|
|
 |
|
|
Submission and Approval |
 |
Certain Framework deliverables must be approved by agency-level roles (e.g., Agency Head, Executive Sponsor) as defined in statute. Certain Framework deliverables must be submitted to designated state-level entities (e.g., Quality Assurance Team) as defined in statute. Refer to the QAT Web site for additional information about QAT processes. For example, refer to the QAT Web site for information about state-level project approval.
Refer to the Framework Quick Reference as follows to identify required agency-level approval and state-level submission for each deliverable. Refer to Tool Tailoring, Submission Delivery Method, Contact Information, and Submission Requirements as follows for details regarding submission.
Framework Quick Reference
The following tables identify by review gate each Framework tool and its statutory references, agency-level approval authorities, and submission entities.
Business Justification Review Gate Quick Reference
| Tool |
Required |
Statutory Reference |
Approved By |
Submit To |
| Business Case |
Yes |
2054.303 |
Agency Head
Executive Sponsor
Technology Sponsor
Project Manager
Information Security Officer |
QAT |
| Statewide Impact Analysis |
Yes |
2054.303 |
Agency Head
Executive Sponsor
Technology Sponsor
Project Manager
Information Security Officer |
QAT |
| Project Charter |
Yes |
2054.307 |
|
|
Business Justification
Review Gate Approval |
Yes |
2054.307 |
Agency Head |
|
Project Planning Review Gate Quick Reference
| Tool |
Required |
Statutory Reference |
Approved By |
Submit To |
| Project Plan |
Yes |
2054.304 / 2054.1181 |
Agency Head
Executive Sponsor
Technology Sponsor
Project Manager
Information Security Officer |
QAT |
Supplemental Tools: Project Plan
- Project Contact Register
- Work Breakdown Structure
- Change Control Request
- Issues Tracking
- Project Status
- Quality Register (*)
- Quality Project Areas, Categories, and Measures
- Communication Register (*)
- Configuration Items Register (*)
- Performance Register (*)
- Performance Project Areas
- Categories, and Measures
- Risk Assessment Tables
- Risk Register (*)
- Risk Checklists
- Risk Item
- Risk Status
|
No |
— |
— |
QAT – if marked "*" |
| Monitoring Report |
Yes |
2054.1181 |
|
QAT |
Project Planning
Review Gate Approval |
Yes |
2054.307 |
Agency Head |
|
Solicitation and Contracting Review Gate Quick Reference
| Tool |
Required |
Statutory Reference |
Approved By |
Submit To |
| Technology Addendum – CPA Contract Management Guide |
Yes |
2262.101 |
|
|
Acquisition Plan
(Identified in 2054.305 as Procurement Plan) |
Yes |
2054.305 / 2054.1181 |
Agency Head
Executive Sponsor
Technology Sponsor
Contract Manager
Project Manager
Legal
Information Security Officer |
QAT |
| Contract Advisory Team Review and Delegation (CATRAD) Application – CPA |
Yes |
2262.101 |
|
CAT |
| Contract Amendment and Change Order Approval |
Yes |
2054.307 |
Agency Head approval if contract costs increase above 10% or contract
completion date changes significantly. |
QAT – if contract costs increase above 10% |
| Solicitation and Contracting Review Gate |
Yes |
2054.307 |
Agency Head |
|
Project Implementation Review Gate Quick Reference
| Tool |
Required |
Statutory Reference |
Approved By |
Submit To |
| Acceptance to Deploy |
Yes |
2054.307 |
|
|
| Project Closeout Report |
Yes |
2054.307 |
|
|
| Project Implementation Review Gate Approval |
Yes |
2054.307 |
Agency Head |
|
Benefits Realization Review Gate Quick Reference
| Tool |
Required |
Statutory Reference |
Approved By |
Submit To |
| Post-Implementation Review of Business Outcomes |
Yes |
2054.306 |
Agency Head
Executive Sponsor
Technology Sponsor
Project Manager
Information Security Officer |
QAT |
| Benefits Realization Review Gate Approval |
Yes |
2054.307 |
Agency Head |
|
Tool Tailoring
Agencies must use the Framework tools as published to produce required deliverables. Therefore, tool tailoring guidelines for required tools do not exist. Agencies may add signatures in addition to those specifically identified and required as part of the Framework. Although no additions, modifications, or deletions are allowed except for additional signatures, agencies may choose to state “not applicable” in a deliverable section. A justification must be included in the deliverable section if “not applicable” is used. The justification must explain why the section does not apply to the project at all or at that point during project delivery.
Submission Delivery Method
Submit deliverables to the contact via email only. Submit deliverables as searchable PDF files except for the Business Case Workbook, which must be submitted as an Excel file. Create a submission file. Include in the submission file (except for the Business Case Workbook) the cover page with original signatures.
One method for including the cover page with original signatures is to scan the cover page only to a JPEG or PDF file, and include the scanned file in the PDF version of the submission file. Agencies may choose to use digital signature capabilities, for example, to obtain signatures before creation of a submission file.
An example submission file is provided for a Project Plan. Note that deliverables created using supplemental tools associated with the Project Plan and required to be submitted, such as a Risk Register, a Communication Register, or their equivalents, must be included in the appendices of the Project Plan submission file. Regardless of how an agency maintains those deliverables internally, the deliverables, such as a Risk Register, a Communication Register, or their equivalents, must be included in the submission file.
Contact Information
The following table identifies contact information for each of the entities designated in the Framework Quick Reference. Forward deliverables to QAT as described in Submission Delivery Method. If necessary, email the primary contact for CAT regarding submission of CAT-related deliverables.
Entity |
Contact Person |
Phone |
Email |
| QAT |
Primary Contact: Richard Corbell |
512-463-1200 |
qat@lbb.state.tx.us |
Secondary Contacts:
Rose Wheeler
Ralph McClendon |
512-936-5900
512-936-9750 |
| CAT |
Primary Contact: Woody Fluharty |
512-463-3366 |
woody.fluharty@cpa.state.tx.us |
Submission Requirements
The submission requirements timeline identifies submission requirements for Framework deliverables in relation to reporting requirements of the Legislative Appropriations Request (LAR). The submission requirements timeline graphic, below, depicts information in preparation for the 2010–11 biennium, including estimated timeline dates and notated actions. Descriptions for each notated action are provided after the graphic.
Refer to Texas’ Strategic Planning, Performance Budgeting and Performance Monitoring System for a more comprehensive graphical overview. Refer to the LBB Web site for additional information about LBB processes identified in the comprehensive graphical overview and the LBB processes identified in the submission timeline. For example, refer to the LBB Web site for information about the state budgeting process.
Submission Requirements Timeline
Larger and printer-friendly versions of the Submission Requirements Timeline
Submission Requirements Timeline Descriptions
Dates are estimations
ESTIMATED DATE |
ITEM |
DESCRIPTION |
| May 2008 |
1. |
Legislative Budget Board releases Legislative Appropriations Request Instructions to agencies. |
| August 2008 |
2. |
Agencies submit an Information Technology Detail as part of the Legislative Appropriations Request for capital and non-capital projects and other information resource expenditures. All projects that meet the criteria for major information resources projects and certain major contracts (refer to CPA Contract Management Guide), regardless of the funding source based on appropriated funds, must use the Framework. Appropriated funds, as defined in the General Appropriations Act, include general revenue, general revenue dedicated, federal, and other funds. |
| August 2008 |
3. |
Agencies submit a Business Case and Statewide Impact Analysis for each major information resources project identified in the Information Technology Detail and certain major contracts (refer to CPA Contract Management Guide). A submitted Business Case and Statewide Impact Analysis must map directly to projects identified in the Information Technology Detail. To further clarify, if project “X” is identified in the Information Technology Detail, then a Business Case and Statewide Impact Analysis for project “X” must exist. Agencies may cut and paste redundant information between the Information Technology Detail and Business Case.
Note: Projects that span biennia are sometimes identified in the Information Technology Detail each biennium. For example, a project may require additional funding and is identified again in the Information Technology Detail. New projects (i.e., projects not approved in a previous biennium) require a Business Case and Statewide Impact Analysis. Projects that have already been approved in a previous biennium and request additional funding that causes the total project costs to change by more than 10% require submission of a revised Business Case and Statewide Impact Analysis. |
| December 2008 |
4. |
Legislative Budget Board submits budget recommendations to the Legislature. |
| May 2009 |
5. |
When the Legislature passes the appropriations bill, funding is approved. |
| August 2009 |
6. |
Legislative Budget Board approves projects identified in the agency’s Biennial Operating Plan (General Appropriations Act, Article IX, Section 9.02(b)). The Biennial Operating Plan is an approved Information Technology Detail following changes made throughout the appropriations process. The Biennial Operating Plan supports and reflects funding appropriated by the Legislature for information resources projects.
Note: Legislative Budget Board approval of Biennial Operating Plan projects and Quality Assurance Team project approval (next action) are the only instances where prior state-level project approval is required before appropriated funds may be expended. Upon Legislative Budget Board approval of Biennial Operating Plan projects, the Business Case and Statewide Impact Analysis must be revised to correspond with the approved project budget and scope. |
| August 2009 |
7. |
Quality Assurance Team may approve projects identified in an agency’s Biennial Operating Plan based on an analysis of responses to the initial risk consideration evaluation factor in the Business Case (General Appropriations Act, Article IX, Section 9.02(b)). |
| September 2009 |
8. |
Quality Assurance Team selects projects for monitoring to ensure those projects have the means to meet stated objectives. Refer to the Monitoring Report Instructions for additional information about project monitoring. |
| Anytime after items 6 and 7 occur |
9a. |
Agencies submit Project Plans anytime after the project has been approved at the state level. Refer to the Project Planning review gate description and associated deliverables instructions within the review gate for additional information regarding Project Plan submission. |
| Anytime after items 6 and 7 occur |
9b. |
Agencies submit Acquisition Plans anytime after the project has been approved at the state level. Refer to the Solicitation and Contracting review gate description and Acquisition Plan Instructions within the review gate for additional information regarding Acquisition Plan submission. |
| Anytime after items 6 and 7 occur |
9c. |
Agencies submit solicitation information via CATRAD application anytime after the project has been approved at the state level. Refer to the Comptroller of Public Accounts Web site for process information located in the Contract Management Guide. |
| Anytime after items 6 and 7 occur |
9d. |
Agencies submit Business Case/Statewide Impact Analysis for any additional major projects approved after the Legislative Appropriations Request process and certain major contracts (refer to the CPA Contract Management Guide).
Note: Projects that do not initially meet the threshold and have since evolved to a major information resources project over time must use the Framework. These types of projects are considered additional major information resources projects approved after the Legislative Appropriation Request process. |
| Anytime after items 6 and 7 occur |
9e. |
Agencies submit Business Case and Statewide Impact Analysis whenever the Biennial Operating Plan is amended. |
| Submitted only if project is selected by Quality Assurance Team |
9f. |
Agencies submit periodic monitoring reports if the project is selected for Quality Assurance Team monitoring. Refer to the Monitoring Report Instructions for additional information about project monitoring. |
| Submitted only if project is selected by Quality Assurance Team |
9g. |
Agencies submit Business Case and Statewide Impact Analysis for any additional project not previously selected by the Quality Assurance Team.
Note: If the project has not started, a Business Case and SIA must be submitted. When the QAT selects a project that has already started for monitoring, the QAT will determine on a case-by-case basis whether a Business Case/SIA should be submitted. |
For more information about the Texas Project Delivery Framework, contact projectdelivery@dir.state.tx.us.
|
