology

CHECKLIST 
Is there demonstrable proof that each of the test scripts have been run 

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and are error free? x
Have the developers fixed all the identified bugs? 

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Test>Integration Test (L2.TS 08)
The purpose of the Integration testing is to verify that the complete system is properly
functioning from end to end. Integration testing is a comprehensive test of all components of
the new system in a fully integrated testing environment.

TS 04

Define Security
Review Functional Include scenarios
Finalize the test Access-Users
Specifications Develop a list of for both positive
cycle objectives for should/should not
Test (including those for Integration Test and negative testing
each Integration be able to execute
Manager, Extract Data Files & Scripts of the security
Test Cycle the business
Team Reports) access
process
Member
s

BL 03 TS 09 Develop Define Testing

Develop/Collect Define the Test
Testing Tools, Roles &
Test Data Schedule
if applicable Responsibilities

Perform Integration
Test

Test
manager,
Develop Test
Technical
Evaluation Criteria
Architect

Process Owner: PMO, Business and Technology

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Test>User Acceptance Test
The purpose of the UAT is to verify whether to-be business processes, as defined, are coded
correctly. UAT is where key business users in each functional area perform the execution of test
scripts. This allows the user community to perform validation and “accept” the new system
prior to production cutover. UAT is the process of testing the business function/processes in an
isolated, production like environment.

The focus of this testing is on the solution’s ability to meet business requirements and support
business operations. The scope of UAT test scripts should test end-to-end processing and
business functionality using actual production rules and test data that closely resemble
production.

Test>Build UAT Test Scripts (L2.TS 09)

This step is mandatory for all IT based projects. The objective is to develop User Acceptance Test
scripts that reflect both the system development work carried out by the technology team and
the business functional requirements.

TS 08

Test Obtain functional

Manager, specifications & Produce Review scripts Validate final
team list of functional UAT with User Group UAT
members changes & System test script & end users test scripts
Test Script

Obtain sign
Core off from users
User
Group

TS 10

Process Owner: PMO, Business and Technology

CHECKLIST 
Have all the functions defined within the functional specifications an 

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associated test script? x

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Test>Perform UAT Testing (L2.TS 10)
This step is mandatory for all IT based projects. The purpose is to validate that the delivered
system meets the business requirements.

TS 09

Test
Manager, Obtain UAT Perform UAT
Log bugs Fix bugs
team test script testing
members

Perform
Regression Test bugs
testing

Core
User Completed & Validate system
Group, Approved UAT works with the
Test test scripts business
Manager

DP 01

Process Owner: PMO, Business and Technology

Template
Template Name Category
LD,
UAT Phases
MD

CHECKLIST 
Is there demonstrable proof that each of the UAT test scripts have been 

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run and are error free? x
Have the developers and \ or UAT team fixed all the identified bugs? 

1.5. Deploy

L2.DP 01
Start Preparation of
Infrastructure

L2.DP 04 L2.DP 03 L2.DP 02

End GO-Live User Training GO-Live
Tasks Incl. Sales, Customer Readiness Assessment

Template List
Go-Live Tasks Pre and Post Go-
Live Checklist

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Deploy> Preparation of Infrastructure (L2.DP 01)

Recycle through
TS 09
Project each step in this
Testing &
Manager, DP 02 sub-process, with
Validation
Team Lead, stability checks
Technical Yes after each activity
Is current
Architect
hardware
infrastructu
re
sufficient?
No

IT
Infrastructure, Setup new Installation
Team Lead Hardware of necessary
(Servers software
etc.) if required components

Installation & Configuring

Installation
Configuration of network/
of necessary
application at security
patches
central server infrastructure

Process Owner: PMO and Technology

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Deploy> GO-Live Readiness Assessment (L2.DP 02)

Prepare formal Determine

PMO
communication rollout
for user rollout date

Announcing the
DP 03 approval and
rollout of system

DP 01

Team Lead,
Test Check that Check that
Manager testing is outstanding issues
complete are resolved

Business
Sponsor,
Core User Secure project
Group, sponsor signoff
Project for “go-live”
Manager

Process Owner: PMO and Technology

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Deploy> User Training (L2.DP 03)

PMO, DP 02
Core
User
Group, Conducting Planning a Designing and
Project needs assessment training schedule, developing the User
Manager Test and Validate
for each category & curriculum Guide and Sandbox System
of trainees for each group Online Help

Coordinating
training logistics
(site, notification &
equipment requirements)

Key Develop Training

Develop- System (Sandbox)
ment
Team
Member
s,Team Conducting all Developing
Lead user training training
sessions materials

Provide Individual
Training
Assistance, if required
Evaluation

DP 04

Process Owner: PMO, Business and Technology

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Deploy> GO-Live Tasks (L2.DP 04)

The objective of this task is to create a checklist of activities required to successfully implement
by the cutover date.

DP 03

Project
Manager Define the Publish
activities that PC 01 Implementation
must occur Tasks to all parties
before cut-over

Team Sequence the

Lead Assign team Communicate activities,
activities and
members to roles & responsibilities
determine their
each activity defined to all project members
dependencies & timing

Process Owner: PMO and Technology

Template
Template Name Category
LD,
Go Live Tasks
MD

Pre and Post Go-Live

Checlist.doc

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1.6. Close a Project

L2.PC 01
Start End
Project
Closure

Template List
Project Closure Report Lessons Learnt Outstanding Issues/Risks Project
Closure
Checklist

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Close a Project>Project Closure (L2.PC 01)

Project
Project Board
Steering approves
Committee project closure

Review project List outstanding actions,

PMO Decide duration
delivery against notify Service delivery
and level of Post
DP 04 acceptance & System Support,
Go-Live Support
criteria set in and define required
PID/ Business Case completion date

Team Finalise resources

Produce project
Lead, and infrastructure
closure report
Team for Post Go-Live
including Lessons
Member Support
Learnt & Plan
s

Handover to
business users

OP 01

Core Business users

User approves
Group project closure

Program/Project
Project Manager
Manager approves
project closure

Process Owner: PMO, Business and Technology

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Template
Template Category Template Category Template Category
Name Name Name
LD, Long LD
Project Closure
MD Outstanding Issues
Duration Lessons Learnt
Report and Risks

Project Closure
Checklist.doc

CHECKLIST 
Has the project met all the predefined acceptance criteria that were set 
at the beginning of the project?
Are the Project Board and the User Group satisfied that the project has 
delivered what it set out to?
Is there a set of actions with define owners and target resolution date, 
that has been agreed by all parties and being actively managed?

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1.7. Operate

Start

L2.OP 01 L2.OP 02 L2.OP 03

Post Launch Monitor Benefits Drive Continuous
Review Realization Improvement

End

Template List
Post Launch Review Benefit Tracking

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Operate> Post Launch Review (L2.OP 01)

PC 01

PMO,
Business Develop Solution Assess Assess Application Assess Application
Sponsor Assess Strategic
Performance Solution Development Development
Implications
Matrix Performance Process Cost

Review and modify

Resolution Plan (if OP 02
necessary)

Conduct User Identify

Conduct survey for
survey for system bugs/feature gaps
system usage levels
performance that are pending
Project
Manager,
Team Formulate
Leader Define and prioritize Resolution Plan
issues according to
priorities

Process Owner: Business

Template
Template Name Category
LD
Post Launch Review

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Operate>Monitor Benefits Realization (L2.OP 02)
To ensure the benefits of the project are fully realized through embedding and sustaining the
changes.

Portfolio Review key benefits and provide

Manage feedback, where necessary
r

Review benefits & Review benefits and

Steering provide feedback provide feedback
Committee

Validate benefits
against Project
Rebalance Review benefits &
Initiation Form provide feedback,
Program and across where necessary
Portfolio projects

Business
Sponsor Review & approve
project benefits

Identify Communicate
Project Record benefit
qualitative & Assign projected value Manage benefit
value in benefit benefit updates to
Manager quantitative to quantitative benefits variances
tracking tool key stakeholders
benefits

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Process Owner: PMO, Business and Technology

Template
Template Name Category
LD,
MD
Benefits Tracking
Tool.xls

CHECKLIST 
Have all outstanding actions from the project closure report been 
completed?
Has the realisation of projected benefits been tracked? 
Have ongoing QA visits been scheduled? 
Have performance improvement targets been set? 
Has feedback been gathered and actions assigned? 
Has the post implementation review been submitted to the board? 
Has the project sponsor been involved? 
Have all key stakeholder groups been involved? 

Operate>Drive Continuous Improvement (L2.OP 03)

The objective is to ensure that the changes are embedded and sustained in the business and
that a feedback loop is in place to drive continuous improvement.

OP 02

PMO Confirm Ensure ongoing

Confirm continuous
stakeholders Projectprocess performance
review
Who will Manager metrics
is in place
own changes are agreed

End

Process Owner: PMO, Business and Technology

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CHECKLIST  x

Has the business taken active ownership of the changes? 

Are staff treating the changes as ‘business as usual’? 
Is there a process in place to help review progress and drive continuous 
improvement?
Have performance metrics been defined to measure continuous 
improvement?

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1.8. Common Processes
Common Processes>Project Governance (L2.CM 01)
The project governance provides an overview of project management organization structure,
roles, responsibilities and governance. This includes a description of roles within the PMO and
within individual projects. This structure, along with associated PMO processes, will provide the
foundation for an operational PMO.
The purpose of project governance is to allow Essarto execute the projects effectively with a
greater degree of accountability by controlling, managing, and monitoring a portfolio of
projects.

IT Head Start
key IT
function
Executive
Define PMO Define Roles & Escalation Project Management End
s
Structure Responsibilities Framework Events & Frequency

PMO, Receive Periodic Assess

Governance Report Governance report Prepare early warning Communicate Areas of
Project for IT Leadership for concern to Project
Board from Project and Identify Key
Manager Areas of Concern Key Areas of concern Manager

For each Project

Project stage, document Assess procurement
Manager the Assessment Assess resource status for
results and prepare Assess scope, control, utilization, issue infrastructure
Report for development quality response time Assess SLA adherence purchases
Governance Review

Process Owner: PMO

Template
Template Name Category Template Name Category
LD, LD,
PMO Structure
MD Governance Roles &
MD
Responsibilities.doc

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MD PM Events.doc
MD
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Common Processes>Project Monitoring & Control (L2.CM 02)

Common Processes>Project Monitoring & Control>Financial Control (L3.CM 2.1)

Start

IT Project, Identify financial

PMO Manage financial
Verify resources variances; Update
Review bills, Invoices
time & expenses take corrective Financial Plan
Financial Plan & payments
action, if needed.

Establish deadline For people leaving, Manage financial

Document
for submitting verify that all of disputes and
The
expense & their tasks document
results
time reports are completed the results

Communicate financial
CM 2.2
Policies & procedures Prepare Monthly
to new joiners Finance Report

Process Owner: PMO

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Common Processes>Project Monitoring & Control>Project Performance x

Monitoring (L3.CM2.2)

CM 2.1

IT Budget, Monitor Key

Monitor & Mitigate the Resolve Resolve
PMO Milestones &
Resolve High Impact Organizational Resource
Deliverable
Major Issues Risks Challenges Constraint
Dates

Determine
Prepare Communicate if Update the
Review the corrective &
Project any deviation Project Plan,
Deliverables preventative
Status Report in deliverable if required
actions

CM 2.3

Process Owner: PMO

Template
Template Name Category Template Name Category
LD, LD,
Weekly Status
MD MD
Project
Report.doc Dashboard.xls

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Common Processes>Project Monitoring & Control>Project Plan Control (L3.CM
2.3)
The objective of this process is to identify schedule and cost deviations in the Project plan and
take appropriate corrective action.

CM 2.2

Identify
Program Identify Perform Analyze
Deviations
Manager Deviations Earned Deviation &
in Update
in Value take
Cost Project Plan
Schedule Analysis Corrective action

Communicate
Update the
changes to
CM 2.4 Project Plan,
Project
if required
Team

Process Owner: PMO

Template
Template Name Category
LD,
Earned Value
MD
Milestone Template.xls

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Common Processes>Project Monitoring & Control>Monitoring of Project Team
Performance (L3.CM2.4)
The objective of this process is to monitor the performance of Project Team.

CM 2.3

Project Plan
Plan Performance Monitor the Provide periodic Discuss &
Manager Performance
Goals of Project performance of feedback to resolve the
measures of
Team Members Team Members Team Members issues, if any
Team Members

Conduct
End Performance
Appraisal

Process Owner: PMO

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Common Processes>Risk Management (L2.CM3) x

Start
PMO
Leadership
and Define Risks to goals Prioritize Identify Risks by
Program & benefits of Program/Project to (assumptions, worst
Manager Program/Project focus on Risks case scenario)

Develop Mitigation Analyze Risks to Classify Risks (e.g.

Plan goals & benefits of enterprise, program,
Program/Project and project)

End

Process Owner: PMO

Template
Template Name Category Template Name Category
LD, LD,
MD Risk Summary
MD
RiskLog.xls
Priority List.doc

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Common Processes>Issue Management (L2.CM4) x

Start

Communicate Enter issue in Assess the impact to Prioritize issue

Identify Issues issue to PMO, issue log the project and and assess
Project Manager other projects need to
escalate

CIO, No
Steering
Committ
ee, PMO Escalate to Yes Yes
Develop and Can this Does
Portfolio communicate issue be issue
Manager/PMO action plan resolved meet
Steering ? escalatio
n
Reviews issue, No criteria?
impacts and
recommendations Develop action Assign issue
(if applicable) and plan owner
makes decision or
approval

Develop and/or
communicate action
End
plan; assign issue
owner
PMO,
Project
manager
, Team Add issue to
Lead Dashboard, Status Execute and monitor Resolve issue Close issue, update the
Report; monitor action plan Project Issue Log and
issue and plan PMO Issue Log

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Process Owner: PMO

Template
Template Name Category
LD,
MD
Issue Log.xls
SD

Common Processes>Change Management (L2.CM5)

________________________________________________________________________
* This process extends into the next page. The points of continuation are shown as A and B.

Status Definitions
Open: Initial submittal
Assigned: Team member identified to research &
Steering estimate the request
Committe Estimated: Assigned resource completed analysis
e and has estimated cost/schedule impacts
Submitted to PMO: Project leader has validated
the estimate & documented Yes
recommendation/findings
Approved: Request has been estimated and Review Assess
approved Estimated Scope
Impact
Rejected: Request is rejected Change Change
PMO on A
Deferred: Request is deferred until a later date Request ?
Program
Incorporated: change has been incorporated into
the project plans No

Request
Log CR in Update Log with Review CR, Provide Yes
Approved B
PMO Findings & Set Recommendation on
?
Project Database and Status to Scope Impact, and Set No
Leader Assign Estimated Status to Submitted
Update CR Status to
Rejected End

Communica
Identify Research Cost, Communicate
te CR to
Project Change Schedule & Findings to
Project
Team Request Performance Impacts Project Leader
Leader

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Yes
Review Yes Change Requires Rebalance
Steering Request Request
Portfolio Rebalance Program Portfolio
Committee Approved?

No
No

Review Findings and Submit Communicate changes

Communicate
CR & PMO to Project Prioritization End
PMO Decision to Project
A Recommendation to
Leader
Steering Committee

End Update CR Log to Reflect

Project Update CR Update Project
Update CR Status Completion Date & End
Leader Status to Plan, Set Status
to Approved Resolution. Set Status to
Rejected to Incorporated
Complete

Project
Team Complete
Change

Process Owner: PMO

Template
Template Name Category Template Name Category
LD, LD,
MD Change Request.doc
MD
Change Request
Register.xls SD SD

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Common Processes>Preparation of Annual IT Capex Budget (L2.CM6) x

Executive No Yes Reconcile IT Cap

Management Budget Budget with Annual
Board Approve Business Plan
d?

Start Review and Update

IT Cap Budget

IT Plan
Prepare IT Cap Yes Does IT
Budget
Budget
support
Financial
IT Plan?
Management
No
Initiate IT
Projects
Determine the
implications and make
necessary adjustments
Forecast/Estimate
Standard Costs and
Learning Curve
Review and Update
IT Cap Budget

Prepare Budgeting
Instructions and Obtain Executive
Templates Package Approval

Execute Budget

BD 03

Systems
Services Establish Consulting
Establish Cost of Establish S/W Establish H/W Costs
Manager/Sol
Personnel Hiring Capital Costs Capital Costs
utions
Delivery
Model

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Common Processes>Preparation of Annual IT Opex Budget (L2.CM7) x

Executive No Yes Reconcile IT Op.

Management Budget Budget with Annual
Board Approve Business Plan
d?

Start Review and Update

IT Op. Budget

IT Plan
Prepare IT Op. Yes Does IT
Budget
Budget
Service Level support
Review Process Financial
IT Plan?
Management
No
Forecast Usage
and Load
Determine the
implications and make
necessary adjustments
Forecast/Estimate
Operating Costs

Review and Update

IT Op. Budget

Prepare Budgeting
Instructions and Obtain Executive
Templates Package Approval

Execute Budget

BD 02

Systems
Services Establish other
Establish Cost of Establish S/W Establish H/W Recurring Costs
Manager/Sol
Personnel Op. Costs Op. Costs
utions
Delivery
Model

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Common Processes>Monitoring the Annual IT Budget (L2.CM8) x

CIO Recommend Recommend Analyze the report

changes (if any) changes (if any)

Amend the budget

accordingly End

BD 01
IT
Management

Compare actual Analyze Variances Inform CIO

cost reports with
Budget

Are
variances Prepare Variance
with in report and reasons
permissible
limits?

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