DAOD 6002-10, Management of Information Technology Projects

Introduction
Definitions
Overview
Project Gating
Requirements
Consequences
Responsibilities
References

1. Introduction

Date of Issue: 2013-11-28

Application: This DAOD is a directive that applies to employees of the Department of National Defence (DND employees) and an order that applies to officers and non-commissioned members of the Canadian Armed Forces (CAF members).

Approval Authority: Assistant Deputy Minister (Information Management) (ADM(IM)) / Chief Information Officer (CIO)

Enquiries: Director Defence Information Management Planning (DDIMP)

2. Definitions

management of projects (gestion des projets)

Encompasses the structure (framework) within which projects are initiated, planned, executed, controlled and closed. (Policy on the Management of Projects, Treasury Board)

project gate (points de contrôle des projets)

Is a key decision and control point that occurs before the next major milestone or deliverable (e.g. business case) or a new project phase (e.g. implementation) begins. (A Guide to Project Gating for IT-Enabled Projects, Treasury Board)

project management (gestion de projet)

Is the systematic planning, organizing and control of allocated resources to accomplish identified project objectives and outcomes. Project management is normally reserved for focused, non-repetitive, time-limited activities with some degree of risk, and for activities beyond the usual scope of program (operational) activities. (Policy on the Management of Projects, Treasury Board)

3. Overview

3.1 Under the Treasury Board Policy on the Management of Projects, a project is any activity or series of activities that:

has a beginning and an end;
is required to produce defined outputs and realize specific outcomes in support of a public policy objective, within a clear schedule and resource plan; and
is undertaken within specific time, cost and performance parameters.

3.2 The Policy on the Management of Projects also provides that governance and oversight mechanisms must be in place for all projects, ensuring proper management throughout the project life cycle and that opportunities for project integration are considered by a deputy head both across their department and the Government of Canada (GC).

3.3 In alignment with the Policy on the Management of Projects, and in support of the Vice Chief of the Defence Staff (VCDS) Project Approval Directive, the ADM(IM) issues direction to ensure that governance and oversight mechanisms are in place for all information technology (IT) and IT-enabled projects undertaken by the DND and the CAF.

3.4 This DAOD is part of the DND and CF IM and IT Policy Framework and should be read in conjunction with other relevant ADM(IM) policies, instructions, directives, standards and guidance.

Note – For the purposes of this DAOD, the term "IT project" includes both IT and IT-enabled projects, other than projects related to weaponry and vehicles with integrated IT functionality.

Objectives

3.5 The objectives of this DAOD are to:

establish the gating process for all IT projects; and
identify responsibilities for:
1. defining IT project oversight processes and procedures;
2. developing IT project gate requirements; and
3. providing IT project management advice to the DND and the CAF.

Expected Results

3.6 The expected results of this DAOD are:

increased visibility of IT projects and their allocated resources;
improved consistency in the management of IT projects, regardless of funding source; and
consistent monitoring of IT projects throughout their life cycle, ensuring sound stewardship of project funds and providing assurance that project outcomes will be achieved within time and cost constraints.

4. Project Gating

Introduction

4.1 As directed in Annex B of the Project Approval Directive, IT project gating within the DND and the CAF must align with the gating framework found in the Treasury Board A Guide to Project Gating for IT-Enabled Projects.

Project Gating Framework

4.2 A project gate represents a logical point at which executive decision-makers can determine whether and how to proceed. Project gates effectively open or close the path leading to a subsequent project phase. Gates also provide an opportunity to assess the quality of work to date, and to alter the course of the project and take remedial actions as necessary.

4.3 The full gating framework defines the following seven gates that might logically be present in every project:

Gate	Title	Purpose
1	Strategic assessment and concept	To confirm the project's objectives, both what is to be done and why; and to identify key stakeholders.
2	Project approach	To confirm that the approach selected to address the business problem or opportunity is both feasible and appropriate.
3	Business case and general readiness	To confirm that the business case is sufficiently compelling to justify, sustain and guide the project; to identify any shortcomings in readiness for action before approval; and to confirm that key identified risks can be managed.
4	Project charter and project management plan	To ensure that the resources, support and governance necessary for successful execution are in place prior to construction and implementation.
5	Detailed project plan and functional specifications	To confirm the completeness and feasibility of the detailed project plan; and to confirm the definition of requirements.
6	Construction complete and deployment readiness	To confirm the project is fully prepared for successful deployment.
7	Post-implementation review	To confirm completion, assess the extent to which the project has achieved its goals, and provide an assessment of value for money.

Project Gating Models

4.4 While all projects must provide a business case and complete a post-implementation review, not all projects require the implementation of the full gating framework. The following gating models are available, depending on the size, complexity and risk of each project:

Gate Model	Type	Gates
1	Full gating for very large and highly complex projects	Concept Approach Business Case Project Charter Detailed Plan Construction and Deployment Post-Implementation
2	Streamlined gating for projects of medium size, complexity and risk	Approach Business Case Pre-Construction Pre-Deployment Post-Implementation
3	Light gating for small, low-risk projects with little complexity	Business Case Pre-Construction Post-Implementation

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5. Requirements

IT Projects and the IT Service Delivery Life Cycle

5.1 Project delivery is the initial phase of how a capability is incorporated into IT service delivery. Once the capability is in service, the operation and support of the individual components and the system as a whole are governed by IT service support and IT asset management.

Project Approval Directive

5.2 DND employees and CAF members must ensure that any IT project is managed in accordance with the Project Approval Directive.

6. Consequences

Consequences of Non-Compliance

6.1 Non-compliance with this DAOD may have consequences for both the DND and the CAF as institutions, and for DND employees and CAF members as individuals. Suspected non-compliance will be investigated. The nature and severity of the consequences resulting from actual non-compliance will be commensurate with the circumstances of the non-compliance.

Note – In respect of the compliance of DND employees, see the Treasury Board Framework for the Management of Compliance for additional information.

6.2 Failure by a DND or CAF organization to comply with this DAOD may result in limitations or removal of the organization's authorization to manage IT projects.

7. Responsibilities

Responsibility Table

7.1 The following table identifies the responsibilities associated with this DAOD:

The ...	is or are responsible for ...
level one (L1) advisors	ensuring IT projects within their organizations are managed in alignment with ADM(IM) functional direction.
Director General Information Management Technology and Strategic Planning	developing processes and procedures for the oversight of IT projects; developing standards for: the assessment of IT project size, complexity and risk; and IT project gate deliverables; assessing the capacity of L1 advisor organizations for managing IT projects; reviewing the assessment of the complexity and risk for all IT projects; ensuring that expected IT project outcomes are documented, and verifying that these outcomes were realized; monitoring that: IT projects are managed in a manner that is consistent with the assessed level of complexity and risk; and approval is sought for IT projects when the assessed complexity and risk of the project exceeds approved capacity for management; and notifying the ADM(IM) of any non-compliance with this DAOD.
Director General Information Management Project Delivery	providing advice and guidance, and functioning as a centre of excellence for IT project management practices within the DND and the CAF; and developing IT project management standards and guidelines.
project sponsors (operational authorities)	identifying expected IT project outcomes that align with programme objectives.
project leaders	ensuring the overall management of IT projects.
project directors	monitoring that IT project objectives established early in a project are maintained through to project completion; obtaining specialist input from other organizations if necessary to advance the project; managing IT project development activities, including the preparation and staffing of documents required for approvals and resource allocations; and obtaining approval for changes in project scope.
project managers	managing an IT project, while working with the project director to ensure approved business outcomes are achieved; and ensuring that information management, enterprise architecture and IT security requirements are incorporated within their projects.
DND employees and CAF members	complying with all GC, DND and CAF policies, instructions, directives and standards in respect of IT project management.