60GG-1.003. Initiation

(1) Project Initiation is the first phase in the project management lifecycle. In the Initiation phase, information technology projects are transitioned from ideas to a viable project proposal (through the Agency’s project request process) for consideration and approval by the Agency’s management.

(2) The Agency must complete the Pre-Charter Risk and Complexity (R&C) Assessment for the project (see Rule 60GG-1.002 ‒ Risk and Complexity Assessment, F.A.C.). This assessment will provide the project risk and complexity levels and resulting R&C Category, which will define the management control activities required for the Initiation phase.

(3) The following matrix lists Initation phase activities and documents required for the project based on its R&C Category.

(4) Specific document types, templates, or formats are not prescribed – any documentation that contains the information specified in the requirements below is acceptable.

INITIATION PHASE ‒ Requirements by Risk & Complexity Category
	4	3	2	1
Pre-Charter Risk and Complexity (R&C) Assessment	Required

	4	3	2	1
Business Case and Alternative Analysis	Required – Articulate a clear path to a return on investment (ROI) or business value in instances where a positive ROI is not present. Demonstrate a clear understanding of the processes, costs, strengths, and weaknesses of the Agency’s current business process. Document, identify, and analyze potential solutions. Provide a compelling argument for implementation and examine benefits and risks associated with the recommended course of action as well as not taking the action.		Required ‒ Provide a brief justification for the project in the Project Charter by answering the questions: Why is the project necessary? What problem is being solved?

	4	3	2	1
Cost Benefit Analysis	Required ‒ Document the economic feasibility of the alternatives being considered including the planned project costs, as well as each of the tangible benefits, and then calculate key financial performance metrics such as ROI and payback period.		Required ‒ Include a brief discussion of any cost savings or cost avoidance expected, if applicable, in the Project Charter.

	4	3	2	1
Project Charter	Required ‒ Document the project description and high level objectives; scope/out of scope; initial estimates for budget, duration, and work effort; assumptions/constraints; and initial risks. Identify the project manager, stakeholders and anticipated project resources.

	4	3	2	1
Centralized Project Repository	Required ‒ Establish a centralized project repository to house and archive all project documentation.

	4	3	2	1
PMP® Certified Project Manager	Required ‒ The Project Manager must be PMP® certified. The PMP® Certified Project Manager is authorized by the Agency to lead the entire project team in the completion of the full project scope throughout the project lifecycle. This project manager must be an Agency employee or contractor (individual) of the Agency.		Not Required

	4	3	2	1
Risk Manager	Recommended ‒ Appointment of a Risk Manager, other than the Project Manager.	Not Required

	4	3	2	1
Independent Verification and Validation (IV&V)	Recommended ‒ Employ Independent Verification and Validation (IV&V).		Not Required

 

	4	3	2	1
Initiation Gate R&C Assessment	Required

(5) The Agency must complete the Initiation Gate R&C Assessment (see Rule 60GG-1.002, F.A.C. ‒ Risk and Complexity Assessment). This Assessment will confirm or adjust the project’s risk and complexity levels and the resulting R&C Category, validate Initiation management control requirements, and set management control requirements for the subsequent Planning phase.

Rulemaking Authority 282.0051(6) FS. Law Implemented 282.0041, 282.0051 FS. History‒New 7-16-15, Amended 8-1-16, Formerly 74-1.003.