Waterfall Methodology: Technology Solution Initiate and Plan Process

Process Owner: Manager, Solutions Development and Support

Note: An owner must be a PCES-level manager or higher.

This process establishes standard tools and processes for the TSLC Waterfall Initiate and Plan phase within the Postal Service Technical Environment.

1. PURPOSE

The Technology Solution Initiate & Plan process starts the Technology Solution Life Cycle (TSLC) by defining the business needs and high level project plan.

The objectives of the Technology Solution Initiate & Plan process are:

• Identify the short and long term business need(s).
  

• Develop a ROM (Rough Order of Magnitude) Estimate for the cost/schedule. The ROM Estimate is not an IT commitment, but rather a process for the customer to obtain a general idea of what the effort might entail. The closeness of the ROM Estimate to the actual, committed cost/schedule estimate that is developed during the Technology Solution Design process is dependent on the level of requirements provided to the developing organization.
  

• Develop a cost/schedule to develop the Technology Solution Requirements and Technology Solution Design processes.
  

• Customer provides funding to complete the Technology Solution Requirements and Technology Solution Design Phases.
  

• Develop Technology Solution Stakeholder agreement with Change Control Board and sign off before starting with the Technology Solution Requirements.

2. SCOPE

The Technology Solution Initiate & Plan process applies to all technology solutions includes, but is not limited to:

• Development of application or system software
  
• Configuration of Commercial Off-The-Shelf software, telecommunications / network implementations, database changes
  
• Information technology infrastructure projects

3. PROCESS DESCRIPTION

This Technology Solution Initiate & Plan process is composed of the following sub-processes:

1. Develop Business Needs Statement

A Business Needs Statement (BNS) is developed to define the business objective and business value of the Technology Solution. The BNS outlines what is considered in-scope, out-of-scope, and any business assumptions. At a high level, this document will outline business interfaces and functions, reports, and any other information that will help the Technology Solution Providers to determine the scope of the TSLC Requirements and Design processes.

2. Identify Project Metrics

Project metrics are developed to depict values, thresholds, constraints, scope, duration, etc., as representative information to establish an understanding of status, condition, and position of a project.

3. Create ROM Estimate

The customer may request an estimate on cost and schedule before requirements and design are completed. This is called a ROM (Rough Order of Magnitude) because it is not a committed cost or schedule.  The more detailed the requirements, the better the ROM estimate.  ROMs are used for budget estimates and for providing customers a quick idea on the magnitude of an effort.

Upon request from the TSPM (typically the Portfolio Program Manager) for a ROM the Technology Solution Coordinator (BPL with IBSSC developed solutions) has up to 5 business days to coordinate and compile the ROM Technology Solution implementation costs and schedule milestones from the Technology Service Providers. DARs and large project Technology Solution implementations that will require additional time can request an extension in writing in advance from the Portfolio Manager responsible for the Technology Solution.

If the customer reviews the ROM Estimate and wants to proceed, continue with the remaining steps.

4. Define Change Control Board Document and Scope Management Plan

The change control board for the Technology Solution is developed and documented at this step. This document will outline the review personnel for any changes brought to the Technology Solution, the stakeholders, and what the change process will be that is followed. This must be communicated to the Technology Solution team. This is a Baseline requirement, for all SOX in-scope and out-of-scope systems, that must be stored in the TSLC Artifacts Library.

The Scope Management Plan documents how the project scope will be defined, managed, controlled, verified and communicated to the project team and stakeholders/customers. It also includes all work required to complete the project. The documents are used to control what is in-scope and out-of-scope for the project.

5. Create Cost Matrix for Completing TSLC Requirements and Design

A cost matrix is developed for completing the TSLC requirements and design. This must include all costs incurred by the Technology Solution Providers such as hours, travel, etc. This is the cost matrix that the developing organization will commit to. All assumptions (such as resources available, meeting location(s), BNS will stay constant) that have an impact on meeting this cost matrix must be documented. The TSLC implementation cost matrix is provided at the completion of the design process.

6. Develop Initial Project Plan

An initial project plan is developed.  The project plan template may be used. The project plan includes all TSLC processes and deliverables and will include dates completed for all items created in the Initiate & Plan process. All tasks associated with the Technology Solution will be developed in the plan, and this plan will be updated throughout the TSLC.

7. Register in EIR

Register the application in the EIR (Enterprise Information Repository).

8. Define the Risk Mitigation Plan

The Risk Mitigation Plan communicates how specific risks will be dealt with and the action steps that are required to carry them out. It provides the project team a sense of the actions that are expected to take and provides management with an understanding of what actions are being taken on their behalf to reduce project risk.

9. Documented Approval and Funding to Proceed

Upon the customer review of the cost matrix to develop the TSLC requirements and design, a decision is made by the customer to proceed with the TSLC processes. If approved to proceed, funding is obtained to support the TSLC requirements and design process and the draft project plan is executed.

4. PROCESS DIAGRAM

An asterisk (*) denotes a Baseline requirement.

5. PROCESS INPUTS/OUTPUTS

Inputs

• Customer Business Need for the Technology Solution: Defines the business objective and business value of the Technology Solution. Outlines what is considered in-scope, out-of-scope, and any business assumptions.
  

Outputs

• Business Needs Statement: Customer-provided deliverable describing the requested Technology Solution to be developed.
  

• Rough Order of Magnitude Estimate: An estimate document on the cost and schedule of the project.
  

• Initial Project Plan: Identifies all tasks associated with the Technology Solution and will be updated throughout the TSLC.
  

• Change Control Board Document*: Describes any changes brought to the Technology Solution and the change process to be followed.
  

• Cost Matrix for Completing TSLC Requirements and Design: Documents all costs incurred by the Technology Solution Provider. All assumptions that have an impact on meeting this cost matrix must be documented.
  

• Documented Approval and Funding to Proceed: Authorization to proceed with initial TSLC phase, based on approved funding.
  

An asterisk (*) denotes a Baseline requirement.

6. PROCESS RELATIONSHIPS

An asterisk (*) denotes a Baseline requirement.

7. ROLES AND RESPONSIBILITIES

• Customer: Entity requiring a Technology Solution to address a business need. The Customer is also the source for project funding and is the owner of the developed Technology Solution. This role is typically performed by a functional business group, but the role may also be performed by any TSP.
  

• Technology Service Providers (TSP): All stakeholders that are responsible for providing any part of the Technology Solution must provide input into the cost and schedule given for completion of the TSLC requirements and design.
  

• Change Control Board (CCB): The personnel identified by the TSLC team to approve any changes to scope, cost, or estimates. In the Initiate & Plan process, any changes to the approved BNS or assumptions shall be reviewed by the CCB to ensure the original cost and schedule to complete TSLC requirements and design are not impacted.
  

• Technology Solution Project Manager (TSPM): This person program manages the TSLC for this business need. This includes coordinating with the customer and the TSPs, and ensures all TSLC processes are followed and TSLC deliverables are created at the correct time. Also coordinates with the TSC in the event a ROM is requested. This role may be the responsibility of any TSP but is typically performed by the IT Portfolio.
  

• Technology Solution Coordinator (TSC): This person is responsible for coordinating with the TSPs in the development of the cost / schedule for the TSLC requirements and design. This role may be the responsibility of any TSP, but is typically performed by the IBSSC.

8. SUPPORTING DOCUMENTATION

For access to the following documents, contact the US Postal Service. See Publication 5, Let's Do Business for further information about local US Postal Service contacts.

• TSLC Templates, Waterfall

9. REVISION HISTORY