USPTO Systems Development Life Cycle SDLC 3.

0 Frequently Asked Questions APPROVAL AND RECORD OF CHANGES SDLC 3.0 Frequency Asked Questions

/s/Chris Niedermayer__________________ Chris Niedermayer Director, PMG Office of the Chief nformation Officer

02/27/2009__________________________ Date Signed

REVISION NU !ER

REVISION DA"E

#A$ES AFFEC"ED

DESCRI#"ION $dded a ne% &$' (20" )he origina* &$'s (20 and (2! are no% &$'s (2! and (22, res+ecti,e*y" $ *in- to the SD.C /"0 Memo has 0een added to &$' (!" $dded &$' (2/ and (2#" $*so made formatting changes thro1gho1t the doc1ment" $dded &$' (223(/# 5eorgani6ed the &$'s 0ased on the 71estions8 genera* to+ics"

C%AN$E I #LE EN"OR

!"!

0!/09/2009

Page #

!"2

0!//0/2009

$** Pages

!"/ !"#

02/2#/2009 02/24/2009

Pages 237 $** Pages

02/24/2009

!"#

Office of the Chief Information Officer USPTO Systems Development Life Cycle

SDLC 3.0 Freq ently !s"e# $ estions

Fe&ru'ry (00)

USPTO Systems Development Life Cycle SDLC 3.0 Frequently Asked Questions TABLE OF CONTENTS
A**ro+', 'nd Record o- C.'n/es .................................................................................i "'&,e o- Contents...........................................................................................................ii 0 $ener', Questions........................................................................................................0 ( $o1No $o Decision Questions....................................................................................3 3 #rocedur', Questions..................................................................................................2 2 Ro,es 'nd Res*onsi&i,ities Questions.......................................................................3 4 Arti-'ct5Re,'ted Questions..........................................................................................6

02/24/2009

!"#

ii

USPTO Systems Development Life Cycle SDLC 3.0 Frequently Asked Questions 1 GENERAL QUESTIONS
1.1 Who is the authority behind the SDLC 3.0? )he C O and other mem0ers of the Management Co1nci* ha,e endorsed the im+*ementation of the refined SD.C thro1gh their a++ro,a* of the OC O )ransformation 5oad Ma+" 1.2 How are we enforcing the SDLC 3.0 and ensuring that individua s are actua y fo owing the ru es set forth in SDLC 3.0 instead of si!" y trying to get around the! or doing things #their way?$ $ consistent im+*ementation of the methodo*ogy is critica* to achie,ing the desired 0enefits" )here are t%o items that %i** reinforce ado+tion o,er time" &irst, the SD.C creates an en,ironment %here Pro9ect )eams are em+o%ered to ma-e +ro9ect *e,e* decisions :+ro9ect sco+e, %hat artifacts are needed, +ro9ect tas- definition, %ho is going to do the %or-, artifact com+*eteness/acce+ta0i*ity, Go/No Go decisions, etc";" )his em+o%erment %i** not %or- as +*anned if the right +ersons are not inc*1ded on the team $ND if the team mem0ers do not ho*d themse*,es indi,id1a**y and co**ecti,e*y acco1nta0*e to ma-ing the right choices" Many of o1r fo*-s are on this +ath< others need some more enco1ragement" Second, %e are refining the inde+endent re,ie% +rocess that the '$ )eam %i** 0e +erforming of the =Pro9ect )eam8s> de*i,era0*es and decisions" Once f1**y im+*emented, this ?@? %i** 0ring ne% trans+arency to +ro9ect 71a*ity :artifacts and +rocess; so that additiona* g1idance may 0e +ro,ided to teams %here it is needed" m+*ementing this *e,e* of str1ct1re %here it %as not the common +ractice is not easy 01t it is a %orth%hi*e and achie,a0*e effort that has +ro,en 0enefits in many +10*ic and +ri,ate enter+rises" t %i** ta-e some time for a** +arts of the agency to %ea,e it into their standard ro1tines" 1.3 How is this "rocess better than SDLC 2.0? SD.C /"0 im+ro,es the de,e*o+ment *ife cyc*e frame%or- in se,era* %ays" )he -ey 0enefits are as fo**o%sA 5e71ires 1se of a standard +rocess for initiating ne% ,ent1res that %i** minimi6e conf1sion a0o1t %hat +ro9ects are 0eing s1++orted" Permits tai*oring of SD.C ste+s on a +ro9ect30y3+ro9ect 0asis, e*iminating the =one si6e fits a**> a++roach Defines detai*ed ro*es for ma9or s1++ort SD.C f1nctions and res+onsi0i*ities for each ro*e and each SD.C acti,ity" nc*1sion of Go/No Go decision +oints at the end of each +hase g1ide +ro9ect team decisions on the readiness to ad,ance to the neBt +hase of the *ife cyc*e" !"# !

02/24/2009

USPTO Systems Development Life Cycle SDLC 3.0 Frequently Asked Questions
$** CSP)O em+*oyees are re71ired to fo**o% SD.C /"0 to ens1re that a** of the +ro9ect s1ccess factors 1+on %hich SD.C /"0 is 0ased are addressed"

1.%

When did the SDLC 3.0 go ive? SD.C /"0 %ent into effect Octo0er !, 200D"

1.&

Who has to use SDLC 3.0? $** CSP)O +ro9ects m1st fo**o% the g1idance and +o*icies *aid o1t in SD.C /"0 %ith the eBce+tion of emergency maintenance +ro9ects"

1.'

Who owns the SDLC 3.0? Eo1 doF )here is no sing*e gro1+ that =o%ns> SD.C /"0" )he Program Management Gro1+ is res+onsi0*e for organi6ing and 1+dating SD.C /"0 doc1mentation, 01t %itho1t the s1++ort of yo1, the CSP)O em+*oyees and contractors, SD.C /"0 %i** not 0e a s1ccess"

1.(

)he SDLC and artifacts are geared to software deve o"!ent "ro*ects+ how can they be used for non,deve o"!ent "ro*ects? )he SD.C is a frame%or- for identifying the critica* ana*yses, doc1ments, and a++ro,a*s associated %ith the s1ccessf1* com+*etion of a +ro9ect" )he frame%or- is a g1ide that is 1sef1* for a** +ro9ects, not on*y soft%are de,e*o+ment +ro9ects" Simi*ar*y, the artifact chec-*ist is hea,i*y +o+1*ated %ith artifacts that are norma**y associated %ith soft%are de,e*o+ment +ro9ects" Go%e,er, it a*so contains generic artifacts that %arrant consideration for a** +ro9ect ty+es" &or eBam+*e, team se*ection, +ro9ect si6ing, +ro9ect charter, +ro9ect +*ans, cost estimates, etc" Pro9ect )eams are res+onsi0*e for se*ecting the a++ro+riate acti,ities in the SD.C frame%or- and artifacts from the chec-*ist that are needed for each s+ecific +ro9ect" )eams are eB+ected to re,ie% the acti,ities and the artifact chec-*ist and se*ect those items that are necessary to ena0*e a s1ccessf1* +ro9ect" $*so, Pro9ect )eams may add acti,ities and artifacts to their s+ecific +ro9ect %here %arranted"

02/24/2009

!"#

USPTO Systems Development Life Cycle SDLC 3.0 Frequently Asked Questions 2 GO/NO GO DECISION QUESTIONS
2.1 How does a "ro*ect "ass fro! "hase to "hase? n order to +roceed from one +hase to the neBt, the +ro9ect m1st +ass thro1gh a Go/No Go Decision +oint" )his decision +oint co1*d 0e in the form of a face3to3face meeting or as the res1*t of agreement from a** mem0ers of the Pro9ect )eam that a** re71irements for ad,ancing ha,e 0een met" $greements of the team mem0ers m1st 0e doc1mented" )he ,ario1s +hases8 Go/No Go Decision Meeting a++ro,a* forms are a,ai*a0*e on the SD.C He0 site" 2.2 Who do - need to s"ea. to in order to schedu e a /ic.,0ff 1eeting? Pro9ect )eams assem0*ed 0y the +erson in the ro*e of Pro9ect Manager are em+o%ered 1nder SD.C /"0 to sched1*e and cond1ct the Definition Phase Go/No Go Decision Meeting" )hese meetings re+*ace the former =-ic- off> meeting" )he Pro9ect )eam m1st com+*ete a** of the artifacts re71ired for eBisting the Definition Phase 0efore ma-ing the go/no go decision" n addition, the team mem0ers are a** re71ired to signify their a++ro,a* of the artifacts and readiness to mo,e to the Design Phase as +art of the Go/No Go Decision +rocess" 2.3 - a! ready to "roceed to a 2o34o 2o 1eeting+ who do - need to a""rove3sign off on the docu!entation so that !y "ro*ect can !ove onto the ne5t "hase? Eo1 need the a++ro,a* of the Pro9ect )eam mem0ers" &or eBam+*e, the team mem0ers assem0*ed at the 0eginning of the Definition Phase sho1*d 0e +resent at the Definition Phase Go/No Go Decision Meeting and +ro,ide their consent for the +ro9ect in order for it to +roceed to the Design Phase" 2.% What docu!ents are needed before - can ta.e a "ro*ect to its /ic.,0ff 1eeting? )he Iic-3Off Meetings ha,e 0een reframed as the Definition Phase Go/No Go Decision" )he *ist of doc1ments re71ired de+ends on the si6e of the +ro9ect and are determined d1ring the Conce+t and Definition Phases" 2.& How does the SDLC 3.0 "rocess ensure that a re6uire!ents for each "hase are co!" eted3addressed before the "ro*ect is a owed to !ove onto the ne5t "hase? Jach SD.C +hase has its o%n Go/No Go decision chec- +oint %here the Pro9ect )eam 9oint*y a++ro,es the artifacts for acc1racy and acce+ta0i*ity" )here is a*so an inde+endent re,ie% cond1cted 0y the '$ )eam is to determine if a** the re71irements of the +hase ha,e 0een com+*eted and the team is ready to safe*y mo,e on to the neBt +hase" 02/24/2009 !"# /

USPTO Systems Development Life Cycle SDLC 3.0 Frequently Asked Questions 3 PROCEDURAL QUESTIONS
3.1 )here are a ot of ste"s isted in the 7hase and 8ctivity Descri"tions. Do have to fo ow a of the!? Not necessari*y" Once the +ro9ect has 0een si6ed :see 71estion (/;, the Pro9ect )eam %i** 0e a0*e to determine %hat acti,ities and artifacts are needed for the +ro9ect to 0e a s1ccess" 3.2 How is the si9e of the "ro*ect esti!ated? )he si6e of a +ro9ect is estimated 1sing the information +ro,ided 0y the c1stomer and assessed 0y the Pro9ect )eam d1ring the Conce+t Phase" 3.3 1y 7ro*ect )ea! wants to deve o" a "rototy"e to he " us understand o"tions for !eeting business re6uire!ents. -n what SDLC "hase shou d that occur? De,e*o+ment of +rototy+es is done in the Definition Phase of the SD.C" Prototy+es are common*y 1sed as an ad,anced form of defining re71irements thro1gh +roof3of3conce+t mode*ing" Prototy+es can often +ro,ide insight into the design and de,e*o+ment tas-s as %e**" Go%e,er, %or-ing +rototy+es cannot s-i+ the remaining +hases of the SD.C and 0e +*aced direct*y into +rod1ction as that %o1*d introd1ce ris-s that the SD.C +hases are designed to mitigate" 3.% How do - docu!ent the tas.s associated with "rototy"ing in the definition "hase "ro*ect " an? )he +ro9ect +*anning tem+*ates incor+orate the common SD.C tas-s to he*+ +ro9ect managers define tas-s in a consistent manner and sim+*ify the tas- definition effort" Prototy+ing tas-s are not +art of the c1rrent +ro9ect +*anning tem+*ate for the Definition Phase" )herefore, +ro9ect managers m1st %or- %ith the Pro9ect )eam to define the s+ecific tas-s associated %ith any +rototy+ing effort and add them to the +ro9ect +*an at the a++ro+riate *e,e* of detai*" 3.& Does SDLC 3.0 have s"ecific ste"s or "rocesses for 8 ternatives and :enefit3Cost 8na yses? SD.C /"0 does not define a s+ecific +rocesses or artifacts for $*ternati,es and Kenefit/Cost $na*yses" Go%e,er, that does not mean that the +rocess eBc*1des s1ch acti,ities" )he ana*yses of a*ternati,es and the re*ated costs and 0enefits are enco1raged %here,er feasi0*e" )hese acti,ities %o1*d *ogica**y fa** into the Definition Phase %here re71irements and a s+ecific architect1ra*/technica* a++roach are defined" Cond1cting these ana*yses as +art of re71irements definition is not inconsistent %ith other 02/24/2009 !"# #

USPTO Systems Development Life Cycle SDLC 3.0 Frequently Asked Questions
methodo*ogies s1ch as +rototy+ing, 5$D, etc", %hich are +art of the acti,ities in the Definition Phase" P*ease see &$'s /"/ and /"# to for more information on +rototy+ing" 3.' 8re the 7ro*ect )ea!s e5"ected to deve o" an accurate cost esti!ate for an entire "ro*ect in the Conce"t 7hase? No" )he cost estimate that is de,e*o+ed in the Conce+t Phase is for the costs thro1gh the Definition Phase on*y" f the team +*anned to cond1ct a*ternati,es ana*yses as a com+onent of fina*i6ing re71irements and the architect1ra* a++roach, they %o1*d de,e*o+ a +ro9ect +*an that defined the tas-s needed to com+*ete the n1m0er of a*ternati,es they intended to re,ie% and any costs associated %ith im+*ementing that +*an" )hat information %o1*d 0e the cost estimate thro1gh the Definition Phase" Cost estimates for the remaining +hases of the +ro9ect :design thro1gh de+*oyment and ann1a* o+erations; are +re+ared at the end of the Definition Phase and a++ro,ed as +art of the Go/No Go and +ro9ect -ic- off decision"

02/24/2009

!"#

USPTO Systems Development Life Cycle SDLC 3.0 Frequently Asked Questions 4 ROLES AND RESPONSIBILITIES QUESTIONS
%.1 Who assigns the ro es for a "ro*ect? 5o*es are assigned 0y different +ersons in different +hases of the SD.C" &or eBam+*eA )he *eadershi+ in each 01siness 1nit assigns +ersons to the ro*es of K1siness PMLs Senior Management and K1siness Pro9ect Manager :K1siness PM;" )he OC O C1stomer .iaison assem0*es OC O +ersons to fi** the ro*es needed to s1++ort the acti,ities of the Conce+t Phase 0y re71esting OC O managers in the a++*ica0*e technica* disci+*ines to assign +ersons to the a++ro+riate ro*es" )he OC O PM a*so re71ests OC O managers in the a++*ica0*e technica* disci+*ines to assign +ersons to the a++ro+riate ro*es for acti,ities in the Definition thro1gh De+*oyment Phases"

%.2

1ay a "erson su""ort !ore than one ro e? t is +ossi0*e for one indi,id1a* to ho*d se,era* ro*es sim1*taneo1s*y for the same +ro9ect as *ong as he/she is 71a*ified to do so"

%.3

What are the ro es associated with SDLC 3.0 "ro*ects and where are they docu!ented? )he ro*es and their res+ecti,e res+onsi0i*ities can 0e fo1nd on the OC O ntranet He0 site in the Phase and $cti,ity Descri+tion and the 5o*es and 5es+onsi0i*ities doc1ments"

%.%

Does the "erson assigned to a ro e have to be fro! a s"ecific de"art!ent? &or eBam+*e, does the Pro9ect Manager ha,e to 0e from the Program Management Gro1+ and does the Systems De,e*o+ment .ead ha,e to 0e from the Systems De,e*o+ment Management Gro1+M No" )he ro*es in SD.C /"0 are not s+ecific to any +artic1*ar gro1+" Gro1+s come and go, %hi*e the ro*es %i** not fre71ent*y change" Organi6ationa* assignments are not a 0arrier to fi**ing a ro*e as *ong as the +erson assigned to a ro*e is 71a*ified to com+*ete the ro*e8s res+onsi0i*ities" Persons fi**ing ro*es m1st meet a** of the res+onsi0i*ities of the acce+ted ro*e"

%.&

Who serves on the #7ro*ect )ea!$ in the Conce"t 7hase? )he team m1st inc*1de a** the entities that ha,e a sta-e in the s1ccessf1* com+*etion of the +ro9ect :e"g", sec1rity, o+erations, te*ecomm1nications, system de,e*o+, architect1re, etc";" Mem0ershi+ 0y these entities minimi6es do%n stream s1r+rises and +ro0*ems that

02/24/2009

!"#

USPTO Systems Development Life Cycle SDLC 3.0 Frequently Asked Questions
are *i-e*y to s1rface %hen a** of the necessary information %as not considered %hen the +ro9ect %as 0eing assessed" %.' Who se ects the #7ro*ect )ea!?$ )he OC O C1stomer .iaison and the K1siness Pro9ect Manager are re71ired to identify and re71est +artici+ation of staff from the entities that ha,e a sta-e in the s1ccessf1* com+*etion of the +ro9ect :see the res+onse to &$' (22;" %.( Can the #7ro*ect )ea!$ !a.e a of the decisions in the Conce"t 7hase? Genera**y, yes" )he team mem0ers are em+o%ered to com+*ete the +ro9ect si6ing %or-sheet and se*ect the artifacts needed to s1++ort s1ccessf1* com+*etion of the +ro9ect :$cti,ity $!2;" n addition, the team a++ro,es these artifacts and the +ro9ect charter and +ro9ect +*an that defines the %or- re71ired to ad,ance thro1gh the Definition Phase" )hese f1nctions do not ha,e to 0e esca*ated 0eyond the team for most +ro9ects" Go%e,er, the +ro9ect8s OC O PM m1st ma-e a 91dgment ca** to inc*1de higher *e,e* management if the OC O PM 0e*ie,es that the +ro9ect %arrants that higher *e,e* of a%areness" %.; What are the differences in the res"onsibi ities of the 7ro*ect 1anager and the Syste!s Deve o"!ent Lead? )he S.DC /"0 5o*es @ 5es+onsi0i*ities doc1ment +ro,ides a descri+tion of the ro*es and the ste+30y3ste+ descri+tion of %hat each ro*e does at each ste+ of the +ro9ect that is +ro,ided in the acti,ity descri+tions" P*ease re,ie% those doc1ments to 1nderstand the differences 0et%een these ro*es"

02/24/2009

!"#

USPTO Systems Development Life Cycle SDLC 3.0 Frequently Asked Questions 5 ARTIFACT-RELATED QUESTIONS
&.1 )here are a ot of artifacts and activities isted in the 8rtifacts and 8ctivities Chec. ist+ do - need a of these de iverab es? Not necessari*y" Pro9ect si6e :determined 0y com+*eting the +ro9ect si6e c*assification score sheet and the artifacts chec-*ist; determines %hat artifacts the +ro9ect %i** need to 0e s1ccessf1**y de+*oyed" &.2 - down oaded3obtained a hard co"y of a SDLC 3.0 docu!ent a few wee.s ago< is this docu!ent sti usab e? )he SD.C /"0 doc1mentation is constant*y changing" )herefore, the doc1ment yo1 o0tained a %ee- or t%o ago may no *onger 0e the most c1rrent ,ersion" Eo1 sho1*d chec- the SD.C He0 site for the *atest ,ersion of tem+*ates or forms 91st 0efore yo1 0egin +o+1*ating them" &.3 8 docu!ent - used to co!" ete an activity was u" to date when - used it< but has since been !odified+ do - have to go bac. and redo this activity? No" Once an acti,ity has 0een com+*eted, it is com+*eted" No one %i** as- yo1 to redo a tas- 0eca1se the associated doc1mentation has 0een 1+dated since yo1 com+*eted it" &.% )he =nter"rise 7rogra! 1anage!ent Syste! >=71S? uses 1icrosoft 7ro*ect 200( whi e !any individua s sti use 1icrosoft 7ro*ect 2003. )his is a "rob e! because 1icrosoft 7ro*ect 200( is not bac.ward co!"atib e with 1icrosoft 7ro*ect 2003. How can we overco!e the 1icrosoft 7ro*ect versions issue? $** +ro9ects %i** 1*timate*y 0e +10*ished and maintained in JPMS" Pro9ect +*ans that are created in MS Pro9ect 200/ may 0e 1+*oaded into JPMS once the PM or sched1*er has recei,ed the necessary training" )here sho1*d not 0e any reason to mo,e +ro9ect +*ans from JPMS 0ac- to a 200/ ,ersion" $ccording*y, 1se of MS Pro9ect 200/ %i** not +resent a +ro0*em once the +*ans are *oaded and maintained in JPMS"

02/24/2009

!"#