The New York State Project Management Guidebook, Release 2 
Copyright © 2003 by the New York State Office for Technology 
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iii 
TABLE OF CONTENTS 
Li t of Figures xi 
Preface xv 
Purpose xv 
Structure of the Guidebook xix 
How to Use this Guidebook xx 


SECTION I: PROJECT MANAGEMENT LIFECYCLE 1 
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 
Lifecycle Diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 
Project Roles and Responsibilities . . . . . . . . . . . . . . . 6 
New York State Project Management 
Life Cycle Templates . . . . . . . . . . . . . . . . . . . . . . . . 18 


1. Project Origination 21 
1.1 Develop Project Proposals . . . . . . . . . . . . . . . . 24 
1.1.1 Develop Business Case 24 
1.1.2 Develop Proposed Solution 28 


1.2 Evaluate Project Proposals . . . . . . . . . . . . . . . . 32 
1.2.1 Present Project Proposals 32 
1.2.2 Screen Project Proposals 32 
1.2.3 Rate Project Proposals 33 


1.3 Select Projects . . . . . . . . . . . . . . . . . . . . . . . . 37 
1.3.1 Prioritize Project Proposals 37 
1.3.2 Choose Projects 38 
1.3.3 Notify Project Sponsors 39 


Project Origination End-of-Phase Checklist . . . . . . . . 42 
Measurements of Success . . . . . . . . . . . . . . . . . . . . 43 
Phase Risks/ Ways to Avoid Pitfalls . . . . . . . . . . . . . . 45 
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2. Project Initiation 51 
2.1 Prepare for the Project . . . . . . . . . . . . . . . . . . . 57 
2.1.1 Identify Project Sponsor 57 
2.1.2 Identify Initial Project Team 57 
2.1.3 Review Historical Information 58 
2.1.4 Develop Project Charter 59 
2.1.5 Conduct Project Kick-off Meeting 64 
2.1.6 Establish Project Repository 67 


2.2 Define CSSQ . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 
2.2.1 Define Project Scope 70 
2.2.2 Develop High-Level Schedule 74 
2.2.3 Identify Quality Standards 79 
2.2.4 Establish Project Budget 85 


2.3 Perform Risk Identification . . . . . . . . . . . . . . . . 90 
2.3.1 Identify Risks 90 
2.3.2 Document Risks 91 


2.4 Develop Initial Project Plan . . . . . . . . . . . . . . . . 92 
2.4.1 Identify and Document Stakeholders' 
Involvement 92 
2.4.2 Develop a Communications Plan 93 
2.4.3 Compile All Information to Produce 
Initial Project Plan 102 


2.5 Confirm Approval to Proceed to Next Phase . . . 108 
2.5.1 Review/ Refine Business Case 108 
2.5.2 Prepare for Formal Acceptance 108 
2.5.3 Gain Approval Signature From Project Sponsor 109 


Project Initiation End-of-Phase Checklist . . . . . . . . 113 
Measurements of Success . . . . . . . . . . . . . . . . . . . 115 
Phase Risks/ Ways to Avoid Pitfalls . . . . . . . . . . . . . 117 


3. Project Planning 127 
3.1 Conduct Project Planning Kick-Off . . . . . . . . . . 132 
3.1.1 Orient New Project Team Members 132 
3.1.2 Review Outputs of Project Initiation and 
Current Project Status 133 
3.1.3 Kick-Off Project Planning 134 


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3.2 Refine CSSQ . . . . . . . . . . . . . . . . . . . . . . . . . 137 
3.2.1 Refine Project Scope 138 
3.2.2 Refine Project Schedule 140 
3.2.3 Refine/ Define Quality Standards and 
Quality Assurance Activities 143 
3.2.4 Refine Project Budget 144 


3.3 Perform Risk Assessment . . . . . . . . . . . . . . . . . 149 
3.3.1 Identify New Risks, Update Existing Risks 152 
3.3.2 Quantify Risks 153 
3.3.3 Develop Risk Management Plan 153 


3.4 Refine Project Plan . . . . . . . . . . . . . . . . . . . . . 156 
3.4.1 Define Change Control Process 156 
3.4.2 Define Acceptance Management Process 161 
3.4.3 Define Issue Management and 
Escalation Process 163 
3.4.4 Refine Communications Plan and Define 
Communications Management Process 164 
3.4.5 Define Organizational Change 
Management Plan 166 
3.4.6 Establish Time and Cost Baseline 172 
3.4.7 Develop Project Team 172 
3.4.8 Develop Project Implementation and 
Transition Plan 176 


3.5 Confirm Approval to Proceed to 
Next Phase . . . . . . . . . . . . . . . . . . . . . . . . . . 182 
3.5.1 Review/ Refine Business Case 182 
3.5.2 Prepare Formal Acceptance Package 183 
3.5.3 Gain Approval Signature from 
Project Sponsor 183 


Project Planning End-of-Phase Checklist . . . . . . . . . 185 
Measurements of Success . . . . . . . . . . . . . . . . . . . 188 
Phase Risks/ Ways to Avoid Pitfalls . . . . . . . . . . . . . 189 


4. Project Execution and Control 199 
4.1 Conduct Project Execution and 
Control Kick-Off . . . . . . . . . . . . . . . . . . . . . . . 204 
4.1.1 Orient New Project Team Members 204 
4.1.2 Review Outputs of Project Planning 
and Current Project Status 205 
4.1.3 Kick Off Project Execution and Control 206 
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4.2 Manage CSSQ . . . . . . . . . . . . . . . . . . . . . . . . 209 
4.2.1 Manage Project Scope 209 
4.2.2 Manage Project Schedule 211 
4.2.3 Implement Quality Control 215 
4.2.4 Manage Project Budget 222 


4.3 Monitor and Control Risks . . . . . . . . . . . . . . . . 225 
4.3.1 Monitor Risks 225 
4.3.2 Control Risks 226 
4.3.3 Monitor Impact on CSSQ 227 


4.4 Manage Project Execution . . . . . . . . . . . . . . . . 228 
4.4.1 Manage Change Control Process 228 
4.4.2 Manage Acceptance of Deliverables 231 
4.4.3 Manage Issues 234 
4.4.4 Execute Communications Plans 236 
4.4.5 Manage Organizational Change 241 
4.4.6 Manage the Project Team 243 
4.4.7 Manage Project Implementation and 
Transition 246 


4.5 Gain Project Acceptance . . . . . . . . . . . . . . . . 248 
4.5.1 Conduct Final Status Meeting 249 
4.5.2 Gain Acceptance Signature 
from Project Sponsor 249 


Project Execution and Control 
End-of-Phase Checklist . . . . . . . . . . . . . . . . . . . . 251 


Measurements of Success . . . . . . . . . . . . . . . . . . 254 
Phase Risks/ Ways to Avoid Pitfalls . . . . . . . . . . . . 256 


5. Project Closeout 265 
5.1 Conduct Post-Implementation Review . . . . . . . . 268 
5.1.1 Solicit Feedback 268 
5.1.2 Conduct Project Assessment 278 
5.1.3 Prepare Post-Implementation Report 279 


5.2 Perform Administrative Closeout . . . . . . . . . . . 285 
5.2.1 Update Skills Inventory and Provide 
Performance Feedback 285 
5.2.2 Archive Project Information 286 


Project Closeout End-of-Phase Checklist . . . . . . . . . 289 
Measurements of Success . . . . . . . . . . . . . . . . . . . 291 
Phase Risks/ Ways to Avoid Pitfalls . . . . . . . . . . . . . 292 


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SECTION II: PROJECT MANAGEMENT TOPICS 1 
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 


1. Project Triage 5 
1.1 Gather the Data . . . . . . . . . . . . . . . . . . . . . . . . 7 
1.2 Review and Analyze the Data . . . . . . . . . . . . . . . 10 
1.3 Prepare Findings and Develop 
Corrective Action Plan . . . . . . . . . . . . . . . . . . . 12 


1.4 Present Report . . . . . . . . . . . . . . . . . . . . . . . . 15 
1.5 Revise Project Plan . . . . . . . . . . . . . . . . . . . . . 16 
Measurements of Success . . . . . . . . . . . . . . . . . . . . 17 


2. Leadership 21 
2.1 Communication . . . . . . . . . . . . . . . . . . . . . . . . 23 
2.2 Leading the Change Management Effort . . . . . . . 25 
2.3 Managing Politics and Conflict . . . . . . . . . . . . . 28 
2.4 Leading the Project Team . . . . . . . . . . . . . . . . . 31 
2.5 Building Trust . . . . . . . . . . . . . . . . . . . . . . . . . 33 


3. Procurement and Contractor Management 35 
3.1 Procurement Strategies . . . . . . . . . . . . . . . . . . 36 
3.2 General Contractual Information . . . . . . . . . . . . 38 
3.3 Contract Terms . . . . . . . . . . . . . . . . . . . . . . . . 39 
3.3.1 Fixed Price 39 
3.3.2 Time and Materials 39 
3.3.3 Cost Reimbursement 40 
3.3.4 Indefinite Delivery Contracts 41 


3.4 Utilizing Existing Contracts . . . . . . . . . . . . . . . . 42 
3.5 Establishing New Contracts . . . . . . . . . . . . . . . . 44 
3.5.1 Preferred Source 44 
3.5.2 Sole Source/ Single Source Procurement 44 
3.5.3 Emergency Situations 45 
3.5.4 Competitive Procurements 46 


3.6 Contractor Management . . . . . . . . . . . . . . . . . . 49 
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4. Performance Measures 51 
4.1 The Balanced Scorecard . . . . . . . . . . . . . . . . . . 53 
4.2 Performance Measures in the Public SectorÑ 
A Success Story . . . . . . . . . . . . . . . . . . . . . . . . 54 


5. IT Project Capability ( CMM) 61 


6. IT Project Tools 65 
6.1 Tool Selection . . . . . . . . . . . . . . . . . . . . . . . . . 66 


SECTION III: SYSTEM DEVELOPMENT LIFECYCLE LINE OF BUSINESS 1 
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 


1. Sy tem Initiation 15 
1.1 Prepare for System Initiation . . . . . . . . . . . . . . 18 
1.2 Validate Proposed Solution . . . . . . . . . . . . . . . . 19 
1.3 Develop System Schedule . . . . . . . . . . . . . . . . . 23 
Measurements of Success . . . . . . . . . . . . . . . . . . . . 25 
Phase Risks/ Ways to Avoid Pitfalls . . . . . . . . . . . . . . 26 


2. Sy tem Requirements Analysis 31 
2.1 Prepare for System Requirements Analysis . . . . . 36 
2.2 Determine Business Requirements . . . . . . . . . . 38 
2.3 Define Process Model . . . . . . . . . . . . . . . . . . . . 49 
2.4 Define Logical Data Model . . . . . . . . . . . . . . . . 51 
2.5 Reconcile Business Requirements with Models . . 54 
2.6 Produce Functional Specification . . . . . . . . . . . . 56 
Measurements of Success . . . . . . . . . . . . . . . . . . . . 63 
Phase Risks/ Ways to Avoid Pitfalls . . . . . . . . . . . . . . 64 


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3. Sy tem Design 71 
3.1 Prepare for System Design . . . . . . . . . . . . . . . . 76 
3.2 Define Technical Architecture . . . . . . . . . . . . . . 78 
3.3 Define System Standards . . . . . . . . . . . . . . . . . 85 
3.4 Create Physical Database . . . . . . . . . . . . . . . . . 92 
3.5 Prototype System Components . . . . . . . . . . . . . . 94 
3.6 Produce Technical Specifications . . . . . . . . . . . . 97 
Measurements of Success . . . . . . . . . . . . . . . . . . . 120 
Phase Risks/ Ways to Avoid Pitfalls . . . . . . . . . . . . . 121 


4. Sy tem Construction 129 
4.1 Prepare for System Construction . . . . . . . . . . . 134 
4.2 Refine System Standards . . . . . . . . . . . . . . . . 136 
4.3 Build, Test and Validate (BTV) . . . . . . . . . . . . 137 
4.4 Conduct Integration and System Testing . . . . . . 142 
4.5 Produce User and Training Materials . . . . . . . . 147 
4.6 Produce Technical Documentation . . . . . . . . . . 148 
Measurements of Success . . . . . . . . . . . . . . . . . . . 149 
Phase Risks/ Ways to Avoid Pitfalls . . . . . . . . . . . . . 151 


5. Sy tem Acceptance 157 
5.1 Prepare for System Acceptance . . . . . . . . . . . . 162 
5.2 Validate Data Initialization and Conversion . . . . 163 
5.3 Test, Identify, Evaluate, React (TIER) . . . . . . . 165 
5.4 Refine Supporting Materials . . . . . . . . . . . . . . 170 
Measurements of Success . . . . . . . . . . . . . . . . . . . 171 
Phase Risks/ Ways to Avoid Pitfalls . . . . . . . . . . . . . 172 


6. Sy tem Implementation 177 
6.1 Prepare for System Implementation . . . . . . . . . 181 
6.2 Deploy System . . . . . . . . . . . . . . . . . . . . . . . . 183 
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6.3 Transition to Performing Organization . . . . . . . 187 
Measurements of Success . . . . . . . . . . . . . . . . . . . 188 
Phase Risks/ Ways to Avoid Pitfalls . . . . . . . . . . . . . 189 


APPENDICES 1 
Appendix 1: Glossary . . . . . . . . . . . . . . . . . . . . . . . . . 5 
Appendix 2: Templates . . . . . . . . . . . . . . . . . . . . . . 15 
Appendix 3: Suggested Reading . . . . . . . . . . . . . . . 135 


Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143 
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LIST OF FIGURES 
SECTION I: PROJECT MANAGEMENT LIFECYCLE 1 
Introduction 
0-1 Project Management Lifecycle Ð Overall Chart of All Phases 5 
0-2 Small Project Organizational Chart 10 
0-3 Medium Project Organizational Chart 12 
0-4 Large Project Organizational Chart 17 
0-5 NYS Project Management Guidebook Templates 18 


Project Origination 
1-1 Lifecycle Ð 1 Origination 22 
1-2 Table of Project Origination Tasks 23 
1-3 New York State Project Business Case 26 
1-4 New York State Proposed Solution 29 
1-5 Sample Project Rating Matrix 34 
1-6 Sample Pairwise Comparison 36 
1-7 New York State Proposal Decision Notice 40 
1-8 End-of-Phase Checklist (Origination) 42 
1-9 Measurements of Success Table (Origination) 44 
1-10 Phase Risks Table (Origination) 45 


Project Initiation 
2-1 Lifecycle Ð 2 Initiation 53 
2-2 Table of Project Initiation Tasks 55 
2-3 Evolution of Initiation Phase Deliverables 56 
2-4 New York State Project Charter 61 
2-5 Project Initiation Kick-off Meeting Agenda 65 
2-6 New York State Project Scope Statement 72 
2-6A Work Breakdown Structure for SDLC 75 
2-7 New York State Project Schedule Worksheet 77 
2-8 New York State Project Quality Management Plan 81 
2-9 New York State Preliminary Budget Estimate 87 
2-10 New York State Project Status Report 95 


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2-11 New York State Project Communications Plan 99 
2-12 New York State Project Plan 104 
2-13 New York State Project Deliverable Approval Form 110 
2-14 End-of-Phase Checklist (Initiation) 113 
2-15 Measurements of Success Table (Initiation) 116 
2-16 Phase Risks Table (Initiation) 117 


Project Planning 
3-1 Lifecycle Ð 3 Planning 129 
3-2 Table of Project Planning Tasks 131 
3-3 Project Planning Kick-off Meeting Agenda 135 
3-4 New York State Project Budget 146 
3-5 New York State Project Risk Management Worksheet 150 
3-6 New York State Project Change Request 158 
3-7 New York State Organizational Change Management Plan 168 
3-8 New York State Project Team Training Plan 174 
3-9 New York State Project Implementation and Transition Plan 179 
3-10 End-of-Phase Checklist (Planning) 185 
3-11 Measurements of Success Table (Planning) 188 
3-12 Phase Risks Table (Planning) 189 


Project Execution & Control 
4-1 Lifecycle Ð 4 Execution and Control 201 
4-2 Table of Project Execution and Control Tasks 203 
4-3 Project Execution and Control Kick-off Meeting Agenda 207 
4-4 New York State Progress Report 213 
4-5 Quality Table 215 
4-6 New York State Project Acceptance Form 250 
4-7 End-of-Phase Checklist (Execution and Control) 251 
4-8 Measurements of Success Table (Execution and Control) 255 
4-9 Phase Risks Table (Execution and Control) 256 


Project Closeout 
5-1 Lifecycle Ð 5 Project Closeout 266 
5-2 Table of Project Closeout Tasks 267 
5-3 New York State Project Post-Implementation Survey 270 


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5-4 New York State Project Post-Implementation Report 280 
5-5 New York State Project Repository Table of Contents 288 
5-6 End-of-Phase Checklist (Project Closeout) 289 
5-7 Measurements of Success Table (Project Closeout) 291 
5-8 Phase Risks Table (Project Closeout) 292 


SECTION II: PROJECT MANAGEMENT TOPICS 1 
Project Triage 
1-1 Table of Project Triage Processes and Deliverables 6 
1-2 Sample Triage Interview Agenda 9 
1-3 Project Triage Action Plan Table 12 
1-4 Table of Prioritized Recommendations 14 
1-5 Measurements of Success (Project Triage) 17 
1-5 Triage Questionnaire 18 


IT Project Capability (CMM) 
5-1 Capability Maturity Model 62 


SECTION III: SYSTEM DEVELOPMENT LIFE CYCLE LINE OF BUSINESS 1 
Introduction 
0-1 System Development Life Cycle 5 
0-2 Mapping Project Management and System 
Development Lifecycles 6 


0-3 Representative SDLC Considerations 10 
0-4 System Development Life Cycle Templates 14 


System Initiation 
1-1 System Initiation Overview 16 
1-2 System Initiation List of Deliverables and Outcomes 17 
1-3 System Initiation Considerations 21 
1-4 Measurements of Success (System Initiation) 25 


System Requirements Analysis 
2-1 System Requirements Overview 33 
2-2 System Requirements Analysis List of 
Deliverables and Outcomes 35 
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2-3 SDLC Requirements Descriptions 40 
2-4 System Requirements Analysis Considerations 41 
2-5 Business Requirements Document 45 
2-6 Impact of Change on Project Costs 54 
2-7 Functional Specification Template 59 
2-8 Measurements of Success (System Requirements Analysis) 63 


System Design 
3-1 System Design Overview 73 
3-2 System Design List of Deliverables and Outcomes 75 
3-3 Technical Architecture Template 81 
3-4 System Standards Template 87 
3-5 System Design Considerations 99 
3-6 Typical Testing Patterns 106 
3-7 Technical Specifications Template 109 
3-8 Measurements of Success (System Design) 120 


System Construction 
4-1 System Construction Overview 131 
4-2 System Construction List of Deliverables and Outcomes 133 
4-3 System Construction Considerations 140 
4-4 Defect Log Template 145 
4-5 Measurements of Success (System Construction) 150 


System Acceptance 
5-1 System Acceptance Overview 159 
5-2 System Acceptance List of Deliverables and Outcomes 161 
5-3 System Acceptance Considerations 169 
5-4 Measurements of Success (System Acceptance) 171 


System Implementation 
6-1 System Implementation Overview 179 
6-2 System Implementation List of Deliverbles and Outcomes 180 
6-3 System Implementation Considerations 186 
6-4 Measurements of Success (System Implementation) 188 


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PREFACE 
The New York State Project Management Guidebook was 
developed to document a common methodology for managing 
projects in New York State government organizations and to 
provide guidance and advice to Project Managers throughout 
the life of a project. 


In January of 2001, James Natoli, Director of State Operations, 
announced the creation of a statewide Project Management 
Office (PMO) within the Office for Technology. The PMO mis-sion: 
to increase project management competence and foster 
sustained success for projects carried out by New York State. 
The top priority of the newly created PMO was, and is, the 
development of a common project management methodology 
for use by Project Managers across the state. 


A common methodology encourages individual Project Mana-gers 
across the state to approach each project endeavor with 
the same discipline and tools. Since the methodology is com-mon 
to all business areas and across all agencies, state Project 
Managers moving to new opportunities within and among state 
agencies will have virtually no learning curve for project man-agement. 
Roles and expectations are clearly defined for Project 
Team members, Project Sponsors, and Customers, regardless 
of the type of project (IT projects, software development proj-ects, 
engineering projects, business process improvement proj-ects, 
etc.). All project participants receive the same informa-tion 
regarding deliverables and activities throughout the proj-ect. 
This streamlines project execution, since participants will 
not need continual direction and education regarding the proj-ect 
process. 


The New York State Project Management Methodology also pro-vides 
a standard for agency staff to use when contracting with 
private vendors. The state can now provide the methodology for 
its contractors, rather than requiring New York State staff to 
adjust to the different performance standards of each firm with 
whom they contract. Again, utilizing one common framework 
within which all New York State projects can be carried out 
improves the state's ability to complete the projects successfully. 


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Acknowledgement 
Under the direction of the New York State PMO, a team of expe-rienced 
Project Managers developed the New York State 
Project Management Guidebook collaboratively. The team, 
made up of state Project Managers and Project Managers from 
Keane, Inc., collected and analyzed best practices from New 
York State agencies as well as practices from the Keane Guide 
to Project Management ® . Generally accepted principles of proj-ect 
management were refined and incorporated into a project 
lifecycle consistent with New York State policies and practices. 
At all times, the team worked to align the methodology devel-oped 
for New York State with the Project Management 
Institute's (PMI ® ) Guide to the Project Management Body of 
Knowledge (PMBOK ® ), the recognized ANSI standard. 


A committee of eighteen agencies, consisting of IT Directors, 
Project Officers, and Project Managers, participated in the 
guidance, review, and critique of the methodology over a nine-month 
development period, resolving issues ranging from the 
processes to include in the methodology to the selection of 
appropriate templates and report formats. They provided 
insight and guidance on the methodology development and its 
presentation within this Guidebook. 


Since its initial publication in September of 2001, the 
Guidebook content and direction have been guided by a 
Guidebook Guidance Committee. This committee is a volunteer 
effort, with members from New York State agencies, boards, 
and commissions who meet at least twice yearly to review sug-gestions 
and plans for changes to the Guidebook. 


The New York State Office for Technology acknowledges the 
contributions, time commitments, and ongoing support of the 
following individuals, and their agencies, to the development 
and ongoing support of the New York State Project Manage-ment 
Guidebook. 


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Preface xvii 
NYS Project Management Guidebook 


Project Director and Editor 
Nancy Mulholland 
Director, New York State Project Management Office 


Contributing Project Managers 
Keane, Inc. New York State PMO New Y rk State OFT 


Jonathan Blake Brenda Breslin, PMP Steve Baum 
Jack Brady Vivian Brunner 
Joann Dunham Ron Piracci 
Teresa Gillooley Terry Remillard 
Steve Lawlor 
Lori Snow Worker's Compensation Board 
Tom Schofield 
Tom Wegener 


Technical Writer 
Janet Lindner, Keane, Inc. 


Document Designer 
Judi Orozco, TDB Publishing Services 


Guidebook Guidance Committee 
Name Organization 
Dennis Gaige Department of State Police 
Nancy Gutterman Office of Mental Health 
Celia Hamblin Department of Transportation 
Kirk Schanzenbach Office of the State Comptroller 
Gary Spielmann Office of Mental Health 


Best Practices Contributors and Guidebook Review Committee 
Name Organization 
Linnea Andersson-Wintle Department of Civil Service 
Bill Bailey Higher Education Services Corp 
Lynn Bacon Division of State Police 
Dennis Blackman Dormitory Authority 
Michael Bloss Department of Labor 
Michael Buttino Higher Education Services Corp. 
Linda Cardona Department of Transportation 
Frank DeSante State Education Department 
Michael Donovan Department of State Police 
Barbara Draiss Office of General Services 
Diane Dunleavy Office of Mental Health 
Paula Dwyer Department of Motor Vehicles 
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Name Organization 
Francis Fabian State Education Department 
Joseph Fitzgerald, PMP State Education Department, LRIC 
Tracy Floods Office of Mental Health 
Dan Foro Division of Criminal Justice Services 
Terry Friello Dormitory Authority 
Roger Herzhauser Office of the State Comptroller 
Lynn Humiston State Education Department 
Tim Jaques Canal Bridge Consulting, Inc. 
Richard E. Kelly Division of Housing & Community Renewal 
Bob Lemmerman Department of Motor Vehicles 
Peter Levy Department of Motor Vehicles 
Wendy Marino Department of Tax and Finance 
Robert Mastro Office of Temporary Disability Assistance 
John Meyerhoffer State Education Department 
Andy Nazzaro Department of Transportation 
Robert Pennacchia Department of Health 
Gene Pezdek Department of Environmental Conservation 
Pam Pryzblo Department of Transportation 
Diane Reiner Department of Environmental Conservation 
Joanne Riddett Thruway Authority 
Thea Rosenberg Department of Motor Vehicles 
Joel Schensul Department of Tax and Finance 
Ginny Scholz Department of Motor Vehicles 
Lori Schulz Dormitory Authority 
Robert Semp Keane, Inc. 
James Shavers Department of Transportation 
Linda Smith Department of Motor Vehicles 
Barry Solomon Thruway Authority 
Tracy Stock Division of Housing & Community Renewal 
Marianna Stout, PMP Higher Educational Services Corporation 
Janey Trowbridge Canal Bridge Consulting, Inc. 
Nancy Van Winkle Keane, Inc. 
Richard Veldman Office of General Services 
Karen Vergoni Office of Children and Family Services 
Steve Watson Canal Bridge Consulting, Inc. 
Jonathan Weinstein Canal Bridge Consulting, Inc. 
Eileen Wierbowski State Education Department 
Mark White Division of Housing & Community Renewal 


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Structure of the Guidebook 
Section I, Project Lifecycle, provides a description of the 
project lifecycle. It is intended to guide a Project Manager 
through the complete life of a project, from the first formal doc-umentation 
of the project's concept to its formal termination, 
detailing the phases of the project lifecycle, the specific 
processes to be performed within each phase, and defining the 
tasks that comprise each process. Specific templates are pro-vided 
to supplement the tasks and processes, including meet-ing 
agendas, deliverable templates, checklists, and forms. Tips 
and techniques for successfully performing the tasks/ processes 
are offered, as are answers to "frequently asked questions". At 
the end of each phase, common pitfalls faced by Project 
Managers are described, along with solutions that could be 
used to successfully deal with those challenges. The hope is 
that a Project Manager will find useful direction for what to do, 
when to do it, and how to do it, no matter what stage of the life-cycle 
his/ her project may be in. 


Section II, Project Management Topics, provides in-depth 
advice and direction on selected topics of importance to New 
York State Project Managers. It is anticipated that this section 
of the Guidebook will grow as the state's Project Managers 
contribute advice on additional topics of common interest. This 
section is a repository for shared lessons learned from the 
experience and expertise of the state's Project Managers. 


Section III, System Development Lifecycle (SDLC), provides 
a description of the standard phases and major processes of a 
generic system development lifecycle. It is intended to guide a 
Project Manager through the effort of developing a computer 
system, describing specific system development processes and 
aligning them with the project management lifecycle. Structured 
similarly to Secion I, this section also provides specific tem-plates 
to illustrate format of deliverables and supplement the 
processes described, including meeting agendas, checklists, and 
forms. Tips and techniques for successfully performing the SDLC 
processes are offered throughout the text, supplemented by com-mon 
pitfalls and answers to "frequently asked questions". While 
not trying to anticipate every task that may be required by vari-ous 
technology platforms and development techniques, the hope 
is that a Project Manager will find useful information for how to 
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direct the project team, what to expect from them at every devel-opment 
checkpoint, and how to interact with other parties inter-ested 
in the system being developed. 


It is expected that other Line of Business Lifecycles will be 
added to future editions of the Guidebook. 


Appendices provides a glossary of the project management 
and system development terms used throughout the text, a 
repository of all templates used throughout the Guidebook 
(without the annotations, instructions, and field descriptions), 
and a list of resources used in the compilation of this docu-ment, 
which may be of use to Project Managers as they seek to 
further their education and skills in project management. 


How to Use this Guidebook 
The New York State Project Management Guidebook is 
intended to be both a "what to do" and a "how to do it" guide 
for New York State Project Managers. While at first it may 
appear intimidating, remember that in many cases the 
Guidebook is merely formalizing, in process documentation, 
what is already a fairly standard and generally accepted tech-nique. 
The value of documenting and standardizing these 
processes is that it frees the Project Manager from having to 
define a process to fit a particular situation and/ or event occur-ring 
during his/ her particular project. Instead, standards are 
already there for the Project Manager to use to manage each 
process while continuing to focus on key project activities. 


Most processes and deliverables are required for all projects, 
although in smaller projects they may require less formality and 
a lower level of effort. The End-of-Phase Checklists can be used 
to ensure that every process defined has been considered, nec-essary 
tasks addressed, and required deliverables produced. If 
recommended tasks or deliverables are skipped, make sure to 
identify and record why the particular task/ deliverable has not 
been completed and how the objectives of that task/ deliverable 
will otherwise be met. 
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The compass icon indicates a tip from an experienced 
Project Manager, while the life preserver icon marks 
advice intended to save the project from pitfalls. 


The templates included in the text contain instructions and 
comments facilitating their use. The same templates can be 
found in the Appendices, without annotation. These can be pho-tocopied 
or downloaded from the OFT website http:// www. 
oft. state. ny. us/ for use and customization for your project. For 
quick reference, a Table of Templates has been provided in the 
Introductions to both Section I and in Section III that lists each 
template, its purpose, and page number references to quickly 
locate the template either within the text of the Guidebook or 
in the Appendices. 


Finally, use this Guidebook as a tool to help you manage the 
project. Don't let the process or the project manage you! 
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New York State Project Management Guidebook 
Release 2. 0 


REGISTRATION FORM 
(Use this form to register your Guidebook with the NYS Office for Technology and receive updates) 


Name: 
Agency: 
Address: 
E-mail Address: 
Daytime Phone: 
Fax: 


Please complete this form and return it to: 
(United States Postal Service Regular Mail Address) 
NYS Office for Technology 
Project Management Office 
State Capitol ESP, PO Box 2062 
Albany, NY 12220-0062 


(Parcel Post/ Overnight and Interagency Mail Address) 
NYS Office for Technology 
Project Management Office 
Empire State Plaza 
Swan St., Core 4, 1st Floor 
Albany, NY 12223 


Fax: (518)-486-1122 
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NYS Project Management Guidebook 


New York State Project Management Guidebook 
Release 2. 0 


CHANGE REQUEST FORM 
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Please complete this form and return it to: 
(United States Postal Service Regular Mail Address) 
NYS Office for Technology 


Project Management Office State Capitol ESP, PO Box 2062 


Albany, NY 12220-0062 
(Parcel Post/ Overnight and Interagency Mail Address) 
NYS Office for Technology 


Project Management Office Empire State Plaza 


Swan St., Core 4, 1st Floor 
Albany, NY 12223 


Fax: (518)-486-1122 


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