Cornell Project Management Methodology (CPMM)

CPMM Project Initiation Plan

(Cornell Department Name)

Project Name: <Project Name goes here>

Business Unit / Program Area (Customer):
Executive Sponsor:
Project Director (Sponsor):
Organization:
Project Manager:
Proposed Project Start Date:
Proposed Project End Date:
Key Contact, Phone #
Date Submitted:
Date Approved:
Version:
Last Updated: <MM/DD/YYYY>

This CPMM template is annotated with notes to help authors when filling it out. Please make sure to
delete any of the text that is within <> with appropriate text specific to the project, particularly when
you submit a formal CPMM form for signatures,

CPMM Project Initiation Plan Appendix 2-1

Version: February 28, 2006
 Cornell Project Management Methodology (CPMM)

Contents
Change Record..............................................................................ii
Executive Summary.......................................................................1
Goals and Objectives.....................................................................1
Project Scope................................................................................1
High Level Schedule......................................................................4
Assumptions..................................................................................5
Stakeholder Roles and Responsibilities.........................................6
Communication Plan......................................................................9
Benefits and Budget....................................................................11
Project Governance and Resourcing...........................................12
Management Approaches............................................................13
Risk Plan......................................................................................16
Signatures....................................................................................17

CPMM Project Initiation Plan i Appendix 2-1

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Change Record
Date Author Version Change Reference

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Executive Summary
<Introduce the project by giving an overview of the project with a brief background as to how it came
about. This section may be as short as one paragraph or as long as two pages. Remember that this
section may be as far as many readers will go. Be concise—get the message across.

What is the business need that gave rise to this project? Describe the business drivers (i.e. market
demand, business need, customer request, technological advance, legal requirement, or social need)
that created the problem, opportunity or business requirement. How did the project come about?
Provide any other necessary background. If there is a project Charter please use that information as
appropriate.

Provide a description of the project and what the project will deliver and any high level expectations of
the project. Identify if this is part of a larger project or if it has follow on projects.

Identify the customers and anticipated consumers of the project and why they will benefit from the
project.>

Goals and Objectives

Overall Goal: <Encapsulate the purpose of this project in a single sentence>

Specific Objectives
Use a table similar to the following to concisely define the project objectives. Where appropriate,
make sure the objectives define:
A measure—an indication of what is to be delivered;
A level—how much is to be delivered;

Table 1: Project Objectives

Objective Description
1. <Name the objective> <Give a brief description of this objective, defining the attributes
as above>.

Success Criteria
Explain how you will know that the overall project was a success, and then use the table below to
specify what measurements you will use to determine whether or not the individual objectives were
met.
(You should be able to link the success criteria to each objective.)

Table 2: Success Criteria

Objective Success Criteria
1. <Name the objective> <Give a brief description of the measurements you will use to
determine whether the objective has been met.>

Project Scope

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 Cornell Project Management Methodology (CPMM)

Complete the following aspects of scope that further define this project.

Functional Scope
The functional scope defines the business functions and processes that are to be defined or
supported by this project.

Table 3: Functional Scope

In Scope Out of Scope Uncertain

System Scope
Define the systems within scope of this project, either as components of any application(s) to be
delivered, or as interfacing to this application. You may use either a table showing what is within and
what is outside of scope, or a Context Diagram, which shows the relationship of the components &
interfaces—input, output, or both (an example is shown below the table).

Table 4: System Scope

In Scope Out of Scope Uncertain

General
Ledger

HR

IRS
Payroll

Payroll
Generation
Benefits

Components System Interface

Figure 1: Context Diagram

Project Interdependencies

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 Cornell Project Management Methodology (CPMM)

The project boundaries are defined by the projects that are interdependent with this project. Also
identify follow on projects that may be required.

Table 5: Scope—Project Interdependencies

Project Interdependency Type
<List each project which is <Interdependency Types can be other: Project, Systems,
interdependent with this project> Groups, Technology, Resources>

Data Scope
Define the data boundaries of the project, in the form of a high-level business object model or data
model. Figure 2 shows a sample of a high-level business object model.

Department

Employee Salary

Pay Period Paycheck Deduction Deduction Type

Figure 2: Scope—Data: High-level business object model

Technology Scope
Technology Scope describes the components of technology (software, hardware, architectures,
networks and communications) that are to be considered within the scope of (that is, available to) this
project

Table 6: Scope—Technology
In Scope Out of Scope Uncertain

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 Cornell Project Management Methodology (CPMM)

Organizational Scope
Define all organizational units considered in any way to be involved in this project in the table below,
or if appropriate, use an organization chart, like the one in Figure 3.

Table 7: Scope—Organizational Scope

In Scope Out of Scope Uncertain

In Scope

Not in scope

Figure 3: Scope-Organization chart

High Level Schedule

Developing the High Level Schedule it is best to start with a Work Breakdown Structure, a listing of
the Key Deliverables/Task and identify the Project Management and Project Product Lifecycle
Milestones. Using this information it is best practice to use a project scheduling tool (e.g. Microsoft
Project) to produce the high level Schedule. If your project is small or medium size you can use an
excel template (CPMM Project Schedule)

Work Breakdown Structure (WBS)

WBS: A deliverable - oriented grouping of project elements that organizes and defines the total work
scope of the project. Each descending level represents an increasingly detailed definition of the
project work.

< This section is where you would place the High Level Work Breakdown Structure (WBS)>

Key Deliverables
A deliverable is any measurable, tangible, verifiable outcome, result, or item that must be produced to
complete the project. For example: these include project management deliverables (such as this
Project Initiation Plan) and project deliverables, such as the business requirements, technical designs,
training plans etc.) At this stage of project planning you should identify the Key Deliverables for the
High Level Schedule.
< Enclose or attach a list of the Key Deliverables >

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Milestone Schedule
The below Chart should show the Milestones (a significant event, end of process or phase or usually
a completion of a major deliverable) for your project. These milestones should include both the Project
Management and Product Milestones. If your project does not have a large number of Key
Deliverables, you may wish to include them in the table below and not list them separately.

Table 8: Milestone Schedule

Milestone Start Date Completion
Date
Initiation
Project Charter
Approve Project Charter
Hold Kick Off for Project Initiation Planning
Planning (High Level)
Project Initiation Plan
Approve Project Initiation Plan
Hold Kick Off for Detail Planning
Planning (Detail)
Project Plan (Detailed)
Baseline Schedule
Approve Baseline Schedule
Hold Kick Off for Executing the Project
Executing and Controlling
<enter milestones for product / service development phases>

Closing
Transition to Steady State-Project Close Out Report
End of Project Review Report (Lessons Learned)
<You can attach the Project Schedule (e.g. MS Project schedule) showing the high-level schedule
including the Gantt chart in addition to the above table. Make sure to know what level of detail your
governance board expects >

Assumptions
State all base assumptions used to produce this plan. In particular state the assumptions about
scope, time frame, deliverables, policies, schedules, technologies, resources, and costs, etc.

<Base assumptions>

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 Cornell Project Management Methodology (CPMM)

Stakeholder Roles and Responsibilities

Stakeholders are all those groups, units, individuals or organizations, internal or external to our
organization, which are impacted by, or can impact, the outcomes of this project.

Stakeholders can be from many areas. Here are some examples:

Project Governance User Groups Campus Readiness Project Teams
Team
Technology Groups Consultant Partners Internal Auditors Support Groups
Interdependent Projects Customers Suppliers Training Groups
Transition Team Other Internal Groups Other External Groups
Complete the following table for each identified stakeholder. This is where you set the expectations for
the stakeholders, define their roles, establish individual accountabilities, and gain agreement on those
accountabilities. This activity is critical to the successful initiation and implementation of the project.

Please use the embedded project responsibilities as guidelines. You can add or delete
roles/responsibilities, since these will vary from project to project.

Table 9: Stakeholder Roles and Responsibilities

Executive Sponsor
Who University Role % Time
Required

Project Responsibilities
 Secure spending authority for project
 Act as a vocal and visible champion for the project
 Keep abreast of all major project activities
 Be the final decision-maker on key issues
 Provide support for all Sponsors, Project Directors, and Project Manager
 Provide final approval for all major scope changes
 Provide signoff to approve project to move forward to succeeding phases
Project Sponsor and/or Project Director
Who University Role % Time
Required

Project Responsibilities
 Help to secure spending authority for project
 Act as a vocal and visible champion for the project
 Keep abreast of all major project activities
 Facilitate decision-making on key issues
 Make decision on escalation of issues to the Executive Sponsor
 Provide support for Project Manager and Project Team
 Provide approval for all major scope changes
 Provide signoff to approve project to move forward to succeeding phases
Steering Committee or Advisory Group
Who University Role % Time
Required

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Project Responsibilities
 Keep abreast of all major project activities
 Act individually and collectively as a vocal and visible champion for the project
 Provide direction and guidance to the project
 Help resolve issues and policy decisions
 Assist with communication for the areas they represent
Project Manager
Who University Role % Time
Required

Project Responsibilities
 Ensures the project team completes the project
 Develops the CPMM Project Documentation with the team and others as needed
 Manages the team’s performance of project tasks
 Manages the project scope, schedule, and budget
 Communicate status/issues as identified in the Communication Plans
 Quickly works to address project issues, or escalate project issues to appropriate people
 Develop all necessary CPMM project documentation
 Manage issues, risks, actions, and change
 Provide performance feedback to team members
 Gain Project Acceptance
 Archive Project Information
Project Team
Who University Role % Time
Required

Project Responsibilities
 Execute tasks and produce deliverables as outline in the Project Plan or as directed by the
project Manager
 Provide input on planning activities as requested
 Identify and quickly communicate or escalate issues and risks to the Project Manager
 Stay up to date on the project status
 Provide input on change requests as required
 Provide feedback on project performance
Customers / Subject Matter Experts
Who % Time
Required

Project Responsibilities
 Provide Subject Matter Expertise
 Represent their business units needs to the project team
 Validate deliverables that describe the product or service that the project
will produce
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Who % Time
Required
 Bring information about the project back to the Customer community
 Test the product or service and provide feedback
Other
Project Role Who University Project Responsibilities % Time
Role

CPMM Project Initiation Plan 8 Appendix 2-1

 Cornell Project Management Methodology (CPMM)

Communication Plan
The following methods will be used to keep stakeholders and outside parties informed and involved in
the project. You must edit the text to reflect the communication needs of your project.
Note: Key Stakeholders are a subset of Stakeholders who, if their support were to be withdrawn,
would cause the project to fail.

What Who/Target Purpose When/ Type/Method(s)

Frequency
<Initiation <Project <Gather information <FIRST <Meeting
Meeting> Team and for Project Initiation Before Project Template:
Sponsors> Plan> Start Date> CPMM_ProjInitPlan>
<Distribute <Key <Distribute plan to <Before Kick Off <Document distributed
Project Plan stakeholders* alert key Meeting via hardcopy or
and Obtain > stakeholders of Before Project electronically. >
Approval> project scope and Start Date>
to gain buy in. >
<Project Kick <All <Communicate <At or near <Meeting>
Off> stakeholders> plans and Project Start
stakeholder Date and when
roles/responsibilitie Project Initiation
s. Plan is
Encourage approved>
communication
among
stakeholders. >
<Status <All <Update <Regularly <Distribute electronically
Reports> stakeholders stakeholders on Scheduled. and post on project
> progress of the Monthly is repository:
project. > recommended Template:
for large and CPMM_StatusReport>
mid-size
projects. >
<Team <Entire <To review detailed <Regularly <Meeting
Meetings> project team. plans (tasks, Scheduled. Template:
Individual assignments, Weekly is CPMM_MtgAgendaMin>
meetings for issues, and action recommended
sub-teams, items). > for entire team.
technical Weekly or bi-
team, and weekly for sub-
functional teams as
teams as appropriate. >
appropriate. >
<Project <Project <Update Project <Regularly <Meeting
Steering Steering Steering Committee Scheduled. Template:
Committee Committee on status and Monthly is CPMM_MtgAgendaMin>
Meetings and project discuss critical recommended.
(This may manager> issues. > >
apply only to
larger
projects) >

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 Cornell Project Management Methodology (CPMM)

What Who/Target Purpose When/ Type/Method(s)

Frequency
<Sponsor <Sponsor(s <Update sponsor(s) <Regularly <Meeting
and/or and/or and/or executive scheduled at Template:
Executive executive sponsor on status sponsor level CPMM_MtgAgendaMin>
Sponsor sponsor) and and discuss critical (recommended
Meetings** project issues. Seek monthly) or as
(This may manager> approval for needed at
apply only to changes Plan. executive
larger Review status sponsor level.
projects.) > reports, issues, and Hold when
risks. To identify issues cannot
and communicate be resolved or
potential risks and changes need
issues that may to be made to
affect the schedule, Project Initiation
budget, or Plan. >
deliverables. >
<Post Project <Project <Identify <End of project <Meeting/Report
Review> manager, key improvement plans, or end of major Template:
stakeholders, lessons learned, phase> CPMM_PostProjReview>
and what worked and
sponsor(s). > what could have
gone better.
Review
accomplishments. >
<Project <ALL project <Location to house <Update <TBD by each team>
repository > team status reports, monthly with
members and meeting minutes, status reports;
others as project description, otherwise, as
designated by and Project necessary. >
the Project Initiation Plan.>
Sponsor and
Project
Manager >
<Periodic <Specific <To gain input from <Once product <Presentation/
Demos and focus groups special groups and has enough to Discussion>
Target or end users. keep them abreast “show”. As you
Presentations Examples: of the project’s complete critical
> SIGs, ITMC, status. > phases or make
CCD’s, major
Forums, enhancements.
Student >
Assembly,
FABIT, etc. >
<Other…> <To be <General <As needed> <Email lists, CIT Forum,
determined by communications> uPortal.cornell channel,
the project announcements, etc. >
team>

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 Cornell Project Management Methodology (CPMM)

Benefits and Budget

Project Benefits
Nature of Benefit Brief Description Quantitative Benefit /
(Benefit Class -- see Qualitative Benefit
below) (“ball-park size to this benefit”)

Nature of Benefit/Benefit Class:

 Increase in revenue
 Avoid revenue loss
 Reduce costs
 Avoid cost increases
 Improved service
 Legislative/regulatory mandated
 Meet competition/protect-increase market share
 Other

Project Budget Summary

Type of Expense Development Cost On Going - Recurring
Cost
Staff Expense (Cornell)
Capital Expense
Operating Expense
Service-Non Cornell
Contingency
Total Project Budget

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 Cornell Project Management Methodology (CPMM)

Project Governance and Resourcing

Project Governance

Define the management organization for this project, A sample is provided below. Include Actual
Names

Figure 5: Governance Model

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 Cornell Project Management Methodology (CPMM)

Project Resourcing

Define the make-up of the project resources as currently understood. Include those specific
individuals that have been identified and also show those that need ‘To Be Determined’ (TBD).

Table 3: Resources
Project Role # Who (if % Time Dates Needed Name of
Req’d known) or (Date Range) Manager
TBD
<Business <2> <30% <Date Range> <Manager>
analysts> Time>

Resourcing Comments, Constraints, and/or Issues:

Management Approaches
The Cornell Project Management Methodology (CPMM) will be applied as the project management
approach to implementing this project, specifically, planning, tracking, reporting, and closing out the
project. The following sections define the standard approaches. Please describe any exceptions, and
explain the reasons for them.

Mode of Accomplishment

<Provide an overall statement on mode of accomplishment. How will this project be accomplished?
Will it be totally done by C.U. resources, or will outside partners be involved? Who is the Customer
and how will their participation be needed? How will the project be organized? Are all the
Stakeholders and their responsibilities clear or are some yet to be defined? Will the project team need
any training to develop individual or group skills to enhance project performance? How many end
users will be impacted by this project? Will it require a Campus Readiness activity? Will a transition
team be required? Is training a significant part of the project? How will you ensure the project will
satisfy the needs for which it was undertaken? Are their quality standards that need to be met? How
will the quality of the project be assured?>

Issues Management

Critical to the success of a project is to manage issues that surface from the very beginning of a
project. It is important that all key stakeholders participate in resolution of issues that might affect the
Triple Constraints (Scope, Schedule, and Budget) and resulting quality.

The following issues management procedures will be used:

An issue is registered in the CPMM Issues Log. < or name the tool or template being used to track
issues>

When the issue has been registered, the issue owner initiates a planning process to develop an action
plan to resolve the issue. The action plan identifies the expected resolution date.

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The project manager and the project team will review issues regularly (can state specific time such as
weekly etc…) to ensure that action is being taken. The steering committee or other key stakeholders
will review open issues monthly or as needed.
On the Project Status Report, the project manager will analyze the issues in the log and include
statistical analysis (such as the resolution trend of issues). Any critical unresolved issues that are
impacting the scope, time, cost, or quality of the project will be highlighted in the status report.
<Any escalation procedures for issues should be identified here>

When an issue is resolved, merged with another issue, or withdrawn, the issue log is updated.
When an issue is closed the resolution is logged and it is moved to a closed status.

Change Management

Change is expected to occur during the life of any project, but that change must be managed if the
project is to succeed.

<You may want to document what constitutes a change for your project here>

The following change management procedures will be used when a change occurs:
Complete a Change Order (Internal) [Template: CPMM Change Order (Internal)] and log the change
requests in the [Template: CPMM Change Log]. Complete the Impact Analysis Statement of the
change. Submit the CPMM Change Order (Internal) to the appropriate people for authorization
<identify Change Escalation for your project>.

The Project Manager will track the CPMM Change Order (Internal) and log the status in the
CPMM Request for Change Log: Proposed, Authorized, Denied, Deferred
The project manager reports on the status of the Change Orders in the CPMM Project Status Report.

The above change management process covers managing changes that are internal to Cornell. If the
project you are managing will involve changes to Purchase Orders or contracts with outside Vendors,
the please follow standard University Policy.

Risk Management

Risk planning is the process of deciding how to approach and plan the risk management activities for
a project.

Risks will be managed as follows:

During Initiation, stakeholders will be informed of the risk management process and its benefits. Broad
risk areas will be defined in the Project Initiation plan.
During Project Planning (Detail Level), a more detailed risk plan will be developed, including the
identification and assessment of risks and the planning of strategies to minimize or avoid the risks.
[Template: CPMM Risk Management Plan]

Throughout the remaining phases of the project, the risk plan will be monitored on a regular basis,
reported on at regular intervals in the CPMM Status Report, and updated as required.
When the project is complete, the risks and strategies will be analyzed to evaluate the success of the
risk management plan.

Procurement Plan

If your project will involve procuring products or services outside of Cornell, this section should outline
the scope of the product or service, any assumptions or constraints, and any other activities that will

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 Cornell Project Management Methodology (CPMM)

be required for the procurement or contract. The project team should identify the specialists within
Cornell for Procurement and/or Contracting and involve them early in the planning process as a
member of the project team.

The following should be considered:

What type of Contract or Purchase Order will be used?
Will Cornell Preferred Suppliers be used or will a formal bid solicitation be needed? Who will prepare
the bid documents? Will it be a single/sole source and how will it be justified?
How will you plan to involve the Cornell procurement/contracting specialists in the project?
How will the procurement be coordinated with other project aspects, such as scheduling and
reporting?
How will multiple providers be managed?

<Identify your Procurement Plan>

Transition Management Plan

Identify the approach that will be required to move the project from development to production or from
project completion to steady state. When will this planning start? Will it be managed by the project
manager of this project, or will there be a Transition (Campus Readiness) Team Lead or will there be
a completely separate Campus Readiness Team that includes members of this project team
integrated with the transition (Campus Readiness) team?

<Identify transition management approach>

[Template: CPMM Transition Planning Checklist]

Gathering Customer Requirements Approach

A key component to delivering projects on-time and on-budget is doing a great job of defining the
requirements and understanding the approach. Requirements can be gathered in many ways. Some
projects cannot start before all requirements are known, while other projects will have a more iterative
approach to gathering requirements.

In this section you should:

Define the approach that will be used to gather customer requirements.
Identify the mechanism to make changes to requirements and add new requirements.
Identify any tools that are used to gather customer requirements. These may vary across CIT
depending on the product or service.

<Identify approach to gathering customer requirements>

Reporting

Each team determines who should receive their status reports and attend status review meetings,
based on the stakeholder table.

Status reports will be distributed on a regular schedule determined by the project team (weekly,
monthly etc).

Status review meetings may be held on a regular schedule determined by the project team.

<Identify approach to status review meetings and status reporting>

CPMM Project Initiation Plan 15 Appendix 2-1
 Cornell Project Management Methodology (CPMM)

[Template: CPMM Project Status Report]

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Risk Plan
The following table should include the broad risk areas that have been identified, and the
accompanying strategies that will be put in place to control them. The rating should include a
probability of the risk occurring and the severity of the impact of the risk to the project should it occur.
This will provide an overall Risk rating. (You can use H=High, M=Medium, L=Low or a numerical
rating if you prefer). A sample Risk is included below (please delete the sample row before starting).

Table 15: High Level Risk Plan

Risk Factor Impact on Project Pro Sev Risk Risk Plan Resp. In Place By
b HM Ratin (Strategy)
HM L g
L HML
<The The project cost M H MH Assign full technical Project DD/MMM/
experience and schedule resources when Manage YYYY
d technical could overrun possible r >
program Obtain commitment
may not be of resources to
available meet the project
when schedule
needed Create an alternate
resource plan for
critical tasks

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Signatures
The Sponsor should indicate approval or rejection of the CPMM Project Initiation Plan by checking the
Approve or Reject box. If the Sponsor is rejecting the Project Initiation Plan, he/she must indicate
the reason in the comments field.
The Sponsor indicates final acceptance of the CPMM Project Initiation Plan (including securing
individual resources) by providing his/her signature in the Project Sponsor Signature box and the
approval date in the Date box.

Executive Sponsors
Name Action Comments Signature Date
Approve: 
Reject: 
etc. Approve: 
Reject: 
Project Directors and/or Sponsors
Name Action Comments Signature Date
Approve: 
Reject: 
etc. Approve: 
Reject: 

Approvers
Agreement to Secure Required Resources
The Approver is the person(s) or group that has the authority to commit resources for this project.
He/she indicates his/her agreement to provide required resources for the Project by providing his/her
Approver Signature and the approval Date.
Name Action Comments Signature Date
Approve: 
Reject: 
etc. Approve: 
Reject: 

CPMM Project Initiation Plan 18 Appendix 2-1