Issue Management Plan v1.0

Department of Transportation
Project Name
Issue Management Plan
Project ID:
Division, Program Name

Prepared by:
Date:
Approval Signatures
Name:
Title: Project Sponsor
Name:
Title: Project Manager
Name:
Title: Technical Lead
Name:
Title: Business Lead
Name:
Title:
Name:
Title:
Template Revision History

REVISION HISTORY
REVISION #
1.0
DATE OF RELEASE
10/2009
OWNER
ETID PMO
SUMMARY OF CHANGES
Initial Release of Caltrans Issue
Management Plan
Remove template revision history and insert Change Management Plan revision history.
Template Revision Approvals
NAME
ROLE
DATE
Insert Project Approvals here.

Template Instructions:
This template is color coded to differentiate between boilerplate language,
instructions, sample language, and hyperlinks. In consideration of those reviewing
a black and white hard copy of this document, we have also differentiated these
sections of the document using various fonts and styles. The details are described
below. Please remove the template instructions when the document is
finalized.
Standard boilerplate language has been developed for this management plan. This
language is identified in black Arial font and will not be modified without the prior
approval of the Enterprise Technology Investment Division (ETID) Project
Management Office (PMO). If the project has identified a business need to modify
the standard boilerplate language, the request must be communicated to the PMO
for review.
Instructions for using this template are provided in blue Times New Roman font and
describe general information for completing this management plan. All blue text should be
removed from the final version of this plan.
Sample language is identified in red italic Arial font. This language provides
suggestions for completing specific sections. All red text should be replaced with
project-specific information and the font color replaced with black text.
Hyperlinks are annotated in purple underlined Arial text and can be accessed by
following the on-screen instructions. To return to the original document after
accessing a hyperlink, click on the back arrow in your browsers toolbar. The File
Download dialog box will open. Click on Open to return to this document.
Table of Contents
1. INTRODUCTION............................................................................................................................
1.1 PURPOSE...............................................................................................................................
1.2 REFERENCES.........................................................................................................................
REFERENCES....................................................................................................................................
1.2.1 External References........................................................................................................
1.3
ISSUE MANAGEMENT PLAN REVISION HISTORY........................................................................
2. ISSUE MANAGEMENT AND ESCALATION APPROACH............................................................

2.1 ISSUE MANAGEMENT DEFINED................................................................................................
2.2 DISTINGUISHING ISSUES FROM RISKS......................................................................................
2.3 <PROJECT NAME> ISSUE MANAGEMENT PRINCIPLES...............................................................
2.4 ISSUE MANAGEMENT METHODOLOGY......................................................................................
2.5 ISSUE ESCALATION............................................................................................................... 12
2.5.1 Types of Issues.............................................................................................................. 13
2.5.2
Types of Escalation........................................................................................................ 13
3. ROLES AND RESPONSIBILITIES...............................................................................................14

3.1 THE <PROJECT NAME> PROJECT MANAGER.........................................................................14
3.2 THE <PROJECT NAME> PROJECT SPONSOR..........................................................................14
3.3 THE <PROJECT NAME> PROJECT TEAM MEMBERS................................................................15
3.4 PROJECT STEERING COMMITTEE...........................................................................................15
3.5 PROJECT ADVISORY COMMITTEE........................................................................................... 16
3.6 PROJECT LIBRARIAN............................................................................................................ 16
3.7 SOFTWARE AND INTEGRATION VENDOR.................................................................................16
3.8 CALTRANS INFORMATION TECHNOLOGY PROJECT MANAGEMENT OFFICE (IT PMO)................16
3.9 INDEPENDENT PROJECT OVERSIGHT CONTRACTOR (IPOC)....................................................17
3.10 INDEPENDENT VALIDATION AND VERIFICATION VENDOR (IV&V)..............................................17
3.11 OFFICE OF THE STATE CHIEF INFORMATION OFFICER (OCIO).................................................17
3.12 BUSINESS, TRANSPORTATION, AND HOUSING AGENCY (BT&H)..............................................18
4. ISSUE MANAGEMENT STEPS................................................................................................... 18
5. GENERAL INFORMATION........................................................................................................... 19
5.1 ACRONYMS.......................................................................................................................... 19
5.2 GLOSSARY........................................................................................................................... 20
APPENDIX A:
<PROJECT NAME> ISSUE LOG..............................................................................
APPENDIX B:
<PROJECT NAME> ISSUE MANAGEMENT FORM......................................................
ii
Project Name: (Project Name)

Project Number: (FSR Number)
Criticality Rating: (Low, Medium, High)

<Date>
1. INTRODUCTION
The Issue Management Plan defines the <Project Name> approach for the identification,
analysis, and management of project issues. It describes the <Project Names> process
for addressing project issues. Issues arise from such things as unmediated disputes,
unaddressed concerns, or decisions that remain unresolved. They occur in all phases
of the project lifecycle and can have severe impacts to the project if not taken care
properly. The Issue Management Plan should cover:
How issues are raised.
How issues are logged and tracked.
Assigning and evaluating issues for resolution actions.
Executing issue resolution actions.
Defining issue management roles and responsibilities.
Examples of forms and logs used in issue management.
It is important that the project has an issue management process that provides visibility
into problems and issues, accountability as to who will resolve them, and how they will
be resolved in a timely manner. Without an issue management process and plan the
project runs the risk of experiencing team and customer discord, scope creep and
schedule slippage.
1.1 Purpose
The purpose of the <Project Name> Issue Management Plan is to ensure that:
Issues are identified, assessed for impacts to the project and resolved.
Issue resolutions that have significant impacts to schedule, scope, budget and
quality become part of the formal change management process.
Resolved issues are properly documented and communicated to project team
members and stakeholders.
Describes what tools the <Project Name> will use to support the issue
management process.
The purpose of the issue management process is to ensure that any unanticipated
issues and corresponding action items are assigned, tracked, and monitored over the
projects lifecycle. The escalation process is use when an otherwise un-resolvable
issue is raised for consideration by a higher level of management.


<Date>
1.2 References
References
1.2.1 External References
Office of the State Chief Information Officers (OCIOs) Information Technology Project
Oversight Framework
Caltrans IFMS E-FIS Project Management Plan
OCIO CA-PMM, Section 2.5 Issue Management
PMBOK Guide, 3rd Edition, Section 10.4 Manage Stakeholders
http://isb.wa.gov/tools/pmframework/planning/issuemgmt.aspx
http://www.bestpractices.osi.ca.gov/sysacq/documents/Issue%20and%20Escalation
%20Process%20(4004).doc
If applicable, indicate the name of the document management tool the project is using. If
the project is not using a specific tool, list any relevant documents that can be used as
references for this document and its corresponding location. A copy of all project
management plans, control agency approval documents, and project status reports must
be saved into the IT Project Management Office (PMO) centralized document repository.
These files are located on the network in the directory \\Svhq20it\VOL2\PPMD\PMO.
1.3 Issue Management Plan Revision History

REVISION HISTORY
VERSION #
DATE OF RELEASE
OWNER
COMMENTS
Insert Issue Management Plan revision history.
2.
ISSUE MANAGEMENT AND ESCALATION APPROACH
This section presents the approach the <Project Name> project will use to identify and
manage project issues.
2


<Date>
2.1 Issue Management Defined

For the purpose of this project, an issue will be defined as any factor which is currently
impacting the scope, schedule, or budget of the <Project Name> project. Issue
management provides for the understanding and management of factors that may 1)
prevent the project from achieving one or more of its objectives, 2) create schedule
delays, or 3) increase costs.
2.2 Distinguishing Issues From Risks

Risks and issues have a similar definition both are factors which may have a negative
impact on the scope, schedule, or budget of the project. The distinguishing
characteristic of risks and issues is time. Issues are currently impacting the project and
must be addressed immediately for progress to continue. Risks may impact the project
in the future, and must be mitigated now so they will not have a future impact.
Risks may eventually become issues if they are not effectively mitigated. In addition,
unanticipated or recent project events or developments may become issues (rather than
risks) if they have an immediate impact on the project. These concepts are illustrated
below:
Issues and risks must be identified, analyzed, tracked, and resolved/mitigated. Refer to
the <Project Name> Project Risk Management Plan for the procedures the project will
use to manage risks. The procedure for managing issues is presented in the remainder
of this section.


<Date>
2.3 <Project Name> Issue Management Principles

This issue management plan is based on several key principles that will guide the
projects issue management activities throughout the project lifecycle. These principles
are embedded in the issue management methodology and processes described
throughout this document. They include:
Issue management is an ongoing process that will occur throughout the lifecycle
of the project.
The <Project Name> Project Manager will have the overall responsibility for issue
management on the project. This includes assigning issue owners and tracking
issue resolution activities. Vesting this responsibility in a single person will
enhance the coordination and accountability of the issue management process.
All individuals assigned to the <Project Name> project will be responsible for
identifying and reporting potential issues. They may also be assigned specific
issue analysis and resolution tasks at the discretion of the <Project Name> project
manager.
<Project Name> issue management responsibilities extend to individuals and

organizations outside of the core project team. These include Caltrans
managers and executives (including those within and outside of the <Division
Name> Caltrans Enterprise Technology Investment Division (ETID, IT Project
Management Office (IT PMO), control agencies (OCIO and the Department of
General Services), and the Business, Transportation, and Housing Agency.
These organizations or individuals may be asked to resolve escalated issues,
clarify or make policy decisions, or approve specific issue resolution activities.
The <Project Name> project manager will manage issue escalation. The <Project
Name> project sponsors may be requested to assist with escalation and
negotiations if required.
The <Project Name> software and integration vendors will be responsible for
actively participating in the <Project Name> project issue management process.
This requirement is included in the Request for Proposal (RFP) for the software
and integration services.
The status of issues will be reported to the project sponsor, the <Project Name>
Steering Committee, control agencies, and if applicable the projects Independent
Validation and Verification Vendor, and Independent Project Oversight Consultant
(IPOC) throughout the lifecycle of the project.


<Date>
2.4 Issue Management Methodology

The <Project Name>project will utilize the following methodology for managing issues:
An explanation of each step in the process is presented below.

Step 1: Identify Issue
Identification of issues is the key to resolving them. The <Project Name>project will use
the following approaches for issue identification:


<Date>
On-going issue discussions during weekly and monthly project planning

meetings. Since issue management is an activity which occurs throughout the
lifecycle of the project, the <Project Name>project team will conduct a review and
discussion of issues during weekly and monthly project team status meetings.
During these meetings, existing issues and the status of their resolution activities
will be discussed, and the project team will be asked to identify any new issues.
Ad Hoc Issue Reporting: All stakeholders will be encouraged to report any

issues that may arise to the <Project Name>Project Manager. Project team
members will be directed to report issues to their team leaders and managers
first; if the issue warrants tracking and resolution, the team leaders and
managers will report the issue to the <Project Name>project manager.
Risk Reviews: As the project team manages risks, any risks that become issues
will be identified and documented as issues for resolution in accordance with this
issue management plan. Conversely, each issue will be validated to ensure it is
not a risk. If so, the project will add it to the projects risk log.
The <Project Name>Project Manager may assign an owner to each issue. The issue
owner will conduct any additional issue analysis required and may be responsible for
leading issue resolution tasks. It is important to note that even though an individual
owner for each issue will be identified, the <Project Name>Project Manager will maintain
overall responsibility for issue management throughout the project.
To ensure that issues are effectively documented and tracked, the <Project
Name>Project Manager (or his or her designee) will enter identified issues on an issue
log. The log will be used to document the issue, along with its owner, priority, and
resolution steps. It will also be used for issue tracking. A template for the <Project
Name>Issue Log is provided in Appendix A.
Step 2: Analyze Issue
After identifying the issue, more analysis may be required to assess the issues impact
on the project. At the <Project Name>Project Managers discretion, the issue owner may
be asked to complete an Issue Analysis Form to document the impact of the issue. A
template of the form is presented in Appendix B. If the issue was once a risk,


<Date>
documentation from the risk analysis process will be used in place of the form. Since
some issues are less complex, detailed documentation (and an Issue Analysis Form)
will not be required.
Step 3: Prioritize Issue
After analyzing the issue, the project managers and leads will assess whether the issue
is high, medium or low priority. Because issues by definition are impacting the project
and must be addressed, the project team will expend an appropriate amount of effort
addressing all issues regardless of the priority. However, priorities will enable the
project team to focus on the most significant issues.
The project team will consider the following general guidelines for prioritizing issues:
High priority issues:

o Are the cause of a critical task schedule slippage
o May have a significant impact on project scope or budget
o Impact more than one project area (e.g. training and testing)
o Have near-term due dates (0-14 days) for the completion of resolution
activities.
o Have resolution activities that are within the project teams control
Medium priority issues:

o May cause a critical task schedule slippage in the future action now will
prevent that from happening
o May have a moderate impact on project scope or budget
o Impact is contained to a specific project area
o Few or no dependencies on other project areas
o Medium term due dates for completing resolution steps (14-28 days)
Low priority issues:


<Date>
o Have little or no impact on the project schedule

o No dependencies on other project areas
o Long term due dates for completing resolution steps (14-28 days)
o Resolution activities are completely outside of the project teams control
After consideration by the project managers, low priority issues may be closed on the
Issue Log. However, there will be documentation in the Issue Log that the issue was
raised and considered.
Step 4: Develop Issue Resolution Steps
The project team will develop an issue plan for each identified issue and track status
against the plan. The resolution steps will essentially include series of action steps
which will be documented on the issue log, associated due dates, and designate the
person responsible for executing the steps.
If required, the <Project Name>Project Manager will modify the project WBS and
schedule or request changes in resources to effectively resolve the issue.
Step 5: Execute Issue Resolution Steps
The issue owner will execute the resolution steps.
Step 6: Track Resolution Activities
The issue owner will be responsible for providing status on the issue resolution
activities. The <Project Name>Project Manager will track the status of issue resolution
activities against the resolution steps, and assess any impacts relative to the overall
project scope, schedule, or budget. The <Project Name>Project Manager will lead a
review of the issue log at weekly project team status meetings to ensure that resolution
activities stay on track and that new issues are identified as required.
Step 7: Report Status


<Date>
Issues will be a standard part of the status documentation and meetings conducted by
the <Project Name>project team (refer to the <Project Name>Project Communication Plan
for a detailed discussion on status reporting). Project team members will document the
status of their issue resolution activities on their regular status reports. The <Project
Name>project team will meet weekly and monthly to discuss the status of existing issues
and their resolution activities, and to identify new potential issues. Issues will be
discussed during the same meeting that the status of risks and the project schedule are
discussed, so that these core project management processes are effectively integrated.
The status of issues will be reported outward from the core project team to key project
stakeholders. The status of the most significant project issues will be included in
monthly status reports provided to Program Division Chief(s), the Caltrans IT Program
Manager, project sponsors, steering and advisory committees, Independent Project
Oversight Consultant (IPOC), and Independent Verification and Validation vendor
(IV&V). The projects highest priority issues will also be included in the monthly reports
provided to Caltrans IT PMO and the OCIO.
In addition to reporting on issues to stakeholders, the issue log will be published and
disseminated to project team members on a weekly and monthly basis. Weekly
published versions of the issue log will be included in the project library for future
reference.
A matrix such as the one below can be used to present the issue reporting protocol in
greater detail.
<Project Name>ISSUE REPORTING PROTOCOL
RECIPIENT (TO)
FROM
<Project Name>
<Project
Project Issue Log
Name>Project Team Reviews
Project Manager
MEDIUM
Status Reports
<Project
Name>Project
Team
<Project
Name>Project
Project Issue Log

Reviews
FREQUENCY
Weekly
Monthly
Bi-Weekly
Weekly
Monthly

RECIPIENT (TO)
FROM

<Date>
MEDIUM
FREQUENCY
Status Reports
Bi-Weekly
Status Reports
Bi-Weekly
Status Meetings
Bi-Weekly
Steering Committee
Meeting Status
Reports
Monthly
Status Reports
Bi-Weekly
Status Meetings
Bi-Weekly
Steering Committee
Meeting Status
Reports
Monthly
Status Reports
Bi-Weekly
Status Meetings
Bi-Weekly
Steering Committee
Meeting Status
Reports
Monthly
Status Reports
Bi-Weekly
Steering Committee
Meeting Status
Reports
Monthly
Status Reports
Bi-Weekly
Steering Committee
Meeting Status
Monthly
Manager
Project Sponsor
IT Program
Manager
Chief, Program
Division
<Project
Name>Advisory
Committee
<Project
Name>Steering
Committee
<Project
Name>Project
Manager
<Project
Name>Project
Manager
<Project
Name>Project
Manager
<Project
Name>Project
Manager
<Project
Name>Project
Manager
10

RECIPIENT (TO)
FROM

<Date>
MEDIUM
FREQUENCY
Reports
Independent
Project Oversight
Consultant (IPOC)
<Project
Name>Project
Manager
Status Reports
Bi-Weekly
Caltrans IT Project
Management
Office (IT PMO)
<Project
Name>Project
Manager
PMO IT Project
Status Reports
Monthly
Office of the State

Chief Information
Officer (OCIO)
ETID
PMO IT Project
Status Reports
Monthly
Independent
Verification and
Validation
Consultant (IV&V)
IPOC
Business,
PPMD
Transportation and
Housing Agency
Independent Project
Oversight Report
(IPOR)
Monthly PMO IT
Project Status
Reports
Monthly
Monthly
Customize the ISSUE REPORTING PROTOCOL matrix for <Project Name> information.
2.5 Issue Escalation

Consistent with current practices for high priority Departmental IT projects, the <Project
Name>Project Manager will be responsible for escalating issues to an appropriate
person or organization based on the nature of the issue, and the ability of the individual
or organization to resolve it. Issues may be escalated to managers and executives
11


<Date>
within the Department, vendor managers or executives, the IT PMO, Agency, or OCIO.
High and medium priority issues will not be automatically escalated to Agency or OCIO
unless warranted by required resolution activities.
It is important to note, however, that issues (and the status of their resolution activities)
will be reported to Agency and OCIO (along with other project stakeholders) on a
regular basis. Refer to subsection 2.4, Step 7 for the <Project Name>Issue Reporting
Protocol.
Because the subject matter, urgency, and complexity of issues will vary widely, a
specific and detailed escalation path for all issues cannot be identified in this plan.
However, a general and high level depiction of the typical escalation path is provided in
the illustration below:
ISSUE ESCALATION PROTOCOL
The <Project Name>project manager will adhere to the following general guidelines for
escalating issues:
12


<Date>
Issues requiring the attention of control agencies will first be discussed with the
Project Sponsor, the Chief of the Program Division, and ITs Technical Program
Manager; then forwarded to the IT PMO, who will coordinate discussions with the
control agencies.
The IPOC and IV&V vendors will play a key advisory role is determining specific
issue resolution activities and may be assigned specific tasks if required.
The Project Sponsors, Steering Committee, and Advisory Committee may

provide assistance in engaging other Caltrans divisions when issues across
divisions or other agencies (such as control agencies) arise.
2.5.1 Types of Issues

The following are types of issues that may require escalation to the <Project Name>
Steering Committee:
o Policy issues
o Significant schedule issues
o Adverse Program Impacts
o Go/No-Go recommendations
o Vendor Disputes
o Stakeholder disagreements
o Impacts to project funding
2.5.2 Types of Escalation

o Escalation will occur if project activities are not getting done or it appears
that it is likely they will not get done in a timely manner, thus risking go-live
dates.
o Escalation will occur if it appears that requirements are not being met or
that they cannot be met or that meeting them violates customer and
external user expectations regarding product quality or resulting impacts.
o Escalation will occur if an issue is raised and a decision is needed to
continue working on project activities.
o Escalation will occur if the project governance is not able to reach
agreement on the issue and agreement is needed to continue project
activities.
13


<Date>
The Project Sponsors, Steering Committee, and Advisory Committee may provide
assistance in engaging other Caltrans divisions when issues across divisions or other
agencies (such as control agencies) arise.
3.
ROLES AND RESPONSIBILITIES
This section describes the roles and responsibilities of the <Project Name> staff with
regard to issue management.
Note that these are roles, not positions or titles. One person may fulfill more than one role. There
are various staff resources and stakeholders involved in managing project lessons learned. In
some cases, one individual may perform multiple roles in the process.
List the roles and responsibilities of those who will participate in the projects issue management
process.
3.1
The <Project Name> Project Manager
This section should summarize the project managers involvement in directing and implementing
the projects issue management and escalation process. Include any other responsibilities that are
specific to this projects requirements.
Responsibilities include:
3.2
Overseeing the creation, direction and implementation of the projects issue

management and issue escalation process.
Conducting weekly walkthroughs of the project issue list, leading efforts to
identify new issues.
Maintaining the project issue list.
Assigning issue owners, following up with issue owners to obtain status of issue
analysis and resolution activities.
Assigning issue analysis and resolution tasks, monitoring progress and taking
corrective action as necessary.
Reporting and escalating issues to the Project Sponsor, Steering Committee, IT
PMO, IPOC, IV&V, OCIO, and the Business, Transportation, and Housing
Agency.
The <Project Name> Project Sponsor
This section should summarize the project sponsors involvement in the projects issue
management and escalation process. Include any other responsibilities that are specific to this
projects requirements.
14


<Date>
Identifying potential issues and reporting them to the<Project Name> Project

Manager for additional analysis and follow up.
Ensuring that issue management and escalation are conducted on the project.
Receiving status reports on issue resolution activities.
Receiving escalated issues and assisting with resolution activities as required.
Recommending approval or denial of issue resolutions.
Making policy decisions or providing direction as required for resolving issues.
3.3 The <Project Name> Project Team Members

This section should summarize the project team members involvement in the projects issue
Identifying issues while conducting daily project tasks, reporting issues to the
project manager.
Leading issue resolution activities and reporting issue resolution status to the
project manager.
Completing issue analysis and resolution tasks as assigned by the <Project
Name> Project Manager.
Participating in weekly and monthly walkthroughs of the issue log.
Updating assigned items on the project issue list.
3.4 Project Steering Committee
This section should summarize the project steering committees involvement in the projects
issue management and escalation process. Include any other responsibilities that are specific to
this projects requirements.
Overseeing project issue management activities.

Receiving status reports on issue resolution activities.
Receiving escalated issues and assisting with resolution activities as required.
Making policy decisions or providing direction as required for resolving issues.
Approve or deny recommended resolutions.
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<Date>
3.5 Project Advisory Committee

This section should summarize the project advisory committees involvement in the projects
issue management and escalation process. Include any other responsibilities that are specific to
this projects requirements.

Receiving status reports on relevant issue resolution activities.
Providing subject matter expertise for issue analysis and resolution planning.
Providing input and direction as required for resolving issues.
3.6 Project Librarian
This section should summarize the project librarians involvement in the projects issue
Maintaining electronic files of issue forms and versions of the issue log.
Ensuring published versions of the issue log and issue management forms are
included in the project library.
3.7 Software and Integration Vendor
This section should summarize the software and integration vendors involvement in the
projects issue management and escalation process. Include any other responsibilities that are
Conducting all issue management tasks listed under Project Team Members
roles above.
Submitting an issue management plan specific to the selected software, data
warehouse, and integration effort; assists the <Project Name> Project Manager in
incorporating these issues into the on-going project issue list.
3.8 Caltrans Information Technology Project Management
Office (IT PMO)

This section should summarize the Caltrans Information Technology Project Management
Offices involvement in the projects issue management and escalation process. Include any
other responsibilities that are specific to this projects requirements.
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<Date>
Identifying potential issues and reporting them to the <Project Name> Project
Receiving status reports on issue resolution and issue escalation activities,
providing information to the OCIO on monthly status reports.
3.9 Independent Project Oversight Contractor (IPOC)
This section should summarize the Independent Project Oversight contractors involvement in
the projects issue management and escalation process. Include any other responsibilities that are
Reviews the project issue list with the <Project Name> Project Manager.
Performing independent issue management reviews and reporting identified
issues to the <Project Name> Project Manager.
Reporting on issues to the OCIO in the monthly Independent Project Oversight
Report (IPOR).
Independent Validation and Verification Vendor

(IV&V)
3.10
This section should summarize the Independent Validation and Verification vendors
involvement in the projects issue management and escalation process. Include any other
responsibilities that are specific to this projects requirements.
Reviews the project issue list with the <Project Name> Project Manager.
Performing independent issue management reviews and reporting identified
issues to the <Project Name> Project Manager.
3.11
Office of the State Chief Information Officer (OCIO)
This section should summarize the Office of the State Chief Information Officers involvement
in the projects issue management and escalation process. Include any other responsibilities that
are specific to this projects requirements.
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<Date>
Establishing the project management methodology for issue management

through the IT Project Oversight Framework and California Project Management
Methodology.
Receiving escalated project issues and assisting with resolution activities as
required.
Receiving status reports from the IT PMO on issue resolution activities.
Receiving status reports on issue resolution activities in the monthly IPOR.
Business, Transportation, and Housing Agency

(BT&H)
3.12
This section should summarize the Business, Transportation, and Housing Agencys involvement
in the projects issue management and escalation process. Include any other responsibilities that
are specific to this projects requirements.
4.
Receiving escalated project issues and assisting with resolution activities as

required.
Receiving status reports from the IT PMO on issue resolution activities.
ISSUE MANAGEMENT STEPS
The status of the steps the <Project Name> Project Manager will take, or has taken, to
implement this issue management plan are presented in the table below.
IMPLEMENTATION
OF THE ISSUE
MANAGEMENT PLAN
ISSUE MANAGEMENT PLAN IMPLEMENTATION STEPS
STATUS
Develop a consolidated project issue list, leveraging the issues

currently reviewed and reported on by the procurement
assistance vendor.
Complete
Add an issue list review to the weekly <Project Name> staff

meeting agenda.
Complete
Establish a detailed process for updating, publishing, and
Complete
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<Date>
ISSUE MANAGEMENT PLAN IMPLEMENTATION STEPS
STATUS
archiving the issue list.
Establish electronic file folders to store iterative versions of the

project issue list and the issue management forms.
Complete
Work with the Project Sponsors, Steering Committee, IT PMO,

OCIO, and Agency to determine and document specific issue
escalation processes and contacts.
Complete
Review the RFP for the integration and software vendor to

verify that the vendors issue management responsibilities (as
specified in this plan) are included in the RFP.
Complete
Meet with the software and integration vendor to review their

issue management plan and integrate their processes and
issues into the project issue list.
To be performed at the beginning of the

development and integration effort.
Update the table with the <Project Name> items current status.
5. GENERAL INFORMATION
5.1 Acronyms
List only glossary entries and acronyms that are applicable to this project document.
DGS
ETID
IPOC
IV&V
OCIO
PMBOK
PMO
RFP
WBS
Department of General Services

Enterprise Technology Investment Division
Independent Project Oversight Contractor
Independent Validation and Verification
Office of the Chief Information Officer
Project Management Body of Knowledge
Project Management Office
Request For Proposal
Work Breakdown Structure
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<Date>
5.2 Glossary
A standard glossary of terms, including the names of all methodologies and stages, is
included in the standard Glossary. This section defines additional terms, including those
specific to this business or project.
Term
Go/No-Go
Data Warehouse
Definition
The decision to continue or not to continue an

Information Technology project based upon meeting
or not meeting pre-established criteria.
An organizations repository of electronic data used
to facilitate reporting and analysis. It can also
include business intelligence tools used to manage
and retrieve repository data.
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<Date>
APPENDICES
21

Issue Management Plan <Date>
Appendix A: <Project Name> Issue Log

<Project Name>
Issue Log
No.
Risk
X-Ref
Title
Description and
Impact to Project
Priority
(H,M,L)
Date
Reported
Reported
By
Assigned
To
WBS
#
Target
Date
Date
Resolved
Status
Resolution/Comments
The log helps the team monitor issues to closure. An issue is stated as a question and assigned to a team member for follow through to resolution. Issues that are significant have issue
resolution documentation prepared; this document much like meeting notes provides context for the recommended action to resolve the issue.

Appendix B: <Project Name> Issue Management Form
<Project Name>
Issue Analysis Form
SECTION I: CONTACT INFORMATION

Issue Title:
Issue Log#:
Assigned To:
Issue Identification Date:
Form Completed By:
SECTION II: ISSUE DESCRIPTION & ANALYSIS
This section must be completed by the Issue Owner

Issue Category:
[Indicate the primary area of the project this issue affects.]
Project Management
Technical
General Project Management & Oversight
Analysis
Scope
Design
Schedule
Build
Budget
Test
Procurement
Train
Other (Specify Below)
Go-Live
Other (Specify Below)
1

Issue Description:
[Describe the problem, business need, or other factors that create this issue.]
Issue Analysis:
[Describe the impact to the project if the issue is not resolved.]
Business Impact
[Describe the business impact on all areas checked below.]
<Enter Business Area>
Technical Impact
[Describe the technical impact on all areas checked below.]
Hardware
Database
Network
Interfaces
Operating System
Reports
Software
Security
Conversion
Other
Project Impact
[State the impact the issue will have on the project scope, schedule, costs, and resources if it is not resolved.]
Scope
Schedule

Resources
Cost
Impacts to Sponsor, User and Stakeholder Relationships
Resolution Alternatives: (Pros/Cons)
[Indicate whether there are acceptable alternatives for resolving the issue]
Dependencies/ Pre-requisites:
[Discuss whether this request is dependent on other project activities, or whether it will impact other aspects of the
project.]
Target Date:
[State the date required for issue resolution, with justification.]
SECTION III: ISSUE ACTION PLAN
Issue Action Plan:

[Describe the detailed steps (with due dates) necessary to resolve this issue]
SECTION IV: ISSUE RESOLUTION
Issue Resolution:

[Describe final resolution of issue]
Issue Resolution Date:

[Document issue resolution date]
Issue Approval:
[Approving signatures]
Project Manager
______________________
Project Sponsor
______________________

Issue Management Plan v1.0

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Issue Management Plan v1.0

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Template Revision History

Insert Project Approvals here.

ISSUE MANAGEMENT PLAN REVISION HISTORY........................................................................

2. ISSUE MANAGEMENT AND ESCALATION APPROACH............................................................

3. ROLES AND RESPONSIBILITIES...............................................................................................14

Project Name: (Project Name)