eu-LISA_EPMO_PM_Methodology_6.0.3

eu-LISA PM Methodology 23. Managing Product Delivery (MP) The purpose of the Managing Product Delivery process is to manage and control the work between the Project Manager and the Team Manager by placing certain formal requirements on the acceptance, execution, and delivery of products. Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 100 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA MP1 – Accept a Work Package Purpose The purpose of this step is to establish an agreement between the Project Manager and the Team Manager as to what is to be delivered, reporting requirements, applicable constraints and procedures. INPUTS DESCRIPTION OUTPUTS • Authority to Deliver a Work The Team Manager should: • Team Plan Package • Clearly agree with the Project • Work Package • Project Logs (updates) • PID Manager about what is to be • Work Package delivered Elaboration for Test activities • Negotiate with the Project • Test Plan Elaboration for Test activities Manager the time and effort • Test Package • Test Plan constraints • Test Cases • Agree tolerance margins • Understand the approval process and reporting requirements • Confirm product completion with the Project Manager • Perform risk analysis, planning and resource allocation. Responsibilities Action PSC Update MPB (P) Producer Approve EPMO (R) Reviewer Update Project Executive (A) Approver Project Manager Project Assurance Product Senior Supplier Team Manager Team Plan Project Support Work Package AP PA Project Logs P Elaboration for Test activities • Team Managers for these activities is Test Manager Benefits This process constitutes the agreement on what should be delivered by the project team. The Team Manager should produce a Team Plan that shows how the Work Package can be completed within the constraints. Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 101

eu-LISA PM Methodology Activity Summary TBD Completion Criteria The Team Manager has produced a Team Plan that shows how the Work Package can be ¨ completed within the constraints ¨ There is an agreement regarding reporting (including to whom) ¨ ¨ There is an agreement regarding the frequency and detail of Checkpoint Reports (defined in the Stage Plan) There is an agreement regarding the quality (as mentioned in the Product Description) There is an agreement regarding the procedures (such as updating the Risk Log, Quality Log, ¨ Risk analysis, planning and resources) Scalability and Templates Small Projects Medium Projects Large Projects Project Logs Project Logs Project Logs Extended PID Basic PID PID TO BE CREATED/ADJUSTED TO BE CREATED/ADJUSTED Work Package Work Package basic Work Package Test Plan TO BE CREATED/ADJUSTED Test Plan TO BE CREATED TO BE CREATED Test Plan (N/A) Test Case Test Case TO BE CREATED Test Case (N/A) TO BE CREATED Test Package Test Package Test Package TO BE CREATED TO BE CREATED TO BE CREATED Best Practices Normally, a Work Package should not cross into another stage, although there may be multiple Work Packages within a single stage. The Project Manager needs be sure that: • sufficient time and costs have been allocated for the process • the project team uses the same configuration techniques (version numbering etc.) as the project • the project team understand and have skills required for meeting the quality and standard expectations. References PRINCE2: Managing Product Delivery, Accepting a Work Package Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 102 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA MP2 – Execute a Work Package Purpose The purpose of this step is to ensure the work packages are produced in a controlled manner. INPUTS DESCRIPTION OUTPUTS • Authority to Deliver a Work Notifying the Project Manager • Specialist Products Package of the progress of each Work • Checkpoint Report Package is the responsibility of • Configuration Item Record • PID the Team Manager. Steps for • Updates on: • Work Package this are: • Manage Work Package o Quality Register Elaboration for Test activities o Project Logs • Test Package development • Test Plan • Determine product status, Elaboration for Test activities • Test Report monitor risks and provide effort and time estimates • Provide regular Checkpoint Reports to the Project Manager • Ensure that products satisfy the quality requirements • Notify the Project Manager should any tolerance levels be at risk. Elaboration for Test activities Managing the execution phase of a Test Package consists primarily of keeping the test effort on track. This means that the test team must make sure that the tests are validating the planned functional use, defect fixes are being verified, and regression testing is being conducted within the allocated schedule and resources. Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 103

eu-LISA PM Methodology Responsibilities Action PSC Create MPB (P) Producer Update EPMO (R) Reviewer Create Project Executive (A) Approver Update Project Manager Product Update Project Assurance Specialist Products Senior Supplier Configuration Item Records Team Manager Checkpoint Report Project Support Quality Register Project Logs A P P R P P P ¨ ¨ Elaboration for Test activities • Team Manager for these activities is the Test Manager Benefits Checkpoint Reports allow Project Manager to verify the progress at defined frequency. Activity Summary TBD Completion Criteria The Checkpoint Reports are delivered at defined frequency Resources consumption is monitored Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 104 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA Scalability and Templates Small Projects Medium Projects Large Projects Project Logs Project Logs Project Logs Basic PID Test Plan Test Plan TO BE CREATED/ADJUSTED TO BE CREATED TO BE CREATED Configuration Item Records Test Report Test Report Basic Checkpoint Report TO BE CREATED TO BE CREATED TO BE CREATED/ADJUSTED Test Package Test Package Basic Work Package TO BE CREATED TO BE CREATED TO BE CREATED/ADJUSTED PID Extended PID TO BE CREATED/ADJUSTED Configuration Item Records Configuration Item Records Checkpoint Report Checkpoint Report Work Package Work Package Best Practices If the supplier carrying out the work does not use PRINCE2 it is important to inform them about reporting, quality checking and Configuration Management requirements used in eu-LISA. References PRINCE2: Managing Product Delivery, Execute a Work Package Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 105

eu-LISA PM Methodology MP3 – Deliver a Work Package Purpose The purpose of this step is to notify the Project Manager on the completion of the Work Package and hand- over the Work Package to Configuration Manager. INPUTS DESCRIPTION OUTPUTS • Work Package When a Work Package is • Completed Work Package • Quality Register completed the Project Manager • Team Plan (updates) • Configuration Item Records must be informed by the Team Manager. This process has 3 Elaboration for Test activities Elaboration for Test activities elements: • Test Package • Test Plan • Obtain the acceptance of the • Test Report • Test Package • Test Plan product (as defined in the Work Package) • Hand over completed products to Configuration Management • Inform the Project Manager on Work Package completion. Elaboration for Test activities When a Test Package is completed the Project Manager must be informed by the Test Manager. This step consists in: • Obtaining the validation of tested products from Test Team (as defined in the Test Package) • Inform the Project Manager on Test Package completion Responsibilities Action PSC Update MPB (P) Producer Update EPMO (R) Reviewer Project Executive (A) Approver Project Manager Project Assurance Product Senior Supplier Team Manager Completed Work Package Project Support Team Plan AP AP Elaboration for Testing activities • Team Manager for these activities is the Test Manager Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 106 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA Benefits This process ensures that the Work Package is correctly handed over by the Team Manager. Activity Summary TBD Completion Criteria Quality and acceptance sign-off have been obtained ¨ The completed products are handed over (to Configuration Management) ¨ Scalability and Templates Small Projects Medium Projects Large Projects Basic Work Package Work Package Work Package TO BE CREATED/ADJUSTED Test Plan Test Plan Project Logs TO BE CREATED TO BE CREATED Basic Team Plan Test Report Test Report TO BE CREATED/ADJUSTED TO BE CREATED TO BE CREATED Project Logs Project Logs Test Package Test Package TO BE CREATED TO BE CREATED Extended Team Plan Team Plan TO BE CREATED/ADJUSTED Best Practices The Project Manger should ensure that the adequate quality controls have been made. References PRINCE2: Managing Product Delivery, Deliver a Work Package Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 107

eu-LISA PM Methodology 24. Closing a Project (CP) The purpose of the Closing a Project process is to provide a fixed point to check that the project has reached its objectives and that the products have been accepted. Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 108 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA CP1 – Prepare Planned Closure Purpose The purpose of this step is to ensure that project expected results have been achieved and delivered, before recommending it for closure to PSC. INPUTS DESCRIPTION OUTPUTS • Product Status Account • Update the Project • Project Management Plan • PID Management Plan with actuals (updates) from the final stage • Review Product Status Account to ensure the project’s products have been approved by identified authorities in the Project Product Description, and they meet all quality criteria • Confirm the formal acceptance have been obtain Responsibilities PSC MPB (P) Producer EPMO (R) Reviewer Project Executive (A) Approver Project Manager Project Assurance Product Action Senior Supplier Project Management Plan Update Team Manager Project Support P Benefits This process ensures that: • the project products meet all the requirements and quality criteria • the acceptance criteria have been met Activity Summary TBD Completion Criteria Formal user acceptance of delivered products has been received and any outstanding issues are ¨ added to the Follow-On Actions list ¨ Warranty, handover or post-implementation periods have been defined Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 109

eu-LISA PM Methodology Scalability and Templates Medium Projects Large Projects PID Extended PID Small Projects TO BE CREATED/ADJUSTED Basic PID Project Management Plan Extended Project Management TO BE CREATED/ADJUSTED Basic Project Management Plan Plan TO BE CREATED/ADJUSTED TO BE CREATED/ADJUSTED Best Practices TBD References PRINCE2: Closing a Project, Prepare planned closure Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 110 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA CP2 – Hand over Product Purpose The purpose of this step is to ensure that project product is passed to operational and maintenance environment before being closed. INPUTS DESCRIPTION OUTPUTS • Configuration Management • Ensure that the Benefits • Acceptance Records Strategy (part of PID) Review Plan include post- • Follow-on Action project activities to confirm • Project Logs benefits that can’t be Recommendations measured before the product have been in operational use • Updates on: o Benefits Review Plan • Confirm that the correct o Configuration Item Records operational and maintenance environment is in place • Consider the early life-support requirements • Request and obtain formal acceptance records • Transfer the responsibility for the product to operations and maintenance teams and update Configuration Item Records Responsibilities PSC MPB (P) Producer EPMO (R) Reviewer Project Executive (A) Approver Project Manager Project Assurance Product Action Senior Supplier Team Manager Project Support Acceptance Records Obtain AP Follow-on Action Recommendations Create/Update P Benefits Review Plan Update AP Configuration Item Records Update AP Benefits This process ensures that the project is not closed before confirming the expected results have been handed- over to operations/maintenance teams. Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 111

eu-LISA PM Methodology Activity Summary TBD Completion Criteria Formal user acceptance of delivered products has been received and any outstanding issues are ¨ added to the Follow-On Actions list ¨ Warranty, handover or post-implementation periods have been defined Scalability and Templates Small Projects Medium Projects Large Projects Basic PID PID Extended PID TO BE CREATED/ADJUSTED TO BE CREATED/ADJUSTED Project Logs Project Logs Project Logs Configuration Item Records Configuration Item Records Configuration Item Records Benefits Review Plan Benefits Review Plan Benefits Review Plan Best Practices TBD References PRINCE2: Closing a Project, Hand over products Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 112 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA CP3 – Evaluate the Project Purpose The purpose of this step is to provide decision makers with an accurate picture of the project’s performance. INPUTS DESCRIPTION OUTPUTS • PID • Review the PID as it was • End Project Report • Project Logs baselined in the initiation • Lessons Learned Report stage • Review the approved changes as documented in the most current version of the PID • Create the End Project Report to include: o An overall summary of how the project performed o Assessment of the results against the expected benefits in the Business Case o Performance review against the planned targets and tolerances o Team performance review o Project’s products review • Create the Lessons Learned Report to identify and document any lessons that could be applied to other projects Responsibilities Action PSC Create MPB (P) Producer Create EPMO (R) Reviewer Project Executive (A) Approver Project Manager Project Assurance Product Senior Supplier Team Manager End Project Report Project Support Lessons Learned Report AP AP Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 113

eu-LISA PM Methodology Benefits The review indicates whether the project was successful or otherwise. The information captured will assist with the development and enhancement of the project management methodology which will assist future projects. In fact, reuse of lessons learned in other projects will reduce the risk of future project failure Activity Summary TBD Completion Criteria All aspects of the project, both successful and unsuccessful have been investigated, documented ¨ and communicated ¨ The opinions and experiences of all key stakeholders involved in the project have been sought The review has focused on both the performance of the project and the project management ¨ processes followed ¨ Any recommendations are circulated to stakeholders Scalability and Templates Medium Projects Large Projects PID Extended PID Small Projects TO BE CREATED/ADJUSTED Basic PID Project Logs Project Logs TO BE CREATED/ADJUSTED End Project Report Extended End Project Report Project Logs TO BE CREATED/ADJUSTED Basic End Project Report TO BE CREATED/ADJUSTED Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 114 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA Best Practices The review should consider the effectiveness of all aspects of the project management process. Wherever possible the project team should concentrate on items that can be of use to future projects. Some areas to examine include: • Project governance o How effective was the decision making process? • Communications and information flow o Were the activities outlined in the communication plan effective? o How was the information sent out by the project received by stakeholders? • Stakeholder engagement o What is the opinion of the stakeholders of the project? o If there were any issues experienced with stakeholders during the project, how were they resolved? • Project definition o Was the scope of the project, and any changes to it, effectively managed? o Did the project’s final outputs and outcomes reflect what was envisaged during the definition and initiation of the project? • Project approach o Was the chosen approach for the development of the project’s outputs or solutions appropriate and successful, and why? o If there was training given as part of the project, which aspects of it were a success? • Value for money and Business Case o How do the actual costs and expenditure of the project compare with what was planned? o If possible, the benefits that the project has started to realise should be examined and they should be compared with what was originally envisaged. • Risk and Issue management o Were risk management activities successful? How many risks became actual issues during the project, and what were the reasons for this? o Were there any unforeseen issues which affected the project? How were these managed? o Was the contingency planned for the project actually invoked? • Change Control o How many changes to the project were raised and how did they affect the success of the project? o Were there any compromises that had to be made as a result of changes? • Impact on the organisation o How did the delivery of the project affect the organisation? Consider the impact on services or resources during the life of the project. Identification of lessons learned is an easier activity to undertake if observations about the project management process and procedures are made and stored as they occur, through the lifetime of the project. Use of a Lesson Learned Log can assist with this. When writing recommendations, the main question to consider is ‘What should be done differently next time?’ Any useful measurements, techniques or statistics which have been used during the project should be included in the Lessons Learned Report to assist with future planning and estimating activities on other projects. Lessons learned and the other outputs of project reviews can only be of use to future projects if they are distributed and shared. The EPMO will assist with this process, but Project Managers are also positively encouraged to share feedback and best practice among the wider project management community. Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 115

eu-LISA PM Methodology Project reviews must be timely. The quality of information gained during the review will be diminished if the review does not occur within a reasonable period of time of the close and review phase being initiated. This is because the project team may return to the service or shift its focus to the next project. References PRINCE2: Closing a Project, Evaluate the project Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 116 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA CP4 – Recommend Project Closure Purpose The purpose of this step is to ensure that the project is decommissioned in a controlled manner and the delivered or developed products and services are signed off by and transferred to the appropriate owners. INPUTS DESCRIPTION OUTPUTS • PID • Identify in the Communication • Closure Recommendation • Project Logs Management Strategy who • Project Logs (close) should receive notification on project closure • Close all Project Logs • Archive all project documentation, in accordance with the Configuration Management Strategy • Prepare and send the Closure Recommendation Responsibilities PSC MPB (P) Producer EPMO (R) Reviewer Project Executive (A) Approver Project Manager Project Assurance Product Action Senior Supplier Closure Recommendation Create Team Manager Project Support A P P Project Logs Close ¨ Benefits ¨ ¨ This process ensures that: • the project ends when its objectives are achieved • the cost of project overheads cease once the project is closed • there are no unfinished tasks within the project Activity Summary TBD Completion Criteria Project documentation has been properly archived Project Logs have been closed Closure recommendation has been sent to PSC and other relevant stakeholders Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 117

eu-LISA PM Methodology Scalability and Templates Small Projects Medium Projects Large Projects Basic PID PID Extended PID TO BE CREATED/ADJUSTED TO BE CREATED/ADJUSTED Project Logs Project Logs Project Logs Closure Recommendation Closure Recommendation Closure Recommendation TO BE CREATED TO BE CREATED TO BE CREATED Best Practices All stakeholders must be in agreement that the project is to be closed and that there are no outstanding issues, with the exception of those documented in the Follow-On Actions list. Members of the project team must be debriefed and their contribution acknowledged. Project documentation must be archived for future reference within the EPMO’s body of knowledge. Completed support should be handed over in a timely manner to the users to assist with ongoing support of the products. All budgets must be reconciled, and any surpluses or deficits addressed by the Procurement Team. References PRINCE2: Closing a Project, Recommend project closure Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 118 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA CP5 – Prepare Premature Closure Purpose This process is intended to ensure that in some circumstances dictated by the business strategy, the project can be properly closed prematurely. INPUTS DESCRIPTION OUTPUTS • Project Management Plan (part • Update Project Logs to record • Updates on: of PID) the premature closure request o Project Logs o Project Management Plan • Product Status Account • Update Project Management Plan with actuals from the final stage • Review and update the Product Status Account Responsibilities PSC MPB (P) Producer EPMO (R) Reviewer Project Executive (A) Approver Project Manager Project Assurance Product Action Senior Supplier Project Logs Update Team Manager Project Support P Project Management Plan Update P Benefits This step ensures that: • The need for premature closure is captured • Any value crated by the project is preserved Activity Summary TBD Completion Criteria Project Logs have been updated to reflect the premature closure request ¨ ¨ Project management Plan has been updated with actuals of the final stage ¨ Any valuable products resulted from the project have been inventoried and secured for potential use in the future Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 119

eu-LISA PM Methodology Scalability and Templates Medium Projects Large Projects Project Logs Project Logs Small Projects Project Management Plan Extended Project Management Project Logs Basic Project Management Plan Plan TO BE ADJUSTED TO BE ADJUSTED Best Practices TBD References PRINCE2: Closing a Project, Prepare premature closure Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 120 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA 25. ANNEX A Summary of Project Management Products: Business Case To provide a firm foundation for the initiation of the project. It should contain sufficient information to indicate the subject matter of the project. After the approval of the Management Committee it becomes the Project Mandate. It represents a key document for the whole Project Management Process. Checkpoint Report To report at a frequency defined in the stage plan the status of work for each member of a team Communication Management To define all parties with an interest in the projects and the means and Strategy (part of Project Strategies) frequency of communication between them and the project Configuration Item Record A record of the information required about a product's status Configuration Management Strategy To identify how and by whom the project's products will be controlled (part of Project Strategies) and protected. Dashboard Self explanatory End Project Report Project manager’s report to the Program Board on how well the project has performed against its PID including the original planned cost, schedule and tolerances, the revised business case and the final version of the project plan End Stage Report Gives a summary of progress to date, the overall project situation and sufficient information to ask for a Program Board decision on what to do next with the project Exception Report Produced whenever costs and/or timescales for an approved stage plan are forecast to exceed the tolerance levels set. It is sent by the project manager in order to appraise the Program Board of the adverse situation Lessons Learned Report To pass on any lessons which can be usefully applied to other projects Organisation Chart An important part of project organisational planning is identification of responsibilities and authority in the project. Roles, responsibilities and authority must be negotiated and understood by all stakeholders. In large complex project it could be interesting to have a detailed and clear project organisation chart. Post-Project Review To find out: • whether the expected benefits of the product have been realised • if the product has caused any problems ins use Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 121

eu-LISA PM Methodology Privacy Impact Assessment (PIA) TO BE DEFINED Privacy Compliance Report Product Breakdown Structure (PBS) TO BE DEFINED Product Flow Diagram (PFD) Group of project work products shown in graphical display to organise Project Initiation Document and subdivide the total work scope of the project. Project Logs Project Plan A graphical representation of the order by which a sequence of products is created according to the planning. It is related to the Project Product Description Product breakdown structure (PBS). Project Quality Strategy (part of To define the project, to form the basis for its management and the Project Strategies) assessment of overall success Quality Register Self explanatory Schedule Stage/Exception Plan Statement of how and when a project’s objectives are to be achieved, System Specific Risk Assessment showing the major products, activities and resources required on the (SSRA) project System Specific Security Requirements (SSRS) A high level overview of what the project should deliver. The objective Team Plan is to develop enough information so that the project team has clear scope limits within which they can describe more detailed component Test Cases product descriptions and features during the planning process. It defines how the supplier intends to deliver products which meet the user’s quality expectations and the supplier’s quality standards A register to: • show a unique reference for each quality check planned • act as a pointer to the quality check documentation for a product • act as a summary of the number and type of quality checks held Self explanatory Basis for project management control through the stage TO BE DEFINED TO BE DEFINED To be used on larger projects where teams are used for delivering products which require detailed planning. A typical example is a contractor’s plan that would be submitted during the procurement process. A test case represents a set of conditions or variables under which a tester will determine whether an application, software system or one of its features is working as it was originally established for it to do Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 122 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA Test Package Defines an individual piece of test work, including test deliverables to Test Plan be produced. Test Summary Report Work Package A test plan documents the strategy that will be used to verify and ensure that a product or system meets its design specifications and other requirements This is a summary of all the results and activities of a specific testing phase. It should include an assessment of the comprehensiveness of the testing, any limitations of testing and test completeness. Defines an individual piece of work, including interfaces to other parts of the project. All the Project Management Products templates can be found under this link: PM Templates. Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 123

eu-LISA PM Methodology 26. ANNEX B – Project Completion Criteria Starting Up a Project (SU) ¨ A completeness review of the Business Case has been completed ¨ Notification to PSC has been sent ¨ A full evaluation of the Business Case has been completed ¨ Business Case has been formally approved ¨ Notification to update the Intake List has been sent to EPMO ¨ Project Executive and the Project Manager have been appointed ¨ Project Executive and Project Manager confirm their ability and commitment ¨ Notification to EPMO has been sent ¨ It has been verified whether some Lesson Learned Reports are available ¨ Lessons Log has been created Lessons Learned have been considered ¨ Relevant Stakeholders have provided input and feedback ¨ The initial Business Case has been assessed against current conditions and organizational ¨ priorities Project Product Description has been added to the Business Case ¨ Appointees have skills, qualifications, knowledge and experience required to undertake ¨ their duties Provision has been made for any necessary training to fill any skill gap ¨ All roles and responsibilities have been allocated and exclusions are justified ¨ All relevant stakeholders are represented in the project management team ¨ All appointees have confirmed their availability and willing to undertake their duties ¨ All relevant stakeholders have provided input ¨ Project Objectives are SMART ¨ Content of the Project Brief is consistent with the Business Case ¨ Lessons Log has been reviewed Management controls suitable for Initiate a Project have been established ¨ ¨ Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 124 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA Effort, duration and resources have been estimated ¨ Constraints and other inter-dependencies with other projects have been identified and ¨ documented Resources have been identified and appointed ¨ Risks associated with Initiating a Project stage have been identified and addressed through ¨ proper risk response plans The Initiation Stage Plan has been reviewed and checked for consistency ¨ The Request to Initiate a Project has been sent to PSC ¨ Initiating a Project (IP) Responsibilities for each management strategy within the project are clearly understood and ¨ documented All stakeholders have been identified and their communication requirements defined ¨ Identified stakeholders have agreed to the content and method of the strategies ¨ Risk Log has been created and initialized ¨ ¨ It has been established whether the project has requirements related to security area ¨ It has been established whether the project has requirements related to data protection area ¨ ¨ A Security Officer has been designated for the project ¨ The Security Officer has been involved in the requirements review ¨ ¨ The DPO has been involved in the requirements review ¨ All products are identified ¨ Types of resources required have been identified ¨ The tasks which, if they slip, will delay the whole project/stage (also known as the critical path), have been identified ¨ ¨ Key milestones have been identified and incorporated Risks and potential issues have been identified and risk management activity has been described ¨ into the plan Benefits measurements have identified and documented within the benefits Review Plan Project Plan has been reviewed and relevant information has been used to updated and refine Business Case Major risks have been reviewed for updating the Business Case Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 125

eu-LISA PM Methodology Consistency check between Project Brief, Project Plan and Business Case has been performed ¨ ¨ All the necessary components of the PID have been supplied ¨ ¨ The document provides all the information required to enable a decision on project approval to be taken ¨ ¨ Request to Deliver the Project has been sent to PSC ¨ Directing a Project (DP) ¨ ¨ PSC has reviewed Project Brief and Initiation Stage Plan ¨ ¨ Any amendments have been fully documented and incorporated ¨ ¨ PSC has approved the Project Brief and Initiation Stage Plan ¨ ¨ Notification to initiate a project has been sent to Project Manager ¨ ¨ The PSC to have reviewed and signed-off the PID ¨ ¨ Any caveats, exclusions or amendments have been fully documented and incorporated ¨ Project Initiation Document is re-based and stored in project file following approval ¨ Notification for project authorization or premature closure has been sent ¨ Stage Plan and End Stage Report have been reviewed by the PSC ¨ PSC has decided to authorize stage or exception plan, or to prematurely close project Changes to the Business Case have been communicated to corporate or Program Management Exception Plan clearly outlines changes to the Business Case, new risks and their status, increased costs and changes to the Project Plan Stage Authorization (or Premature Closure) or Exception Plan Authorization have been sent MPB/PSC members have received and reviewed all relevant information MPB/PSC members are aware of the need to react quickly to issues raised MPB/PSC members are committed to prompt reading of Dashboard, Exception, or Issue reports and to timely response to them The results and products have been accepted, and there is no residual work that should be considered part of this project The business is ready to support, sustain and further develop the environment and products delivered Any necessary program management requirements have been met Controlling a Stage (CS) Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 126 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA The Team Manager is clear regarding what is to be produced, and what has to be done to produce ¨ it ¨ The Team Manager is clear about the effort, cost and timescale expectations in connection with the work involved ¨ The Team Manager is clear about the expected quality of the work and products, and also about ¨ how quality is to be checked, as defined in the relevant Product Descriptions ¨ ¨ The Team Manager is committed to the achievement of the work ¨ ¨ The Stage Plan has been updated as required, based on the agreement on the Work Package ¨ ¨ Checkpoint Reports are provided at the frequency defined in the Stage Plan ¨ ¨ Every team member is working to an agreed schedule ¨ ¨ Any unresolved problem from the previous report has been reviewed ¨ Product quality and acceptance sign-off have been obtained ¨ ¨ Hand over completed products (to Configuration Management) has been done ¨ ¨ All products/outputs planned for the stage have been completed ¨ ¨ The plan for the next stage has been prepared and checked ¨ The PSC have received the next stage plan and/or exception plan ¨ All options for corrective action have been considered ¨ There is a reasonable confidence that after the corrective action has been taken, the stage and project will still stay within tolerance The impacts on the Business Case and risks have been fully considered The Stage Plan has been updated to reflect the corrective actions Project Manager has authorised the registration of the issue Issue and Risk logs regularly reviewed and updated Issues escalated to PSC where necessary Is the project issue within the remit of the project? If not, has guidance been given on how to progress? Is the stage forecast to remain within its tolerance margins? Is there anything within the Project Manager's remit that would bring the stage back within its tolerances without reducing quality or project scope? Is there a recommended course of action for the PSC to consider? Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 127

eu-LISA PM Methodology All sensible alternatives have been considered ¨ ¨ The implications for the Business Case and risks have been considered ¨ ¨ The impact on the Project Plan has been calculated ¨ The dashboard is produced as requested by the PSC ¨ ¨ The dashboard is distributed with the agreed frequency ¨ Managing Stage Boundaries (SB) ¨ ¨ The major products described in the Project Management Plan for the specific stage are reflected ¨ in the Stage Plan ¨ ¨ Users or other resources required to validate the quality of products are identified ¨ The resources used to validate quality are in line with the requirements of the Project Quality ¨ Plan ¨ The plan describes the agreed level of details ¨ All quality and management products are identified as well as specialist products ¨ ¨ The quality and management products/activities are added correctly to the sequence of work ¨ Known risk factors have been identified ¨ Any factors to the project that could impact the security and data protection aspects have been ¨ taken into consideration ¨ The SSRS and PIA have been updated adequately The SSRS has been reviewed and recommendations on whether the document can been approved by the PSC have been produced Any need for an audit on security aspects of the project have been considered The PIA has been reviewed and the Privacy Compliance Report on whether the document can been approved by the PSC has been produced Any need for an audit on data protection aspects of the project have been considered External factors to the project that could impact the Business Case have been taken into consideration Project Plan has changed such that it impacts the Business Case - for example, in terms of overall cost or the date of the scheduled outcome All products identified in the Stage Plan have been produced All products have been checked for quality There is no new or changed risk exposure that require an Exception Report Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 128 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA The project is still look viable ¨ ¨ The Project Management Plan is still forecast to stay within tolerance margins ¨ All strengths, weaknesses or omissions in the standards and practices used have been noted in a ¨ Lesson Learned Report ¨ Any useful measurements that can be noted from the Stage and that would benefit the planning ¨ of future Stages or other projects has been included in the Lesson Learned Report ¨ The impact of Exception Plan on the risks has been taken into consideration ¨ The impact of Exception Plan on the Business Case has been taken into consideration ¨ Managing Product Delivery (MP) ¨ The Team Manager has produced a Team Plan that shows how the Work Package can be ¨ completed within the constraints ¨ There is an agreement regarding reporting (including to whom) ¨ ¨ There is an agreement regarding the frequency and detail of Checkpoint Reports (defined in the ¨ Stage Plan) There is an agreement regarding the quality (as mentioned in the Product Description) ¨ There is an agreement regarding the procedures (such as updating the Risk Log, Quality Log, Risk ¨ analysis, planning and resources) ¨ The Checkpoint Reports are delivered at defined frequency ¨ ¨ Resources consumption is monitored ¨ Quality and acceptance sign-off have been obtained The completed products are handed over (to Configuration Management) Closing a Project (CP) Formal user acceptance of delivered products has been received and any outstanding issues are added to the Follow-On Actions list Warranty, handover or post-implementation periods have been defined Formal user acceptance of delivered products has been received and any outstanding issues are added to the Follow-On Actions list Warranty, handover or post-implementation periods have been defined All aspects of the project, both successful and unsuccessful have been investigated, documented and communicated The opinions and experiences of all key stakeholders involved in the project have been sought Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 129

eu-LISA PM Methodology The review has focused on both the performance of the project and the project management ¨ processes followed ¨ Any recommendations are circulated to stakeholders ¨ ¨ Project documentation has been properly archived ¨ ¨ Project Logs have been closed ¨ ¨ Closure recommendation has been sent to PSC and other relevant stakeholders Project Logs have been updated to reflect the premature closure request Project management Plan has been updated with actuals of the final stage Any valuable products resulted from the project have been inventoried and secured for potential use in the future Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 130 Version: v 6.0.3

eu-LISA LIMITED BASIC Releasable to eu-LISA PM Methodology eu-LISA 27. ANNEX C – Project Management Artefacts and RASCI Matrix The chart below and the accompanying RASCI Matrix present guidelines on applying the Project Management responsibilities prescribed by the PM Methodology within the specific context of the Agency. Sensitivity: LIMITED BASIC Date: 17/04/2020 Version: v 6.0.3 P a g e | 131

eu-LISA PM Methodology RASCI Matrix Project Management Artefacts Roles Project Owner Project Manager PrMoagrnaagmerm*e Project Coordination External Support No Action Staff Member Staff Member External or Intra- contractor Business Case Create and maintain R/A C muros Project Managements Artefacts I 1 Project Brief Create and maintain I R/A I 2 PID Create and maintain IR C 3 QMP Create and maintain A I 4 Project Plan (mpp) Create and maintain R A IS 5 Billing Gates Create and maintain payment milestones R A SC 6 Project Logs Create and maintain I R/A I SS 7 Project dashboard Update on a weekly basis R/A I S 8 Issue Report Create and follow-up actions I R/A I SC 9 Exception Report Create and follow-up actions R/A I SC 10 Exception Plan Create and follow-up actions IR A 11 Work Acceptance Accept deliverable IR A C 12 End of Stage Report Create and follow-up actions I R/A I C 13 End of Project Report Create and follow-up actions IR A C 14 Lessons Learned Report Create and follow-up actions I R/A I CI I R/A I CC CC CC * Programme Manager column: when a project does not belong to a programme, this column is not applicable and the Project Manager becomes Accountable for the tasks R Responsible Assigned to complete the task or deliverable A Accountable Final decision-making authority and accountability for completion. Only 1 per task or deliverable S Support Provide support to those who are responsible C Consulted An adviser, stakeholder, or subject matter expert who is consulted before a decision or action I Informed Informed after a decision or action Date: 17/04/2020 eu-LISA LIMITED BASIC P a g e | 132 Version: v 6.0.3